(TFP) TFP TFP [5] [10] [11] Tobit R&D U [12] TFP (Scherer) R&D R&D U [6] U U (Boundetal) R&D U [7] 800 U [8] (Yasuda) R&D R&D [9] (Jefer- sonetal) R&D

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1 1 1 2 ( ; ) [ ] Probit (TFP) :(1)TFP ;(2) U ; (3) [ ] ; ; ; ; [ ]F273 [ ]A [ ] X (2012) (Schumpeter) : (BernardandJens- [4] en) (Melitz) [1][2] [ ] [ ] (11AJL010) [ ] (1955 ) ; (1983 ) ; (1981 ) [3] 5

2 (TFP) TFP TFP [5] [10] [11] Tobit R&D U [12] TFP (Scherer) R&D R&D U [6] U U (Boundetal) R&D U [7] 800 U [8] (Yasuda) R&D R&D [9] (Jefer- sonetal) R&D (SalomonandShaver) (Gor- odnichenkoetal) (Bratietal) [13][14][15] (Salomon andshaver) ; R&D 6

3 [13] TFP (Gorodnichenkoetal) 27 [14] (Bratietal) : [15] ( ) [16] Probit CEO : P[innov it =1 Z it-1 ]=Φ[ β Z it-1 ] (1) CEO Φ[ ] 0<Φ[ ]<1 [17] : U U : P[innov it =1 Z it-1 ] =Φ[ β 0 +β 1tfpit-1 TFP 1 [18] +β 2exit-1 + β 3sizeit-1 +β 4size2 it-1 +β 5wageit-1 +β 6proit-1 + β 7ageit-1 (Liuand +β 8age2 it-1 +β (k/l) 9 it-1 Buck) + regj + indr [11][19] + owns + yeart +εit] (2) 1 1 TFP (Rochina-Barrachinaetal) TFP TFP [18] TFP 2 TFP TFP 7

4 2 ( =1 = ( ) 0); ln (1+ex/sales) : 6 (size) [20] (Scherer) ( ) : 1. ; ; R&D R&D [11][12] 15% 10% ~15% 2 U [21] U (AcsandAudretsch) R&D (wage) [22] ( innov=0; innov=1) 2. (tfp) TFP OLS (age) (Levin- sohnandpetrin) ; TFP [23] (ex) [9] : (k/l) 1 ( ) [22] 2 8 [6] (pro)

5 innov [24][25][26][27] tfp (own); 31 (reg); 38 (ind); (year) 1 1 (Spearman) 3 3 innov ( na =1 =0) tfp ex size wage pro age k/l (lntfp) + ( =1 =0) + /- =ln (( + )/ + ) =ln ( + ) =ln ( ) +/- = ( +/- - ) =ln (k/l) + ind na reg na own na year na :na ex size wage pro age k/l ( ) 4 (TFP) 1 ( = / ) 2004 [12] (Symeonidis) [24] (Scher- er) [25] 2 [26] (Cohenetal) R&D R&D 1% [27] 9

6 3 Spearman innov tfp ex size wage pro age k/l innov tfp * ex * * size * * * wage * * * * pro * * * * * age * * * * * * k/l * * * * * * * : * 5% Probit (1) (2) (3) (4) (5) (6) tfp *** *** *** *** *** *** ( ) ( ) ( ) ( ) ( ) ( ) ex *** *** *** *** *** *** ( ) ( ) ( ) ( ) ( ) ( ) sales *** *** *** *** ** (0.0155) (0.0156) (0.0176) (0.0179) (0.0180) sales^ *** *** *** *** *** ( ) ( ) ( ) ( ) ( ) wage *** *** *** *** ( ) ( ) ( ) ( ) pro *** *** *** ( ) ( ) ( ) age *** *** ( ) ( ) age^ *** *** ( ) ( ) k/l *** ( ) *** *** *** *** *** *** (0.336) (0.291) (0.349) (0.292) (0.387) (0.388) R P : * ** *** 10%5%1% : TFP 10

7 TFP TFP ( ) [12][17] [16] ( ) 4 TFP U (Boundetal) (Yasuda) 5 [7][9][26] 5 Probit ; ; [16] 0.8% U (1) (2) (3) (4) tfp *** *** *** *** (0.0172) (0.0137) (0.0171) (0.0199) ex *** *** *** *** (0.0321) (0.0205) (0.0298) (0.0302) sales *** ** ** *** (0.0632) (0.0385) (0.0511) (0.0525) sales^ ** ** *** *** ( ) ( ) ( ) ( ) wage *** ** *** *** (0.0218) (0.0164) (0.0232) (0.0215) pro *** ** ( ) ( ) ( ) (0.0105) age ** ( ) ( ) ( ) ( ) age^ *** *** *** ( )( ) ( ) ( ) k/l *** *** *** (0.0122) ( ) (0.0106) (0.0109) *** *** *** (0.496) (0.658) (0.557) (0.610) U R P : 11

8 5 TFP U U U ( ) (01) ( ) ( / ) U U [11] Probit (1) (2) (3) (4) (5) (6) tfp *** *** *** *** *** *** ( ) ( ) ( ) ( ) ( ) ( ) ex *** *** *** *** *** *** (0.0157) (0.0149) (0.0150) (0.0167) (0.0164) (0.0170) ex^ *** *** *** *** *** *** ( ) ( ) ( ) ( ) ( ) ( ) sales *** *** *** *** *** (0.0162) (0.0163) (0.0185) (0.0188) (0.0188) sales^ *** *** *** *** *** ( ) ( ) ( ) ( ) ( ) wage *** *** *** *** ( ) ( ) ( ) ( ) pro *** *** *** ( ) ( ) ( ) age *** *** ( ) ( ) age^ *** *** ( ) ( ) k/l *** ( ) *** *** *** *** *** *** (0.114) (0.353) (0.243) (0.401) (0.398) (0.390) R P

