【作者】 周艳梅；

【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】 本文旨在研究FDI对我国工业结构升级的影响。如果将工业生产视作投入和产出组成的过程,则工业结构包括了工业的技术、资本、就业、产出及外贸结构。因此,本文的研究从上述五个方面展开,以期比较全面地考量FDI对我国工业结构升级造成的影响。在研究方法上,主要基于FDI的相关理论,利用我国工业生产部门1997到2007年的面板数据进行了实证研究。研究结果表明,FDI在促进我国工业技术进步、资本形成、就业增加、产值增长、效益提高和出口增加的同时促进了结构升级,但是与结构升级的理想状态存在较大的差距,其中FDI对一般技术行业的经济影响要大于高技术行业,而一般技术行业中的资本密集型行业可能从中受益最多。除了对一般技术行业的技术进步产生抑制,FDI对一般技术行业的资本形成、劳动力增加的影响程度均大于高技术行业。工业技术结构的升级较依赖于内资工业与外资工业较小技术差距,因此,FDI对高技术行业的自主创新投入有积极的促进作用,但对一般技术行业的自主创新投入产生抑制。FDI对一般技术行业国内投资产生的挤入效应比高技术行业的国内投资的挤入效应的程度要大得多。对重度污染行业的国内投资产生挤入效应,对轻度污染行业无挤入挤出效应。FDI主要通过促进一般技术行业的就业增长带动了制造业的就业增加,行业间劳动力结构呈低端化,高技术行业行业内劳动力结构得到优化的效果比一般技术行业要明显。一般技术行业劳动力从内资流向外资的情况也较严重。产出和外贸结构方面,FDI对产出和外贸出口结构升级的作用也有限。虽然FDI对技术、资本和劳动密集型行业产值增长均有促进作用,且影响程度依次变小,但是用效益衡量的产出结构却表现出FDI对资本、技术、密集型行业的效益提高的影响依次变小。FDI引致全部国有及规模以上工业企业制造业出口结构低度化,当样本为制造业所有企业时,FDI对资本、技术、劳动密集型行业,中、高、低技术产品出口量的影响依次变小。从产品内分工角度分析,FDI主要通过加工贸易的方式深化劳动密集型行业的产品内分工,并不利于传统行业的更新改造和技术、资本密集型行业在产品价值链分工地位的提高,对于外贸依存度较高的我国而言非常不利。由于数据的限制,在分析FDI对技术结构、资本结构和劳动力结构时将制造业分为高技术行业和一般技术行业。FDI对一般技术行业的投资挤入和就业增长及行业内劳动力结构优化均起到积极作用,而一般技术行业包括资本密集型行业和劳动密集型行业,且FDI较多促进资本密集型行业的产出和出口,因此,可以推断FDI促进我国工业结构升级过程中,资本密集型行业受益最多。本文对工业结构升级的定义是FDI对技术、资本和劳动密集型行业的积极影响依次变小,这也是一种比较理想的升级状态。但是目前FDI在促进我国工业结构升级时,距离这一理想状态还有较大的距离,内资是促进工业结构升级的主导因素。FDI对高技术行业自主创新投入的积极促进作用,很有可能来自于内资高技术行业与外资高技术行业较小的技术差距。增加就业和提升就业结构的因素也在于内资投资的增加。本文的创新之处在于：第一,对外商直接投资与工业结构的升级进行多维分析。与以往的分析大都集中于一个方面(产值)不同的是,本文从多个维度比较系统地分析FDI对工业结构升级的影响。这些维度包括：技术进步、资本形成、就业变化、产出变化、对外贸易结构的变化等。多维分析可以更加清楚地认识FDI对我国工业结构升级产生的作用。第二,将FDI理论与工业结构升级理论相结合。以往的研究往往没有将FDI理论与工业结构升级理论联系起来,这与现实情况不相符合。从FDI在我国的产业流向来看,FDI主要集中于工业部门,必然会对工业结构的升级与优化产生重大影响。本文将二者相结合,考察FDI对我国工业结构升级的影响途径和机制。第三,从产值与效益两个方面分析产出结构。已有文献在研究结构升级问题时,将焦点集中于产值结构的升级,但是产值结构很大程度上是产出在“量”上的反映,对于产出在“质”上的提升关注较少,因而,本文以效益反映产出在“质”上的提升,结合产值与效益两个方面分析产出结构的升级。第四,从行业、产品和产品内三个角度深入分析FDI对出口结构的影响。国际分工已经深入到产品内的分工,FDI是推动推动国际分工的重要因素,因而分析FDI对我国产品内分工程度的提高具有积极的意义。更多还原

【Abstract】 This dissertation aims to study how FDI affects the upgrading of China’s industrial structure. We consider the industrial production as a process of input and output, so the term "industrial structure" would contain five factors, including industrial technology, capital, employment, output and foreign trade structure. This thesis makes a research to all five factors above, so as to reach a comprehensive understanding of how FDI affects the upgrading of China’s industrial structure. We carried out an empirical research, mainly based on relevant theories of FDI, using the panel data (1997-2007) from China’s industrial production sector.The result shows that FDI haven’t promote the upgrading of China’s industrial structure significantly, while promoting its technological progress, capital formation, job growth, output growth, efficiency improvement and export increasing. FDI has a greater economic influence on general-technology industry than technology-intensive industry, and the capital-intensive industry from general technology industry may benefits the most.Except inhibiting technical progress of general-technology industry, FDI has greater influence on capital formation, labor supply increasing to general technology industry than technology-intensive industry. The upgrading of industrial structure depends on a smaller technology gap between domestic industry and foreign industry, therefore, FDI plays a positive role in promoting the independent innovation of technology-intensive industry, while inhibiting the independent innovation general-technology industry. The crowding out effect of FDI on domestic investment of general technology industry is much greater than that of technology-intensive industry. And there is a crowding in effect on the domestic investment of heavy polluting industries, while no crowding in or out effect to light polluting industries. Mainly through promoting employment growth in general technology industry, FDI led the employment of manufacturing increased, since the labor force structure between industries is low-end, the effect of optimization to technology-intensive industry would be more obvious than the general technology industry. And the situation of brain draining from domestic companies to foreign companies in general technology industry is also serious. Meanwhile, FDI