中间品进口、自主创新与企业全球价值链升级

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摘要本文基于拓展的C-D生产函数,纳入中间品进口与自主创新行为,阐述了中间品进口、自主创新与企业全球价值链(GVC)升级的互动机制,并运用中国工企-海关-专利数据库的匹配数据进行实证分析。研究发现:中间品进口仅能促使企业嵌入GVC下游环节提升其GVC地位,这种提升作用随企业生命周期延长边际递减;自主创新可推动企业嵌入GVC上游与下游环节实现GVC升级,但嵌入GVC上游环节的升级效果大于嵌入GVC下游环节,成长期和成熟期企业的升级效果大于初创期和衰退期企业;此外,自主创新对企业GVC升级的影响因中间品进口水平不同而存在双重门槛效应:自主创新与较低水平的中间品进口相互替代,抑制企业GVC升级;自主创新与较高水平的中间品进口互补,促进企业GVC升级。

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	胡国恒
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关键词 ：中间品进口, 自主创新, 全球价值链升级, 生命周期

Abstract：Based on the expanded C-D production function,this paper introduces the interaction mechanism of intermediate imports,independent innovation and enterprise GVC upgrading by incorporating the behavior of intermediate imports and independent innovation,and makes an empirical analysis using the matching data of China's industrial enterprise customs patent database.The results show that the import of intermediate goods can only promote the enterprises to embed in the downstream links of GVC and improve their GVC status,and this effect decreases marginally with the extension of the enterprise's life cycle;Independent innovation can promote enterprises to embed GVC upstream and downstream links to achieve GVC upgrading,but the upgrading effect of embedding GVC upstream links is greater than that of embedding GVC downstream links,and the upgrading effect of enterprises in the growth and mature periods is greater than that of enterprises in the start-up and recession periods;In addition,the impact of independent innovation on enterprises' GVC upgrading has a double threshold effect due to the different import levels of intermediate goods:independent innovation and lower level intermediate goods import replace each other,inhibit enterprises' GVC upgrading,and independent innovation and higher level intermediate goods import complement each other to promote enterprises' GVC upgrading.

Key words： Import of intermediate good Independent innovation Upgrading of global value chain Life cycle

收稿日期: 2022-10-24

PACS:

F740

基金资助:国家社会科学基金项目“知识资本多元化驱动制造业价值链迭代升级研究”(21BJY084),河南省研究生教育优质课程项目“中级宏观经济学”(YJS2021KC29)。

通讯作者: 刘珊

作者简介: 胡国恒(1963—),男,河南舞阳人,博士、教授,研究方向为国际贸易。

引用本文:

胡国恒, 胡鹏, 刘珊. 中间品进口、自主创新与企业全球价值链升级[J]. 中国科技论坛, 2023(10): 85-94.
Hu Guoheng, Hu Peng, Liu Shan. Import of Intermediate Goods,Independent Innovation and Upgrading of Enterprises' Global Value Chain. , 2023(10): 85-94.

链接本文:

http://www.zgkjlt.org.cn/CN/Y2023/I10/85

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