本文選題：外商直接投資　切入點(diǎn)：對(duì)外貿(mào)易　出處：《湖南大學(xué)》2010年博士論文

【摘要】： 在經(jīng)濟(jì)全球化進(jìn)程中,由國(guó)際貿(mào)易與FDI導(dǎo)致的技術(shù)擴(kuò)散極大地促進(jìn)了新技術(shù)的交流與創(chuàng)新,從而推動(dòng)了各國(guó)經(jīng)濟(jì)的發(fā)展。本文研究了開(kāi)放經(jīng)濟(jì)條件下技術(shù)創(chuàng)新的影響因素,探討了不同層面國(guó)際貿(mào)易、外商直接投資對(duì)我國(guó)技術(shù)創(chuàng)新的影響途徑和作用。 首先,本文將我國(guó)企業(yè)技術(shù)創(chuàng)新的影響因素區(qū)分為企業(yè)組織結(jié)構(gòu)、企業(yè)基本特征、企業(yè)人力資源狀況、企業(yè)技術(shù)環(huán)境、企業(yè)國(guó)際聯(lián)系、企業(yè)面臨政府環(huán)境、企業(yè)市場(chǎng)環(huán)境、企業(yè)金融環(huán)境等方面,建立我國(guó)技術(shù)創(chuàng)新影響因素的二元選擇模型,并采用北京、天津、上海、廣州、成都五個(gè)城市電子設(shè)備、電子元件、交通設(shè)備及零部件等5類制造業(yè)和廣告與營(yíng)銷、信息技術(shù)服務(wù)等5類服務(wù)業(yè)共1548家企業(yè)的調(diào)查數(shù)據(jù),實(shí)證研究了我國(guó)企業(yè)技術(shù)創(chuàng)新的影響因素,考察了FDI、國(guó)際貿(mào)易和技術(shù)許可三種國(guó)際技術(shù)轉(zhuǎn)移方式對(duì)于企業(yè)技術(shù)創(chuàng)新的影響作用。實(shí)證結(jié)果表明：企業(yè)的研發(fā)人數(shù)和政府對(duì)企業(yè)的研發(fā)支持顯著地促進(jìn)技術(shù)創(chuàng)新；中國(guó)企業(yè)成立時(shí)間、研發(fā)投入、決策者教育程度、政府研發(fā)支持、進(jìn)口能顯著地推動(dòng)企業(yè)創(chuàng)新活動(dòng)的發(fā)生；私有企業(yè)對(duì)技術(shù)創(chuàng)新產(chǎn)生了較大的貢獻(xiàn),與相對(duì)發(fā)達(dá)地區(qū)的國(guó)有企業(yè)相比,相對(duì)落后地區(qū)的國(guó)有企業(yè)對(duì)技術(shù)創(chuàng)新有更大的影響力；關(guān)于國(guó)際轉(zhuǎn)移方式對(duì)技術(shù)創(chuàng)新的影響,外資股份占多數(shù)的外資企業(yè)對(duì)技術(shù)創(chuàng)新產(chǎn)生了負(fù)向的作用,而企業(yè)經(jīng)營(yíng)年限、培訓(xùn)機(jī)會(huì)和人力資本水平對(duì)技術(shù)創(chuàng)新也具有不同程度的促進(jìn)作用。 其次,本文進(jìn)一步探討了企業(yè)出口行為與企業(yè)生產(chǎn)率之間的關(guān)系,考察“出口中學(xué)”效應(yīng)的存在。采用中國(guó)一千多家代表性企業(yè)的調(diào)查數(shù)據(jù),從形式更為靈活的超越對(duì)數(shù)生產(chǎn)函數(shù)出發(fā),納入出口狀態(tài)變量,建立實(shí)證模型。結(jié)果表明出口企業(yè)的生產(chǎn)率相對(duì)非出口企業(yè)高出20%至30%,這一生產(chǎn)率優(yōu)勢(shì)能夠較為穩(wěn)健地歸結(jié)于“出口中學(xué)”效應(yīng),也就是說(shuō)企業(yè)在參與出口的過(guò)程中通過(guò)“出口中學(xué)”效應(yīng)促進(jìn)了企業(yè)生產(chǎn)率的提高。這為“出口中學(xué)”理論假說(shuō)提供了來(lái)自中國(guó)的實(shí)證支持,更為識(shí)別出口導(dǎo)向型發(fā)展戰(zhàn)略對(duì)我國(guó)經(jīng)濟(jì)增長(zhǎng)的貢獻(xiàn)提供了來(lái)自微觀視角的證據(jù)。 再次,本文從產(chǎn)業(yè)的視角探討了外商直接投資的技術(shù)溢出機(jī)制和途徑,區(qū)分為FDI的橫向溢出效應(yīng)和后向溢出效應(yīng),并分別采用行業(yè)的就業(yè)人員和產(chǎn)出數(shù)據(jù)來(lái)度量這兩個(gè)不同層面的技術(shù)溢出,采用我國(guó)行業(yè)層面的數(shù)據(jù)實(shí)證考察FDI的技術(shù)溢出機(jī)制和途徑。研究表明外國(guó)直接投資在我國(guó)產(chǎn)業(yè)層面上沒(méi)有產(chǎn)生橫向溢出效應(yīng),但是有正的后向鏈接效應(yīng)；在勞動(dòng)密集型行業(yè)既存在負(fù)的競(jìng)爭(zhēng)效應(yīng),又存在因?yàn)閯趧?dòng)力從外資企業(yè)回流到國(guó)內(nèi)同行企業(yè)所帶來(lái)的正向溢出效應(yīng)。FDI技術(shù)溢出效應(yīng)的具體表現(xiàn)和程度依賴于溢出途徑和產(chǎn)業(yè)自身特征。 最后,本文討論了知識(shí)產(chǎn)權(quán)保護(hù)影響外商直接投資與技術(shù)創(chuàng)新的作用機(jī)制,建立實(shí)證模型,利用我國(guó)1995-2007年省際平衡面板數(shù)據(jù)分析知識(shí)產(chǎn)權(quán)保護(hù)、FDI對(duì)于技術(shù)創(chuàng)新的影響作用。實(shí)證發(fā)現(xiàn)我國(guó)技術(shù)創(chuàng)新能力主要來(lái)源于研發(fā)投入；知識(shí)產(chǎn)權(quán)保護(hù)水平的提高并不能顯著促進(jìn)我國(guó)技術(shù)創(chuàng)新能力的提升,這些結(jié)論不因技術(shù)創(chuàng)新能力指標(biāo)選取的不同而改變。但這種作用存在區(qū)域差異性,在環(huán)渤海和海峽兩岸省份存在一定促進(jìn)作用,而中部、西部、北部灣知識(shí)產(chǎn)權(quán)保護(hù)水平的提高在一定程度上抑制了技術(shù)創(chuàng)新能力。國(guó)際貿(mào)易和FDI能顯著促進(jìn)國(guó)內(nèi)技術(shù)創(chuàng)新能力的提升,但FDI對(duì)我國(guó)技術(shù)創(chuàng)新的促進(jìn)作用受到知識(shí)產(chǎn)權(quán)保護(hù)水平的影響,強(qiáng)化知識(shí)產(chǎn)權(quán)保護(hù)水平能增進(jìn)FDI的技術(shù)創(chuàng)新效應(yīng)。
[Abstract]:In the process of economic globalization, caused by international trade and FDI technology diffusion has greatly facilitated the exchange and innovation of new technology, so as to promote the economic development of countries. This paper studied the impact factors of technological innovation under the condition of open economy, discusses the different aspects of international trade, foreign direct investment and the influence on technology innovation our way.
First of all, the influence factors of technological innovation of Chinese enterprises is divided into organizational structure, the basic characteristics of enterprises, human resources enterprise, enterprise environment, enterprise international connection, enterprises are facing the government environment, business environment, financial environment, the establishment of China's technology innovation factors two Yuan choice model, and the Beijing, Tianjin, Shanghai, Guangzhou, Chengdu five city of electronic equipment, electronic components, communications equipment and spare parts and other 5 categories of manufacturing and advertising and marketing survey data, information technology services and other 5 services a total of 1548 enterprises, empirical study on the influential factors of technological innovation of enterprises in our country, the effects of FDI