经济开放、异质性和技术创新研究
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摘要
《中国十二五发展规划》明确提出“以开放促发展、促改革、促创新”的指导思路,充分利用对外开放,加大我国科技创新力度,缩小与发达国家的距离,成为当前我国经济发展所面临的重要课题。那么对外开放、企业异质性与全要素生产率间存在怎样的相互作用机理?如何解读开放型经济体系下中国工业行业技术进步模式的选择问题?创新驱动型经济增长模式的微观基础何在?以这些问题为导向,本论文研究重点集中在如下几个方面。
首先,本论文运用参数与半参数相结合的方法分别测度和比较分析了1993-2010年30个省份、36个工业行业以及8443家内资企业和6031家外资企业共计14474家企业的全要素生产率,并进一步探讨了行业、地区的异质属性对全要素生产率的影响。其次,论文利用中国微观企业面板数据,从超越对数生产函数出发,纳入出口状态变量,充分控制企业异质属性,深入考察出口行为与我国企业生产率之间的作用机理；并基于“自我选择”假说和“出口中学”假说之争,进一步检验出口行为和企业生产率间的因果关联。再次,利用生产函数溢值法,考察了外商直接投资与企业全要素生产率之间的关系。引入多门槛模型,考察是否存在技术差距的“门槛”,检验了外商直接投资技术溢出的持续性问题。相关研究结果表明尽管过去20年间中国工业行业全要素生产率有了普遍提高,但当前本土企业与国际技术领先尚有较大差距。出口企业的生产率相对非出口企业高出20%-30%,而这一生产率优势被较为稳健的归结于“出口中学”效应的结果。就外商直接投资而言,内资具有相匹配的吸收能力是外商直接投资技术外溢发生的前提；本土企业可以充分利用外资、通过技术模仿获得较自主创新更为“快捷”的技术进步,获得后发优势；但随着本土技术水平趋近于外资技术,模仿成本的增加以及内外资在产品市场日趋激烈的竞争导致技术外溢表现出边际递减的特性,企业自生能力的培育迫在眉睫。
进一步的,论文提出了技术差距的“双刃”性将导致外商直接投资技术外溢非线性变化的假说,进一步通过将技术模仿和技术外溢同时纳入质量阶梯型增长模型,构建吻合中国经济发展实际的内生增长模型。通过求解一般均衡状态下的稳态均衡解剖析开放经济条件下研发资源在自主创新与技术模仿间的最优分配,并深入分析均衡条件下技术差距与技术模仿之间的内生关联,为研究技术后发国技术进步模式及决定机制提供了分析框架。其次,本论文将企业的异质性拓展为竞争性技术、国际贸易成本和具有异质性技术水平三类因素的综合,推陈出技术变量和政策变量内生驱动的一般均衡模型,考察贸易条件下不同类型企业的福利分析,为分析开放经济系统中技术变迁提供来自微观层面的分析框架。相关结论为解析开放型经济体系下中国工业行业技术进步模式的选择问题提供了源自理论层面的支撑。
为回答第三个问题,论文采用中国企业微观数据,将外商直接投资、进口贸易、出口贸易和国际技术许可同时纳入分析框架,充分考虑包括企业所有制类型、行业特征等异质性问题对技术创新的影响,通过构建Probit随机效应模型考察了开放经济条件下中国本土企业自主创新的内生决定机制。同时,本论文采用27个发达国家和59个发展中国家的面板数据从制度层面考察了开放经济条件下技术创新的决定问题,并聚焦于比较分析知识产权制度与技术创新间的作用机理在南、北国家间的异同。相关实证研究结论表明：不同国际技术转移方式对企业技术创新的影响存在显著差异性。外商直接投资并未促进企业技术创新；相比之下,国际贸易和国际技术许可对中国企业自生能力的培育起到更为积极的作用。而从企业所有制结构来看,外资占比较高的企业,自主创新能力匮乏；而内资企业,尤其是民营企业扮演着中国经济转型阶段技术创新的主体。而就影响技术创新的制度因素而言,尽管知识产权保护在一定条件下促进了一国的技术创新,但过强的知识产权保护将降低技术创新的速率,因此存在一个最优的知识产权保护范围；且发达国家的最优知识产权保护力度高于发展中国家,因此发达国家强调发展中国家应具有与发达国家一致的知识产权保护力度是不符合发展中国家长期利益的。
The Twelfth Five-Year Development Plan has put forward the guiding idea that let open policy promote economic development, reform, and innovation. Taking full advantage of the open policy, strengthening scientific and technological innovation, and narrowing the technology gap with the developed countries have became one of the most important issues that China's economic development facing. Under this situation, the paper tries to answer the following questions, what is the mechanism between open economy, firm heterogeneity and total factor productivity? How to interpret the choice of technological progress mode in open economies? What is the determinant mechanism of innovation from the micro-perspective? Based on these questions, this dissertation focuses on the following aspects.
