• 中国科学学与科技政策研究会
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  • 清华大学科学技术与社会研究中心
ISSN 1003-2053 CN 11-1805/G3

科学学研究 ›› 2025, Vol. 43 ›› Issue (9): 2005-2016.

• 前沿与观点 • 上一篇    

中国专利奖的光环与溢出效应

孙震1,郭佳钰2,李习保3   

  1. 1. 清华大学社会科学学院经济学研究所
    2. 清华大学社科学院
    3. 清华大学经济管理学院
  • 收稿日期:2024-07-12 修回日期:2024-11-16 出版日期:2025-09-15 发布日期:2025-09-15
  • 通讯作者: 李习保

he Halo and Spillover Effects of the China Patent Award

  • Received:2024-07-12 Revised:2024-11-16 Online:2025-09-15 Published:2025-09-15
  • Contact: Xibao 无Li

摘要: 本文考察专利在获得一项倍受认可的奖项之后,地位提升对其关注度与评价的影响,并分析了相关的溢出效应。动态回归模型的实证分析发现,获奖专利在地位提升后,获得了更多的引用,表明其产生更多的溢出效应。同时,获奖专利的申请人整体地位亦得到提升,尤其是在获奖领域内,早期专利的引用数量明显增加。此外,本文分别通过专利的IPC分类和相似度指数两个途径筛选出与获奖专利研究内容相似的其他专利,发现这些相似专利在获奖后同样获得更多的引用,且专利与获奖专利的相似程度越高,所受的正面溢出效应越显著。本文的发现表明,技术领域同样表现出强烈的光环和溢出效应,政府奖项的颁布可以显著的塑造技术的走向。

Abstract: Research on status-related "halo effects" and biases has extensively examined how recognition influences perceptions in various fields. This paper investigates the impact of status elevation on patent recognition following a prestigious award and explores related spillover effects. Specifically, we analyze how receiving the esteemed China Patent Award—a top-level national honor—affects the awarded patent’s citation rate and the spillover effects on the award recipient and related research domains. The China Patent Award, jointly administered by the China National Intellectual Property Administration (CNIPA) and the World Intellectual Property Organization (WIPO), is the most significant national-level award recognizing innovation within authorized patents. Established in 1989 and conferred annually since 2009, this award acknowledges inventions recommended by governmental bodies, intellectual property offices, and industry associations. Evaluative criteria for the award encompass four dimensions: (1) inventiveness, practicality, and text quality of the patent; (2) originality, significance, and applicability of the technology; (3) economic benefits, market share, and protection measures; and (4) social impact, influence within the industry, and alignment with national policy goals. To examine how status elevation affects recognition, we analyze the change in the number of annual forward citations before and after the award as an indicator of patent attention and perceived value. Focusing on the period four years before the award, the award year, and four years after the award, we use longitudinal citation data to assess changes due to the award’s influence. Our dataset includes invention patents awarded between 2007 and 2014, ensuring at least four years of post-award citation data. Additionally, we employ Propensity Score Matching (PSM) to match each awarded patent with a control patent filed in the same year, closely matched in quality, technological field, and pre-award citation rate. This approach enables a reliable comparison by minimizing differences in inherent patent quality, allowing us to isolate the impact of the award on citation outcomes. Our findings reveal a significant increase in citations for awarded patents, beginning in the award year and persisting for at least four years, indicating a sustained boost in visibility and valuation within the innovation ecosystem. This "halo effect" extends beyond the awarded patent, positively affecting the award recipient’s broader work within the awarded patent’s field. For the awardees, this recognition increases the visibility and perceived importance of their research, particularly in the awarded patent’s domain. Conversely, this spillover effect is weaker for the recipient’s patents in unrelated fields, suggesting that the halo effect is domain-specific. We also investigate whether this status effect extends to patents in adjacent fields. Using primary International Patent Classification (IPC) codes and a machine-learning-based similarity index, we identify patents closely related to the awarded patents. Both methods confirm that the award generates positive spillover effects on similar patents, with the intensity of the effect correlating with the degree of similarity: the closer a patent’s content is to the awarded patent, the stronger the positive spillover effect it experiences. This finding suggests that status elevation from patent awards not only enhances attention to the awarded patents but also indirectly benefits other patents within similar research areas. Overall, our study demonstrates that the status elevation from receiving the China Patent Award not only raises the recognition and valuation of the awarded patent itself but also significantly enhances the profile of the recipient and positively impacts patents within related fields. These results highlight the potential for government-led awards to act as policy tools, providing recognition that promotes broader research and development within strategically significant fields. By strategically recognizing patents, governments may effectively guide and support innovation in targeted areas, leveraging awards as mechanisms for encouraging scientific advancement and fostering growth within high-priority sectors.