何欢浪,古莲子,毛健

• 1:上海对外经贸大学国际经贸学院
• 2:北京师范大学经济与工商管理学院

摘要(Abstract)：

在扩大进口战略和“卡脖子”背景下，本文使用2000—2013年中国工业企业数据库、国家专利数据库和中国海关进出口贸易数据库构建了核心中间产品来源地的进口多样化指标，研究其对企业创新的影响。经验研究发现：(1)核心中间产品进口来源地多样化对企业专利总数存在显著的促进作用，核心中间产品进口来源国越分散，越能促进企业创新，当其他条件不变时，核心中间产品进口来源地数量每增加1个，企业专利总数将提高0.92个百分点。(2)从机制检验的回归结果来看，进口来源地多样化通过成本下降效应和技术溢出效应两个方面显著地提升企业创新水平。(3)从异质性回归结果来看，核心中间产品进口来源地多样化对混合贸易的企业、东部地区企业、中高技术产业、从发达国家进口的企业创新激励效应更为明显。在扩大进口战略背景下，本文认为中国企业可以尽可能多样化地进行核心中间产品的全球采购，一方面可以分散“卡脖子”的风险，另一方面也可以提升企业的创新水平，推动我国经济高质量发展。

关键词(KeyWords)： 核心中间产品;来源地;进口多样化;企业创新

Abstract:

Keywords:

基金项目(Foundation): 国家社科基金一般项目“贸易与投资双向流动影响中国企业高质量创新的新动能与新机制研究”(项目编号:20BJL044);; 研究阐释党的十九届六中全会精神重大项目国家社科基金重大项目“构建面向全球的高标准自由贸易区网络研究”(项目编号:22ZDA062);; 上海市教育发展基金会和上海市教育委员会曙光计划项目“对外经济开放和中国企业创新的数量和质量研究”(项目编号:18SG51)的资助

作者(Author): 何欢浪,古莲子,毛健

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• (1)作者感谢审稿人提出的建设性意见。 (2)根据OECD组织的定义,高新技术产品即为R&D密度较高的产品。参考魏浩(2016)的做法,本文利用欧洲统计局提供的高技术产品名录,识别出企业进口核心产品中的高技术产品。首先,该名录将九大类产品定义为高技术产品,并提供了对应的SITC Rev.3编码。包含:一、航空器材,包括航空设备与发动机;二、电脑及办公设备,包括文字处理设备与复印设备;三、电子通信设备,包括电子、通信、音响、微波管道、半导体等;四、医药制品,包括抗体、激素与衍生物等;五、科学设备,包括测量仪器与医用扫描设备等;六、电子机器;七、非电子机器,包括核反应设备等;八、化学材料;九、武器与军用设备。然后,本文先将海关六位编码与SITC Rev.3编码匹配,最后利用名录提供的编码将进口中间品分成高技术产品和低技术产品。 (3)当然,需要说明的是,高技术和低技术中间产品的划分依然不能解决进口中间产品是否为“技术含量较高的关键零部件”,虽然高技术中间产品成为关键零部件的可能性较高,但是低技术中间产品也有可能成为关键零部件,譬如澳大利亚的铁矿石出口、中国的稀土出口以及一些国家的原油、天然气等初级产品依然可能成为“卡脖子”的中间产品。 (4)在表6中报告了两个工具变量的K-P Wald F 统计量,分别为550.956和706.006,均远大于临界值,说明工具变量与解释变量间具有较强的相关关系;且K-LM统计量为71.614和114.224,说明可以拒绝不可识别的原假设。 (5)为了方便异质性检验中的组间系数对比,本文对两种分组的样本进行交乘项回归检验。对于三种分组的样本,本文参考Cleary(1999)、连玉君等(2010)的做法,使用费舍尔组合检验(Fisher's Permutation Test)对组间的系数差异进行检验。