我国电子信息产业外商直接投资的技术外溢效应研究
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摘要
中国在过去的20年里,一直积极吸引外资,加入WTO以来,中国吸引外资进入一个新的成熟稳定的发展阶段。FDI促进技术进步的渠道分为直接效应和间接效应两类:外资企业技术进步的直接效应指外资企业相对国内企业的要素生产率优势的提高。外资企业要素生产率的提高将直接带动东道国技术进步。间接效应是指外资企业对国内企业的技术外溢。本文研究的就是FDI的技术外溢效应。
本文在回顾了外国直接投资对东道国技术外溢效应理论的基础上,分析了FDI在我国电子信息产业的概况和特点,然后分析FDI对我国电子信息产业的技术外溢现状,阐述了实现技术外溢的传导机制。并对此行业进行实证分析,研究FDI对电子信息产业技术进步是否有正的溢出效应。该行业吸收外资活跃,技术密集度高,研发投入的多少代表着技术水平的高低,所以本文选用三资企业的R&D投入作为变量。结果显示三资企业的R&D投入对国内企业技术水平的促进作用不明显。外国直接投资通过R&D投入实现技术外溢效应不明显的原因:跨国公司对核心技术的控制;我国研发投入不足,技术吸收能力弱;市场结构不合理;我国从事的是低附加值的生产。最后,本文针对目前电子信息产业吸收外溢技术的不足,对如何更好的利用和扩大FDI技术外溢效应提出了相应的对策建议。
China has brought in FDI during the past twenty years. After China’s access to WTO, China’s absorption of FDI goes to a steady stage. FDI advance technology by two ways: direct effect and indirect effect. Direct effect functions by enhancing producing elements. Indirect effect functions by technology spillovers. This paper discuss on technology spillovers.
After reviewing theories of FDI technology spillovers in host country, this thesis analyzes FDI technology spillover effects on China’s electronic and information industry through an empirical study, since it is one of the most active industries in attracting foreign direct investment in China. And the results show that R&D activity by foreign enterprises can not significantly enhance the technical level of domestic firms within this industry. The reason for the result is that multinational corporations control advanced technology and local corporations can not get them; Our R&D investment is not enough so that our technology absorption is weak; Our structure of market is unreasonable for us to learn form multinational corporations. In the end, policy suggestions on how to better utilize and expand FDI spillovers are presented against poor technology absorption of our domestic enterprises..
本文在回顾了外国直接投资对东道国技术外溢效应理论的基础上,分析了FDI在我国电子信息产业的概况和特点,然后分析FDI对我国电子信息产业的技术外溢现状,阐述了实现技术外溢的传导机制。并对此行业进行实证分析,研究FDI对电子信息产业技术进步是否有正的溢出效应。该行业吸收外资活跃,技术密集度高,研发投入的多少代表着技术水平的高低,所以本文选用三资企业的R&D投入作为变量。结果显示三资企业的R&D投入对国内企业技术水平的促进作用不明显。外国直接投资通过R&D投入实现技术外溢效应不明显的原因:跨国公司对核心技术的控制;我国研发投入不足,技术吸收能力弱;市场结构不合理;我国从事的是低附加值的生产。最后,本文针对目前电子信息产业吸收外溢技术的不足,对如何更好的利用和扩大FDI技术外溢效应提出了相应的对策建议。
China has brought in FDI during the past twenty years. After China’s access to WTO, China’s absorption of FDI goes to a steady stage. FDI advance technology by two ways: direct effect and indirect effect. Direct effect functions by enhancing producing elements. Indirect effect functions by technology spillovers. This paper discuss on technology spillovers.
After reviewing theories of FDI technology spillovers in host country, this thesis analyzes FDI technology spillover effects on China’s electronic and information industry through an empirical study, since it is one of the most active industries in attracting foreign direct investment in China. And the results show that R&D activity by foreign enterprises can not significantly enhance the technical level of domestic firms within this industry. The reason for the result is that multinational corporations control advanced technology and local corporations can not get them; Our R&D investment is not enough so that our technology absorption is weak; Our structure of market is unreasonable for us to learn form multinational corporations. In the end, policy suggestions on how to better utilize and expand FDI spillovers are presented against poor technology absorption of our domestic enterprises..
