【作者】 王天骄；

【导师】 赵振全；

【作者基本信息】 吉林大学 ， 数量经济， 2011， 博士

【摘要】 近几年来,国际直接投资(FDI)对发展中东道国的技术溢出效应受到国内外学者越来越多的关注。FDI的载体——跨国公司是绝大多数前沿技术的创新者,也是全球技术转移与技术扩散的主体。由于技术具有广泛的外溢性,引进FDI与跨国公司开展卓有成效的合作,是发展中国家获得技术、提高创新能力的重要渠道。另外,由于技术产品市场的不完全性、高昂的市场交易成本,许多技术都采取内部化使用的方式,越是先进、尖端的技术,越不容易通过外部市场获得,因此对于发展中东道国来说,有效发挥跨国公司的技术溢出效应显得格外重要。国内外的现有研究成果表明,FDI技术溢出效应并不是自发产生的。它的产生和大小受多种因素的影响,并不是每个发展中东道国都能从FDI中获取这份重要的收益的。因此,在实证研究的基础上,挖掘具体行业的FDI技术溢出效应产生的规律,通过适当的政策促使FDI技术溢出效应的产生和提高,是十分必要的。一直以来中国汽车产业选择的是一条“以市场换资金,以市场换技术”的合作道路,不可否认,外资的进入对中国汽车产业制造能力的提高和产业结构的改善起到了极大的推动作用,由于我国企业的科研投入和发展水平与发达国家相比仍然存在不小的差距,随着外资的不断进入,本土汽车企业正处在“边缘化”的危险当中。以“市场换技术”的开放模式并没有达到预期的目的。因此,外商直接投资对我国汽车产业技术溢出效应究竟如何是需要我们迫切思考和回答的问题。对于FDI技术溢出效应产生的中微观机理,即技术溢出效应是如何在外资或跨国公司与内资或当地企业之间发生的?理论上还缺少深入的研究。绝大多数涉及技术溢出效应的理论研究文献(Caves,1974;Findlay,1978;Das,1987;Wang和Blomstr?m,1992)都将技术溢出效应视为由于跨国公司和当地企业之间存在的技术差距而“自动”发生的,忽视了跨国公司与当地企业在技术溢出效应发生过程中的主观能动作用。同时,对于客观条件也就是相关的制约因素,如当地的制度、当地企业的技术条件和东道国的市场条件等,也没有引起足够的重视。本文立足于跨国公司的投资在汽车内资产业的影响这一个层面,并着眼于FDI技术溢出效应的研究。首先总结中国汽车产业发展的实践过程,再从理论上分析了外商直接投资技术溢出产生的机理以及影响因素,理论和实际相结合分析中国汽车产业及其内资产业在FDI溢出效应作用下的发展程度。最后做出实证检验。从而分析评价我国汽车产业FDI的溢出效应成效。并提出利用外资的技术溢出效应促进本土汽车产业发展的政策建议。评价溢出效果的决定性指标就是自主创新能力的变化,因此从专利申请角度、外国市场占有角度来评估之。在分析影响技术溢出的因素时,首先,国家的整体产业政策对汽车产业的企业组织产生深远的影响,深刻影响企业的组织效率,从而最终影响内资汽车产业的发展绩效。因为无法评估某个政策的绩效参数,我们只能用汽车产业在我国经济发展中的占比从结果上反映汽车产业政策的绩效。其次,内外资之间的竞争程度影响内资企业对技术感受,将影响技术溢出效应;最后企业自身吸收能力对FDI技术溢出起着决定性作用。FDI进入中国汽车产业后,到底对中国汽车内资产业发展影响如何?面对这个问题,只有通过全面的研究,重新审视FDI的利与弊,才能有一个清晰而正确的认识,并提出相应的解决对策,利用FDI带来的有利因素,提高我国汽车产业的整体水平,以培育民族汽车产业的内生技术能力。中国通过FDI的方式,发展自己的汽车产业,FDI在中国汽车产业的发展过程中的溢出效益怎样?收到哪些因素的影响?程度如何?以及FDI对中国汽车产业自主创新发展的影响如何?本文试图回答这些问题。外商直接投资(FDI)是发展中国家最大的资本来源,引入FDI的目的是利用FDI的技术外溢提升本国企业的技术水平,最终提高本国企业的国际竞争力。FDI技术外溢的途径是外资促进内资企业劳动生产率的提高,FDI技术外溢的结果是东道国企业的技术进步,内资企业的吸收能力是实现技术外溢的关键,内资企业吸收FDI技术外溢的根本目标是提高企业自身的创新能力。FDI技术外溢效应分析的基本理论涵盖技术外溢、吸收能力、创新能力和技术进步。FDI技术外溢的过程是外资促进内资企业劳动生产率的提高,FDI技术外溢的结果是东道国企业的技术进步,内资企业的吸收能力是实现技术外溢的关键,内资企业吸收FDI技术外溢的根本目标是提高企业自身的创新能力。本文主要采用定性与实证相结合的研究方法。首先以汽车产业为研究对象,分析了我国汽车产业FDI的发展情况,包括其在华直接投资的历程、特点和发展趋势,接着从整个产业的角度定性分析汽车产业在华直接投资产生的积极影响以及负面影响。再从理论上分析了外商直接投资技术溢出产生的机理以及影响因素。最后从实证角度予以检验,得出结论。通过对内资汽车产业吸收FDI技术溢出对其自主创新能力的影响进行分析,提出利用外资提升自主创新能力的对策、建议。本论文将会使用的理论和研究方法具体有:菲德两部门理论、CD生产函数、时间序列分析方法、协整理论、知识生产函数。更多还原

