中国对外直接投资逆向技术溢出的产业结构升级效应研究

发布时间：2018-01-04 17:20

  本文关键词：中国对外直接投资逆向技术溢出的产业结构升级效应研究　出处：《首都经济贸易大学》2016年博士论文　论文类型：学位论文

  更多相关文章： 对外直接投资 逆向技术溢出 产业结构升级 机制 影响因素

【摘要】：伴随着经济全球化的不断发展和日益深入,国际生产与分工逐步活跃与专业化,生产链条涵盖了要素禀赋不同和比较优势各异的世界各个国家和地区,跨国资源整合和劳动力、资本以及技术等生产要素的国际转移逐渐成为世界经济演进过程中的重要内容,各主要国家或地区之间在经济资源互补性和经济发展联动性等方面的相互影响日渐密切和深化,全球经济一体化和区域经济集团化格局初现端倪,推动了世界各国经济的稳步增长和全面发展。在如今高度开放、自由和密切关联的国际经济大环境中,任何一个国家或地区的经济发展都离不开外部资源的获取、吸收和利用,仅仅依靠国内要素资源尚不能构成对国内经济发展的有效带动,综合利用国内外生产要素,实现稀缺和战略性资源的跨国际转移已然成为世界各国和地区发展经济、优化结构的重要举措。作为一种新兴且重要的国际要素资源转移路径,对外直接投资有效连接了比较优势、经济发展水平和社会进步程度不同的国家和地区,促进了经济资源的国际流动、全球共享和优化配置,形成了对母国国内经济发展各领域的深刻影响,并在转移落后产业、优化母国产业和经济结构以及释放经济发展潜能等方面发挥着日益显著的重要作用,逐渐发展成为影响全球经济格局演变趋势、母国经济发展走势以及产业结构演化进程的重要引擎。改革开放以来,我国经济发展和社会进步取得了举世瞩目的辉煌成就,经济领域改革成效逐步释放,改革红利日臻凸显,经济结构稳步调整,产业结构日渐优化,一大批落后产能逐渐被淘汰,战略性新兴产业与日崛起,产业发展潜能得到了充分的释放,带动了国内经济领域其它方面的调整和优化。与此同时,我国对外开放格局也得到了进一步优化,整体面貌焕然一新,对外直接投资和进出口贸易实现了规模总量和质量水平的同步提升,特别是“走出去”国家发展战略的实施和“入世”的客观实际更是使我国对外直接投资获得了千载难逢的良机发展契机。在此背景下,诸多国内经营企业纷纷开始跨越国门,开展面向全球市场的海外直接投资,积极参与国际产业链分工和合作,在世界市场竞争中不断发展壮大,强筋健骨。在我国对外直接投资蓬勃发展的同时,国内产业结构也在不断的进行调整和升级换代,这其中暗含着怎样的内在联系?对外直接投资能否有效推动国内产业结构升级?其中间环节又是怎样?这些理论问题至今未曾得到学术界的一致认同。目前,我国经济运行逐步进入新常态,产业结构调整升级和经济增长方式转变已然成为当下国内亟待解决的重要现实问题,充分挖掘和发挥对外直接投资在这一方面的潜力对上述任务的顺利完成和国内经济转型的进一步带动具有重大的引导作用和实践意义。鉴于如上现状,本研究以产业结构升级效应为研究落脚点,秉承提出问题、分析问题和解决问题的逻辑脉络,通过现状描述、数理推导、机理阐述、案例探讨和实证分析等多种途径具体研究了我国对外直接投资逆向技术溢出的国内产业结构升级效应,以期能够对这一研究主题进行全面和系统的探究。从章节安排方面来讲,本研究可具体划分为九个部分。第一章为绪论,主要介绍和阐释本研究的选题背景、意义、国内外研究现状、内容安排、框架结构、研究方法以及主要创新点等内容,并对全文研究规划进行概括性总结;第二章为概念界定和基础理论,主要对本研究的关键概念做出了具体解释和界定,同时对相关基础理论进行了回顾和阐述;第三章主要描述了我国对外直接投资和产业结构的演变进程和发展现状,从宏观层面对实际状况进行概括性解读;第四章运用博弈模型、灰色关联模型和引力模型的研究方法论证了我国对外直接投资逆向技术溢出影响国内产业结构升级的存在性,为后续研究做好铺垫;第五章采用机制分析法从微观、中观和宏观三个层面解释了对外直接投资逆向技术溢出产业升级效应的实现机理,丰富和完善了本研究的结构体系;第六章运用修正后的国际研发溢出回归模型考察了我国对外直接投资逆向技术溢出的产业升级整体和区域差异效应,并进一步分析了产业升级效应的影响因素问题。此外本章还通过案例分析解读了美国、日本两大经济体通过对外直接投资优化产业结构的客观事实,以期能够完善研究内容;第七章和第八章在归纳前述章节内容的基础上提出了相关的政策建议,总结了本研究的主要结论,指出了本研究的不足之处,并对后续研究做出了展望。本研究获得如下几点研究结论:(1)我国对外直接投资与产业结构变迁之间存在高度的相关性和同步性,这种内在关系暗含在两者的长期变动之中;(2)我国对外直接投资逆向技术溢出能够影响国内产业结构升级;(3)我国对外直接投资逆向技术溢出将通过微观、中观和宏观三个层面实现对产业结构升级的拉动;(4)我国对外直接投资通过逆向技术溢出环节促进了国内产业结构的调整和升级,并且这种效应存在显著的地域差异,主要表现为东部地区显著、中部地区略显和西部地区微弱;(5)我国对外直接投资逆向技术溢出的产业升级效应受到人力资本、技术差距、研发强度和产权政策等因素的多重影响。本研究基于如上研究结论从深入贯彻“走出去”战略、完善投资结构、培育新兴产业、提升自主创新和技术吸纳能力等方面提出了相关的政策建议,以引导我国对外直接投资更好地推进国内产业结构升级。
[Abstract]:With the continuous development of economic globalization and the deepening of international division of labor and production, has become active and specialization, the production chain covers different factor endowments and comparative advantages of different countries and regions all over the world, cross-border integration of resources and labor, capital and technology transfer of international production factors has become the important content in the process of evolution of the world economy and among the main countries or regions in the economic interaction of complementary resources and economic development and other aspects of the increasingly close linkage and deepening of global economic integration and regional economic collectivization pattern emerged, promote the steady growth of the world economy and all-round development. In today's highly open, the international economic environment and freedom closely related, for any country or region's economic development cannot do without external resources, absorption and utilization, only rely on Domestic resources still can not be effectively led to the development of domestic economy, comprehensive utilization of factors of production at home and abroad, to achieve cross international transfer of scarce and strategic resources has become the economic development of the countries and regions of