【作者】 徐侠；

【导师】 陈圻；

【作者基本信息】 南京航空航天大学 ， 管理科学与工程， 2007， 博士

【摘要】 外商直接投资在高技术产业增长中的重要作用已经为政府和学者们普遍认可,但是外资的利用有其两面性:FDI对内资高技术企业是否产生了技术外溢效应,是否促进了内资企业自主创新能力的提高,目前对这个问题的研究结论还不明确,对FDI技术溢出与高技术产业自主创新能力提升之间的传导机制和影响路径的认识和研究还不够具体和深入。因此探讨外商直接投资对自主创新的促进作用,并对其溢出途径和影响机制进行实证研究,必将对于分析和完善当前自主创新和引进外资的政策,保证本土高技术企业研究与发展能力的持续提高,推动本土企业技术获取从技术引进阶段向自主创新阶段转化,有重要的理论和实践意义。本文首先通过技术创新和自主创新内涵的辨析,指出自主创新是技术创新的重要组成部分和高级发展阶段,并利用专利申请量和R&D投入两个指标对高技术产业自主创新能力的发展状况进行了纵向的时间序列分析和体制间的横向比较;其次,使用协整与格兰杰因果分析模型,动态考察了专利申请量、R&D投入与外资进入程度之间的关系,结果显示专利申请量和R&D支出、R&D支出与外资比重之间存在格兰杰因果关系;第三,通过对台湾微电子产业发展的案例分析推导出了FDI影响自主创新的理论框架,并利用高技术产业13个行业1995-2004年的面板数据进行了实证研究,结果显示:(1)外资企业研发活动的示范效应也是影响内资企业自主创新的重要因素;(2)FDI通过竞争效应和示范效应提升了内资企业研发人员的待遇和创新效率,进而提升内资企业的自主创新能力;(3)外资企业研发活动对其他所有制企业的溢出影响要比对国有企业更强。最后,针对高技术产业自主创新的障碍因素分析,提出了促进FDI技术溢出,提升自主创新能力的五级评定体系,进一步完善了高技术产业的引资政策,促进了高技术产业发展的精细化管理。本文的主要创新有:(1)进一步对自主创新的内涵进行了全面深入的理解,认为自主创新不能仅仅理解为依靠自身的能力进行研发才叫自主创新,还包括主动向科研院所大学甚至其他企业(包括国外企业)主动寻求所需技术并通过购买、合作、委托等合法行为获得全部知识产权的技术活动。(2)对FDI与内资企业自主创新的关系研究使用的是优于简单的回归分析方法---格兰杰因果检验方法,这种方法克服了变量之间的“伪回归现象”,并且从专利申请量和R&D支出两个角度得到了FDI与自主创新之间的可信度极高的量化关系;(3)引入了外资企业R&D支出和人均劳务费用指标,并利用面板数据计量分析了这两个指标在FDI的影响机制中的重要作用,揭示了FDI技术溢出与其影响因素之间的传导机制和影响路径;(4)提出了促进FDI溢出,鼓励R&D投入的五级评定体系,这是提升高技术产业自主创新能力、完善引资政策的一揽子解决方案。更多还原

【Abstract】 The importance of FDI to high-tech industry increment has been widely recognized by governments and scholars. However, foreign investment has some positive and negative aspects, which includes whether FDI generates technology spillover effect to domestic-funded and high-tech enterprises, whether FDI can improve the independent R&D ability of domestic enterprise. All conclusions to these problems are not yet very clear so far; especially the conduct mechanism and influence path between FDI technology spillover mechanism and relevant factors has not been reorganized and researched concretely and thoroughly. Therefore, the empirical research to the improvement function, spillover effect and influence mechanism of FDI to independent R&D ability has important theoretical and practical significance, which helps to analyze and constitute the current policy of independent R&D and foreign investment import, ensure the continuous improvement of R&D ability of domestic enterprise, contribute to the conversion of domestic enterprise from the technology-importing phase to the independent innovation phase. At first, this paper points out that independent innovation is the main content and advanced developed phase of technology innovation through differentiating and analyzing the meaning of technology innovation and independent innovation. Meantime, it also introduces the vertical time sequence analysis and horizontal system comparisons and evaluations of high-tech industry’s independent innovation ability based on two factors such as patent application and R&D expenditure.Secondly, this paper also presents the use of econometrics methods, which include some time sequence methods such as Granger Test of Causality, and investigates the patent application dynamically. Then the conclusion is reached, which indicates there has Granger relationship between the patent application, R&D expenditure and foreign investment.Thirdly, this paper brings forward the theoretical framework of how FDI influences the independent innovation through the analysis of Tan wan micro-electronics industry case. At last, is also conducts the empirical research based on panel data of high-tech industry from 1995 to 2004.This paper get lots of valuable result: Not only the entrance degree of foreign investment but demonstration effect of foreign enterprise’s R&D is the main factor that influence independent R&D ability of domestic enterprise. FDI promotes the treatment and innovation efficiency of R&D personnel in domestic-funded enterprise through competition effect and demonstration effect, and promotes the independent innovation ability of domestic-funded enterprise. Although so is the fact, the effect does not surpass the process of independent effort. The influence of foreign enterprise R&D to other-owned enterprise exceeds domestic enterprises, because there are kinds of possession system in domestic enterprises, and there exists the difference between them in the motivation and efficiency of technology innovation. Non state-owned enterprises have higher technological efficiency compared with state-owned enterprises.Finally, aiming at the analysis of obstacle factor in independent innovation of high-tech industry, this paper also suggests the five-level evaluation system of high-tech enterprise which helps to promote FDI technology spillover, enhance the independent innovation ability, improve the investment-attracting policy of high-tech industry, and achieve comprehensive and systematic management of high-tech industry.Main creative points in this paper lie as following:(1) It enhances the comprehensive comprehension to the meaning of independent innovation, which does not indicate conduct R&D activities only by own efforts, and should include the all technological activities of actively seeking required technology from academy, university and other enterprises( including foreign enterprises ) and acquiring the knowledge property right through purchase, cooperation, delegation and other legal activities.(2) Granger Test of Causality, which is better than regression analyze,is used in the study of relations between the FDI and the independent innovation of domestic-funded enterprise, which overcomes the pseudo- regression phenomena of the variables, and draws the conclusion that there exists the quantitative relationship with very higher reliability between FDI and independent innovation based on the analysis of the patent application and R&D expenditure.(3) It imports two factors including the foreign-funded enterprise R&D expenditure and personnel average labor expense, analyzes the two factors’importance to FDI-importing mechanism, investigates the conduction mechanism and influence path between FDI technology spillover and its influencing factor. Not the degree of importing foreign investment but R&D expenditure of foreign investment is the important factor which influences the independent innovation ability of high-tech industry.(4) It brings forward the five-level recognition system which helps to promote FDI technology spillover, enhance the independent innovation ability, and is a total solution for enhancing the abilities of high-tech industry’s independent innovation and improving the policy of importing investment.更多还原