东道国技术外溢、吸收能力与无技术优势企业对外直接投资
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摘要
二十世纪八十年代以来,随着经济全球化趋势不断加强,企业竞争空前激烈,技术成为决定企业竞争结果的关键因素,技术获取型对外直接投资日益突出。我国企业也加快对发达国家和地区直接投资的步伐,但获取海外技术的总体成效并不如意。探讨如何通过国际直接投资获取海外技术,不仅具有理论意义,更是改善我国企业“走出去”经营绩效的现实需要。
在既有研究成果的基础上,论文从国际直接投资的实践出发,运用数理模型与案例分析相结合的研究方法,分四个部分对技术获取型对外直接投资进行较为系统的研究。第一部分为理论述评。回顾对外直接投资传统理论后,认为传统理论强调跨国企业相对于东道国企业拥有以垄断性技术为核心的特定优势,很难解释技术获取型对外直接投资。然后提出无技术优势企业概念并将其界定为技术水平落后于国外企业的国内技术领先企业,并将相关的研究梳理为两类:一类从竞争策略角度论述对外直接投资与企业是否拥有特定优势没有必然联系。大多数研究从寡占反应或交换威胁战略阐述对外直接投资,但无法说明最初的对外直接投资是如何发生,隐含的前提是最初进行FDI的企业拥有优势因而通常被视为传统研究的补充;少数研究注意到技术扩散,但在研究中无形地夸大了技术扩散对缺乏优势企业的作用而解释有限。另一类从技术外溢角度进行研究,部分研究继承了第一类的思想。以技术外溢的空间局限性为基础,以技术落后企业吸收能力满足获取先进企业的技术外溢要求为前提,通过完全信息的双寡头古诺均衡分析说明落后企业因国内外整体润的最大化而对外直接投资。这一类研究因前提违背技术获取型企业吸收能力满足要求不具有一般性的实践而无法被普遍认可。
第二部分为本文的核心。首先引入东道国行业需求增长性,拓展Wang and Blomstrom(1992)的国际技术转移模型阐述无技术优势企业获取东道国技术的作用机制:无技术优势企业对外直接投资时,选择东道国需求平稳增长且技术学习困难不大的行业,通过对产品市场的竞争,先进企业的技术转移和技术学习形成正反馈,导致技术外溢的持续产生和获取。然后从两个方面深化既有的技术获取型FDI理论研究。当存在单向技术外溢时,引入企业R&D活动。若无技术优势企业R&D活动只是相对于先进企业处于劣势时,二者相互作用导致溢出程度较大,后者将限于国内经营而无技术优势企业因技术寻求而对外直接投资;若前者R&D活动的强度非常小和效率极低,导致技术外溢的程度极低,前者将选择对外直接投资而无技术优势企业因交换威胁战略和技术寻求动机也进行对外直接投资。当二者存在双向技术外溢时,考虑溢出在企业内部的不完全转移影响。若先进企业限于国内经营时,双向技术外溢提高了无技术优势企业对外直接投资的额外成本临界值,其增加幅度随溢出程度的增加而扩大,而无技术优势企业溢出转移能力的提高促进对外其直接投资的发生;若先进企业对外直接投资时,只有在较小的技术差距和溢出程度范围内,无技术优势企业才可能对外直接投资。随着溢出程度的提高,无技术优势企业对外直接投资的额外成本临界值增加。
最后,针对既有研究的缺陷,根据共识将企业吸收能力构造为自身R&D产出的函数并将自身R&D活动对吸收能力的促进作用视为吸收能力效应,构建完全信息的三阶段两国双寡头古诺模型阐述无技术优势企业选择对外直接投资所要求的条件:若不考虑吸收能力对溢出获取的影响时,无技术优势企业对外直接投资只存在于溢出程度较小的范围;若考虑吸收能力,对于相同的溢出程度,吸收能力作用使无技术优势企业的R&D投资增加,且无技术优势企业的国际市场选择策略是吸收能力效应强度的函数,无技术优势企业选择对外直接投资只存在强效应范围内。
第三部分选择京东方和三星电子所进行的技术获取型对外直接投资案例进行比较研究,验证第二部分的结论。总结我国企业技术获取型FDI存在的问题,基于上述结论对政府和企业提出相应的对策,还说明了研究存在的问题和后续研究方向,这构成第四部分的内容。
With the accelerating of economic globalization,national corporations are facing the huge pressure caused by the competition all around the world. As technology has become one of the key factors to determine the consequsence of competition among corporations, foreign direct investment with technology-accquisition has been surged since 1980’s.China’s enterprises have also speeded up to invest towards developed countries and regions ,but it is poorly to acquire foreign technology by direct investment on the whole. Therefore, it is not only the need of theory research also improvement operation performnance of China’s enterprise in FDI to study on how to acquire foreign technology.
