中文题名: | 高校知识溢出对企业绿色创新的影响研究 |
姓名: | |
保密级别: | 公开 |
论文语种: | chi |
学科代码: | 0714Z1 |
学科专业: | |
学生类型: | 博士 |
学位: | 经济学博士 |
学位类型: | |
学位年度: | 2024 |
校区: | |
学院: | |
研究方向: | 宏观经济统计分析 |
第一导师姓名: | |
第一导师单位: | |
提交日期: | 2024-06-29 |
答辩日期: | 2024-05-14 |
外文题名: | RESEARCH ON THE EFFECT OF UNIVERSITIES KNOWLEDGE SPILLOVERS ON CORPORATE GREEN INNOVATION |
中文关键词: | |
外文关键词: | University Innovation ; Knowledge Spillover ; Green Innovation ; Industry-Academia-Research Cooperation |
中文摘要: |
随着新一轮科技革命和产业变革的持续演进,中国经济发展面临着新的机遇和挑战,必须坚持绿色发展和创新驱动,以新质生产力赋能高质量发展。党的二十大报告明确指出,要发展绿色低碳产业,加快节能降碳先进技术研发和推广应用。构建企业为主体、产学研深度融合的绿色技术创新体系,是实现人与自然和谐共生的中国式现代化的重要着力点。基于这一时代背景,围绕高校如何通过提供创新资源、激励创新需求从而促进企业绿色创新展开讨论,对于加快发展方式绿色转型具有重要的理论和实践意义。 企业作为经济活动的微观主体,承担着引领绿色创新发展的重要任务。尽管绿色创新能够带来技术进步和生态保护的双重效益,但其高成本、高风险的特征抑制了企业的研发积极性,导致企业绿色创新依赖于规制政策、相关利益者监督等外部压力驱动,缺乏对于企业如何通过借助外部资源支持,挖掘自身绿色创新内生动力的相关思考。高校拥有丰富的创新资源,为企业开展绿色研发活动提供了科技支撑与人才保障,同时能够通过创造良好的研发环境激发企业的绿色创新需求。鉴于此,本研究从企业供给侧和需求侧视角出发,深入探讨高校知识溢出如何释放企业绿色创新潜能,为强化企业绿色创新的主体地位提供理论基础和经验参考。 本研究按照“问题提出—理论构建—实证检验—政策建议”的研究路线展开,首先基于研究背景提出待解决的主要问题,采用描述性统计分析方法梳理企业绿色创新及高校知识创新转化的发展现状;随后通过构建多部门熊彼特内生增长模型进行理论分析;最后采用微观计量方法实证检验高校知识溢出对企业绿色创新的影响及其作用机制,总结归纳研究结论及政策建议。实证部分的主要工作和研究结论包括以下三方面内容: 第一部分基于地理临近性视角探讨高校专利知识溢出如何从供给侧影响企业绿色创新能力。研究发现:第一,上市公司周边的高校知识溢出效应显著促进了企业绿色创新“增量提质”。第二,异质性分析表明,相比于非211高校,211高校产生的知识溢出效应对企业影响更大。此外,高校知识对企业绿色创新的溢出效应在大规模企业、非高技术行业和环境规制更严格的地区作用更强。第三,机制分析发现,高校知识溢出会通过促进产学研合作、推动知识流动和吸引高技能人才为企业提供丰富的外部创新资源,从而提升企业绿色创新能力。第四,进一步讨论结果表明,就高校知识类型而言,高校知识密集型绿色专利的知识溢出效应更突出;从企业绿色创新产品类型来看,高校知识溢出主要作用于交通运输和能源节约类的企业绿色创新。 第二部分重点考察高校采购如何从需求侧影响制造业企业的绿色创新能力。研究发现:第一,企业作为供应商与高校签订采购合同能够显著提升企业的绿色创新绩效表现。第二,异质性分析表明,高校采购主要在大型、非国有企业,清洁行业以及知识产权保护强、环境监管弱的地区发挥作用。第三,机制分析表明,高校采购能够有效激励企业的绿色创新需求,具体机制路径为促进产学研合作、提高绿色创新效率和缓解融资约束。第四,进一步分析表明,高校采购能够有效推动企业打破路径依赖,即相比于策略性绿色创新,高校采购主要促进企业增加实质性绿色创新产出。 第三部分深入探讨供给侧与需求侧政策组合如何通过促进城市内的高校知识溢出效应进而作用于企业绿色创新。研究发现:第一,国家创新型试点城市政策的实施从供给侧有效提升了企业的绿色创新水平,具体作用机制为促进高校科技成果转化、增加研发投入和人才集聚效应。第二,国家级开发区的设立从需求侧显著提高了企业的绿色创新能力,主要通过激发企业的产学研合作需求、增强市场竞争程度为企业绿色创新注入新动能。第三,与单一政策相比,政策组合在提升企业的绿色创新水平方面发挥了关键作用,说明技术推动型和需求拉动型政策缺一不可。第四,供给侧和需求侧政策的协同效果在高校资源丰富的地区表现更为明显,启示政策设计者依据地区的差异特征精准定制政策组合的实施方案。 本研究的创新点和主要贡献在于:第一,理论分析方面,现有文献普遍将高校视为创新活动的供给方,忽视了高校在企业需求侧发挥的重要作用,本研究通过构建多部门熊彼特内生增长模型,从供给侧和需求侧两方面出发,对高校知识溢出如何促进企业绿色创新进行了深入的理论探讨,不仅丰富了现有高校知识溢出的理论体系,同时也为后续实证研究提供了坚实的理论基础。第二,研究视角方面,以往研究主要关注外部制度因素如何迫使企业提升绿色创新绩效,本研究则基于高校知识溢出的多样化渠道,重点分析高校如何通过提供创新资源、激励创新需求,进而激发企业绿色创新的内生动力。第三,研究内容方面,已有研究对于高校知识溢出的内在机理关注不足,本研究围绕高校知识对企业绿色创新的溢出效应及其作用展开充分讨论,为理解高校和企业之间知识流动的作用渠道提供了较为全面的经验参考,并采用工具变量法、多时点双重差分法等因果识别技术得出了较为可信的研究结论。 |
外文摘要: |
As the new round of technological revolution and industrial transformation continues to evolve, China's economic development faces new opportunities and challenges. It is essential to adhere to green development and innovation-driven strategies to empower high-quality development with new productive forces. The report of the 20th National Congress of the Communist Party of China explicitly states the need to develop green and low-carbon industries, accelerate the research and development, and widespread application of advanced energy-saving and carbon-reducing technologies. Building a green technology innovation system, with enterprises at the core and deep integration of industry, academia, and research, is a crucial focus for achieving harmonious coexistence between humans and nature in Chinese-style modernization. Based on this background, discussions on how universities can promote corporate green innovation by providing innovative resources and stimulating the demand for innovation are of significant theoretical and practical importance for accelerating the green transformation of development methods. Enterprises, as the micro-subjects of economic activities, play a crucial role in leading green