【作者】 倪晓觎；

【导师】 庄宗明；

【作者基本信息】 厦门大学 ， 世界经济， 2009， 博士

【副题名】基于发展中国家的视角

【摘要】 20世纪80年代以来,越来越多的国际直接投资流向了发展中国家,对发展中国家的经济增长起到了重要的推动作用。随着外资的大规模流入,发展中国家吸引外资的目的已逐渐从最初的弥补资本与外汇储备不足转向通过利用外资来促进国内技术进步。因此,外商直接投资(FDI)的技术溢出效应被越来越多的国家所重视,FDI技术外溢成为发展中国家获取跨国公司先进技术的重要途径。跨国公司的显著特征之一是对技术的独占性,出于维护竞争优势的考虑,其向发展中国家所转移的往往都是一些非核心技术,甚至是即将被淘汰的技术,这就极大地制约了FDI在发展中国家的技术外溢效应及其动态发展。本文以发展中国家为研究视角,基于跨国公司技术转移的客观规律,从微观、行业、宏观三个层面较为深入且系统地分析了跨国公司FDI技术转移的影响因素。首先,将技术差距(微观层面)、行业市场结构(行业层面)、东道国外资股权政策(宏观层面)等因素纳入到对跨国公司FDI技术转移的理论分析之中,分别通过理论模型考察了这些因素影响跨国公司技术转移的内生作用机制及其复杂性。在综合国内外相关研究的基础上,采用案例研究、统计分析、比较研究等多种实证分析方法,验证了理论分析的适用性以及这些因素在促进跨国公司对发展中国家技术转移方面的重要意义。并根据世界经济的发展态势,探讨了这些因素的最新发展趋势及其对跨国公司技术转移的影响。在此基础上,以中国制造业为研究对象,详细地考察了我国内外资企业间技术差距、行业市场结构、外资股权政策等因素的发展态势,并通过构建面板数据的计量模型实证分析了技术差距、行业市场结构、外资股权政策等因素的变动对跨国公司对华技术转移的影响。结果表明,上述各因素在促进跨国公司对华技术转移方面有着显著的影响,并且其影响在不同行业之间存在着较为明显的差别。以此为基础,结合我国在新形势下外资政策的调整,针对提高跨国公司对华技术转移水平,从微观、行业、宏观三个层面提出了相关的政策建议,以期更好地通过利用外资带动国内技术进步,实现我国引进外资的核心目标。更多还原

【Abstract】 Since 1980s’, more and more foreign direct investments have flowed to developing countries, which has played an important role in economic growth of these countries. Along with mass inflow of foreign direct investment, the intention of attracting foreign direct investment of developing countries has changed from making up the shortage of domestic capital to promoting domestic technology progress. The spillover effects of foreign direct investment is an important channel for developing countries to acquire the advanced technology of Multinational Corporation (MNC), more and more developing countries have attached importance on spillover effects of FDI. However, MNC monopolize most of advanced technology and transfer less key technology to developing countries to keep their competitive advantage, which limit the dynamic spillover effects of FDI in developing countries.From point of developing countries and based on the law of technology transfer of MNC, the paper systematically analyzes factors which influence the technology transfer of MNC through FDI from three aspects: micro-aspect, industry-aspect, and macro-aspect. Firstly, we include the technology gap between domestic enterprises and foreign-invested enterprises (micro-aspect factor), the market structure of industry (industry-aspect factor) and the host country’s policy of foreign ownership (macro-aspect factor) into the frame of theoretic analysis of technology transfer of MNCs, and explore the mechanism of effects of these factors on technology transfer of MNC and its complexity. Secondly, based on existing related studies, we empirically test the applicability of theoretic analysis and show the importance of these factors on promote technology transfer of MNC to developing countries through case study, econometric analysis and comparative discussion. Furthermore, we discuss the new development trend of these factors and its influence on technology transfer of MNC.Finally, we take Chinese manufacturing as object of our study, particularly explore the development trend of technology gap between domestic enterprises and foreign-invested enterprises, the market structure of manufacturing industries and the policy of foreign ownership, and use panel data econometric models to empirically analyze the influences of these factors on technology transfer of MNC to China. Results of empirical analysis show that these factors have evident effects on MNCs’ technology transfer to China, and the effects are structurally distinct in different industries. Based on empirical results and the adjustment necessity of Chinese foreign investment policy in new period, we put forward some suggestions upon how to accelerate technology transfer of MNC to China in order to make better use of FDI to promote domestic technology progress.更多还原