高校知识溢出对异质性企业创新的影响

Research on the Impact of University Knowledge Spillover on Heterogeneous Enterprise Innovation

高校作为基础研究和原始创新的主力军,加快推进其知识溢出对于提升我国企业自主创新能力具有重要意义。本文通过匹配中国高校专利数据与中国上市企业专利数据,构造企业与本省份高校的"技术距离"指标,利用2008—2015年2472家上市公司的非平衡面板数据考察高校知识溢出对异质性企业创新产出的影响。研究发现,高校科研投入每增加1%,与其"技术距离"越近的本省份上市企业的研发产出将增加约2%,高校知识溢出强度与校企间"技术距离"呈倒U型关系。高校主要通过成果转化、科技服务与合作研发等知识溢出途径促进企业创新。利用各省份高校科研成果转化政策中的科研人员收益分成占比作为工具变量解决可能存在的内生性问题,结果仍然稳健。异质性分析表明:与民营企业相比,高校知识溢出对国有企业创新产出的正向影响更大;电子信息技术领域的企业从高校知识溢出中获益最大;知识产权保护越好的地区高校知识溢出对企业创新的影响越大。最后,本文为更好地发挥高校创新引领作用与提升企业创新水平提出了相应的政策建议。

Under the background of"dual circulation"strategy,China will inevitably undergo a strategic shift from technology acquisition to self-dependent innovation.As the main force of basic research and original innovation,can university knowledge spillover effectively promote the technological innovation of domestic enterprises?Which companies can benefit more from the university knowledge spillover?This paper constructs the index of"technology distance"between the enterprise and the university which located in the same province by matching the patent data of Chinese universities with the patent data of Chinese listed companies,and then introduces this index into Jaffe(1989)enterprise knowledge production function model.By using the unbalanced panel data of 2,472 listed companies from 2008 to 2015,we explore the impact of university knowledge spillovers on the innovation output of Chinese listed companies.Empirical evidence suggests that for 1%increase in university research funding,the output of R&D of the local listed companies,which have similar technology structure with university,will increase by 2%.There is an inverted U-shaped relationship between the intensity of university-firm knowledge spillover and the"technology distance"index,in other words,if the technology structure between the university and the enterprise is too similar,the university-firm knowledge spillover will be suppressed.The mechanism of university-firm knowledge spillover is technology transfer(including patent licensing and transferring),technology service(including consulting and training),and R&D cooperation.Using the royalty share of researchers on the patent transfer programs from universities as an instrumental variable to deal with endogenous problems,the results are still robust.In addition,we find the impact of university knowledge spillover is various.The heterogeneity analysis shows that university knowledge spillovers have a positive effect on the innovation output of state-owned enterprises(SOEs),however it has no effect on private enterprises.The reason is the SOEs have more political resources,which attribute to build up political connections with universities to obtain more knowledge spillover;Enterprises in the field of electronic information technology benefit the most from university knowledge spillovers.Because the technology in the electronic field is more dependent on the basic research of university,and the division of technology in the electronic industry is relatively clear.When enterprises encounter technological bottlenecks,they can get the support of external innovation resources,so they have a higher dependence on the R&D of local universities;The protection of intellectual property rights will promote the spillover of knowledge in universities.Because intellectual property protection is benefit for information sharing,which is very important for university-industry(U-I)cooperation.If there is no enough information exchange between universities and enterprises,universities are unlikely to pick up sensitive information from enterprises,and enterprises are also difficult to learn the tacit knowledge behind academic achievements.This paper provides appropriate policy suggestions for how to better exert the role of innovation leadership of universities to facilitate firm innovation:First of all,the government should build an information exchange platform between private R&D institutions and public research sectors to promote U-I cooperation.Second,we should promote the transformation of scientific and technological achievements in universities,including implement the knowledge value-oriented income distribution policy,reform the ownership of scientific and technological achievements,and encourage university researchers to go out of the"ivory tower"and cooperation with enterprises.Third,enhance the capacity of independent innovation and knowledge accumulation of enterprises by implementing tax deduction and subsidy.Fourth,improve the level of regional intellectual property protection by strengthen professional personnel construction,simplify the trial process and shorten the trial cycle.