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论文编号：	13095
作者编号：	1120170893
上传时间：	2022/6/6 16:31:16
中文题目：	知识产权保护法治化背景下的企业创新投资研究——基于制度理论的视角
英文题目：	Research on Enterprise Innovation Investment under the Background of the Legalization of Intellectual Property Protection: From the Perspective of Institutional Theory
指导老师：	李莉 教授
中文关键字：	知识产权保护法治化；文化因素；投资机会；企业创新投资
英文关键字：	Legalization of Intellectual Property Protection; Culture; Investment Opportunity; Enterprise Innovation Investment
中文摘要：	在我国深入推进创新驱动发展的过程中，经济发展取得了一系列令世界瞩目的重大成绩，并在全球保持领先地位，产业链优势和韧性不断提升，国家科技创新力量也正加快发展。但由于国内外复杂形势，全球经济复苏和产业发展的不确定性仍然较大，使得全球各国在发展的过程中更加注重科技创新的重要作用。创新关系到能否在未来的科学技术和产业发展中赢得先机。而企业便是国家能否实现创新发展的关键力量之一。进一步提升企业的自主创新能力，激发其加大创新投资的意愿，这不仅影响到我国产业升级的路径，也关系到我国的国际竞争力。 企业创新投资是一项长周期、高风险的活动（Holmstrom，1989），需要合理的制度环境作为前提和动力，从而在一定程度上降低企业在创新过程中所遇到的不确定性风险（陈德球，2017）。为全面提升企业的创新成效，我国政府陆续实施了一系列针对企业创新的制度供给，由此形成了良好的创新支持制度环境。在国家正式制度环境中，与企业创新投资更为密切相关的制度之一，便是知识产权保护制度。目前我国知识产权保护立法工作取得显著成效，法律法规体系已经较为完备。但伴随着我国从后发追赶向超越追赶阶段迈进，某些行业和技术已实现赶超、处于引领地位，以及在我国深入推进对外开放、从建设“一带一路”再到应对中美贸易冲突过程中，未来更需要关注的是提升知识产权保护法治化水平以服务于企业创新发展。已有关于知识产权保护对企业创新的研究，仍聚焦在法制建设层面，虽然在法治工作层面，已开始探讨知识产权司法保护对企业创新的影响，但主要从实践层面论述二者之间的关系，虽有基于信息不对称、外部性、代理问题、不确定性等理论视角进行探讨，但缺乏系统性的理论框架；而且知识产权保护法治化工作不仅是司法保护，更应该是多方主体参与、协同保护的知识产权大保护格局（易继明，2021），但现有研究并未对此有效整合。关于知识产权保护对企业创新的影响研究，目前主要有“激励效应”、“挤出效应”和“分情境讨论”三种不同的观点，尚未形成统一结论，且有待进一步发掘更具体的影响路径。本文试图基于制度理论，探讨知识产权保护法治化背景下的企业创新投资问题，通过将知识产权司法保护、行政保护、社会保护和公众个人保护意识等均纳入到统一的分析框架及指标构建中，并具体分析法治化过程中“知识产权法院设立”、“知识产权司法保护和行政保护协同效应”以及“策略性专利诉讼”三个相关问题，从而更全面地探讨知识产权保护法治化对企业创新投资的影响效应。同时本文借助企业微观数据，结合理论分析和实证检验方法，基于机制检验和异质性检验，从而更系统地阐释知识产权保护法治化如何影响企业创新投资的相关问题。 此外，按照理论研究的观点，市场经济是法治经济，通过健全法律保障可以规范金融市场和推动经济发展（La Porta et al，1997；La Porta et al，1998）。而企业创新投资的积极性也只有在创新活动和创新成果得到较完备法律保护的前提下才会提高（陈国宏和郭弢，2008）。但我国知识产权保护法治化是一个不断建设发展的、动态变迁过程。在早期呈现出知识产权保护水平薄弱、执法力度不强、保护意识不够等问题，即使现阶段知识产权保护法治工作已取得巨大成果，但仍然存在侵权易发、新型疑难案件增加等问题。但与此同时，我国企业的创新投资一直在持续增长。在知识产权保护法治化影响企业创新投资的路径中，是否存在其他因素同样起作用？本文研究发现，在中国深厚历史和人文土壤中所形成的独特文化，以及我国经济转型中所涌现的投资机会，便是影响这一路径的两个关键因素。已有研究认为文化为代表的非正式制度环境会影响到企业创新投资的积极性（徐细雄和李万利，2019）；投资机会通过吸引资源集聚影响企业创新投资的绩效（于晓宇和陈依，2019）。从现实情况看，中国企业的创新发展也与文化为代表的非正式制度环境演进和投资机会涌现紧密相关，且二者均对知识产权保护法治化作用的发挥存在显著影响。因此本文在探讨知识产权保护法治化背景下的企业创新投资问题时，还考察了文化因素与投资机会的调节作用。 基于以上解释路径，本文选择构建知识产权保护法治化指数，作为法治化建设进程的代理变量并进行实证检验。在制度可以发挥同构性约束作用的前提下，研究结果如下：知识产权保护法治化能够显著促进企业创新投资，其中对民营企业和高科技企业的创新促进作用更强，且更能激发其实施高质量创新的意愿；而且提升知识产权保护法治化水平以促进企业创新投资是通过强制性同构、模拟性同构和规范性同构三种方式，并具体表现为法律环境路径、资金获取路径、知识溢出路径和市场规范路径四种机制来实现；通过进一步探讨知识产权保护法治化建设进程中的相关衍生问题，发现知识产权法院的设立是制度变迁过程中一次关键性的制度跃迁，能够激发企业创新投资的活力；在我国知识产权保护“双轨制”实施的过程中，应该更好地发挥知识产权司法保护和行政保护的协同作用，才能够更大化地实现创新激励效应；以及专利非实施主体的策略性专利诉讼行为，会干扰正常的专利市场秩序，影响企业创新活动的开展，未来需要更加精准施策；通过引入文化认同的视角发现，高权力距离和集体主义文化能够正向调节知识产权保护法治化对企业创新投资的促进作用，宗族文化会起到负向调节作用，以及北方文化和海洋文化能够更好地助力知识产权保护法治化的创新激励作用发挥；最后引入投资机会的视角发现，投资机会是企业面对不确定性环境时所依赖的关键资源，能够高效助力正式制度作用的发挥，投资机会繁荣程度越高、发展前景越好、持久性越强，越能够正向调节知识产权保护法治化对企业创新投资的促进作用。 本文的创新之处在于：首先，将制度理论嵌入到知识产权保护法治化的创新激励效应的研究框架当中，并详细阐释了知识产权保护法治化影响企业创新投资的作用路径，拓展和深化了制度理论的研究框架；其次，基于中国独特的文化情境，引入文化认同理论，深入剖析文化作为非正式制度如何影响正式制度创新激励作用的发挥，更深刻地认识了制度理论中，非正式制度对正式制度的塑造作用，并利用微观层面企业的创新投资数据进行检验；其三，对中国经济转型发展过程中所涌现的投资机会展开情境化解读，并结合资源依赖理论，考察了投资机会作为企业创新发展所依赖的重要资源，如何影响正式制度作用的发挥并影响到企业创新投资。 本文结构安排如下：第一章介绍论文的研究背景、主要问题、研究意义、核心概念、创新之处等；第二章梳理相关理论与相关文献，并简要评述；第三章围绕核心研究问题介绍制度背景，给出本文的总体研究框架；第四章知识产权保护法治化与企业创新投资实证分析；第五章关于知识产权保护法治化建设中相关衍生问题的探讨：包括知识产权法院的设立、知识产权司法保护和行政保护的协同效应，以及策略性专利诉讼行为的影响；第六章基于文化因素与投资机会的调节作用检验；第七章结论与展望，全文梳理归纳，给出建议启示，分析不足，提出展望。
英文摘要：	In the process of promoting innovation-driven development, China has made a series of major achievements in economic development that has attracted the world’s attention, and has maintained a leading position in the world. The strength and resilience of the industrial chain have been increasing, and the national strength in scientific and technological innovation is also improving. However, due to the complex situation at home and abroad, there are still great uncertainties in the global economic recovery and industrial development, which makes countries around the world pay more attention to the important role of scientific and technological