This study, first, estimates and compares analysis of the total factor of productivity of30provinces and36industrial sectors from1993to2010and14474enterprises including8443domestic and6031foreign-funded enterprises using parameters and semi-parametric econometric methods. Further study is operated to explore the impact of heterogeneous properties of the industries and regions on total factor productivity. Second, this dissertation introduces the status variable of export behavior into trans-logarithmic production function, controls the firm heterogeneity properties, and examines in depth the mechanism of export behavior and Chinese enterprises'productivity using firm level panel data. Based on the controversy of self-selection hypothesis and the hypothesis of learning-by-export, we further test the causal link between export behavior and firm productivity. Using the production function spillover method, this dissertation investigates the relationship between foreign direct investment and enterprises'total factor productivity. We examine whether there is a threshold in terms of technology gap by introducing the multi-threshold model to examine the sustainability of FDI technology spillovers. The research results point out that despite the improvement of total factor productivity in Chinese industrial sectors in the past20years, there is a significant technology gap between domestic and international enterprises. The empirical results also indicate that the productivity of exporters is around20-30%higher than non-exporters. Such productivity advantages can be attributed to learning-by-exporting effects rather than self-selection efforts; that is, export activity promotes a firm's productivity. As for the foreign direct investment, the premise of technology spillovers is that the domestic enterprises have sufficient technology levels and absorptive capabilities for learning and imitation. But, in the long run, the technology spillovers from FDI will slow with the further reduction of the technology gap, which we call the marginal decrease of FDI technology spillover effects. Hence it is inevitable to cultivate the independent R&D capability of domestic enterprises.
Furthermore, this dissertation proposes a "double-edged" hypothesis in terms of technology gap which leads to nonlinear evolution of FDI technology spillovers. Also the paper considers both technology imitation and innovation into the quality ladder growth model and construct the endogenous growth model which is consistent with the reality of China's economic development. After solving the steady-state equilibrium solution, the study explains the optimal allocation of R&D resources between the independent innovation and technology to imitate, and provide a theoretical analytical framework for decision mechanisms of technological progress mode of a country that is backward in technology. In addition, we expand the concept of heterogeneity into the comprehensive one of competing technologies, the cost of international trade and the technological level. Based on stated above, we construct the general equilibrium model combining the variables of technology and policy variables, and analyze the welfare under various conditions of trade. This work provides a theoretical analysis framework for technological progress in the open economy from the micro-perspective. Relevant conclusions from theoretical model explain the endogenous choice of industrial technological progress mode in open economy.
To answer the third question, the dissertation examines the endogenous decision mechanism of innovation using the Chinese firm-level panel data by applying Probit random effects model. Especially, we introduce four main channels of international technology transfer into analysis framework, such as foreign direct investment, imports, exports and technology licensing, and fully consider the impact of heterogeneity issues on the firm's innovation, including firm's different ownership type, industry characteristics and so forth. Using panel data from27developed countries and57developing countries, the study systemically examines the relationship between IPR and technological innovation after controlling for a potential endogenous problem. According to the empirical results, we do not find the obvious evidence that FDI spur the firm technology innovation. However, the research shows that international trade and technology licensing present more positive role on promoting firm innovation in China. Furthermore, the firm with higher proportion of foreign capital has lower independent innovation capability. Domestic enterprises, especially private enterprises, play an important part in technology innovation during China's economic transformation. As for the impact of institution on innovation, empirical results support the optimal IPR hypothesis. Paper finds that the threshold effects of stronger IPR on innovation depended on the initial IPR level. Neither very strong IPR nor very weak IPR are conducive to innovation. Furthermore, the optimal level of IPR in developed countries is higher rather than in developing countries; this difference implies that adoption of IPR standard of developed countries may be inefficient for developing countries.
