创新、企业生产率与国际市场进入模式选择

【作者】 王智新；

【导师】 赵景峰；

【作者基本信息】 西北大学 ， 世界经济， 2014， 博士

【摘要】 经济全球化和贸易自由化的不断深入促进了生产要素的全球优化配置和价值链条的世界战略布局,潜移默化地改变着当今世界的政治经济版图。越来越多的企业为了规避贸易壁垒、获取战略资源、吸收共性技术、优化产品结构、扩大经营收益、重塑市场格局等,纷纷走出国门,走向世界市场,开展国际化经营,在符合当今世界政治多极化和经济全球化发展趋势的同时,促进了企业品牌化、资本化和高端化,增强了国家竞争力、影响力和吸引力,成为当代中国企业国际化舞台上一道靓丽的风景线。国际市场进入模式的研究始于国际投资理论,经过不断的发展、丰富而日臻完善。尤其是聚焦于异质性企业的新新贸易理论的提出,为这项研究开辟了更为广阔的发展领域和创新空间。新新贸易理论认为,只有生产率高的企业才能进入国际市场和进行国际化经营,生产率较低的企业仅能服务国内市场,生产率最低的企业不得不退出市场。长期以来,我国企业自主创新能力较低,企业生产率整体水平不高,国际化发展经验尚浅,缺乏清晰的国际化战略。选择适宜的国际市场进入模式是企业能否成功走向国际市场,进行国际化经营的关键。本文在企业异质性视角下,将创新、企业生产率与国际市场进入模式选择三者联系起来,系统研究了三者之间相互影响的内在机理,并用企业微观数据进行检验。具体来说,本文从文献综述入手,回顾和评述了企业国际化理论和新新贸易理论的国内外研究进展,并将创新、企业生产率和国际市场进入模式选择问题作为本文的研究重点(第二章)。首先,本文进行了企业异质性理论分析,探讨企业异质性的内涵和在国际贸易中的普适性,较为详细地介绍了HMY框架下异质性企业国际市场进入模式选择,将创新因素纳入其中(第三章)。接着,本文在企业异质性视角下分别探讨了创新、企业生产率与国际市场进入模式之间的互动关系,充分考虑企业国际化的实际情况,例如间接出口、创新异质(不同创新程度和不同创新类型)、联合经营、出口平台型FDI等情况(第四章、第五章)。其次,本文以出口模式为例,利用企业微观数据对前文得到的结论进行了实证分析(第六章)。最后,本文将每章的结论进行归纳概括总结得到了全文结论(第七章)。本文的主要结论是,企业进入国际市场必须选择与生产率相适宜的模式。在异质性视角下,创新、企业生产率与国际市场进入模式之间存在良性互动关系。考虑运输成本为零和创新绩效异质的情况,创新在企业选择出口模式进入国际市场过程中发挥着重要作用。考虑联合经营和出口平台型FDI的情况,创新依然显著影响企业选择投资模式进入国际市场。当企业生产率保持不变或者保持固定增长率时,企业选择出口模式或者投资模式进入国际市场；当企业生产率保持随机波动时,出口模式不再是最优模式,企业最终将选择投资模式进入国际市场。创新能够提高企业生产率水平,缩短与生产率阀值之间的差距,减少进入国际市场之前的等待时间,促进企业选择适宜的模式进入国际市场,获得较高的国际化投资收益。企业选择国际市场进入模式主要依据是企业生产率相对水平。对于企业来说,企业应不断进行创新,努力提高创新绩效,提升企业国际化经营水平。对于政府来说,政府应从全球视野谋划,构建以企业为主体,以市场为导向,产学研相结合的技术创新体系,更加注重企业协同创新能力,努力提高企业创新绩效。应当降低政府补贴,不断降低企业成本,逐步扩大企业规模,提高企业生产率。降低政府对企业的补贴,建立政府补贴动态监测机制和创新激励平台,通过税收优惠、反馈交互、评估累计等形式,提高企业进行技术创新的积极性。加强国内基础设施建设,全面清理好规范各种交通运输行政事业性收费,降低出口企业的市场进入成本、出口固定成本和出口运输成本。加强国际贸易合作与交流,简化和协调国内外各种贸易程序。通过消除信息盲点、堵塞信息漏洞、加强信息反馈等举措促进三者良性互动。更多还原

