对外直接投资对工业企业绿色创新路径演化的影响研究
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摘要
基于演化博弈理论构建了OFDI作用下的双寡头工业企业绿色创新路径选择的演化博弈模型,并利用数值仿真探究OFDI逆向技术溢出效应、利润反馈和研发费用分摊效应对工业企业绿色创新路径选择的影响。研究结果表明:未产生OFDI逆向技术溢出效应或外溢幅度较低的,创新成功率较低的企业倾向于绿色模仿创新,当创新成功率超过某一阈值时企业向绿色自主创新方向演化;高OFDI逆向技术溢出下企业将绕过绿色自主创新直接选择绿色模仿创新。未产生利润反馈和研发费用分摊效应或影响程度较低时企业倾向于选择绿色模仿创新路径,高利润反馈和研发费用分摊效应下企业更倾向于选择绿色自主创新路径。
Based on the evolutionary game theory, this paper constructs the evolutionary game model of the green innovation path selection of the duopoly industrial enterprises under OFDI. And then, it explores the impact of OFDI reverse technology spillover effect and OFDI profit feedback effect on the path of green innovation for industrial enterprises by Numerical Simulation. Results show that in the absence of OFDI reverse technology spillover, the innovation capability of China's industrial enterprises determines which green innovation path enterprises choose. Under the low OFDI reverse technology spillover, the enterprise tends to green imitation when the innovation success rate is low, when the innovation success rate exceeds a certain threshold. The enterprise tends to evolve to the green independent innovation path. Under the high OFDI reverse technology spillover, enterprises bypass green independent innovation and choose green imitation innovation. When there is no profit feedback and R&D cost sharing effect or the effect is low, enterprises tend to imitation innovation path. Under the high OFDI profit feedback and R&D cost sharing effect, enterprises tend to choose the green independent innovation path.
Based on the evolutionary game theory, this paper constructs the evolutionary game model of the green innovation path selection of the duopoly industrial enterprises under OFDI. And then, it explores the impact of OFDI reverse technology spillover effect and OFDI profit feedback effect on the path of green innovation for industrial enterprises by Numerical Simulation. Results show that in the absence of OFDI reverse technology spillover, the innovation capability of China's industrial enterprises determines which green innovation path enterprises choose. Under the low OFDI reverse technology spillover, the enterprise tends to green imitation when the innovation success rate is low, when the innovation success rate exceeds a certain threshold. The enterprise tends to evolve to the green independent innovation path. Under the high OFDI reverse technology spillover, enterprises bypass green independent innovation and choose green imitation innovation. When there is no profit feedback and R&D cost sharing effect or the effect is low, enterprises tend to imitation innovation path. Under the high OFDI profit feedback and R&D cost sharing effect, enterprises tend to choose the green independent innovation path.
引文
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[24] 彭纪生,刘春林.自主创新与模仿创新的博弈分析[J].科学管理研究,2003(6):18-22.
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[26] 盛昭瀚,蒋德鹏.演化经济学[M].上海:上海三联书店,2002.
[2] 汪斌,李伟庆,周明海.ODI与中国自主创新:机理分析与实证研究[J].科学学研究,2010,28(6):926-933.
[3] 李思慧,于津平.对外直接投资与企业创新效率[J].国际贸易问题,2016(12):28-38.
[4] 刘宏程,仝允桓.产业创新网络与企业创新路径的共同演化研究:中外PC厂商的比较[J].科学学与科学技术管理,2010,31(2):72-76.
[5] Lee S,Park G,Yoon B,et al.Open Innovation in SMEs——An Intermediated Network Model[J].Research Policy,2010,39 (2) :290-300.
[6] 盛光华,张志远.补贴方式对创新模式选择影响的演化博弈研究[J].管理科学学报,2015,18(9):34-45.
[7] 王婷,杨建君,张峰.交互性组织控制对创新路径选择的影响机制[J].科学学研究,2016,34(6):951-960.
[8] Prendeville S M,O'Connor F,Bocken N M P,et al.Uncovering Ecodesign Dilemmas :A Path to Business Model Innovation[J].Journal of Cleaner Production,2017,143:1327–1339.
[9] 石博,田红娜.基于生态位态势的家电制造业绿色工艺创新路径选择研究[J].管理评论,2018,30(2):83-93.
[10] Zhang T,Yue H F,Zhou J,et al.Technological Innovation Paths Toward Green Industry in China[J].Chinese Journal of Population Resources and Environment,2018,16(2):97-108.
[11] Fosfuri A,Motta M.Multinationals without Advantages [J].Scandinavian Journal of Economics,1999,101(4):617-630.
[12] 赵伟,古广东,何元庆.外向FDI与中国技术进步:机理分析与尝试性实证[J].管理世界,2006(7):53-60.
[13] Chen V Z,Li J,Shapiro D M.International Reverse Spillover Effects on Parent Firms:Evidences from Emerging-market MNEs in Developed Markets [J].European Management Journal,2012,30(3):204-218.
[14] Edamura K,Haneda S,Inui T,et al.Impact of Chinese Cross-border Outbound M&As on Firm Performance:Econometric Analysis Using Firm-level Data [J].China Economic Review,2014,30(C):169-179
[15] 李洪亚,宫汝凯.技术进步与中国OFDI:促进与溢出的双重考察[J].科学学研究,2016,34(1):57-68.
[16] 陈菲琼,钟芳芳,陈珧.中国对外直接投资与技术创新研究[J].浙江大学学报(人文社会科学版),2013,43(4):170-181.
[17] 沙文兵.东道国特征与中国对外直接投资逆向技术溢出——基于跨国面板数据的经验研究[J].世界经济研究,2014(5):60-65.
[18] Bitzer J,Kerekes M.Does Foreign Direct Investment Transfer Technology Across Borders?New Evidence [J].Economics Letters,2008,100(3):355-358.
[19] Cozza C,Rabellotti R,Sanfilippo M.The Impact of Outward FDI on the Performance of Chinese Firms [J].China Economic Review,2015,36:42-57.
[20] Dierk H.The Long-run Relationship between Outward Foreign Direct Investment and Total Factor Productivity:Evidence for Developing Countries [J].Journal of Development Studies,2011,47(5):767-785.
[21] 李梅,柳士昌.对外直接投资逆向技术溢出的地区差异和门槛效应——基于中国省际面板数据的门槛回归分析[J].管理世界,2012(1):21-32.
[22] 沙文兵.对外直接投资提升了中国国内创新能力吗?——基于2004年～2010年省际面板数据的检验[J].经济经纬,2015,32(6):54-58.
[23] 杨连星,刘晓光.中国OFDI逆向技术溢出与出口技术复杂度提升[J].财贸经济,2016(6):97-112.
[24] 彭纪生,刘春林.自主创新与模仿创新的博弈分析[J].科学管理研究,2003(6):18-22.
[25] Daniel Friedman.Evolutionary Games in Economics [J].Econometrica,1991,59(3):637-666.
[26] 盛昭瀚,蒋德鹏.演化经济学[M].上海:上海三联书店,2002.