对外直接投资、逆向研发溢出与母国技术进步——数理模型与实证研究

本文在国际技术溢出理论的基础上,建立了一个对外直接投资促进母国技术进步的数理模型。该数理模型重点对Cohen & Levinthal的"吸收能力"理论作了扩展,将母国研发支出的"双重身份"扩展到"三重身份"。随后本文使用OECD国家数据对该模型进行了实证检验,认为:(1)对外直接投资获得的逆向研发溢出可以促进母国技术进步;(2)母国的研发存量和东道国研发溢出之间的交互作用以"替代作用"为主;(3)通过"门槛回归"发现,随着母国研发存量的增加,该"替代作用"逐渐增加,但是其增幅较为微弱。

Outward Foreign Direct Investment,Inverse R&D Stock Spillovers and Domestic Technology Progress:An Mathematical Model and Empirical Analysis

On the basis of international technology spillover theory,this paper created a mathematical model of how outward foreign direct investment(ODI) influences domestic technology.Meanwhile,it extended Cohen & Levinthal′s "absorptive capacity" theory.Cohen & Levinthal thought that domestic R&D expenditure had two faces: formulating absorptive capacity and improving technology progress.The prper argues that except for those two faces,domestic R&D expenditure had another face,that is,substituting or be substituted by host country′s R&D spillovers.Then it did an empirical analysis to test the model using OECD data.The paper found that the R&D spillovers gotten from ODI could improve domestic technology.Meanwhile,it studied the interaction between foreign R&D spillovers and domestic R&D stock(the substitution for "absorptive capacity"),and found that their interaction exhibited a substitution effect.Using "threshold regression",it also found that with the growth of domestic R&D stock,the substitution effect increased faintly.