FDI对我国技术创新的溢出效应研究

【作者】 李成刚；

【导师】 王沛民；

【作者基本信息】 浙江大学 ， 管理科学与工程， 2008， 博士

【摘要】 提高自主创新能力,建设创新型国家已上升为我国的国家战略。在开放经济中,一国技术创新能力的提高主要依赖于内源式创新和对外源性技术的消化吸收再创新。目前,国内外学者有关FDI溢出效应的研究,主要集中在从地区与行业内的角度探讨FDI对东道国劳动生产率或全要素生产率的影响,有关FDI行业间溢出效应的研究不多,针对FDI对东道国技术创新影响的研究明显不足。我国已成为世界上吸引FDI最多的发展中国家,引进国外先进技术,发展出我国的自主技术创新能力,才是开放政策成功的标志。因此积极研究FDI对我国技术创新的溢出效应,在理论与实践层面都具有重要意义。在相关研究文献的基础上,本文按照FDI与我国技术创新的相互关系、FDI对我国技术创新的溢出效应及其影响因素、FDI对我国技术创新的作用机制的研究思路展开研究。本文的研究数据主要来源于1998-2006年间的《中国科技统计年鉴》和《中国统计年鉴》,工业企业出口交货值的数据则来自《中国工业经济统计年鉴》。本文的研究内容和研究成果有以下几个方面:一、FDI与我国技术创新之间的关系。本文运用配对样本检验的方法,对内外资企业的技术创新差异进行了分析,结果表明相对于外资企业,内资企业的规模较大,技术水平较低;创新投入较大但质量不高,研发能力较低,创新产出较少,创新绩效较小。因而,内资企业技术创新方面在总体上落后于外资企业,这为内资企业学习、模仿外资企业的新进技术,从而提高自身的技术创新能力提供了基础。笔者进一步采用时间序列数据模型,运用协整分析与格兰杰检验的方法,研究了FDI与本土技术创新之间的关系。结果表明,FDI与我国技术创新之间存在长期的均衡关系,FDI是我国技术创新的格兰杰原因,从而证明了FDI对我国技术创新的积极溢出效应。二、FDI对我国技术创新溢出效应的存在性。本文运用面板数据模型分别从地区、行业内以及行业间的层面研究了FDI对我国技术创新的同期溢出效应与滞后期溢出效应。由于本文对FDI的测量采用了存量指标,滞后期FDI对我国技术创新的溢出效应基本不显著,并且小于同期溢出效应的大小,因此FDI同期溢出效应模型更具解释力。研究表明,科技经费投入对我国技术创新产生了积极的影响,而科技活动人员投入影响不显著,因而,科技经费仍然是影响国内技术创新发展的关键因素。实证分析表明,无论在地区还是行业层面,FDI对我国技术创新均产生了积极的溢出效应。在地区层面,FDI产生了积极的创新溢出效应;在行业层面,FDI对技术创新的水平溢出效应不显著,而垂直溢出效应显著。因此,FDI对我国技术创新的溢出效应主要通过产业关联发生。对FDI垂直溢出效应的研究表明,当以新产品销售收入为被解释变量时后向溢出效应显著,而前向溢出效应不显著;当以专利申请量为被解释变量时,后向溢出效应和前向溢出效应均显著。因此,FDI对技术创新的不同方面的影响也不同。