innovation in the process of development. Innovation is related to whether we can grasp the opportunity in the future development of science, technology and industry. And enterprise is one of the key forces for the country to achieve innovative development. Further enhancing the independent innovation ability of enterprises and stimulating their willingness to increase innovation investment will not only affect the path of China’s industry upgrading, but also be related to China’s international competitiveness. Enterprise innovation investment is a long-cycle, high-risk activity, which requires a reasonable institutional environment as the premise and motivation, so as to reduce the uncertain risks encountered by enterprises in the process of innovation. In order to comprehensively improve the innovation effect of enterprises, Chinese government has implemented a series of institutional supply for enterprise innovation, thus forming a good institutional environment for supporting innovation. In the national formal institutional environment, one of the institutions more closely related to enterprise innovation investment is the intellectual property protection system. At present, the legislative work of intellectual property protection in China has achieved remarkable results, and the legal system has been relatively complete. But along with our country’s development from catch-up stage to beyond catch-up stage, certain industries and technology have caught up the developed countries’ development and has gained the leading position, and further promoting the opening to the outside world, from constructing the The Belt and Road initiative to dealing with Trade Disputes between China and the United States, in the future we need to be more concerned about enhancing the level of intellectual property protection under the rule of law to serve the enterprise innovation and development. Existing research on the influence of intellectual property protection on the enterprise innovation, is still focused on the legal system construction level. As for the rule of law, although some researchers have started to analyze the impact of intellectual property judicial protection on the enterprise innovation, they mainly discuss the practice aspect of the relationship between the intellectual property judicial protection and the enterprise innovation. They have chosen Asymmetric Information Theory, Externality Theory, Agency Theory and Uncertainty Theory to explore the above relationship, but there is still lack of complete and systematic theoretical framework. Moreover, intellectual property protection under the rule of law is not only judicial protection, but also a large-scale pattern of intellectual property protection with the participation of multiple subjects and collaborative protection. However, existing studies have not effectively integrated these aspects. At present, there are mainly three different viewpoints on the influence of intellectual property protection on enterprise innovation: incentive effect, crowding out effect and context-specific discussion, but no unified conclusion has been reached and more specific influence paths need to be further explored. Based on Institutional Theory, this paper attempts to discuss the issue of enterprise innovation investment under the background of intellectual property protection under the rule of law. By incorporating judicial protection, administrative protection, social protection and public awareness of individual protection into a unified analytical framework and index construction, this paper analyzes three related issues in the process of rule of law: establishment of intellectual property court, synergistic effect of judicial protection and administrative protection of intellectual property and strategic patent litigation, so as to explore the effect of intellectual property protection under the rule of law on enterprise innovation investment in a more comprehensive way. At the