外资研发是否促进了本土创业:基于中国高技术制造企业的联立方程模型研究
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摘要
文章构造了包括知识积累、外资研发和本土创业三个内生变量的联立方程组模型,并利用中国6个高技术产业的企业层面数据,对外资研发对本土创业的影响进行了实证分析。研究发现外资研发对本土创业的影响具有双重效应,一方面外资研发通过增加知识积累这一重要机制促进了本土创业,另一方面外资研发活动在人力资本和各类资源方面的竞争也会抑制本土创业意愿。此外,本土创业活动对外资研发也会有反作用。在这种复杂互动机理的影响下,政府政策与政策目标之间的传统关联发生了变化,引资政策亟待创新以适应这种新变化。文章具体分析了税收政策、政府补贴与知识产权保护政策、金融市场化改革和城市化进程对知识积累、外资研发和本土创业的影响,进而提出了相应的政策建议。
This paper constructs a simultaneous equations model that includes three endogenous variables: knowledge accumulation,foreign-funded R&D,and local entrepreneurship. Using the company-level data of six high-tech industries in China,the paper empirically analyzes the impact of foreign-funded R&D on local entrepreneurship. This paper finds that the impact of foreign-funded R&D on local entrepreneurship has a dual effect. On one hand,foreign-funded R&D promotes local entrepreneurship by increasing knowledge accumulation as an important mechanism. On the other hand,competition of foreign-funded R&D activities in human capital and various resources will also inhibit local entrepreneurial intention. In addition,local entrepreneurial activities can also have a counter effect on foreign-funded R&D. Under the influence of this complex interaction mechanism,the traditional relationship between government policies and policy objectives has also changed,and foreign investment policy needs to be innovative to adapt to this new change. This paper specifically analyzes the impact of tax policies,government subsidies and intellectual property protection policies,financial marketization reforms,and urbanization processes on knowledge accumulation,foreignfunded R&D,and local entrepreneurship,and then puts forward corresponding policy recommendations.
This paper constructs a simultaneous equations model that includes three endogenous variables: knowledge accumulation,foreign-funded R&D,and local entrepreneurship. Using the company-level data of six high-tech industries in China,the paper empirically analyzes the impact of foreign-funded R&D on local entrepreneurship. This paper finds that the impact of foreign-funded R&D on local entrepreneurship has a dual effect. On one hand,foreign-funded R&D promotes local entrepreneurship by increasing knowledge accumulation as an important mechanism. On the other hand,competition of foreign-funded R&D activities in human capital and various resources will also inhibit local entrepreneurial intention. In addition,local entrepreneurial activities can also have a counter effect on foreign-funded R&D. Under the influence of this complex interaction mechanism,the traditional relationship between government policies and policy objectives has also changed,and foreign investment policy needs to be innovative to adapt to this new change. This paper specifically analyzes the impact of tax policies,government subsidies and intellectual property protection policies,financial marketization reforms,and urbanization processes on knowledge accumulation,foreignfunded R&D,and local entrepreneurship,and then puts forward corresponding policy recommendations.
引文
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[3] Acs Z. J.,Braunerhjelm P.,Audretsch D. B.,Carlsson B.. The knowledge spillover theory of entrepreneurship[J]. Small Bus Econ(2009)32:15–30.
[4] Cantwell J.,Piscitello L.. The location of technological activities of MNCs in European regions:The role of spillovers and local competencies[J]. Journal of International Management,2002,8(1):69-96.
[5] Djankov S.,Hoekman B.. Foreign Investment and Productivity Growth in Czech Enterprises[J]. World Bank Economic Review,2000,14(1):49-64.
[6] Gene M. Grossman. International Trade,Foreign Investment,and the Formation of the Entrepreneurial Class[J]. Nber Working Papers,1983(4):605-614.
[7] Greenwald B.,Stiglitz J. E.. Helping Infant Economies Grow:Foundations of Trade Policies for Developing Countries[J]. American Economic Review,2007,96(2):141-146.
[8] K. Arrow. The Economic Implication of Learning by Doing[J]. Review of Economics&Statistics,1962(3):155-173.
[9] Meyer K. E.. Perspectives on Multinational Enterprises in Emerging Economies[J]. Journal of International Business Studies,2004,35(4):259-276.
[10] Nigel Driffield. Indirect Employment Effects of Foreign Direct Investment into the UK[J]. Bulletin of Economic Research,2003(3):207-222.
