【作者】 吕新军；

【导师】 卫平；

【作者基本信息】 华中科技大学 ， 西方经济学， 2011， 博士

【摘要】 20世纪80年代以来,随着经济全球化的不断发展和产业国际分工的继续细化,越来越多的企业从参与国际化进程中获得利益,它们不断将内部开展的高成本、低成效的业务以契约的形式委托给国外的企业来完成,即通过国际外包的形式来降低成本、提高效率,国际外包也由此不断影响着一国的产业竞争力。本论文即是从发包国的角度,研究国际外包对中国工业行业产业竞争力的影响。本文以国际外包如何影响产业竞争力为研究中心,首先从理论上叙述了国际外包的定义、分类以及测度方法,并对产业竞争力的内涵进行介绍,在此基础上,分析国际外包影响产业竞争力的渠道和机制：通过专注生产优势产品使得比较优势效应得到发挥；进口高质量中间投入品利于技术溢出效应的发生；国际外包的规模经济效应利于降低产品成本；中间产品的进口多样化通过品种增加效应提高企业生产效率；国际外包通过转移更高技术含量的生产环节利于提高发展中国家在国际产业链上的地位。然后,在综合已有文献的基础上,运用三种常见的测算国际外包的方法对我国工业行业的物质外包率和服务外包率分别进行了测算,并比较分析了行业间的差异和原因。接着运用Shift-Share分解法对三种指标进行对比分析,指出三种方法优缺点。研究结果表明,不同测算方法得出的国际外包率存在较大差异,进口中间投入品占总进口比重指标能更好的描述我国国际外包率现状；我国工业行业国际外包率总体呈现上升趋势,行业的物质外包率要大于服务外包率,但是服务外包率的增速要远大于物质外包率增速。其中,物质外包率增长受结构性因素影响较大,服务外包率增长受结构性因素影响相对较小,且表现出强烈的行业差异性。第三,分析了我国工业行业1996-2008贸易竞争力的动态演化过程,结果表明,我国劳动密集型产业的贸易竞争力要大于资本密集型产业,资本技术密集型产业的贸易竞争力水平最低。从变化趋势来看,资本技术密集型产业的贸易竞争力提升速度较快,劳动密集型产业贸易竞争力没有呈现继续增长态势。在此基础上,实证分析了国际外包对贸易竞争力的影响。研究表明,物质外包和服务外包的增加对提升我国产业竞争力均具有明显的正向促进作用；而且服务外包对产业竞争力的促进作用要大于物质外包对产业竞争力的影响；工业行业特征会对国际外包的劳动生产率效应的大小产生影响,行业规模大、外资比例高的产业国际外包率对提升贸易竞争力的积极作用更大。第四,分析了我国1996-2008年35个工业行业的研发投入情况和创新产出情况。结果表明,我国工业行业的研发投入呈现逐年递增趋势,而且创新产出也有明显增加。其中,资本技术密集型行业的专利申请数增速要明显高于其他三个类型产业,资源密集型产业的专利申请数最低,而且增速较缓。其次,从单位专利投入来看,四种类型行业的单位专利产出成本都呈现逐年递减趋势,资源密集型行业的专利产出成本最高,资本技术密集型产业的单位专利产出成本最低。然后从实证角度分析了国际外包对提升我国产业创新能力的影响,结果表明,物质外包是可以明显提高我国工业行业的创新能力,服务外包的作用没有通过显著性检验。行业规模和研发经费投入会影响国际外包对产业创新能力的作用水平,行业规模越大、研发投入越高的行业,国际外包对提升产业创新能力的作用就越明显。最后,本文探讨了国际外包对生产率的影响。在运用Malmquist指数对中国工业行业全要素生产率及其分解指标进行测算的基础上,分析了不同性质外包对生产率的影响,并进一步考察了行业异质性对国际外包的生产率效应的影响。研究发现,在控制研发投入和外商直接投资的情况下物质外包和服务外包都对全要素生产率有明显的促进作用,而且服务外包对生产率的影响要远大于物质外包所产生的作用。行业特性会影响国际外包的生产率效应,相对于低研发投入和低外商投资比例的行业,高研发投入和高外商投资比例的行业发生国际外包对提高生产率的影响更大。更多还原

