【作者】 劉益誠；

【导师】 萬解秋；

【作者基本信息】 苏州大学 ， 金融学， 2012， 博士

【摘要】 近年來，外商對我國的投資額基本呈現穩步增長的態勢，FDI對我國經濟增長、產業結構調整、地方產業集群發展有著重要的影響。FDI投資主要集中於東部沿海地區，尤其是珠三角、長三角、渤海灣地區更是集中了FDI的大部分。在FDI投資集中的地區，出現了不少FDI主導的產業集群，在這樣的集群中，其內部的主要環節均為外資企業，相互之間保持著密切的業務聯繫，形成一個相對完整的產業鏈，當地企業要麼很難進入，要麼只能進入其中技術含量和附加價值低的環節。一般來說FDI促進當地經濟的發展主要是通過FDI的技術溢出效應，那麼在FDI主導的產業集群中地方產業中本土企業如何利用FDI的技術溢出效應而實現自身的發展升級呢？對於這個問題的研究不但對豐富FDI理論，而且對我國企業在產業升級過程中有著一定的指導意義。本文從產業集群、FDI技術溢出效應、產業集群升級理論的角度進行了理論分析，在相關理論分析的基礎上結合蘇州地區FDI實際情況進行了實證分析，檢驗蘇州地區的FDI技術溢出效應和FDI技術轉移行為是否能夠促進當地企業的技術進步。在FDI投資獨資化的趨勢下，本土企業自主創新能力不足、社會信用體系和智慧財產權保護體系不完善、FDI結構封鎖、生產體系封閉性的現實中，本土企業如何才能實現升級並不僅僅是企業自己的問題，也關係到當地經濟發展方式、產業結構調整，所以需要政府發揮其應有的作用。在促進本土企業升級的對策中，主要從以下方面進行：培育國內市場需求突破FDI的結構封鎖，政府進行產業升級規劃，培育本土企業的自主創新能力，發展生產者服務機構。本文研究內容分為六章，主要內容如下：第一章為文章的研究背景、研究意義、研究方法和研究目標的闡述。第二章為相關理論與文獻綜述，主要介紹了產業集群、FDI技術溢出效應、產業集群升級理論。產業集群主要從產業集群的理論溯源、概念界定、形成背景、類型、作用和生命週期等角度進行了研究；FDI技術溢出效應主要從技術溢出效應的界定、技術溢出途徑、技術溢出的制約因素以及相關的實證研究綜述；全球價值鏈理論從理論起源、價值鏈的驅動力及治理結構、價值鏈與產業升級的角度進行了分析。第三章為FDI投資分配與地方產業集群的分析，主要從FDI投資分配行為的分析，FDI主導的地方產業集群的形成、類型及特徵，FDI主導產業集群的演進動力機制，以及FDI對地方產業集群的影響進行了分析。第四章為FDI技術溢出效應和技術轉移行為分析，從FDI技術溢出效應的機制模型、影響因素、溢出效應度量分析了技術溢出效應；從FDI技術轉移的動因（跨國公司、東道國）、技術轉移的途徑、技術轉移的機理模型以及技術轉移過程中的技術創新機制分析了技術轉移；最後結合蘇州地區進行了技術溢出效應和技術轉移效應的驗證。第五章為FDI與地方產業集群升級轉型升級，主要從FDI主導產業集群升級的影響因素、目前在升級中面臨的困境以及如何突破困境而提出的建議對策，文章結合蘇州地區的實際進行了分析，以蘇州工業園區在如何進行轉型升級方面進行了分析。第六章為研究結論與對未來的研究建議。更多还原

【Abstract】 The amount of FDI presents steady-state growth in recent years. FDI plays animportant role to our country`s economical growth, industrial structure adjusting and localindustrial cluster development. FDI fasten on east littoral, especially Pearl RiverDelta,the Yangtze River Delta and the Bohai Rim area. The zone of foreignerinvestment concentrated appears some FDI-led Industrial clusters. The main part of itsinternal foreign enterprises are among the business has maintained close contact，forming arelatively complete industrial chain，local businesses or difficult to access，either of whichcan only enter the technical content and low value-added component. General speaking,FDI accelerating local economical growth is mainly dependent on the Spillover Effect ofFDI, so how do the local enterprise use the spillover effect of FDI to upgrade in theFDI-led Industrial clusters. The study on this problem can not only enrich the FDI theory,but also shepherd local enterprises upgrading practice.This article analyses in academic from industrial cluster, spillover effect of FDI andcluster upgrading, which based on it and combined the fact of Suzhou to amylasedemonstration, to checkout the technology spillover effect of FDI to Suzhou and thetechnology diversion behavior has improved local enterprises technical progress. Under thetrend of FDI solely ownership, insufficient of local enterprises innovation ability, imperfectin the social credit system and Intellectual property protection system, the Structural blockof FDI, and Closed production systems, how to upgrade in the global value chain is notonly with relation to local enterprise, but also close to local Economic Development Modeand the adjustment of industrial structure, which needs the local government play its duerole. Such countermeasures as following can upgrade in the global value chain: Cultivatethe domestic market demand to break the Structural block of FDI, industries upgradingplan of local government, cultivate the innovation ability of local enterprises and developthe advanced producer service industry.This paper studies the contents is divided into six chapters, main contents are asfollows: For the first chapter of the research background, the research significance, theresearch methods and research target of exposition.The second chapter for related theory and literature review, mainly introduced theindustry cluster, FDI technology spillover effects, industrial cluster upgrade theory.Industry cluster mainly from industrial cluster theory traceability, concept definition,formation background, type, function and life cycle, the angles FDI technology spillovereffects from the main technological overflow effect definition, technology spillover way,technology spillovers restricting factors and relevant empirical research review; From thetheory of global value chain theory origin, value chain driving force and governancestructure, value chain and industrial upgrade Angle were analyzed.The third chapter for FDI investment distribution and local industrial cluster analysis,mainly from the analysis of the distribution of FDI investment behavior, FDI leading placethe formation of industry cluster, the types and characteristics of dominant industry cluster,FDI, and the evolution of dynamic mechanism of local industry cluster of FDIinvestigated.The fourth chapter for FDI technology spillover effect and technology transferbehavior analysis, from FDI technology spillover effect mechanism model, the influencefactors, analyzed spillover effect measure technological overflow effect; Technologytransfer from FDI motivations (multinational companies, host country), technology transferapproach, technology transfer mechanism models and technology transfer process oftechnology innovation mechanism analysis technology transfer; Based on the suzhouregion technology spillover effect and technology transfer effect validation.The fifth chapter for FDI and local transformation and upgrading of industrial clusterupgrade, mainly from FDI dominant industry cluster of factors, current upgrade inupgrades in the dilemma facing the predicament and how to breakthrough and suggestedcountermeasures, combining with the actual suzhou area are analyzed, in suzhou industrialpark in how to upgrade are analyzed.The sixth chapter for research conclusions and Suggestions for future research.更多还原