产学研合作与价值链低端困境破解——基于制造业企业出口国内附加值率的视角

《财经研究》 2021年47卷第11期 页码：94 - 108  online：2021年11月1日

产学研合作与价值链低端困境破解——基于制造业企业出口国内附加值率的视角

Industry-University-Research Cooperation and the Solution to the Low-end Dilemma of GVC：From the Perspective of Export DVAR

作者（中）：金洪飞, 陈秋羽*

作者（英）：Jin Hongfei, Chen Qiuyu*

作者单位：1.上海财经大学 金融学院，上海 200433

摘要：文章将表征科技创新转化体系的产学研合作与衡量企业在全球价值链中分工地位的出口国内附加值率置于统一的分析框架，利用中国制造业企业数据探讨了两者之间的关系。研究表明，企业产学研合作水平的提高有助于增加中国企业出口的国内附加值率，加工贸易占比下降与国内中间品的附加值效率上升是其中重要的作用机制。因此，可以通过加强产学研合作来破解中国企业在全球价值链的低端困境。地区异质性分析表明，东部地区企业的出口国内附加值率受到产学研合作的显著影响，而在中部与西部地区企业中，这一影响并不显著。所有制异质性分析表明，产学研合作能够促进民营企业出口国内附加值率的提升，但对国有企业和外资企业的影响不显著。要素密集度异质性表明，产学研合作显著提高了技术密集型和劳动密集型企业的出口国内附加值率，而对资本密集型企业的影响不显著。专利类型异质性分析表明，实用新型专利和发明专利的产学研合作对企业出口国内附加值率的正向影响显著，而外观设计专利的影响不显著。

关键词：产学研合作; 出口国内附加值率; 全球价值链

Summary: In the 1990s, China quickly integrated into the global industrial chain and the global value chain (GVC) by virtue of its demographic dividend, and became the “workshop of the world”. In fact, due to the lack of core technologies, China is still at the low-end of GVC, with low manufacturing added value. At present, getting rid of the low-end dilemma and realizing GVC upgrading are of vital importance to the transformation and upgrading of China’s economy. As an important strategic way for enterprises to enhance their technological innovation capabilities, industry-university-research cooperation (IURC) may be an effective path for China to improve the value-added acquisition capacity of manufacturing industry.To this end, this paper analyzes the impact and mechanism of IURC on the domestic value-added ratio (DVAR) of Chinese manufacturing enterprises’ exports by using the matching data of China’s industrial enterprises, customs trade and patent application from 2000 to 2013, in which export DVAR is used to reflect the position of enterprises in GVC, and the level of IURC is measured by the joint patent applications.The research results show that IURC significantly improves export DVAR. The results of PSM analysis, instrument variable method and other robustness tests all back up the reliability of the empirical results. The mechanism analysis shows that the value-added efficiency of intermediate input and the proportion of processing trade both play an intermediary role in the process of IURC promoting export DVAR. From the perspective of regional division, IURC has a significant impact on export DVAR in eastern China. Based on different ownership, IURC can increase the DVAR of private enterprises, but its impact on the DVAR of state-owned enterprises and foreign enterprises is not obvious. From the angle of industry factor intensity, IURC has a positive impact on skill-intensive enterprises and labor-intensive enterprises. Also, the IURC of both invention patents and utility patents has a positive impact on export DVAR.The possible contribution of this paper may exist in the following aspects: Firstly, based on the analytical framework of Kee and Tang (2016), it introduces IURC into the theoretical model by constructing the incomplete substitution between intermediate inputs. Secondly, it provides new empirical evidence on the impact of IURC on enterprises’ GVC upgrading, and finds that IURC contributes to the increase of export DVAR. Thirdly, this paper suggests that attention should be paid to the impact of IURC on heterogeneous enterprises in the process of promoting the cooperation.

Key words: industry-university-research cooperation; export DVAR; GVC

DOI：10.16538/j.cnki.jfe.20210812.101

收稿日期：2021-6-9

基金项目：国家自然科学基金项目（72173078）

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