首先,本论文运用参数与半参数相结合的方法分别测度和比较分析了1993-2010年30个省份、36个工业行业以及8443家内资企业和6031家外资企业共计14474家企业的全要素生产率,并进一步探讨了行业、地区的异质属性对全要素生产率的影响。其次,论文利用中国微观企业面板数据,从超越对数生产函数出发,纳入出口状态变量,充分控制企业异质属性,深入考察出口行为与我国企业生产率之间的作用机理；并基于“自我选择”假说和“出口中学”假说之争,进一步检验出口行为和企业生产率间的因果关联。再次,利用生产函数溢值法,考察了外商直接投资与企业全要素生产率之间的关系。引入多门槛模型,考察是否存在技术差距的“门槛”,检验了外商直接投资技术溢出的持续性问题。相关研究结果表明尽管过去20年间中国工业行业全要素生产率有了普遍提高,但当前本土企业与国际技术领先尚有较大差距。出口企业的生产率相对非出口企业高出20%-30%,而这一生产率优势被较为稳健的归结于“出口中学”效应的结果。就外商直接投资而言,内资具有相匹配的吸收能力是外商直接投资技术外溢发生的前提；本土企业可以充分利用外资、通过技术模仿获得较自主创新更为“快捷”的技术进步,获得后发优势；但随着本土技术水平趋近于外资技术,模仿成本的增加以及内外资在产品市场日趋激烈的竞争导致技术外溢表现出边际递减的特性,企业自生能力的培育迫在眉睫。
进一步的,论文提出了技术差距的“双刃”性将导致外商直接投资技术外溢非线性变化的假说,进一步通过将技术模仿和技术外溢同时纳入质量阶梯型增长模型,构建吻合中国经济发展实际的内生增长模型。通过求解一般均衡状态下的稳态均衡解剖析开放经济条件下研发资源在自主创新与技术模仿间的最优分配,并深入分析均衡条件下技术差距与技术模仿之间的内生关联,为研究技术后发国技术进步模式及决定机制提供了分析框架。其次,本论文将企业的异质性拓展为竞争性技术、国际贸易成本和具有异质性技术水平三类因素的综合,推陈出技术变量和政策变量内生驱动的一般均衡模型,考察贸易条件下不同类型企业的福利分析,为分析开放经济系统中技术变迁提供来自微观层面的分析框架。相关结论为解析开放型经济体系下中国工业行业技术进步模式的选择问题提供了源自理论层面的支撑。
为回答第三个问题,论文采用中国企业微观数据,将外商直接投资、进口贸易、出口贸易和国际技术许可同时纳入分析框架,充分考虑包括企业所有制类型、行业特征等异质性问题对技术创新的影响,通过构建Probit随机效应模型考察了开放经济条件下中国本土企业自主创新的内生决定机制。同时,本论文采用27个发达国家和59个发展中国家的面板数据从制度层面考察了开放经济条件下技术创新的决定问题,并聚焦于比较分析知识产权制度与技术创新间的作用机理在南、北国家间的异同。相关实证研究结论表明：不同国际技术转移方式对企业技术创新的影响存在显著差异性。外商直接投资并未促进企业技术创新；相比之下,国际贸易和国际技术许可对中国企业自生能力的培育起到更为积极的作用。而从企业所有制结构来看,外资占比较高的企业,自主创新能力匮乏；而内资企业,尤其是民营企业扮演着中国经济转型阶段技术创新的主体。而就影响技术创新的制度因素而言,尽管知识产权保护在一定条件下促进了一国的技术创新,但过强的知识产权保护将降低技术创新的速率,因此存在一个最优的知识产权保护范围；且发达国家的最优知识产权保护力度高于发展中国家,因此发达国家强调发展中国家应具有与发达国家一致的知识产权保护力度是不符合发展中国家长期利益的。
The Twelfth Five-Year Development Plan has put forward the guiding idea that let open policy promote economic development, reform, and innovation. Taking full advantage of the open policy, strengthening scientific and technological innovation, and narrowing the technology gap with the developed countries have became one of the most important issues that China's economic development facing. Under this situation, the paper tries to answer the following questions, what is the mechanism between open economy, firm heterogeneity and total factor productivity? How to interpret the choice of technological progress mode in open economies? What is the determinant mechanism of innovation from the micro-perspective? Based on these questions, this dissertation focuses on the following aspects.
