国际研发资本技术溢出对绿色技术创新效率的动态效应
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摘要
基于Coe-Helpman的国际研发资本技术溢出模型,将国际研发投入、跨国技术转移、FDI、OFDI和进口贸易等5条渠道的研发资本技术溢出均纳入该模型,用动态GMM检验各渠道技术溢出与绿色技术创新效率的关系。研究结果表明:从动态性来看,滞后一期的绿色技术创新效率对当期的技术创新效率有显著提升作用,技术的循环累积效应对绿色技术创新效率的提升作用明显。国际研发资本技术溢出比国内研发资本更好地促进了绿色技术创新效率的提升,除了OFDI研发资本技术溢出没有提升绿色技术创新效率,其他渠道均促进了绿色技术创新效率,其中FDI研发资本技术溢出对绿色技术创新效率的提升最为显著。最后本文提出了政策建议。
Green technological innovation can effectively promote economic transformation,improve the quality of economic development,and is an important driving force for the sustainable development of the world economy. At present,China's green technological innovation capability is worse than that in developed countries. Most green technological innovation in enterprises is induced by external resources or pressure. Research shows that the same technology cannot produce spillover effects. Under the condition of open economy,a country's technological progress not only relies on its own technological innovation,but also on the ability of imitating and absorbing advanced technology from developed countries. With countries become more connected,international technology diffusion effect has become the core factor of technological progress,spillovers of international R&D capital technology plays a more and more important role in independent innovation in developing countries. If China pays more attention to the optimization of technological path and diffusion of green technology in the process of international transfer of technology,China would possibly narrow the gap. This paper mainly researches the impact of technology spillovers of international R&D capital on the efficiency of green technology innovation.Based on the Coe and Helpman's model of International R&D capital technology spillover( Hereinafter referred to as CH model),this paper divided the international R&D capital technology spillovers into direct and indirect channels. The direct channels include multinational R&D investment and national technology transfer,and the indirect channels include FDI,OFDI and import trade. Then this paper incorporated all channels into CH model and compared the differences of technology spillover effect between different channels. To overcome the endogenous problem that the model may generate,we choose GMM to test the impact of R&D capital spillovers on green technology innovation efficiency.Some conclusions as follows:( 1) The one lag of green technological innovation efficiency has a significant effect on the current technological innovation efficiency,and the coefficients are larger than other main explanatory variable,which shows that the cyclic cumulative effect of technology has a significant effect on the improvement of green technological innovation efficiency.( 2)International R&D capital technology spillover promotes the efficiency of green technology innovation better than domestic R&D capital does. Except of OFDI R&D capital technology spillover,other channels have promoted the efficiency of green technology innovation,especially the FDI R&D capital. Domestic R&D capital has hindered the efficiency of China's green technology innovation.( 3) The details are as follows: Firstly,transnational R&D investment mainly promotes the efficiency of green technology innovation by improving pure technology efficiency,which shows that technology lock-in benefits would reduce the spillover effect of local enterprise. The role of scale efficiency in this progress is relatively small,which shows that the degree of marketization of R&D investment is insufficient. Secondly,FDI R&D capital technology spillover has the most significant effect on the efficiency of green technology innovation. It mainly comes from the improvement of pure technology efficiency. The possible reason is that the imitation effect grew from the flow of talent in foreign-funded enterprises promotes the efficiency of green technology innovation. The scale efficiency is negative because of technology lock-in effect. Thirdly,OFDI R&D capital technology spillover hinders China's technological innovation efficiency,mainly because China's green technology acquisition OFDI accounts for a low proportion. Fourthly,the technology spillover of R&D capital in import trade promotes the efficiency of green technology innovation. It shows that the positive effect of import trade on the efficiency of technological innovation is greater than that of inhibition.In terms of import trade,Chinese enterprises pay more attention to the selection of countries with rich R&D capital. Fifthly,domestic R&D capital hinders the efficiency of green technology innovation. It shows that the allocation of domestic R&D capital investment resources is unbalance,the input of factors is low-end,and has not been transformed into the improvement of green technology innovation efficiency.Based on the above conclusions,this paper puts forward the following suggestions: Firstly,we should pay attention to the cyclic cumulative effect of green technology innovation. As the technology spillover of international R&D capital has a strong cyclical cumulative effect,regions should pay special attention to the cumulative effect of early accumulation of green technology innovation efficiency on later innovation in future development.Secondly,because of the technology lock-in effect in transnational technology transfer,China needs to enhance its independent innovation ability in the future,focusing on the core technology and key technologies with independent intellectual property