出口、研发与企业生产率演化——基于我国制造业企业数据的研究  

Exporting, R&D, and Evolution of Firm–level Productivity:A Research Based on Chinese Manufacturing Enterprises

作　　者：汤学良[1] 吴万宗[2] 周建[1] 

机构地区：[1]上海财经大学经济学院,上海200433 [2]上海财经大学国际工商管理学院,上海200433

出　　处：《国际商务（对外经济贸易大学学报）》2015年第4期123-133,共11页INTERNATIONAL BUSINESS

基　　金：上海财经大学研究生创新基金"碳减排路径的非对称问题研究"(CXJJ-2013-369)

摘　　要：本文通过构建一个简单的理论模型,将企业出口、研发与生产率联系起来,并引出了企业出口决策和研发决策的Bivariate Probit模型和生产率演化的Tobit-II模型。基于制造业企业数据的实证研究发现:(1)出口决策和研发决策均存在着"自选择效应",并且具有较强的决策惯性;(2)出口决策与研发决策具有显著的互补性;(3)无法捕捉到纯粹的"出口中学习效应";(4)研发活动能帮助企业从出口中学习,显著地提高企业下一期生产率;(5)出口比重越高,研发活动对企业"出口中学习效应"的提升作用越大。研究结论具有重要的政策启示:只有重视企业研发投入,才能在开放经济下充分吸收国外的先进技术和经验,继而提高制造业生产效率,实现从粗放发展向集约生产的转变。This paper develops a simple theoretical model connecting export- market participation, R＆D and firm productivity, and drawing forth the Bivariate Probit model on enterprises＇ export and R＆D decisions, and the Tobit- II model on evolution of firm productivity. Based on data from Chinese manufacturing enterprises, the empirical study finds that： （1） there is the ＂self- selection ef- fect＂ in both enterprises＇ export and R＆D decisions, and both kinds of deci- sions are characterized by inertia; （2） export and R＆D decisions are significantly complementary; （3） pure ＂learning- by- exporting effect＂ can hardly be found; （4） but R＆D activities can help the firm learn by exporting to improve its fu- ture productivity; （5） the higher the export proportion, the stronger the promoting effect of R＆D activities on the firm＇ s learning- by- exporting effect. The re- search conclusions in this paper have an important policy implication that the in- crease in the firm＇ s R＆D investment is crucial for the firm to fully absorb for- eign advanced technology and experience which are expected to improve the pro- ductivity of the manufacturing industry under the open economy and realize the transition from extensive development to intensive production.

关 键 词：研发 出口 生产率 

分 类 号：F752.62[经济管理—国际贸易] F424[经济管理—产业经济]