[11] Nunn N.,Trefler D.. The Structure of Tariffs and Long-Term Growth[J]. American Economic Journal Macroeconomics,2010,2(4):158-194.
[12] Philippe Aghion,Mathias Dewatripont,Luosha Du,Ann Harrison,Patrick Legros. Industrial Policy and Competition[J]. National Bureau of Economic Research Working Paper Series,2012.
[13] Pitelis C. N.,Teece D. J.. Cross-border market co-creation,dynamic capabilities and the entrepreneurial theory of the multinational enterprise[J]. Industrial&Corporate Change,2010,19(4):1247-1270.
[14] Thomas M. Porcano. Corporate tax rates:Progressive,proportional,or regressive[J]. Journal of the American Taxation Association,1986(2):17-31.
[15]保永文.知识产权保护、技术引进与中国制造业技术创新——基于面板数据的实证检验[J].国际贸易问题,2017(6):38-49.
[16]丛屹,周怡君.当前我国税制的“税负刚性”特征、效应及政策建议——基于2013~2016年制造业上市公司数据的实证分析[J].南方经济,2017(6):53-63.
[17]崔新健,王生辉,柴庆春.基于国家创新体系的外资研发中心研究框架[J].中国科技论坛,2007(2):17-20.
[18]戴维·兰德斯,乔尔·莫克,威廉·鲍莫尔,David S. Landes,Joel Mokyr,William J. Baumol.历史上的企业家精神[M].中信出版集团,2016.
[19]樊纲,王小鲁,朱恒鹏.中国市场化指数:各地区市场化相对进程2009年报告[M].北京:经济科学出版社,2010:259-288.
[20]何洁.外国直接投资对中国工业部门外溢效应的进一步精确量化[J].世界经济,2000(12):29-36.
[21]吉生保,王晓珍.外资研发嵌入与国企研发效率——价值链视角的高技术产业为例[J].国际贸易问题,2016(1):93-108.
[22]冀相豹.中国对外直接投资影响因素分析——基于制度的视角[J].国际贸易问题,2014(9):98-108.
[23]李宏彬,李杏,姚先国,张海峰,张俊森.企业家的创业与创新精神对中国经济增长的影响[J].经济研究,2009(10):99-108.
[24]李涛,朱俊兵,伏霖.聪明人更愿意创业吗?——来自中国的经验发现[J].经济研究,2017(3):92-105.
[25]李政,佟鑫. FDI是否抑制了中国企业家精神的形成——基于面板门限模型的分析[J].社会科学研究,2013(2):44-50.
[26]刘骏,刘峰.财政集权、政府控制与企业税负——来自中国的证据[J].会计研究,2014(1):21-27.
[27]刘丽娟.外资研发中心嬗变[J].中国外汇,2013(24):20-22.
[28]刘鹏程,李磊,王小洁,刘斌. FDI对东道国企业家精神的动态影响[J].当代经济科学,2013(4):32-41.
[29]卢潇潇,吉生保,王晓珍.外资研发嵌入的内外因辨析:市场化进程还是国际贸易竞争力[J].国际贸易问题,2016(8):119-130.
[30]毛其淋.经济开放、城市化水平与城乡收入差距——基于中国省际面板数据的经验研究[J].浙江社会科学,2011,2011(1):11-22.
[31]裴长洪.我国利用外资30年经验总结与前瞻[J].财贸经济,2008(11):26-37.
[32]柒江艺,许和连.行业异质性、适度知识产权保护与出口技术进步[J].中国工业经济,2012(2):79-88.
[33]田毕飞,陈紫若. FDI、制度环境与创业活动:挤入效应与补偿机制[J].统计研究,2017,34(8):19-31.
[34]王戴黎.外资企业工作经验与企业家创业活动:中国家户调查证据[J].管理世界,2014(10):136-148.
[35]王红领,李稻葵,冯俊新. FDI与自主研发:基于行业数据的经验研究[J].经济研究,2006(2):44-56.
[36]王小鲁,樊纲.中国地区差距的变动趋势和影响因素[J].经济研究,2004(1):33-44.
[37]威廉·鲍莫尔.创新:经济增长的奇迹.郭梅军等译,北京,中信出版社,2016:249-266.
[38]吴联生.国有股权、税收优惠与公司税负[J].经济研究,2009(10):109-120.
[39]武力超,范芹.知识产权保护、政治稳定和出口自然资源禀赋——基于中低收入发展中国家FDI流入的考察[J].国际贸易问题,2012(12):148-159.