rights. At the same time,we should strengthen the transnational technology transfer,enhance the degree of marketization,and promote the free flow and efficient allocation of factors. We should gradually increase the patency of R&D investment and foreign direct investment between regions,promote the openness of international trade,and accelerate the diffusion of technological capital.Thirdly,we should make effective use of FDI and optimize the industrial structure of technology importation. In order to introduce high-end technology,we should pay attention to further optimizing the industrial structure,carry out advanced intervention in environmental protection,focus on the development of green industry,and give priority to the introduction of large-scale,intensive and high-tech industries. Improve the skills of R&D personnel and give full play to the positive effect of FDI R&D capital and technology spillover. Improve the quantity and quality of technical talents in local enterprises,enhance the absorption effect of technology and transform the absorbed technology into real products.Fourthly,we should upgrade the level of foreign direct investment and increase the proportion of technology-acquired OFDI. We should encourage investment in sophisticated technology and grasp the trend of international consumption. We should intensify technology-acquiring FDI and strive to absorb R&D capital from developed countries through a variety of investment methods.Fifthly,we should continue to optimize the structure of import trade,increase the proportion of technology-intensive trade,and enhance the technology spillover effect of R&D capital in import trade.Sixthly,we should improve the win-win mechanism of economic growth and environmental protection,and enhance the efficiency of green technology innovation in China. Environmental indicators would be incorporated into the evaluation system of technological innovation efficiency of industrial enterprises,and a green economic development model would be established. We should change the traditional development mode characterized and promote cleaner production mode of enterprises on a large scale,strengthen the application for green label certification,promote enterprises to upgrade the level of green technology innovation,at the same time,make environmental management standardized,routine and scientific.
Green technological innovation can effectively promote economic transformation,improve the quality of economic development,and is an important driving force for the sustainable development of the world economy. At present,China's green technological innovation capability is worse than that in developed countries. Most green technological innovation in enterprises is induced by external resources or pressure. Research shows that the same technology cannot produce spillover effects. Under the condition of open economy,a country's technological progress not only relies on its own technological innovation,but also on the ability of imitating and absorbing advanced technology from developed countries. With countries become more connected,international technology diffusion effect has become the core factor of technological progress,spillovers of international R&D capital technology plays a more and more important role in independent innovation in developing countries. If China pays more attention to the optimization of technological path and diffusion of green technology in the process of international transfer of technology,China would possibly narrow the gap. This paper mainly researches the impact of technology spillovers of international R&D capital on the efficiency of green technology innovation.Based on the Coe and Helpman's model of International R&D capital technology spillover( Hereinafter referred to as CH model),this paper divided the international R&D capital technology spillovers into direct and indirect channels. The direct channels include multinational R&D investment and national technology transfer,and the indirect channels include FDI,OFDI and import trade. Then this paper incorporated all channels into CH model and compared the differences of technology spillover effect between different channels. To overcome the endogenous problem that the model may generate,we choose GMM to test the impact of R&D capital spillovers on green technology innovation efficiency.Some conclusions as follows:( 1) The one lag of green technological innovation efficiency has a significant effect on the current technological innovation efficiency,and the coefficients are larger than other main explanatory variable,which shows that the cyclic cumulative effect of technology has a significant effect on the improvement of green technological innovation efficiency.( 2)International R&D capital technology spillover promotes the efficiency of green technology innovation better than domestic R&D capital does. Except of OFDI R&D capital technology spillover,other channels have promoted the efficiency of green technology innovation,especially the FDI R&D capital. Domestic R&D capital has hindered the efficiency of China's green technology innovation.