引文
[1]包慧:我国吸收FDI技术外溢的现状及成因,内蒙古科技与经济,2005年
[2]蔡四青:加入WTO后,中国获取外资技术外溢效应的分析,经济问题探索,2005年第5期
[3]国家统计局,国家发展和改革委员会和科学技术部编,(2005)“中国高技术产业统计年鉴2005,”中国统计出版社
[4]国家统计局编,(1999-2005)“中国统计年鉴,”中国统计出版社
[5]国家发展和改革委员会,高技术产业司,宏观经济研究院编,(2005)“中国高技术产业发展年鉴2005,”北京理工大学出版社
[6]何洁:外商直接投资对中国工业部门外溢效应的进一步精确量化,世界经济,2000年第1期
[7]孔欣欣:中国电子工业成长及其动力因素分析,中国社会科学院研究生院博士学位论文,2004年
[8]李杏,盛朝迅:外商直接投资技术溢出效应的实证研究,南京财经大学报,2005年第6期
[9]潘斌: FDI的技术外溢效应,管理研究,2004年第1期,P9
[10]范飞龙:跨国公司投资对中国经济的溢出效应,财贸经济,2005年第四期,P72
[11]赵景峰:跨国公司技术外溢效应实现方式与中国对策,怀化学院学报,2004年1月,P79
[12]李小华:电子产业的外国直接投资及其影响,当代经济管理,2006年第2期,P65
[13]联合国贸易和发展会议UNCTD,(2005)“2005年世界投资报告
[14]娄勤俭:中国电子信息产业发展模式研究,中国经济出版社,2003年4月
[15]曲维枝:《信息产业与我国经济社会发展》,人民出版社,2002年
[16]沈坤荣等:外国直接投资的外溢效应分析,金融研究,2000年第3期
[17]沈坤荣:外国直接投资与中国经济增长,管理世界,1999年第5期
[18]孙艳等:从电子通信设备制造业看FDI技术转移的机制,河北理工学院学报,2005年第2期,P97
[19]夏良科:外国直接投资与行业技术进步,经济学,2004年第1期
[20]谢晓霞:中国电子工业与国际水平的差距分析,中国工业经济,2000年第11期
[21]徐伟:浅议FDI对我国制造业的影响及对策,”经济管理,2005年第1期
[22]王维:跨国公司对外直接投资与发展中国家的技术进步,世界政治与经济,2004年第6期
[23]吴婷等:FDI对中国技术溢出效应分析,投资分析,2006年第3期,P124
[24]张军:外商直接投资对我国电子信息产业的影响,国际经贸,2006年10月,P23
[25]朱廷君:外国直接投资的技术外溢效应:文献综述,兰州商学院学报,2005年第1期,P66
[26]祖强,孙军:跨国公司FDI对我国产业集聚和产业升级的影响,世界经济与政治论坛,2005年第5期
[27] Caves,(1971),International Corporations:The IndustrialEconomics of Foreign Investment,Economica.
[28] Caves, R.E. (1971):“International Corporations: The Industrial Economics of Foreign Investment”, Economica, 38, P:1-27.
[29] Caves, R.E,“Multinational Firms, Competition and Productively in Host Country Market”, Economica, vol.41, pp.176-193, 1974.
[30] Chen, E.K.Y(1996):“Transnational Corporations and Technology Transfer to Developing Countries”,in UNCTAD ed. : Transnational Corporations and World Development, 1996, p.181-241.
[31] Dunning,J.H(1981)International Production and the Multinational Enterprise Allen and Unwin.
[32] Findlay, R.,“Relative Backwardness, Direct Foreign Investment and the Transferof Technology: A Simple Dynamic Model”, Quartely of Journal of Economics, February, pp.1-16, 1978.
[33] Feder, G. (1982) :“On Export and Economic Growth”, Journal of Development Economics 37, P. 59-73.