[40]徐康宁,陈健.跨国公司价值链的区位选择及其决定因素[J].经济研究,2008(3):138-149.
[41]闫华飞.创业行为、创业知识溢出与产业集群发展绩效[J].科学学研究,2015,33(1):98-105.
[42]严太华,刘焕鹏.自主研发与知识积累:基于金融发展视角的门限模型研究[J].中国管理科学,2015(5):73-81.
[43]余珮,陈继勇.新经济地理学框架下跨国公司在中国分层区位选择研究[J].世界经济,2012(11):31-58.
[44]张辉,刘佳颖,何宗辉.政府补贴对企业研发投入的影响——基于中国工业企业数据库的门槛分析[J].经济学动态,2016(12):28-38.
[45]张晖明,张亮亮.企业家资本:解释“欧洲悖论”的一个新的视角[J].复旦学报(社会科学版),2011,53(6):99-108.
[46]张敏,叶慧芬,童丽静.财政分权、企业税负与税收政策有效性[J].经济学动态,2015(1):42-54.
[47]赵勇,白永秀.知识溢出:一个文献综述[J].经济研究,2009(1):144-156.
(1)孙迪.我国法院5年审结一审知识产权案件68. 3万件[EB/OL]. http://ip. people. com. cn/GB/n1/2018/0316/c179663-29871171. html,2018年3月16日.
[2] Acs Z. J.,Brooksbank D J.,O'Gorman C,et al.. The Knowledge Spillover Theory of Entrepreneurship and Foreign Direct Investment[J]. Small Business Economics,2007b,32(1):15-30.
[3] Acs Z. J.,Braunerhjelm P.,Audretsch D. B.,Carlsson B.. The knowledge spillover theory of entrepreneurship[J]. Small Bus Econ(2009)32:15–30.
[4] Cantwell J.,Piscitello L.. The location of technological activities of MNCs in European regions:The role of spillovers and local competencies[J]. Journal of International Management,2002,8(1):69-96.
[5] Djankov S.,Hoekman B.. Foreign Investment and Productivity Growth in Czech Enterprises[J]. World Bank Economic Review,2000,14(1):49-64.
[6] Gene M. Grossman. International Trade,Foreign Investment,and the Formation of the Entrepreneurial Class[J]. Nber Working Papers,1983(4):605-614.
[7] Greenwald B.,Stiglitz J. E.. Helping Infant Economies Grow:Foundations of Trade Policies for Developing Countries[J]. American Economic Review,2007,96(2):141-146.
[8] K. Arrow. The Economic Implication of Learning by Doing[J]. Review of Economics&Statistics,1962(3):155-173.
[9] Meyer K. E.. Perspectives on Multinational Enterprises in Emerging Economies[J]. Journal of International Business Studies,2004,35(4):259-276.
[10] Nigel Driffield. Indirect Employment Effects of Foreign Direct Investment into the UK[J]. Bulletin of Economic Research,2003(3):207-222.
[11] Nunn N.,Trefler D.. The Structure of Tariffs and Long-Term Growth[J]. American Economic Journal Macroeconomics,2010,2(4):158-194.
[12] Philippe Aghion,Mathias Dewatripont,Luosha Du,Ann Harrison,Patrick Legros. Industrial Policy and Competition[J]. National Bureau of Economic Research Working Paper Series,2012.
[13] Pitelis C. N.,Teece D. J.. Cross-border market co-creation,dynamic capabilities and the entrepreneurial theory of the multinational enterprise[J]. Industrial&Corporate Change,2010,19(4):1247-1270.
[14] Thomas M. Porcano. Corporate tax rates:Progressive,proportional,or regressive[J]. Journal of the American Taxation Association,1986(2):17-31.
[15]保永文.知识产权保护、技术引进与中国制造业技术创新——基于面板数据的实证检验[J].国际贸易问题,2017(6):38-49.
[16]丛屹,周怡君.当前我国税制的“税负刚性”特征、效应及政策建议——基于2013~2016年制造业上市公司数据的实证分析[J].南方经济,2017(6):53-63.
[17]崔新健,王生辉,柴庆春.基于国家创新体系的外资研发中心研究框架[J].中国科技论坛,2007(2):17-20.
[18]戴维·兰德斯,乔尔·莫克,威廉·鲍莫尔,David S. Landes,Joel Mokyr,William J. Baumol.历史上的企业家精神[M].中信出版集团,2016.
