国际技术知识溢出效应及其影响因素研究

摘要/Abstract

摘要：

本文将行业与企业层面的数据结合，探讨了以FDI和出口贸易为主要渠道的国际技术知识溢出对企业创新绩效的影响。实证分析表明，FDI在行业内的参与程度不仅不能促进本土企业的创新产出，有时候甚至会抑制本土企业的创新产出。而行业内的出口溢出效应显著为正，企业通过增强自身吸收能力，能更加有效地利用出口溢出的先进技术和知识。

关键词: FDI, 出口贸易, 知识溢出, 创新绩效

Abstract:

This research aims to understand how Foreign Direct Investment (FDI) and Export Trade in Chinese industrial sectors are related to and affect firm's innovation performance. The paper does an empirical study and the results show that FDI not only fails to enhance innovation performance of local firms, but sometimes also exhibits negative effects on it. In addition, our analysis suggests that the spillover effects of export are significantly positive, and absorptive ability positively moderates the effect of export spillovers on firm's innovation performance.

Key words: FDI, export trade, knowledge spillover, innovation performance

庞兰心, 官建成, 高峰. 国际技术知识溢出效应及其影响因素研究[J]. , 2019, 31(1): 81-89.

Pang Lanxin, Guan Jiancheng, Gao Feng. Research on Mechanism and Determinants of International Knowledge Spillover Effects[J]. , 2019, 31(1): 81-89.

