与跨国企业技术互动对本土企业创新绩效的影响——以中国高技术制造业为例
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摘要
在技术溢出和技术互动效应理论辨析的基础上,以中国高技术制造业为例,基于分行业面板数据,在多元回归模型中引入连乘变量,从技术能力互动、研发行为互动2个方面,对与跨国企业技术互动对本土企业创新绩效的影响进行实证分析。结果显示:1)以双方技术实力为基础的技术能力互动对本土企业的创新绩效具有显著的正效应;2)研发行为互动同时促进双方研发行为的强化,对本土企业创新绩效也具有显著的正效应。3)控制变量中,产品进入国际市场能力与企业创新绩效存在显著的负相关,本土企业规模、资本强度及市场结构对企业创新绩效的影响在统计学上不显著。研究结果同时支持了跨国资本对地方企业研发行为的"控制变量,有助于丰富全球化与地方创新相互作用与机制的理解。
The analysis of technical, economic, and spatial influences for transnational and indigenous enterprises needs a theoretical transition from technical spillover to technical interaction, based on the technical evolution of local enterprises and the market. Compared with the technology spillover theory, the theory of technology interaction emphasizes the bidirectional flow of technology, implementation of technology behavior, and dynamic and bidirectional accumulation of technological influence-indicating that a new theoretical framework is needed. By introducing interaction terms in the multivariate regression model, this paper empirically describes the impact of technical interactions between transnational and local enterprises from the perspective of technical capability and technical behavior interactions on the innovation performance of Chinese high-tech industries. The model used in this study included the innovation performance of local enterprises as the dependent variable, the interaction of technical capabilities among transnational and local enterprises and the interaction of R&D behavior among transnational and local enterprises as the independent variables, and enterprise scale, capital intensity, market structure, and the enterprise's ability to enter the international market as control variables. The findings indicate that interactions involving technical capabilities have significant positive effects on the innovation performance of local enterprises. This result shows that the technological influence of local and transnational enterprises in the field of high-tech manufacturing in China is changing from an indirect and one-way technology spillover to more active, frequent, and complex technological interactions that have played a positive role in promoting the innovation performance of local high-tech manufacturing enterprises. Furthermore, technical behavior interaction results in an increase in research intensity for both transnational and local enterprises, which enhances the innovation performance of indigenous enterprises and supports the viewpoint that transnational enterprises foster the R&D behavior of local enterprises. The regression results of the control variables show that the capacity for accessing the international market has a significant negative effect on an enterprise's innovation performance, and the effect of scale, capital intensity of a local enterprise, and market structure on enterprise innovation performance is not statistically significant. For developing regions that have experienced rapid industrialization by carrying out the transfer of international industries, there is considerable significance in conducting a serious examination of the technological interrelationships between multinational and local firms, establishing the benign interaction mechanism between them to promote the integration of regional innovation resources, and building a more competitive regional innovation system. The results of this paper can enrich people's understanding regarding technical interactions between transnational and local enterprises and their underlying mechanism, given the background of globalization. Findings of this study should also provide inspiration for policy-making decisions of regional innovation systems as integrated global forces.
The analysis of technical, economic, and spatial influences for transnational and indigenous enterprises needs a theoretical transition from technical spillover to technical interaction, based on the technical evolution of local enterprises and the market. Compared with the technology spillover theory, the theory of technology interaction emphasizes the bidirectional flow of technology, implementation of technology behavior, and dynamic and bidirectional accumulation of technological influence-indicating that a new theoretical framework is needed. By introducing interaction terms in the multivariate regression model, this paper empirically describes the impact of technical interactions between transnational and local enterprises from the perspective of technical capability and technical behavior interactions on the innovation performance of Chinese high-tech industries. The model used in this study included the innovation performance of local enterprises as the dependent variable, the interaction of technical capabilities among transnational and local enterprises and the interaction of R&D behavior among transnational and local enterprises as the independent variables, and enterprise scale, capital intensity, market structure, and the enterprise's ability to enter the international market as control variables. The findings indicate that interactions involving technical capabilities have significant positive effects on the innovation performance of local enterprises. This result shows that the technological influence of local and transnational enterprises in the field of high-tech manufacturing in China is changing from an indirect and one-way technology spillover to more active, frequent, and complex technological interactions that have played a positive role in promoting the innovation performance of local high-tech manufacturing enterprises. Furthermore, technical behavior interaction results in an increase in research intensity for both transnational and local enterprises, which enhances the innovation performance of indigenous enterprises and supports the viewpoint that transnational enterprises foster the R&D behavior of local enterprises. The regression results of the control variables show that the capacity for accessing the international market has a significant negative effect on an enterprise's innovation performance, and the effect of scale, capital intensity of a local enterprise, and market structure on enterprise innovation performance is not statistically significant. For developing regions that have experienced rapid industrialization by carrying out the transfer of international industries, there is considerable significance in conducting a serious examination of the technological interrelationships between multinational and local firms, establishing the benign interaction mechanism between them to promote the integration of regional innovation resources, and building a more competitive regional innovation system. The results of this paper can enrich people's understanding regarding technical interactions between transnational and local enterprises and their underlying mechanism, given the background of globalization. Findings of this study should also provide inspiration for policy-making decisions of regional innovation systems as integrated global forces.
