全球价值链下中国本土企业的创新效应  被引量:250

The Innovative Effect of Chinese Domestic Firms under the Global Value Chain

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作  者:张杰[1,2] 郑文平[1,2] 

机构地区:[1]中国人民大学中国经济改革与发展研究院 [2]中国人民大学经济学院,邮政编码100872

出  处:《经济研究》2017年第3期151-165,共15页Economic Research Journal

基  金:国家自然科学基金面上项目(批准号:41371139);教育部人文社会科学重点研究基地重大项目"中国新常态下创新驱动战略推进中的体制性障碍因素分析与突破途径"的阶段性成果

摘  要:基于中国本土企业参与全球价值链中"出口引致进口"的特征事实,本文将企业的中间产品进口和产品出口纳入到统一的计量框架内,依靠所构建的符合中国企业进出口行为特征的多重工具变量体系,实证检验中间产品进口和产品出口对中国本土企业创新活动的影响。重要发现包括:从进口角度看,进口促进了一般贸易企业的创新活动,但抑制了加工贸易企业的创新活动。在区分不同所有制的情形下,进口对从事一般贸易的民营企业创新活动产生了更强的促进效应,而对从事加工贸易的民营企业创新活动产生了抑制效应。从出口角度看,出口未对中国本土企业创新活动产生显著影响。机制检验发现,与发达国家开展的进出口贸易均对中国本土企业的创新活动造成了显著的抑制效应,这种抑制效应在民营企业进出口行为中表现得更为突出。上述发现在一定程度上验证了中国本土企业所遭受的全球价值链俘获效应假说,为在持续推进对外开放背景下如何有效实施中国的创新驱动发展战略,提供了必要的政策依据。Summary: With continuing openness in China, what kind of effect will there be on the innovative activities of Chinese domestic firms when they fully participate in the global value chain division and trade system driven and controlled by the developed countries? This is the core issue behind the transformation of China's economically sustainable growth mechanism. Answering this query is essential and meaningful for both theoretical study and policy practice. Accordingly, we attempt to evaluate the innovative effect of import and export activities while relying on novel firm-level data from China. Based on the stylized notion of "imports induced by exports", for Chinese domestic firms involved in the global value chain, we integrate intermediate goods imports and exports into a unified framework to empirically investigate their influence on the innovative activities of Chinese domestic firms. We find that from the import perspective, import behavior promotes the innovative activities of general trade firms, but inhibits the innovative activities of processing trade firms. Additionally, in distinguishing between the different types of ownership, imports have a stronger promotional effect on the innovative activities of private firms engaged in general trade. However, they continue to have an inhibiting effect on private firms involved with processing trade. From the perspective of exports, neither general nor processing exports show remarkable implications for innovation among Chinese domestic firms. We also find that both export and import activities with developed countries have considerable inhibitory effects on the innovative activities of Chinese domestic firms, and that these effects are larger for private firms. To some extent, these conclusions verify the global value chain capture hypothesis as it relates to Chinese domestic firms. The empirical results provide a meaningful policy reference for how to effectively implement China's strategy of innovation-driven development while continuing to pr

关 键 词:中国本土企业 全球价值链 进口引致出口 创新 俘获效应 

分 类 号:F273.1[经济管理—企业管理] F279.2[经济管理—国民经济]

 

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