中资企业研发国际化行为与创新绩效——基于2016—2018年中国国际工业博览会调研数据

doi:10.18306/dlkxjz.2019.10.008

Abstract

Abstract:

With the deepening of the implementation of the open-door policy, increasing number of Chinese enterprises realizes that to remain technologically competitive, it is not enough to only rely on domestic R&D investment. They need to learn and to absorb advanced technological experiences by R&D internationalization via international strategic alliances, transnational mergers and acquisitions (M&A), and establishing offshoring R&D laboratories. However, it is debatable whether R&D internationalization can indeed promote firms' innovation performance. Some scholars argue that R&D internationalization can expand the range of available innovation resources, which bring positive influences on enterprise innovation performance; while others state that R&D internationalization also increases the difficulty and complexity of organization management greatly. The innovative effect of R&D internationalization should be studied further. In this article, we analyzed the impacts of international strategic alliances, transnational M&A, and offshoring R&D laboratories on firms' innovation performance. Meanwhile, we tested the moderating roles of social embeddedness and absorptive capacity in the relationship between R&D internationalization and innovation performance. We conducted questionnaire surveys of 676 Chinese enterprises at the China International Industry Fair from 2016 to 2018, and applied multi-classification ordered logistic regression models to explore the relationship. The results suggest that first, Chinese enterprises tend to carry out offshoring R&D in developed countries and regions with high-density R&D capability, pooling of global innovation resources, and less language and communication barriers. Second, R&D internationalization has positive effect on innovation performance, but there are significant differences across different types of R&D internationalization. A positive correlation exists between transnational M&A and innovation; establishing overseas R&D institutions has an important impact on the increase of innovation performance. The empirical study also reveals that diversification of offshoring R&D activities has a significant impact on the creation of patents and new products. Via diversified overseas R&D activities, Chinese enterprises broaden their access to knowledge spillovers in host countries and accelerate access to useful and innovative information. In addition, the influence of R&D internationalization on innovation activities is regulated by social embeddedness and absorptive capacity.

Key words: R&D internationalization, innovation performance, Chinese enterprises, China International Industry Fair

SI Yuefang,LIU Wanxin,ZHU Yiwen,NIE Yuhan. R&D internationalization of Chinese enterprises and innovation performance:Based on the survey data of enterprises at the China International Industry Fair 2016-2018[J].PROGRESS IN GEOGRAPHY, 2019, 38(10): 1523-1534.

Figures/Tables 9

Tab.1

Tab.2

Fig.1

Tab.3

Variable definition and descriptive statistics"

变量名称	变量描述	均值	标准差
专利创新	企业近3 a申请专利总数,“低于10件”赋值为1,“10~49件”为2,“50~99件”为3,“100件以上”为4	2.01	0.90
产品创新	企业近3 a新产品产值占比,“低于10%”赋值为1,“10%~29%”为2,“30%~49%”为3,“50%以上”为4	3.06	1.30
跨境合作研发	虚拟变量,企业存在与海外机构合作研发赋值为1,反之为0	0.58	0.49
跨国并购	虚拟变量,企业存在跨国并购行为赋值为1,反之为0	0.26	0.44
海外研发机构	虚拟变量,企业存在设立海外研发机构赋值为1,反之为0	0.24	0.43
多元化行为	多分类变量,包含以下4类,赋值为1~4(以单种行为作为参照系)	2.55	1.28
无研发国际化行为	虚拟变量,不存在跨境合作研发、跨国并购、建立海外研发机构3种中任一种行为赋值为1	0.30	0.46
单种行为	虚拟变量,企业有且仅有1种研发国际化行为赋值为2	0.72	0.45
2种行为	虚拟变量,有且只有跨境合作研发和跨国并购,或是有且仅有跨境合作研发和设立海外研发机构,或是有且只有跨国并购和建立海外研发机构的赋值为3	0.64	1.23
3种行为	虚拟变量,企业3种研发国际化行为同时存在则赋值为4	0.38	1.17
研发强度	企业研发投入额占总销售额比重,“低于10%”赋值为1,“10%~19%”为2,“20%~29%”为3,“30%~49%”为4,“50%以上”为5	2.97	1.32
出口	虚拟变量,企业存在海外出口赋值为1,反之为0	0.26	0.44
社会嵌入性	判断企业是否存在“出口”“销售”“生产”及“提供产品售后服务”等海外经营活动,进行累计赋值,数值为0~4	2.94	1.23
企业年龄	自注册时间起企业的经营年数,取对数	2.37	0.75
人员规模	企业从业人数,“低于20人”赋值为1,“20~99人”为2,“100~299人”为3,“300~499人”为4,“500~999人”为5,“1000~4999人”为6,“超过5000人”为7	3.39	1.60
国有企业	虚拟变量,所有制为国有企业认证为1,反之为0	0.08	0.28
中外合资企业	虚拟变量,所有制为外商合资企业认证为1,反之为0	0.12	0.33
中西部省份	虚拟变量,企业总部属于中西部省份认证为1,反之为0	0.09	0.29
发达国家	虚拟变量,企业在发达经济体进行跨境研发认证为1,反之为0	0.23	0.42
装备制造业	虚拟变量,行业类型属于装备制造业认证为1,反之为0	0.73	0.44
技术服务业	虚拟变量,行业类型属于技术服务业认证为1,反之为0	0.27	0.44