( 3) The details are as follows: Firstly,transnational R&D investment mainly promotes the efficiency of green technology innovation by improving pure technology efficiency,which shows that technology lock-in benefits would reduce the spillover effect of local enterprise. The role of scale efficiency in this progress is relatively small,which shows that the degree of marketization of R&D investment is insufficient. Secondly,FDI R&D capital technology spillover has the most significant effect on the efficiency of green technology innovation. It mainly comes from the improvement of pure technology efficiency. The possible reason is that the imitation effect grew from the flow of talent in foreign-funded enterprises promotes the efficiency of green technology innovation. The scale efficiency is negative because of technology lock-in effect. Thirdly,OFDI R&D capital technology spillover hinders China's technological innovation efficiency,mainly because China's green technology acquisition OFDI accounts for a low proportion. Fourthly,the technology spillover of R&D capital in import trade promotes the efficiency of green technology innovation. It shows that the positive effect of import trade on the efficiency of technological innovation is greater than that of inhibition.In terms of import trade,Chinese enterprises pay more attention to the selection of countries with rich R&D capital. Fifthly,domestic R&D capital hinders the efficiency of green technology innovation. It shows that the allocation of domestic R&D capital investment resources is unbalance,the input of factors is low-end,and has not been transformed into the improvement of green technology innovation efficiency.Based on the above conclusions,this paper puts forward the following suggestions: Firstly,we should pay attention to the cyclic cumulative effect of green technology innovation. As the technology spillover of international R&D capital has a strong cyclical cumulative effect,regions should pay special attention to the cumulative effect of early accumulation of green technology innovation efficiency on later innovation in future development.Secondly,because of the technology lock-in effect in transnational technology transfer,China needs to enhance its independent innovation ability in the future,focusing on the core technology and key technologies with independent intellectual property rights. At the same time,we should strengthen the transnational technology transfer,enhance the degree of marketization,and promote the free flow and efficient allocation of factors. We should gradually increase the patency of R&D investment and foreign direct investment between regions,promote the openness of international trade,and accelerate the diffusion of technological capital.Thirdly,we should make effective use of FDI and optimize the industrial structure of technology importation. In order to introduce high-end technology,we should pay attention to further optimizing the industrial structure,carry out advanced intervention in environmental protection,focus on the development of green industry,and give priority to the introduction of large-scale,intensive and high-tech industries. Improve the skills of R&D personnel and give full play to the positive effect of FDI R&D capital and technology spillover. Improve the quantity and quality of technical talents in local enterprises,enhance the absorption effect of technology and transform the absorbed technology into real products.Fourthly,we should upgrade the level of foreign direct investment and increase the proportion of technology-acquired OFDI. We should encourage investment in sophisticated technology and grasp the trend of international consumption. We should intensify technology-acquiring FDI and strive to absorb R&D capital from developed countries through a variety of investment methods.Fifthly,we should continue to optimize the structure of import trade,increase the proportion of technology-intensive trade,and enhance the technology spillover effect of R&D capital in import trade.Sixthly,we should improve the win-win mechanism of economic growth and environmental protection,and enhance the efficiency of green technology innovation in China. Environmental indicators would be incorporated into the evaluation system of technological innovation efficiency of industrial enterprises,and a green economic development model would be established. We should change the traditional development mode characterized and promote cleaner production mode of enterprises on a large scale,strengthen the application for green label certification,promote enterprises to upgrade the level of green technology innovation,at the same time,make environmental management standardized,routine and scientific.
引文
[1]何小钢.绿色技术创新的最优规制结构研究---基于研发支持与环境规制的双重互动效应[J].经济管理,2014,36(11):144-153.He Xiaogang.Research on optimal regulation structure of green technological innovation:Based on the dual interactive effect of support and environmental regulation[J].Economic Management,2014,36(11):144-153.
[2]Coe and Helpman.International R&D spillovers[J].European Economic Review,1995,39:859-887.
[3]Lichtenberg,F.R,Van Pottelsberghe de La Potterie,B.International R&D spillovers:A re-examination[J].European E-conomic Review,1998,42:1483-1491.
[4]肖文,林高榜.海外研发资本对中国技术进步的知识溢出[J].世界经济,2011,34(1):37-51.Xiao Wen,Lin Gaobang.Knowledge spillover of overseas R&D capital to China's technological progress[J].World E-conomy,2011,34(1):37-51.
[5]王俊.跨国外包体系中的技术溢出与承接国技术创新[J].中国社会科学,2013(9):108-125+206-207.Wang Jun.Technology spillovers in transnational outsourcing system and the technological innovation of the receiving country.[J].China Social Sciences,2013(9):108-125+206-207.
[6]白洁.R&D两面性、国际研发资本溢出与中国全要素生产率变动[J].中国软科学,2010(S2):06-10.Bai Jie.Two faces of R&D,international technology spillovers and the variation of Chinese total factor productivity[J].China Soft Science,2010(S2):06-10.