引文
Antonelli C and Scellato G.2013.Complexity and technological change:knowledge interactions and firm level total factor productivity.J Evol Econ,(23):77-96.
Bodman P and Le T.2013.Assessing the roles that absorptive capacity and economic distance play in the foreign direct investment-productivity growth nexus.Applied Economics,45(8):1027-1039.
Caves R E.1974.Multinational firms,competition and productivity in host country markets.Economica,41(162):176-193.
陈强,刘海峰,汪冬华,徐驰.2016.中国对外直接投资能否产生逆向技术溢出效应.中国软科学,(7):134-143.[Chen Qiang,Liu Haifeng,Wang Donghua and Xu Chi.2016.Has China’s ODI Induced Reverse Technology Spillover?China Soft Science,(7):134-143.]
楚天骄,杜德斌.2006.跨国公司研发机构与本土互动机制研究.中国软科学,(2):127-132.[Chu Tianjiao and Du Debin.2006.The interactional mechanism of MNEs’R&D institution and indigenous principal parts of host RIS.China Soft Science,(2):127-132.]
达摩达尔.N.古扎拉蒂,唐.C.波特.2009.计量经济学基础.费剑平,译.5版.北京:中国人民大学出版社,191-218.[Gujarati D N and Porter DC.2009.Basic econometrics.Fei Jianping,trans.5th Edition.Beijing:China Renmin University Press,191-218.]
邓若冰,吴福象.2017.研发模式、技术溢出与政府最优补贴强度.科学学研究,35(6):842-852.[Deng Ruobing and Wu Fuxiang,2017.Research and development model,technology spillovers and optimal government subsidy.Studies in Science of Science,35(6):842-852.]
Fan P.2011.Innovation,globalization,and catch-up of latecomers:Cases of Chinese telecom firms.Environment and Planning A,(43):830-849.
冯根福,刘军虎,徐志霖.2006.中国工业部门研发效率及其影响因素实证分析.中国工业经济,(11):46-51.[Feng Genfu,Liu Junhu and Xu Zhilin.2006.Study on the factor s on Chinese industries R&Defficiency.China Industrial Economy,(11):46-51.]
Fosfuri A,Motta M.1999.Multinationals without advantages.Scandinavian Journal of Economics,101(4):617-618.
傅晓霞,吴利学.2012.技术差距、创新环境与企业的研发强度.世界经济,(7):101-122.[[Fu Xiaoxia and Wu Lixue.2012.Technology gap,innovation environment and independent R&D indensity of enterprises.Journal of World Economy,(7):101-122.]
Harris R and Robinson C.2004.Productivity impacts and spillovers from foreign ownership in the United Kingdom.National Institute Economic Review,187:58-60.
贺灿飞,郭琪,马妍,范帅邦,赵瑜嘉.2014.西方经济地理学研究进展.地理学报,69(8):1207-1223.[He Canfei,Guo Qi,Ma Yan,Fan Shuaibang and Zhao Yujia,2014.Progress of economic geography in the West:A literature review.Acta Geographica Sinica,69(8):1207-1223.]
何洁.2000.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.世界经济,(12):29-36.[He Jie,2000.Further quantization on the spillover effects of foreign direct investment on Chinese industrial sector.World Economy,(12):29-36.]