has limited effect on output and export structure. Although FDI has promoted the output growth of all kinds of industries, including technology, capital and labor-intensive industries, the structure of output, measured by efficiency, has reflected that the impact of FDI on each industry, capital, technology and labor-intensive, were decreasing orderly. FDI leads both state owned and large-scale industrial enterprises’ export structure to a low degree, when the samples comes from the manufacturing sector, FDI reduces the export scale of high, medium, low-tech products of each industry were also decreasing in order. View from the division of labor inside the industry, FDI deepens the division of labor-intensive industries mainly by means of processing trade, which is not conducive to upgrading traditional industries and to advancing the position of technology, capital-intensive industry in the product value chain. That is negative for a highly foreign trade dependence country as China.Because of data limitation, when analyzing the effect of FDI on the technological structure, capital structure and labor structure, we divided manufacturing into technology-intensive industry and general technology industry. FDI has positive effect on general technology industry in investment crowding-in and employment growth in the technology industry and in workforce optimization within the industry, while general technology industry includes both capital-intensive industry and labor-intensive industry. FDI promotes more to capital-intensive industry’s output and export, therefore, it can be inferred that when FDI promotes the upgrading of China’s industrial structure, capital-intensive industry benefits the most. Upgrading the industrial structure of this paper is defined as the positive impact of FDI on technology, capital and labor-intensive industry decreasing in order, which is an ideal upgrading status. But reality is different from the ideal status, domestic capital is the dominant factor to promote the upgrading of China’s industrial structure. Increase employment and improve the employment structure is also caused by increasing domestic investment.The innovation of this paper includes:first, we make a multidimensional analysis on foreign direct investment and the upgrading of industrial structure. Different from most of the previous analysis focused on one aspect (output value), this paper systematically analyzes the multiple dimensions of FDI on industrial structure upgrade. These dimensions were technological progress, capital formation, employment change, output changes, and changes in structure of foreign trade etc.. This kind of analysis method can help us understand how FDI affects the upgrading of China’s industrial structure better. Second, combine both FDI theory and of industrial structure upgrading theory. Previous studies have failed to connect FDI theory to industrial structure upgrading theory, which does not conform with reality. View from the majority of FDI in China, which was mainly concentrated in the industrial sector, will inevitably have a significant impact on optimization and upgrading of the industrial structure. This article will combine these two theories as to study the means and mechanisms that FDI affects China’s industrial structure upgrading. Third, we analyze the structure of output from two aspects, output value and benefit. When researching the upgrading of the industrial structure, previous studies focused on upgrading of the output value structure, but output value structure is largely a reflection of "quantity", not "quality". Therefore, this paper uses benefit as a reflection of the output "quality" upgrading, combining both output value and benefit to analyze the upgrading of output structure. Fourth, make an intensive analysis to the effect of FDI on the export structure, from three angles as industry, product and within-product. Nowadays, international labor division has gone deep to within-product, and FDI is an important factor in promoting the international division of labor, thus, analysis of how FDI affects the labor division improvement level of within-product has a positive meaning.更多还原