R&D两面性、外资活动与中国工业生产率增长

Two Faces of R&D, Activity of FDI and the Growth of Productivity of Domestic Manufacturing in China

本文首先运用基于DEA的Malmquist生产率指数对中国内资工业部门生产率、技术效率和技术进步进行了测算,然后检验了在控制自主R&D的情况下,外资活动对内资工业部门生产率增长的影响。通过考察R&D的创新能力和吸收能力,我们将外资外部性区分为外资技术扩散效应与竞争效应,进而检验了外资促进内资工业部门技术效率和技术进步的途径。我们发现,在控制自主R&D的情况下,外资活动对内资工业部门生产率提高没有显著影响,主要原因是内资部门较低的R&D吸收能力抑制了生产率的增长;外资活动产生的负向竞争效应抑制了内资部门技术效率的增长;R&D和外资活动都推动了内资工业部门技术进步,但来源分别为R&D创新能力和正向竞争效应,而不是技术扩散;由于高科技行业R&D吸收能力较低,内资部门不仅没能吸收外资先进技术,反而呈现显著的逆向技术扩散。一般行业吸收能力比高科技行业强,但外资技术扩散也不显著。

The total factor productivity, technical efficiency and technical prog ress are measured by the Malmquist productivity index based on the DEA. Controll ing the R&D, the effect of the activities of FDI on the TFP of the domestic manu facturing are estimated. The externalities of FDI is divided into the technologi cal diffusion and competitive effect; the channels of technical efficiency and t echnical progress are examined. We find that controlling the R&D, the activity o f FDI do not have significant effect on domestic manufacturing. Lower absorptive capacity of R&D cumbers the growth of TFP. The negative competitive effect comb ers the growth of technical efficiency. Through the self-innovative and positiv e competitive effect, but not technological diffusion, R&D and FDI both prompt th e technical progress of domestic manufacturing. In high-tech industries, the do m estic industries could not absorb the advanced technology embodied in FDI as the low absorptive capacity of R&D, and there is the converse technological diffusi on from the domestic sectors to foreign ones. In the traditional industries, the ir absorptive capacity is higher than Hi-tech ones, but the technological diffu sion is also not significantly.