【作者】 唐玲；

【导师】 刘海云；

【作者基本信息】 华中科技大学 ， 西方经济学， 2010， 博士

【摘要】 随着经济全球化的发展和生产结构的变化,以中间产品进口为主要特征的国际外包获得了长足发展,已经成为了国际贸易新的增长点。中国作为发展中国家,一方面承接发达国家零部件、原材料等中间投入品的生产,这是以承接国为视角的外包；另一方面,中国企业又把某些低效率的生产环节委托给国外的厂商去完成,即从发包国视角定义的外包。本论文所研究的国际外包主要是指从发包国的角度出发,研究中国工业行业把缺乏比较优势的生产环节交给国外的主体去完成这一分工行为。生产率通常可以分为劳动生产率和全要素生产率。国际外包影响生产率的机制和途径是多方面的：通过低效率环节的外包使得比较优势效应得到发挥,导致效率提升；国际外包使得劳动技能重组,剩下的工人将变得更有效率；中间产品的进口是体现型国际技术扩散的一种主要传导渠道,进口带来的竞争有助于效率的提升；进口企业更有机会融入国际市场,可以学习国外企业先进的经营管理经验和谈判能力,通过“干中学”效应导致生产率提高；进口多样化的中间产品则可以通过品种增加效应提高效率。论文以国际外包的生产率效应为中心,首先从发包国的视角测算了1997-2006年中国34个工业行业参与国际外包的程度和变化特征,尤其是尝试性地测算了工业行业参与物质投入外包和服务外包的比例,并且按照不同的指标对国际外包率进行了行业分组计算。研究结果表明,在1997-2006年期间,总外包、物质投入外包和服务外包的比例都有不同程度的提高,但工业行业进行物质投入外包的比重明显大于服务投入外包,且表现出强烈的行业差异性。其次,论文通过建立面板计量模型考察了国际外包对劳动生产率的影响。本章有两个方面的原创性贡献：一方面,区分了物质投入外包和服务外包对中国工业行业劳动生产率影响的差异；另一方面,探讨行业性质是否会影响到国际外包对生产率的作用程度。结果显示：国际外包对我国工业行业劳动生产率产生正向促进作用,服务外包的劳动生产率效应显然大于物质投入外包对生产率的作用,且服务外包的生产率提升效应在高技术、大规模以及低开放度行业中表现更为强烈。第三,论文在超对数成本函数的基础上,建立了国际外包对高技能劳动力需求影响的计量模型,间接考察了国际外包的劳动生产率效应,也为前一章的实证研究进行了稳健性检验。实证结果表明,国际外包对我国工业行业高技能劳动力需求产生积极影响。相对于物质投入外包,服务外包对技能结构的提升作用更为明显,且在高技术和低开放度行业中这种作用更大。在高技能边际产品高于低技能边际产品的前提下,国际外包对高技能劳动力需求的积极影响则意味着外包对劳动生产率有促进作用。最后,本文探讨了国际外包对全要素生产率、技术效率和技术进步的影响。在采用基于DEA的Malmquist指数法对中国工业行业的全要素生产率及其分解指标进行测算的基础上,文章控制了研发投入和外资比例两个变量,运用面板模型定量分析了总外包、物质投入外包、服务外包对全要素生产率及其分解指标的影响,同时考察了国际外包生产率效应的行业异质性。研究结果发现,总外包、物质投入外包和服务外包对工业行业产生了正向的技术溢出效应,而且主要是通过技术进步渠道促进全要素生产率的提高,服务外包的技术溢出效应大于物质投入外包的溢出效果。行业分组回归结果表明,国际外包的技术溢出效应在技术水平、开放度和行业规模等行业分组指标下存在明显的差异。更多还原