innovation. Despite the double benefits of technological advancement and ecological protection brought by green innovation, its high cost and risk discourage corporate R&D enthusiasm. Consequently, corporate green innovation often relies on external pressures such as regulatory policies and stakeholder oversight, lacking consideration of how enterprises can leverage external resources to tap into their inherent green innovative capabilities. Universities possess abundant innovative resources, providing technological support and talent for corporate green R&D activities, and can stimulate corporate demand for green innovation by creating favorable R&D environments. Therefore, this study explores how university knowledge spillovers can unleash the potential for corporate green innovation from both the supply and demand sides, providing a theoretical basis and practical references to strengthen the principal position of enterprises in green innovation. This study follows the route of "problem presentation - theoretical construction - empirical testing - policy recommendations". First, based on the research background, the main problems to be solved are put forward, and the descriptive statistical analysis of the current state of corporate green innovation and the transformation of university innovation knowledge is adopted. The study then conducts theoretical analysis using a multi-sector Schumpeterian endogenous growth model and empirically tests the impact of university knowledge spillovers on corporate green innovation using micro-econometric methods. Finally, this study summarizes the findings and policy recommendations. The main work and research conclusions of the empirical part include the following three aspects: The first part explores how university patent knowledge spillovers affect corporate green innovation capacity from a geographical proximity perspective. Findings include: First, universities knowledge spillovers around listed companies significantly contribute to the "increase in quantity and quality" of corporate green innovation. Second, the heterogeneity analysis shows that knowledge spillovers from 211 universities have a greater impact on enterprises than those from non-211 universities. In addition, the spillover effect of university knowledge on corporate green innovation is stronger in large-scale firms, non-high-technology industries and regions with stricter environmental regulations. Third, the mechanism analysis finds that university knowledge spillovers enhance corporate green innovation capabilities by fostering industry-academia-research cooperation, facilitating knowledge flow, and attracting skilled talent. Fourth, further discussion shows that, in terms of the types of university knowledge, the knowledge spillover effect of university knowledge-intensive green patents is more prominent; and in terms of the types of corporate green innovation products, the knowledge spillover from universities mainly works on the green innovations of enterprises in the categories of transport and energy saving. The second part focuses on how university procurement affects the green innovation capability of manufacturing enterprises from the demand side. Findings include: First, corporate green innovation performance can be significantly enhanced by signing procurement contracts with universities as suppliers. Second, the heterogeneity analysis shows that university procurement works mainly in large, non-state-owned enterprises, clean industries, and regions with strong intellectual property protection and weak environmental regulation. Third, the mechanism analysis indicates that university procurement can effectively stimulate corporate