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| 专利保险对企业研发投入的影响研究
摘要
习近平总书记在党的十九大报告中指出,“创新是引领发展的第一动力，是建设现代化经济体系的战略支撑”。同时，党的十九大报告进一步明确了，加快创新型国家的建设就要把创新放在经济社会发展的重要地位上，创新驱动在中国新的发展历程上将发挥着越来越重要的战略支撑作用。影响企业自主创新的因素有很多，比如国家对专利权的保护力度、公平竞争的市场环境、广大企业的研发积极性、政府鼓励自主创新的政策等。然而，企业进行自主创新的前提是其自主创新的经济收益大于成本，否则企业是没有动力去进行自主创新的，因此做好企业创新研发保护对其自主创新活动显得尤为重要。
于企业而言，通过自主创新获得的专利权往往得不到有效保护，被侵权是无法避免的，然而专利维权成本又过高。面对高昂的维权费用，部分被侵权企业尤其是中小型企业往往会选择放弃维权，直接打击企业的创新积极性，进而致使企业减少自主创新的研发投入，不利于我国创新型国家的建设。为了优化企业的创新环境，激励企业的研发积极性，我国自2012年起开始了专利保险的试点工作。其目的是通过保险的方式转移企业专利被侵权的风险损失，在提升我国专利权保障水平的同时，也能不断激励企业的创新积极性，提高企业研发投入水平，为我国创新型国家的建设保驾护航。但是，专利保险试点政策的实施是否实现了对我国企业研发投入的激励作用，专利保险对企业研发投入的影响机制是怎样的？这些问题在现有的研究文献中我们尚无法得出清晰的结论。
因此，本文以自2012 年开始的专利保险试点政策的实施情况作为准自然实验（近似于完全随机实验）。通过选择合适的样本利用双重差分估计模型来进行实证检验，本文以 2008-2019年非金融类上市公司为研究样本，通过理论分析和实证分析相结合的方式，系统地分析了专利保险的推行对企业研发投入的影响大小和作用机制。研究结果发现：（1）专利保险政策的实施对企业的自主创新活动有显著的促进作用。从促进企业自主创新投入的角度来看，在专利保险实施后，有效激励了企业进行研发投入；同时，倾向得分匹配法（PSM）法对实证回归结果进行了稳健性检验，通过这种方法减缓了实证分析中存在的内生性问题，来确保实证结果的准确性。（2）专利保险的实施大大减轻了企业的融资压力，进而激励企业的研发投入，证明了政策的实施对企业融资约束影响显著。以上实证研究验证了专利保险政策的实施对企业创新的促进作用，证明了推行专利保险政策的实施效果很好，达到了政府部门通过建立保险制度降低企业的专利维权费用的目的。最后建议从以下四个角度来完善我国的专利保险制度：第一，建立健全我国专利权价值评估方法，在评估专利权的价值时充分考虑专利的种类、专利的内容范围、专利权的有效性、研发成本以及许可情况等在不同程度上对专利权的价值产生的影响；第二，加大专利保险宣传和研发力度，保险公司需要尽快研发专利保险险种同时利用互联网营销工具来加大宣传力度；第三，完善专利风险评估机制，投保专利保险企业应该与保险公司充分合作共同建立专利风险管理机制，在专利风险管理上充分发挥各自的优势来降低风险；第四，采用强制性专利保险模式并引入专利再保险机制帮助保险公司分担风险，从而使专利保险更加健康地、稳定地发展。
关键词：专利保险；研发投入；企业创新；专利保护
Abstract
As General Secretary Xi Jinping pointed out in his report to the 19thCPC National Congress, "Innovation is the primary driving force for development and the strategic support for building a modernized economy." At the same time, the report of the 19th CPC National Congress further clarified that to accelerate the construction of an innovation-oriented country,innovation should be placed in an important position in economic and social development, and innovation-driven development will play an increasingly important strategic supporting role in the new course of China's development. There are many factors affecting the independent innovation of enterprises,such as the national protection of patent rights,fair competition market environment, the R&D enthusiasm of the majority of enterprises, government policies to encourage independent innovation and so on. However, the premise of independent innovation is that the economic benefit of independent innovation is greater than the cost,otherwise the enterprise will not be motivated to carry out independent innovation. Therefore, it is particularly important to do a good job in the protection of enterprise innovation research and development for its independent innovation activities.
For enterprises, patent rights obtained through independent innovationoften cannot be effectively protected, and infringement is inevitable. However, the cost of patent rights protection is too high.Faced with the high cost of rights protection, some infringed enterprises,especially small and medium-sized enterprises,often choose to give up their rights protection, which directly impair the innovation enthusiasm of enterprises, and further reduce the R&D investment of independent innovation, which is not conducive to the construction of an innovation-oriented country in China. In order to optimize the innovation environment of enterprises andstimulate the enthusiasm of enterprises in research and development, China has started the pilot work of patent insurance since 2012. Its purpose is to transfer the risk loss of patent infringement of enterprises by means of insurance, so as to improve the level of patent protection in China, and at the same time,to continuously stimulate the innovation enthusiasm of enterprises,improve the level of R&D investment of enterprises, and escort the construction of an innovation-oriented country in China. However, whether the implementation of patent insurance pilot policy has realized the incentive effect on the R&D investment of Chinese enterprises,and what is the influence mechanism of patent insurance on the R&D investment of enterprises? We have not been able to draw clear conclusions about these issues in the existing research literature.
Therefore, this paper takes the implementation of patent insurance pilot policies since2012 as a quasi-natural experiment (approximately a completely randomized experiment). By selecting appropriate samples and using the differential estimation model to carry out empirical test, this paper takes non-financial listed companies from 2008 to 2019 as research samples and systematically analyzes the impact and mechanism of the implementation of patent insurance onenterprise R&D investment through the combination of theoretical analysis and empirical analysis. The results show that :(1) the implementation of patent insurance policy has a significant promoting effect on the independent innovation activities of enterprises. From the perspective of promoting enterprises' investment in independent innovation,after the implementation of patent insurance, it effectively encourages enterprises to invest in R&D. At the same time, the propensity score matching method (PSM) was used to test therobustness of empirical regression results,and the endogeneity problem in empirical analysis was mitigated by this method to ensure the accuracy of empirical results. (2) The implementation of patent insurance greatly reduces the financing pressure of enterprises, and then stimulates the R&D investment of enterprises,which proves that the implementation of policy has a significant impact on the financing constraints of enterprises. The above empirical studies have verified the promotion effect of the implementation of patent insurance policy on enterprise innovation,and proved that the implementation effect of patent insurance policy is very good, and the government department has achieved the purpose of reducing the cost of patent rights protection of enterprises by establishing an insurance system. Finally Suggestions from the following four angles to perfect our country's patent insurance system: first, to establish and perfect our country's patent value evaluation method,when evaluating the value of patents give full consideration to the types of patents, patent scope of content, the validity of the patent right,research and development costs and licensing conditions in different degree of influence on the value of the patent right; Second, strengthen the publicity and research and development of patent insurance. Insurance companies need to develop patent insurance types as soonas possible and use Internet marketing tools to increase publicity. Third, improve the patent risk assessment mechanism,patent insurance companies should fully cooperate with the insurance company to jointly establish a patent risk management mechanism,in the patent risk management to give full play to their advantages to reduce risks; Fourthly, adopting compulsory patent insurance mode and introducing patent reinsurance mechanism to help insurance companies share risks, so that patent insurance can develop more healthily and stably.
Key words: Patent insurance ; R&d spending ; Enterprise innovation; Patent protection
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