【Abstract】 With the development of economic globalization and the changes of production structure, international outsourcing has gotten rapid development by taking importing of intermediate products as the main feature, and has become a new growth point of international trade. As a developing country, on the one hand, China undertakes some production of intermediate inputs such as parts and raw materials from developed countries, which is based on the perspective of the country to undertake outsourcing; On the other hand, Chinese enterprises entrust some inefficient production processes to foreign firms to complete, which is from the perspective of contracting states. International outsourcing in this dissertation mainly refers to the study of China’s industrial sectors take the the main production processes which lack of comparative advantages to be completed abroad from the perspective of contracting states.Productivity can often be divided into labor productivity and total factor productivity. There are much mechanisms and channels through which international outsourcing affects the productivity:Outsourcing of inefficient processes abroad can make the effect of comparative advantages to be played, and can obtain efficiency gains; outsourcing makes the restructuring of labor skills, remaining workers will become more efficient; importing of intermediate goods is the main transferring channel through which the embodied technology diffusion happens, the competition along with import can lead to technology innovation and efficiency promotion; import enterprises have more chances to integrate into the international markets, and learn the advanced management experience and negotiation abilities from foreign companies, so the effect of "learning by doing" can also lead to productivity gains; importing of diverse intermediate products can enhance efficiency through the effect of increasing variety of inputs.This dissertation focuses on the productivity effect of international outsourcing. First of all, from the perspective of contracting states, the dissertation estimates the the extent of participation in international outsourcing and change features of 34 industrial sectors during the period from 1997 to 2006. In particular, this dissertation tries to measure the material outsourcing and service outsourcing of industrial sectors, and calculates the ratio of international outsourcing by grouping in accordance to different indicators.The results show that,during the period, the ratio of total outsourcing, material outsourcing and service outsourcing have enhanced steadily, but the degree of material outsourcing is significantly higher than the proportion of service outsourcing, and shows strong industrial differences.Secondly, the dissertation builds econometric model to study the effect of international outsourcing on labor productivity. The chapter makes two original contributions:The first is the distinction of the effect made by the material outsourcing and service outsourcing on labor productivity of China’s industrial sectors. The second is the investigation that the nature of industrial sectors moderates the effect of international outsourcing on productivity.The results show that:International outsourcing of China’s industrial sectors produces a positive role in promoting labor productivity, labor productivity effect of service outsourcing is clearly greater than that of material outsourcing, and the labor productivity effect of service outsourcing in the industries of high-tech, large-scale and low degree of openness shows even stronger than that of others.Thirdly, based on the the ultra-right cost function, the dissertation establishes the econometric model to test the effect of outsourcing on high-skilled labor demand, which is an indirect way to test the labor productivity effect of international outsourcing, and this is also a robustness test for the previous chapter’s empirical analysis.The empirical results show that international outsourcing of China’s industrial sectors has a positive effect on the demand for high-skilled labor. As opposed to material outsourcing, service outsourcing has more evident effect on upgrading of the skills structure, and the effect in the industries of high-tech and low degree of openness is greater. Under the premise of that marginal product of high-skilled labor is larger than that of low-skilled labor, a positive effect of international outsourcing on industrial skilled-labor demand could indicate a positive effect on labor productivity of the industry.Finally, about the effects of international outsourcing on total factor productivity, technological progress and technical efficiency, this dissertation measures total factor productivity and its decomposition indicators of China’s industrial sectors through Malmquist index based on the method of DEA. And then, controlling the variables of R & D investment and FDI, the dissertation analyses the effects about the total outsourcing, material outsourcing, service outsourcing on and its decomposition indexes by using panal data model, as well as studying the industry heterogeneity about the productivity effect of international outsourcing. The results reveal that the total outsourcing, material outsourcing and service outsourcing have a positive technology spillover effect on industrial enterprises, but mainly through technical progress avenues to promote the total factor productivity, and technology spillover effect of service outsourcing is greater than that of material outsourcing. Industry group regression results show that, the technology spillover effect of international outsourcing has significant differences in different groups according to technical level, the degree of openness and scale indicators.更多还原