【Abstract】 The pervasiveness of economic globalization and trade liberalization promotes the world optimal allocation of production factors and the world strategy layout of the value chain, subtly changing political and economic landscape in the world. In order to circumvent the trade barriers, obtain strategic resources, acquire generic technology, optimize product structure, expand operating earnings, reshape market pattern, etc., more and more companies have to go abroad, and go towards the world market, and carry out international operation, which is in accord with the trend of political multi-polarization and economic globalization in the world today, meanwhile, and promote enterprise branding, capitalization and high-end and enhance national competitiveness, influence and attractions, becoming a beautiful scenery line on the contemporary Chinese enterprises internationalization stage.International market entry mode research, beginning with international investment theories, becomes more and more perfect by continual development and enrichment. Especially new new trade theory, focusing on the enterprise heterogeneity, comes into being to open up a broader space for development field and innovation area for the study. New new trade theory suggests that the enterprises with only high productivity can enter the international market and carry out international operation, and the enterprise with lower productivity can only serve the domestic market, enterprises with the lowest productivity have to exit the domestic market. For a long time, in China enterprise independent innovation ability is low, and the overall level of labor productivity is not high, and the internationalization development experience is superficial, and all lack of a clear internationalization strategy. Choosing an appropriate international market entry mode is a key of whether enterprise success towards the international market and carry out international operation.From the perspective of firm heterogeneity, the article links the innovation, enterprise productivity and international market entry mode choice, systematically studies the inner mechanism between these three interactions and carries out tests with the enterprise micro data. Started by the literature review, This article reviews and comments research progress both at home and abroad of the enterprise internationalization theory and new new trade theory, and lays stress on the relationships of the innovation, firm productivity and international market entry mode selection (chapter2).First of all, the paper analyze the enterprise heterogeneity theory, and discuss the connotation of enterprise heterogeneity and universality in international trade, and describe heterogeneous enterprise international market entry mode choice in detail under the HMY framework, so firm can choose contract mode in addition to export model and FDI mode, and dynamic factors should be considered, and innovation factors will include (chapter3).Second, from the perspective of the enterprise heterogeneity we respectively discusses the interactive relationship of innovation, firm productivity and firm international market entry mode, fully considering the actual situation of enterprise internationalization, such as indirect export, innovation heterogeneity (different innovation degree and different innovation type), joint venture, export platform FDI, and so on (chapter4, chapter5). Then, taking export model for example, we use the conclusions obtained from the enterprise microscopic data above to make empirical analysis (chapter6). Finally, we come to the conclusion from each chapter (chapter7).In this paper, the main conclusion is that the enterprises must choose the model which is in accordance with the productivity when entering international market. From the perspective of heterogeneity, there are interactive relationships between innovation, enterprise productivity and international market entry mode. Considering transport cost is zero and the innovation performance heterogeneity, innovation plays an important role in the process of selecting the export model to enter international market. Considering the joint operation and export platform FDI mode, innovation has still significantly impact for enterprises to choose investment mode to enter the international market. When the enterprise productivity remained unchanged or maintaining a constant growth rate, companies choose the export model or investment mode to enter the international market; when productivity keeps random fluctuations, the export model is no longer the optimal mode, and firm will eventually choose investment mode to enter the international market. Innovation can improve the level of enterprise productivity, shorten the gap of productivity, reduce the waiting time before entering the international market, promote the enterprises to choose the suitable model to enter the international market, and to receive the internationalization of higher investment returns.The main reason for enterprises choosing the international market entry mode is the productivity relative level. For enterprises, enterprises should continuously innovate, and strive to improve innovation performance, and improve enterprise international operation level. From a global perspective, the government should improve the enterprise innovation performance, and try to build technology innovation system, enterprise as the main body, market oriented, industry-university-research combination and pay more attention to enterprise synergy innovation ability, and reduce the government subsidies, and continuously reduce the enterprise cost, and gradually expand enterprise scale, and improve enterprise productivity level and reduce government subsidies for the enterprise, and establish government subsidies dynamic monitoring incentive mechanism and innovation stimulation platform, and by tax incentives, feedback and cumulative evaluation improve the enthusiasm of enterprises to carry out technical innovation, and strengthen domestic infrastructure construction, and comprehensively clean up all kinds of administrative fees, and reduce transportation market entry costs, export fixed cost and export transportation cost, and strengthen international trade cooperation and communication, and simplify and coordinate all kinds of trade program at home and abroad, and promote the benign interaction by eliminating blind spots, and plugging up loopholes in information, and strengthening information feedback information measures.更多还原