基于专利存续期和溢价的中国企业专利价值估测和研究

China has become the country which received the most patent applications in the world. However, the number of patent applications submitted to the State Intellectual Property Office of China still grew at 30% annually. The optimistic observers argued that the fast growing patent applications in China represents the progress that the country has made so far in innovation. However, some pundits had reservations and pointed out that the subsidy to patent application by various levels of governments in China gave rise to the rapid growth of patent applications. Many of these applications, they argued, are valueless. In this study, we propose to use patent renewal information to rigorously and systematically estimate the value and premium of the patents owned by the Chinese companies, in order to measure the influence of the fast growing patent applications on the innovative activities of the Chinese firms and advise the governments and companies with regard to the subsidy and award to patent applicants. The past research on value of the patents owned by corporations is largely based on the data of public (large) companies in the US. We know little about the value of patents owned by the small and medium enterprises (SMEs) and the relationship between their patents and performance. In this project, we will construct a large-scale panel database of performance and patenting activities of the Chinese enterprises. By analyzing it, we will investigate the patenting strategy of the SMEs, particularly the high-tech SMEs in China and the contribution of the patenting activities to their performance.

我国不仅已经成为全球受理专利申请的第一大国，而且专利申请的数量仍然以每年近30%的速度增长。乐观的学者认为专利申请数量的增长代表我国在技术创新领域取得了长足的进步。持保留意见的人士认为我国政府部门的资助催生了大量没有商业化价值的专利申请。本课题通过分析专利存续期和专利溢价，对我国企业拥有的，且数量仍在迅速增长的专利的价值做出科学和系统的评估，研判目前快速增长的专利申请对于未来我国企业创新活动的影响，并为政府部门和企业提供改进专利申请激励机制的参考意见。以往对企业专利价值估测的文献都是基于美国上市公司（大公司）的数据，对于中小企业的生产经营情况和它们拥有的专利的价值之间的关系没有深入的研究。本课题通过构建中国企业专利的微观面板数据库能够匹配至少数万家中国企业的生产经营和专利数据，进而研究中小企业的专利申请、管理战略，专利对于中小企业，特别是高技术中小企业的成长和发展的作用。

近年来中国知识产权活动日趋活跃，已经成为全球受理专利申请的第一大国，而且专利申请的数量仍在高速增长。本研究全面系统的梳理了中国创新体系和知识产权体系的文献、分析中国创新体系和知识产权体系的发展趋势和面临的挑战。针对中国专利申请数量激增，但是对专利价值的系统估测研究较少、对中小企业的专利价值以及对市场竞争程度对企业专利溢价的影响缺乏研究等文献缺口，构建中国企业专利的微观面板（Panel Data）数据库，采用符合我国企业专利申请和授权的活动特点的计量经济学模型，对我国授权专利的货币价值做出科学的估测，并对专利对我国企业绩效的提升作用（专利溢价）做出严谨的评估。本研究发现通过发明人调研的数据估计的中国专利价值低于使用类似方法估计的欧洲专利价值。外国企业、高校和科研院所和个人申请的专利价值要高于中国企业、高校和科研院所申请的专利的价值。与实用新型专利相比，发明专利的价值较高。研发成本较高的专利、标准必要专利、包含于专利池的专利的价值较高。大企业、拥有知识产权部门的企业和积极维权的企业的专利价值较高。本研究还发现内资和外资企业都获得了专利溢价，即申请专利的企业的全要素生产率要比同等条件下没有申请专利的企业的要高。但是，内资企业的专利溢价要高于外资企业的专利溢价。与在竞争较强的行业相比，在竞争较弱的行业企业收获较高的专利溢价。本研究的理论贡献在于揭示了企业知识产权管理的战略、活动和企业经营所处的环境和制度因素以及企业规模和所有制结构和企业拥有的专利的价值之间的关系。研究成果对我国的知识产权政策制定和企业知识产权管理实践活动有指导意义。