区域创新系统对FDI进入及溢出效应的影响研究

【作者】 刘康；

【导师】 吴晓波；

【作者基本信息】 浙江大学 ， 管理科学与工程， 2007， 硕士

【摘要】 FDI作为资本和技术等要素在全球范围内流动的重要载体，其对于发展中国家经济发展的重要意义已经被普遍认同。但是也有越来越多的人认为如果一个国家或地区的定位仅仅是在全球产业网络中充当制造和加工车间的话，FDI能够带来的技术溢出和对产业结构升级的贡献将是非常有限的。成本优势、市场规模、税收优惠等因素可能确实可以带来来自跨国公司的投资，但是却并不一定能带来东道国真正需要的技术和管理技能。要真正达到“以市场换技术”的战略目的，就必须重视区域创新对于FDI创新投入的影响，建设对高技术含量的外资来说具有吸引力的创新环境。本文站在区域创新系统的角度，研究区域创新环境和区域创新能力对于FDI资本投入和创新投入的吸引和影响，并分析FDI在区域系统中对内资企业生产效率以及创新绩效的溢出作用。选用从2000年到2005年间的《中国统计年鉴》、《中国科技统计年鉴》、《中国工业经济统计年鉴》中30个省市自治区的相关数据，本文利用因子分析、多元回归分析等相关统计方法进行研究，主要得出以下结论：首先，区域经济环境、区域创新水平和区域人力资源对于以跨国公司为主的外国直接投资及其创新投入具有显著的正向影响。其次，FDI资本投入作为一个整体对区域内内资企业的生产效率影响并不显著，其中来自港澳台的资本促进了内资企业生产效率的提高，但是来自西方国家的投资在短期内却对内资企业产生了“挤出效应”。最后，以跨国公司科技研发投入为主的FDI创新投入对内资企业的创新绩效产生了显著的正向影响。结合第二点结论以及已有的相关实证研究结果，本文认为西方国家“高技术含量”的直接投资虽然在短期内对内资企业生产效率有抑制作用，但却通过提高内资企业的技术能力和创新绩效在长期内产生了“溢出效应”。更多还原

【Abstract】 As one of the most important carrier for the capital and technology to flow within theworld, FDI is widely considered as a good way to improve the economy ofdeveloping countries. But more and more found that FDI can hardly bring anybenefits for the host country if it only plays the role of manufacturing and assemblingplant for the MNCs. The advantages of cost, market and tax can bring FDI to the hostcountry, but it’s not for sure if it can also bring the technology and manage skills thatthe host country really needs. To attain the goal of "Change the market for thetechnology", we must think enough of the relationship between regional innovationsystems and the innovation activities caused by MNCs, because only a good regionalinnovation circumstance can attract FDI with high degree of innovation.At the view of regional innovation system, we investigate effects of the regionalinnovation circumstance to the capital input and innovation input from FDI, and thespillover effects of FDI to the productivities and innovation performance of localenterprises.Based on the statistic data cross provinces from 2000 to 2005, we use factor analysis,regression method to study the subjects, and get some conclusion as below:First, the regional economic circumstance, regional innovation capacity and regionalhuman resource are all the key factors for the capital input and innovation input ofFDI.Second, as a whole, the capital input of FDI is not significantly positive related to theproductivity growth of local firms, and the FDI from other west countries is the mainreason for it. Because the capital input from Hong Kong, Macau and Taiwan canimprove the productivity of local firms, but the FDI from west countries is negativelyrelated to it at some extent, which means it causes the "squeeze out" effects to thelocal enterprises.At last, the innovation input of FDI is positively related to the innovation performanceof local firms. Combined with the above finding, we conclude that although theMNCs from west countries which are comparably more advanced in technology levelmay restrain the productivity growth of local firms in short terms, can improve thetechnology level of local firms and cause spillover effects in the long terms.更多还原