Based on different researches for multinationals without advantages,the paper links the pratices of FDI and carefully studies technology-acquisition FDI by approaches of models and cases.The paper can be divided into four parts. Firstly, the paper reviews traditional FDI theories and thinks these theories emphasis transnational corporations have owned special advatages which are mostly in monopoly technology to host enterprises,technology-acqusition FDI can not be illuminated by these theories. the outward FDI by enterprises without technology advantages ,namely enterprises have higher efficiency than other domestic corporations and fall behind enterprise from host country in technology is put forward .However, some scholars have demonstrated the standpoint that it is not necessary connect with transnational corporations and special advantages.These researches can be divided into two styles,one of which illuminates FDI by oligopoly reaction and exchange of threat and does not explains how the first FDI happen,the other of which pays attention to the diffusion of technology and exaggerates the effect on enterprises without advantages.But these ideas have been absorbed by reseaches on echnology spillovers.pespectives.The researches illustrate FDI as profit maxmization through international and domestic markets,basing on localized technology spillovers and the requirement of absorpative capacity of enterprises without advantages which makes sure that enterprises absorbs technology spillovers from advanced corporations. The requirement cannot be easiliy realized in FDI.
Secondly, we discuss the mechanism of companies without technology advantages acquiring host country’s technology by introducing the demand growth of host country’s industry to extend the model of international technology tranfer by Wang and Blomstrom(1992). Because of competing for the host country’s market, companies without technology advantage and advanced counterparts go in for technology -learning and technology - transfering which lead to absorb spillovers of host country’s technology by companies without technology advantage. When host country industry demand keeps stable growth, and it is not difficult to learn technology, in the end technology learning and transfer can produce positive feedback and give rise to the excellent of quantity and degree of technology spillovers.
And then we deepen research on the FDI model of gaining host technology from two different prospectives. While companies without technology advantage and their counterparts with advanced technology exert in one-way technology spillovers and introducing enterprises’activity of R&D. If the former’s R&D activity is relatively inferior to the latter’s R&D activity.and interaction between them will lead to produce large in technology spillovers’degree, advanced companies limit to their operation at home and companies without technology advantage will invest counter’s country . If the density of the former’s R&D activity is much less, which leads to the lower spillovers. This gives rise to advanced companies choice FDI and counterparts without technology advantage prefer the same activity because of exchange threat game and technology–seeking motivation. When two-way technology spillovers take place, we introduce spillover’s transfer fees within corporations. If advanced corporations limit to their operation at home, two-way spillovers can promote corporations without technology advantage to choice FDI the same function as spillover’s transfer fees decreases.Whether corporations without technology advantage do in for FDI or not depends on the degree of technology spillovers and technology distance between corporations.
we present a three-stage Cournot duopoly model ,which is based on constructing absorptive capacity which is the function of enterprises’own R&D investment so as to overcome the defect of the research of FDI for acquisition-technology and two-way spillover through different technology enterprises from two countries, whether corporations without technology advantage do in for FDI or not depends on the degree of technology spillovers and the strengthen of own R&D activity on absorptive capacity of corporations.
Thirdly,we use cases of Jingdongfang Enterprise and Samsung Electronics Company to testify the theory of the FDI of corporations without technology advantages.In the end, according to China’s FDI ,we find some problems in the FDI to acquire technology by our corporations, and then this dissertation puts up some advice for Chinese government and corporations and presents some issues that can be further studied in the future.
在既有研究成果的基础上,论文从国际直接投资的实践出发,运用数理模型与案例分析相结合的研究方法,分四个部分对技术获取型对外直接投资进行较为系统的研究。第一部分为理论述评。回顾对外直接投资传统理论后,认为传统理论强调跨国企业相对于东道国企业拥有以垄断性技术为核心的特定优势,很难解释技术获取型对外直接投资。然后提出无技术优势企业概念并将其界定为技术水平落后于国外企业的国内技术领先企业,并将相关的研究梳理为两类:一类从竞争策略角度论述对外直接投资与企业是否拥有特定优势没有必然联系。大多数研究从寡占反应或交换威胁战略阐述对外直接投资,但无法说明最初的对外直接投资是如何发生,隐含的前提是最初进行FDI的企业拥有优势因而通常被视为传统研究的补充;少数研究注意到技术扩散,但在研究中无形地夸大了技术扩散对缺乏优势企业的作用而解释有限。另一类从技术外溢角度进行研究,部分研究继承了第一类的思想。以技术外溢的空间局限性为基础,以技术落后企业吸收能力满足获取先进企业的技术外溢要求为前提,通过完全信息的双寡头古诺均衡分析说明落后企业因国内外整体润的最大化而对外直接投资。这一类研究因前提违背技术获取型企业吸收能力满足要求不具有一般性的实践而无法被普遍认可。
