企业异质性视角下出口对企业创新的影响研究

杭州电子科技大学硕士学位论文I摘要近年来我国经济不断发展，经济飞速发展背后隐藏的问题也日益凸显。当前我国经济面临下行压力，以数量增长为主要特征的粗放型增长模式亟待转型升级，而促进经济转型升级的关键要素之一就是提升创新能力，如何加强创新能力进而促进经济的可持续增长亦成为近年来经济研究的热门话题。国际贸易视角下对创新的研究多是从宏观层面探讨两者的关系。随着企业异质性贸易理论的出现，对国际贸易和创新关系的研究开始从宏观层面转向微观层面。本文结合最新研究热点，从微观视角出发探讨出口对企业创新的影响。本文以微观企业为研究对象，理论和实证分析方法相结合，探讨企业异质性视角下出口对企业创新的影响，试图分析以下问题：企业参与出口是否会促进企业进行创新，企业的异质性要素对企业创新有何影响。本文首先基于对前人相关理论和实证研究成果的梳理和总结，从理论层面上分析出口对企业创新影响的作用机理；其次分别从宏观角度和微观企业角度出发对出口和创新活动进行描述性分析，以期发现出口与创新之间的关系；接着结合企业异质性理论，将多种异质性特征纳入模型，以工业企业数据库中的微观企业数据为样本，运用probit二值选择模型实证检验出口行为以及企业异质性特征对企业创新的影响。相关研究结果表明：出口企业较非出口企业的创新倾向更高，出口参与对企业的创新有着明显的激励作用；良好的融资情况对企业的创新活动有显著的促进作用，即宽松的融资环境有利于企业开展创新活动；生产率水平对企业的创新倾向有着正向的激励作用；在总体样本和分样本的民营企业下，企业规模与创新存在显著而稳健的U型关系；人力资本、研发投入以及利润水平对企业创新有着正向的影响，人力资本积累以及企业良好的经营状况是企业进行创新的重要基础。最后根据本文研究得出结论，提出相应的政策建议。关键词：企业异质性，出口，企业创新，企业规模杭州电子科技大学硕士学位论文IIABSTRACTInnovationisahottopicinrecenteconomicresearch,theresearchoftherelationshipbetweenexportingandinnovationfromperspectiveofinternationaltrademostlywerebasedonmacro-level.Thelatestperspectiveaboutthistopicisaddingfirmheterogeneityfactorstoanalyzefirm'sinnovationdecision.Theperspectiveabouttheresearchoftherelationshipbetweenexportingandinnovationhasshiftedfrommacroleveltomicrolevel.Thispaperisbasedonfirmheterogeneitytheoryandusethemicroenterpriseastheresearchobject,takingthedatawhichhasbeenselectedfromChineseindustrialenterprisedatabaseasthedatasample，combiningtheoreticalandempiricalanalysistoinvestigatetherelationshipbetweenexportingandfirm'sinnovationfromtheperspectiveoffirmheterogeneity.thispapertrytoanswertheflowingquestions：Whetherfirm'sbehaviorofexportingwillpromotefirm'sinnovation?whatimpactdoesfirmheterogeneityfactorshaveonfirm'sinnovation?Theempiricalanalysisinthispaperisbasedonprobitmodel,researchresultsshowthat:（1）comparedwithnon-exportingfirms,exportenterprisesaremorelikelytoinnovate,itmeansthatexportparticipationsignificantlyincreaseenterprise'stendencyofinnovation,exporthassignificantlypositiveincentiveeffectonfirm'sinnovationdecision.（2）Goodexternalfinancingconditionshavesignificantlypositiveincentiveeffectonfirms'innovation,goodfinancialenvironmentishelpfulforenterprisestoconduciveinnovativeactivities;（3）TFPalsohassignificantlypositiveincentiveeffectonenterprise'sinnovation,inotherwords,theself-selectioneffectaboutthefirms'innovationactivitiesisobvious;（4）EnterprisescaleandinnovationactivitiesshowsignificantandstableU-shapedrelationshipinprivateenterpriseswhethertheresearchisundertheoverallsampleorthesub-sample.（5）Humancapital,R&Dinvestmentandthelevelofprofitsoftheenterpriseallhavepositiveimpactonfirm'sinnovationdecision,humancapitalaccumulationaswellasgoodoperationofthecompanyaretheimportantfoundationforenterprise'sinnovation.Keywords:InternationalTrade，FirmHeterogeneity，Export，Firm'sInnovation，Firm'sScale杭州电子科技大学硕士学位论文III目录摘要........................................................................................................................................................................IABSTRACT..............................................................................................................................................................II1绪论.......................................................................................................................................................................11.1研究背景和意义........................................................................................................................................11.1.1研究背景.........................................................................................................................................11.1.2理论意义.........................................................................................................................................21.1.3现实意义.........................................................................................................................................21.2研究内容和框架........................................................................................................................................21.2.1研究内容.........................................................................................................................................21.2.2研究框架.........................................................................................................................................31.4研究方法和可能的创新点........................................................................................................................41.4.1研究方法.........................................................................................................................................41.4.2可能的创新点.................................................................................................................................42文献综述...............................................................................................................................................................52.1创新的定义与测度...........................................................................................