参考文献

[1] 李柏洲,罗小芳,张赟. 产学研合作型企业原始创新中知识生产机制——基于高新技术行业企业的实证研究[J]. 管理评论, 2014,26(7):82-91
[2] Peng M. W. How Entrepreneurs Create Wealth in Transition Economies[J]. Academy of Management Executive, 2001,15(1):95-108
[3] Keller W. International Technology Diffusion[J]. Journal of Economic Literature, 2004,42(3):752-782
[4] 蒋仁爱,冯根福. 贸易、FDI、无形技术外溢与中国技术进步[J]. 管理世界, 2012,(9):49-60
[5] Blalock G., Simon D. Do All Firms Benefit Equally from Downstream FDI? The Moderating Effect of Local Suppliers' Capabilities on Productivity Gains[J]. Journal of International Business Studies, 2009,40(7):1095-1112
[6] Liu X., Wang C. Does Foreign Direct Investment Facilitate Technological Progress:Evidence from Chinese Industries?[J]. Research Policy, 2003,32(6):945-953
[7] Buckley P., Clegg J., Wang C. Is the Relationship between Inward FDI and Spillover Effects Linear? An Empirical Examination of the Case of China[J]. Journal of International Business Studies, 2007,38(3):447-459
[8] 严兵. 外商直接投资行业内溢出效应及相关影响因素分析[J]. 经济评论, 2006,27(1):41-46
[9] Caves R. E. Multinational Firms, Competition and Productivity in Host-country Markets[J]. Economica, 1974,41(162):176-193
[10] Liu X. M., Siler P., Wang C. Q., et al. Productivity Spillovers from Foreign Direct Investment:Evidence from UK Industry Level Panel Data[J]. Journal of International Business Studies, 2000,31:407-425
[11] Kokko A. Technology Market Characteristics and Spillovers[J]. Journal of Development Economics, 1994,43(2):279-293
[12] Dimelis S., Louri H. Foreign Ownership and Production Efficiency:A Quantile Regression Analysis[J]. Oxford Economic Papers, 2002
[13] Coe D., Helpman E. International R&D Spillovers[J]. European Economic Review, 1995,39(5):859-887
[14] Haddad M., Harrison A. Are There Positive Spillovers from Direct Foreign Investment? Evidence from Panel Data for Morocco[J]. Journal of Development Economics, 1993,42:51-74
[15] 王飞. 外商直接投资促进了国内工业企业技术进步吗?[J]. 世界经济研究, 2003,19(4):39-44
[16] 杨文举. 以贸易为媒介的国际技术溢出研究述评[J]. 外国经济与管理, 2005,27(7):27-33
[17] Szulanski G. The Process of Knowledge Transfer:A Diachronic Analysis of Stickiness[J]. Organizational Behavior and Human Decision Processes, 2000,82(1):9-27
[18] 王少华. 国内产学研合作研究综述——基于2002-2012年期刊文献分析[J]. 科技管理研究, 2015,35(11):217-220
[19] Matusik S., Heeley M. Absorptive Capability in the Software Industry:Identify Dimensions that Affect Knowledge and Knowledge Creation Activities[J]. Journal of Management, 2002,31(4):549-572
[20] Monteiro L. F., Arvidsson N., Birkinshaw J. Knowledge Flows within Multi-national Corporations:Explaining Subsidiary Isolation and Its Performance Implications[J]. Organization Science, 2008,19(1):90-107
[21] 赵增耀,王喜. 产业竞争力、企业技术能力与外资的溢出效应——基于我国汽车产业吸收能力的实证分析[J]. 管理世界, 2007,(12):58-66
[22] Woo J. Technological Upgrading in China and India:What Do We Know? OECD Working Paper No., 308, 2012
[23] Liu X., Siler P., Wang C., et al. Productivity Spillovers from Foreign Direct Investment:Evidence from UK Industry Level Panel Data[J]. Journal of International Business Studies, 2000,31(3):407-425
[24] Ciruelos A., Wang M. International Technology Diffusion:Effects of Trade and FDI[J]. Atlantic Economic Journal, 2005,33(4):437-449
[25] Guan J. C., Mok C. M., Yam R. C. M., et al. Technology Transfer and Innovation Performance:Evidence from Chinese Firms[J]. Technological Forecasting and Social Change, 2006,73:666-678
[26] Aitken B., Harrison A. Do Domestic Firms Benefit from Foreign Direct Investment? Evidence from Venezuala[J]. American Economic Review, 1999,89(3):605-618
[27] 李大伟,何菊香,宫雪,等. 中国和印度利用FDI绩效比较研究[J]. 管理评论, 2006,18(7):8-13
[28] Guan J. C. Comparison Study on Industrial Innovation between China and Some European Countries[J]. Production and Inventory Management Journal, 2002,43(3/4):30-46
