投资溢出对技术创新的影响研究——以地区R&D投入与FDI为例

Research on the Influence of Investment Spillovers on Technology Innovation——Taking R&D and FDI for Examples

技术的发展与创新水平的提高很大程度上依赖于国内的自主研发和国际技术知识转移。本文基于我国30个省市自治区1997-2017年的面板数据,引入地理距离和产业部门相似度作为权重来构建地区溢出指标,系统考察R&D溢出和FDI溢出对专利产出和创新能力的影响。考虑到区域异质性因素、各省份的技术吸收能力不同,本文进一步使用面板门限回归模型,分别以经济发展水平、基础设施建设水平、人力资本水平和高新技术产业发展水平为门槛变量,探究R&D和FDI的溢出对各省份专利产出的门槛效应。本文的实证研究结果表明,R&D和FDI溢出会对我国各省份的技术创新和专利产出产生积极影响,且在考虑工具变量的因果识别之后影响仍然显著,并且显现出非线性的门槛特征。其中,R&D溢出存在经济发展水平的双门槛效应、基础设施建设和高新技术产业发展水平的单门槛效应;FDI溢出满足高新技术产业发展的双门槛效应、基础设施建设水平和人力资本水平的单门槛效应。因此,提升基础设施建设水平、完善人力资本配置、鼓励高新技术产业的发展能有效地促进技术溢出作用的发挥,切实提升我国各区域的创新水平。本文的研究结果对于我国在开放型市场经济下的政策制定具有现实指导意义,有利于各区域科技的协调发展与创新绩效的提升。

The development of technology and the improvement of innovation level largely depend on the domestic independent research and development and international technology knowledge transfer. Based on the panel data of 30 provinces in China from 1997 to 2017, this paper introduces geographical distance weight and industrial sector similarity to build the spillover weight, applied the patent production function, and adopted the fixed effect model to investigate the mechanism and influence of R&D spillover and FDI spillover on provincial patent output and innovation capacity. In addition, in view of the regional heterogeneity, each province has different absorptive capacities and technology base, this paper further uses the panel threshold regression model to investigate the threshold effect of provincial spillover of FDI and R&D on provincial patent output by taking level of economic development, infrastructure construction level, human capital level and development of high-tech industry as threshold variables. This paper analyzes the differences of technological innovation performance caused by technology spillover effect in provinces with different technology absorptive capacities. The empirical results of this paper show that R&D and FDI have positive impacts on the technological innovation and patent output of various provinces in China, and the impact is still significant after considering the causal identification of instrumental variables, and it also shows the nonlinear threshold characteristics. Among them, R&D spillover has the double threshold effect of economic development level,and the single threshold effect of infrastructure construction and high-tech industry development level. FDI spillover meets the double threshold effect of high-tech industry development, and the single threshold effect of infrastructure construction level and human capital level. In addition, strengthening infrastructure construction, raising the level of human capital, and vigorously developing high-tech industries can effectively promote the technology spillover and development.