international trade and technology licensing, three kinds of international technology transfer mode for enterprise technological innovation. The empirical results show that: the number of corporate R & D and the government research for enterprise support significantly To promote technological innovation; Chinese enterprises set up R & D investment, decision makers, education, government support for R & D, imports can significantly promote enterprise innovation activities; private enterprises have a greater contribution to the technological innovation, compared with the state-owned enterprises in developed regions, relatively backward regions of the state-owned enterprises have a greater influence on technological innovation; on the impact of international transfer of technology innovation, foreign shares accounted for the majority of foreign enterprises have the negative effect on technology innovation, and business life, training opportunities and the level of human capital has different effect on technology innovation.
Secondly, this paper discussed the relationship between export and productivity of enterprises, study the existence of learning by exporting. The Chinese more than 1000 representative survey data of the enterprise, from the form of more flexible translog production function of export into the state variables, an empirical model. The results show that the relative productivity of export enterprises. Non export enterprises by 20% to 30%, this productivity advantage is robust due to the effect of "learning by exporting", that is to say in the process of enterprise's export through the effect of "learning by exporting" to promote the enterprise productivity. This provides empirical support from China for "learning by exporting" hypothesis more recognition, export-oriented development strategy's contribution to China's economic growth provides evidence from the micro perspective.
Again, this paper discusses the FDI technology spillover mechanism and way from the industry perspective, divided into FDI horizontal spillovers and backward spillover effects, and using industry employment and output data to measure these two different levels of technology spillover, using the empirical data of China's industry level of FDI technology spillover mechanism and approaches. The results show that foreign direct investment has no horizontal spillover effect in China's industrial level, but there are positive effects of backward links; in labor-intensive industry, there is a negative competitive effect, and because of the specific performance and the degree of technology spillover effect of.FDI positive spillover effects from foreign companies to return to the workforce domestic companies to bring on the overflow channels and industry characteristics.
Finally, this paper discusses the impact of intellectual property protection mechanism of foreign direct investment and technology innovation, to establish an empirical model, using China 1995-2007 years to balance the inter provincial panel data analysis of intellectual property protection, influence of FDI on the role of technological innovation. The empirical found the main source of China's technology innovation ability in R & D investment; the level of intellectual property protection increase does not significantly promote the upgrading of China's technology innovation capability, the conclusion is not because the selected indicators of technical innovation capability of different changes. But this effect has regional differences, in the Bohai sea and the Strait provinces have a certain role, while the central, western, the level of intellectual property protection in the Beibu Gulf decreases with the rise of technology innovation ability to a certain extent. The international trade and FDI can significantly promote the upgrading of domestic technological innovation capability, but the FDI to promote technological innovation in China The effect of intellectual property protection is influenced by the level of intellectual property protection, and the enhancement of the level of intellectual property protection can enhance the technological innovation effect of FDI.

【學(xué)位授予單位】：湖南大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2010
【分類號(hào)】：F224;F062.4

【引證文獻(xiàn)】

相關(guān)博士學(xué)位論文 前1條

1 溫懷德;中國(guó)經(jīng)濟(jì)開(kāi)放與環(huán)境污染的關(guān)系研究[D];浙江工業(yè)大學(xué);2012年

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本文編號(hào)：1698206