FDI对中国中低技术产业的技术溢出效应研究

发布时间：2018-07-20 10:17

【摘要】：中低技术产业是传统产业的主要代表,在国民经济中占据着重要的基础地位。同时,中低技术产业处于产业生命周期的成熟阶段,技术变迁以渐进创新为主导。在这一过程中,后发企业将追赶和超越先进技术作为主要目标,而获取外商直接投资(FDI)的技术溢出正是其中的重要一环。对中低技术产业的FDI技术溢出进行研究,一方面可以检验招商引资战略对于中国经济发展的作用,另一方面可以为传统产业的技术升级提供有益的思路。在理论部分,本文从中低技术产业的基本特征出发,结合中国的出口导向型战略,建立了基于示范-模仿、竞争以及出口的三渠道FDI技术溢出模型。实证研究部分,本文首先检验FDI对于中低技术产业的综合技术溢出效应。遵循由果溯因的分析逻辑,本文接着将研究重心转向影响FDI技术溢出的具体因素。我们以结构化的分析框架为基础,对具体的影响因素划分为技术供给、技术需求和产业环境三个维度。同时,我们将理论模型中关于FDI技术溢出的三种渠道归结为竞争和集聚两种类型,并通过双机制检验模型对影响FDI技术溢出的三维因素进行具体分析。最后,我们从这些影响因素出发进行逆向推演,并与初始的逻辑分析结论互为补充,从而形成关于中低技术产业FDI技术溢出的完整机理。本文的研究建立了中低技术产业FDI技术溢出的基本形成机制：首先,FDI的竞争威胁是内资企业内生技术进步的主要动力,形成了正向的竞争型技术溢出。其次,来华FDI属于要素获取型,其主要目的在于攫取内资企业具有比较优势的资源禀赋,其中又以熟练的劳动力资源占主导,从而导致了负向的集聚型技术溢出。最后,出口导向型的发展战略减弱了外资对于国内市场的挤出效应,同时FDI帮助内资企业开拓了国际市场,形成了基于出口渠道的正向集聚型技术溢出,并进一步促进了外向型战略的成功实施。通过对FDI技术溢出的影响因素进行研究,我们发现外资的技术水平和市场参与度、内外资企业的技术差距以及内资企业不同层次的技术吸收能力是影响中国中低技术产业FDI技术溢出的主要因素,同时产业的发展机会、要素密集度以及外向型程度通过与上述因素的叠加效应进一步对技术溢出产生影响。根据我们对FDI技术溢出效应及其影响因素的研究结论,本文提出,政府可以通过坚持招商引资和外向型战略、提高外资的进入门槛、优化引进外资的产业结构以及鼓励内外资企业不断提高生产效率和技术投入等方法来促进中低技术产业的技术溢出,从而不断提升传统产业的渐进创新能力。
[Abstract]:Middle-and-low-tech industry is the main representative of traditional industry and occupies an important basic position in the national economy. At the same time, the low-and-medium-tech industry is in the mature stage of the industry life cycle, and the technological change is dominated by gradual innovation. In this process, latecomer enterprises take catching up and surpassing advanced technology as their main target, and the technology spillover of foreign direct investment (FDI) is one of the important links. The research on FDI technology spillover of middle and low technology industries can, on the one hand, test the role of investment strategy in China's economic development, on the other hand, it can provide beneficial ideas for the technological upgrading of traditional industries. In the theoretical part, based on the basic characteristics of low and medium technology industries and China's export-oriented strategy, this paper establishes a three-channel FDI technology spillover model based on demonstration-imitation, competition and export. In the part of empirical research, this paper first examines the comprehensive technology spillover effect of FDI to low and medium technology industries. Following the analysis logic of the result backtracking, this paper then focuses on the specific factors that affect FDI technology spillover. Based on the structured analysis framework, we divide the specific factors into three dimensions: technology supply, technology demand and industrial environment. At the same time, we reduce the three channels of FDI technology spillover into two types: competition and agglomeration, and analyze the three dimensional factors that affect FDI technology spillover by double mechanism test model. Finally, we deduce from these influencing factors, and complement each other with the initial conclusion of logic analysis, thus forming the complete mechanism of FDI technology spillover in middle and low technology industries. This paper establishes the basic formation mechanism of FDI technology spillover in middle and low technology industries. Firstly, the competitive threat of FDI is the main driving force of endogenous technological progress of domestic enterprises, and forms a positive competitive technology spillover. Secondly, FDI in China belongs to the type of factor acquisition, whose main purpose is to seize the resource endowment of domestic enterprises with comparative advantage, in which skilled labor resources dominate, resulting in negative agglomeration of technology spillover. Finally, the export-oriented development strategy weakens the crowding out effect of foreign capital on the domestic market, while FDI helps domestic enterprises to open up the international market and forms a positive agglomeration technology spillover based on export channels. And further promoted the successful implementation of the export-oriented strategy. Through the research on the influencing factors of FDI technology spillover, we find that the technological level and market participation of foreign capital, The technology gap between domestic and foreign enterprises and the technology absorption capacity of domestic enterprises at different levels are the main factors that affect FDI technology spillover of low and medium technology industries in China, and the opportunities for the development of industries. Factor intensity and extroversion influence technology spillover further through the superposition effect with these factors. According to the conclusion of our research on FDI technology spillover effect and its influencing factors, this paper proposes that the government can raise the entry threshold of FDI by adhering to the strategy of attracting investment and export-oriented. By optimizing the industrial structure of introducing foreign capital and encouraging domestic and foreign enterprises to improve their production efficiency and technical input, the technology spillover of low and medium technology industries can be promoted, and thus the incremental innovation ability of traditional industries will be continuously enhanced.
【学位授予单位】：南京大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.6;F062.4;F121.3

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