[29] 路风,余永定. "双顺差"、能力缺口与自主创新——转变经济发展方式的宏观和微观视野[J]. 中国社会科学, 2013,33(6):91-114
[30] 贾根良. 第三次工业革命与新型工业化道路的新思维——来自演化经济学和经济史的视角[J]. 中国人民大学学报,2013,27(2):43-52
[31] 倪艳. 跨国公司对华直接投资现状分析及中国企业对策[J]. 商业研究, 2000,43(3):140-141
[32] Perez T. Multinational Enterprises and Technological Spillovers:An Evolutionary Model[J]. Evolutionary Economics, 1999,7(2):169-192
[33] 杨文举. 以贸易为媒介的国际技术溢出研究述评[J]. 外国经济与管理, 2005,27(7):27-33
[34] Rhee Y. W., Bruce C. R. L., Garry P. Korea's Competitive Edge:Managing Entry into World Markets[M]. Baltimore:Johns Hopkins University Press, MD, 1984
[35] Andersson M., Lööf H. Learning-by-Exporting Revisited:The Role of Intensity and Persistence[J]. The Scandinavian Journal of Economics, 2009,111(4):893-916
[36] Castellani D. Export Behavior and Productivity Growth:Evidence from Italian Manufacturing Firms[J]. Review of World Economics, 2002,138(4):605-628
[37] Agrawal A., Cockburn I., McHale J. Gone But Not Forgotten:Knowledge Flows, Labor Mobility, and Enduring Social Relationships[J]. Journal of Economic Geography, 2006,6(5):571-591
[38] Holmes T. J., Schmitz J. A. A Gain from Trade:From Unproductive to Productive Entrepreneurship[J]. Journal of Monetary Economics, 2001,47:417-446
[39] 戴勇,朱桂龙. 以吸收能力为调节变量的社会资本与创新绩效研究——基于广东企业的实证分析[J]. 软科学, 2011,25(1):80-84
[40] Lane P. J., Koka B. The Reification of Absorptive Capacity:A Critical Review and Rejuvenation of the Construct[J]. Academy of Management Review, 2006,4:833-863
[41] Todorova G., Durisin B. Absorptive Capacity:Valuing a Re-conceptualization[J]. Academy of Management Review, 2007,32(3):774-786
[42] 阎海峰,程鹏. 吸收能力研究评述[J]. 管理评论, 2009,21(8):95-103
[43] 甄丽明,唐清泉. 技术引进对企业绩效的影响及其中介因素的研究——基于中国上市公司的实证检验[J]. 管理评论, 2010,22(9):14-23
[44] Fleming L. Recombinant Uncertainty in Technological Search[J]. Management Science, 2001,47(6):117-132
[45] 解学梅,左蕾蕾. 企业协同创新网络特征与创新绩效:基于知识吸收能力的中介效应研究[J]. 南开管理评论, 2013,16(3):47-56
[46] Cohen W. M., Levinthal D. A. Absorptive Capacity:A New Perspective on Learning and Innovation[J]. Administrative Science Quarterly, 1990,35(1):128-152
[47] Foss B. N. J., Laursen K., Pedersen T. Organizing to Gain from User Interaction:The Role of Organizational Practices for Absorptive[J]. Organization Science, 2011,22(4):980-999
[48] Acs Z., Anselin L., Varga A. Patents and Innovation Counts as Measures of Regional Production of New Knowledge[J]. Research Policy, 2002,31(7):1069-1085
[49] OECD. OSLO Manual. Proposed Guidelines for Collecting and Interpreting Technological Innovation Data. OECD, Paris, 1992
[50] Nicholls-Nixon C., Woo C. Technology Sourcing and Output of Established Firms in a Regime of Encompassing Technological Change[J]. Strategic Management Journal, 2003,24:651-666
[51] Guan J. C., Yam R. C. M. Effects of Government Financial Incentives on Firms' Innovation Performance in China:Evidences from Beijing in the 1990s[J]. Research Policy, 2015,44:273-282
[52] 方健雯,赵增耀. 外商直接投资技术溢出机制研究——基于江苏省制造业面板数据的实证分析[J]. 数理统计与管理, 2010,29(5):761-769
[53] 徐宏毅,黄岷江,李程,等. 生产性服务业FDI生产率溢出效应的实证研究[J]. 管理评论, 2016,28(1):23-30
[54] 舒成利,高山行. 基于知识生产模式的原始性创新发生机制的研究[J]. 科学学研究, 2008,26(3):640-644
[55] Scandura A. University-industry Collaboration and Firms' R&D Effort[J]. Research Policy, 2016,45(9):1907-1922
[56] Sorensen J. B., Start T. E. Aging, Obsolescence and Organizational Innovation[J]. Administrative Science Quarterly, 2000,45:81-112
[57] 钱锡红,杨永福,徐万里. 企业网络位置、吸收能力与创新绩效——一个交互效应模型[J]. 管理世界, 2010,(5):118-129
[58] Oettl A, Agrawal A. International Labor Mobility and Knowledge Flow Externalities[J]. Journal of International Business Studies, 2008,39(8):1242-1260
[59] 李新功. 政府R&D资助、金融信贷与企业技术创新[J]. 管理评论, 2016,28(12):54-62
[60] 吴波. FDI知识溢出与本土集群企业成长——基于嘉善木业产业集群的实证研究[J]. 管理世界, 2008,(10):87-95