全球价值链视角下我国制造业对外直接投资的产业升级效应研究

发布时间：2018-03-01 22:00

本文关键词： 全球价值链对外直接投资产业升级制造业　出处：《江苏大学》2017年硕士论文　论文类型：学位论文

【摘要】：20世纪90年代以来,随着经济一体化程度的不断加深和贸易成本的下降,全球生产贸易格局逐渐演化成以产品内分工为主的全球价值链(Global Value Chain,以下简称GVC)分工体系。在此过程中,发达国家以跨国公司为主导力量牢牢掌握着核心技术和销售渠道,控制了绝大部分的贸易利得,而发展中国家则通过加工贸易逐步融入全球生产网络,但由于缺乏核心技术和品牌,面临着价值链低端锁定的风险,产业的进一步发展和升级受到一定限制和阻碍。基于这种国际经济背景,积极开展对外直接投资(Outward Foreign Direct Investment,以下简称OFDI)获取先进知识和技术,突破全球价值链低端锁定困境,主动向价值链高端环节攀升将成为我国推进产业升级的重要途径。通过对已有研究成果的梳理发现,关于OFDI与母国产业升级的理论研究相对零散,尚未形成系统的理论体系;实证研究主要从宏观层面分析OFDI对母国产业结构调整和技术进步的影响以及微观层面对母国企业技术水平和生产率的影响,对具体产业层面和产品内分工层面的关注则极少。故本研究基于全球价值链视角展开OFDI的产业升级效应研究,重点探究了OFDI对母国制造业产业升级的影响机理,并对我国制造业OFDI的产业升级效应进行了多层次、较全面地实证检验。首先,影响机理分析方面,本研究分别从要素投入、市场需求和竞争环境角度探讨了OFDI对母国制造业产业升级的影响。一方面,OFDI通过优化要素配置、逆向技术溢出、提升需求结构、激发行业竞争等正面效应促进我国制造业的产业升级;另一方面,OFDI也会产生资本流失、出口替代和就业减少等负面效应。其次,数据处理方面,本研究通过对商务部公布的2003-2013年间《境外投资企业名录》28234条投资项目的整理,筛选出14549项由制造业企业作为投资主体开展的境外投资项目,并且进一步细分到15个制造业行业。以各制造业行业投资项目数占比与制造业OFDI总额的乘积表示制造业分行业的投资额,以便更准确、更直接地考察我国制造业对外直接投资的产业升级效应;同理得出流向发展中国家的制造业OFDI和流向发达国家的制造业OFDI;另外,从产业关联角度区分资源获取型OFDI、市场开放型OFDI与效率寻求型OFDI,以具体分析不同类型OFDI对制造业产业升级的差异化影响。再次,实证检验方面,本研究测度了2003-2014年我国15个制造业行业的全要素生产率、增加值率和垂直专业化指数,并以此来衡量制造业的工艺流程升级、功能升级和链条升级。在此基础上,以OFDI为核心解释变量构建面板数据模型,分别检验了制造业对外直接投资对其工艺流程升级、功能升级以及链条升级的影响,主要得出以下结论:(1)总体上,我国制造业OFDI的工艺流程升级效应显著,有效提高了行业生产率;(2)不同类型OFDI的工艺流程升级效应存在差异,流向发达国家的制造业OFDI对技术进步和生产率提升的促进作用显著大于发展中国家;与资源获取型OFDI、市场开发型OFDI相比,效率寻求型OFDI更显著地推动了行业整体生产率和技术水平的提升;(3)当前我国制造业的对外直接投资不存在显著的功能升级和链条升级效应,抑或效应尚未显现。最后,本研究在结合机理分析和实证结果的基础上,从继续鼓励企业“走出去”、完善投资结构、构建国家价值链、提升研发创新和技术吸收能力等方面提出了相关的政策建议,以引导我国制造业对外直接投资更好地发挥产业升级效应。
[Abstract]:Since 1990s, with the decline of the deepening of economic globalization and trade cost, trade pattern of global production gradually evolved into the global value chain division based on intra product (Global Value Chain, hereinafter referred to as GVC) division system. In this process, the developed countries by multinational corporations as the dominant force firmly grasp the core technology and sales channels control, most of the gains from trade, while the developing countries through processing trade gradually integrate into the global production network, but due to the lack of core technology and brand, is facing the risk of low-end value chain lock, the further development of the industry upgrade and are subject to certain restrictions and obstacles. This is based on the background of international economy, and actively carry out foreign direct investment (Outward Foreign Direct Investment, hereinafter referred to as OFDI) to get advanced knowledge and technology, a breakthrough in global value chain of low end locking dilemma, Take the initiative to high-end value chain rise will become an important way to promote industrial upgrading in China. Based on the existing research results found out, a theoretical study on the OFDI and the domestic industrial upgrading is relatively fragmented, has not yet formed a theoretical system; empirical research mainly from the macro level analysis of the impact of OFDI on international industrial structure adjustment and technology progress and the microcosmic influence the enterprise's technical level and productivity, on specific industry level and intra product specialization level attention. Therefore, this study is rarely based on global value chains OFDI industry upgrading effect research, focusing on the influence mechanism of industry upgrading of manufacturing OFDI on the home country, and of China's manufacturing industry OFDI industrial upgrading effect for