【摘要】：中國(guó)外商直接投資流入量近年來(lái)持續(xù)攀升,終于在2014年首次躍居全球第一,外資規(guī)模達(dá)到1196億美元。通過外商直接投資東道國(guó)可以有機(jī)會(huì)學(xué)習(xí)和掌握技術(shù)溢出國(guó)先進(jìn)的技術(shù),但要想迅速提升技術(shù)水平并將這種技術(shù)外溢波及到整個(gè)行業(yè)、地區(qū)甚至全國(guó),則需要一套優(yōu)良的技術(shù)吸收能力體系。事實(shí)是FDI的技術(shù)溢出效在中國(guó)不同地區(qū)所產(chǎn)生的影響效應(yīng)存在差異,不是所有的地區(qū)都能夠獲得外商直接投資帶來(lái)的積極“溢出”。部分已經(jīng)跨越經(jīng)濟(jì)發(fā)展門檻的地區(qū),依賴其較強(qiáng)的經(jīng)濟(jì)基礎(chǔ)和較好的消化吸收能力,能有效的吸收和利用溢出國(guó)的先進(jìn)技術(shù),外商投資會(huì)產(chǎn)生積極的技術(shù)溢出;而另一些還未能越過門檻條件的地區(qū)則不能,這也就意味著外商直接投資的溢出效應(yīng)存在著“門檻”,只有區(qū)域的綜合吸收能力到達(dá)一定的水平值時(shí),外商投資的溢出才會(huì)充分顯現(xiàn)。因此,研究這個(gè)“門檻”具有一定的現(xiàn)實(shí)意義。本文采用定量與定性相結(jié)合的分析方法,研究我國(guó)29個(gè)省市自治區(qū)外商直接投資對(duì)區(qū)域技術(shù)進(jìn)步的門檻效應(yīng)。首先是運(yùn)用《中國(guó)統(tǒng)計(jì)年鑒》和《各地統(tǒng)計(jì)年鑒》的有關(guān)數(shù)據(jù)對(duì)我國(guó)外商直接投資流入總量、產(chǎn)業(yè)布局和區(qū)位選擇特征進(jìn)行統(tǒng)計(jì)描述。其次,以2000-2013年的面板數(shù)據(jù),分別構(gòu)建以人力資本、金融深度、RD密度和技術(shù)差距作為門檻變量的非動(dòng)態(tài)面板回歸模型,確定門檻效應(yīng)在FDI對(duì)區(qū)域技術(shù)進(jìn)步關(guān)系的影響。最后,將各地的各個(gè)門檻變量的2013年具體值與估算出的門檻值作對(duì)比,確定該地區(qū)所處在的門檻區(qū)間。實(shí)證結(jié)果是,人力資本和金融深度存在單門檻效應(yīng),RD密度和技術(shù)差距存在雙門檻效應(yīng)。FDI溢出效應(yīng)呈現(xiàn)的結(jié)果在不同門檻區(qū)間存在顯著差異:單門檻變量只有跨過門檻值,處于高于門檻值的區(qū)間內(nèi)時(shí),FDI才顯示積極溢出效應(yīng),而雙門檻變量值則是處在兩個(gè)門檻值中間區(qū)域時(shí),FDI溢出效應(yīng)最為顯著。綜上,本文提出了宏觀調(diào)節(jié)外資的區(qū)位布局、加大中等教育以上投入力度、完善金融結(jié)構(gòu)、鼓勵(lì)外資公司科研活動(dòng)本土化和增強(qiáng)企業(yè)自主創(chuàng)新能力等政策建議。
[Abstract]:China's foreign direct investment inflows continued to climb in recent years, finally leaping to the world's top spot for the first time in 2014, with foreign investment reaching $119.6 billion. Host countries through foreign direct investment may have the opportunity to learn and master advanced technology in technology-spilling countries, but in order to rapidly upgrade the level of technology and spread such spillover across industries, regions and even the whole country, Then need a set of excellent technical absorption capacity system. The fact is that the technology spillover effect of FDI is different in different regions of China, and not all regions can obtain the positive "spillover" from FDI. Some areas that have crossed the threshold of economic development rely on their strong economic base and better digestion and absorption capacity, can effectively absorb and utilize the advanced technology of spillover countries, foreign investment will produce positive technology spillovers; But other regions that have not yet crossed the threshold condition cannot, which means that there is a "threshold" in the spillover effect of foreign direct investment, and only when the comprehensive absorptive capacity of the region reaches a certain level, The spillover of foreign investment will be fully revealed. Therefore, the study of this "threshold" has a certain practical significance. In this paper, the threshold effect of foreign direct investment in 29 provinces, municipalities and autonomous regions on regional technological progress is studied by means of quantitative and qualitative analysis. Firstly, the data of China Statistical Yearbook and Local Statistical Yearbook are used to describe the total inflow of foreign direct investment, the industrial distribution and the characteristics of location selection in China. Secondly, based on the panel data from 2000 to 2013, a non-dynamic panel regression model with human capital, financial depth, RD density and technology gap as threshold variables is constructed to determine the impact of threshold effect on the relationship between FDI and regional technological progress. Finally, the specific value of each threshold variable in 2013 is compared with the estimated threshold value, and the threshold interval in which the region is located is determined. The empirical results show that there exists a single threshold effect in human capital and financial depth, a double threshold effect in RD density and technology gap, and a significant difference in the results of FDI spillover effect in different threshold ranges: the single threshold variable only crosses the threshold value. When the threshold value is higher than the threshold value, FDI shows positive spillover effect, while the double threshold variable value is in the middle region of two threshold values, the FDI spillover effect is the most significant. In summary, this paper puts forward some policy suggestions, such as macro-adjusting the location distribution of foreign capital, increasing the investment of secondary education and above, perfecting the financial structure, encouraging the localization of scientific research activities of foreign-funded companies and enhancing the ability of independent innovation of enterprises and so on.
【學(xué)位授予單位】：華中科技大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2016
【分類號(hào)】：F832.6;F124.3

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