本文从人员与产出的角度研究了FDI创新溢出的渠道,发现不同的溢出渠道也是影响FDI创新溢出效应的重要因素。笔者进一步研究了FDI在不同区域以及不同类别产业创新溢出的特征。在不同地区,FDI对我国创新溢出方面差别不大:除东部地区和中部地区具有显著差异外,八大经济区域差异不显著,按照创新能力以及吸收能力划分的区域差异也不显著。对于供应商主导型的产业和规模密集型产业,FDI的创新溢出效应以后向溢出效应为主,水平溢出效应和前向溢出效应均不显著;对于专业化供应者型产业,FDI的创新溢出效应以前向溢出效应为主,水平溢出效应和后向溢出效应均不显著;对于以科学为基础型的产业,FDI的创新溢出效应以后向溢出效应为主,水平溢出效应为负,而前向溢出效应不显著。对于以工艺创新为主的产业,FDI的创新溢出效应以后向溢出效应为主,水平溢出效应和前向溢出效应均不显著:对于以产品创新为主的产业,FDI的水平创新溢出效应与垂直创新溢出效应均不显著。三、FDI对我国技术创新溢出效应的影响因素。本文把影响因素转化为虚拟变量,构建面板数据模型分别从地区与行业层面研究了FDI对我国技术创新溢出效应的影响因素。对FDI地区层面的创新溢出效应研究表明,地区经济发展水平影响不显著,地区人力资本存量在10%水平上影响显著,地区开放度在5%水平上影响显著,而早期的地区开放政策影响不显著,交通基础设施以及电信基础设施在5%水平上显著。因此在地区层面,扩大开放,加强基础设施建设,促进人力资本积累有利于FDI的创新溢出效应。对FDI的行业内创新溢出效应研究表明,内外资企业的技术差距、资本密集度差距、研发人力资本质量差距、技术创新差距不利于FDI的创新溢出效应;内资企业的研发人力资本质量和技术创新水平、行业技术创新的可获取性、外资企业出口导向以及内外资企业的出口差距显著促进了FDI的行业内创新溢出效应。对FDI的行业间创新溢出效应研究表明,后向产业关联度的影响不显著,而前向产业关联度的影响显著为正,内外资企业的出口导向与否对FDI的垂直创新溢出效应影响不显著,行业开放度以及市场竞争度对FDI的后向创新溢出效应为负,而前向创新溢出效应为正。四、FDI对我国技术创新能力的作用机制。本文分别从地区与行业层面初步研究了不同来源FDI对国有及国有控股企业、内资企业创新能力的溢出效应。研究表明,不同来源FDI对国有及国有控股企业创新能力的溢出效应大于其对内资企业的影响。因此,国有及国有控股企业具有较高的吸收能力。港澳台来源FDI对我国企业创新能力的溢出效应小于其他来源FDI对我国企业创新能力的溢出效应。因此以往不区分来源而得出“FDI对本土企业产生显著溢出效应”的研究可能掩盖了港澳台来源FDI溢出效应不显著的事实。FDI促进了内资企业的创新投入、研发能力、创新产出以及创新绩效。创新投入在FDI促进内资企业研发能力以及创新产出的过程中具有中介效应;研发能力在FDI促进内资企业创新产出以及创新绩效的过程中具有中介效应:创新产出在FDI促进内资企业创新绩效的过程中具有中介效应。更多还原

