中国企业R&D国际化:时空格局与区位选择影响因素
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摘要
基于中国企业海外R&D投资数据和零断尾负二项回归分析方法,探讨了1998—2015年中国企业R&D国际化的时空格局特征,并从东道国角度分析影响其区位选择的主要因素。结果表明:研究期内中国新建海外R&D机构数量快速扩张;海外R&D投资区域分布广泛,呈现分散和集聚并存的特征;以华为为例分析了典型中国企业海外R&D投资的空间布局特征,认为目前华为海外R&D投资呈现集中布局在欧洲,零散分布在亚洲、美洲、非洲的空间特征,主要是由其以全球技术升级和满足多样化的市场需求等R&D国际化的战略动机所决定。回归分析结果表明,中国企业对发达国家和发展中国家进行R&D投资的影响因素有共同点但也存在一定的差异:①现阶段东道国的R&D需求不是影响中国企业对其进行R&D投资的主要因素;②代表中国与东道国经济往来密切程度的关联要素是影响中国企业R&D投资的重要决策因素;③发达国家吸引中国企业对其进行R&D投资主要是因其创新能力强、R&D资源数量多,而政策及制度供给是影响中国企业对发展中国家进行R&D投资的主要因素;④地理距离对中国企业R&D"走出去"的阻碍作用主要体现在对发展中国家的R&D投资中。
With the integration of global economy being strengthened constantly and the value chain being disassemble rapidly, innovation resources such as talent, technology, information flow are recombined fast worldwide. With the booming development of multinational R&D investment, the model of international foreign investment has hanged significantly. While China has long been a host country of MNCs overseas R&D investment, Chinese MNCs have increasingly invested their R&D overseas. This paper investigates how Chinese companies, as latecomers in R&D globalization, have strategically determined the locations for their R&D investment. Using the data of overseas R&D investment of Chinese enterprises from 1998-2015 and zero tail negative binomial regression analysis, it first describes the spatio-temporal pattern, then examines the factors affecting location decision of Chinese R&D investment. It found that the number of oversea R&D institutions of Chinese companies has grown rapidly during the study period. Moreover, while most of Chinese oversea R&D institutions are located in developed countries, they are widely distributed and have the trends of both concentration and dispersion. For example, Huawei has concentrated about 2/3 of its overseas R&D institutions in Europe and scattered the rest in Asia, America and Africa, due to its strategy that the R&D institutes shall first meet local, then regional and global markets and the strategic consideration of Europe as an important region for more basic R&D research. The zero tail negative binomial regression analysis reveals main country-level factors determining the overseas R&D investment of Chinese companies, as illustrated by the following findings:(1)R&D demands of host countries are not the key factors that attract R&D investment of Chinese companies.(2) Correlation between China and host countries indicates that the number of China's outward foreign direct investment to the host country is a key factor.(3) Innovation capacity and rich R&D resources in developed countries, but policy and institutions in developing countries are main factors for R&D investment of Chinese companies.(4)Geographic distance between China and host countries seems only matter for Chinese R&D investment in developing countries.
With the integration of global economy being strengthened constantly and the value chain being disassemble rapidly, innovation resources such as talent, technology, information flow are recombined fast worldwide. With the booming development of multinational R&D investment, the model of international foreign investment has hanged significantly. While China has long been a host country of MNCs overseas R&D investment, Chinese MNCs have increasingly invested their R&D overseas. This paper investigates how Chinese companies, as latecomers in R&D globalization, have strategically determined the locations for their R&D investment. Using the data of overseas R&D investment of Chinese enterprises from 1998-2015 and zero tail negative binomial regression analysis, it first describes the spatio-temporal pattern, then examines the factors affecting location decision of Chinese R&D investment. It found that the number of oversea R&D institutions of Chinese companies has grown rapidly during the study period. Moreover, while most of Chinese oversea R&D institutions are located in developed countries, they are widely distributed and have the trends of both concentration and dispersion. For example, Huawei has concentrated about 2/3 of its overseas R&D institutions in Europe and scattered the rest in Asia, America and Africa, due to its strategy that the R&D institutes shall first meet local, then regional and global markets and the strategic consideration of Europe as an important region for more basic R&D research. The zero tail negative binomial regression analysis reveals main country-level factors determining the overseas R&D investment of Chinese companies, as illustrated by the following findings:(1)R&D demands of host countries are not the key factors that attract R&D investment of Chinese companies.(2) Correlation between China and host countries indicates that the number of China's outward foreign direct investment to the host country is a key factor.(3) Innovation capacity and rich R&D resources in developed countries, but policy and institutions in developing countries are main factors for R&D investment of Chinese companies.(4)Geographic distance between China and host countries seems only matter for Chinese R&D investment in developing countries.
