【作者】 白洁；

【导师】 卫平；

【作者基本信息】 华中科技大学 ， 西方经济学， 2009， 博士

【摘要】 随着知识经济的到来，技术进步成为一国经济增长的决定性因素。技术水平的提升主要源于本国的技术创新以及利用各种技术扩散途径对外来知识进行学习、吸收与模仿。近年来，国外学者研究证实了反向技术溢出效应的存在，即对外直接投资作为国际技术扩散的重要渠道，能够对母国技术进步产生积极影响。事实上，对外直接投资不仅能够对母国产生技术扩散效应，而且能够提升母国的技术创新能力。UNCTAD在2005年《世界投资报告》中指出，在一项对30个国家152000家企业的跨国研究中发现，对外直接投资引致的研发活动对于提升以专利申请来衡量的母国国内创新水平具有积极的影响。我国正从以引进外资为主的阶段转向引进外资和对外投资并重的阶段。随着我国对外直接投资的快速增加，对外直接投资产生的经济效应已逐渐显现。作为发展中国家，我国“走出去”战略的重要目标在于促进国内技术进步和产业升级。目前，国内关于对外直接投资经济效应的研究往往集中在对就业、产业升级、贸易结构等方面，而关于对外直接投资与母国技术进步的研究甚少。因此，将技术创新、技术扩散与对外直接投资纳入一个分析框架，研究对外直接投资与母国技术进步的关系，对于我国转变投资增长方式，更好地发挥对外直接投资所产生的技术进步效应，最终促进我国经济增长，具有十分重要理论和现实意义。为此，本文在对国内外相关文献进行归类综述的基础上，运用新经济增长理论、技术进步理论和对外直接投资理论，构建对外直接投资与母国技术进步的理论框架，并运用中国的相关数据进行实证分析。本文首先就研究的目的、意义和研究的问题进行了阐述，界定了对外直接投资和技术进步等基本概念。在此基础上对技术进步与对外直接投资的相关理论进行了分类综述，重点介绍了近期的研究热点，即对外直接投资反向技术溢出效应的相关研究。本文第二章提出了一个对外直接投资与技术创新、技术扩散的理论分析框架。分别讨论了对外直接投资影响母国研发投入及技术创新效率的作用机制，以及对外直接投资产生的反向技术溢出效应的发生机理，为后文的实证研究打下理论基础。本文第三章考察了我国对外直接投资的历史和现状，首先回顾了我国对外直接投资的发展历程，并进行国际比较；在此基础上分析了对外直接投资的主体结构、区域分布和行业分布；最后对我国企业开展技术寻求型对外直接投资的实践进行分析。第四章在前文构建的理论分析框架的基础上，实证检验了对外直接投资是否对我国技术创新水平产生积极影响，即对外直接投资的技术创新效应是否存在。第五章实证检验了对外直接投资渠道溢出的国外研发资本是否能够促进我国全要素生产率增长，即对外直接投资的反向技术溢出效应是否存在。第六章，将人力资本和R&D存量作为吸收能力的决定因素，分析了我国技术吸收能力对对外直接投资技术进步效应的影响。第七章总结实证检验结论，并提出相关政策建议。通过以上研究，我们发现：(1)我国对外直接投资的技术创新效应并不是通过促使增加研发投入来实现的，而是通过提高研发资源的产出效率来实现的；(2)反向技术溢出效应显著存在，对外直接投资成为我国企业获取国际技术溢出的重要渠道；(3)国内研发资本存量对技术进步的影响主要体现在学习效应上，而不是创新效应；(4)人力资本存量和对外直接投资有效结合对外观设计授权量产生的正向作用要大于对发明专利授权量的作用；(5)将R&D的两面性纳入分析框架以后，可以发现两种国际技术扩散途径的作用机理不同。引进外资产生的技术溢出效应有赖于我国企业自身的技术水平，而对外直接投资产生的反向技术溢出效应受我国技术水平的制约较小，主要取决于东道国的技术资源和技术环境。本文选择了国内学者较少关注的对外直接投资的技术进步效应研究，而通过对外直接投资获取先进技术并最终提升我国自主创新能力正是我国实施“走出去”战略的重要意图，因此本文的研究具有理论价值和实践意义。本文构建了一个理论分析框架，阐释了对外直接投资对母国技术创新的作用机理及反向技术溢出效应的发生机理，从而弥补了理论研究的不足；从研发投入和技术创新产出能力两个方面实证检验了海外直接投资对我国技术创新能力的影响，并引入人力资本，分析了吸收能力对技术创新效应的影响；将R&D的两面性纳入分析框架，实证检验了“引进来”和“走出去”两种国际技术扩散渠道对我国全要素生产率增长的作用机理差异。目前关于对外直接投资与母国技术进步的研究还不成体系，且研究方法有待进一步探索。本文进行尝试性分析，以期推进我国对外直接投资领域的研究进展，当然，由于客观数据的缺乏，使得本文难以从产业和企业层面进一步分析，成为本文研究的一个缺憾。更多还原

