【作者】 彭峰；

【导师】 李燕萍；

【作者基本信息】 武汉大学 ， 企业管理， 2013， 博士

【摘要】 近些年来,随着对“市场换技术”策略的质疑,高技术产业更加注重在技术转移中加强本土企业与外资企业技术合作,提升本土企业技术效率的努力还体现在促进本土企业之间、企业与大学和科研院所之间的技术转移与产学研合作创新。金融危机后,出口导向的高技术产业受到冲击,竞争的加剧和要素成本的上升促使高技术企业纷纷将加工制造环节从沿海地区向内地或者其他国家转移；与此同时,大量高技术企业将高污染的加工制造环节向中西部地区转移,引发了人们对这些地区将成为“污染避难所”的担忧。因此,从可持续发展角度,研究新形势下技术转移与高技术产业效率变化的关系,将为各地区因地制宜地制定技术转移政策、建设技术创新体系提供借鉴。现有文献大都孤立分析技术转移与高技术产业效率之间的关系,也很少考虑吸收能力异质性、行业差异以及环境因素。鉴于此,本文主要进行以下四个方面的考察技术转移对高技术产业效率的影响：(1)建立了高技术产业中技术转移与效率变化关系研究的系统分析框架。运用随机前沿生产函数模型分析国外技术引进、国内技术购买和外商直接投资在提升高技术产业技术效率中的作用,并在统一框架下进一步探讨这三种技术转移方式与自主研发的相互作用及其对技术效率的影响；(2)考察技术转移对技术效率、技术进步和生产率影响差异。采用DEA方法测度中国省际高技术产业Malmquist生产率指数,运用一阶差分法比较分析各种技术转移方式在提升生产率中的作用,并探讨了吸收能力异质性对溢出效应的影响；(3)比较分析在考虑环境因素和忽视环境因素两种情况下技术转移对技术效率的不同影响。运用方向性距离函数测度产业环境技术效率,并构建系统框架分析开放经济条件下环境技术效率的影响因素。在此基础上,运用考虑非合意产出的SBM模型测度2000-2011年中国省际高技术产业的环境技术效率,并利用系统GMM方法实证检验技术转移对环境技术效率的影响；(4)运用规范的案例研究方法从企业层面探讨技术转移对技术效率的作用机制,对高技术企业如何实现有效的技术转移进行了系统研究。研究结果表明：(1)国外技术引进、外商直接投资和自主研发显著促进了高技术产业技术效率提升,但国内技术引进对技术效率的影响并不显著；技术引进对自主研发产生了替代效应,但也通过技术溢出提高技术效率；FDI和自主研发具有互补效应,对技术效率产生显著的正向影响；中国高技术产业技术效率有着显著的地区差异,东部地区技术效率远高于中西部地区,但东部地区各省之间也存在着显著差异。高技术产业技术效率有较大的提升空间；(2)国外技术引进在短期内促进了技术进步,但从长期看其对技术进步的贡献在逐渐减弱,而国内技术购买在提升技术效率中的作用在增强；国外技术引进和国内技术购买都对研发投入产生了互补效应,前者在东部地区作用明显,后者在中西部地区更加显著。FDI对技术效率产生正向溢出,但抑制了研发投入,阻碍了生产率增长,这在东部地区最为突出；(3)省际高技术产业环境技术效率低下,并且出现了下降趋势。东部地区环境技术效率有小幅下降,西部地区次之,中部地区下降最大。忽视环境污染会高估高技术产业的技术效率；国外技术引进和FDI都对高技术产业技术效率具有显著的正向影响,但考虑环境因素后,两者对技术效率的作用都有不同程度的减小；国内技术购买、研发投入和所有制结构对高技术产业环境技术效率的影响还具有地区差异；(4)国外技术引进和FDI的技术溢出效应在逐渐减弱,两者在前期都对环境技术效率具有显著的正向溢出效应,在后期对环境技术效率都没有显著的正向影响。因此,国际技术转移的溢出效应不应被高估,积极促进国内技术转移更有助于产业效率提升。(5)有效的技术转移首先要求企业构建相应的转移情境；注重全员参与的技术改进；在增加研发投入的同时,借助与高校和科研院所的研发合作来提高技术水平和吸收能力。因此,决策者需要通过调整技术转移政策和外资政策推动具备技术优势的高技术企业与跨国公司合作研发,在技术引进中实现“嵌入式创新”,在吸收外资时突出技术合作以提高本土企业的主导地位。在高技术产业中推行绿色设计研发系统和建设环保技术设备的共性技术研发平台,鼓励国内企业研发生产符合环保标准的技术设备拓展国内和国际市场。中西部地区在承接高技术产业转移的过程中应结合本地的产业基础和企业技术能力现状,以企业技术改造为契机,引进适宜技术改进工艺流程,推动产业优化升级；同时借鉴东部地区技术转移经验,促进技术转移机构和技术市场管理机构的资源优化,提高技术转移机构的市场化水平。决策者在为企业从高校和科研机构引入前沿技术创建合作平台的过程中,更应注重完善技术转移和成果转化的制度环境建设。更多还原