[19]樊纲,王小鲁,朱恒鹏.中国市场化指数:各地区市场化相对进程2009年报告[M].北京:经济科学出版社,2010:259-288.
[20]何洁.外国直接投资对中国工业部门外溢效应的进一步精确量化[J].世界经济,2000(12):29-36.
[21]吉生保,王晓珍.外资研发嵌入与国企研发效率——价值链视角的高技术产业为例[J].国际贸易问题,2016(1):93-108.
[22]冀相豹.中国对外直接投资影响因素分析——基于制度的视角[J].国际贸易问题,2014(9):98-108.
[23]李宏彬,李杏,姚先国,张海峰,张俊森.企业家的创业与创新精神对中国经济增长的影响[J].经济研究,2009(10):99-108.
[24]李涛,朱俊兵,伏霖.聪明人更愿意创业吗?——来自中国的经验发现[J].经济研究,2017(3):92-105.
[25]李政,佟鑫. FDI是否抑制了中国企业家精神的形成——基于面板门限模型的分析[J].社会科学研究,2013(2):44-50.
[26]刘骏,刘峰.财政集权、政府控制与企业税负——来自中国的证据[J].会计研究,2014(1):21-27.
[27]刘丽娟.外资研发中心嬗变[J].中国外汇,2013(24):20-22.
[28]刘鹏程,李磊,王小洁,刘斌. FDI对东道国企业家精神的动态影响[J].当代经济科学,2013(4):32-41.
[29]卢潇潇,吉生保,王晓珍.外资研发嵌入的内外因辨析:市场化进程还是国际贸易竞争力[J].国际贸易问题,2016(8):119-130.
[30]毛其淋.经济开放、城市化水平与城乡收入差距——基于中国省际面板数据的经验研究[J].浙江社会科学,2011,2011(1):11-22.
[31]裴长洪.我国利用外资30年经验总结与前瞻[J].财贸经济,2008(11):26-37.
[32]柒江艺,许和连.行业异质性、适度知识产权保护与出口技术进步[J].中国工业经济,2012(2):79-88.
[33]田毕飞,陈紫若. FDI、制度环境与创业活动:挤入效应与补偿机制[J].统计研究,2017,34(8):19-31.
[34]王戴黎.外资企业工作经验与企业家创业活动:中国家户调查证据[J].管理世界,2014(10):136-148.
[35]王红领,李稻葵,冯俊新. FDI与自主研发:基于行业数据的经验研究[J].经济研究,2006(2):44-56.
[36]王小鲁,樊纲.中国地区差距的变动趋势和影响因素[J].经济研究,2004(1):33-44.
[37]威廉·鲍莫尔.创新:经济增长的奇迹.郭梅军等译,北京,中信出版社,2016:249-266.
[38]吴联生.国有股权、税收优惠与公司税负[J].经济研究,2009(10):109-120.
[39]武力超,范芹.知识产权保护、政治稳定和出口自然资源禀赋——基于中低收入发展中国家FDI流入的考察[J].国际贸易问题,2012(12):148-159.
[40]徐康宁,陈健.跨国公司价值链的区位选择及其决定因素[J].经济研究,2008(3):138-149.
[41]闫华飞.创业行为、创业知识溢出与产业集群发展绩效[J].科学学研究,2015,33(1):98-105.
[42]严太华,刘焕鹏.自主研发与知识积累:基于金融发展视角的门限模型研究[J].中国管理科学,2015(5):73-81.
[43]余珮,陈继勇.新经济地理学框架下跨国公司在中国分层区位选择研究[J].世界经济,2012(11):31-58.
[44]张辉,刘佳颖,何宗辉.政府补贴对企业研发投入的影响——基于中国工业企业数据库的门槛分析[J].经济学动态,2016(12):28-38.
[45]张晖明,张亮亮.企业家资本:解释“欧洲悖论”的一个新的视角[J].复旦学报(社会科学版),2011,53(6):99-108.
[46]张敏,叶慧芬,童丽静.财政分权、企业税负与税收政策有效性[J].经济学动态,2015(1):42-54.
[47]赵勇,白永秀.知识溢出:一个文献综述[J].经济研究,2009(1):144-156.
(1)孙迪.我国法院5年审结一审知识产权案件68. 3万件[EB/OL]. http://ip. people. com. cn/GB/n1/2018/0316/c179663-29871171. html,2018年3月16日.