【作者】 李勇坚；

【导师】 何德祥； 马志成；

【作者基本信息】 北京工业大学 ， 管理工程， 2000， 硕士

【摘要】 全球化是当今世界经济不可逆转的潮流，而国际产业转移是这种潮流的最重要的推动力量。研究全球化背景下的国际产业向中国转移过程的技术效果是本文的主要任务。本文的基本研究线索是这样的：首先，国际产业转移必然与技术的跨国转移有关，因而，必须考察国际产业转移对技术跨国流动的影响；第二，技术只有在国内产业内得到扩散才具有意义，因此，本文考察了产业技术扩散的最重要的影响因素：产业组织。全文共由五章组成，这五章间既相互联系（由技术扩散联系），又各具有独立的研究价值。本文是韩福荣教授所主持　的北京市自然科学基金资助项目《产业转移与企业技术进步的仿生化研究》的一部分。 在第一章，我们首先对国际产业转移的概念和基本理论、国际产业转移的历史与现状进行了简要分折；然后，通过考察中国利用外资的情况，对外国产业转移对中国经济的影响作出了初步的分析。 第二章是全文的重点。在这一章中，我们首先考察了国际技术转移与国际技术扩散的定义与理论，并对技术扩散的传染病模型进行了讨论；然后，我们对经典的Schumpeter模型进行简析的基础上，以Romer的技术中间产品化的可 加性生产函数为起点，提出了一个国际产业转移带动国际技术扩散的基本理论模型；在更深入的角度，从企业价值最大化出发，使用博弈论的方法，对外资股权比例与技术进步之关系进行了探讨；最后，以中国为例，对外国直接投资的技术效果进行了考察。 基于产业组织是技术扩散的重要影响因素的考虑，在第三章中，我们重点分析了外国直接投资的市场结构效应。首先，我们简述了产业组织的基本理论；其次，从竞争战略、交易费用、市场进入壁垒等角度分析了国际产业转移的市场结构效应的基本理论，并对其基本作用机制进行了分析，在这一部分中，我们提出了直接投资的规模特征的理论分析模型；最后，我们以轮胎行业与汽车制造业为例，对产地转移对中国的产业市场结构效应进行了实证分析。 在第四章中，我们进一步考察了技术扩散的一般理论模型，通过对Dong和Saha所提出的双重约束模型的修正，我们提出了一个信息溢出的技术扩散模型，在这个模型中，等待成本变得很重要，而在以住的研究中，这一点常常被忽略了。同时，我们还综合了Rosegger，Agliardi，Lall，Rosewell，Schellder等人的观点，对产业组织与技术扩散之关系的相关观点进行了分析，最后，通过对中国情形的考察，为本章及前文的理论提供了佐证。 第五章试图提供一个关于政策分析的基本理论框架。在本章中，我们从政府干预的基本理论出发，对优惠政策、产业组织政策及相关法律问题进行了探讨，为制订更为完善的外资政策提供了一个基本的思路。 本文的基本结论在于，产业组织是影响产业转移对东道国的技术效果的重要影响因素。更多还原

【Abstract】 Globalization is an irreversible trend in today world economy ,among which international transfer of industry is the most important driving force of this trend. It is the main task of this paper to study the technological effect of the process of foreign industry transferring to China under the circumstance of globalization.The basic clues of research of this paper are as follows first , international transfer of industry is inevitably related to trans-national transfer of technology.Therefore , it is absolutely necessary to study what effects international transfer of industry may have on the trans-national flow of technology Second , only when technology really diffuses in the domestic intra-industry can it be useful. Thus , this paper study the most important factor affecting the technology diffusion in the intra-industry industry organization. The whole article consists of five chapters , all of which not only are interrelated (connected through technology) but also have their own respective research value. In chapter one , we make a brief introduction on the concept and fundamental theory of international transfer of industry , and on the history and present situation of international transfer of industry. Then ,based on the research of China making use of foreign direct investment(FDI) the effects of foreign industry transferring to China on the China economy are initially analyzed. Chapter two is the main part of the paper. In this chapter we briefly introduce the concept and theory of international transfer of technology and technology diffusion. Then ,based on the brief analysis of the classical Schumpeter Model and beginning with the Romer production function in which technology is as intermediate product and is able to be added, a basis theoretical model is advanced that shows international transfer of industry may prompt international technology diffusion. To make further investigation we ,in the respective of enterprise value ,make an analysis of the relationship between the share proportion of foreign capital and technological level by using of game theory. Finally ,based on the case of China ,research are made on the technology effect of FDI. Based on the consideration that industry organization is an important factor affecting technology diffusion, in chapter three , we emphatically discuss the market structure effect of FDI. First , we analyse the basic theory of industry organization. Next ,the paper discuss the basic theory of market structure effect of international transfer of industry from various angles such as competition strategy , transaction cost ,the banner of market entering, and make an analysis on its basis function mechanism. In this part, we forward a theoretical model of scale characteristic of FDI. Finally, based on the case of the tyre industry and auto manufacture, positive analysis is made on the market structure effect of industry transfer. In chapter four, we further study the general theory of technology diffusion ,and after making modification on the double-string model advanced by Dong and Saha, the paper propose a technology diffusion model of information spillover, in which waiting cost becomes very important which is more cooperate with the reality. Then ,we sum up the points of G.Rosegger,E.Agliardi, S.Lall, Rosewell and Scheller, and discuss the standpoints ofindustry organization effect on technology diffusion. Finally ,we investigate the situation of China as a case and provide some evidences for the theory in previous chapters. In chapter five, we try to provide a basic theory frame about policy analysis更多还原