【作者】 王玲；

【导师】 朱卫平；

【作者基本信息】 暨南大学 ， 产业经济学， 2022， 博士

【摘要】 当前我国经济正处于“新常态”阶段,国家“十四五”规划把创新摆在了前所未有的新高度,要求“坚持创新在我国现代化建设全局中的核心地位,把科技自立自强作为国家发展的战略支撑”,知识产权保护向来被视为激发企业创新活力、推动经济高质量发展的重要政策工具,是完善创新资源及利益分配机制的关键制度安排。习近平总书记强调,“保护知识产权就是保护创新”,深刻揭示了知识产权与科技创新之间有着紧密的相互促进、融合共生关系。在新发展阶段,我国发明专利申请量已经连续10年领跑全球,彰显着我国知识产权保护所取得的巨大成效。然而,与发达国家相比,我国专利创新指数仍相对较低,创新水平仍亟待提升。不断有研究表明,知识产权保护可能就是技术创新水平提升不确定性的根本来源,知识产权保护力度若是不足则会削弱企业创新积极性,过度的知识产权保护也可能会对企业创新起抑制作用。基于以上研究背景,为全面刻画知识产权的创新效应,研究首先详细阐述了中国知识产权保护政策的发展脉络,明晰中国知识产权保护政策“接轨国际标准——主动适应调整——战略自主发展”的演进逻辑,在系统梳理知识产权创新效应既有研究基础之上,研究运用经济理论准确判断我国知识产权保护所处阶段,并证明最适知识产权保护强度的存在,分别从宏观产业政策、中观市场结构、微观企业组织和全球价值链等多重视角出发,全方位描绘知识产权保护对企业创新的具体影响机制。通过理论分析和实证检验得出如下结论:(1)知识产权保护对企业创新的影响呈显著倒U型,知识产权保护水平在一定程度内的提升能够有效促进企业创新规模的扩大,然而当知识产权保护水平超过相应的阈值之后,过度严格的知识产权保护将对企业创新起显著抑制作用。(2)宏观产业政策方面,加强地方产业政策的实施力度将放大知识产权保护的企业创新激励效应,地方产业政策对知识产权保护创新效应的正向调节作用在东部地区和中部地区更加显著,且非国有企业对地方产业政策与知识产权保护的协同创新促进效应表现更为敏感。(3)市场结构方面,市场竞争度和行业技术密集度都能够与知识产权保护产生互补作用,共同促进企业创新,这种互促关系在东部、中部地区的高技术行业中尤为明显。(4)在微观企业组织层面,与内部治理水平低的企业相比,知识产权保护对内部治理水平高的企业的研发创新激励效应更强;而当企业面临高度的融资约束时,知识产权保护更能够发挥“雪中送炭”的功效,通过缓解信息不对称等路径扶持企业开展创新工作。(5)国际贸易方面,全球价值链过度嵌入显著抑制企业创新意愿,而知识产权保护水平的提升可以有效平缓企业全球价值链嵌入度与企业创新的倒U型关系,使中国企业避免掉入发达国家主导全球价值链体系下的“创新陷阱”,且这种缓和作用在沿海地区和高技术行业表现最为明显。本论文不仅验证了最适知识产权保护强度的存在,更从多个维度详细阐述并验证了知识产权保护对企业创新的具体作用机制,对政府进一步动态优化调整知识产权保护力度,全面激发企业创新活力并推动经济高质量发展具有重要的政策启示。更多还原

【Abstract】 At present,China’s economy is in the stage of "new normal".The National "Fourteenth Five Year Plan" places innovation at an unprecedented height.It requires "adhering to the core position of innovation in China’s overall modernization drive,and taking self-reliance in science and technology as the strategic support for national development".Intellectual property protection has always been regarded as an important policy tool to stimulate the innovation vitality of enterprises and promote high-quality economic development.It is also a key institutional arrangement to improve the distribution mechanism of innovation resources and benefits.General Secretary Xi Jinping emphasized that "to protect intellectual property rights is to protect innovation",It deeply reveals that there is a close mutual promotion,integration and symbiotic relationship between intellectual property rights and scientific and technological innovation.In the new development stage,the application of invention patent has been leading the world for 10 consecutive years,highlighting the great achievements made by our intellectual property protection.However,compared with developed countries,China’s patent innovation index is still relatively low,and innovation quality still needs to be improved.Studies have shown that intellectual property protection may be the fundamental source of uncertainty in improving the quality of technological innovation,and excessive intellectual property protection will inhibit corporate innovation.Based on the above research background,in order to fully describe the innovation effect of intellectual property rights,the study first elaborated the development context of China’s intellectual property protection policies,and clarified the evolution logic of China’s intellectual property protection policies,which is "in line with international standards-actively adapt to adjustment-strategic independent development".Research using the economic theory of accurate judgement of intellectual property protection in China are in phase,and prove the existence of the optimal strength of the protection of intellectual property rights,starting from multiple perspectives such as macro-industrial policy,meso-market structure,micro-enterprise organization and global value chain,it comprehensively describes the specific impact mechanism of intellectual property protection on enterprise innovation.Through theoretical analysis and empirical test,the following conclusions are drawn:(1)Intellectual property protection has a significant inverted U-shaped effect on enterprise innovation.The improvement of the level of intellectual property protection to a certain extent can effectively promote the expansion of the scale of enterprise innovation.However,when the level of intellectual property protection exceeds the threshold,excessively strict intellectual property protection will significantly inhibit corporate innovation.(2)In terms of macro industrial policies,strengthening the implementation of local industrial policies will amplify the enterprise innovation incentive effect of intellectual property protection.The positive regulatory effect of local industrial policies on the innovation effect of intellectual property protection is more significant in eastern and central regions,and non-state-owned enterprises are more sensitive to the collaborative innovation promotion effect of local industrial policies and intellectual property protection.(3)In terms of market structure,both market competition and industry technology intensity can have complementary effects with intellectual property protection and jointly promote enterprise innovation.This mutual promotion relationship is particularly significant in high-tech industries in the eastern and central regions.(4)At the micro enterprise organization level,compared with the enterprises with low internal governance level,the incentive effect of intellectual property protection on R&D innovation is stronger in the enterprises with high internal governance level.When enterprises are faced with high financing constraints,intellectual property protection can play a more effective role of "providing timely assistance",and support enterprises to carry out innovation work by alleviating information asymmetry and other ways.(5)In terms of international trade,the over-embedding of global value chain significantly inhibits the innovation willingness of enterprises,while the improvement of intellectual property protection can effectively smooth the inverted U-shaped relationship between the embeddeddegree of global value chain of enterprises and enterprise innovation,so that Chinese enterprises can avoid falling into the "innovation trap" under the global value chain system dominated by developed countries.The moderating effect is most pronounced in coastal areas and high-tech industries.This paper not only verify the existence of the optimal strength of the protection of intellectual property rights,more detail from multiple dimensions and verify that the protection of intellectual property rights the specific mechanism of action of enterprise innovation.It has important policy implications for the government to further dynamically optimize and adjust the protection of intellectual property rights,fully stimulate the innovation vitality of enterprises and promote highquality economic development.更多还原