异质性、双向外包与企业研发决策:理论模型与经验证据  

Heterogeneity,Bi-sourcing and the Firms R&D Decision: Theory Model and Empirical Evidence

作　　者：朱廷珺[1] 李宏兵[2] 

机构地区：[1]兰州商学院国际经济与贸易学院 [2]北京师范大学经济与工商管理学院

出　　处：《南开经济研究》2012年第3期39-51,共13页Nankai Economic Studies

基　　金：国家社科基金项目"西部地区承接国内外产业转移的动力机制及效率研究"(批准号09BJL053)的资助;教育部新世纪优秀人才支持计划"产业转移的动力基础;引力因素与效率研究"(批准号NCET 080632)的阶段性成果之一

摘　　要：本文基于企业异质性的假定,将双向外包模型引入到经典的企业研发决策的分析框架,明确划分了国内研发外包、国际研发外包和双向研发外包的研发模式,重新界定了企业研发的异质性指标,拓展了相关理论模型。研究表明,以企业TFP和技术吸收能力衡量的研发效率的异质性是影响企业研发决策的重要因素。同时运用我国1999—2008年36个行业大中型工业企业数据,基于DEA Malmquist方法测算了分行业的TFP值,并验证了模型结论对中国的适用性。实证结果表明,具有较高TFP和技术吸收能力的企业,会选择双向研发外包,其次会选择国际研发外包,较低的会选择国内研发外包。我国企业应重视自主研发、外部知识溢出和示范效应,加强国际研发合作,以提升创新效率。The paper bases on the assumption of heterogeneous firms,and introduces bisourcing model to the classic analysis framework of firm＇ RD decision,it also gives a clear division of RD models which include domestic RD outsourcing,international RD outsourcing and RD bi-outsourcing,and re-defines the heterogeneity indexes of firms＇ research and development activities,expands the relevant theoretical models as well.The results show that the heterogeneity measured by TFP and absorptive capacity of technology is an important factor in firms＇ decision-making of RD activities.Then through using the vocational panel of 36 large and medium industrial enterprises for the period 19992008 and the methods of DEA Malmquist,we estimates the TFP value of sub-sectors,and verifies the model conclusions on the applicability of China.The empirical results show that the firms which has the highest TFP and technology absorptive capacity will choose RD bi-sourcing,and then choose international RD outsourcing,the lower choose domestic RD outsourcing.In order to enhance the efficiency of innovation,the firms should pay attention to the independent RD,external knowledge spillover and demonstration effects,and strengthen international RD cooperation.

关 键 词：企业异质性 双向研发外包 全要素生产率 吸收能力 工序外包 

分 类 号：F719[经济管理—产业经济] F273.1F224