摘要
鼓励关键设备进口作为创新政策的一部分在中国实施多年,却较少得到学术界关注。本文利用《鼓励进口技术和产品目录》的动态调整在产品层面形成的政策冲击,系统评估了鼓励关键设备进口对企业创新的广泛影响。基于2002—2016年的微观企业数据,本文研究发现,鼓励进口政策一方面通过刺激企业进口和增强信贷能力等渠道,显著提高了进口企业以专利申请衡量的创新水平及以专利授权、专利引用、专利市场价值等系列指标度量的创新质量。鼓励进口政策的创新激励作用不仅存在于受鼓励产品,而且外溢至企业内其他产品。然而,伴随着鼓励引致的竞争和替代效应以及向研发下游的知识外溢,鼓励政策却从另一方面显著削弱了企业的基础创新能力。大量的关键设备进口抬高了应用创新的价值,但弱化了基础创新的地位。此外,相比民营企业,国有企业的创新活动受进口鼓励政策的影响更为明显。本文的启示是,应当注重关键设备进口在催化企业应用创新和商业化动力方面的重要作用,但同时也要加强基础创新激励,防止政策的偏向性削弱企业的基础创新能力,阻滞企业自生成长的道路。
Although encouraging key equipment imports has been implemented as one of innovation policies in China for a few years,scholars have paid little attention to this issue.By using the product-level policy shock caused by dynamic adjustments of the"Catalogs of Technologies and Product Encouraged to Import",we systematically explore the broad impact of encouraging key equipment imports on corporate innovation.By using the micro-firm data from 2002 to 2016,we find that the encouragement policies on imports significantly increase the number and the quality(e.g.,grants,citations,or market value)of patent applications by stimulating imports and enhancing credit capacities.The innovative impact of the incentive policies is not limited to the imported key equipment but can spillover to other products within the firm.However,with the competition and substitution effects of imports as well as the knowledge spillover to downstream innovation,the encouragement policies significantly reduce basic innovation conducted by firms.The large number of key equipment promotes the value of application innovation and weakens the status of basic innovation.Furthermore,the effect of the encouragement policies on corporate innovation is much more pronounced in state-owned enterprises than private firms.The enlightenment of this paper is that we should not only highlight the important role of key equipment imports in catalyzing firms’applied research and commercialization,but strengthen the incentives to conduct basic innovation and be cautious about the biased implementation of the encouragement policies to prevent it from weakening firms’abilities in basic innovation and hindering their self-growth.
作者
谢红军
张禹
洪俊杰
郑晓佳
XIE Hong-jun;ZHANG Yu;HONG Jun-jie;ZHENG Xiao-jia(School of International Trade and Economics,UIBE,Beijing 100029,China;College of Economics and Management,Civil Aviation University of China,Tianjin 300300,China)
出处
《中国工业经济》
CSSCI
北大核心
2021年第4期100-118,共19页
China Industrial Economics
基金
国家社会科学基金重大项目“加快构建开放型经济新常态下的国际经贸新规则研究”(批准号16ZDA036)
教育部人文社会科学青年基金项目“异质性视角下高铁网络对城市创新质量的影响研究”(批准号20YJC790180)
教育部人文社会科学青年基金项目“资本市场对中国海外并购的影响:基于资源配置与价格信号双重视角的研究”(批准号20YJC790150)
关键词
进口
创新
鼓励政策
关键设备
基础创新
imports
innovation
encouragement policies
key equipment
basic innovation