same time, with the help of enterprise micro data, combined with theoretical analysis and empirical test methods, based on mechanism test and heterogeneity test, this paper systematically explains how the intellectual property protection under the rule of law affects enterprise innovation investment. In addition, according to theoretical research, market economy is an economy ruled by law, and financial market can be regulated and economic development can be promoted through sound legal guarantee. The enthusiasm of enterprises’ innovation investment will be improved only when their innovation activities and achievements are fully protected by law. However, the intellectual property protection under the rule of law in China is a dynamic process with continuous construction and development. In the early stage, there were problems such as weak level of intellectual property protection, weak law enforcement and insufficient awareness of protection. Even though great achievements have been made in the work of intellectual property protection under the rule of law at the present stage, there are still problems such as easy infringement and the increase of new difficult cases. But at the same time, the innovation investment of Chinese enterprises has been growing continuously. Are there other factors that also play important roles in the way that the intellectual property protection under the rule of law affects the enterprise innovation investment? This paper has found out that the unique culture formed in China’s long history, and the investment opportunities emerging in China’s economic transformation are two key factors influencing this path. Previous studies suggest that informal institutional environment represented by culture will affect the enthusiasm of enterprise innovation investment. Investment opportunities influence the performance of enterprises’ innovation investment by attracting resources agglomeration. In reality, the innovation development of Chinese enterprises is also closely related to the evolution of informal institutional environment represented by culture and the emergence of investment opportunities, and both of them have a significant impact on the intellectual property protection under the rule of law. Therefore, this paper examines the moderating effect of cultural factors and investment opportunities on the influence of intellectual property protection under the rule of law on enterprise innovation investment. Based on the above interpretation path, this paper has chosen to construct the index of intellectual property protection under the rule of law as a proxy variable of the process of the rule of law construction and has carried out empirical test. On the premise that the institution can play the role of isomorphism constraint, the research results are as followed. The intellectual property protection under the rule of law can significantly promote the enterprise innovation investment, among which the innovation promotion effect on private enterprises and high-tech enterprises is stronger, and it can better stimulate their willingness to implement high-quality innovation. In addition, there are three ways to improve the influence of intellectual property protection under the rule of law on promoting the enterprise innovation investment: mandatory isomorphism, analog isomorphism and normative isomorphism, which are embodied in four mechanisms: legal environment path, capital acquisition path, knowledge spillover path and market norm path. By further discussing the related derivative problems in the process of the intellectual property protection under the rule of law, we have found that the establishment of intellectual property court is a key institutional transition in the process of institutional change, which can stimulate the vitality of enterprise innovation investment. In the process of implementing the Dual Track System of intellectual property protection in China, the synergy of judicial