双循环新发展格局背景下的研发溢出与工业全要素生产率——基于全球价值链攀升的调节效应

摘要/Abstract

摘要： 新一轮科技革命和产业变革下的工业高质量发展不仅取决于双循环新发展格局背景下的研发溢出，同时在很大程度上还受到全球价值链攀升的影响。本文构建了一个两溢出、两部门和三要素的2×2×3开放经济模型，利用2000—2019年中国工业动态面板数据估计了双循环新发展格局背景下的研发溢出对工业全要素生产率的影响效应。在控制研发效率等变量的影响后发现：随着创新的高质量转型，研发国际溢出的所有权优势引致的“市场攫取”提高了全球价值链攀升的成本，弱化了知识产品在邻近空间集群的空间关联性，对工业全要素生产率的改善作用不显著。全球价值链攀升有助于研发国际溢出的持续释放，在一定程度上强化了研发国内溢出的有效吸收，提高了研发溢出的内外关联性优势，对工业全要素生产率的改善具有显著的正向效应。上述结论具有深刻的政策含义：提高工业的高质量发展能力，除进一步化解研发国内国际溢出的制度性堵点外，更大程度上还取决于通过构建研发国内国际溢出空间协同联动的新发展格局，提升研发国内国际溢出在全球价值链攀升中对工业全要素生产率的空间引领作用。

关键词: 研发国内溢出, 研发国际溢出, 全球价值链攀升, 工业全要素生产率

Abstract: The high-quality development of industry in the new round of technological revolution and industrial transformation is not only dependent on R&D spillovers in the backdrop of dual circulation, but also largely influenced by the rise of the global value chain. This paper constructs a 2×2×3 open economy model which has two spillovers, two sectors and three elements, and uses China’s industrial dynamic panel data from 2000 to 2019 to estimate the effect of R&D spillovers on industrial total factor productivity in the backdrop of dual cycle. After controlling the effect of variables such as R&D efficiency and so on, it is found that with the high-quality transformation of innovation, the ownership advantage of international R&D spillovers leads to “market grabbing”, which increases the cost of global value chain upgrading, weakens the spatial correlation of knowledge products in adjacent spatial clusters, and has an insignificant improvement effect on industrial total factor productivity. The global value chain upgrading contributes to the sustained release of international R&D spillovers, strengthens the effective absorption of domestic R&D spillovers to a certain extent, enhances the internal and external correlation advantages of R&D spillovers, and has a significant positive effect on the improvement of industrial total factor productivity. The above conclusions have profound policy implications: in order to improve the high-quality development capability of industry, it is required not only to further resolve the institutional barriers of domestic and international R&D spillovers, but more importantly, to build a new development pattern of spatial synergy and linkage between domestic and international R&D spillovers, and enhance the spatial leading role of domestic and international R&D spillovers on industrial total factor productivity in the global value chain upgrading.

Key words: domestic R&D spillovers, international R&D spillovers, global value chain upgrading, industrial total factor productivity

宋炜, 曹文静, 周勇. 双循环新发展格局背景下的研发溢出与工业全要素生产率——基于全球价值链攀升的调节效应[J]. 管理评论, 2024, 36(11): 119-130,143.

Song Wei, Cao Wenjing, Zhou Yong. R&D Spillovers and Industrial Total Factor Productivity in the Backdrop of Dual Circulation—Moderating Effect Based on Global Value Chain Upgrading[J]. Management Review, 2024, 36(11): 119-130,143.

