知识产权维权保护、创新风险和企业研发外包——基于“专利保险试点”政策的微观检验  

Intellectual Property Rights Protection,Innovation Risk,and Firms'R&D Outsourcing:A Micro-Level Examination Based on the Patent Insurance Pilot Policy

作　　者：孙浦阳 栾泽华 于春海[1] Sun Puyang;Luan Zehua;Yu Chunhai(School of Economics,Renmin University of China)

机构地区：[1]中国人民大学经济学院

出　　处：《管理世界》2025年第2期142-160,共19页Journal of Management World

基　　金：国家社会科学基金重大项目“建设更高水平开放型经济新体制研究”(批准号:21ZDA092);教育部基地重大项目“百年变局下的世界经济及中国与世界经济关系研究”(批准号:20231JY0103)的资助。

摘　　要：研发外包已经逐渐成为企业的一种重要创新方式,但其过程中往往存在外部技术泄露的创新风险。本文构建了我国企业研发外包的面板数据,并以2012年实施的专利保险试点政策作为准自然实验,探究了对知识产权的维权保护会如何影响企业的研发外包。研究结果表明:(1)试点政策开始后,与控制组企业相比,处理组企业的研发外包支出增长了6.14%~7.53%;(2)通过安慰剂检验、工具变量等一系列方法进行检验后,基准回归的结果依然稳健;(3)使用司法数据的检验结果表明,试点政策的冲击有效保护了企业的知识产权维权;(4)机制分析发现,政策降低了企业的创新风险,从而对研发外包起到促进作用;(5)进一步分析显示,维权保护同时在广延边际和集约边际上促进了企业的研发外包,并且具体效果与自主研发的情况密切相关。本文对我国企业的研发外包及其面临的创新风险展开了实证研究,为进一步有效推进我国企业创新、建设科技强国提供了有价值的微观证据。Research and development(R&D)outsourcing has gradually become an important innovation strategy for enterprises,yet it often entails innovation risks such as external technology leakage.This paper constructs a panel dataset on R&D outsourcing by Chinese enterprises for the first time and uses the patent insurance pilot policy implemented in 2012 as a quasi-natural experiment to explore how intellectual property(IP)protection influences R&D outsourcing.The findings are as follows.(1)After the policy's implementation,R&D outsourcing expenditures of the treated group increased by 6.14%to 7.53%compared to the control group.(2)The baseline regression results remain robust after a series of tests,including placebo tests and instrumental variable analysis.(3)Judicial data analysis indicates that the policy effectively safeguarded enterprises'IP rights.(4)Mechanism analysis shows that the policy reduced innovation risks for enterprises,thereby promoting R&D outsourcing.(5)Further analysis demonstrates that IP protection fosters R&D outsourcing both at the extensive and intensive margins,with the specific effects closely tied to enterprises'internal R&D activities.This paper provides the first empirical study on R&D outsourcing and its associated innovation risks in Chinese enterprises,offering robust micro-level evidence to support the promotion of enterprise innovation and the building of a technology-driven nation.

关 键 词：研发外包 知识产权维权 创新风险 市场竞争 自主研发 

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