引文
[1]司月芳,陈思雨,Ingo Liefner,等.中资企业研发国际化研究-基于华为WIPO专利分析.地理研究,2016,35(10):1869-1878.[Si Yuefang,Chen Siyu,Ingo Liefner,et al.Innovation globalization of Chinese multinational enterprises:The case study of Huawei.Geographical Research,2016,35(10):1869-1878.]
[2]邓羽,司月芳.西方创新地理研究评述.地理研究,2016,35(11):2041-2052.[Deng Yu,Si Yuefang.The progress and prospect of innovation geography research in the West.Geographical Research,2016,35(11):2041-2052.]
[3]李凝,胡日东.转型期中国对外直接投资地域分布特征解析:基于制度的视角.经济地理,2011,31(6):910-914,939.[Li Ning,Hu Ridong.Analysis on geographic distribution of Chinese outward foreign direct investment:A study from institutional perspective.Economic Geography,2011,31(6):910-914,939.]
[4]黎明,夏昕鸣,朱晟君,等.中国对非直接投资时空演化及其影响因素.经济地理,2017,37(11):19-27.[Li Ming,Xia Xinming,Zhu Shengjun,et al.Spatio-temporal evolution of China’s OFDI in Africa countries and its influencing factors.Economic Geography,2017,37(11):19-27.]
[5]刘晓凤,葛岳静,赵亚博.国家距离与中国企业在“一带一路”投资区位选择.经济地理,2017,37(11):99-108.[Liu Xiaofeng,Ge Yuejing,Zhao Yabo.National distance and Chinese Companies’choice of location along the Belt and Road.Economic Geography,2017,37(11):99-108.]
[6]王疆,江娟.母国集聚与产业集聚对中国企业对美直接投资区位选择的影响.世界地理研究,2017,26(4):20-30.[Wang Jiang,Jiang Juan.Country-of-origin agglomeration,local industrial agglomeration and the location choice of Chinese enterprises in the U.S.World Regional Studies,2017,26(4):20-30.]
[7]余官胜,林俐.企业海外集群与新晋企业对外直接投资区位选择:基于浙江省微观企业数据.地理研究,2015,34(2):364-372.[Yu Guansheng,Lin Li.Enterprises overseas cluster and foreign direct investment location choice of new entrants:An empirical research based on micro enterprises data in Zhejiang province.Geographical Research,2015,34(2):364-372.]
[8]Di Minin A,Zhang J,Gammeltoft P.Chinese foreign direct investment in R&D in Europe:A new model of R&D internationalization?European Management Journal,2012,30(3):189-203.
[9]杜群阳.R&D全球化,反向外溢与技术获取型FDI.国际贸易问题,2006,(12):88-91.[Du Qunyang.R&D globalization,reverse spillover and technology sourcing FDI.Journal of International Trade,2006,(12):88-91.]
[10]朱顺林.逆向嵌入国际研发网络:民营企业自主创新能力培育的有效路径.经济体制改革,2011,(5):93-97.[Zhu Shunlin.Reverse imbed international R&D network:Effective path of cultivate the capability of independent innovation of private enterprise.Reform of Economic System,2011,(5):93-97.]
[11]Li P P.Toward a geocentric theory of multinational evolution:The implications from the Asian MNEs as latecomers.Asia Pacific Journal of Management,2003,20(2):217-242.
[12]Li P P.Toward an integrated theory of multinational evolution:The evidence of Chinese multinational enterprises as latecomers.Journal of International Management,2007,13(3):296-318.
[13]吴先明.创造性资产与中国企业国际化.北京:人民出版社,2008.[Wu Xianming.Creative Assets and Internationalization of Chinese Enterprises.Beijing:People's Publishing House,2008.]
[14]Buckley P J,Clegg L J,Cross A R,et al.The determinants of Chinese outward foreign direct investment.Journal of International Business Studies,2007,38(4):499-518.
[15]Jaffe A B,Trajtenberg M,Henderson R.Geographic localization of knowledge spillovers as evidenced by patent citations.The Quarterly Journal of Economics,1993,108(3):577-598.