Herzer D.2011.The long-run relationship between outward foreign direct investment and total factor productivity:Evidence for developing countries.Journal of Development Studies,47(5):767-785.
Jaffe A B,Trajtenberg M and Henderson R.1993.Geographic localization of knowledge spillovers as evidenced by patent citations.The Quarterly Journal of Economics,108(3):577-598.
季颖颖,郭琪,贺灿飞.2014.外商直接投资技术溢出空间效应及其变化--基于中国地级市的实证研究.地理科学进展,33(12):1614-1623.[Ji Yingying,Guo Qi and He Canfei.2014.Spatial effects of foreign direct investment technology spillover and its changes:empirical study based on panel data of Chinese prefecture-level cities.Progress in Geography,33(12):1614-1623.]
Kogut B and Chang S J.1991.Technological capabilities and Japanese direct investment in the United States.Review of Economics and Statistics,73(3):401-413.
Kwon C W and Chun B G.2015.The effect of strategic technology adoptions by local firms on technology spillove.Economic Modelling,51:13-20.
李梅,袁小艺,张易.2014.制度环境与对外直接投资逆向技术溢出.世界经济研究,(2):61-66,74.[Li Mei,YuaN Xiaoyi and Zhang Yi.2014.Institutions and reverse technology spillovers from OFDI.World Economy Study,(2):61-66,74.]
Lin M and Kwan Y K.2016.FDI technology spillovers,geography,and spatial diffusion.International Review of Economics and Finance,43:257-274.
Liu X and Buck T.2007.Innovation performance and channels for international technology spillovers:Evidence from Chinese high-tech industries.Research Policy,36:355-366.
Molero J and Garcia A.2008.The innovative activity of foreign subsidiaries in the Spanish Innovation System:An evaluation of their impact from a sectoral taxonomy approach.Technovation,28(11):739-757.
Sanden B A and Hillman K M.2011.A Framework for analysis of multimode interaction among technologies with examples from the history of alternative transport fuels in Sweden.Research Policy,(40):403-414.
汤萱.2016.技术引进影响自主创新的机理及实证研究--基于中国制造业面板数据的实证检验.中国软科学,(5):119-132.[Tang Xuan.2016.International technology transfer and independent innovation:Atest based on panel data of manufacture industries in China.China Soft Science,(5):119-132.]
王英,刘思峰.2008.国际技术外溢渠道的实证研究.数量经济技术经济研究,25(4):153-161.[Wang Ying and Liu Sifeng,2008.An empirical analysis on the channels of international technology spillovers.The Journal of Quantitative&Technical Economics,25(4):153-161.]
吴永求,2010.FDI对国内企业研发行为的影响--理论模型与中国的经验.世界经济研究,(1):82-86.[WU Yongqiu,2010.Effect of FDI on R&D behavior in domestic firm:A theory model and empirical form of China.World Economy Study,(1):82-26.]
夏丽丽,林子棋.2014.广州市跨国制造企业研发模式演变.热带地理,34(2):191-198.[Xia Lili and Lin Ziqi.2014.Evolution of research and development mode of transnational manufacturing enterprises in Guangzhou.Tropical Geography,34(2):191-198.]
Yang C H and HAYAKAWA K.2014.Localization and overseas R&Dactivity:The case of Taiwanese multinational enterprises in China.R&D Management,(45):181-195.
Yeung H W C and Neil M C.2014.Toward a dynamic theory of global production networks.Economic Gegoraphy,91(1):29-58.
张虹鸥,黄耿志,吴康敏,叶玉瑶,王洋.2017.中国对外直接投资的特征与若干经济地理研究议题--基于中国对全球与东盟的投资分析.热带地理,37(4):443-451.[Zhang Hong’ou,Huang Gengzhi,Wu Kangmin,Ye Yuyao and Wang Yang,2017.Characteristics of China’s OFDI and Related Economic Geography Research Themes:Based on an Analysis of Chinese Investment in the World and ASEANCountries.Tropical Geography,37(4):443-451.]
张建清,孙元元.2012.国外技术溢出内生与吸收能力的动态特征--基于系统GMM估计的实证研究.经济评论,(6):74-83.[Zhang Jianqing and Sun Yuanyuan,2012.Endogenous foreign technology spillovers and dynamic characteristics of absorptive ability:A research based on the system GMM estimation.Economic Review,(6):74-83.]
