本文运用随机前沿生产函数测算了中国高技术产业国有和非国有部门的自主创新效率变化和分解,并按所有制结构分组检验FDI质量特征的溢出效应。结果表明:(1)高技术产业非国有企业自主创新效率增速显著快于国有且增长源泉存在显著差异。非国有自主创新变化主要源于技术进步率和要素配置效率的快速增长,国有部门主要源于技术效率和规模效率的提升。(2)FDI质量特征和所有制结构会直接影响FDI对高技术产业技术溢出的程度甚至方向。外资技术含量、盈利能力有利于FDI对自主创新的正向溢出,平均规模不利于FDI对自主创新的溢出,但是这种影响仅仅表现为对国有企业的促进或限制,非国有企业并没有受到影响。FDI本地化程度是唯一对非国有企业产生显著正向溢出的外资质量特征。(3)外资数量与质量特征之间的交互作用在不同部门存在显著差异。
Abstract
By using Stochastic Frontier Analysis (SFA), the indigenous innovation efficiency changes and decomposition of Chinese high-tech industry are measured, and the spillover effect of FDI quantity and technological quantity is verified by groups based on ownership structure. The results show that (1) The innovation efficiency changes of private sectors grow faster than that for state-owned enterprises and growing source is significantly different. The indigenous innovation efficiency changes for private sectors mainly come from the rapid growth of technological exchange and allocation efficiency changes, while the changes for state-owned enterprises are mainly due to the ascension of technical efficiency and scale efficiency. (2)Both of foreign quality features and ownership structures are important factors affecting technology spillovers. Technology content and profitability have the positive influence on FDI spillover while average scale of FDI has the negative influence on FDI spillover, although these influences only have significant on state-owned enterprises. The localization of FDI becomes the only foreign quality feature which has the significant positive spillover affect on private sectors. (3) The interaction between quantity and quality features of FDI possesses the significant difference in different departments.
关键词
FDI质量 /
SFA /
系统GMM估计 /
企业所有制 /
自主创新效率
Key words
FDI quality /
SFA /
system-GMM /
enterprise ownership /
indigenous innovation efficiency
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基金
黑龙江省社科基金(08B025);教育部博士点基金(200802130048);国家自然科学基金重点项目(71033002);大连理工大学人才引进资金资助。
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