基于异质性企业视角的江苏企业国际化问题研究

【作者】 朱莉；

【导师】 孙芳；

【作者基本信息】 南京理工大学 ， 国际贸易学， 2013， 硕士

【摘要】 随着经济全球化进程的不断拓展和深化,江苏省企业发展迅猛,对外贸易和对外直接投资都取得了飞速的发展,已经逐渐成为我国国民经济中的一支重要的主力军,在整个国民经济中的作用日益凸显。作为我国企业“走出去”的先导大省,江苏省企业面对人民币的不断升值和大多数企业仍处于产业链低端的劣势,如何继续推进国际化进程至关重要。本文以异质性企业贸易理论为基础,遵循企业异质的基本假设,先是在现有的HYM模型的基础上扩展了关于企业成本的假设,即企业在进行对外直接投资的时候也需要在国内付出固定成本,并采用均衡分析的方法分三种情况分析和解释了不同生产率水平的企业在进行国内销售、出口和对外直接投资的不同选择。然后结合江苏省企业的国际化现状,概括性地分析了国际化的特点和存在的问题。最后采用数理统计学的方法,采用“索洛残值法”的衍生方法计算出近似全要素生产率,从而对江苏省企业的实际数据进行描述分析,验证了理论模型结果的正确性和适用性；然后再运用个体固定效应模型和二元选择模型对生产率、出口和对外直接投资之间的相互关系进行了计量分析。研究结果表明,江苏省企业在进行出口和对外直接投资决策时存在自我选择效应,即较低生产率水平的企业只供应国内市场,较高生产率水平的企业参与出口活动,只有更高生产率水平的企业才会进行对外直接投资。且江苏省企业的生产率水平越高,出口规模越大,但是企业的出口活动并不会促进企业生产率水平的提高。同时,江苏省企业中越高生产率水平的企业越可能进行对外直接投资,较大的企业规模和较高的管理水平都会为企业进行对外直接投资创造有利条件。更多还原

【Abstract】 With the expanding and deepening of economic globalization process, enterprises in Jiangsu Province develop quickly, especially the rapid increase of foreign trade and foreign direct investment which has become a principal force in our national economy and is playing a more and more important role. Jiangsu, as the forerunner of carrying out the strategy of "going out", find itself staying in a disadvantageous position because the Chinese Yuan continues its appreciation and most enterprises in Jiangsu are still in the low end of industrial chain. Therefore, it is crucial to think about what actions Jiangsu can take to promote internalization.On the basis of heterogeneous-firm trade theory, this paper at first enlarged the hypothesis about enterprise cost via current HYM model, that is, enterprises must pay a fixed cost in their domestically when they take foreign direct investment; second it analyzed and explained different choices for domestic sales, export and foreign direct investment made by enterprises with different levels of productivity via the method of equilibrium analysis; third it generalized the features and current problems of internalization based on the current level of internalization of Jiangsu enterprises; at last via derivation of the Solow residual method it calculated the approximate total factor productivity for the descriptive analysis of Jiangsu enterprises’ actual data and the validation and applicability of theoretical model results, and it also carried out the quantitative analysis among productivity, exports and foreign direct investment via the individual fixed effect model and binary choice model.The results indicate that Jiangsu enterprises have the self-selection effect when they plan export and foreign direct investment, that is, enterprises with low productivity only supply domestic market, enterprises with high productivity take part in exports, and enterprises with higher productivity take foreign direct investment. Moreover, the higher the productivity of Jiangsu enterprise has, the bigger its export scale can be. However, the export of enterprises cannot promote productivity. Jiangsu enterprises with higher productivity are more likely to take foreign direct investment as their larger firm size and higher management level create favorable conditions for foreign direct investment.更多还原