【Abstract】 In recent years, as people questioned "market for technology" strategy, China’s high-tech industry has paid more attention to strengthening the technical cooperation between local enterprises and foreign-funded enterprises in technology transfer. The efforts to enhance the technical efficiency of local enterprises are also reflected in the promotion of technology transfer and cooperative innovation among enterprises, universities and scientific research institutions. After the financial crisis, export-oriented high-tech industry has suffered a blow, high-tech enterprises have transferred their processing and manufacturing sectors from coastal areas to the mainland or other countries due to increasing competition and rising cost. At the same time, much of high-tech enterprises shift their processing and manufacturing sectors that causes severe pollution to central and western regions, which has raised concerns that these areas may become "Pollution Haven". Therefore, this paper explores the relationship between technology transfer and technical efficiency of high-tech industry in the new situation from the perspective of sustainable development, so as to provide a reference for high-tech industry to develop technology transfer policies and construct technology innovation systems according to local conditions.Most studies analyzed the relationship between technology transfer and technical efficiency in an isolated way, and they seldom considered of the influencing factors such as the heterogeneity of absorptive capacity, industry difference and environmental factors. In view of this, this paper analyzes the roles of technology transfer in improving the efficiency of industrial technology from the following aspects:(1) This paper explores the impacts of technology transfer on efficiency improvement in high-tech industry by using stochastic frontier production function, and examines the interaction between technology transfer and indigenous R&D and its effect on technical efficiency.(2) This paper uses data envelopment analysis to measure Malmquist productivity indices in high-tech industry, and explores the impacts of technology transfer on productivity growth by using first difference method. It also examines the interaction between technology imports and R&D investment and its effect on spatial difference of productivity growth.(3) This paper uses a directional distance function to measure environmental efficiency in China’s high-tech industry, and constructs a system framework to examine the influence factors of environmental efficiency in an open economy. Then, the slacks-based measurement model with undesirable output is applied to measure the environmental efficiency of provinces in China’s high-tech industry from2000to2011. Then, the impacts of technology transfer on environmental efficiency can be empirically examined by the system GMM method.(4) Case study is used to explore the impacts of technology transfer on efficiency improvement in high-tech industry from the enterprise level, so as to provide a systematic research on how to achieve effective technology transfer for high-tech enterprises.The results show that:(1) Foreign technology import and FDI positively and significantly affected technical efficiency, but domestic technology acquisition has no significant influence on technical efficiency. Moreover, technology imports have both substitute effect to indigenous R&D and indirect technology spillover effect to technical efficiency. However, FDI has complementary effect on indigenous R&D to improve technical efficiency. Finally, the results show that technical efficiency in high-tech industry varies substantially across different regions, and the eastern region has higher technical efficiency than the central and western regions. There is plenty of room for technical efficiency improvement in high-tech industry.(2) The contribution of foreign technology import to technical progress is weakening, yet the effect of domestic technology acquisition on efficiency improvement is on the increase. Moreover, foreign technology import has complementary effect on R&D investment especially in the east, and domestic technology acquisition has the same effect especially in the central and western regions. In contrast, FDI has a positive effect on technical efficiency, but it suppresses R&D investment and productivity growth especially in the east.(3) Environmental efficiency of high-tech industry presents a downward trend during the period2000-2011, with the eastern regions being lowest, followed by the western regions, the central regions highest. Foreign technology import, FDI and human capital positively and significantly affect environmental efficiency, but domestic technology acquisition and ownership have no significant influence on environmental efficiency.(4) It demonstrates the low value of the environmental efficiency of each province with a downward trend. Domestic technology acquisition positively and significantly affects environmental efficiency, but the effect of foreign technology import and FDI on environmental efficiency varies at different times. Both of them have significant positive spillover effect on environmental efficiency during its previous period, however, the spillover effect has diminished over time. Therefore the effect of the international technological transfer should not be overstated, and promoting domestic technology acquisition will be more helpful for efficiency improvement in high-tech industry.(5) Effective technology transfer requests that corresponding transfer context be constructed by the recipient, and more attention be paid to all staff involved in technology improvement to meet market requirements. The recipient also needs to partner with universities and scientific research institutions to improve technical level and absorptive capacity meanwhile increasing R&D investment.With the manufacturing sector of the high-tech industry transferring from the eastern region to the central and western regions, the development of high-tech industry in the eastern region will rely more on the research and development design and sales network of products, so decision-makers need to promote the high-tech enterprises with technical advantages to cooperate with multinational companies in research and development, and achieve "embedded innovation" in the process of introducing technology, and provide these enterprises with government procurement as well as research and development subsidies so as to encourage them to increase the investment in research and development, and highlight technical cooperation and thus enhance the dominance of local enterprises when attracting foreign investment. The central and western regions should introduce appropriate technology in combination with the local industrial base and the status of technological capabilities of enterprises in the process of undertaking the transfer of high-tech industry, and give full play to the late-development advantages by means of referring to foreign investment policies and production management experience of the eastern regions, and thus gradually accumulate technical capabilities as well as research and development capabilities. In the process of introducing cutting-edge technology for enterprises from universities and scientific research institutions, decision-makers should focus on improving the institutional environment for technology transfer and achievement transformation.更多还原