本文關(guān)鍵詞： 全球價(jià)值鏈 對(duì)外直接投資 產(chǎn)業(yè)升級(jí) 制造業(yè)　出處：《江蘇大學(xué)》2017年碩士論文　論文類(lèi)型：學(xué)位論文

【摘要】：20世紀(jì)90年代以來(lái),隨著經(jīng)濟(jì)一體化程度的不斷加深和貿(mào)易成本的下降,全球生產(chǎn)貿(mào)易格局逐漸演化成以產(chǎn)品內(nèi)分工為主的全球價(jià)值鏈(Global Value Chain,以下簡(jiǎn)稱(chēng)GVC)分工體系。在此過(guò)程中,發(fā)達(dá)國(guó)家以跨國(guó)公司為主導(dǎo)力量牢牢掌握著核心技術(shù)和銷(xiāo)售渠道,控制了絕大部分的貿(mào)易利得,而發(fā)展中國(guó)家則通過(guò)加工貿(mào)易逐步融入全球生產(chǎn)網(wǎng)絡(luò),但由于缺乏核心技術(shù)和品牌,面臨著價(jià)值鏈低端鎖定的風(fēng)險(xiǎn),產(chǎn)業(yè)的進(jìn)一步發(fā)展和升級(jí)受到一定限制和阻礙�；谶@種國(guó)際經(jīng)濟(jì)背景,積極開(kāi)展對(duì)外直接投資(Outward Foreign Direct Investment,以下簡(jiǎn)稱(chēng)OFDI)獲取先進(jìn)知識(shí)和技術(shù),突破全球價(jià)值鏈低端鎖定困境,主動(dòng)向價(jià)值鏈高端環(huán)節(jié)攀升將成為我國(guó)推進(jìn)產(chǎn)業(yè)升級(jí)的重要途徑。通過(guò)對(duì)已有研究成果的梳理發(fā)現(xiàn),關(guān)于OFDI與母國(guó)產(chǎn)業(yè)升級(jí)的理論研究相對(duì)零散,尚未形成系統(tǒng)的理論體系;實(shí)證研究主要從宏觀層面分析OFDI對(duì)母國(guó)產(chǎn)業(yè)結(jié)構(gòu)調(diào)整和技術(shù)進(jìn)步的影響以及微觀層面對(duì)母國(guó)企業(yè)技術(shù)水平和生產(chǎn)率的影響,對(duì)具體產(chǎn)業(yè)層面和產(chǎn)品內(nèi)分工層面的關(guān)注則極少。故本研究基于全球價(jià)值鏈視角展開(kāi)OFDI的產(chǎn)業(yè)升級(jí)效應(yīng)研究,重點(diǎn)探究了OFDI對(duì)母國(guó)制造業(yè)產(chǎn)業(yè)升級(jí)的影響機(jī)理,并對(duì)我國(guó)制造業(yè)OFDI的產(chǎn)業(yè)升級(jí)效應(yīng)進(jìn)行了多層次、較全面地實(shí)證檢驗(yàn)。首先,影響機(jī)理分析方面,本研究分別從要素投入、市場(chǎng)需求和競(jìng)爭(zhēng)環(huán)境角度探討了OFDI對(duì)母國(guó)制造業(yè)產(chǎn)業(yè)升級(jí)的影響。一方面,OFDI通過(guò)優(yōu)化要素配置、逆向技術(shù)溢出、提升需求結(jié)構(gòu)、激發(fā)行業(yè)競(jìng)爭(zhēng)等正面效應(yīng)促進(jìn)我國(guó)制造業(yè)的產(chǎn)業(yè)升級(jí);另一方面,OFDI也會(huì)產(chǎn)生資本流失、出口替代和就業(yè)減少等負(fù)面效應(yīng)。其次,數(shù)據(jù)處理方面,本研究通過(guò)對(duì)商務(wù)部公布的2003-2013年間《境外投資企業(yè)名錄》28234條投資項(xiàng)目的整理,篩選出14549項(xiàng)由制造業(yè)企業(yè)作為投資主體開(kāi)展的境外投資項(xiàng)目,并且進(jìn)一步細(xì)分到15個(gè)制造業(yè)行業(yè)。以各制造業(yè)行業(yè)投資項(xiàng)目數(shù)占比與制造業(yè)OFDI總額的乘積表示制造業(yè)分行業(yè)的投資額,以便更準(zhǔn)確、更直接地考察我國(guó)制造業(yè)對(duì)外直接投資的產(chǎn)業(yè)升級(jí)效應(yīng);同理得出流向發(fā)展中國(guó)家的制造業(yè)OFDI和流向發(fā)達(dá)國(guó)家的制造業(yè)OFDI;另外,從產(chǎn)業(yè)關(guān)聯(lián)角度區(qū)分資源獲取型OFDI、市場(chǎng)開(kāi)放型OFDI與效率尋求型OFDI,以具體分析不同類(lèi)型OFDI對(duì)制造業(yè)產(chǎn)業(yè)升級(jí)的差異化影響。再次,實(shí)證檢驗(yàn)方面,本研究測(cè)度了2003-2014年我國(guó)15個(gè)制造業(yè)行業(yè)的全要素生產(chǎn)率、增加值率和垂直專(zhuān)業(yè)化指數(shù),并以此來(lái)衡量制造業(yè)的工藝流程升級(jí)、功能升級(jí)和鏈條升級(jí)。在此基礎(chǔ)上,以O(shè)FDI為核心解釋變量構(gòu)建面板數(shù)據(jù)模型,分別檢驗(yàn)了制造業(yè)對(duì)外直接投資對(duì)其工藝流程升級(jí)、功能升級(jí)以及鏈條升級(jí)的影響,主要得出以下結(jié)論:(1)總體上,我國(guó)制造業(yè)OFDI的工藝流程升級(jí)效應(yīng)顯著,有效提高了行業(yè)生產(chǎn)率;(2)不同類(lèi)型OFDI的工藝流程升級(jí)效應(yīng)存在差異,流向發(fā)達(dá)國(guó)家的制造業(yè)OFDI對(duì)技術(shù)進(jìn)步和生產(chǎn)率提升的促進(jìn)作用顯著大于發(fā)展中國(guó)家;與資源獲取型OFDI、市場(chǎng)開(kāi)發(fā)型OFDI相比,效率尋求型OFDI更顯著地推動(dòng)了行業(yè)整體生產(chǎn)率和技術(shù)水平的提升;(3)當(dāng)前我國(guó)制造業(yè)的對(duì)外直接投資不存在顯著的功能升級(jí)和鏈條升級(jí)效應(yīng),抑或效應(yīng)尚未顯現(xiàn)。最后,本研究在結(jié)合機(jī)理分析和實(shí)證結(jié)果的基礎(chǔ)上,從繼續(xù)鼓勵(lì)企業(yè)“走出去”、完善投資結(jié)構(gòu)、構(gòu)建國(guó)家價(jià)值鏈、提升研發(fā)創(chuàng)新和技術(shù)吸收能力等方面提出了相關(guān)的政策建議,以引導(dǎo)我國(guó)制造業(yè)對(duì)外直接投資更好地發(fā)揮產(chǎn)業(yè)升級(jí)效應(yīng)。
[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.

【學(xué)位授予單位】：江蘇大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類(lèi)號(hào)】：F424;F125

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