【Abstract】 the In recent years, foreign direct investment (FDI) in developing host countries by domestic and foreign scholars technological overflow effect more and more attention. The carrier of multinational companies - FDI is most cutting-edge technology innovators, also is the global technology transfer and technology diffusion of main body. Due to technical has extensive spillover sex, the introduction of FDI and multinational companies to carry out effective cooperation, is developing countries get technology, improve the innovative ability important channel. In addition, due to technical product market with incomplete, high market transaction costs, many technology takes the internalization of the more advanced way, use and sophisticated technology, the less easily obtained by external markets for developing host countries, therefore, it effectively play multinational company appears important technological overflow effect. The existing domestic and foreign research shows that FDI technology spillover effects and are not spontaneous. Its emergence and size is influenced by many factors, and not everyone can developing host countries from FDI in the earnings for this important. Therefore, on the base of case study, mining specific industries of FDI technology spillover effect of law, through the appropriate policy prompted FDI technology spillover effect production and improve, it is very necessary. Until recently China automobile industry choice is a "taking market change funding to market change technology" cooperative road, admittedly, the access of foreign capital of China automobile industry manufacturing ability the enhancement and improvement of industrial structure plays a great role in promoting, because our country enterprise research investment and development level compared with the developed countries still exist large gap, with the continuous into foreign home-owned car enterprise is in, the danger of "marginal". "Exchanging market with technology" open models did not achieve the desired goal. Therefore, foreign direct investment of Chinese automobile industry technology spillover effect is exactly how we urgent need to think and question. For FDI technology spillover effect of microscopic mechanism of technological overflow effect, namely how multinational companies in foreign or local enterprises with domestic or between happen? Theoretically still lack of further research. Most involving technology spillover effect theory research literature (Findlay, 1974; Caves, Das, 1987; 1978; where and Blomstr? m, 1992) will technology spillover effect as multinational companies and local businesses because the technology gap between and "automatic" happen, ignore the multinational companies and local enterprises in technological overflow effect to occur in the process of subjective dynamic role. Also, for the objective conditions is also related factors, such as local system, local enterprise technical conditions and host of the market conditions and so on,Based on the investment of transnational corporations in automobile domestic industry: the effect of the a plane, and technological overflow effect on FDI. In today’s China automobile industry, there exist inside and outside two capital industry. For domestic role of FDI, will the size of industrial respectively from the three effects of FDI for domestic research of output growth industry growth () the tendency of changes to evaluate, from market share authority evaluation, overflow of fundamental purpose is not always follow, surpassing and, therefore, the decisive index evaluation overflow effect is the size of the independent innovation ability, thus the change from the patent application Angle and foreign market assessment of perspective. In this line of thinking. Analysis the influence factors of technology spillovers, first of all, of the whole country’s industrial policies on auto industry enterprise organization profound influence on the deep influence of corporate organization, will ultimately affect the efficiency of the development of the domestic auto industry performance. Secondly, the competition between rearrangement of domestic enterprises greatly affects the technical feeling; Finally enterprise itself absorptive capacity of host country on FDI technology spillover plays a decisive role. Because to assess the performance of a policy, we can only use the car parameters in the economic development of the industry in our country from results than reflect of automobile industry policy of performance. Confronted with this problem, only by comprehensive research and re-examine the advantages and disadvantages of FDI, they can have a clear and correct understanding, and put forward corresponding solutions, use FDI brings favorable factors, improve the overall level of China’s automobile industry, in order to cultivate the national automobile industry to the endogenous technical ability. China FDI way, develop their own automobile industry, FDI in the development of China’s automobile industry in the process of how the spill benefits? What factors that influence the receipt? Levels? China’s auto industry and FDI to the influence of the independent innovation development? This paper tries to answer these questions.Foreign direct investment (FDI) is a developing country’s largest capital sources, the introduction of FDI purpose is using FDI technology spillovers domestic enterprise’s technical level ascension, eventually improve the international competitiveness of domestic enterprises. FDI technology spillover approach is foreign capital to promote domestic enterprise labor productivity rise, FDI technology spillover is the result of host country enterprise progress of technology, the domestic enterprises is to realize technology spillovers absorptive capacity of the key, domestic enterprise absorbing FDI technology spillovers ultimate goal is to improve the innovation ability of the enterprise itself. FDI technology spillover effect is analyzed the basic theory of technological spillover, covering absorbing ability, innovation ability and the technological progress. FDI technology spillover process is foreign capital to promote domestic enterprise labor productivity rise, FDI technology spillover is the result of host country enterprise progress of technology, the domestic enterprises is to realize technology spillovers absorptive capacity of the key, domestic enterprise absorbing FDI technology spillovers ultimate goal is to improve the innovation ability of the enterprise itself. This paper mainly qualitative analysis and empirical combination of research methods. First to auto industry as the research object, analyses the development of China’s automobile industry FDI, including its direct investment in China’s history, characteristics and the trends, from the Angle of the whole industry and automobile industry of the qualitative analysis produced direct investment in China and negative impact the positive influence. Then analyzed theoretically foreign direct investment technology spillover emergence mechanism and influencing factors. Finally empirically be inspection, draw the conclusion. Through the domestic auto industry absorbing FDI technology spillover to the independent innovation ability, the article analyzes the influence of the utilization of foreign capital of countermeasures self-reliant innovation Suggestions. This thesis will use the theory and research method of the specific have: federline two department theory, CD production function, time series analysis method, the co-integration theory, knowledge production function.更多还原