制度型开放如何影响企业技术创新？

——来自跨境电商综试区的证据

刘政^a,b，余龙^b，匡慧姝^c

（江西师范大学 a. 管理科学与工程研究中心；b. 江西经济发展研究院；c. 经济与管理学院，江西 南昌 330022）

摘要：制度型开放旨在打造高标准、可预期的国际经贸规则，对于企业技术突围具有战略意义。以2015年以来中国分批设立跨境电商综试区作为准实验，通过匹配2010—2022年A股上市公司数据，采用多期双重差分模型检验制度型开放对企业技术创新的影响及其机制。研究结果显示，设立跨境电商综试区提升了上市公司专利数量、专利质量和专利研发效率；经济政策调整幅度越大，跨境电商综试区促进企业技术创新成效越显著，说明跨境电商表征的制度型开放有利于企业技术创新量质齐升与效率优化，推动企业应对不确定性冲击并实现技术突围。机制检验结果显示，削减税负成本、稳定商业信用以及增强数字赋能都是制度型开放驱动企业技术创新的重要机制。异质性分析结果显示，产销合一企业或技术前沿企业更易借助跨境电商综试区插上技术创新的“翅膀”，说明制度型开放具有加速新旧动能转换和助力产业转型升级的功能。基于研究结论，从完善制度型开放、激活跨境电商创新效能等方面提出了政策建议。

关键词：制度型开放；技术创新；跨境电商综试区；企业技术突围

作者简介：刘政（1981—），男，江西师范大学管理科学与工程研究中心、江西经济发展研究院副教授；余龙（1993—），男，江西师范大学江西经济发展研究院硕士研究生；匡慧姝（1985—），女，江西师范大学经济与管理学院讲师，通信作者。

基金项目：国家自然科学基金地区项目“制度嵌入视角下企业投资激励与产能出清的非对称应对效应及工业去产能机制重构”（72063021）；国家自然科学基金地区项目“数字耗能-赋能视角下制造企业数字化转型能力解构与动力重塑：机制、影响及对策”（72263020）；国家自然科学基金地区项目“动态能力视角下数字技术赋能制造企业合作创新的能力基础、能动转换及扩散机制研究”（72463015）

引用格式：刘政,余龙,匡慧姝.制度型开放如何影响企业技术创新?——来自跨境电商综试区的证据[J].首都经济贸易大学学报,2025,27(5):36-51.

How does Institutional Opening-up Affect Enterprise Technological Innovation?

—Evidence from the Cross-border E-commerce Comprehensive Pilot Zone

LIU Zheng, YU Long, KUANG Huishu

（Jiangxi Normal University, Nanchang 330022）

Abstract: Institutional opening-up aims to establish high-standard and predictable international economic and trade rules, and holds strategic significance for enterprises to achieve technological breakthroughs. This paper uses the establishment of cross-border e-commerce comprehensive pilot zones in batches in China since 2015 as a quasi-experiment. By matching data from A-share listed companies from 2010 to 2022, this paper employs a multi-period difference-in-differences (DID) model to examine the effects and mechanisms of institutional opening-up on enterprise technological innovation.

This paper finds that the establishment of cross-border e-commerce comprehensive pilot zones enhances the quantity, quality, and R&D efficiency of patents held by listed companies. When economic policies are more uncertain, the promoting effect of cross-border e-commerce comprehensive pilot zones on enterprise technological innovation becomes more significant. This indicates that institutional opening-up represented by cross-border e-commerce is conducive to both the quantity and quality improvement and efficiency optimization of enterprise technological innovation, facilitating enterprises to cope with uncertain shocks and achieve technological breakthroughs. The mechanism test reveals that reducing tax burden costs, stabilizing commercial credit, and enhancing digital empowerment are important mechanisms through which institutional opening-up drives enterprise technological innovation. Heterogeneity analysis reveals that enterprises with integrated production and sales or those at the technological frontier are more likely to leverage the cross-border e-commerce comprehensive pilot zones for technological innovation, indicating that institutional opening-up has the function of accelerating the transformation from old to new growth drivers and facilitating industrial transformation and upgrading. The research conclusions provide insights into improving institutional opening-up and activating the innovation efficiency of cross-border e-commerce.

This paper makes the following contributions.Firstly, by using the establishment of cross-border e-commercecom prehensive pilot zones as a quasi-experiment of institutional opening-up, this paper empirically examines theeffectof institutional opening-up on inducing technological innovation in enterprises, confirming that institutionalopening-up aids technological breakthroughs for Chinese enterprises. Secondly, this paper identifies the causalrelationship between the impact of cross-border e-commerce comprehensivepilot zones on the simultaneousimprovement of the quantity and quality of technological innovation and efficiency optimization. This provides incremental evidence for how institutional opening-up empowers the enterprise technological innovationsystem. Thirdly,this paper analyzes the mechanism behind how institutionalopening-up promotes technological innovation in enterprises, focusing on aspects such as reducing tax burden costs,stabilizing commercial credit, and enhancing digita empowerment.

Keywords: institutional opening-up; technological innovation; cross-border e-commerce comprehensive pilot zone; enterprise technological breakthrough

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