开放创新下知识产权保护与区域创新能力提升：堵还是疏？
蔡双立，张晓丹
摘要：在开放创新悖论和负外部性并存的前提下，知识产权的“疏堵”保护模式对地区创新能力影响一直是学界关注的热点问题。基于2012—2018年中国31个省份的面板数据，运用面板固定效应模型，实证检验了开放创新范式下知识产权保护对区域创新能力的影响效应及机制，研究发现：在开放创新范式下，采用“重堵轻疏”的知识产权保护模式影响知识产权的创新溢出效应，不利于区域创新能力的提升，同样采用“重疏轻堵”的知识产权保护模式，由于缺乏创新者激励，同样也不利于地区创新能力提升；只有建立“以市场化疏通为目的，以核心利益保护为底线”的市场化促进与保护模式，才更有利于实现创新者激励与区域创新能力提升双重效应。本研究结果丰富了知识产权保护与区域创新研究方面的文献，对我国政府制定支持区域提升创新能力、知识产权保护政策具有理论和现实参考价值。
关键词：知识产权保护；开放创新；区域创新能力
加强知识产权保护是否有利于中国区域创新能力的提升一直是学术界备受争议的话题，尤其面对网络化开放创新下知识产权保护问题。为了全面厘清知识产权保护与我国区域创新发展能力的关系，基于2012—2018年的省级面板数据，采用面板固定效应模型，实证考察了开放创新范式下知识产权保护对区域创新能力发展水平的影响效应。研究发现：
第一，考察期内，在开放式创新范式下，对强外部性的知识产权保护对区域创新有抑制作用，采用“重堵轻疏”的知识产权保护模式影响知识产权的创新溢出效应，不利于区域创新能力的提升。
第二，在本土企业与跨国公司合作研发、本土企业间合作研发和产学研协同创新的开放式创新模式的调节作用下，知识产权保护对区域创新能力的负向影响关系被削弱，但并不表明知识产权保护弱化，而是说明在开放合作的范式下，合作各方并不是通过知识产权的封闭式保护获取价值，而是通过市场化的合作共同创新价值，市场化的利益交互是其驱动企业采用知识产权是选择封闭还是选择开放的关键因子。在这种开放创新范式下，如果仅仅采用法律的保护和“堵”的模式，不利于知识产权价值实现和创新者激励，只有建立“以市场化疏通为目的，以核心利益保护为底线”的市场化促进与保护模式，才更有利于创新者激励与区域创新能力提升双重效应。
第三，在中国不同区域内，知识产权保护对创新能力发展的影响效应存在明显差异，整体知识产权保护水平仍有很大的改进空间。东部地区的知识产权保护对创新产出的抑制影响效应最明显，中部次之，西部最不明显。在开放式创新的调节效应下，即在本土企业与跨国公司合作研发的情况下，东部地区和中部地区的知识产权保护对创新活动中发明专利产出所产生的抑制作用显著性更大，在本土企业间合作研发创新的活动下，西部地区的知识产权保护会抑制对发明专利创新活动的负向影响效应。
Intellectual property protection and regional innovation capability enhancement under open innovation: Blocking or dredging?
(School of Business, Tianjin University of Financial and Economics, Tianjin 300222, China)
Abstract:As an important institutional arrangement to promote knowledge production and technological innovation, intellectual property protection helps to improve independent innovation capabilities, protect the core interests of enterprises, and guide the innovation drive of China′s economic development. Entering the era of knowledge economy, the global economic development model and innovation logic are constantly being upgraded and reorganized. The follow-up development model that China has relied on for a long time with low factor costs and light-based innovation is unsustainable. Pioneering innovation and system innovation have become the key drivers of a country′s economic growth.
Based on the perspective of open innovation, this paper builds a new research framework, analyzes the impact of the "dredging" and "blocking" modes of intellectual property rights on regional innovation capabilities, and explores the moderating effect of open innovation model of "dredge and blockage" combination on the relationship between intellectual property protection and innovation capability level. Based on the panel data of 31 provincial-level regions in China from 2012 to 2018, using the panel fixed effect model, this study empirically tested the effect and mechanism of intellectual property protection on regional innovation capabilities under the paradigm of open innovation, and found that:
First, during the investigation period, under the paradigm of open innovation, intellectual property protection of strong externalities has an inhibitory effect on regional innovation, adopting the intellectual property protection model of "heavy blockage but light dredge" affects the innovation spillover effect of intellectual property rights, it is not conducive to the improvement of regional innovation capabilities.
Second, under the regulating effect of the open innovation model of cooperative R&D between local companies and multinational companies, cooperative R&D between local companies, and industry-university-research collaborative innovation, the negative impact of intellectual property protection on regional innovation capabilities is weakened. However, it does not mean that the protection of intellectual property rights is weakened, but that under the paradigm of open cooperation, the parties to the cooperation do not obtain value through the closed protection of intellectual property rights, but jointly innovate value through market-oriented cooperation. The interaction of market-oriented interests is the key privacy that drives enterprises to choose closed or open intellectual property rights.
Third, in different regions of China, there are significant differences in the impact of intellectual property protection on the development of innovation capabilities, and there is still much room for improvement in the overall level of intellectual property protection. The inhibitory effect of intellectual property protection on innovation output is the most obvious in the eastern region, followed by the central region, and the least obvious in the west. Under the moderating effect of open innovation, the protection of intellectual property rights in the eastern and central regions has a more significant inhibitory effect on the output of invention patents in innovation activities.
The market-oriented intellectual property promotion model of "blocking or dredging" proposed by this paper has put forward a new idea for the market-oriented promotion and protection of intellectual property rights in China. The research results enrich the literature on intellectual property protection and regional innovation research, and have theoretical and practical reference value for the Chinese government to formulate policies to support regional innovation capabilities and intellectual property protection.
Key words:intellectual property protection; open innovation; regional innovation capability
引用本文：蔡双立,张晓丹.开放创新下知识产权保护与区域创新能力提升：堵还是疏?[J].科研管理,2023,44(5):149-158.
转自：“科研管理”微信公众号
如有侵权，请联系本站删除！
