FDI质量对高技术产业自主创新效率的溢出效应——基于企业所有制结构视角的中国数据实证研究

科研管理 ›› 2011, Vol. 32 ›› Issue (8): 57-66.

FDI质量对高技术产业自主创新效率的溢出效应——基于企业所有制结构视角的中国数据实证研究

孙玮¹, 王九云¹, 成力为²

1. 哈尔滨工业大学管理学院,黑龙江哈尔滨 150001;
2. 大连理工大学管理与经济学部经济学院,辽宁大连 116024

收稿日期:2009-12-28 修回日期:2010-08-09 出版日期:2011-08-27 发布日期:2011-08-12
作者简介:孙玮(1984-),女(汉),山西永济市人,哈尔滨工业大学经济与管理学院博士研究生,研究方向:FDI与产业创新。王九云(1946-),男(汉),黑龙江哈尔滨人,教授,博导,研究方向:技术创新管理。成力为(1960-),女(汉),湖南津市人,教授,博导,研究方向:金融发展与创新。
基金资助:
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。

Spillover effect of FDI quality on high-tech indigenous innovation efficiency-Based on the perspective of ownership structure

Sun Wei¹, Wang Jiuyun¹, Cheng Liwei²

School of Management, Harbin Institute of Technology, Harbin 150001, China

Received:2009-12-28 Revised:2010-08-09 Online:2011-08-27 Published:2011-08-12

摘要/Abstract

摘要： 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。

关键词: FDI质量, SFA, 系统GMM估计, 企业所有制, 自主创新效率

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.

Key words: FDI quality, SFA, system-GMM, enterprise ownership, indigenous innovation efficiency

中图分类号:

F062.4

孙玮, 王九云, 成力为. FDI质量对高技术产业自主创新效率的溢出效应——基于企业所有制结构视角的中国数据实证研究[J]. 科研管理, 2011, 32(8): 57-66.

Sun Wei, Wang Jiuyun, Cheng Liwei. Spillover effect of FDI quality on high-tech indigenous innovation efficiency-Based on the perspective of ownership structure[J]. Science Research Management, 2011, 32(8): 57-66.

参考文献

[1] 赵国庆,张中元. FDI溢出效应、创新活动与技术进步—基于中国高技术产业的实证分析[J]. 经济理论与经济管理, 2008(11):25-30. [2] Liu,X. and Buck,T. Innovation Performance and Channels for International Technology Spillovers; Evidence from Chinese High-tech Industries[J]. Research Policy, 2007,36(3):355-366. [3] 蒋殿春,张宇.行业特征与外商直接投资的技术溢出效应:基于高新技术产业的经验分析[J]世界经济, 2006(10):21-30. [4] 邓路,高连水. FDI强度与自主创新效率—基于我国高技术产业的面板数据[J]. 经济与管理研究, 2009(4): 20-24. [5] 张海洋. R&D两面性、外资活动与中国工业生产率增长[J].经济研究,2005(5): 107-117. [6] 陈琳,林珏. 外商直接投资对中国制造业企业的溢出效应,基于企业所有制结构的视角[J]. 管理世界,2009(9):24-33. [7] 田泽永,江可申,江宏. FDI溢出效应对民营经济的影响—基于省际面板数据的实证研究[J].研究与发展管理, 2010(1):10-17. [8] Assanie, N. and Singleton, B. The Quality of Foreign Direct Investment: Does it Matter for Economic Growth? . Working Paper ,2001. [9] Fortanier, F. Foreign Direct Investment and Host Country Economic Growth: Does the Investor s Country of Origin Play a Role?[J] Transnational Corporations,2007,16(2): 41-76. [10] 孟亮, 宣国良.不同来源FDI在华技术溢出效应实证研究[J].科研管理, 2005(9): 115-120. [11] 王成岐,张嫚.外商直接投资对中国制造业内资企业绩效的影响[J].世界经济,2005(9):17-27. [12] 傅元海,唐未兵,王展祥. FDI溢出机制、技术进步路径与经济增长绩效[J].经济研究,2010(6):92-104. [13] 黄亚生著.钱勇,王润亮译. 改革时期的外国直接投资[M].新星出版社,北京,2005. [14] Battese G.E. and T.J Coello. Frontier production functions ,Technical Efficiency and Panel Data:With Application to Paddy Farmers in Indian[J]. Journal of Productivity Analysis,1992(2):153-169. [15] Kumbhakar S.C . Estimation and Decomposition of Productivity Change when production is not Efficient: A Panel Data Approch[J]. Economic Review,2000(19):425-460. [16] 张军,陈诗一,Gary H.Jefferson. 结构改革与中国工业增长[J]. 经济研究,2009(7):4-20. [17] Kumar, N. Quality of flows as important as magnitude:http://fe columnists . Express india. com/full_column. php?content_id=107501.2005,Nov 03,Thursday. [18] Laura Alfaro, Andrew Charlton. Growth and the Quality of Foreign Direct Investment:Is All FDI Equal? . Harvard Working Paper,2007.