Tab.3

Tab.4

Tab.5

Tab.6

Tab.7

Tab.8

References 36

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企业特征	类型	企业数/家	占比/%
研发国际化行为	跨境合作研发	401	59.3
	跨国并购	180	26.6
	设立海外研发机构	164	24.3
员工数	<300人	437	64.6
	300~1000人	147	21.8
	>1000人	92	13.6
专利数	<10件	205	30.3
	10~50件	325	48.1
	50~100件	85	12.6
	>100件	61	9.0
所有制性质	国有企业	50	7.4
	民营企业	545	80.6
	中外合资企业	81	12.0
行业类别	装备制造业	459	67.9
	技术服务业	159	23.5
	其他	58	8.6
总计		676	100

类别	企业跨境研发选址
发达国家	奥地利、澳大利亚、比利时、冰岛、丹麦、德国、法国、芬兰、韩国、荷兰、加拿大、美国、挪威、日本、瑞典、瑞士、西班牙、新加坡、以色列、意大利、英国
发展中国家	巴基斯坦、巴西、保加利亚、波兰、俄罗斯、哥伦比亚、哈萨克斯坦、罗马尼亚、马来西亚、秘鲁、墨西哥、南非、泰国、土耳其、匈牙利、印度、越南

变量	1	2	3	4	5	6	7	8	9	10	11	12	13	14	15	16
1	1
2	0.156	1
3	0.109	0.017	1
4	0.312	0.035	0.221	1
5	0.230	-0.076	0.171	0.312	1
6	0.008	0.000	0.618	0.024	0.061	1
7	0.066	0.170	0.061	-0.068	-0.075	0.036	1
8	0.184	-0.100	0.193	0.211	0.165	0.116	-0.149	1
9	0.154	-0.182	0.015	0.134	0.144	0.040	-0.216	0.109	1
10	0.458	-0.099	0.197	0.349	0.365	0.043	-0.133	0.254	0.401	1
11	0.165	-0.028	-0.013	0.070	0.082	0.039	-0.060	0.015	0.111	0.240	1
12	0.051	0.043	0.067	0.072	0.050	0.000	0.074	0.018	-0.028	0.000	-0.108	1
13	-0.047	0.011	-0.042	-0.031	-0.048	-0.013	-0.017	0.025	-0.016	-0.002	0.047	-0.024	1
14	0.229	-0.056	0.194	0.335	0.859	0.050	-0.039	0.151	0.104	0.356	0.092	0.088	-0.055	1
15	-0.026	0.035	-0.017	0.023	-0.017	-0.091	-0.125	0.157	0.048	0.058	-0.027	-0.063	-0.014	-0.035	1
16	0.026	-0.035	0.017	-0.023	0.017	0.091	0.125	-0.157	-0.048	-0.058	0.027	0.063	0.014	0.035	-0.806	1

变量	模型1 系数值(标准误)	模型2 系数值(标准误)	模型3 系数值(标准误)	模型4 系数值(标准误)
跨境合作研发	-0.119(0.169)
跨国并购		0.679^***(0.1995)
海外研发机构			0.186^*(0.227)
多元化行为(单种行为为参照项)
无研发国际化行为				0.014(0.116)
2种行为				0.362^***(0.138)
3种行为				0.210^*(0.206)
研发强度	0.235^***(0.066)	0.231^***(0.066)	0.120^***(0.044)	0.126^***(0.038)
出口	0.652^***(1.198)	0.550^**(0.197)	0.477^**(0.135)	0.313^*(0.117)
企业年龄	-0.067(0.118)	-0.061(0.117)	-0.029(0.078)	-0.015(0.069)
人员规模	0.617^***(0.067)	0.567^***(0.067)	0.332^***(0.041)	0.325^***(0.038)
国有企业	0.318(0.304)	0.357(0.305)	0.257(0.196)	0.281(0.177)
中外合资	0.231(0.243)	0.181(0.243)	0.039(0.159)	0.118(0.141)
中西部省份	-0.240(0.279)	-0.227(0.280)	-0.115(0.186)	-0.143(0.164)
发达经济体	0.259(0.200)	0.110(0.204)	0.066(0.231)	0.005(0.145)
装备制造业	-0.344(0.486)	-0.394(0.486)	-0.137(0.323)	-0.177(0.285)
技术服务业	-0.059(0.501)	-0.115(0.501)	0.047(0.332)	-0.014(0.293)
N	676	676	676	676
联接函数	Logit	Logit	Logit	Logit
Cox&Snell	0.238	0.252	0.199	0.247
Nagelkerke	0.261	0.277	0.219	0.272