参考文献

[1] 王仁祥,杨曼. 要素匹配、吸收能力与科技金融耦合价值链实现——国际经验与中国案例[J]. 管理评论, 2020,32(1):29-39 Wang R. X., Yang M. Factor Matching, Absorptive Capacity and Technology-Finance Coupling Value Chain Realization: Empirical Evidence from Cross-country Data and Application in China[J]. Management Review, 2020,32(1):29-39
[2] 王一鸣. 百年大变局、高质量发展与构建新发展格局[J]. 管理世界, 2020,36(12):1-13 Wang Y. M. Changes Unseen in a Century, High-quality Development, and the Construction of a New Development Pattern[J]. Journal of Management World, 2020,36(12):1-13
[3] Chatterjee R., Chattopadhyay S., Kabiraj T. Spillover and R&D Incentives under Incomplete Information in a Duopoly Industry[J]. Munich Personal RePEc Archive Paper, 2017,(1):1-17
[4] Aysun U., Yom Z. R&D, Innovation Spillover and Business Cycles[R]. Villanova School of Business Department of Economics and Statistics, 2019
[5] Zhao K. Competition of International Trade, Technology Spillover, and R&D Innovation[J]. Journal of the Knowledge Economy, 2021,(2):676-694
[6] Siller M., Schatzer T., Walde J. F., et al. What Drives Total Factor Productivity Growth? An Examination of Spillover Effects[J]. Regional Studies, 2021,55(5):1-11
[7] 叶祥松,刘敬. 异质性研发、政府支持与中国科技创新困境[J]. 经济研究, 2018,53(9):116-132 Ye X. S., Liu J. Heterogeneous R&D, Government Support and China’s Technological Innovation Dilemma[J]. Economic Research Journal, 2018,53(9):116-132
[8] 周璇,陶长琪. 技术融合式创新对产业结构高度化的驱动效应研究——基于垂直式知识溢出视角[J]. 管理评论, 2021,33(7):130-142 Zhou X., Tao C. Q. Research on the Driving Effect of Technological Convergence Innovation on the High Level of Industrial Structure: Based on the Perspective of Vertical Knowledge Spillovers[J]. Management Review, 2021,33(7):130-142
[9] Zhang X. W., Liu C. K. Research on Innovation Knowledge Spillover Effect of China’s High-tech Industry R&D-Base on Multidimensional Spatial Weight Matrices[J]. Journal of Advanced Computational Intelligence and Intelligent Informatics, 2018,22(4):437-447
[10] 邵朝对,苏丹妮. 产业集聚与企业出口国内附加值:GVC升级的本地化路径[J]. 管理世界, 2019,35(8):9-29 Shao C. D., Su D. N. Industrial Agglomeration and Firms’ Domestic Value Added in Exports: A Localised path to GVC Upgrading[J]. Journal of Management World, 2019,35(8):9-29
[11] 苏丹妮,盛斌,邵朝对,等. 全球价值链、本地化产业集聚与企业生产率的互动效应[J]. 经济研究, 2020,55(3):100-115 Su D. N., Shen B., Shao C. D., et al. Global Value Chain, Industry Agglomeration and Firm Productivity’s Interactive Effect[J]. Economic Research Journal, 2020,55(3):100-115
[12] 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]. 管理评论, 2019,31(1):81-89 Pang L. X., Guan J. C., Gao F. Research on Mechanism and Determinants of International Knowledge Spillover Effects[J]. Management Review, 2019,31(1):81-89
[13] Coe D. T., Helpman E. International R&D Spillovers[J]. European Economic Review, 1995,39(5):859-887
[14] Ciccone A., Hall R. E. Productivity and the Density of Economic Activity[J]. The American Economic Review, 1996,86(1):54-70
[15] Alan, Deardorff V. Fragmentation in Simple Trade Models[J]. The North American Journal of Economics and Finance, 2001,12(2):121-137
[16] Dixit A. K., Grossman G. M. Trade and Protection with Multi-stage Production[J]. Review of Economic Studies, 1982,49(4):583-594
[17] 王直,魏尚进,祝坤福. 总贸易核算方法:官方贸易统计与全球价值链的度量[J]. 中国社会科学, 2015,(9):108-206 Wang Z., Wei S. J., Zhu K. F. Gross Trade Accounting Method: Official Trade Statistics and Measurement of the Global Value Chain[J]. Social Sciences in China, 2015,(9):108-206
[18] McMillen D. P. Geographically Weighted Regression: The Analysis of Spatially Varying Relationships[J]. American Journal of Agricultural Economics, 2004,86(2):554-556
[19] Qin X. H., Du D. B., Kwan M. P. Spatial Spillovers and Value Chain Spillovers: Evaluating Regional R&D Efficiency and Its Spillover Effects in China[J]. Scientometrics, 2019,119(1):721-747
[20] 谢千里,罗斯基,张轶凡. 中国工业生产率的增长与收敛[J]. 经济学(季刊), 2008,7(3):809-826 Xie Q. L., Luo S. J., Zhang Y. F. Productivity Growth and Convergence across China’s Industrial Economy[J]. China Economic Quarterly, 2008,7(3):809-826
[21] Koopman R., Wang Z., Wei S. J. Tracing Value-added and Double Counting in Gross Exports[J]. Social Science Electronic Publishing, 2014,104(2):459-494
[22] Koopman R., Powers W. M., Wang Z., et al. Give Credit Where Credit Is Due: Tracing Value Added in Global Production Chains[R]. National Bureau of Economic Research, 2010
[23] Antràs P., Chor D., Fally T., et al. Measuring the Upstreamness of Production and Trade Flows[J]. The American Economic Review, 2012,102(3):412-416
[24] 鞠方,雷雨亮,周建军. 经济开放度、房地产价格及其空间溢出[J]. 中国软科学, 2016,(10):147-158 Ju F., Lei Y. L., Zhou J. J. Economic Openness, Real Estate Price and Spatial Spillover[J]. China Soft Science, 2016,(10):147-158
[25] Upward R., Wang Z., Zheng J. H. Weighing China’s Export Basket: The Domestic Content and Technology Intensity of Chinese Exports[J]. Journal of Comparative Economics, 2013,41(2):527-543
[26] 张杰,陈志远,刘元春. 中国出口国内附加值的测算与变化机制[J]. 经济研究, 2013,48(10):124-137 Zhang J., Chen Z. Y., Liu Y. C. Measuring the Domestic Value Added in China’s Exports and the Mechanism of Change[J]. Economic Research Journal, 2013,48(10):124-137