[7]刘建丽.FDI技术溢出与自主创新导向的外资政策[J].经济管理,2011,33(10):48-57.Liu Jianli.Technology spillovers of FDI and independent innovation oriented FDI policies[J].Economic Management,2011,33(10):48-57.
[8]毕克新,杨朝均.FDI溢出效应对我国工业碳排放强度的影响[J].经济管理,2012,34(8):31-39.Bi Kexin,Yang Chaojun.Empirical analysis on the spillover effects of FDI on industrial carbon emission intensity of China[J].Economic Management,2012,34(8):31-39.
[9]高大伟.国际研发资本、金融发展对碳生产率的影响研究[J].经济经纬,2016,33(1):150-154.Gao Dawei.A research on the effects of international R&D and financial development on carbon productivity[J].Economic Survey,2016,33(1):150-154.
[10]Kokko,A.Foreign direct investment,host country characteristics and spillovers[D].The Economic Research Institute,Stockholm,1992.
[11]Eskeland,Gunnar S.,Ann E.Harrison.Moving to greener pastures?Multinationals and the pollution haven hypothesis[J].Journal of Development Economics,2003,70(1):01-23.
[12]Vahter P,Masso J.Home versus host country effects of FDI:Searching for new evidence of productivity spillovers[J].Social Electronic Publishing,2005,53(2):165-196.
[13]Driffield N,Love J H,Taylor K.Productivity and labor demand effects of inward and outward FDI on UK industry[J].The Manchester School,2009,77(2):171-203.
[14]Lema A,Lema R.Technology transfer in the clean development mechanism:Insights from wind power[J].Global Environmental Change-Human and Policy Dimensions,2013,23(1):301-303.
[15]Chung YH,Fare R.and Grosskopf S.Productivity and undesirable outputs:A directional distance function approach[J].Journal of Environmental Management,1997,51(3):229-240.
[16]钱丽,肖仁桥,陈忠卫.我国工业企业绿色技术创新效率及其区域差异研究---基于共同前沿理论和DEA模型[J].经济理论与经济管理,2015(1):26-43.Qian Li,Xiao Renqiao,Chen Zhongwei.Research on the industrial enterprise’s technology innovation efficiency and regional disparities in China:Based on the theory of meta-frontier and DEA model[J].Economic Theory and Economic Management,2015(1):26-43.
[17]张江雪,朱磊.基于绿色增长的我国各地区工业企业技术创新效率研究[J].数量经济技术经济研究,2012,29(2):113-125.Zhang Jiangxue,Zhu Lei.Research on technological innovation efficiency of industrial enterprises based on green growth of regions in China[J].Quantitative Economic,Technological and Economic Research,2012,29(2):113-125.
(1)选取1999年为基期,基期存量=1999年研发经费内部支出/10%,选取折旧率为9.6%,并将各年资本存量按照研发价格指数以1999年作为基年进行价格平减。
(2)本文选取的经济合作组织(OECD)22个国家包括美国、英国、日本、德国、法国、瑞典、加拿大、奥地利、土耳其、捷克、比利时、丹麦、希腊、芬兰、爱尔兰、挪威、葡萄牙、荷兰、西班牙、匈牙利、韩国、波兰,是中国国际研发资本的主要来源地。
(1)2001-2008年由R&D机构R&D经费内部支出中的国外资金与三资企业的国外研发(R&D)资金两部分组成,由于统计方式的变化,2009以后三资企业的国外研发(R&D)资金这个统计指标没有,为了数据的连续性,仅采集了R&D经费内部支出中的国外资金,并对数据进行了修正。
(2)以2001年为基年用永续盘存法,用基年流量数据除以折旧率和基年后5年的平均增长率作为基年投入存量,以5%为折旧率用永续盘存法计算各年份存量。
(3)以2001年为基年用9.6%的折旧率进行计算。
[2]Coe and Helpman.International R&D spillovers[J].European Economic Review,1995,39:859-887.
[3]Lichtenberg,F.R,Van Pottelsberghe de La Potterie,B.International R&D spillovers:A re-examination[J].European E-conomic Review,1998,42:1483-1491.
[4]肖文,林高榜.海外研发资本对中国技术进步的知识溢出[J].世界经济,2011,34(1):37-51.Xiao Wen,Lin Gaobang.Knowledge spillover of overseas R&D capital to China's technological progress[J].World E-conomy,2011,34(1):37-51.