【Abstract】 Since 1980s, with the development of economic globalization and the changes of production, more and more enterprises gain from the process. They reduce enterprise cost and raise efficiency by entrusting the high cost of internal and low effectiveness business to the foreign enterprises with contract, which is one form of international outsourcing, and international outsourcing is continuously affecting one country’s industrial competitiveness. This dissertation focuses on the effect of outsourcing on the competitiveness of the industry in China from the perspective of eontracting states.This dissertation focuses effect of international outsourcing on the industrial competitiveness. Firstly, this dissertation describes the definition, classification and the methods of measure international outsourcing. Then it analyzes the channels and mechanism of how international outsourcing influences industrial competitiveness:take full advantage of comparative advantage effect by focusing production which has comparative advantage; the effect of technological overflow by importing high quality inputs; the scale economies effect to reduce the cost of product; importing of diverse intermediate products can enhance efficiency through the effect of increasing variety of inputs; the effect of improving the status of international industrial chains by technology overflow.Then, on the basis of comprehensive literatures, this dissertation uses three methods estimating material and services outsourcing ratio of China’s 36 industrial sectors in 1997, 2002 and 2007, then investigates the quality of the three methods through the Shift-Share method. The results show that different methods will lead to a big difference. Three methods all show an upward trend of China’s industrial sector outsourcing ratio during 1997-2007, and the growth rate of service outsourcing is higher than material outsourcing; structural changes have a greater impact on the material outsourcing ratio than the services outsourcing ratio.Thirdly, this dissertation analyzes the dynamic evolution process of the trade competitiveness of industries in China during 1996-2008.The conclusion shows that:trade competitiveness of labor-intensive industries are stronger than capital-intensive industries, and capital technology-intensive industries are the lowest. From the perspective of change trend, the trade competitiveness of capital technology-intensive industries increases fastest. Then the dissertation establishes the econometric model to test the effect of outsourcing on trade competitiveness. The results shows that:Material outsourcing and service outsourcing both have an obvious positive role in promoting the trade competitiveness of China, and the service outsourcing shows a bigger effect; Characteristics of industry will influence the effect of international outsourcing. Outsourcing will have greater effect on competiveness in the larger scale industry and higher proportion of foreign investment of an industry.Fourthly, the dissertation analyzes the R&D investment and innovation output of 35 industries in China during 1996-2008. The conclusion shows that both R&D investment and innovation output show an obvious increasing trend. The patent applications number of capital-technology intensive industry is much higher than the other three industries; the number of patent applications in resource-intensive industries has a slower growth. Then the dissertation empirically analyzes the effect of outsourcing on the innovation output. The conclusion shows that the material outsourcing has a significant positive effect on the innovation, but the effect of service outsourcing does not pass test.Industry scale and R&D expenditure will both affect the effect of international outsourcing on industry innovation ability, outsourcing will have a more obvious effect on larger scale industries and higher R&D investment industries.Finally, this dissertation discusses the influence of international outsourcing on productivity. Specifically, this dissertation measures total factor productivity and its decomposition indicators of industrial sectors in China through Malmquist index based on the method of DEA. Then the dissertation analyses the effects about material outsourcing and service outsourcing on the TFP and its decomposition indexes, as well as studying the influence of industry heterogeneity on the effect of outsourcing on the productivity. The results show that material outsourcing and service outsourcing both have positive effects on the productivity when controlling the variables of R&D investment and FDI, and the effect of service outsourcing on productivity is greater than that of material outsourcing. And also, industry characteristics will affect the effect of outsourcing on productivity. Relative to the low R&D investment and low proportion of foreign investment of an industry, outsourcing will have a greater effect on the productivity in high R&D input and high proportion of foreign investment industry.更多还原