全球-地方背景下东道国企业研发行为的演变及其影响因素研究——基于技术溢出视角的广州市本土制造企业微观实证
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摘要
以广州市本土制造企业为例,通过半结构式问卷及有序多分类logistic模型,从企业微观尺度阐明全球-地方背景下本土企业研发行为的演变,从技术联系、生产联系及劳动力联系3个方面探究跨国资本技术溢出对本土企业研发行为演变的影响与机制。结果表明:20世纪90年代以来,本土企业研发行为经历由技术依赖型向自主研发主导下兼有研发内部化与国际化扩张的模式转变。跨国与本土企业技术差距减小、更紧密地嵌入全球产业链、劳动力从跨国向本土企业流动均显著提升本土企业的自主研发强度,国际技术采购则具有显著的负效应。
The global-local relationship generated in the process of innovation and transnational innovative mechanism has become a new topic of regional development. The research on the impact of globalizing forces on the innovation of host countries is mainly based on the perspective of technology spillover and the impact on the evolution of economic and innovation consequence of host countries has attracted great attention during the last two decades. Few literatures, however, have focused on the impact on the process of innovation,which is more significant for developing host countries to achieve technical transition and value upgrading in global production network. Based on a case study of Guangzhou, this article begs the question of what effect the technology spillover of transnational enterprises has on the process of innovation of China, especially on indigenous manufacturing firms, which play a key role in industrialization and face increasingly urgent environmental regulation and the demand of technical transition in China. Fieldwork is carried out to obtain R&D behavior's characteristics of indigenous manufacturing firms using semi-structured questionnaire through face-toface interviews with owners or responsible persons of the firms selected by convenient and snowball sampling.Location of the samples covers major manufacturing area in Guangzhou. The results show that since the 1990 s,the indigenous firms have gradually increased R&D input, established independent R&D institutions as well as actively promoted R&D internationalization. Meanwhile, the R&D behavior of technology import and external cooperation are relatively weak. These changes indicate the indigenous manufacturing firms have experienced a R&D mode transition from highly dependent on introducing technology from developed Countries to the internalization and internationalization of R&D behavior dominated by self-dependent innovation. Promoting the motivation of self-dependent innovation of indigenous enterprises underlies the evolution of R&D behavior under the circumstance of integrating multinational innovation network. The study further investigates what impacts the technical spillover from foreign investments have on the evolution of R&D mode of indigenous manufacturing firms and its mechanism by building an ordinal polytomous logistic regression model. In the model,the effect of technical relation, productive cooperation and labor turnover between translational and indigenous manufacturing enterprises have been examined. The results show that technical spillover from foreign investments has a significant impact on the transition of R&D mode of local enterprises. Both of the decreased technical gaps and the free flow of labor force between international and local enterprises have significantly promoted the motivation of independent R&D behavior of local enterprises. More closely embedded in global production networks also has a positive effect. However, international technology procurement has a significant negative effect on self-dependent innovation of indigenous manufacturing firms. The results of this paper can help to enrich the understanding of the evolution of local innovation process and its mechanism under the background of globalization, and provide inspiration for the policy-making of regional innovation system integrated global forces.
The global-local relationship generated in the process of innovation and transnational innovative mechanism has become a new topic of regional development. The research on the impact of globalizing forces on the innovation of host countries is mainly based on the perspective of technology spillover and the impact on the evolution of economic and innovation consequence of host countries has attracted great attention during the last two decades. Few literatures, however, have focused on the impact on the process of innovation,which is more significant for developing host countries to achieve technical transition and value upgrading in global production network. Based on a case study of Guangzhou, this article begs the question of what effect the technology spillover of transnational enterprises has on the process of innovation of China, especially on indigenous manufacturing firms, which play a key role in industrialization and face increasingly urgent environmental regulation and the demand of technical transition in China. Fieldwork is carried out to obtain R&D behavior's characteristics of indigenous manufacturing firms using semi-structured questionnaire through face-toface interviews with owners or responsible persons of the firms selected by convenient and snowball sampling.Location of the samples covers major manufacturing area in Guangzhou. The results show that since the 1990 s,the indigenous firms have gradually increased R&D input, established independent R&D institutions as well as actively promoted R&D internationalization. Meanwhile, the R&D behavior of technology import and external cooperation are relatively weak. These changes indicate the indigenous manufacturing firms have experienced a R&D mode transition from highly dependent on introducing technology from developed Countries to the internalization and internationalization of R&D behavior dominated by self-dependent innovation. Promoting the motivation of self-dependent innovation of indigenous enterprises underlies the evolution of R&D behavior under the circumstance of integrating multinational innovation network. The study further investigates what impacts the technical spillover from foreign investments have on the evolution of R&D mode of indigenous manufacturing firms and its mechanism by building an ordinal polytomous logistic regression model. In the model,the effect of technical relation, productive cooperation and labor turnover between translational and indigenous manufacturing enterprises have been examined. The results show that technical spillover from foreign investments has a significant impact on the transition of R&D mode of local enterprises. Both of the decreased technical gaps and the free flow of labor force between international and local enterprises have significantly promoted the motivation of independent R&D behavior of local enterprises. More closely embedded in global production networks also has a positive effect. However, international technology procurement has a significant negative effect on self-dependent innovation of indigenous manufacturing firms. The results of this paper can help to enrich the understanding of the evolution of local innovation process and its mechanism under the background of globalization, and provide inspiration for the policy-making of regional innovation system integrated global forces.
