【作者】 杨朝均；

【导师】 毕克新；

【作者基本信息】 哈尔滨工程大学 ， 管理科学与工程， 2013， 博士

【摘要】 制造业作为国民经济的产业主体，对我国经济高速增长起到了巨大的推动作用。但其以规模扩张为主的外延式发展模式，在推动经济快速发展的同时也带了巨大的环境污染问题，我国制造业发展已面临着资源环境的极大约束。对于处在经济成长期的我国而言，绿色工艺创新是制造业突破资源约束、解决环境问题最有效手段之一。FDI（ForeignDirect Investment，外商直接投资）作为资金和技术全球流动的主要载体，对推动我国制造业发展和技术进步起到了重要作用，但在一定程度上也加剧了制造业对我国资源环境的压力。因此，在此背景下探究FDI对我国制造业绿色工艺创新的影响及溢出效应，对于我国制造业制定合理的引资政策，在避免成为跨国公司“污染避难所”的同时，利用FDI提升我国制造业绿色工艺创新能力，以解决我国制造业的资源环境问题具有重要的理论意义和现实意义。本文界定了FDI、绿色工艺创新及相关概念的定义，分析了FDI进入东道国的动因和主要进入模式，论述了绿色工艺创新的主要特征，探讨了绿色工艺创新的基本过程，并将绿色工艺创新过程划分为“发起—实施—实现”三个阶段，进而研究了绿色工艺创新三个阶段分别需要解决的关键问题，即绿色工艺创新动力、绿色工艺创新路径、绿色工艺创新绩效。在此基础上，本文研究了FDI对我国制造业绿色工艺创新的直接影响途径和间接影响途径，进而构建了基于绿色工艺创新过程的FDI影响模型。在FDI对我国制造业绿色工艺创新动力影响的研究方面，本文从理论上分析了我国制造业绿色工艺创新动力的三源驱动模型，即绿色工艺创新的技术推动力、市场拉动力和管制推动力，探讨了FDI对我国制造业绿色工艺创新技术推动力、市场拉动力和管制推动力的影响机理。在此基础上，本文构建了我国制造业绿色工艺创新动力评价指标体系，运用RAGA-PPE模型实证评价我国制造业绿色工艺创新动力，进而运用面板数据模型实证研究了FDI对我国制造业绿色工艺创新动力的影响。在FDI对我国制造业绿色工艺创新路径影响的研究方面，本文界定了绿色工艺创新路径的概念，提出了我国制造业绿色工艺创新的两种基本路径，即研发式绿色工艺创新路径和获取式绿色工艺创新路径，研究了FDI对我国制造业研发式绿色工艺创新路径和获取式绿色工艺创新路径的影响，构建了未考虑FDI条件下和考虑FDI条件下我国制造业绿色工艺创新路径选择的演化博弈模型。在此基础上，本文实证检验了FDI对我国制造业研发式绿色工艺创新路径、获取式绿色工艺创新路径的影响，以及对两种绿色工艺创新路径选择的影响。在FDI对我国制造业绿色工艺创新绩效影响的研究方面，本文从经济绩效、社会绩效和生态绩效三个方面构建了我国制造业绿色工艺创新绩效评价指标体系，并运用RAGA-PPE模型实证评价了我国制造业绿色工艺创新绩效；在分析FDI对我国制造业绿色工艺创新绩效影响机理和探讨FDI对我国制造业绿色工艺创新绩效影响因素的基础上，实证研究了FDI对我国制造业绿色工艺创新绩效的影响。在FDI对我国制造业绿色工艺创新的溢出效应研究方面，界定了FDI溢出效应的概念，论述了FDI溢出效应的特征和形式，分别从示范-竞争效应、人力资本流动效应、基于研发的前向关联效应、基于技术改造升级的前向关联效应和后向关联效应五个方面，运用面板数据模型实证研究了FDI对我国制造业绿色工艺创新动力、绿色工艺创新路径和绿色工艺创新绩效的溢出效应。最后，在对策建议的研究方面，本文在前文理论分析和实证检验结果的基础上，从绿色工艺创新动力、绿色工艺创新路径、绿色工艺创新绩效以及溢出效应四个方面，提出了合理利用FDI提升我国制造业绿色工艺创新能力的对策建议。更多还原

