【作者】 许鸿文；

【导师】 方齐云；

【作者基本信息】 华中科技大学 ， 西方经济学， 2013， 博士

【摘要】 中国历经30多年的改革开放,已经进入中等收入国家行列,但是环境污染日趋严重,劳动力成本持续上升,这些都提示我们不能继续凭借要素扩张投入模式追求经济的总量增长,要摆脱“中等收入陷阱”假说,尽快实现产业结构升级,重点仍在于以自主技术创新能力为基础的技术进步。中国与世界的经济合作和技术交流不可逆转,外资企业产值占中国GDP总量已经超过1/3,出口产值和技术专利成果在不少产业领域已经超过50%以上,中国只有从与外资合作的渠道中尽快获取技术创新的原创思想,而不是成熟技术成果本身,才能取得技术的可持续进步实现赶超发展。论文采用定性分析与定量研究相结合的方法,定性分析确定研究分析的框架与思路,定量分析对定性分析起检验与证实作用,立足于中国开放的经济成果的现实基础,分析当前被忽略的问题,并提出建议。首先,基于英国、美国、日本赶超发展的现实成就,结合发展经济学的有关理论,提出从经济制度和企业技术发展投入角度两方面,实施技术赶超发展的理论框架。在现有关于FDI技术外溢效应研究文献回顾总结的基础上,指出现有研究的不足,提出从FDI技术性质的区分入手,对FDI技术在不同层次上的外溢影响做对比研究。其次,针对FDI产业内技术外溢的三大机制：人员流动效应,示范效应和竞争效应内涵的重新分析界定,为选取和构造恰当的解释变量定下基础,并对产业间FDI前、后向关联溢出机制的对比研究进行完善,力图从FDI产业内与产业间的外溢机制做一个全面完整的检验。经对人员流动效应,和中国内资企业对外资企业的反向技术外溢的实证检验发现,目前国内企业所能提供的薪酬与事业发展空间都较外资企业为低的情况下,外资企业技术人员很少主动流动到我国内资企业就职,内外资企业之间技术员工交流渠道的限制,直接导致对我国内资企业的技术溢出效果十分有限,无论是生产效率的提高还是自主创新能力的帮助都几乎为零。通过构造恰当的解释变量,将外资技术按照不同性质进行区分后,发现逆向破译渠道下的核心专业技术对我国自主创新能力提高具有显著的促进作用,而模仿学习渠道下的一般通用技术,仅仅在生产效率层面对我国内资企业产生显著正向溢出,但是对我们自主创新能力却产生显著的抑制作用。提醒我们不能满足于给外资企业打工所获取的微薄利润,而应该从核心技术外溢渠道中看到,引进国外技术与独立自主相结合,破译寻求国外技术创新的思想,是帮助我们取得竞争优势的根本所在。在一般通用技术与核心专业技术有效区分的基础上,对我国当前的出口退税补贴政策和行业市场结构——非正式制度安排,采用动态面板数据模型对两种技术的外溢影响结果做出了对比研究和检验,发现出口退税政策鼓励了企业的机会主义投机行为,不利于内资企业自主创新能力的提高,此外,基于技术实力实行的企业兼并,有利于核心专业技术的外溢,而垄断竞争结构有利于内资企业竞争优势的提升。当然,兼并集中的适当程度是今后研究努力探讨的一个课题。最后,将FDI产业间前、后向关联技术外溢机制对比研究,检验在生产效率,新产品市场转化和专利技术研发三个层面上,前向关联溢出效应是否大于后向关联溢出效应。但是实证检验并未证实这一猜测,这说明两点：一是我国内资企业主动向外资企业采购中间配套部件和设备的能力不强,无法大规模从外资企业获取前向关联溢出收益；二是我国内资企业偏重于在模仿学习一般技术方面发挥很大的能动性,导致后向关联溢出效应大于前向关联溢出效应。论文的最后结论提示我们,不仅仅关注人才的教育投入培养,更要关注人才的创业空间,从产权制度,创业融资渠道,科研经费的投入方向,以及行业规制制度等等方面相互结合,才能促进我国内资企业核心竞争力的提高。更多还原

【Abstract】 China has experienced reform and openness policy for more than30years, and entered into the rank of meddle income countries. But with the pollution of environments and the increases of labour price, we can’t posure economy scale expanding by input expansion. In order to realize optimizing of industry structure and overcome the presumption on Middle-Income Trap, we have to still concentrate on technology progress basing on independent innovation. The trend of cooperation between China and the foreign countries is not to be turned back, the proportion of GDP created by foreign enterprises in China has exceeded1/3, the produnctivity of export and patents of foreign firms has been over50%in some industries. Only from the channel of cooperation with the foreign enterprises could China get original creation ideas but not the mature technology, and realize the catching-up strategy.This dissertation exploits qualitative analysis and quatitative research, and put forward some reasonable suggestion. The qualitative analysis is to establish the framework and research ideas, and the quatitative research is to inspect and support the hypotheses of qualitative analysis.Firstly, basing on the catching-up achievements of British, U.S.A. and Japan, combining the relevant theories of development economics, this dissertation puts forward a framework about catching-up development of technology with reform of economic institution and input to innovation. On the basis of reviewing the exist research about FDI technology spillovers, it shows clearly the shortcoming and suggest that distinguish the technology nature so as to comparatively study the different spillover effects from them. Secondly, to establish the foundation for selecting and constructing the oppropriate independent variables, this dissertation re-analyses the wokers mobility effect, demonstration effect and competitive effect, and comparatively study the forwards and the backwards linkage effects.After having finished empirical tests of workers’ mobility effects of foreign enterprises and reverse spillover effects of Chinese enterprises, we find out that the technicians and specialists working with the foreign firms hardly come into domestic enterprises due to the fewer salary and limit career space. For lacking communication channels between our technicians and those of foreign’s, the FDI technology spillover effects from workers’ mobility to our domestic enterprises is very slight.By constructing the appropriate indepent variables, we distinguish the nature of FDI technology and find out that the specific technology got from reverse engineering could enhance our independent innovation, while the general technology got from imitation suppress our innovation. It implies that we shouldn’t be content with a little profit by imitation, in contrast, we should combine imitation with reverse engineering to get the original innovation ideas so as to obtain competitive advantage.Depending on achievely distinguish the general and the specific technology and using GMM model, we estimate affection of the tax rebate policy and the industrial market structure, and find out that the tax rebate policy hinders our innovation]but the concentration of market share, ie, monopolistic constructure could promote inmpriving our competitive advantage. Certainly, the oppropritate concentration extent of industry should be study in the latter research.Moreover, this dissertation comparatively studies the forwards and the backwards linkage effects on the levels of productivity, new products, as well as the patents of our domestic enterprises. The results illustrate that the backwards linkage effects exceed the forwards linkage effects, and tell us that our domestic enterprises are not strong at absorbing technology by sourcing spare parts and equipments from the foreign’s, this maybe due to our enterprises being apt to imitation. The conclusion of this dissertation is that we should stress on supplying adequate business space to the talents and reform series institutions, such as our knowledge property, financing channels and management of research tuition, as well as industry regulation to improve our core competition ability.更多还原