【作者】 杨亚平；

【导师】 胡军；

【作者基本信息】 暨南大学 ， 产业经济学， 2008， 博士

【摘要】 许多国家致力于引进外商直接投资(FDI),其中的一个强烈动机就是利用FDI技术溢出促进本土企业技术进步。FDI技术溢出特别是在行业内溢出的现象在国内外得到了广泛深入研究,随着生产环节在全球范围内片段化分布和跨国公司全球化采购的趋势演进,如何利用FDI通过产业关联发生的溢出效应和对FDI通过后向关联的技术溢出进行专门研究显得非常必要。在理论研究部分,本文以微观溢出主体为研究对象,通过引入博弈论分析方法和利用国际直接投资理论、企业知识理论、知识溢出理论等理论对通过后向关联的FDI技术溢出的溢出主体、溢出动力、溢出途径和效应、溢出过程以及影响因素进行了分析。溢出主体(外资企业与本土企业)具有策略性、有意识性、独立产权以及异质性,主体之间表现为短期和长期契约关系、竞争和合作关系、依赖和发展关系等。溢出主体建立后向关联的意愿为溢出发生提供了前提条件,溢出方和吸收方之间技术差距的存在促进了技术知识的流动,溢出方的技术帮助以及吸收方的主动学习推动了企业对外溢知识的获取、选择、吸收和内化,三方面的推动力实现了技术知识的外溢和技术溢出效应的发生。溢出方通过相关溢出途径,对吸收方的溢出效应表现为规模经济效应、技术联系效应和竞争效应。后向关联程度与溢出效应存在正向关系,溢出主体之间的长期契约相比短期契约、合作关系相比非合作关系更利于后向关联溢出。技术溢出的演化方向可能同时存在溢出效应大和溢出效应小的两种状态,本土企业的技术能力在技术溢出的演化方向上起关键作用。溢出方和吸收方的特征会影响溢出效应的大小。在理论分析的基础上,本文结合中国的现实情况,提出有关溢出效应存在性和正负向作用、溢出途径和效应以及影响因素的四个假说。在经验研究部分,利用面板数据计量分析方法和案例研究方法,通过对广东省工业行业面板数据的计量分析和中国汽车行业以及摩托罗拉中国公司与其供应商的案例研究验证了假说,并得到以下结论:第一,FDI通过后向关联对东道国本土企业存在正向的溢出效应。第二,FDI通过后向关联的溢出途径为需求关联、技术指导、人员培训、提出标准等途径,溢出效应表现为规模经济效应、技术联系效应和竞争效应。第三,外资企业的市场导向、来源地等特征影响后向关联溢出效应大小。具体说来,外资企业市场导向为国内市场导向时相比出口导向更利于技术溢出,来自港澳台的FDI比其他来源地的FDI更利于技术溢出,来自欧美的FDI相比日本FDI更利于技术溢出。第四,本土企业的企业性质、企业技术能力等特征影响后向关联溢出的效应大小。具体说来,本土企业为国有企业时不利于技术溢出发生,本土企业技术能力较高时更利于技术溢出。第五,本土企业技术能力的提升是促进关联溢出效应发生的重要因素。对外资企业本土化采购水平或国产化率的要求和限制并不能带来本土企业的技术进步。最后,针对论文结论提出相关政策建议。更多还原

【Abstract】 Many countries strive to attract foreign direct investment(FDI) and the strong incentive for this is the possible existence of FDI technology spillovers.In contrast to earlier literature,which focused on intra-industry spillovers from FDI,this study aims to investigate technology spillovers operating through backward linkages.In the theoretical part,this paper analyses the mechanism how technology spillovers take place based on five levels.Firstly,this paper thinks that spillover firms and absorption firms have some special characteristics and have different relations. Secondly,this paper considers that the existence of technological gap among firms, the motivation of both finns tend to establish backward linkages,and the tactical actions of both firms in the game will spur the spillover effects to take place.Thirdly, we conclude four main spillover channels through which knowledge diffuse from foreign firms to local firms and three main spillover effects relevant to these spillover channels.Fourthly,this study establishes a dynamic game model and a evolutionary game to analyse the process of spillover.Finally,this paper summarizes characteristics of foreign firms and local firms that will affect the spillover effects.Based on theoretical analysis and the current condition of China,this paper brings up four hypothesises about FDI technology spillovers through backward linkages.In the empirical part,this study tests for these hypothesies and have these conclusions based on industry-level panel data from Province Guangdong and case studies from China automobile industry and electronic enterprises.Firstly,we find positive productivity spillovers from FDI taking place through backward linkages. Secondly,the result indicate that spillovers occurring through such channels that include demand linkages,technology assistance,personnel training and providing standard,and spillover effects comprises of scale economy effects,technology linkage effects and competition effects.Thirdly,the datas also show that positive backward spillovers from domestic-market-oriented FDI and investment comes from HMT region(Hongkong,Macor and Taiwan) are more prominent than that from export-market-oriented FDI and investment comes from other regions.Fourthly,this study also finds that non-state-owned enterprises and firms with high technological capability could benefit much more from backward linkages.Fifthly,cases show that technological capability of enterprise is the key variable for the spillover effects through backward linkages.In the end,this paper presents the conclusions and proposals for Chinese government for reference.更多还原