引文
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[11]张战仁,杜德斌.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[J].地理科学,2015,35(8):976-983.[Zhang Zhanren,Du Debin.Transnational R&D investment and Chinese development:The panel simultaneous equation analysis based on indigenous innovation of China.Scientia Geographica Sinica,2015,35(8):976-983.]
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[14]Fan P.Innovation,globalization,and catch-up of latecomers:Cases of Chinese telecom firms[J].Environment and Planning A,2011(43):830-849.
[15]赵中华,鞠晓峰.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[J].中国软科学,2013(10):124-133.[Zhao Zhonghua,Ju Xiaofeng.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,2013(10):124-133.]
[16]中华人民共和国国家统计局.统计上大中小微型企业划分办法(2017)[EB/OL].http://www.stats.gov.cn/tjgz/tzgb/201801/t20180103_1569254.html.[National Bureau of Statistics of the People’s Republic of China.China city statistical yearbook.Statistical classification of Large,medium,small and microenterprises(2017).http://www.stats.gov.cn/tjgz/tzgb/201801/t20180103_1569254.html.]
[17]夏丽丽,林子棋.广州市跨国制造企业研发模式演变[J].热带地理,2014,34(2):191-198.[Xia Lili,Lin Ziqi.Evolution of research and development mode of transnationalmanufacturing enterprises in Guangzhou.Tropical Geography,2014,34(2):191-198].
[18]中国企业家调查系统.新常态下的企业创新:现状、问题与对策--2015.中国企业家成长与发展专题调查报告[J].管理世界,2015(6):22-33.[CESS.Enterprise innovation under the new normal:Current situation,problems and countermeasures-2015.Report on the growth and development of Chinese entrepreneurs.Management World,2015(6):22-33.]
[19]杜伟,杨志江,夏国平.人力资本推动经济增长的作用机制研究[J].中国软科学,2014(8):173-183.[Du Wei,Yang Zhijiang,Xia Guopin.Study on the impact mechanism of human capital on economic growth.China Soft Science,2014(8):173-183.]
[20]傅晓霞,吴利学.技术差距、创新环境与企业自主研发强度[J].世界经济,2012(7):101-122.[Fu Xiaoxia,Wu Lixue.Technology gap,innovation environment and independent R&D indensity of enterprises.Journal of World Economy,2012(7):101-122.]
[21]曾德明,张磊生,禹献云,等.高新技术企业研发国际化进入模式选择研究[J].软科学,2013,27(10):25-28.[Zeng Deming,Zhang Leisheng,Yu Xianyun et al.Research on the selection of entry mode for high-tech firms’R&D internationalization.Soft Science,2013,27(10):25-28.]
[22]Mathews J A.Dragon Multinational[M].New York:Oxford University Press,2002.
[23]李梅,余天骄.研发国际化是否促进了企业创新--基于中国信息技术企业的经验研究[J].管理世界,2016(11):125-140.[Li Mei,Yu Tianjiao.Does the internationalization of R&Dpromote the innovation of enterprises:An empirical study on information technology enterprises of China.Management World,2016(11):125-140.]
[24]原毅军,孙大明.FDI技术溢出、自主研发与合作研发的比较--基于制造业技术升级的视角[J].科学学研究,2017,35(9):1334-1347.[Yuan Yijun,Sun Daming.The comparison of FDI technology spillover,independent R&D and cooperative R&D.Studies in Science of Science,2017,35(9):1334-1347.]
[2]童昕,王涛,李沫.无锡光伏产业链中的全球-本地联系[J].地理科学,2017,37(12):1823-1830.[Tong Xin,Wang Tao,Li Mo.Global-local linkages in photovoltaic industry in Wuxi,China.Scientia Geographica Sinica,2017,37(12):1823-1830.].
[3]符文颖.福特-后福特二元生产系统下的企业创新行为--以珠江三角洲电子产业为例[J].地理科学,2013,33(8):942-948.[Fu Wenying.Firm innovation behavior under the Fordismpost Fordism Dual production system:A case study of electronics industry in the Zhujiang River Delta.Scientia Geographica Sinica,2013,33(8):942-948.]
[4]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.[He Jie.Further quantization on the spillover effects of foreign direct investment on Chinese industrial sector.World Economy,2000(12):29-36.]
[5]杨文龙,杜德斌,游小珺,等.世界跨国投资网络结构演化及复杂性研究[J].地理科学,2017,37(9):1300-1309.[Yang Wenlong,Du Debin,You Xiaojun et al.Network structure evolution and spatial complexity of global transnational investment.Scientia Geographica Sinica,2017,37(9):1300-1309.]
