对外技术引进与中国本土企业自主创新被引量：113

Foreign Technology Introduction and Local Firms'Innovation in China

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摘要利用独特微观企业创新调查数据库,本文从实证和理论两个层面,研究对外技术引进活动对中国本土企业自主创新能力的作用及内在机制。主要发现是:首先,本文在利用技术引进鼓励政策构造合理工具变量的基础上,验证了技术引进对中国本土企业的自主创新活动可以产生滞后的促进作用;其次,在借鉴ABBGH(2005)模型的基础上,构建了刻画产业内领先企业和落后企业之间创新竞争行为和博弈逻辑的局部均衡模型,揭示出在不同竞争结构类型的产业内,企业对外技术引进对创新活动的复杂影响。后续的实证研究进一步验证了理论模型,证明在LL型竞争结构特征为主的产业内,对外技术引进方对处于创新差距中等分布状态企业的自主创新活动有显著的促进效应,而对处于其他创新差距分布状态的企业未产生影响。因此,对外技术引进鼓励政策对本土企业自主创新的促进效应具有一定局限性。本文的发现可为中国各级政府实施的对外技术引进政策及今后的政策调整,提供有价值的参考依据。 Against the background of globalization and China s opening up,developing countries with relatively low technological innovation can enhance the independent innovation of local enterprises by introducing or purchasing foreign technologies from developed countries and then gradually developing the conditions needed to promote sustainable economic growth.Using data from a unique micro enterprise innovation survey in China,this paper studies the effect and internal mechanism of the introduction of foreign technology on the independent innovation ability of Chinese local enterprises at the empirical and theoretical levels.The main findings are as follows.First,using instrumental variables based on the technology introduction encouragement policies of the Chinese government,we verify that the introduction of foreign technology can have a lagged effect in promoting the independent innovation activities of Chinese local enterprises.Second,we construct a model of the leading industries in China based on the ABBGH(2005)model.This local industry equilibrium model of competitive innovation behavior and the game logic between advanced enterprises and backward enterprises reveals that in industries with different competition structures,the introduction of foreign technology by enterprises can have complex effects on independent innovation activities.Our subsequent empirical analysis further verifies the theoretical model and shows that in LL-type competitive industries,foreign technology importers can significantly promote the independent innovation activities of enterprises in the middle distribution of the innovation gap,but they have no impact on other enterprises in the distribution of the innovation gap.This paper makes a number of contributions to the literature.First,despite the significant efforts of governments at all levels in China to encourage the introduction of foreign technology,few domestic studies have examined the economic effect of new technologies.To fill this gap,we use a unique dataset on micro enterprises from the China Innovation Survey to analyze the impact of foreign technology introduction on the independent innovation activities of indigenous enterprises and the mechanism of this effect.Second,Cohen&Levinthal s(1989)theory of enterprise technology absorptive capacity suggests that the heterogeneity of the technology absorptive capacity of enterprises at different levels makes it difficult to identify the causal links between technology introduction and the independent innovation capacity of enterprises.To address this challenge,we design exogenous policy tool variables for foreign technology introduction activities at the micro enterprise level based on the Chinese government s successive technology import incentive policies.We then use the variables to identify the causal effects of foreign technology introduction on the independent innovation activities of Chinese local enterprises and determine whether the Chinese government has implemented the correct policies.Third,we integrate the theory of technology absorption capacity and the theory of the innovation behavior of industrial market competitors of ABBGH(2005)into one framework,and we find that in most industries with LL-type competition characteristics in China,the introduction of foreign technology only improves the independent innovation of enterprises in the middle distribution of the innovation gap,and has no effect on other enterprises in the distribution of the innovation gap.Our empirical findings show that the current innovation policies only promote independent innovation in enterprises whose innovation is in the middle distribution of the innovation gap and in LL-type industries with a relatively prominent innovation gap.These findings indicate that enterprises at the frontier of innovation in China are unable to purchase advanced technologies and core innovations from abroad.Therefore,although the United States has accused China of implementing a so-called“compulsory technology transfer policy”,China s foreign technology import policy has had little effect in promoting the independent innovation capabilities of Chinese firms.

作者张杰陈志远吴书凤孙文浩 ZHANG Jie;CHEN Zhiyuan;WU Shufeng;SUN Wenhao(Institute of China s Economic Reform&Development,Renmin University of China;Business School,Renmin University of China)

机构地区中国人民大学中国经济改革与发展研究院中国人民大学商学院中国人民大学经济学院

出处《经济研究》 CSSCI 北大核心 2020年第7期92-105,共14页 Economic Research Journal

基金国家自然科学基金面上项目“更好地发挥政府和市场功能协同的中国创新激励机制研究”(71973139) 教育部重大专项课题“党的创新理论引领贯彻理论经济学知识体系研究”(19JZDZ002)的研究阶段性成果。

关键词中国本土企业对外技术引进自主创新互补效应创新差距分布状态 Chinese Local Firms Foreign Technology Introduction Independent Innovation Complementary Effect Distribution of Innovation Gap

分类号 F27 [经济管理—企业管理]

作者简介张杰,中国人民大学中国经济改革与发展研究院,邮政编码:100872,电子信箱:zhangjie0402@ruc.edu.cn;通讯作者:陈志远,中国人民大学商学院,邮政编码:100872,电子信箱:zhiyuanryanchen@outlook.com;吴书凤,中国人民大学经济学院,邮政编码:100872,电子信箱:2016000845@ruc.edu.cn;孙文浩,中国人民大学经济学院,邮政编码:100872,电子信箱:sunwenhao@ruc.edu.cn。