green innovation demand, and the specific mechanism paths are to promote industry-university-research cooperation, improve the efficiency of green innovation and alleviate the financing constraints. Fourth, further analyses demonstrate that university procurement can effectively promote firms to break the path dependence, i.e., university procurement mainly promotes firms to increase substantive green innovation compared with strategic green innovation. The third part delves into how supply-side and demand-side policy mix contribute to corporate green innovation by promoting knowledge spillovers from universities within cities. Findings include: First, the implementation of the policy of national innovative pilot cities effectively enhances the level of corporate green innovation from the supply side, and the specific mechanism is to promote the transformation of scientific and technological achievements of universities, increase R&D investment, and talent concentration effect. Second, the establishment of national development zones significantly improves the green innovation ability of enterprises from the demand side, mainly through stimulating the demand of enterprises for cooperation between industry, universities and research institutes, and enhancing the degree of competition in the market to inject new kinetic energy into corporate green innovation. Third, compared with a single policy, the policy mix plays a key role in enhancing the level of corporate green innovation, indicating that technology-driven and demand-pull policies are indispensable. Fourth, the synergistic effect of supply-side and demand-side policies is more obvious in regions with abundant university resources, which reveals that policy designers can precisely tailor the implementation of policy combinations according to the different characteristics of regions. The innovations and contributions of this study include: First, in terms of theoretical analysis, the existing literature generally regards universities as the supply side of innovation activities, ignoring the important role played by universities on the demand side of enterprises. By constructing a multi-sectoral Schumpeterian endogenous growth model, and starting from both the supply side and the demand side, this study conducts in-depth theoretical discussions on how knowledge spillovers from universities can promote corporate green innovations, which not only enriches the existing theoretical system of knowledge spillovers from universities, but also provides a theoretical basis for subsequent empirical studies. Second, in terms of research perspectives, while previous studies mainly focus on how external institutional factors force enterprises to improve their green innovation performance. This study focuses on analysing how universities can stimulate the endogenous motivation of corporate green innovation through the provision of innovative resources and incentives for innovation demand based on the diversified channels of knowledge spillovers from universities. Third, in terms of research content, existing studies have paid insufficient attention to the intrinsic mechanism of knowledge spillovers from universities. This study fully discusses the spillover effect of university knowledge on corporate green innovation and its path, providing a more comprehensive empirical reference to understand the role of knowledge flow channels between universities and enterprises, and adopts instrumental variable method, difference-in-differences approach, and other causal identification method to derive credible conclusions. |
参考文献总数: | 273 |
馆藏地: | 图书馆学位论文阅览区(主馆南区三层BC区) |
馆藏号: | 博0714Z1/24005 |
开放日期: | 2025-06-29 |