【作者】 周宇；

【导师】 王珏；

【作者基本信息】 西南财经大学 ， 国际商务， 2014， 硕士

【摘要】 我国实施“引进来”和“走出去”政策,学习和获取国外企业先进技术,带动本国产业发展。承接外商直接投资和对外直接投资是中国企业和国外企业联系的两种主要途径,但究竟以何种方式和机制产生技术外溢效应,效果的影响有何不同,对我国政府制定相关政策和为企业对外直接投资行业选择有重要意义。中国各个产业的技术水平、产业结构和承接外资的客观情况不同,各个行业“引进来”的客观形势不同,“走出去”技术寻求对产业的技术溢出效果作用也不一样。各个产业“引进来”和“走出去”相互作用,是否会相互影响中国企业在技术寻求获取效果。通过研究各个产业特点的不同,分析中国政府“引进来”和“走出去”的产业技术升级的作用机制,对中国政府在制定“引进来”和“走出去”相关政策方面,企业在对外直接投资技术寻求方面,都有重要的参考意义。本文在前人的研究的基础上,从中国企业承接产业转移和中国企业对外直接投资的联系入手,发达或新兴国家的产业转移为视角,·探索发达或新兴国家的产业转移对中国企业对外直接投资获取技术外溢效应的影响。本文分为四个部分,第一部分包括第一章和第二章,为研究背景和理论评述,首先介绍了我国经济和企业的发展情况、政府为促进经济发展所制定的政策,我国对外直接投资技术寻求的紧迫性和本文的研究意义,并从整体上,介绍了本文主要用的研究思路、框架和研究方法。在文献综述方面,首先回顾了主流FDI对外直接投资理论研究重点和启示,又回顾了前人对外直接投资逆向技术溢出的研究成果,前人对技术反向溢出的效应的研究主要关注的是技术溢出是否存在和客体影响因素,同类企业的直接外溢,忽视了本国产业本身的发展情况和主体因素,引出本文的研究方向和内容。第二部分包括第三章,采用对比研究法和案例研究法,通过比较中国企业承接的产业转移和中国企业对外直接投资的投资量和产业结构的异同和趋势,考察了部分中国优秀企业对外直接投资的实践,用案例分析方式探讨中国企业对外直接投资的地点、产业和投资方式的选择,用其投资数据验证两者间的联系。通过比较分析和案例分析,发现中国企业承接产业转移和中国企业对外直接投资不管是投资量还是在投资结构上都高度相关,投资量的大规模变化时点相同,产业结构也有都逐渐向资本密集型产业转移的趋势。在第三部分包括第四章和第五章,综合研究法,综合运用理论分析和实证分析探讨中国企业的对外直接投资获取逆向技术溢出。理论分析,本文从微观和宏观两个角度分析了中国企业的对外直接投资获取逆向技术溢出的机理,在微观角度,运用HK模型分析企业技术升级选择和方向的影响因素,然后又对技术溢出渠道的示范效应、平台效应和人员流动效应进行分析总结。在宏观角度,分析关联产业、竞争效应和产业转移对外直接投资获取逆向技术溢出的影响。并在此基础上,分析总结了中国企业承接产业转移对中国企业对外直接投资的能力提升、目标导向和联系渠道的影响。实证研究法,本文用Pottelsberghe(2001)提出的检验技术升级的L-P模型,以《对外直接投资公报》《中国统计年鉴》《中国对外经贸外径统计年鉴》《国际统计年鉴》等的数据为基础,运用2003-2010年的分产业面板数据和statal2软件,验证中国承接产业转移对中国企业对外直接投资获取技术逆向溢出的影响。进行研究的协同和综合,更系统和全面的分析中国承接产业转移对中国企业对外直接投资获取技术逆向溢出的影响,期对研究结果做出既有理论框架又能更好的符合实际的分析。第四部分为第六章,对本文的研究成果进行总结,发达国家的资本技术密集型产业转移影响中国企业对外直接投资获取逆向技术溢出效果,并根据此结论对我国对外直接投资获取逆向技术溢出效应的产业选择上提出政策建议。更多还原

【Abstract】 Our country has put the policies of encouraging enterprises "going out" and "bringing in" into effect to learn and get advance technologies from foreign corporations, in order to drive our country’s industry economy develop. Foreign enterprise direct investment into china and foreign direct investment from china are two ways that connect the two country’s enterprises. However, it is very significant how the technology spillovers of host country happens and what is the difference of effects between them for our country to draw up related policies. Our country’s industry has different technology levels, industry structures and the situation of the "binging in", therefore, it also has different effects to our county’s different industry of "going out" for technology spillovers of host country. The inter-effects of different industry’s "bringing in" and "going out" generate different effects for china enterprise to get technology spillovers of host country. Through study characteristics of different industries and analyze mechanism to enhance technologies of our country’s "bringing in" and "going out" policies, it has significance for country to draw up related policy and for enterprise FDI for technology spillovers.Based on related studies of pre-researchers, explore the effects to get technology spillovers of foreign direct investments from china bringing by foreign enterprise’ industry-transfer into china from the relationships between industry-transfer into china and foreign direct investment from china and view angle of industry transfer to our country. This essay can be divided three parts. The first part, including the first chapter and the second chapter, are background of study and reviews of literature. First, the writer introduce the situation of our country’ industrial economy and enterprise, the policies for our country related foreign direct investment and the urge for our enterprise to enhance technology. The writer reviews the mainstream FDI theories’study emphasizes and notices bringing to us and the study fruits on technology spillovers of host country from other researchers, and find that pre-researchers ignored the effects of the home country’s industrial situation changes that the industry-transfer into china brings. The second part, including the third chapter, adopt comparative study method and case study method. By contrast on similarities and differences and trend between industry-transfer into china and OFDI, we find that not only the investment amount but also the structure of them are highly interrelated. The change of both investment amounts has a same time point and both trends of structures are changing to capital and technology intensive industries. The third part, including the fourth chapter and the fifth chapter, adopting comprehensive research method, which combine the theoretical analysis and the empirical analysis, explore FDI of china enterprise to get technology spillovers of host country. In the theoretical analysis, in both microcosmic and macrocosmic angle, analyze the mechanism to get technology spillovers of host country of OFDI of china enterprise. In the microcosmic angle, applying HK model to analyze enterprises’choice to enhance technology and its influencing factor, and then analyze the spillover channel of them, including the demonstration effects, the platform effects and personnel mobility effects. In the macrocosmic angle, analyze how the related industry effects, the competition effects and the transfer effects of industry affect spillovers of host country of OFDI of china enterprise. And based on them, analyze the effective mechanism for china enterprise to get technology spillovers of host country of foreign enterprise direct investment into china. In empirical analysis, we apply Pottelsberghe(2001) L-P model and adopt china2003-2010industrial panel data and stata.12software to verify the effects of china enterprise to get technology spillovers of host country in result of foreign enterprise direct investment into china. Finally, integrate our above studies to make a comprehensive and practical analysis. The fourth part, including sixth chapter, conclude this essay’s study fruits that in the technology intensive industries, industry-transfer of developed and emerging affect the effects to get technology spillovers of host country of OFDI of china enterprise. In another words, conclude that our country take over the transfer of industry from developed country affect the effects to get technology spillovers of host country of OFDI of china enterprise.更多还原