企业出口、竞争效应与自主技术创新  

Corporate Export, Competitive Effect and Independent Technological Innovation

作　　者：吴朝阳[1] 陈雅 WU Zhao-yang;CHEN Ya(Jiangxi University of Finance and Economics,Nanchang 330013,China)

机构地区：[1]江西财经大学国际经贸学院,江西南昌330013

出　　处：《当代财经》2020年第8期114-127,共14页Contemporary Finance and Economics

基　　金：国家自然科学基金项目“广义Armington替代弹性模型的拓展构造与中国贸易发展的预期应用研究”(71773042);国家社会科学基金项目“规制经济学视角下多边贸易体制改革及其对策研究”(19BJL106);国家自然科学基金项目“贸易便利化对中国企业出口行为影响的经验分析”(71863013)﹔国家社会科学基金项目“‘一带一路’战略下中国贸易便利化水平测度与提升路径研究”(16CJL044));江西省研究生创新专项资金资助项目“‘一带一路’倡议下国际贸易对股票市场一体化的影响研究”(YC2018-B052)。

摘　　要：合并2000-2011年中国企业专利申请数据库和中国工业企业数据库,以企业层面的发明专利、实用新型专利、外观设计专利作为自主技术创新的代理指标,使用倾向得分匹配-双重差分方法研究企业出口是否存在引致创新作用,测度这一作用在自主技术创新的数量与质量方面产生的不同影响。结果表明:总体上,出口引致自主技术创新数量的增长和质量的降低;结构上,高技术企业、外资企业、国有企业和私营企业的外观设计专利质量因出口而提高,其余情况下的其他种类专利质量均因出口而降低,同时,专利数量均因出口而提高。进一步的机制检验表明:出口对自主技术创新的影响是通过竞争效应实现的,出口市场竞争的加剧及专利扶助政策的不完善导致专利数量上升、质量下降。因此,既应该鼓励出口,发挥竞争的积极作用,“倒逼”企业创新,增加创新的“量”,又应该完善我国专利审批制度及扶助政策,缓解竞争的消极作用,提高创新的“质”。By combining the patent application database of Chinese enterprises and the database of Chinese industrial enterprises from year 2000 to 2011, this paper takes the invention patents, utility model patents and design patents at the enterprise level as the agency indicators of independent technological innovation, and it employs the propensity-score matching and difference-in-difference methods to study whether the export of enterprises leads to innovation, then it also measures the different impacts of this effect on the quantity and quality of independent technological innovation. The results show that, as a whole, exports can lead to the improvement of the quantity of independent technological innovation and the decrease of the quality;structurally, the quality of design patents of high-tech enterprises, foreign-funded enterprises, state-owned enterprises and private enterprises is improved due to their exports, while the quality of patents of other kinds in other cases is reduced due to their exports, at the same time, the quantity of patents is improved by their exports. The results of further mechanism test show that the impact of export on independent technological innovation is realized through competition effect. The aggravation of export market competition and the imperfection of patent support policy lead to the increase of patent quantity and the decrease of quality. Therefore,we should not only encourage exports, take advantage of the positive side of competition, force the enterprises to carry out innovation, and increase the quantity of innovation, but also improve China’s patent examination and approval system and the supporting policies to alleviate the negative effects of competition and improve the quality of innovation.

关 键 词：出口 竞争效应 创新数量 创新质量 

分 类 号：F752[经济管理—国际贸易]