[16]Jaffe A B.Technological opportunity and spillovers of R&D:Evidence from firms’patents,profits and market value.American Economic Review,1986,76(5):984-1001.
[17]杜德斌.跨国R&D投资的宏观区位选择.世界地理研究,2001,10(2):7-15.[Du Debin.Study on the macro-location choice of overseas R&D by multinational corporations.World Regional Studies,2001,10(2):7-15.]
[18]Von Zedtwitz M.International R&D strategies of TNCs from developing countries:The case of China//Globalization of R&D and Developing Countries Proceedings of an Expert Meeting.2006:117-140.
[19]祝影,路光耀.跨国公司研发全球化的国别类型研究.科技管理研究,2015,35(21):13-19.[Zhu Ying,Lu Guangyao.The country type of R&D globalization by multinational corporations.Science and Technology Management Research,2015,35(21):13-19.]
[20]Eapen A.Social structure and technology spillovers from foreign to domestic firms.Journal of International Business Studies,2012,43(3):244-263.
[21]陈昊,吴雯.中国OFDI国别差异与母国技术进步.科学学研究,2016,34(1):49-55.[Chen hao,Wu Wen.Country difference of Chinese OFDI and technological progress.Studies in Science of Science,2016,34(1):49-55.]
[22]欧阳艳艳.中国对外直接投资逆向技术溢出的影响因素分析.世界经济研究,2010,(4):66-71.[Ouyang Yanyan.The influencing factors analysis on reverse technology spillovers embodied in outward foreign direct investment:A case of China.World Economy Study,2010,(4):66-71.]
[23]陈劲,景劲松,周笑磊.我国企业R&D国际化的影响因素分析.科学学研究,2003,21(1):51-57.[Chen Jin,Jing Jingsong,Zhou Xiaolei.Influencing factors for internationalization of R&D of Chinese enterprises.Studies in Science of Science,2003,21(1):51-57.]
[24]Anwar S T.CFIUS,Chinese MNC's outward FDI,and globalization of business.J.World Trade,2010,44:419-466.
[25]薛澜,沈群红,王书贵.全球化战略下跨国公司在华研发投资布局:基于跨国公司在华独立研发机构行业分布差异的实证分析.管理世界,2002,(3):33-42.[Xue Lan,Shen Qunhong,Wang Shugui.Layout of MNCs’R&D investment in China under global strategy:Based on empirical analysis of industry distribution differences of independent R&D institutions in China.Management World,2002,(3):33-42.]
[26]Maskus K E,Saggi K,Puttitanun T.Patent rights and international technology transfer through direct investment and licensing.International Public Goods and the Transfer of Technology under a Globalized Intellectual Property Regime,2005:265-281.
[27]Thursby J G,Thursby M C.Here or there?A survey of factors in multinational R&D location:Report to the Government/University//Industry Research Roundtable.Marie Thursby,Georgia Institute of Technology and National Bureau of Economic Research,2006.
[28]王永钦,杜巨澜,王凯.中国对外直接投资区位选择的决定因素:制度、税负和资源禀赋.经济研究,2014,(12):126-142.[Wang Yongqin,Du Julan,Wang Kai.The determinants of location choices of China’s ODI:Institutions,taxations and resources.Economic Research Journal,2014,(12):126-142.]
[29]Zejan M C.R&D activities in affiliates of Swedish multinational enterprises.The Scandinavian Journal of Economics,1990,92(3):487-500.
[30]陈劲,童亮,景劲松.中国企业R&D国际化的沟通机制研究.科研管理,2004,25(1):77-83.[Chen Jin,Tong Liang,Jing Jinsong.Research on communication system in Chinese R&D internationalization.Science Research Management,2004,25(1):77-83.]
[31]张华,贺灿飞.区位通达性与在京外资企业的区位选择.地理研究,2007,26(5):984-994.[Zhang Hua,He Canfei.Locational accessibility and location of foreign enterprises in Beijing.Geographical Research,2007,26(5):984-994.]