[5]王俊.跨国外包体系中的技术溢出与承接国技术创新[J].中国社会科学,2013(9):108-125+206-207.Wang Jun.Technology spillovers in transnational outsourcing system and the technological innovation of the receiving country.[J].China Social Sciences,2013(9):108-125+206-207.
[6]白洁.R&D两面性、国际研发资本溢出与中国全要素生产率变动[J].中国软科学,2010(S2):06-10.Bai Jie.Two faces of R&D,international technology spillovers and the variation of Chinese total factor productivity[J].China Soft Science,2010(S2):06-10.
[7]刘建丽.FDI技术溢出与自主创新导向的外资政策[J].经济管理,2011,33(10):48-57.Liu Jianli.Technology spillovers of FDI and independent innovation oriented FDI policies[J].Economic Management,2011,33(10):48-57.
[8]毕克新,杨朝均.FDI溢出效应对我国工业碳排放强度的影响[J].经济管理,2012,34(8):31-39.Bi Kexin,Yang Chaojun.Empirical analysis on the spillover effects of FDI on industrial carbon emission intensity of China[J].Economic Management,2012,34(8):31-39.
[9]高大伟.国际研发资本、金融发展对碳生产率的影响研究[J].经济经纬,2016,33(1):150-154.Gao Dawei.A research on the effects of international R&D and financial development on carbon productivity[J].Economic Survey,2016,33(1):150-154.
[10]Kokko,A.Foreign direct investment,host country characteristics and spillovers[D].The Economic Research Institute,Stockholm,1992.
[11]Eskeland,Gunnar S.,Ann E.Harrison.Moving to greener pastures?Multinationals and the pollution haven hypothesis[J].Journal of Development Economics,2003,70(1):01-23.
[12]Vahter P,Masso J.Home versus host country effects of FDI:Searching for new evidence of productivity spillovers[J].Social Electronic Publishing,2005,53(2):165-196.
[13]Driffield N,Love J H,Taylor K.Productivity and labor demand effects of inward and outward FDI on UK industry[J].The Manchester School,2009,77(2):171-203.
[14]Lema A,Lema R.Technology transfer in the clean development mechanism:Insights from wind power[J].Global Environmental Change-Human and Policy Dimensions,2013,23(1):301-303.
[15]Chung YH,Fare R.and Grosskopf S.Productivity and undesirable outputs:A directional distance function approach[J].Journal of Environmental Management,1997,51(3):229-240.
[16]钱丽,肖仁桥,陈忠卫.我国工业企业绿色技术创新效率及其区域差异研究---基于共同前沿理论和DEA模型[J].经济理论与经济管理,2015(1):26-43.Qian Li,Xiao Renqiao,Chen Zhongwei.Research on the industrial enterprise’s technology innovation efficiency and regional disparities in China:Based on the theory of meta-frontier and DEA model[J].Economic Theory and Economic Management,2015(1):26-43.
[17]张江雪,朱磊.基于绿色增长的我国各地区工业企业技术创新效率研究[J].数量经济技术经济研究,2012,29(2):113-125.Zhang Jiangxue,Zhu Lei.Research on technological innovation efficiency of industrial enterprises based on green growth of regions in China[J].Quantitative Economic,Technological and Economic Research,2012,29(2):113-125.
(1)选取1999年为基期,基期存量=1999年研发经费内部支出/10%,选取折旧率为9.6%,并将各年资本存量按照研发价格指数以1999年作为基年进行价格平减。
(2)本文选取的经济合作组织(OECD)22个国家包括美国、英国、日本、德国、法国、瑞典、加拿大、奥地利、土耳其、捷克、比利时、丹麦、希腊、芬兰、爱尔兰、挪威、葡萄牙、荷兰、西班牙、匈牙利、韩国、波兰,是中国国际研发资本的主要来源地。
(1)2001-2008年由R&D机构R&D经费内部支出中的国外资金与三资企业的国外研发(R&D)资金两部分组成,由于统计方式的变化,2009以后三资企业的国外研发(R&D)资金这个统计指标没有,为了数据的连续性,仅采集了R&D经费内部支出中的国外资金,并对数据进行了修正。
(2)以2001年为基年用永续盘存法,用基年流量数据除以折旧率和基年后5年的平均增长率作为基年投入存量,以5%为折旧率用永续盘存法计算各年份存量。
(3)以2001年为基年用9.6%的折旧率进行计算。