技术努力、对外贸易与中国工业企业技术升级——基于企业异质性视角的分析

Technology Effort,Trade and Technology Upgrading in Chinese Firms——Based on the Catching up the Technology Frontier Perspective

借助新近兴起的技术前沿距离方法,研究结果表明,各地区大中型工业企业生产率存在着巨大差异,分别处在与技术前沿距离远近不同的位置上。虽然各地区企业生产率增长和技术进步之间存在着相互依存性,但是技术前沿企业并没有对其他地区落后企业的技术升级产生地区间技术溢出效应。引入企业自身技术努力和对外贸易因素的实证检验表明,自主研发和对外贸易有助于企业技术升级,而且自主研发与企业技术进步之间的联系要比对外贸易与技术进步之间的联系更紧密,这意味着自主研发与创新才是企业技术升级的最大动力源泉。与此同时,技术引进对落后企业技术升级的作用不显著,暗示着技术引进对企业技术升级的影响存在着"门槛效应"。

This paper empirically examines the technology upgrading in Chinese firms from the heterogeneous firms' perspective.By using the method of distance to the technological frontier,it shows that there exist great productivity differences among Chinese firms which are at different distances to the technology frontier.Although the productivity and technology progress of firms in different areas are related,the technology frontier does not spillover to backward firms.The empirical evidence shows that R&D and trade are useful to firms' technology upgrading,and R&D has greater impact than trade on technology upgrading,which means R&D is the largest source of technology upgrading.Meanwhile,technology transfer does not affect firms' technology upgrading obviously,which means technology transfer has threshold effect on technology progress.