(1)文中的海外投资企业不包括设立在离岸金融中心(英属维尔京群岛、开曼群岛、百慕大群岛、香港、西萨摩亚)的注册公司,原因是企业在这些地区不从事实质业务,而只是大部分企业投资海外的首选服务平台。
(2)综合世界银行、国际货币基金组织、联合国开发计划署等机构发布的资料,发达国家主要包括美国、加拿大、英国、法国、德国、意大利、瑞士、奥地利、荷兰、比利时、卢森堡、丹麦、瑞典、挪威、芬兰、冰岛、爱尔兰、希腊、葡萄牙、西班牙、澳大利亚、新西兰、韩国、日本、新加坡、以色列,其余为发展中国家。
[2]邓羽,司月芳.西方创新地理研究评述.地理研究,2016,35(11):2041-2052.[Deng Yu,Si Yuefang.The progress and prospect of innovation geography research in the West.Geographical Research,2016,35(11):2041-2052.]
[3]李凝,胡日东.转型期中国对外直接投资地域分布特征解析:基于制度的视角.经济地理,2011,31(6):910-914,939.[Li Ning,Hu Ridong.Analysis on geographic distribution of Chinese outward foreign direct investment:A study from institutional perspective.Economic Geography,2011,31(6):910-914,939.]
[4]黎明,夏昕鸣,朱晟君,等.中国对非直接投资时空演化及其影响因素.经济地理,2017,37(11):19-27.[Li Ming,Xia Xinming,Zhu Shengjun,et al.Spatio-temporal evolution of China’s OFDI in Africa countries and its influencing factors.Economic Geography,2017,37(11):19-27.]
[5]刘晓凤,葛岳静,赵亚博.国家距离与中国企业在“一带一路”投资区位选择.经济地理,2017,37(11):99-108.[Liu Xiaofeng,Ge Yuejing,Zhao Yabo.National distance and Chinese Companies’choice of location along the Belt and Road.Economic Geography,2017,37(11):99-108.]
[6]王疆,江娟.母国集聚与产业集聚对中国企业对美直接投资区位选择的影响.世界地理研究,2017,26(4):20-30.[Wang Jiang,Jiang Juan.Country-of-origin agglomeration,local industrial agglomeration and the location choice of Chinese enterprises in the U.S.World Regional Studies,2017,26(4):20-30.]
[7]余官胜,林俐.企业海外集群与新晋企业对外直接投资区位选择:基于浙江省微观企业数据.地理研究,2015,34(2):364-372.[Yu Guansheng,Lin Li.Enterprises overseas cluster and foreign direct investment location choice of new entrants:An empirical research based on micro enterprises data in Zhejiang province.Geographical Research,2015,34(2):364-372.]
[8]Di Minin A,Zhang J,Gammeltoft P.Chinese foreign direct investment in R&D in Europe:A new model of R&D internationalization?European Management Journal,2012,30(3):189-203.
[9]杜群阳.R&D全球化,反向外溢与技术获取型FDI.国际贸易问题,2006,(12):88-91.[Du Qunyang.R&D globalization,reverse spillover and technology sourcing FDI.Journal of International Trade,2006,(12):88-91.]
[10]朱顺林.逆向嵌入国际研发网络:民营企业自主创新能力培育的有效路径.经济体制改革,2011,(5):93-97.[Zhu Shunlin.Reverse imbed international R&D network:Effective path of cultivate the capability of independent innovation of private enterprise.Reform of Economic System,2011,(5):93-97.]
[11]Li P P.Toward a geocentric theory of multinational evolution:The implications from the Asian MNEs as latecomers.Asia Pacific Journal of Management,2003,20(2):217-242.
[12]Li P P.Toward an integrated theory of multinational evolution:The evidence of Chinese multinational enterprises as latecomers.Journal of International Management,2007,13(3):296-318.
[13]吴先明.创造性资产与中国企业国际化.北京:人民出版社,2008.[Wu Xianming.Creative Assets and Internationalization of Chinese Enterprises.Beijing:People's Publishing House,2008.]
[14]Buckley P J,Clegg L J,Cross A R,et al.The determinants of Chinese outward foreign direct investment.Journal of International Business Studies,2007,38(4):499-518.
[15]Jaffe A B,Trajtenberg M,Henderson R.Geographic localization of knowledge spillovers as evidenced by patent citations.The Quarterly Journal of Economics,1993,108(3):577-598.
[16]Jaffe A B.Technological opportunity and spillovers of R&D:Evidence from firms’patents,profits and market value.American Economic Review,1986,76(5):984-1001.
[17]杜德斌.跨国R&D投资的宏观区位选择.世界地理研究,2001,10(2):7-15.[Du Debin.Study on the macro-location choice of overseas R&D by multinational corporations.World Regional Studies,2001,10(2):7-15.]