张同斌,高铁梅,杨彬.2011.中国高新技术产业中外资与内资企业间双向动态溢出效应的实证检验.系统工程理论与实践,31(7):1201-1210.[Zhang Tongbin,Gao Tiemei,and Yang Bin.2011.Empirical research on the bidirectional dynamic spillover effects between foreign owned enterprises and domestic funded enterprises in Chinese high-tech industries.Systems Engineering-Theory&Practice,31(7):1201-1210.]
张战仁,2012.创新空间溢出的差异影响研究述评.经济地理,32(11):34-37.[Zhang Zhanren.2012.Spatial spillover of innovation and its regional disparity influence.Economic Geography,32(11):34-37.]
张战仁,杜德斌.2015.跨国研发投资与中国发展影响研究--基于中国创新自主发展基础的面板联立方程分析.地理科学,35(8):976-983.[Zhang Zhanren and Du Debin,2015.Transnational R&Dinvestment and Chinese development:The panel simultaneous equation analysis based on indigenous innovation of China.Scientia Geographica Sinica,35(8):976-983.]
赵中华,鞠晓峰.2013.技术溢出、政府补贴对军工企业技术创新活动的影响研究--基于我国上市军工企业的实证分析.中国软科学,(10):124-133.[Zhao Zhonghua and Ju Xiaofeng.2013.Research on impact of technology spillovers and government subsidies upon military enterprise technology innovation activities:An empirical analysis based on China’s listed military enterprises.China Soft Science,(10):124-133.]
朱恒鹏.2006.企业规模、市场力量与民营企业创新行为.世界经济,(12):41-52.[Zhu Hengpeng.2006.Firm size,market power,and the R&D behavior of non-governmental enterprises.World Economy,(12):41-52.]
(1)在技术溢出过程中,东道国企业尽管也存在着技术模仿、在干中学等主动行为,但在技术溢出的主体关系中始终处于被动地位。
(2)创新绩效一般有2种测算途径:一是创新过程的中间产出,如申请专利数;二是创新产出的市场价值,如新产品销售收入。比起专利申请数,新产品销售收入是企业研发及创新的综合成果,包括了企业由于各种原因没有申请或获得专利的技术成果产生的绩效,同时较好地反映了研发成果的商业化水平。故选用新产品销售收入测算企业的创新绩效。
(3)企业的技术来源主要包括内部研发和外部网络,前者依靠其自主研发能力,后者则主要依赖企业的技术吸收能力。
(4)用固定资产投资价格指数将新增固定资产换算为2000年不变价。
(5)由于统计口径变动:2000—2006年为全部国有及年主营业务收入在500万以上的非国有法人工业企业,2007—2010年为年主营业务收入在500万以上的法人工业企业,2011年以后为年主营业务收入2 000万以上的法人工业企业。跨国企业数据2000—2008年为中外合资、中外合作和外商独资企业数据的总和,2009—2015年为外商投资与港澳台资企业之和。本土企业没有独立的统计项,由全行业数据减去跨国企业数据获得。
(6)技术合作的形式主要包括“技术共同开发”“接受外企委托研究”“委托外企进行研究”以及“技术成果的相互转让”。
Bodman P and Le T.2013.Assessing the roles that absorptive capacity and economic distance play in the foreign direct investment-productivity growth nexus.Applied Economics,45(8):1027-1039.
Caves R E.1974.Multinational firms,competition and productivity in host country markets.Economica,41(162):176-193.
陈强,刘海峰,汪冬华,徐驰.2016.中国对外直接投资能否产生逆向技术溢出效应.中国软科学,(7):134-143.[Chen Qiang,Liu Haifeng,Wang Donghua and Xu Chi.2016.Has China’s ODI Induced Reverse Technology Spillover?China Soft Science,(7):134-143.]
楚天骄,杜德斌.2006.跨国公司研发机构与本土互动机制研究.中国软科学,(2):127-132.[Chu Tianjiao and Du Debin.2006.The interactional mechanism of MNEs’R&D institution and indigenous principal parts of host RIS.China Soft Science,(2):127-132.]