[34] Findlay. R. (1987):“Relative Backwardness, Direct Foreign Investment and the Transfer of Technology: A Simple Dynamic Model”, Quarterly Journal of Economics, Feb, P. 1-16.
[35] Findlay,R.(1978),Relative Backwardness.Direct Foreign Investment and the Thansfer of Technology:A Simple Dynamic Modal,Quarterly Journal of Economics February.
[36] G.Feder,“On Export and Economic Growth”, Journal of Development Economics,vol.12, pp59-73, 1982.
[37] Haddad, M., Harrison, F.: Technology Transfer and Spillovers: Does Local Participation with Multinationals Matter, European Economic Review, 1999, Vol 43, p.915-923.
[38] Hymer,S.H(. 1976),The International Operations of National Firms: A Study of Direct Foreign Investment,MIT Press.
[39] Koizumi, T. and K.J.Kopecky,“Foreign Direct Investment, Technology Transfer and Domestic Employment Effects”, Journal of Internaional Economics, 10, February, pp.1-20,1980.
[40] Kokko.A,“Technology, Market Characteristics and Spillovers”, Journal of Development onomics ,1994
[41] Caves, R.E. (1971):“International Corporations: The Industrial Economics of Foreign Investment”, Economica, 38, P:1-27.
[42] Koizumi,T. and Kopecky,K.J.(1977):“Economic Growth, Capital Movements and The International Transfer of Technical Knowledge”, Journal of International Economics, Vol. 7, p. 45-65.
[43] Kokko, Ari, Foreign Direct Investment, Host Country Characteristic and Spillovers, The Economic Research Institute, Stockholm, 1992.
[44] Kokko,(1992),Foreign Direct Investment,Host County Characteristics and Spillovers, The Economic Research Institute. Stockholm.
[45] Kokko,(1994),Technology, Market Characteristics and Spillovers. Journal of Development Economics.
[46] Rome, P.M,“Endogenous Technology Change”, Journal of Political Economy VOL.98,NO5,1990.
[47] Wang,J.Y(1990),Growth,Technology Transfer and Longrun Theory of International Capital Movements,Journal of International Economics.
[48] Zeinab A.Karake:“Technology and Developing Economies”,Praeger,1990
[2]蔡四青:加入WTO后,中国获取外资技术外溢效应的分析,经济问题探索,2005年第5期
[3]国家统计局,国家发展和改革委员会和科学技术部编,(2005)“中国高技术产业统计年鉴2005,”中国统计出版社
[4]国家统计局编,(1999-2005)“中国统计年鉴,”中国统计出版社
[5]国家发展和改革委员会,高技术产业司,宏观经济研究院编,(2005)“中国高技术产业发展年鉴2005,”北京理工大学出版社
[6]何洁:外商直接投资对中国工业部门外溢效应的进一步精确量化,世界经济,2000年第1期
[7]孔欣欣:中国电子工业成长及其动力因素分析,中国社会科学院研究生院博士学位论文,2004年
[8]李杏,盛朝迅:外商直接投资技术溢出效应的实证研究,南京财经大学报,2005年第6期
[9]潘斌: FDI的技术外溢效应,管理研究,2004年第1期,P9
[10]范飞龙:跨国公司投资对中国经济的溢出效应,财贸经济,2005年第四期,P72
[11]赵景峰:跨国公司技术外溢效应实现方式与中国对策,怀化学院学报,2004年1月,P79
[12]李小华:电子产业的外国直接投资及其影响,当代经济管理,2006年第2期,P65
[13]联合国贸易和发展会议UNCTD,(2005)“2005年世界投资报告
[14]娄勤俭:中国电子信息产业发展模式研究,中国经济出版社,2003年4月
[15]曲维枝:《信息产业与我国经济社会发展》,人民出版社,2002年
[16]沈坤荣等:外国直接投资的外溢效应分析,金融研究,2000年第3期
[17]沈坤荣:外国直接投资与中国经济增长,管理世界,1999年第5期
[18]孙艳等:从电子通信设备制造业看FDI技术转移的机制,河北理工学院学报,2005年第2期,P97
[19]夏良科:外国直接投资与行业技术进步,经济学,2004年第1期
[20]谢晓霞:中国电子工业与国际水平的差距分析,中国工业经济,2000年第11期
[21]徐伟:浅议FDI对我国制造业的影响及对策,”经济管理,2005年第1期
[22]王维:跨国公司对外直接投资与发展中国家的技术进步,世界政治与经济,2004年第6期
[23]吴婷等:FDI对中国技术溢出效应分析,投资分析,2006年第3期,P124
[24]张军:外商直接投资对我国电子信息产业的影响,国际经贸,2006年10月,P23
[25]朱廷君:外国直接投资的技术外溢效应:文献综述,兰州商学院学报,2005年第1期,P66
[26]祖强,孙军:跨国公司FDI对我国产业集聚和产业升级的影响,世界经济与政治论坛,2005年第5期
[27] Caves,(1971),International Corporations:The IndustrialEconomics of Foreign Investment,Economica.
