出口与企业自主技术创新:来自企业专利数据的经验研究

Export and Innovation:Empirical Evidence from Patent Data at Firm Level

本文在企业层面合并了1998-2007年专利数据库和中国工业企业数据库,使用倾向值得分匹配之后的双重差分方法识别了企业出口对企业自主技术创新的影响。结果表明,出口促进了企业的自主技术创新,尤其对技术含量相对较高的发明专利和实用新型专利有显著促进作用,而对外观设计专利的作用不显著。进一步的异质性检验发现,出口主要促进了中高和高技术行业企业的自主技术创新,对中低和低技术行业企业的影响并不显著。此外,我们还合并了2000-2007年的海关数据库,发现出口对一般贸易企业的自主创新有促进作用,但对加工贸易企业的自主创新却产生抑制作用。最后,出口对内资企业的出口创新效应更为显著,而对外资企业的影响不显著。

This study matches the Patent Data, the Chinese Industrial Firm data and the Customs Data at firm level and identifies the effect of export on the patent application by using propensity score matching-difference in differences method. We find that export induces innovation, especially for utility patents, but not for design patents. Further tests for heterogeneity show that this effect is only significant in high- technology industries, and is positive for firms conducting normal exports but negative for ones conducting processing exports. The effect is positive for domestic firms, but insignificant or negative for foreign firms. Our findings extend the existing literature, provide policy implications for the government, and deepen the understanding of the Chinese firms＇ roles in international trade and global economy.