中国汽车产业中FDI技术溢出效应的测度研究

发布时间：2018-10-22 06:28

【摘要】：改革开放以来，中国汽车产业长期处于高速发展态势，在产业规模扩大的同时，其技术水平也得到不断提高。当前，中国汽车产业的开放程度可以被视为是最为成熟的行业，尤其是外资的进入对汽车产业技术进步产生了重大影响，这也决定了中国汽车产业内部存在内资和外资两种不同属性资本的竞争，这两种资本在运行过程中相互影响，彼此作用。对于外资来讲，因为追逐最大利润的本性，决定了它必须通过封锁核心技术，防止技术扩散，通过保持与内资企业之间的技术差距，以期达到挤压内资、抢占市场的目的，以便攫取高额的垄断利润。对于汽车产业来讲，抓住外资进入的机遇来进一步求得发展，提升企业技术水平，这是长期以来该行业关注的焦点。因此，在当前条件下，讨论中国汽车产业外资发生技术溢出效应，并测度这种效应进行测度，特别是通过实证方法考察技术溢出的影响因素，为汽车产业充分利用外资带来的技术机遇具有十分重要的意义。本文共由7章构成，总体思路为：首先，追踪国内外研究外资技术溢出效应的文献，并对国内研究汽车产业技术溢出效应的成果进行系统分析，为本文奠定理论基础；其次，从国际、国内角度出发，对外资的流动和布局加以系统分析，并对中国汽车产业的外资发展进行深入研究，将汽车产业的外资与汽车产业的技术进步加以联系；再次，研究测度外资技术溢出效应的理论模型与经验模型，并以中国汽车产业数据加以验证，在此基础上分析影响汽车产业外资发生技术溢出效应的主要因素；随后针对这些因素进行专题研究，深入剖析对汽车产业外资发生技术溢出效应的影响程度，并提出对策与建议。本文的研究方法，主要分为两类。第一类是传统的文献研究法；第二类方法是现代实证研究法。在运用这两类方法的同时，还适时插入比较研究方法。本文的创新点主要在以下四个方面：（1）.建立了较为完整的分析框架。在系统分析国内外有关FDI技术外溢效应最新研究成果基础上，对汽车产业的外资技术溢出的测度建立了比较完善的分析框架，并在测度基础上加以分解，最终分离出本土汽车产业企业的技术吸收能力、汽车产业政策等两大因素作为影响外资技术溢出的主要因素，然后分别采用实证方法研究其影响程度。采用这种研究思路对汽车产业外资技术溢出开展比较系统的研究，在国内相关研究领域比较前沿。（2）.构造了一套新的测度方法。在相关研究中，目前主要使用经济产出作为被解释变量来测度外资的技术溢出效应，部分学者使用内资企业的生产率来实现测度目标。本文除了采用汽车产业的经济产出作为解释变量以外，还建立以专利授权成果为被解释对象的记录模型，测度影响科技产出的主要因素。将科技产出进入计量模型，，相关研究成果较少。因此，在建立测度汽车产业技术外溢的方法上，有一定创新。（3）.建立了政策量化分析模型。在以往研究中，一般分析政策采用简单综述或单变量分析。本文另辟蹊径，通过建立量化模型并采用复合变量对政策实施分析，定量研究汽车产业的政策变化对外资技术溢出的影响程度，这在该领域的研究中存在一定程度的创新。（4）.给出了较为有意义的政策建议。在定量研究基础上，提出中国汽车产业的外资政策需要重新审视，尤其要注重不同地区政策的差异性，而不是对全国所有地区汽车产业实施统一的外资政策。其主要依据就是不同地区汽车行业的外资对内资企业技术影响具有差异性。本文的主要不足之处，表在在两个方面：一是因外资技术溢出的基础理论比较缺乏，目前国内外并未就该问题形成主流的理论解释，而是通过实证研究得到相应认识，这样就导致了并不能对外资的技术溢出产生一致的解释。因此，本文的研究，主要以构建经验模型，采用实证研究来解释汽车产业的外资技术溢出及其影响因素，并没有专门就该领域外资技术溢出的理论作讨论。二是由于外资在中国大规模存在的时间较短，从改革开放到现在，仅仅经历了30多年时间，能够直接获取汽车产业的数据难度较大。所以，即使经验模型的构建比较合理，因汽车产业的数据质量将会影响检验结果的科学性。本文得到的主要结论，有四个方面：第一，汽车产业外商直接投资功能的演化。改革开放以来，因外商直接投资的引进，尤其是汽车产业领域在外商直接投资的带动下，无论是资本规模、汽车产量，还是汽车产业的技术进步均取得长足进步。这种进步，部分直接来自外商直接投资的贡献。比如，80年代外商直接投资进入的主要功能在于缓解该产业资金不足的困难，这时的外商直接投资主要扮演发挥“资金”的功能；进入90年代后，外商直接投资除了发挥资金功能以外，还承担着促进国内汽车产业技术进步的功能。实际上，这时汽车产业的外商直接投资主要发挥“资金”功能和“技术”功能，双重功能比较突出。后来，尤其是到2000年以后，随着中国汽车产业发展实力的壮大，对外商直接投资的资金功能依赖逐渐减弱，主要是借助其先进技术来发展汽车产业。因此，这时的外商直接投资主要扮演“技术”补充角色。在技术获取方面，除了汽车跨国公司直接转让技术进步其子公司以外，还通过发生技术外溢效应来促进本土企业技术进步，推动汽车产业的快速发展。第二，汽车产业的外商直接投资确实对本土企业发生了技术溢出效应。得出这个结论的主要证据在于：无论是采用生产率模型，还是产出模型，均能证明外商直接投资与本土企业的技术进步之间保持正相关关系，而且这种关系还十分显著。此外，汽车产业的外商直接投资所发生的技术溢出效应具有阶段性特征，主要表现为2000年以前的技术溢出效应程度较高，而这之后的10余年期间，技术溢出效应有减弱的趋势。第三，采用分阶段检验、科研经费投入等解释变量的实证结果表明，影响汽车行业外商直接投资发生技术溢出效应的影响因素主要有本土企业的技术吸收能力和外贸政策两类。在单独研究这两类政策的影响后发现，本土企业对外资技术的吸收能力越强，则外商直接投资发生技术溢出效应的程度就越高，且显著度就越明显。而汽车行业的外贸政策开放度越大，则外商直接投资发生技术溢出效应的程度也越大，效果越显著。第四，到目前为止，纵观国内外关于外商直接投资发生技术溢出效应的研究成果，主要是建立在经验研究基础之上，而并没有形成主流理论对其加以解释。因此，如何建立解释外商直接投资发生技术溢出效应的理论，应成为该领域以后研究的主要方向。
[Abstract]:Since the reform and opening-up, China's automobile industry has been at a high speed for a long time. At the same time the industrial scale is expanded, its technical level has been continuously improved. At present, the degree of openness of China's automobile industry can be regarded as the most mature industry, especially the entry of foreign capital has great influence on the technological progress of automobile industry, which also determines the competition between domestic capital and foreign capital in China's automobile industry. These two kinds of capital influence each other during operation, and act on each other. For foreign investment, because of the nature of the pursuit of the maximum profit, it is determined that it must block the core technology, prevent the diffusion of technology, maintain the technical gap between the domestic and foreign enterprises, with a view to achieving the purpose of squeezing internal capital and seizing the market, so as to gain high monopoly profits. For the automobile industry, seize the opportunity of foreign capital to gain further development and improve the technology level of the enterprise, which is the focus of long-term concern of the industry. Therefore, under the current condition, the technology spillover effect of foreign capital in China's automobile industry is discussed, and the measure of this effect is measured, especially through the empirical method to investigate the influence factors of technology spillover, which is of great significance for the technology opportunity