[28] Caves, R.E. (1971):“International Corporations: The Industrial Economics of Foreign Investment”, Economica, 38, P:1-27.
[29] Caves, R.E,“Multinational Firms, Competition and Productively in Host Country Market”, Economica, vol.41, pp.176-193, 1974.
[30] Chen, E.K.Y(1996):“Transnational Corporations and Technology Transfer to Developing Countries”,in UNCTAD ed. : Transnational Corporations and World Development, 1996, p.181-241.
[31] Dunning,J.H(1981)International Production and the Multinational Enterprise Allen and Unwin.
[32] Findlay, R.,“Relative Backwardness, Direct Foreign Investment and the Transferof Technology: A Simple Dynamic Model”, Quartely of Journal of Economics, February, pp.1-16, 1978.
[33] Feder, G. (1982) :“On Export and Economic Growth”, Journal of Development Economics 37, P. 59-73.
[34] Findlay. R. (1987):“Relative Backwardness, Direct Foreign Investment and the Transfer of Technology: A Simple Dynamic Model”, Quarterly Journal of Economics, Feb, P. 1-16.
[35] Findlay,R.(1978),Relative Backwardness.Direct Foreign Investment and the Thansfer of Technology:A Simple Dynamic Modal,Quarterly Journal of Economics February.
[36] G.Feder,“On Export and Economic Growth”, Journal of Development Economics,vol.12, pp59-73, 1982.
[37] Haddad, M., Harrison, F.: Technology Transfer and Spillovers: Does Local Participation with Multinationals Matter, European Economic Review, 1999, Vol 43, p.915-923.
[38] Hymer,S.H(. 1976),The International Operations of National Firms: A Study of Direct Foreign Investment,MIT Press.
[39] Koizumi, T. and K.J.Kopecky,“Foreign Direct Investment, Technology Transfer and Domestic Employment Effects”, Journal of Internaional Economics, 10, February, pp.1-20,1980.
[40] Kokko.A,“Technology, Market Characteristics and Spillovers”, Journal of Development onomics ,1994
[41] Caves, R.E. (1971):“International Corporations: The Industrial Economics of Foreign Investment”, Economica, 38, P:1-27.
[42] Koizumi,T. and Kopecky,K.J.(1977):“Economic Growth, Capital Movements and The International Transfer of Technical Knowledge”, Journal of International Economics, Vol. 7, p. 45-65.
[43] Kokko, Ari, Foreign Direct Investment, Host Country Characteristic and Spillovers, The Economic Research Institute, Stockholm, 1992.
[44] Kokko,(1992),Foreign Direct Investment,Host County Characteristics and Spillovers, The Economic Research Institute. Stockholm.
[45] Kokko,(1994),Technology, Market Characteristics and Spillovers. Journal of Development Economics.
[46] Rome, P.M,“Endogenous Technology Change”, Journal of Political Economy VOL.98,NO5,1990.
[47] Wang,J.Y(1990),Growth,Technology Transfer and Longrun Theory of International Capital Movements,Journal of International Economics.
[48] Zeinab A.Karake:“Technology and Developing Economies”,Praeger,1990