【Abstract】 To improve the indigenous innovation capacity and to build China into an innovative country is the national strategy at present. In the open economy, the level of a country’s technological innovation capacity depends on not only the endogenic innovation but also the second innovation based on the exogenesis technology. By now, the researches on the spillover effects of FDI have mainly focused on the host country’s labor productivity or total factor productivity from the perspectives of regions and intra-industry by the domestic and foreign scholars. However, researches from the perspectives of inter-industry are rarely found, especially for the spillover effect of FDI on technological innovation in the host country. China is now the largest developing country all over the world. Successfully attracting FDI to improve the indigenous technological innovation capacity is the final target of success for open policy. So the researches on the spillover effect of FDI on technological innovation in China make sense in both academic and practical means.Based on the related literature, my research is based on such a framework as follows: firstly, we investigate the relationship between FDI and indigenous technological innovation in China, then, the spillover effects of FDI on innovation and the influencing factors, and the working mechanism of FDI on technological innovation at last. The data sourcees of the thesis are mainly from the china statistical yearbook on science and technology and china statistical yearbook from the year1998-2006, the data of export of industry product is from china industry economy statistical yearbook. The main contents and results of this research are listed as follows:1. The relationship between FDI and technological innovation in China.Using the method of Paired-Sample Test, the differences of technological innovation between MNCs and local enterprises is analyzed. The result shows that, compared with MNCs, the scales of local enterprises are larger but the technical levels are lower; the input for innovation is at higher level, while the R&D capacity is lower and the innovation output and performance are at a lower level. Therefore, as a whole, the technological innovation capability of local enterprises falls behind that of foreign capital enterprises. Which is the basis for spillover effect of FDI. Moreover, by the analysis of co-integration and Granger Causality Test, time series model was used to study the relationship between FDI and indigenous innovation. The results show that, there is long-run stable relationship between FDI and indigenous innovation and FDI is the Granger cause for indigenous innovation. These results demonstrate that the spillover effect of FDI on innovation in China is positive.2. The existence of spillover effects of FDI on innovation in China.From the perspectives of regions, intra- industry and inter-industry, the spillover effects of FDI of the same period and the delay period on innovation in China is both studied using panel data. Because the stock index is applied in the calibration of FDI, the spillover effects of FDI of the delay period is not significant and is less than those of the same period. Therefore, the model for the spillover effects of FDI of the same period is more interpretative. The studies show that, expenditures on science and technical development have a positive effect on the technological innovation in China while the effect of the number of personnel for science and technical development is not significant .So, the expenditures on science and technical development is the key factor for the developing of technological innovation in China.Empirical analysis shows, no matter from the perspective of region level or industry level, FDI has positive spillover effects on the technological innovation in China. From the perspective of region level, FDI has positive innovative spillover effects; from industry level, the vertical spillover effects of FDI on technological innovation are significant while the horizontal effects are not. So, the spillover effect of FDI in China is mainly by the means of industry linkages. The study on vertical spillover effects of FDI indicates that: when the sales income of new product is deemed as explanatory variable, backward spillover effects are significant while the forward effects are not; when the patent application amount is explanatory variable, both backward and forward spillover effects are significant. So, the vertical spillover effects of FDI vary with the different side of innovation.From the perspective of personnel and production, innovation spillovers channels of FDI are studied, which are also the important factors, affecting the innovation spillovers of FDI. At the same time, this paper studied the characteristics of innovation spillovers from different regions and industries further. In different regions, the differences of innovation spillover of FDI in China are little: despite of the distinct differences between east and middle China, the differences of eight economic regions are not significant and those of the regions divided by innovation capability and absorption capability are not either. As for the supplier-dominated sectors, scale-intensive sectors and process innovation-predominant industry, the backward spillover effects are significant while the horizontal effects and forward effects are not; as for the specialized suppliers sectors, the forward spillover effects are significant while the level effects and backward effects are not; as for the science-based sectors, the backward spillover effects are significant and the level effects are negative; as for the product innovation oriented industry, both the horizontal and vertical innovation spillover effects are not significant.3. The influencing factors of spillover effects of technological innovation of FDI.We treat the influencing factors as pseudo variable to build panel data model, these influencing factors of spillover effects on innovation of FDI are studied from the levels of regions and industries. The studies on regional level show as follows: the effect of the regional economic level are not significant; the effect of human capital is significant at the level of 10%; the effect of opening up is significant at the level of 5% ; while the effect of earlier policy for opening up are not; the effect of traffic and telecommunications infrastructure are significant. at the level of 5%. So, broadening opening up, reinforcing the level of infrastructure and improving the level of human capital are good for the spillover effect of FDI on innovation.The studies on intra-industry innovation spillover effect of FDI shows that, technology gap of local and foreign enterprises, capital intensity gap, quality gap of R&D human capital and technological innovation gap are not beneficial to the innovation spillover of FDI; the quality of R&D human capital of domestic capital enterprises and the level of technology innovation, the level of appropriability of innovation, export-orientation of foreign capital enterprises and export gap of domestic and foreign enterprises significantly improve the intra-industrial innovation spillover of FDI. The studies on inter-industry innovation spillover effects of FDI shows, the level of backward linkages are not significant; while the level of forward linkages are significant and positive; export-orientation of domestic and foreign capital enterprises is not significant to the vertical innovation spillover effects of FDI; the industrial opening degree and market competition have negative effects on the vertical spillover of FDI and have positive effects on the forward spillover of FDI.4. The action mechanism of FDI on the technological innovation capability in China.We carry out Empirical Study with FDI from HMT, other countries and FDI in general on the Innovation Capacity of state-owned and controlled enterprises, domestic enterprises from the perspectives of region and industry separately. Empirical analysis shows, Different Sources of FDI’s Spillover effects on the innovation capacity of state-owned and controlled enterprises is larger than that of domestic enterprises’, so the absorption capability of the state-owned and controlled enterprises is larger. The Spillover effects of FDI from HMT on the innovation capacity in China is lower than that of FDI from other countries’, so the researches with the conclusion that FDI has positive spillover effects on innovation capacity in China may conceal the fact that the Spillover effects of FDI from HMT is no significant.FDI can facilitate the innovation input, R&D capability, innovation output and innovation performance of local enterprise. The innovation inputt has the mediating effects on the facilitating process of FDI to R&D capability and innovation output of local enterprise; The R&D capability has the mediating effects on the facilitating process of FDI to innovation output and innovation performance of local enterprise; The innovation output has the mediating effects on the facilitating process of FDI to innovation performance of local enterprise.更多还原