protection and administrative protection of intellectual property should be better played, so as to realize the innovation incentive effect more greatly. As well as the strategic patent litigation behavior of non-patent implementers, it will interfere with the normal patent market order and affect the development of enterprises’ innovation activities, which requires more precise measures in the future. With the introduction of the perspective of cultural identity, we have found that the higher power distance and collectivism culture can positively regulate the influence of intellectual property protection under the rule of law on promoting enterprise innovation investment, clan culture will have a negative regulatory role, and the northern culture and Marine culture can better help the intellectual property protection under the rule of law promote enterprise innovation. Through introducing the perspective of investment opportunities, we have found that the investment opportunity is the key resource which enterprise depends on in the face of uncertainty environment, and can efficiently help formal institution promote the enterprise innovation investment. The higher the degree of investment opportunity prosperity, the better the investment opportunity prospects for development, the more the investment opportunity persistent, the investment opportunity can better positively regulate the influence of intellectual property protection under the rule of law on promoting the enterprise innovation investment. The innovation points of this paper are as followed. Firstly, the Institutional Theory is embedded into the research framework of the innovation incentive effect of the intellectual property protection under the rule of law, and the effect path of the intellectual property protection under the rule of law on enterprise innovation investment is explained in detail, which has expanded and deepened the research framework of the Institutional Theory. Secondly, based on China’s unique cultural context, the Cultural Identity Theory is introduced to analyze how culture as an informal institution, influences innovation incentive roles played by formal institution, which can help us better understand the influence of informal institution shaping the formal institutions in the Institutional Theory, and we have used the micro enterprises investment data to test the influence. Thirdly, this paper analyzes the situation of investment opportunities emerging in the process of economic transformation and development in China, and examines how investment opportunities, as important resources that enterprises rely on for innovation and development, influence the role of formal institutions and influence enterprises’ innovation investment combined with Resource Dependence Theory. The structure of this paper is as followed. The first chapter introduces the research background, main problems, research significance, core concepts, innovation points. The second chapter reviews the relevant theories and literatures. The third chapter introduces the institutional background around the core research issues and gives the overall research framework of this paper. The fourth chapter is an empirical analysis of the intellectual property protection under the rule of law and enterprise innovation investment. Chapter five discusses the related derivative issues in the construction of intellectual property protection under the rule of law, including the establishment of intellectual property court, the synergistic effect of judicial protection and administrative protection of intellectual property, and the influence of strategic patent litigation. Chapter six examines the moderating effect of cultural factors and investment opportunities. The seventh chapter is the conclusion and prospect, which summarizes the whole text, gives suggestions and enlightenment, analyzes deficiencies and puts forward prospects.
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