| 王宏伟,侯婉玥,刘兆达.信用治理如何重塑企业创新质量——专利申请环节的制度纠偏[J].数量经济技术经济研究,2026,(6):211-234 | | 信用治理如何重塑企业创新质量——专利申请环节的制度纠偏 | | Reshaping Innovation Deviations through Sanctions to Patent Application Dishonesty: System Correction of Patent Application | | | | DOI： | | 中文关键词: 信用约束 量质偏离 创新质量 专利申请 | | 英文关键词: Credit Discipline Quantity-quality Deviation Innovation Quality Patent Application | | 基金项目: | | | 中文摘要: | | 创新激励偏重数量考察可能引发企业创新投入扩张与创新质量提升相背离的行为异化。本文基于非正常申请专利行为被纳入跨部门联合惩戒的现实背景，采用双重差分法实证检验专利申请阶段信用约束强化对企业创新质量的影响。研究发现，申请环节的信用约束强化显著纠正了企业“重数量、轻质量”的创新偏向，有效提升了创新质量。机制分析表明，信用约束强化通过推动企业内部正式结构优化与非正式结构重塑发挥纠偏效应，形成赋能企业创新质量的长效机制。异质性分析表明，该效应在创新文化氛围浓厚、人力资本和技术资源禀赋充裕以及商业信用环境较好的地区更为显著。进一步研究发现，申请环节的信用约束强化促进了企业向质量导向型创新路径转换，且存在威慑效应，节约了审查与司法资源，提升了专利获取效率，强化了企业市场竞争优势。本文为完善知识产权领域信用体系建设，加速创新布局向“质量竞争”转型提供了经验证据与政策启示。 | | 英文摘要: | | Enterprises are the primary drivers of technological innovation. To stimulate their innovative vitality in practice, the government has introduced a series of incentive measures, including R&D subsidies, technology transfer programs, government procurement, and tax incentives, achieving remarkable results.
Against the backdrop of incorporating abnormal patent application behaviors into a cross-departmental credit disciplinary framework, this study examines whether a strengthened credit discipline at the patent application stage can correct these distortions. Using a sample of A-share listed firms from 2014 to 2021 and employing a difference-in-differences (DID) design, we found that the reinforcement of credit discipline can effectively correct firms’ innovation behaviors and significantly improve innovation quality. This conclusion remains robust even after a series of tests, including parallel trend tests, sensitivity analyses of pre-trends, adjustments to the sample, PSM-DID estimation, alternative model specifications, and placebo tests. The results of the mechanism analysis show that the effects of credit discipline were not limited to ex post punitive governance. Rather, through a “credible threat” mechanism, they influenced firms’ ex ante decision-making logic. As an external institutional pressure, they compel firms to break away from path dependence on “strategic innovation” and reconstruct the operational logic of both formal and informal organizational structures. On the one hand, by reallocating the decision-making authority and reconfiguring resources, firms may correct distortions in their formal structures. On the other hand, through organizational unlearning and the reconstruction of value systems, they reshape the cultural orientation of informal structures. Firms gradually build fundamental organizational capabilities that are necessary for high-quality innovation, achieving a paradigm shift from “quantity-driven policy arbitrage” to “quality-driven capability building.” The heterogeneity analysis suggests that regional environments also affect the effectiveness of sanctions. The quality-enhancing effect was more pronounced in those regions characterized by a strong innovation culture, abundant human capital, rich technological resources, and a sound commercial credit environment. This finding provides further empirical support for the key chain of influence proposed in this study: “strengthened credit discipline - optimization of internal formal structures and reshaping of informal structures - improvement in innovation quality.” Further analysis focused on two issues: how credit discipline at the application stage influences firms’ choices of innovation pathways; and whether this deterrence, while correcting the quantity-quality deviation among firms, also affects the normal patenting behavior of compliant firms. The empirical results show that a strengthened credit discipline at the application stage promoted a shift in firms’ innovation pathways and enhanced the level of breakthrough innovation. However, the generalization of deterrence may lead compliant firms to adopt a more cautious innovation stance. Overall, the optimization of institutional discipline conserved examination and judicial resources, improved patent acquisition efficiency, and enhanced firms’ competitive advantages.
The findings of this study provide valuable policy implications to build an intellectual property credit system and accelerate the transition of innovation strategies toward “quality-based competition.” First, efforts should be made to improve the credit discipline system in patent applications and further strengthen interdepartmental coordination mechanisms. Second, clear criteria for the identification of dishonest patent application behaviors should be established, the credit restoration mechanism should be improved, and a trust-based incentive system for compliant patent applications should be developed. Third, a differentiated and tiered regulatory system should be constructed, exploring “fault-tolerance and correction” and “whitelist” mechanisms for innovation activities. Fourth, greater emphasis should be placed on fostering an overall innovation culture and establishing well-functioning factor markets to facilitate the efficient allocation and mobility of technology, talent, and other innovation-related resources. | | 查看全文 相关附件： 下载数据代码附录 |
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