[18]Von Zedtwitz M.International R&D strategies of TNCs from developing countries:The case of China//Globalization of R&D and Developing Countries Proceedings of an Expert Meeting.2006:117-140.
[19]祝影,路光耀.跨国公司研发全球化的国别类型研究.科技管理研究,2015,35(21):13-19.[Zhu Ying,Lu Guangyao.The country type of R&D globalization by multinational corporations.Science and Technology Management Research,2015,35(21):13-19.]
[20]Eapen A.Social structure and technology spillovers from foreign to domestic firms.Journal of International Business Studies,2012,43(3):244-263.
[21]陈昊,吴雯.中国OFDI国别差异与母国技术进步.科学学研究,2016,34(1):49-55.[Chen hao,Wu Wen.Country difference of Chinese OFDI and technological progress.Studies in Science of Science,2016,34(1):49-55.]
[22]欧阳艳艳.中国对外直接投资逆向技术溢出的影响因素分析.世界经济研究,2010,(4):66-71.[Ouyang Yanyan.The influencing factors analysis on reverse technology spillovers embodied in outward foreign direct investment:A case of China.World Economy Study,2010,(4):66-71.]
[23]陈劲,景劲松,周笑磊.我国企业R&D国际化的影响因素分析.科学学研究,2003,21(1):51-57.[Chen Jin,Jing Jingsong,Zhou Xiaolei.Influencing factors for internationalization of R&D of Chinese enterprises.Studies in Science of Science,2003,21(1):51-57.]
[24]Anwar S T.CFIUS,Chinese MNC's outward FDI,and globalization of business.J.World Trade,2010,44:419-466.
[25]薛澜,沈群红,王书贵.全球化战略下跨国公司在华研发投资布局:基于跨国公司在华独立研发机构行业分布差异的实证分析.管理世界,2002,(3):33-42.[Xue Lan,Shen Qunhong,Wang Shugui.Layout of MNCs’R&D investment in China under global strategy:Based on empirical analysis of industry distribution differences of independent R&D institutions in China.Management World,2002,(3):33-42.]
[26]Maskus K E,Saggi K,Puttitanun T.Patent rights and international technology transfer through direct investment and licensing.International Public Goods and the Transfer of Technology under a Globalized Intellectual Property Regime,2005:265-281.
[27]Thursby J G,Thursby M C.Here or there?A survey of factors in multinational R&D location:Report to the Government/University//Industry Research Roundtable.Marie Thursby,Georgia Institute of Technology and National Bureau of Economic Research,2006.
[28]王永钦,杜巨澜,王凯.中国对外直接投资区位选择的决定因素:制度、税负和资源禀赋.经济研究,2014,(12):126-142.[Wang Yongqin,Du Julan,Wang Kai.The determinants of location choices of China’s ODI:Institutions,taxations and resources.Economic Research Journal,2014,(12):126-142.]
[29]Zejan M C.R&D activities in affiliates of Swedish multinational enterprises.The Scandinavian Journal of Economics,1990,92(3):487-500.
[30]陈劲,童亮,景劲松.中国企业R&D国际化的沟通机制研究.科研管理,2004,25(1):77-83.[Chen Jin,Tong Liang,Jing Jinsong.Research on communication system in Chinese R&D internationalization.Science Research Management,2004,25(1):77-83.]
[31]张华,贺灿飞.区位通达性与在京外资企业的区位选择.地理研究,2007,26(5):984-994.[Zhang Hua,He Canfei.Locational accessibility and location of foreign enterprises in Beijing.Geographical Research,2007,26(5):984-994.]
(1)文中的海外投资企业不包括设立在离岸金融中心(英属维尔京群岛、开曼群岛、百慕大群岛、香港、西萨摩亚)的注册公司,原因是企业在这些地区不从事实质业务,而只是大部分企业投资海外的首选服务平台。
(2)综合世界银行、国际货币基金组织、联合国开发计划署等机构发布的资料,发达国家主要包括美国、加拿大、英国、法国、德国、意大利、瑞士、奥地利、荷兰、比利时、卢森堡、丹麦、瑞典、挪威、芬兰、冰岛、爱尔兰、希腊、葡萄牙、西班牙、澳大利亚、新西兰、韩国、日本、新加坡、以色列,其余为发展中国家。