9 6 U [11] ( 99.6%) 7 Probit (1) (2) (3) (4) tfp *** *** *** *** (0.0173) (0.0138) (0.0176) (0.0203) ex *** *** * (0.0690) (0.0384) (0.0358) (0.0357) ex^ *** *** ** (0.0165) (0.0123) ( ) ( ) sales ** ** *** *** (0.0646) (0.0421) (0.0579) (0.0566) sales^ *** *** *** ( ) ( ) ( ) ( ) wage *** ** *** ** (0.0214) (0.0164) (0.0229) (0.0214) pro *** ** ( ) ( ) ( ) (0.0106) age ** ** ( ) ( ) ( ) ( ) age^ *** *** *** ( )( )( )( ) k/l *** *** *** (0.0120) ( ) (0.0105) (0.0108) *** *** *** *** (0.493) (0.640) (0.528) (0.764) R P (OEM) [11] 7 5 TFP Probit : (1)TFP (2) ; U ( ) (3) U ; U (4) (5) 7 : TFP TFP U TFP 13

10 ; 14 [1]A.B.BernardJ.B.Jensen.ExceptionalExporterPerformance:CauseEfectorBoth [J].JournalofInterna- tionaleconomics (1). [2]M.J.Melitz.TheImpactofTradeonIntra-industryRealocationandAggregateIndustryProductivity [J].Econo- metrica (6). [3]. [J] (5). [4]J.A.Schumpeter.CapitalismSocialismandDemocracy[M].New York:HarperandBrothers1942. [5]. : [J]. 2009(12). [6]F.M.Scherer.SizeofFirmOligopolyandResearch:A Comment [J].CanadianJournalofEconomicsandPolitical Science (2). [7]J.BoundC.CumminsZ.GrilichesB.H.HalA.Jafe.WhoDoesR&Dand WhoPatents [Z/OL].htp:// [8]. [J]. 2006(12). [9]T.Yasuda.Firm GrowthSizeAgeandBehaviorinJapaneseManufacturing[J].SmalBusinessEconomics (1). [10]G.H.JefersonH.BaiX.GuanX.Yu.R&DPerformanceinChineseIndustry[J].EconomicsofInnovation andnew Technology2006(15). [11]. [J]. 2007(6). [12]. : [J]. 2008(7). [13]R.M.SalomonJ.M.Shaver.LearningbyExporting:NewInsightsfrom ExaminingFirmInnovation[J].Jour- nalofeconomicsand ManagementStrategy (2). [14]Y.GorodnichenkoJ.SvejnarK.Terrel.GlobalizationandInnovationinEmerging Markets [Z/OL].htp:// [15] M.BratiG.Felice.Exportingand ProductInnovation atthe Firm Level [Z/OL].htp://mpra.ub.uni- muenchen.de/18915/ [16]. : [J]. ( )2005(3). [17]. : CEO [J]. 2010(5). [18]MaríaE.Rochina-BarrachinaJ.A.Mán ~ ezj.a.sanchis-llopis.processinnovationsand Firm Productivity Growth [J].SmalBusinessEconomics (2). [19]X.LiuT.Buck.InnovationPerformanceandChannelsforInternationalTechnologySpilovers:Evidencefrom ChineseHigh-techIndustries[J].ResearchPolicy2007(36). [20]. : [J]. 2011(4).

11 [21]. [J]. 2010(12). [22]Z.J.AcsD.B.Audretsch.InnovationandSizeattheFirm Level[J].SouthernEconomicJournal199157(3). [23]J.LevinsohnA.Petrin.EstimatingProductionFunctionsUsingInputstoControlforUnobservables[J].Review ofeconomicstudies (2). [24]G.Symeonidis.InnovationFirm Sizeand MarketStructure:Schumpeterian HypothesesandSomeNew Themes [Z/OL].htp:// [25]F.M.Scherer.FirmSizeMarketStructureOpportunityandtheOutputofPatentedInventions[J].AmericanE- conomicreview (5). [26] Alcorta. R&D [J]. 2006(2). trialeconomics1987(35). ( : ) HETEROGENEITYEXPORTANDCHINESEFIRMS TECHNICALINNOVATION ZHAO Wei 1 HAN Yuan-yuan 1 ZHAOJin-liang 2 (1.ZhejiangUniversityHangzhou310027China;2.XiamenBranchChinaConstructionBank Xiamen361001China) [27]W.M.CohenR.LevinD.C.Mowery.FirmSizeandR&DIntensity:A Re-examination[J].JournalofIndus- Abstract:Thispaperstudiedthedeterminantfactorsoffirms technicalinnovationfromtotalandsub- sampledimensionsusingprobitmodelbasedonmicrodatafrom China.Itshowedthat:1.TFPhadsignifi- cantpositiveefectonfirms innovationforalfirmswhich wasconsistentwithself-selectionofhigher TFPfirmsintoinnovating;2.exportparticipationpromotedalfirms innovationbutexportintensity showedinverted-ushapeforstate-ownedandprivatefirmswhilenotobviouslyforforeignfirms;3.firm sizehumancapitalandotherheterogeneitycharacteristicsshoweddiferentlyindiferentfirmtypes. Keywords:firmheterogeneity;export;technicalinnovation;ownership;innovatingself-selection 15

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