企业专利申请、出口与生产率动态  

Firm Patent Applications, Exports and Productivity Dynamics

作　　者：王永进[1] 刘卉 Wang Yongjin;Liu Hui

机构地区：[1]南开大学经济学院国际经济贸易系,300071

出　　处：《世界经济》2021年第6期123-150,共28页The Journal of World Economy

基　　金：国家自然科学基金面上项目(72073073)的资助。

摘　　要：本文构建了一个包含企业出口、研发决策和专利申请的动态结构模型,并采用中国工业企业数据库、专利申请数据库以及海关数据库,研究了专利申请和出口对企业生产率的动态影响。研究发现,企业的出口参与和研发投入的增加,能够通过专利申请的概率变化使得企业未来期望的增加值变大,进而提高企业的生产率水平。同时,高生产率的企业也会自发选择进入国外市场和进行研发投入,从而进一步促进生产率的提高。反事实模拟的结果表明,在企业生产过程中,专利申请具有重要的作用。当关闭所有专利申请渠道时,出口对生产率的影响将下降6.12%;当关闭出口渠道时,专利申请渠道对生产率的影响则会降低3.11%。这充分表明了出口和专利申请之间存在着互补效应。本文的结论为中国坚持对外开放政策和创新驱动发展战略的协同发展提供了新的依据。Based on data from the Chinese industrial enterprise database,patent application database and customs database,this paper analyses the endogenous relationship between export decisions,R&D investments,patent situation and productivity growth by constructing a dynamic structure model of business exports,R&D investments and patent applications.Research finds that enhanced business participation in exports and R&D investments can increase the added value of future business expectations by changing the likelihood of patent applications,thus improving the productivity level of enterprises.At the same time,high-productivity enterprises spontaneously choose to enter the export market and invest in R&D,thus further promoting productivity improvement.The results of counterfactual simulation show that patent applications play an important role in the production process of enterprises.When all patent filing channels are closed,the impact of exports on productivity drops by 6.12%,and when export channels are closed,the impact of patent application channels on productivity is reduced by 3.11%.This clearly demonstrates that there is a complementary effect between exports and patent applications,providing a new basis for China to adhere to the opening-up policy and a coordinated and innovation-driven development strategy.

关 键 词：专利 生产率 动态结构模型 

分 类 号：F273.1[经济管理—企业管理] F752.62[经济管理—国民经济]