【作者】 邢斐；

【导师】 张建华；

【作者基本信息】 华中科技大学 ， 西方经济学， 2009， 博士

【摘要】 对于一个发展中国家而言，利用国际技术转移可以以较低的成本来获取技术进步。外商转移的先进技术既可能带来东道国直接的生产能力和生产效率的改进，也可能带来技术能力的提升，而后者则是实现一国快速工业化和可持续经济增长的关键。改革开放30年以来，我国的技术引进一直有两个重要渠道：一是从国外购买技术或技术设备；二是通过FDI引进国外技术。通过技术引进，我国获得了产业的快速发展和生产能力的迅速提高，但大规模的技术引进是否提高了我国本土企业的技术创新能力却存在争议。本文旨在将FDI与技术贸易两种技术引进渠道纳入统一框架中，以考察两种技术引进方式对我国技术能力的促进效果，并据此为我国今后的技术引进政策提出政策建议。首先，本文在累积创新框架下建立一个两阶段动态博弈模型，考察外商对FDI和技术许可这两种技术转移方式的选择，以及相应转移方式对我国企业自主研发的促进或抑制作用。理论模型的主要结论为，外商为了防止培养东道国本土企业成为其潜在竞争对手，会采取FDI方式转移手中的核心技术；只有在直接的技术转移所带来的利润足够大时，外商才愿意将核心技术以技术许可方式转移给东道国企业。理论分析还发现，外商采取不同的技术转移方式对东道国企业技术能力的影响不一样，从而间接影响到东道国企业的研发投入，文章据此提出了两点有待检验的理论假设。其次，本文就以上提出的理论假说进行实证检验，就不同技术转移方式对我国企业研发投入的影响进行计量分析。利用我国分行业的工业企业数据分别进行静态和动态面板模型的估计，以检验上述理论模型的分析结论，发现技术贸易对我国企业研发投入既产生直接的替代效应，也通过技术溢出提升企业技术创新能力而产生促进作用，而FDI各效应的影响均不显著。再次，为了保证结果的可信性，接着选择了具有典型意义的行业进行案例分析。对我国汽车行业的分析认为，中国汽车工业从1983年开始走上的20多年的合资合作之路，并没有使中国的合资汽车企业获得关键技术的自主研发能力。与汽车行业的合资模式不同，我国的发电设备制造业通过技术贸易的方式引进技术，促使我国发电设备制造业一举跨越了与国外30年的技术差距。文章的研究表明，我国通过技术贸易方式引进了先进技术并促进了自主创新能力的提升，而FDI的进入对我国技术创新并没有产生显著影响。据此，本文认为：我国仍需继续坚持引进和吸收国外先进技术的政策取向；调整技术引进方式，扩大外商所转移技术的溢出效应；国家要有选择的加强对重点行业技术创新的扶持力度。文章主要创新之处在于：第一，将外商以FDI和技术贸易的技术转移方式纳入一个统一的框架内，对外商技术转移对我国本土企业技术创新的影响进行系统地研究。第二，在理论模型构建中区分了核心与非核心技术，并在此基础上构造一个动态博弈模型提出了外商技术转移对东道国自主研发投入的影响机制。第三，本文在实证分析中关注的不是外商技术转移对我国本土企业产出或全要素生产率的影响，而是对本土企业技术能力影响，并结合理论和实证分析，推断出FDI和技术贸易分别对于我国技术创新能力的促进或抑制作用。更多还原

【Abstract】 As far as a developing country concerned, international technology transfer is the cheapest way to access technological progress. The advance technology transferred by MNEs can not only increase the manufacture ability of developing country, but also promote the technology innovation ability, and the late function is the key for developing country to realize industrialization and sustainable economic growth. Since reforming and opening-up for 30years, China has two important channels to introduce foreign technology: one is purchase technology, the other is introduce technology by FDI. Through the two channels, the manufacture ability of our country is increased rapidly, but whether or not promotes the technology innovation ability is still doubtable, and need be researched in this dissertation. This paper anlyses the impact of FDI and technology trade on innovation of Chinese enterprises in the same model, so as to provide the foundations of policy making.Firstly, this paper establishes a dynamic game model within the framework of cumulative innovation to explore the impact of foreign technology transfer on indigenous R&D. The main conclusions are: MNEs tend to select FDI pattern in order to inhibit the host country’s innovation ability; MNEs choose technology Licensing (include other styles of technology trade) only if the licensing fee is large enough. The game model also demonstrates that both FDI and Licensing has two effects: positive and negative.Secondly, the dissertation conducts an empirical study on how MNEs’ modes of technology transfer impact. Using the industrial panel data on China’s both large- and medium-sized enterprises during 1999-2004 to conduct system GMM estimation, this paper examines these effects. Our results show that technology purchased have both the direct substitute effect to reduce the R&D investment, and the indirect technology spillover effect to promote the indigenous R&D investment; the competition effect of FDI has significant promoting and prohibiting influence in the short term, but not in the long term; the spillover effect of FDI is not significant in either long term or short term.Thirdly, in order to get a solid policy recommendation, this paper select classical industries to conduct case study. Automobile industry of China has not accessed improvement of innovation ability by introducing FDI. On contrary, electrical equipment industry has stepped over technology gap for 30 years by technology purchase.This dissertation concludes that technologies we purchased are indeed advanced and our innovation ability has improved through technology imports, and FDI has no significant influences on our innovation activity. Based on this conclusion, this paper makes some policy recommendations: continue to introduce foreign technology; to introduce foreign core technology by trade as much as possible, otherwise we can raise the technology threshold of FDI; government should support innovation activity in some focus industry.The innovations of the dissertation are as follows: anlyses the impact of FDI and technology trade on innovation of Chinese enterprises in the same model; establish the game model which distinguishing the core techonology and ordinary technology; the dependent variable is not TFP but R&D investment, and this paper deduce the impact of foreign technology transfer on innovation ability of Chinese enterprises Combining the theoretical and empirical study together.更多还原