本文關(guān)鍵詞：中國(guó)對(duì)外直接投資逆向技術(shù)溢出的產(chǎn)業(yè)結(jié)構(gòu)升級(jí)效應(yīng)研究　出處：《首都經(jīng)濟(jì)貿(mào)易大學(xué)》2016年博士論文　論文類型：學(xué)位論文

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【摘要】：伴隨著經(jīng)濟(jì)全球化的不斷發(fā)展和日益深入,國(guó)際生產(chǎn)與分工逐步活躍與專業(yè)化,生產(chǎn)鏈條涵蓋了要素稟賦不同和比較優(yōu)勢(shì)各異的世界各個(gè)國(guó)家和地區(qū),跨國(guó)資源整合和勞動(dòng)力、資本以及技術(shù)等生產(chǎn)要素的國(guó)際轉(zhuǎn)移逐漸成為世界經(jīng)濟(jì)演進(jìn)過程中的重要內(nèi)容,各主要國(guó)家或地區(qū)之間在經(jīng)濟(jì)資源互補(bǔ)性和經(jīng)濟(jì)發(fā)展聯(lián)動(dòng)性等方面的相互影響日漸密切和深化,全球經(jīng)濟(jì)一體化和區(qū)域經(jīng)濟(jì)集團(tuán)化格局初現(xiàn)端倪,推動(dòng)了世界各國(guó)經(jīng)濟(jì)的穩(wěn)步增長(zhǎng)和全面發(fā)展。在如今高度開放、自由和密切關(guān)聯(lián)的國(guó)際經(jīng)濟(jì)大環(huán)境中,任何一個(gè)國(guó)家或地區(qū)的經(jīng)濟(jì)發(fā)展都離不開外部資源的獲取、吸收和利用,僅僅依靠國(guó)內(nèi)要素資源尚不能構(gòu)成對(duì)國(guó)內(nèi)經(jīng)濟(jì)發(fā)展的有效帶動(dòng),綜合利用國(guó)內(nèi)外生產(chǎn)要素,實(shí)現(xiàn)稀缺和戰(zhàn)略性資源的跨國(guó)際轉(zhuǎn)移已然成為世界各國(guó)和地區(qū)發(fā)展經(jīng)濟(jì)、優(yōu)化結(jié)構(gòu)的重要舉措。作為一種新興且重要的國(guó)際要素資源轉(zhuǎn)移路徑,對(duì)外直接投資有效連接了比較優(yōu)勢(shì)、經(jīng)濟(jì)發(fā)展水平和社會(huì)進(jìn)步程度不同的國(guó)家和地區(qū),促進(jìn)了經(jīng)濟(jì)資源的國(guó)際流動(dòng)、全球共享和優(yōu)化配置,形成了對(duì)母國(guó)國(guó)內(nèi)經(jīng)濟(jì)發(fā)展各領(lǐng)域的深刻影響,并在轉(zhuǎn)移落后產(chǎn)業(yè)、優(yōu)化母國(guó)產(chǎn)業(yè)和經(jīng)濟(jì)結(jié)構(gòu)以及釋放經(jīng)濟(jì)發(fā)展?jié)撃艿确矫姘l(fā)揮著日益顯著的重要作用,逐漸發(fā)展成為影響全球經(jīng)濟(jì)格局演變趨勢(shì)、母國(guó)經(jīng)濟(jì)發(fā)展走勢(shì)以及產(chǎn)業(yè)結(jié)構(gòu)演化進(jìn)程的重要引擎。改革開放以來,我國(guó)經(jīng)濟(jì)發(fā)展和社會(huì)進(jìn)步取得了舉世矚目的輝煌成就,經(jīng)濟(jì)領(lǐng)域改革成效逐步釋放,改革紅利日臻凸顯,經(jīng)濟(jì)結(jié)構(gòu)穩(wěn)步調(diào)整,產(chǎn)業(yè)結(jié)構(gòu)日漸優(yōu)化,一大批落后產(chǎn)能逐漸被淘汰,戰(zhàn)略性新興產(chǎn)業(yè)與日崛起,產(chǎn)業(yè)發(fā)展?jié)撃艿玫搅顺浞值尼尫?