达摩达尔.N.古扎拉蒂,唐.C.波特.2009.计量经济学基础.费剑平,译.5版.北京:中国人民大学出版社,191-218.[Gujarati D N and Porter DC.2009.Basic econometrics.Fei Jianping,trans.5th Edition.Beijing:China Renmin University Press,191-218.]
邓若冰,吴福象.2017.研发模式、技术溢出与政府最优补贴强度.科学学研究,35(6):842-852.[Deng Ruobing and Wu Fuxiang,2017.Research and development model,technology spillovers and optimal government subsidy.Studies in Science of Science,35(6):842-852.]
Fan P.2011.Innovation,globalization,and catch-up of latecomers:Cases of Chinese telecom firms.Environment and Planning A,(43):830-849.
冯根福,刘军虎,徐志霖.2006.中国工业部门研发效率及其影响因素实证分析.中国工业经济,(11):46-51.[Feng Genfu,Liu Junhu and Xu Zhilin.2006.Study on the factor s on Chinese industries R&Defficiency.China Industrial Economy,(11):46-51.]
Fosfuri A,Motta M.1999.Multinationals without advantages.Scandinavian Journal of Economics,101(4):617-618.
傅晓霞,吴利学.2012.技术差距、创新环境与企业的研发强度.世界经济,(7):101-122.[[Fu Xiaoxia and Wu Lixue.2012.Technology gap,innovation environment and independent R&D indensity of enterprises.Journal of World Economy,(7):101-122.]
Harris R and Robinson C.2004.Productivity impacts and spillovers from foreign ownership in the United Kingdom.National Institute Economic Review,187:58-60.
贺灿飞,郭琪,马妍,范帅邦,赵瑜嘉.2014.西方经济地理学研究进展.地理学报,69(8):1207-1223.[He Canfei,Guo Qi,Ma Yan,Fan Shuaibang and Zhao Yujia,2014.Progress of economic geography in the West:A literature review.Acta Geographica Sinica,69(8):1207-1223.]
何洁.2000.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.世界经济,(12):29-36.[He Jie,2000.Further quantization on the spillover effects of foreign direct investment on Chinese industrial sector.World Economy,(12):29-36.]
Herzer D.2011.The long-run relationship between outward foreign direct investment and total factor productivity:Evidence for developing countries.Journal of Development Studies,47(5):767-785.
Jaffe A B,Trajtenberg M and Henderson R.1993.Geographic localization of knowledge spillovers as evidenced by patent citations.The Quarterly Journal of Economics,108(3):577-598.
季颖颖,郭琪,贺灿飞.2014.外商直接投资技术溢出空间效应及其变化--基于中国地级市的实证研究.地理科学进展,33(12):1614-1623.[Ji Yingying,Guo Qi and He Canfei.2014.Spatial effects of foreign direct investment technology spillover and its changes:empirical study based on panel data of Chinese prefecture-level cities.Progress in Geography,33(12):1614-1623.]
Kogut B and Chang S J.1991.Technological capabilities and Japanese direct investment in the United States.Review of Economics and Statistics,73(3):401-413.
Kwon C W and Chun B G.2015.The effect of strategic technology adoptions by local firms on technology spillove.Economic Modelling,51:13-20.
李梅,袁小艺,张易.2014.制度环境与对外直接投资逆向技术溢出.世界经济研究,(2):61-66,74.[Li Mei,YuaN Xiaoyi and Zhang Yi.2014.Institutions and reverse technology spillovers from OFDI.World Economy Study,(2):61-66,74.]
Lin M and Kwan Y K.2016.FDI technology spillovers,geography,and spatial diffusion.International Review of Economics and Finance,43:257-274.
Liu X and Buck T.2007.Innovation performance and channels for international technology spillovers:Evidence from Chinese high-tech industries.Research Policy,36:355-366.
Molero J and Garcia A.2008.The innovative activity of foreign subsidiaries in the Spanish Innovation System:An evaluation of their impact from a sectoral taxonomy approach.Technovation,28(11):739-757.
Sanden B A and Hillman K M.2011.A Framework for analysis of multimode interaction among technologies with examples from the history of alternative transport fuels in Sweden.Research Policy,(40):403-414.
汤萱.2016.技术引进影响自主创新的机理及实证研究--基于中国制造业面板数据的实证检验.中国软科学,(5):119-132.[Tang Xuan.2016.International technology transfer and independent innovation:Atest based on panel data of manufacture industries in China.China Soft Science,(5):119-132.]
