本文選題：OFDI　切入點：逆向技術(shù)溢出　出處：《山東財經(jīng)大學》2013年碩士論文

【摘要】：隨著改革開放的深入和“走出去”戰(zhàn)略的實施，我國企業(yè)對外直接投資（OutwardForeign Direct Investment， OFDI）進入了蓬勃發(fā)展時期。與此同時，世界范圍內(nèi)，技術(shù)優(yōu)勢取代成本優(yōu)勢，成為一個國家和企業(yè)核心競爭力的趨勢日漸明朗。國內(nèi)外越來越多的學者開始關(guān)注我國OFDI對國內(nèi)技術(shù)優(yōu)勢形成的影響。其中一個主要的研究方向是OFDI逆向技術(shù)溢出對國內(nèi)技術(shù)進步的影響。但是，鮮有學者將技術(shù)創(chuàng)新從技術(shù)進步中剝離出來，研究OFDI與國內(nèi)技術(shù)創(chuàng)新能力之間的關(guān)系�；诖耍疚囊约夹g(shù)創(chuàng)新為視角，從理論和實證兩方面較為系統(tǒng)地探究我國OFDI逆向技術(shù)溢出對國內(nèi)技術(shù)創(chuàng)新能力的影響。 本文分為六章。首先在導論篇將文章的研究背景、意義、方法及創(chuàng)新與不足進行了介紹。第二章從理論和實證兩個方面對國內(nèi)外相關(guān)文獻進行了梳理和總結(jié)。第三章為OFDI及創(chuàng)新能力概述，對主要研究對象的概念進行了界定并分別介紹了OFDI及我國技術(shù)創(chuàng)新能力的發(fā)展現(xiàn)狀。第四章為OFDI逆向技術(shù)溢出對國內(nèi)技術(shù)創(chuàng)新能力影響的機理分析，包括兩部分：第一部分是我國OFDI逆向技術(shù)溢出的可行性分析，首先建立了一個兩企業(yè)同質(zhì)產(chǎn)品技術(shù)差異模型，從理論層面推倒出技術(shù)落后國企業(yè)通過OFDI渠道提升母國技術(shù)創(chuàng)新能力的可行性條件，接著從現(xiàn)實層面剖析了我國OFDI逆向技術(shù)溢出提升母國技術(shù)創(chuàng)新能力的國內(nèi)外環(huán)境；第二部分是OFDI逆向技術(shù)溢出的路徑，基于四種進入模型（綠地投資、跨國并購、建立海外研發(fā)機構(gòu)、跨國聯(lián)盟）提出了OFDI逆向技術(shù)溢出促進國內(nèi)技術(shù)創(chuàng)新能力提升的路徑。在理論分析的基礎上，第五章進行實證分析，利用我國2003-2010年的省際面板數(shù)據(jù)進行了計量回歸，結(jié)果表明：通過OFDI渠道逆向溢出的國外RD存量對我國國內(nèi)專利授權(quán)數(shù)量具有顯著地正向促進作用，但是，分地區(qū)研究顯示東部地區(qū)促進效果最強、中部其次、西部較弱；此外，發(fā)明專利、實用新型專利、外觀設計專利對OFDI技術(shù)溢出的反應程度也不完全相同，但差距較小。第六章為結(jié)論與政策建議，，對全文的研究內(nèi)容及結(jié)論進行總結(jié)，從宏觀和微觀兩個層面提出了政策建議。
[Abstract]:With the deepening of reform and opening up and the implementation of the "going out" strategy, China's enterprises' outward direct investment (OFDI) has entered a period of vigorous development.At the same time, in the world, the technology advantage replaces the cost advantage, becomes a country and the enterprise core competitive power tendency day by day clear.More and more scholars at home and abroad begin to pay attention to the influence of OFDI on the formation of domestic technological advantage.One of the main research directions is the impact of OFDI reverse technology spillover on domestic technological progress.However, few scholars separate technological innovation from technological progress to study the relationship between OFDI and domestic technological innovation capability.Based on this, this paper, from the perspective of technological innovation, systematically explores the impact of OFDI reverse technology spillover on domestic technological innovation capability from both theoretical and empirical aspects.This paper is divided into six chapters.Firstly, the background, significance, method, innovation and deficiency of the article are introduced in the introduction.The second chapter combs and summarizes the domestic and foreign literature from both theoretical and empirical aspects.The third chapter is an overview of OFDI and innovation ability. The concept of main research object is defined and the development status of OFDI and technological innovation ability in China is introduced respectively.The fourth chapter is the mechanism analysis of OFDI reverse technology spillover to domestic technological innovation ability, including two parts: the first part is the feasibility analysis of OFDI reverse technology spillover in China.From the theoretical level, this paper puts forward the feasible conditions for the enterprises of the technologically backward countries to promote the technological innovation ability of their home countries through the OFDI channel, and then analyzes the domestic and foreign environment of China's OFDI reverse technology spillover to enhance the technological innovation capability of the home country from the practical aspect.The second part is the path of OFDI reverse technology spillover. Based on four entry models (greenbelt investment, transnational M & A, establishment of overseas R & D institutions, transnational alliance), the paper puts forward the path of OFDI reverse technology spillover to promote the improvement of domestic technological innovation ability.On the basis of theoretical analysis, the fifth chapter carries on the empirical analysis, using the interprovincial panel data from 2003 to 2010 to carry on the econometric regression.The results show that the reverse spillover of foreign R D stock through the OFDI channel has a significant positive effect on the number of domestic patent authorizations in China. However, regional studies show that the promotion effect is the strongest in the eastern region, the second in the central region, and the weaker in the western region.The degree of reaction of invention patent, utility model patent and design patent to OFDI technology spillover is different, but the gap is small.Chapter six is the conclusion and policy suggestion, which summarizes the research contents and conclusions, and puts forward the policy recommendations from the macro and micro levels.
【學位授予單位】：山東財經(jīng)大學
【學位級別】：碩士
【學位授予年份】：2013
【分類號】：F124.3;F832.6;F224

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