[6]王庆喜,钱遂,庞尧.环境约束下中国工业化与城镇化的关系演变--效率分析视角[J].地理科学,2017,37(1):92-101.[Wang Qingxi,Qian Sui,Pang Yao.Evolutional relationship between industrialization and urbanization under environmental constraints in China:DEA analysis perspective.Scientia Geographica Sinica,2017,37(1):92-101.]
[7]周灿,曾刚,王丰龙,等.中国电子信息产业创新网络与创新绩效研究[J].地理科学,2017,37(5):661-671.[Zhou Can,Zeng Gang,Wang Fenglong et al.Innovationnetwork structure and innovative performance:A study of China’s electronic information industry.Scientia Geographica Sinica,2017,37(5):661-671.]
[8]Kwon C W,Chun B G.The effect of strategic technology adoptions by local firms on technology spillover[J].Economic Modelling,2015,51:13-20.
[9]Bodman P,Le T.Assessing the roles that absorptive capacity and economic distance play in the foreign direct investmentproductivity growth nexus[J].Applied Economics,2013,45(8):1027-1039.
[10]Eriksson R H.Localized spillovers and knowledge flows:How does proximity influence the performance of plants?[J].Economic Geography,2011,87(2):127-152.
[11]张战仁,杜德斌.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[J].地理科学,2015,35(8):976-983.[Zhang Zhanren,Du Debin.Transnational R&D investment and Chinese development:The panel simultaneous equation analysis based on indigenous innovation of China.Scientia Geographica Sinica,2015,35(8):976-983.]
[12]Lin M,Kwan Y K.FDI technology spillovers,geography,and spatial diffusion[J].International Review of Economics and Finance,2016,43:257-274.
[13]范承泽,胡一帆,郑红亮.FDI对国内企业技术创新影响的理论与实证研究[J].经济研究,2008(1):89-102.[Fan Chenze,Hu Yifan,Zheng Hongliang.A theoretical and empirical study on the impacts of FDI on indigenous innovation in China.Economic Research Journal,2008(1):89-102.]
[14]Fan P.Innovation,globalization,and catch-up of latecomers:Cases of Chinese telecom firms[J].Environment and Planning A,2011(43):830-849.
[15]赵中华,鞠晓峰.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[J].中国软科学,2013(10):124-133.[Zhao Zhonghua,Ju Xiaofeng.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,2013(10):124-133.]
[16]中华人民共和国国家统计局.统计上大中小微型企业划分办法(2017)[EB/OL].http://www.stats.gov.cn/tjgz/tzgb/201801/t20180103_1569254.html.[National Bureau of Statistics of the People’s Republic of China.China city statistical yearbook.Statistical classification of Large,medium,small and microenterprises(2017).http://www.stats.gov.cn/tjgz/tzgb/201801/t20180103_1569254.html.]
[17]夏丽丽,林子棋.广州市跨国制造企业研发模式演变[J].热带地理,2014,34(2):191-198.[Xia Lili,Lin Ziqi.Evolution of research and development mode of transnationalmanufacturing enterprises in Guangzhou.Tropical Geography,2014,34(2):191-198].
[18]中国企业家调查系统.新常态下的企业创新:现状、问题与对策--2015.中国企业家成长与发展专题调查报告[J].管理世界,2015(6):22-33.[CESS.Enterprise innovation under the new normal:Current situation,problems and countermeasures-2015.Report on the growth and development of Chinese entrepreneurs.Management World,2015(6):22-33.]
[19]杜伟,杨志江,夏国平.人力资本推动经济增长的作用机制研究[J].中国软科学,2014(8):173-183.[Du Wei,Yang Zhijiang,Xia Guopin.Study on the impact mechanism of human capital on economic growth.China Soft Science,2014(8):173-183.]
[20]傅晓霞,吴利学.技术差距、创新环境与企业自主研发强度[J].世界经济,2012(7):101-122.[Fu Xiaoxia,Wu Lixue.Technology gap,innovation environment and independent R&D indensity of enterprises.Journal of World Economy,2012(7):101-122.]
[21]曾德明,张磊生,禹献云,等.高新技术企业研发国际化进入模式选择研究[J].软科学,2013,27(10):25-28.[Zeng Deming,Zhang Leisheng,Yu Xianyun et al.Research on the selection of entry mode for high-tech firms’R&D internationalization.Soft Science,2013,27(10):25-28.]
[22]Mathews J A.Dragon Multinational[M].New York:Oxford University Press,2002.
[23]李梅,余天骄.研发国际化是否促进了企业创新--基于中国信息技术企业的经验研究[J].管理世界,2016(11):125-140.[Li Mei,Yu Tianjiao.Does the internationalization of R&Dpromote the innovation of enterprises:An empirical study on information technology enterprises of China.Management World,2016(11):125-140.]
[24]原毅军,孙大明.FDI技术溢出、自主研发与合作研发的比较--基于制造业技术升级的视角[J].科学学研究,2017,35(9):1334-1347.[Yuan Yijun,Sun Daming.The comparison of FDI technology spillover,independent R&D and cooperative R&D.Studies in Science of Science,2017,35(9):1334-1347.]