王英,刘思峰.2008.国际技术外溢渠道的实证研究.数量经济技术经济研究,25(4):153-161.[Wang Ying and Liu Sifeng,2008.An empirical analysis on the channels of international technology spillovers.The Journal of Quantitative&Technical Economics,25(4):153-161.]
吴永求,2010.FDI对国内企业研发行为的影响--理论模型与中国的经验.世界经济研究,(1):82-86.[WU Yongqiu,2010.Effect of FDI on R&D behavior in domestic firm:A theory model and empirical form of China.World Economy Study,(1):82-26.]
夏丽丽,林子棋.2014.广州市跨国制造企业研发模式演变.热带地理,34(2):191-198.[Xia Lili and Lin Ziqi.2014.Evolution of research and development mode of transnational manufacturing enterprises in Guangzhou.Tropical Geography,34(2):191-198.]
Yang C H and HAYAKAWA K.2014.Localization and overseas R&Dactivity:The case of Taiwanese multinational enterprises in China.R&D Management,(45):181-195.
Yeung H W C and Neil M C.2014.Toward a dynamic theory of global production networks.Economic Gegoraphy,91(1):29-58.
张虹鸥,黄耿志,吴康敏,叶玉瑶,王洋.2017.中国对外直接投资的特征与若干经济地理研究议题--基于中国对全球与东盟的投资分析.热带地理,37(4):443-451.[Zhang Hong’ou,Huang Gengzhi,Wu Kangmin,Ye Yuyao and Wang Yang,2017.Characteristics of China’s OFDI and Related Economic Geography Research Themes:Based on an Analysis of Chinese Investment in the World and ASEANCountries.Tropical Geography,37(4):443-451.]
张建清,孙元元.2012.国外技术溢出内生与吸收能力的动态特征--基于系统GMM估计的实证研究.经济评论,(6):74-83.[Zhang Jianqing and Sun Yuanyuan,2012.Endogenous foreign technology spillovers and dynamic characteristics of absorptive ability:A research based on the system GMM estimation.Economic Review,(6):74-83.]
张同斌,高铁梅,杨彬.2011.中国高新技术产业中外资与内资企业间双向动态溢出效应的实证检验.系统工程理论与实践,31(7):1201-1210.[Zhang Tongbin,Gao Tiemei,and Yang Bin.2011.Empirical research on the bidirectional dynamic spillover effects between foreign owned enterprises and domestic funded enterprises in Chinese high-tech industries.Systems Engineering-Theory&Practice,31(7):1201-1210.]
张战仁,2012.创新空间溢出的差异影响研究述评.经济地理,32(11):34-37.[Zhang Zhanren.2012.Spatial spillover of innovation and its regional disparity influence.Economic Geography,32(11):34-37.]
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(1)在技术溢出过程中,东道国企业尽管也存在着技术模仿、在干中学等主动行为,但在技术溢出的主体关系中始终处于被动地位。
(2)创新绩效一般有2种测算途径:一是创新过程的中间产出,如申请专利数;二是创新产出的市场价值,如新产品销售收入。比起专利申请数,新产品销售收入是企业研发及创新的综合成果,包括了企业由于各种原因没有申请或获得专利的技术成果产生的绩效,同时较好地反映了研发成果的商业化水平。故选用新产品销售收入测算企业的创新绩效。
(3)企业的技术来源主要包括内部研发和外部网络,前者依靠其自主研发能力,后者则主要依赖企业的技术吸收能力。
(4)用固定资产投资价格指数将新增固定资产换算为2000年不变价。
(5)由于统计口径变动:2000—2006年为全部国有及年主营业务收入在500万以上的非国有法人工业企业,2007—2010年为年主营业务收入在500万以上的法人工业企业,2011年以后为年主营业务收入2 000万以上的法人工业企业。跨国企业数据2000—2008年为中外合资、中外合作和外商独资企业数据的总和,2009—2015年为外商投资与港澳台资企业之和。本土企业没有独立的统计项,由全行业数据减去跨国企业数据获得。
(6)技术合作的形式主要包括“技术共同开发”“接受外企委托研究”“委托外企进行研究”以及“技术成果的相互转让”。