变量	模型5	模型6
变量	系数值(标准误)	系数值(标准误)
跨境合作研发	0.071^**(0.396)	0.170(0.363)
跨国并购	0.686(0.422)	0.050^*(0.560)
海外研发机构	0.098^*(0.528)	-0.625(0.552)
跨境合作研发×研发强度	0.306^**(0.135)
跨国并购×研发强度	0.164(0.136)
海外研发机构×研发强度	0.509(0.141)
跨境合作研发×社会嵌入性		-0.056(0.120)
跨国并购×社会嵌入性		0.432^***(0.162)
海外研发机构×社会嵌入性		0.045(0.127)
研发强度	0.022^**(0.111)	0.215^***(0.064)
社会嵌入性	0.201^***(0.072)	0.050^**(0.130)
企业年龄	0.003^***(0.091)	0.029(0.091)
人员规模	0.309(0.052)	0.290^***(0.054)
国有企业	0.188(0.241)	0.134(0.244)
中外合资	-0.101(0.212)	-0.117(0.216)
中西部省份	-0.572^**(0.227)	-0.653^***(0.232)
发达经济体	0.469(0.350)	0.622^*(0.360)
N	676	676
联接函数	Logit	Logit
Cox&Snell	0.306	0.296
Nagelkerke	0.337	0.327

R&D internationalization of Chinese enterprises and innovation performance:Based on the survey data of enterprises at the China International Industry Fair 2016-2018

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变量	模型7 系数值(标准误)	模型8 系数值(标准误)	模型9 系数值(标准误)	模型10 系数值(标准误)
跨境合作研发	0.097(0.093)
跨国并购		0.278^**(0.110)
海外研发机构			-0.306(0.337)
多元化行为(单种行为为参照项)
无研发国际化行为				-0.085(0.108)
2种行为				0.085(0.133)
3种行为				0.353^*(0.198)
研发强度	0.112^***(0.036)	0.118^***(0.036)	0.222^***(0.062)	0.114^***(0.036)
出口	-0.203^*(1.106)	-0.221^**(0.106)	-0.352^**(0.179)	-0.210^*(0.108)
企业年龄	-0.198^***(0.065)	-0.201^***(0.065)	-0.332^***(0.111	-0.201^***(0.065)
人员规模	-0.014(0.034)	-0.029(0.035)	-0.005(0.058)	-0.026(0.035)
国有企业	0.043(0.169)	0.045(0.169)	0.019(0.286)	0.047(0.169)
中外合资	0.130(0.133)	0.123(0.133)	0.197(0.226)	0.127(0.133)
中西部省份	0.079(0.149)	0.082(0.149)	0.073(0.254)	0.075(0.150)
发达经济体	-0.060(0.111)	-0.113(0.114)	0.151(0.341)	-0.215(0.144)
装备制造业	-0.038(0.270)	-0.024(0.270)	-0.231(0.461)	-0.068(0.271)
技术服务业	-0.198(0.278)	-0.181(0.277)	-0.521(0.474)	-0.225(0.279)
N	676	676	676	676
联接函数	Logit	Logit	Logit	Logit
Cox&Snell	0.063	0.071	0.066	0.068
Nagelkerke	0.066	0.074	0.069	0.071

变量	模型11	模型12
变量	系数值(标准误)	系数值(标准误)
跨境合作研发	-1.300(0.635)	-0.728(0.539)
跨国并购	0.630(0.686)	0.114(0.834)
海外研发机构	0.888(0.840)	-0.520(0.807)
跨境合作研发×研发强度	0.420(0.217)
跨国并购×研发强度	0.208(0.223)
海外研发机构×研发强度	-0.429(0.230)
跨境合作研发×社会嵌入性		0.260(0.179)
跨国并购×社会嵌入性		0.021(0.240)
海外研发机构×社会嵌入性		0.024(0.190)
研发强度	0.584^***(0.179)	0.720^***(0.120)
社会嵌入性	0.115(0.116)	-0.066(0.189)
企业年龄	-0.060(0.147)	-0.151(0.139)
人员规模	-0.043(0.082)	-0.016(0.076)
国有企业	-0.251(0.393)	-0.177(0.369)
中外合资	-0.070(0.343)	-0.265(0.331)
中西部省份	-0.299(0.351)	-0.477(0.324)
发达经济体	0.392(0.559)	0.422(0.533)
N	676	676
联接函数	Logit	Logit
Cox&Snell	0.161	0.159
Nagelkerke	0.170	0.184