帶動(dòng)了國(guó)內(nèi)經(jīng)濟(jì)領(lǐng)域其它方面的調(diào)整和優(yōu)化。與此同時(shí),我國(guó)對(duì)外開放格局也得到了進(jìn)一步優(yōu)化,整體面貌煥然一新,對(duì)外直接投資和進(jìn)出口貿(mào)易實(shí)現(xiàn)了規(guī)模總量和質(zhì)量水平的同步提升,特別是“走出去”國(guó)家發(fā)展戰(zhàn)略的實(shí)施和“入世”的客觀實(shí)際更是使我國(guó)對(duì)外直接投資獲得了千載難逢的良機(jī)發(fā)展契機(jī)。在此背景下,諸多國(guó)內(nèi)經(jīng)營(yíng)企業(yè)紛紛開始跨越國(guó)門,開展面向全球市場(chǎng)的海外直接投資,積極參與國(guó)際產(chǎn)業(yè)鏈分工和合作,在世界市場(chǎng)競(jìng)爭(zhēng)中不斷發(fā)展壯大,強(qiáng)筋健骨。在我國(guó)對(duì)外直接投資蓬勃發(fā)展的同時(shí),國(guó)內(nèi)產(chǎn)業(yè)結(jié)構(gòu)也在不斷的進(jìn)行調(diào)整和升級(jí)換代,這其中暗含著怎樣的內(nèi)在聯(lián)系?對(duì)外直接投資能否有效推動(dòng)國(guó)內(nèi)產(chǎn)業(yè)結(jié)構(gòu)升級(jí)?其中間環(huán)節(jié)又是怎樣?這些理論問題至今未曾得到學(xué)術(shù)界的一致認(rèn)同。目前,我國(guó)經(jīng)濟(jì)運(yùn)行逐步進(jìn)入新常態(tài),產(chǎn)業(yè)結(jié)構(gòu)調(diào)整升級(jí)和經(jīng)濟(jì)增長(zhǎng)方式轉(zhuǎn)變已然成為當(dāng)下國(guó)內(nèi)亟待解決的重要現(xiàn)實(shí)問題,充分挖掘和發(fā)揮對(duì)外直接投資在這一方面的潛力對(duì)上述任務(wù)的順利完成和國(guó)內(nèi)經(jīng)濟(jì)轉(zhuǎn)型的進(jìn)一步帶動(dòng)具有重大的引導(dǎo)作用和實(shí)踐意義。鑒于如上現(xiàn)狀,本研究以產(chǎn)業(yè)結(jié)構(gòu)升級(jí)效應(yīng)為研究落腳點(diǎn),秉承提出問題、分析問題和解決問題的邏輯脈絡(luò),通過現(xiàn)狀描述、數(shù)理推導(dǎo)、機(jī)理闡述、案例探討和實(shí)證分析等多種途徑具體研究了我國(guó)對(duì)外直接投資逆向技術(shù)溢出的國(guó)內(nèi)產(chǎn)業(yè)結(jié)構(gòu)升級(jí)效應(yīng),以期能夠?qū)@一研究主題進(jìn)行全面和系統(tǒng)的探究。從章節(jié)安排方面來講,本研究可具體劃分為九個(gè)部分。第一章為緒論,主要介紹和闡釋本研究的選題背景、意義、國(guó)內(nèi)外研究現(xiàn)狀、內(nèi)容安排、框架結(jié)構(gòu)、研究方法以及主要?jiǎng)?chuàng)新點(diǎn)等內(nèi)容,并對(duì)全文研究規(guī)劃進(jìn)行概括性總結(jié);第二章為概念界定和基礎(chǔ)理論,主要對(duì)本研究的關(guān)鍵概念做出了具體解釋和界定,同時(shí)對(duì)相關(guān)基礎(chǔ)理論進(jìn)行了回顧和闡述;第三章主要描述了我國(guó)對(duì)外直接投資和產(chǎn)業(yè)結(jié)構(gòu)的演變進(jìn)程和發(fā)展現(xiàn)狀,從宏觀層面對(duì)實(shí)際狀況進(jìn)行概括性解讀;第四章運(yùn)用博弈模型、灰色關(