上游资源型垄断与下游创新--来自中国制造业企业的经验证据  

Upstream Resource-based Monopoly and Downstream Innovation:Empirical Evidence from Manufacturing Enterprise of China

作　　者：温军[1] 梁旭晫 冯根福[1] 陈绍俭 Wen Jun;Liang Xuzhuo;Feng Genfu;Chen Shaojian(School of Economics and Finance,Xi’an Jiaotong University,Xian 710061,China;Northwest institute of Historical Environment and Socio-Economic Development,Shaanxi Normal University,Xian 710119,China)

机构地区：[1]西安交通大学经济与金融学院,710061 [2]陕西师范大学西北历史环境与经济社会发展研究院,710119

出　　处：《南开经济研究》2022年第9期132-150,共19页Nankai Economic Studies

基　　金：国家自然科学基金面上项目“经济制裁对中国技术创新的影响机制、效果及对策--基于省级面板数据的研究”以及“风险投资与小微企业创新:增值与盘剥的新视角”的资助。

摘　　要：通过构建一个由上游垄断供应商和下游制造商组成的博弈模型,本文研究了上游资源型垄断对下游制造业企业创新的影响,并基于《中国工业企业数据库》和《中国工业企业专利数据库》的匹配数据对理论结论进行了实证检验。结果发现:①上游资源型垄断显著抑制了下游制造业企业创新的主动性及专利申请数,这一抑制作用主要体现在总发明和非发明专利上。作用机制表明,随着垄断势力的增强,下游制造商的利润下降,出口数量减少,同时企业规模也开始变小,进而选择是否进行创新的主动性及专利申请数均出现显著降下。②相比于国有企业,上游资源型垄断对下游非国有企业创新的抑制作用更为明显。③相比于外资企业,上游资源型垄断对下游内资企业创新的抑制作用更为明显。④相比高技术企业,上游资源型垄断对下游非高技术企业创新的负面影响更大,上游资源型垄断对下游企业创新的负面影响具有明显的行业差异性。此外,本文还就如何应对这种负面影响提出了相应的政策建议。By constructing a game model composed of a upstream monopoly supplier and a downstream manufacturer,this paper studies the impact of upstream resource-based monopoly on downstream manufacturing enterprise innovation.Then this paper empirically tests the theoretical conclusions using the matching data from the"Database of Chinese Industrial Enterprises"and"Patent Database of Chinese Industrial Enterprises".The results show that:①Upstream resource-based monopoly significantly inhibits the initiative of downstream manufacturing enterprises to innovate and the number of patent applications,and this inhibition is mainly reflected in the total invention and non-invention patents,the mechanism of action shows that with the increase of upstream monopoly power,the profits of downstream manufacturers have declined,the number of exports has decreased,the scale of enterprises has also begun to shrink,then the initiative to choose whether to innovate and the number of patent applications have been significantly reduced;②Compared with state-owned enterprises,upstream resource-based monopoly has a more obvious inhibitory effect on downstream non-state-owned enterprises'innovation;③Compared with foreign-owned enterprises,upstream resource-based monopoly has a more obvious inhibitory effect on downstream domestic-owned enterprises'innovation;④Compared with high-tech enterprises,upstream resource-based monopoly has more negative impact on downstream non-high-tech enterprises'innovation,the negative impact of upstream resourcebased monopoly on the innovation of downstream manufacturing enterprises has obvious differences among industries.In addition,this paper puts forward corresponding policy recommendations on how to deal with this negative impact.

关 键 词：上游资源型垄断 下游创新 产权性质 投资来源 行业差异 

分 类 号：F425[经济管理—产业经济] F273.1