科研管理

科研管理 ›› 2016, Vol. 37 ›› Issue (9): 78-88.

• 论文 • 上一篇    下一篇

FDI国别属性、门槛特征和技术效率外溢：基于一阶段SFA和面板门槛的经验研究

张成1,2,郭炳南3,于同申4   

  1. 1南京财经大学经济学院，江苏 南京210023；
    2中国社会科学院工业经济研究所，北京100836； 
    3江苏科技大学公共管理学院，江苏 镇江212003；
    4中国人民大学经济学院，北京100872
  • 收稿日期:2014-10-14 修回日期:2016-02-22 出版日期:2016-09-20 发布日期:2016-09-20
  • 通讯作者: 张成
  • 基金资助:

    国家社科基金青年项目（编号：12CJY008），2011.2-2016.12；中国博士后科学基金一等资助项目（编号：2015M570196），2015.5-2017.6；江苏省社会科学基金( 编号：13SHC014) ，2014.1-2016.12；江苏省“333工程”科研资助项目（编号：BRA2015411），2015.9-2017.12；江苏高校优势学科建设工程资助项目，2014.1－2016.12；江苏省“青蓝工程”中青年学术带头人资助计划，2014.5-2016.12。

National Attribute of FDI, Threshold Characteristics and Technical Spillovers: An Empirical Analysis based on the Method of One-stage SFA and Panel Threshold

Zhang Cheng1,2, Guo Bingnan3, Yu Tongshen4   

  1. 1. School of Economics, Nanjing University of Finance and Economics, Nanjing 210023, Jiangsu, China；
    2. Institute of Industrial Economics, Chinese Academy of Social Sciences, Beijing 100836, China；
    3. School of Public Management, Jiangsu University of Science and Technology, Zhenjiang 212003, Jiangsu, China；
    4. School of Economics, Renmin University of China, Beijing 100872, China
  • Received:2014-10-14 Revised:2016-02-22 Online:2016-09-20 Published:2016-09-20

摘要： 为研究不同来源国的FDI对我国企业的技术效率溢出效应，本文以中国1998-2012年的省际面板数据为样本，选取资本、劳动和CO2作为投入，结合使用一阶段SFA和面板门槛技术开展了经验分析。结果表明：（1）韩国&新加坡投资和其他国家投资的溢出效果大于G7投资和港澳台投资，并且除了港澳台投资外，其他来源国的FDI在沿海地区的溢出效应均大于内陆地区；（2）良好的市场化程度和人力资本水平，能够通过直接刺激和间接传导的双重渠道去提升我国企业的技术效率水平；（3）在门槛效应分析中，G7投资在市场化程度和人力资本水平上的门槛取值最高，而韩国&新加坡投资仅需要较低的门槛取值就能够最大程度地提升技术溢出的效果。该结论意味着各省份在引进外资时，既要杜绝低水平外资的引进，也要避免对高水平外资的盲目崇拜，可以因地制宜地采取梯度式引进法，以此来保障其对内资企业技术效率的平滑式和跨越式双重激励。同时，还应当注重提高我国市场化程度和人力资本水平，增强它们对技术效率直接和间接的双重促进。

关键词: 外商直接投资, 技术效率溢出, 国别属性, 一阶段SFA, 门槛条件

Abstract: The paper takes the sample of inter-provincial panel data between 1998 and 2012 with capital, labor and carbon dioxide as inputs and makes empirical analysis by means of the one-stage SFA and Panel Threshold methods to study the spillovers of FDI from different source countries on technical efficiency of China’s enterprises. The results show those: (1) the spillovers of FDI from South Korea and Singapore and FDI from other countries exceed those of FDI from America, Britain, France, Germany, Italy and Japan (G7) and FDI from Hong Kong, Macao and Taiwan, and except of FDI from Hong Kong, Macao and Taiwan, the spillovers of other types of FDI in Western China are less than those in Eastern China; (2) the better degrees of marketization and human capital can improve the technical efficiency of China’s enterprises directly and indirectly; (3) in order to observably improve the technical efficiency of China’s enterprises indirectly, FDI from G7 needs the biggest threshold levels in degrees of marketization and human capital, while FDI from South Korea can maximize the spillovers with the smallest threshold levels. Such results mean that we should have scalar attraction of FDI by avoiding low-level FDI and arbitrary selection of high-level FDI according the actual situation of China’s provinces to ensure smooth and leapfrog stimulation for China’s enterprises. What’s more, we should pay more attention to improve the degrees of marketization and human capital aiming to improve technical efficiency directly and indirectly.

Key words: FDI, technical efficiency spillovers, national attribute, one-stage SFA, threshold characteristics