the world, an important measure to optimize the structure. As a new and important international resources transfer path, effectively connecting the foreign direct investment comparative advantage, economic development and social progress of different countries and regions, promote the international flow of economic resources, global sharing and optimal configuration, formed a profound influence on domestic economic development in various fields, and in the backward industrial transfer plays an important role in increasing the country industrial and economic structure and optimization the release of economic development potential, gradually evolved into the trend of the impact of the global economic situation, economic development trends and industry in home country An important engine of the evolution process of the structure. Since the reform and opening up, China's economic development and social progress has made brilliant achievements, the effectiveness of the reform in the economic field gradually released, more reform bonus highlights, steady economic structure adjustment, industrial structure gradually optimization, a large number of backward production capacity gradually eliminated, strategic emerging industries and on the rise of industry the development potential has been fully released, driven by the adjustment and optimization of the domestic economy in other aspects. At the same time, China's opening-up pattern has been further optimized, the overall appearance of foreign direct investment and take on an altogether new aspect, import and export trade to achieve synchronous lifting of scale and the level of quality, especially the "objective reality go" state the implementation of the development strategy and the "WTO" is that China's foreign direct investment has the opportunity of development. This golden opportunity Under the background, many domestic enterprises have begun to carry out across the country, the global market for foreign direct investment, and actively participate in the international industrial chain division of labor and cooperation in the world market competition continue to grow and develop qiangjinjiangu. Foreign direct investment in China with the rapid development of domestic industrial structure has been adjusted and upgrading, which implies the relationship? Foreign direct investment can effectively promote the upgrading of domestic industrial structure? How is the link between them? These problems has not been approved in academic circles. At present, China's economy has entered a new norm, the adjustment of industrial structure upgrading and transformation of the mode of economic growth is as an important and practical problem to be solved at present, and fully tap the potential of foreign direct investment in this aspect of the task smoothly Complete and further promote the domestic economic restructuring has great guiding role and practical significance. In view of the above situation, this study on the upgrading of the industrial structure effect on the foothold, adhering to ask questions, analyze problems and solve the problem of logic, through the description of the present situation, the paper discussed the principle of mathematical derivation, a variety of ways, case study and empirical analysis etc. study on the domestic industrial structure of foreign direct investment spillover reverse technological upgrading of our country effect, in order to explore the theme of comprehensive and systematic. Speaking from the aspects of the arrangement of the chapters, this research can be divided into nine parts. The first chapter is