brought by the full utilization of foreign capital in the automobile industry. This paper is composed of 7 chapters. The general idea is: firstly, to track the literature on the spillover effect of foreign investment technology at home and abroad, analyze the achievements of domestic research on the spillover effect of automobile industry technology, lay the theoretical foundation for this paper; secondly, from the international and national perspectives. Based on systematic analysis of the flow and layout of foreign capital, the paper makes an in-depth study on the foreign capital development in China's automobile industry, links the foreign capital of the automobile industry with the technological progress of the automobile industry, and studies the theoretical model and experience to measure the spillover effect of foreign technology. Based on the verification of China's automobile industry data, the paper analyzes the main factors that influence the spillover effect of foreign investment in automobile industry, and then makes a special study on these factors, and deeply analyzes the influence on the spillover effect of foreign investment in automobile industry. Degree, and put forward the countermeasures Recommendation. The methods of the study, main The first kind is the traditional literature research method, and the second kind of method is modern. The empirical research method is to insert the ratio in time while applying these two methods. The innovative points in this paper are mainly in the following areas: Four aspects: (1). Established more On the basis of systematic analysis of the latest research achievements of FDI technology spillover effect at home and abroad, a comparatively perfect analysis framework is established for the measure of foreign investment technology spillover in the automobile industry and decomposed on the basis of measurement, and the local auto industry enterprise is finally separated. The two factors, such as technical absorptive capacity and automobile industry policy, are the main factors influencing the spillover of foreign investment technology, and then the empirical formula is adopted respectively. The influence degree of foreign capital technology spillover in automobile industry was studied by this study. field of research compare the leading edge. (2). Construct A set of new measure methods. In the related research, the main use of economic output as the explanatory variable to measure the technology spillover effect of foreign investment, some scholars use the production of domestic enterprises In addition to using the economic output of the automobile industry as the explanatory variable, the paper also establishes a record model of the object to be interpreted based on the patent authorization results, and measures the influence section. The main factor of technical output is to enter the scientific and technological output into the measurement model. There are few related research achievements. Therefore, in the establishment of measures to measure the spillover of automobile industry technology, On the law, there's Be sure to innovate. (3). Establish Policy quantification analysis model. In previous studies, the general analysis policy is simple A review or univariate analysis is presented in this paper. By establishing a quantitative model and using composite variables to analyze the policy, quantitative research on the impact of the policy changes on the spillover of foreign technology spillover has been studied in this field. It's a course. The innovation of degree. (4). It gives more On the basis of quantitative research, it is necessary to re-examine the foreign policy of China's automobile industry, especially to focus on the difference of policy in different regions, not to the automobile industry in all regions of the country. The main basis is the foreign investment in the automobile industry in different regions. The main deficiency of this paper is that in two aspects: one is the lack of basic theory because of the spillover of foreign technology, but not the theoretical explanation of the mainstream of the problem at home