加工贸易与中国企业创新  

Processing Trade and Innovation of Chinese Firms

作　　者：莫家伟 徐伯聿 田巍 Mo Jiawei;Xu Boyu;Tian Wei(School of Economics,Peking University;School of Economics and Management,Tsinghua University)

机构地区：[1]北京大学经济学院 [2]清华大学经济管理学院

出　　处：《经济科学》2024年第5期37-58,共22页Economic Science

基　　金：国家自然科学基金青年项目“进口产品类型、关税结构与企业生产率研究”(项目编号:72103001);国家自然科学基金面上项目“中美贸易摩擦量化评估研究:企业策略、产品价格和贸易转移”(项目编号:72073005);国家社会科学基金重大专项项目“美国对华经济制裁研究”(项目编号:21VMG006)的资助。

摘　　要：加工贸易企业的生产率显著低于非加工贸易企业是中国制造业企业的典型事实。加工贸易长久以来被认为是低研发创新的代名词,而大量现实案例表明开展加工贸易在企业创新升级中能够起到重要作用。本文将关注点从企业类型转向贸易行为本身,研究企业从不从事加工贸易转向从事加工贸易对企业研发创新的影响。基于2000—2006年中国微观制造业企业数据,本文发现企业从事加工贸易会显著促进企业创新。使用PSM-DID模型和以2004年出口退税率调整作为准实验等多种识别策略控制加工贸易的自选择效应后,这一结论仍然稳健成立。本文进一步依照参照组类型将加工贸易行为分为三类:从不贸易转向纯加工贸易、从不贸易转向混合贸易、从一般贸易转向混合贸易。本文发现后两种类型是加工贸易行为创新增进效应的主要来源。此外,从不贸易转向混合贸易的企业的创新来源于两种贸易模式的协同效应,表现为贸易模式协同机制;从一般贸易转向混合贸易则更多体现为加工贸易对新市场和新产品的拓展效应,表现为质量技术标准机制。本文认为,加工贸易作为制造业企业嵌入全球价值链的重要渠道,仍然有助于提升我国企业总体创新水平。It is a typical fact among Chinese manufacturing firms that the productivity of process-ing firms is significantly lower than that of others.Processing firms have long been regarded as those with low R&D and innovation,while a lot of practical cases show that processing trade plays an important role in firm innovation and upgrading.Therefore,this paper goes beyond the type of firms and focuses on trade behavior,and studies the impact of firms'shift from not engag-ing in processing trade to engaging in processing trade on their R&D and innovation.Based on Chinese manufacturing firm data from 2000 to 2006,this paper finds that engagement in process-ing trade significantly promotes firm innovation.The above results are robust when using the PSM-DID model and export tax rebate rate adjustment in 2004 as a quasi-experiment to control the self-selection effect of processing trade.This paper further divides processing trade behaviors into three categories:from non-trade to pure processing trade,from non-trade to hybrid trade,and from ordinary trade to hybrid trade.This paper finds that the latter two types are the main sources of innovation enhancement effect of processing trade.In addition,the innovation en-hancement effect for the firms from non-trade to hybrid trade originates from the synergistic effect of the two trade modes,which is the trade mode synergy mechanism.The shift from ordinary trade to hybrid trade mainly shows the development effect of processing trade on new markets and new products,which is reflected in the quality and technical standards mechanism.This paper argues that processing trade,as an important channel for manufacturing firms to embed in the global value chain,is still conducive to improving the overall innovation level of Chinese firms.

关 键 词：加工贸易 研发创新 贸易模式协同 质量技术标准 

分 类 号：F752[经济管理—国际贸易]