guān)聯(lián)模型和引力模型的研究方法論證了我國(guó)對(duì)外直接投資逆向技術(shù)溢出影響國(guó)內(nèi)產(chǎn)業(yè)結(jié)構(gòu)升級(jí)的存在性,為后續(xù)研究做好鋪墊;第五章采用機(jī)制分析法從微觀、中觀和宏觀三個(gè)層面解釋了對(duì)外直接投資逆向技術(shù)溢出產(chǎn)業(yè)升級(jí)效應(yīng)的實(shí)現(xiàn)機(jī)理,豐富和完善了本研究的結(jié)構(gòu)體系;第六章運(yùn)用修正后的國(guó)際研發(fā)溢出回歸模型考察了我國(guó)對(duì)外直接投資逆向技術(shù)溢出的產(chǎn)業(yè)升級(jí)整體和區(qū)域差異效應(yīng),并進(jìn)一步分析了產(chǎn)業(yè)升級(jí)效應(yīng)的影響因素問題。此外本章還通過案例分析解讀了美國(guó)、日本兩大經(jīng)濟(jì)體通過對(duì)外直接投資優(yōu)化產(chǎn)業(yè)結(jié)構(gòu)的客觀事實(shí),以期能夠完善研究?jī)?nèi)容;第七章和第八章在歸納前述章節(jié)內(nèi)容的基礎(chǔ)上提出了相關(guān)的政策建議,總結(jié)了本研究的主要結(jié)論,指出了本研究的不足之處,并對(duì)后續(xù)研究做出了展望。本研究獲得如下幾點(diǎn)研究結(jié)論:(1)我國(guó)對(duì)外直接投資與產(chǎn)業(yè)結(jié)構(gòu)變遷之間存在高度的相關(guān)性和同步性,這種內(nèi)在關(guān)系暗含在兩者的長(zhǎng)期變動(dòng)之中;(2)我國(guó)對(duì)外直接投資逆向技術(shù)溢出能夠影響國(guó)內(nèi)產(chǎn)業(yè)結(jié)構(gòu)升級(jí);(3)我國(guó)對(duì)外直接投資逆向技術(shù)溢出將通過微觀、中觀和宏觀三個(gè)層面實(shí)現(xiàn)對(duì)產(chǎn)業(yè)結(jié)構(gòu)升級(jí)的拉動(dòng);(4)我國(guó)對(duì)外直接投資通過逆向技術(shù)溢出環(huán)節(jié)促進(jìn)了國(guó)內(nèi)產(chǎn)業(yè)結(jié)構(gòu)的調(diào)整和升級(jí),并且這種效應(yīng)存在顯著的地域差異,主要表現(xiàn)為東部地區(qū)顯著、中部地區(qū)略顯和西部地區(qū)微弱;(5)我國(guó)對(duì)外直接投資逆向技術(shù)溢出的產(chǎn)業(yè)升級(jí)效應(yīng)受到人力資本、技術(shù)差距、研發(fā)強(qiáng)度和產(chǎn)權(quán)政策等因素的多重影響。本研究基于如上研究結(jié)論從深入貫徹“走出去”戰(zhàn)略、完善投資結(jié)構(gòu)、培育新興產(chǎn)業(yè)、提升自主創(chuàng)新和技術(shù)吸納能力等方面提出了相關(guān)的政策建議,以引導(dǎo)我國(guó)對(duì)外直接投資更好地推進(jìn)國(guó)內(nèi)產(chǎn)業(yè)結(jié)構(gòu)升級(jí)。
[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.

【學(xué)位授予單位】：首都經(jīng)濟(jì)貿(mào)易大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2016
【分類號(hào)】：F832.6;F121.3
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本文編號(hào)：1379352