【作者】 杨晶晶；

【导师】 赖明勇； 魏颖琦；

【作者基本信息】 湖南大学 ， 应用经济学， 2010， 博士

【摘要】 在经济全球化进程中,由国际贸易与FDI导致的技术扩散极大地促进了新技术的交流与创新,从而推动了各国经济的发展。本文研究了开放经济条件下技术创新的影响因素,探讨了不同层面国际贸易、外商直接投资对我国技术创新的影响途径和作用。首先,本文将我国企业技术创新的影响因素区分为企业组织结构、企业基本特征、企业人力资源状况、企业技术环境、企业国际联系、企业面临政府环境、企业市场环境、企业金融环境等方面,建立我国技术创新影响因素的二元选择模型,并采用北京、天津、上海、广州、成都五个城市电子设备、电子元件、交通设备及零部件等5类制造业和广告与营销、信息技术服务等5类服务业共1548家企业的调查数据,实证研究了我国企业技术创新的影响因素,考察了FDI、国际贸易和技术许可三种国际技术转移方式对于企业技术创新的影响作用。实证结果表明：企业的研发人数和政府对企业的研发支持显著地促进技术创新；中国企业成立时间、研发投入、决策者教育程度、政府研发支持、进口能显著地推动企业创新活动的发生；私有企业对技术创新产生了较大的贡献,与相对发达地区的国有企业相比,相对落后地区的国有企业对技术创新有更大的影响力；关于国际转移方式对技术创新的影响,外资股份占多数的外资企业对技术创新产生了负向的作用,而企业经营年限、培训机会和人力资本水平对技术创新也具有不同程度的促进作用。其次,本文进一步探讨了企业出口行为与企业生产率之间的关系,考察“出口中学”效应的存在。采用中国一千多家代表性企业的调查数据,从形式更为灵活的超越对数生产函数出发,纳入出口状态变量,建立实证模型。结果表明出口企业的生产率相对非出口企业高出20%至30%,这一生产率优势能够较为稳健地归结于“出口中学”效应,也就是说企业在参与出口的过程中通过“出口中学”效应促进了企业生产率的提高。这为“出口中学”理论假说提供了来自中国的实证支持,更为识别出口导向型发展战略对我国经济增长的贡献提供了来自微观视角的证据。再次,本文从产业的视角探讨了外商直接投资的技术溢出机制和途径,区分为FDI的横向溢出效应和后向溢出效应,并分别采用行业的就业人员和产出数据来度量这两个不同层面的技术溢出,采用我国行业层面的数据实证考察FDI的技术溢出机制和途径。研究表明外国直接投资在我国产业层面上没有产生横向溢出效应,但是有正的后向链接效应；在劳动密集型行业既存在负的竞争效应,又存在因为劳动力从外资企业回流到国内同行企业所带来的正向溢出效应。FDI技术溢出效应的具体表现和程度依赖于溢出途径和产业自身特征。最后,本文讨论了知识产权保护影响外商直接投资与技术创新的作用机制,建立实证模型,利用我国1995-2007年省际平衡面板数据分析知识产权保护、FDI对于技术创新的影响作用。实证发现我国技术创新能力主要来源于研发投入；知识产权保护水平的提高并不能显著促进我国技术创新能力的提升,这些结论不因技术创新能力指标选取的不同而改变。但这种作用存在区域差异性,在环渤海和海峡两岸省份存在一定促进作用,而中部、西部、北部湾知识产权保护水平的提高在一定程度上抑制了技术创新能力。国际贸易和FDI能显著促进国内技术创新能力的提升,但FDI对我国技术创新的促进作用受到知识产权保护水平的影响,强化知识产权保护水平能增进FDI的技术创新效应。更多还原

【Abstract】 In the process of economic globalization, technology diffusion leading by international trade and FDI has greatly facilitated the exchange of new technologies and innovation, so as to promote the economic development of countries. This paper studied the impact factors of technological innovation under the conditions of open economy; explored functions and impacts brought by international trade, foreign direct investment on China’s technology innovation in different levels.Firstly, the influence which have impact on China’s technological innovation, is divided into eight aspects as follows:enterprise organizational structure, basic features of business, corporate human resource situation, enterprise technology environment, business international connections, enterprises facing the government environment, business market environment, and corporate finance environment. It established binary choice model with factors influencing China’s technology innovation. It collected the data separately from 1548 enterprises in Beijing, Tianjing, Shanghai, Guangzhou and Chengdu in 5 classes manufacturing enterprises (electronic aid, electronic component, transportation equipment, spare part and so on) and also another 5 classes services companies (advertisement, marketing, information technology service and so on). The paper empirical studied factors which have impact on technological innovation in China, examined impact from FDI, international trade and technology licensing those three types of international technology transfer on enterprise technology innovation. The empirical results show that:the number of corporate R&D and government support for business R&D has contributed significantly to technological innovation; length of Chinese enterprises establishment, R&D investment, decision-makers’level of education, government R&D support, imports can significantly drive business innovation activities occurring; private enterprises technological innovation had a great contribution, compare to state-owned enterprises from relatively developed areas, state-owned enterprises from less developed areas have a more contribution; regarding the impact of international transfer on technological innovation, foreign majority of foreign ownership has a negative role to technology innovation. The length of business establishment, training opportunities and human capital level to technological innovation has varying degrees of encouraging role. Secondly, this paper discussed the relationship between business export behavior and business productivity, examined the existence of learning-by-exporting. By adopting survey data from more than 1000 typical companies in China, constructed a flexible translog production function using export of state variables, examined the relationship between export behavior and corporate productivity. The result showed that the productivity of export enterprises is 20%-30% higher than non-exporting enterprises. This productivity advantage is the result of "learning-by-export", which means enterprises participate in the export have promoted productivity. This theory hypothesis provided empirical evidence from China, further recognized export-oriented development strategies on the contribution of China’s economic growth from the micro perspective.Thirdly, this paper discussed mechanisms and channels of technology spillovers to foreign direct investment from the industry perspective, was divided into FDI horizontal spillovers and backward spillover effects. It adopts industry employed persons and output data separately to measure these two different levels of technology spillover. By using data from industry level, it empirical studied mechanisms and channels of FDI technology spillover. Studies have shown that foreign direct investment in China’s industry did not produce the level of horizontal spillover effects, but there are positive effects of backward links; in labor-intensive industry, there is a negative competitive effect, but also positive spillover effects as the labor force have returned to their domestic counterparts from foreign enterprises. The specific performance of FDI technology spillover mainly depends on the overflow channels and industry by their own characteristics.Finally, this paper discussed the affect mechanism of intellectual property protection putting on FDI and technological innovation and established an empirical model. By using balancing panel data from 1995 to 2007 in provinces, it studied how intellectual property protection and FDI affect technological innovation. The result showed that China’s technological innovation capability mainly comes from the R&D capital investment. Raising the level of intellectual property protection does not significantly promote the upgrading of China’s technology innovation capability. These conclusions won’t change even though as different selecting indicators of technical innovation capability. However, this affects has regional differences, about provinces around Bohai Sea and the Straits there is a certain promoting affect, while in the central, western and northern Gulf area, raising the level of intellectual property right protection inhibited the ability of technological innovation to some extend. International trade and FDI could significantly promote the upgrading of domestic technological innovation capability, but FDI on China’s role in promoting technological innovation was influenced by the level of intellectual property rights protection, strengthen IPR protection levels could promote FDI effects to technological innovation.更多还原