限制人才流动与企业知识溢出和共享:基于专利中隐藏发明人的视角  

Restricting Talent Mobility and Knowledge Spillover and Sharing of Enterprises:An Analysis on Hidden Inventors in Patents

作　　者：李孜 窦钱斌 王元地 LI Zi;DOU Qianbin;WANG Yuandi(School of Economics,Anhui University;Institute of Advanced Technology,University of Science and Technology of China;Institute of Intellectual Property,University of Science and Technology of China;School of Public Affairs,University of Science and Technology of China)

机构地区：[1]安徽大学经济学院 [2]中国科学技术大学先进技术研究院,230000 [3]中国科学技术大学知识产权研究院,230000 [4]中国科学技术大学公共事务学院,230000

出　　处：《经济理论与经济管理》2025年第3期131-148,共18页Economic Theory and Business Management

基　　金：安徽省哲学社会科学规划项目(AHSKQ2019D107)的资助。

摘　　要：人才流动与知识溢出和共享对创新与发展新质生产力至关重要。我国应如何平衡竞业限制与人才合理流动,促进企业知识溢出和共享,是亟待研究的问题。本文基于专利中隐藏发明人的企业策略构建理论框架,论证当企业施行抢占性研发并申请专利时,为避免直接竞争对手挖走发明人,会将发明人隐藏起来,但被隐藏的人才仍可跳槽到其他企业。所以,隐藏发明人是较弱的竞业限制。在均衡中,专利中隐藏发明人还为专利的知识溢出和共享提供了可靠信号。本文使用2002—2022年我国专利数据,构建企业专利“新”知识溢出的测度,实证检验了理论预测和相关机制。结果说明,较弱的人才流动限制有助于提升企业知识溢出和共享,进而提升高技术行业的创新能力。本文提出关于如何优化人才流动限制的若干建议。Talent mobility and knowledge spillover and sharing are crucial for innovation and new quality productive forces.However,to maintain competitive advantage,enterprises often adopt measures to restrict talent mobilities.Non-compete clauses become common.In China,companies may also use strategies of hiding inventors in patents.By concealing the actual contributors to new technologies,companies can reduce the risk of their talent being poached.This paper builds an industrial organization model to analyze how companies deal with the operational issues arising from hiding inventors in the innovation process.The theory examines whether a company can hide inventors as part of its preemptive strategy when expanding into new technological areas.Expansion in a company's R&D field often encroaches on those of other companies,i.e.,preemptive R&D.Hiding inventors limits the risk of other companies poaching talent,thus safeguarding the company's competitive advantage.Additionally,hiding inventors provides a reliable signal for knowledge spillover and sharing under the patent system.Hence it enhances the overall innovation of the industry.This paper also provides a measure of“new”knowledge spillover from patents of any firm,which characterizes the technology sharing between enterprises.The measure using patent citing data,is independent of other unobservable factors related to hidden inventors.It directly identifies the quantity of firms'knowledge which enhances the innovations of others.Hence the measure makes our analysis on industrial innovation capacity clearer.Using patent data of China between 2002 and 2022,this paper empirically analyzes the impact of hidden inventors on high-tech industries.The empirical results,based on a staggered DID framework,indicate that companies with hidden inventors exhibit stronger new knowledge spillover and sharing effects.Further mechanism tests show that hiding inventors helps companies preemptively enter other R&D fields and reduces reliance on their past technologies.It also improves

关 键 词：竞业限制 知识溢出和共享 专利 隐藏发明人 

分 类 号：F273.1[经济管理—企业管理]