【Abstract】 As main body of country and people economy，manufacturing industry played a hugerole to promote economic growth. But manufacturing industry also brought huge problems ofenvironmental pollution which used to mainly pursue scale to extend with the denotativedevelopment mode. The development of the manufacturing industry in our country has facedseriously constrains of resource and environment. For our country which in the progress ofeconomic growth, green process innovation is an effective mean to Break through theresource constraint and solve the environmental problems of manufacturing industry. As themain carrier of capital and technology flow across the globe, FDI played a huge role topromote manufacturing industry development and its technological progress, but in a certainextent, FDI also exacerbate the resources and environment problems of manufacturingindustry. Therefore, in this context, the paper explore the influence and spillover effect of FDIon manufacturing industry, it has theoretical significance and practical significance formanufacturing industry to formulate reasonable investment policy to avert becoming theavoid pollution heaven of multinational company, and use FDI to promote green processinnovation ability and solve resources and environment problems. The main contents of thisdissertation include the following sections.The contents of FDI, green process innovation and the relevant concepts were defined;the determinant factors and the come in model of FDI were discussed. On the basis ofanalysised the main characteristics and basic process of green process innovation, greenprocess innovation was divided into three stages. The first stage was initiating stage, and thekey problem of this stage was green process innovation impetus. The second stage wasimplementation stage, and the key problem of this stage was green process innovation path.The last stage was realizing stage, and the key problem of this stage was green processinnovation effect. On the basis of analysised the direct channels and indirect channels of FDIinfluence on green process innovation the discussing, the influence model of FDI Based onthe green process innovation process was established.In the respect of research on the influence of FDI on green process innovation impetus,the three driver model of green process innovation impetus was established from a theoreticalperspective, and the three drivers of green process innovation were pushing impetus oftechnology, pulling impetus of market and pushing impetus of regulation. And then, theinfluence mechanism of FDI on the technology pushing impetus, market pulling impetus and regulation pushing impetus of green process innovation were analysized. The evaluationsystem of green process innovation impetus was established, and an empirical analysis wasperformed to it by using RAGA-PPE method. After that, an empirical analysis was performedto FDI’s influence on green process innovation impetus of Chinese manufacturing industries.In the respect of research on the influence of FDI on green process innovation path, thecontents of green process innovation path was defined. The green process innovation pathincludes two basic paths, which were green process innovation path based on R&D and greenprocess innovation path based on technology acquisition. Then researched the influence ofFDI on the two basic paths, and established the evolutionary game models withoutconsidering the FDI conditions and under the condition of FDI. Base on that, empiricalanalysis were performed to the influence FDI of on green process innovation path based onR&D and green process innovation path based on technology acquisition, and the influenceon the choice of two basic paths.In the respect of research on the influence of FDI on green process innovation effect, theevaluation system of green process innovation effect was established, and the evaluationindexes come form three aspects that were energy conservation, emission reduction,consumption reduction, and an empirical analysis was performed to it by using RAGA-PPEmethod. On the basis of discussed the influence mechanism and the influence factors of FDIon green process innovation effect, an empirical analysis was performed to FDI’s influenceon green process innovation effect of Chinese manufacturing industries.In the respect of research on the spillover effect of FDI on green process innovation, thecontents of FDI spillover effect was defined, And then, the characteristics and form of FDIspillover effect were illustrate. After that, empirical analysis was performed to the spillovereffect of FDI on green process innovation impetus, green process innovation path and greenprocess innovation effect form five channels base on panel data model. And the five channelsincluded demonstration-competition effect, human capital flowing effect, forward linkageeffect based R&D, forward linkage effect based technology upgrading, backward linkageeffect.Finally, the countermeasures and suggestions of reasonably use FDI to upgrade greenprocess innovation ability of Chinese manufacturing industry from three levels, whichinclude green process innovation impetus, green process innovation path, green processinnovation effect and spillover effect.更多还原