作　者：唐宜红 俞峰 李兵
关键词：FDI；企业创新；技术溢出；专利；知识产权；中国工业
摘　要：

 创新是引领发展的第一动力。加快建设创新型国家是转变经济发展方式和优化经济结构的战略支撑。把 1998-2009 年的工业企业数据库和 1998-2009 年的企业专利数据库合并，采用专利申请数代替传统的全要素生产率作为企业创新的代理变量，利用外资投资国汇率变化构造工具变量，可以在微观企业层面考察外商直接投资（FDI）对中国企业不同水平创新的影响。实证分析表明，FDI 通过行业间后向关联对中国企业产生显著的创新溢出效应，显著地促进了技术含量相对较高的发明专利和实用新型专利的提高，而行业内和行业间前向关联的创新溢出效应不显著。进一步从内资企业异质性来看，FDI 对非国有企业、出口导向型企业和资本密集型企业的创新溢出效应更明显；从区域制度异质性来看，区域市场开放程度越大，越有利于内资企业从外资中获取创新能力，而区域知识产权保护程度差异未对 FDI 创新溢出效应产生显著影响。因此，FDI 能够提高中国企业创新能力，但是这种促进作用是引入外资、内资企业特性和区域制度之间“交互作用”的效果。这一结论有利于我国政府科学制定外资政策和最大化外资创新溢出效应。

 

The Effects of FDI on Firms’ Innovation

Empirical Evidence Based on the Annual Survey of Industrial Enterprises in China and Chinese Patent Database

Tang Yihong, Yu Feng, Li Bing ( Central University of Finance and Economics)

Abstract    Innovation is the first impetus for development. Accelerating the building of an innovative country is a strategic support for building a modern economic system and thereby transforming the economic development mode and optimizing the economic structure. By combining Chinese Enterprises Annual Survey data and firm-level patent data from year 1998 to 2009, using the number of patent applications rather than the traditional total factor productivity as a proxy for firm innovation, and using exchange rate changes of the foreign investment country to construct instrumental variables, this study empirically investigates the spillover effects from foreign direct investment (FDI) on the in- novation performance of domestic firms. The results show that positive innovation spillovers from FDI take place through contacts between foreign affiliates and their local suppliers in upstream sectors, not downstream or horizontal sectors. The data indicate that spillovers are mainly significant for high-tech level patents, including invention model patent and utility model patent. Furthermore, from the perspective of domestic firm heterogeneity, non-state-owned enterprises, export-oriented enterprises and capital-intensive enterprises obtain larger FDI spillovers. From the perspective of regional institution heterogeneity, the spillovers tend to be stronger with a higher degree of market openness but not the degree of patent protection. Therefore, FDI can improve the innovation of Chinese enterprises, while the real effects come from foreign capital, the characteristics of domestic enterprises and the regional institutions, which are policy implication for the government to introduce FDI and maximize their spillovers.

Key words   FDI; firm innovation; technology spillover; patent; Intellectual property right protection；Chinese industry

 

唐宜红，经济学博士，中央财经大学国际经济与贸易学院教授、博士生导师，中央财经大学国际经济与贸易学院院长

俞 峰，中央财经大学国际经济与贸易学院博士生。

李 兵，经济学博士，中央财经大学国际经济与贸易学院副教授

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