the introduction, mainly introduced and explained the study background. The significance, research status at home and abroad, the arrangement of the content, framework, research methods and main innovations, and makes a general summary of the study plan; second Chapter for the definition and basic theory, the key concepts of this research made a detailed explanation and definition, and the related basic theory and reviews the current situation; the third chapter mainly describes the evolution process of China's foreign direct investment and industrial structure and the development of a general interpretation of the actual situation from the macro level; fourth chapter using game model, method of grey correlation model and gravity model demonstrates the existence of the domestic industrial structure to upgrade the spillover effects of foreign direct investment of reverse technology in our country, in order to pave the way for further research; the fifth chapter uses the mechanism analysis from micro, meso and macro three levels explain the realization mechanism of foreign direct investment of reverse technology spillover effect of industrial upgrading, enrich and improve the structure of the research; the sixth chapter uses the revised international R & D spillovers regression model tested Reverse technology spillover of foreign direct investment in China's overall industrial upgrading and regional differences, and further analysis of the factors influencing the effect of industrial upgrading. In addition, this chapter also through case analysis interpretation of the United States, Japan's two largest economies in fact through foreign direct investment to optimize industrial structure, in order to improve the research content; the seventh chapter and the eighth chapter puts forward relevant policy suggestions based on the summary on the contents of the preceding chapters, summarizes the main conclusions of this study, points out the shortcomings of this study, and the subsequent research is prospected. This research obtains the following conclusions: (1) there is high correlation and synchronization between China's foreign direct investment and industrial structure changes, the relations implied in the long-term changes both; (2) the spillover of foreign direct investment in China can affect domestic reverse technology The upgrading of the industrial structure; (3) reverse technology spillover of foreign direct investment in China will through the micro, meso and macro three levels to achieve the upgrading of the industrial structure promotion; (4) China's foreign direct investment to promote the adjustment and upgrading of domestic industrial structure through reverse technology spillover links, and significant regional variation of the effect, mainly for the eastern region is significant, central region and western regions slightly weak; (5) reverse technology spillover of foreign direct investment in China's industrial upgrading effect by human capital, technology gap, multiple effects of R & D intensity and property policies and other factors. This study based on the above research conclusions from the in-depth implementation of the "going out" strategy to improve the investment structure, cultivate new industries, puts forward relevant policy suggestions to promote independent innovation and technical ability to absorb, to guide China's foreign direct investment better push The industrial structure in China is upgraded.

【学位授予单位】：首都经济贸易大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：F832.6;F121.3
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本文编号：1379352