FDI与中国企业创新能力:量变还是质变?

Foreign Direct Investment and the Innovative Capacity of Chinese Firms: Quantitative or Qualitative Change?

利用2000—2013年微观企业面板数据,从外资企业产值和人员流动两个溢出渠道研究外商直接投资对中国内资企业自主创新数量和质量的影响,结果表明:(1)外资企业产值渠道的溢出效应显著提高了行业内以及上游行业中内资企业的创新数量和创新质量,但抑制了下游行业中内资企业的创新能力。综合来看,外资显著提高了我国内资企业整体的自主创新能力。(2)外资企业雇员渠道的溢出效应,显著提升了行业内和产业间关联内资企业的创新数量和创新质量。外资进入带来的人才流动效应,弥补了我国内资企业对先进技术人才的需求缺口。(3)生产技术的异质性研究发现,资本和技术密集型企业对外资溢出效应的反应更为明显。技术差距的作用机制分析揭示了只有与外资企业的技术差距较小时,内资企业才能吸收更多的外资溢出效应,实现创新能力从量变到质变的飞跃。

Based on panel data at the firm level from 2000 to 2013, this paper examines the impact of foreign direct investment(FDI) on the quantity and quality of innovations by Chinese domestic enterprises from the perspective of spillovers from the value of output produced and the human mobility in foreign capital enterprises. Following an analysis, the findings are as follows.(1) The spillover effects from foreign firms through the output channel will significantly improve the innovation quantity and quality of domestic enterprises in intra-industry and upstream industry but inhibit the innovation capacity of domestic firms in downstream industry. Overall, foreign direct investment has significantly promoted the innovation capacity of Chinese domestic firms.(2) The spillovers from human mobility in foreign firms have significantly improved the innovation scale and quality of domestic enterprises within and between industries. The human mobility effects due to foreign investment have covered the shortage of technicians in Chinese domestic firms.(3) The heterogeneous analysis of production technology indicates that both capital and technology intensive enterprises are more susceptible to the spillover effects from foreign firms. The examination of the effect of the technology gap shows that domestic enterprises can obtain all positive intra-and inter-industry spillover effects produced by foreign firms and advance innovation capacity from quantitative change to qualitative change, however, only when the technology gap with foreign firms is small.