a multi-level, comprehensive empirical analysis. Firstly, influence mechanism analysis, this study respectively from the input market The demand and competitive environment of OFDI manufacturing industry upgrading of the impact on the home country. On the one hand, OFDI by optimizing the allocation, reverse technology spillover, improve the structure of demand and stimulate competition in the industry and the positive effect of Chinas manufacturing industry to promote industrial upgrading; on the other hand, OFDI will have a capital loss, export substitution and employment to reduce the negative effect. Secondly, the data processing, this research through 2003-2013 years' overseas investment enterprises of the Ministry of Commerce announced the list of >28234 investment project finishing, screened 14549 by manufacturing enterprises as the main body of investment to carry out overseas investment projects, and further subdivided into 15 manufacturing industries in the manufacturing industry. The number of investment projects accounted for more than the industry product and manufacturing OFDI total said manufacture industry investment, so that more accurate and more direct investigation of China's manufacturing industry to foreign direct investment The effect of upgrading of the manufacturing industry; so that flows to developing countries manufacturing OFDI and OFDI flows to developed countries; in addition, obtaining OFDI from the perspective of industry association between resources, market opening OFDI and efficiency seeking OFDI, differences in different types of OFDI on manufacturing industry upgrading effect of specific analysis. Thirdly, empirical test in this study, to measure the total factor productivity of 15 manufacturing industries in China in 2003-2014 years, and the rate of value added vertical specialization index to measure the process of upgrading the manufacturing industry, function upgrading and chain upgrading. On this basis, using OFDI as the core variables to construct a panel data model to test respectively. The manufacturing industry of foreign direct investment in the process of upgrading, upgrading and upgrading the function chain, we draw the following conclusions: (1) overall, the process of China's manufacturing industry rose OFDI Level effect significantly, can effectively improve the productivity of the industry; (2) the process of different types of OFDI upgrading effect differences, manufacturing OFDI flows to developed countries on technological progress and productivity was promoted more significantly than the developing countries; and resource acquisition OFDI, market development efficiency compared to OFDI, seeking OFDI significantly promoted the overall industry productivity and technical level; (3) there is no function upgrading and chain upgrading effect of foreign direct investment in China's manufacturing industry, or the effect is not apparent. Finally, based on the mechanism analysis and empirical results, from continuing to encourage enterprises to "go out", to improve the investment the structure, constructing the national value chain, puts forward relevant policy suggestions to enhance the development of innovative and technology absorption ability, to guide our country manufacturing industry foreign direct investment better The effect of upgrading the volatile industry.

【学位授予单位】：江苏大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F424;F125

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