This study, first, estimates and compares analysis of the total factor of productivity of30provinces and36industrial sectors from1993to2010and14474enterprises including8443domestic and6031foreign-funded enterprises using parameters and semi-parametric econometric methods. Further study is operated to explore the impact of heterogeneous properties of the industries and regions on total factor productivity. Second, this dissertation introduces the status variable of export behavior into trans-logarithmic production function, controls the firm heterogeneity properties, and examines in depth the mechanism of export behavior and Chinese enterprises'productivity using firm level panel data. Based on the controversy of self-selection hypothesis and the hypothesis of learning-by-export, we further test the causal link between export behavior and firm productivity. Using the production function spillover method, this dissertation investigates the relationship between foreign direct investment and enterprises'total factor productivity. We examine whether there is a threshold in terms of technology gap by introducing the multi-threshold model to examine the sustainability of FDI technology spillovers. The research results point out that despite the improvement of total factor productivity in Chinese industrial sectors in the past20years, there is a significant technology gap between domestic and international enterprises. The empirical results also indicate that the productivity of exporters is around20-30%higher than non-exporters. Such productivity advantages can be attributed to learning-by-exporting effects rather than self-selection efforts; that is, export activity promotes a firm's productivity. As for the foreign direct investment, the premise of technology spillovers is that the domestic enterprises have sufficient technology levels and absorptive capabilities for learning and imitation. But, in the long run, the technology spillovers from FDI will slow with the further reduction of the technology gap, which we call the marginal decrease of FDI technology spillover effects. Hence it is inevitable to cultivate the independent R&D capability of domestic enterprises.
Furthermore, this dissertation proposes a "double-edged" hypothesis in terms of technology gap which leads to nonlinear evolution of FDI technology spillovers. Also the paper considers both technology imitation and innovation into the quality ladder growth model and construct the endogenous growth model which is consistent with the reality of China's economic development. After solving the steady-state equilibrium solution, the study explains the optimal allocation of R&D resources between the independent innovation and technology to imitate, and provide a theoretical analytical framework for decision mechanisms of technological progress mode of a country that is backward in technology. In addition, we expand the concept of heterogeneity into the comprehensive one of competing technologies, the cost of international trade and the technological level. Based on stated above, we construct the general equilibrium model combining the variables of technology and policy variables, and analyze the welfare under various conditions of trade. This work provides a theoretical analysis framework for technological progress in the open economy from the micro-perspective. Relevant conclusions from theoretical model explain the endogenous choice of industrial technological progress mode in open economy.
To answer the third question, the dissertation examines the endogenous decision mechanism of innovation using the Chinese firm-level panel data by applying Probit random effects model. Especially, we introduce four main channels of international technology transfer into analysis framework, such as foreign direct investment, imports, exports and technology licensing, and fully consider the impact of heterogeneity issues on the firm's innovation, including firm's different ownership type, industry characteristics and so forth. Using panel data from27developed countries and57developing countries, the study systemically examines the relationship between IPR and technological innovation after controlling for a potential endogenous problem. According to the empirical results, we do not find the obvious evidence that FDI spur the firm technology innovation. However, the research shows that international trade and technology licensing present more positive role on promoting firm innovation in China. Furthermore, the firm with higher proportion of foreign capital has lower independent innovation capability. Domestic enterprises, especially private enterprises, play an important part in technology innovation during China's economic transformation. As for the impact of institution on innovation, empirical results support the optimal IPR hypothesis. Paper finds that the threshold effects of stronger IPR on innovation depended on the initial IPR level. Neither very strong IPR nor very weak IPR are conducive to innovation. Furthermore, the optimal level of IPR in developed countries is higher rather than in developing countries; this difference implies that adoption of IPR standard of developed countries may be inefficient for developing countries.
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