【Abstract】 With the advent of knowledge-based economy, technological progress become the decisive factor for a country’s economic growth. The improvement of the technology level mainly comes from the domestic technology innovation and the usage of various kinds of technology diffusion channels so as to study, absorb and imitate to advanced knowledge. The latest research confirms that outward FDI can generate the reverse technology spillover effect. In fact, outward FDI is not only able to bring technology diffusion effect for home country, but also can influence the ability of technological innovation of the home country. The World Investment Report in 2005 by UNCTAD, pointed out that a cross-border study on 30 countries found that outward FDI in R & D activities lead to the upgrading of domestic innovation , measured by the level of patent application.China is now from the phase of attracting inward FDI mainly to the phase of stressing both inward FDI and outward FDI. With the rapid increase of outward FDI from China, the economic effect has been gradually emerging. As a developing country, the"going out" strategy aimed at the promotion of domestic technological progress and industrial upgrading, At present, the research on the economic effects of FDI-out often focused on employment, industrial upgrading, trade structure, but little about technological progress effect through overseas direct investment. So, to put outward FDI, technological innovation and technology diffusion into an analytical framework, this research on the relationship between outward FDI and the technological progress of home countries is of very important theoretical and practical significance. In this dissertation, the theoretical framework of technological progress effect is building up and empirical study of China is carried out.Firstly, this dissertation has explored the research background, purpose and problem and defined the concept of outward FDI and technology progress. Then it has surveyed the relevant research and introduced the recent theory development of technology diffusion especially, which is about the effect of reverse spillover. Chapter Two has proposed a theory analysis frame including outward FDI, technology innovation and technology diffusion. Then, Chapter three visited China’s foreign direct investment in history and its current situation. Following the above theory, the three chapters have carried out the empirical study for China. Through the above-mentioned study, we found that: (1) outward FDI has an active role in technological innovation of China by improving the efficiency of R&D resources to achieve the outputs instead of increasing R&D investment.(2) The effect of reverse technology spillovers exists significantly.(3)The effect of the R&D capital stock in domestic on domestic technological progress is mainly embodied in the learning effect, rather than innovation effect. (4) The integration effect of outward FDI and human capital stock is found to be positive on the design rather than patent. This result indicates that the level of human capital is limited, resulting in a limited absorptive capacity of the high-tech through learning and imitation. (5) Putting two faces of R&D into the analytical framework, we found that the two kinds of international technology diffusion are different in their role of improving technological level. The technology diffusion effect of FDI in China depends on the local skill level; reverse technology spillovers constraints mainly on the technical resources and technological environment abroad instead of the home country.This dissertation focused on technological progress effects through FDI out of China, which is less concerned about by domestic scholars. To enhance the capability of independent innovation in China is the main aim of "going out", this article thus is of important theoretical and practical value. This dissertation built on a theoretical analysis framework to explain the mechanism, which makes up for the lack of theoretical research; conducted an empirical test on the innovation effect of the R&D investment and technological innovation output capacity; put the two sides of R&D into the analytical framework and conducted empirical tests on the technology diffusion effect from the two different international technology diffusion channels. At present, the study about the technological progress effect through outward FDI is not mature, and research methods are to be explored further. This dissertation has attempted to give an analysis, while the lack of objective data makes it difficult to do so from the industry and the enterprise level in this article, which is to be extended later.更多还原