and abroad, but on the other hand. Through empirical research, we get the corresponding understanding, which leads to the lack of foreign investment. Therefore, the research of this paper mainly uses empirical research to explain the spillover of foreign technology spillover and its influencing factors in automobile industry. The theory of technology spillover has been discussed. Second, due to the relatively short time of foreign investment in China, it has only been through 30 years since the reform and opening-up to now, which can be acquired directly The data difficulty of the automobile industry is large. Therefore, even if the construction of the empirical model is reasonable, the data quality of the automobile industry will It will affect the scientific nature of the inspection results. The main conclusions are that there are four aspects: first, steam The evolution of foreign direct investment function in car industry. Since the reform and opening up, since the introduction of foreign direct investment, especially in the field of automobile industry, it has been driven by foreign direct investment, whether capital scale, automobile output, or automobile. The technological progress of the industry has made great progress. For example, the main function of foreign direct investment in the 1980s is to alleviate the difficulty of insufficient funds in the industry. at this moment Direct investment plays an important role in "fund". After entering the 1990s, foreign direct investment has been promoted in addition to the function of fund. The function of the technological progress of domestic automobile industry. In fact, at this time, automobile industry foreign businessmen direct investment Mainly use the "fund" function and "" Technology "function and dual function are prominent. Later, especially after 2000, with the growth of China's automobile industry development strength, the financial function dependence of foreign enterprises' direct investment decreases gradually, mainly Development of the automotive industry with its advanced technology. here, at this time, foreign direct investment In the aspect of technology acquisition, in addition to the direct transfer of technology of automobile transnational corporations to its subsidiaries, the technology spillover effect has been adopted to promote local enterprise technology Progress and the rapid development of the automobile industry. The second, the foreign direct investment of the automobile industry is indeed The main evidence of this conclusion lies in that both the productivity model and the output model can prove the positive correlation between the foreign direct investment and the technological progress of the local enterprises. In addition, the technical spillover effect of foreign direct investment in the automobile industry has the characteristics of stage, which mainly shows that the technology spillover effect before 2000 is higher than that of the last ten years. Third, the empirical results show that the influence factors that affect the technology spillover effect of foreign direct investment in auto industry are mainly domestic enterprises. There are two types of technical absorptive capacity and foreign trade policy. After studying the impact of these two types of policies, it is found that the stronger the absorptive capacity of domestic enterprises to foreign investment technology, the technology spillover effect of foreign direct investment occurs. The higher the degree of foreign trade policy, the greater the openness of foreign trade policies in the automobile industry, the more foreign direct investment occurs The greater the effect, the more remarkable the effect. Fourth, to date, the research results on the spillover effects of foreign direct investment have been reviewed, mainly based on empirical research, and There is no mainstream theory to explain it. Therefore, how to establish the theory to explain the spillover effect of foreign direct investment should
【学位授予单位】：北京理工大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：F426.471;F832.6

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