第二部分为本文的核心。首先引入东道国行业需求增长性,拓展Wang and Blomstrom(1992)的国际技术转移模型阐述无技术优势企业获取东道国技术的作用机制:无技术优势企业对外直接投资时,选择东道国需求平稳增长且技术学习困难不大的行业,通过对产品市场的竞争,先进企业的技术转移和技术学习形成正反馈,导致技术外溢的持续产生和获取。然后从两个方面深化既有的技术获取型FDI理论研究。当存在单向技术外溢时,引入企业R&D活动。若无技术优势企业R&D活动只是相对于先进企业处于劣势时,二者相互作用导致溢出程度较大,后者将限于国内经营而无技术优势企业因技术寻求而对外直接投资;若前者R&D活动的强度非常小和效率极低,导致技术外溢的程度极低,前者将选择对外直接投资而无技术优势企业因交换威胁战略和技术寻求动机也进行对外直接投资。当二者存在双向技术外溢时,考虑溢出在企业内部的不完全转移影响。若先进企业限于国内经营时,双向技术外溢提高了无技术优势企业对外直接投资的额外成本临界值,其增加幅度随溢出程度的增加而扩大,而无技术优势企业溢出转移能力的提高促进对外其直接投资的发生;若先进企业对外直接投资时,只有在较小的技术差距和溢出程度范围内,无技术优势企业才可能对外直接投资。随着溢出程度的提高,无技术优势企业对外直接投资的额外成本临界值增加。
最后,针对既有研究的缺陷,根据共识将企业吸收能力构造为自身R&D产出的函数并将自身R&D活动对吸收能力的促进作用视为吸收能力效应,构建完全信息的三阶段两国双寡头古诺模型阐述无技术优势企业选择对外直接投资所要求的条件:若不考虑吸收能力对溢出获取的影响时,无技术优势企业对外直接投资只存在于溢出程度较小的范围;若考虑吸收能力,对于相同的溢出程度,吸收能力作用使无技术优势企业的R&D投资增加,且无技术优势企业的国际市场选择策略是吸收能力效应强度的函数,无技术优势企业选择对外直接投资只存在强效应范围内。
第三部分选择京东方和三星电子所进行的技术获取型对外直接投资案例进行比较研究,验证第二部分的结论。总结我国企业技术获取型FDI存在的问题,基于上述结论对政府和企业提出相应的对策,还说明了研究存在的问题和后续研究方向,这构成第四部分的内容。
With the accelerating of economic globalization,national corporations are facing the huge pressure caused by the competition all around the world. As technology has become one of the key factors to determine the consequsence of competition among corporations, foreign direct investment with technology-accquisition has been surged since 1980’s.China’s enterprises have also speeded up to invest towards developed countries and regions ,but it is poorly to acquire foreign technology by direct investment on the whole. Therefore, it is not only the need of theory research also improvement operation performnance of China’s enterprise in FDI to study on how to acquire foreign technology.
Based on different researches for multinationals without advantages,the paper links the pratices of FDI and carefully studies technology-acquisition FDI by approaches of models and cases.The paper can be divided into four parts. Firstly, the paper reviews traditional FDI theories and thinks these theories emphasis transnational corporations have owned special advatages which are mostly in monopoly technology to host enterprises,technology-acqusition FDI can not be illuminated by these theories. the outward FDI by enterprises without technology advantages ,namely enterprises have higher efficiency than other domestic corporations and fall behind enterprise from host country in technology is put forward .However, some scholars have demonstrated the standpoint that it is not necessary connect with transnational corporations and special advantages.These researches can be divided into two styles,one of which illuminates FDI by oligopoly reaction and exchange of threat and does not explains how the first FDI happen,the other of which pays attention to the diffusion of technology and exaggerates the effect on enterprises without advantages.But these ideas have been absorbed by reseaches on echnology spillovers.pespectives.The researches illustrate FDI as profit maxmization through international and domestic markets,basing on localized technology spillovers and the requirement of absorpative capacity of enterprises without advantages which makes sure that enterprises absorbs technology spillovers from advanced corporations. The requirement cannot be easiliy realized in FDI.
Secondly, we discuss the mechanism of companies without technology advantages acquiring host country’s technology by introducing the demand growth of host country’s industry to extend the model of international technology tranfer by Wang and Blomstrom(1992). Because of competing for the host country’s market, companies without technology advantage and advanced counterparts go in for technology -learning and technology - transfering which lead to absorb spillovers of host country’s technology by companies without technology advantage. When host country industry demand keeps stable growth, and it is not difficult to learn technology, in the end technology learning and transfer can produce positive feedback and give rise to the excellent of quantity and degree of technology spillovers.
And then we deepen research on the FDI model of gaining host technology from two different prospectives. While companies without technology advantage and their counterparts with advanced technology exert in one-way technology spillovers and introducing enterprises’activity of R&D. If the former’s R&D activity is relatively inferior to the latter’s R&D activity.and interaction between them will lead to produce large in technology spillovers’degree, advanced companies limit to their operation at home and companies without technology advantage will invest counter’s country . If the density of the former’s R&D activity is much less, which leads to the lower spillovers. This gives rise to advanced companies choice FDI and counterparts without technology advantage prefer the same activity because of exchange threat game and technology–seeking motivation. When two-way technology spillovers take place, we introduce spillover’s transfer fees within corporations. If advanced corporations limit to their operation at home, two-way spillovers can promote corporations without technology advantage to choice FDI the same function as spillover’s transfer fees decreases.Whether corporations without technology advantage do in for FDI or not depends on the degree of technology spillovers and technology distance between corporations.
we present a three-stage Cournot duopoly model ,which is based on constructing absorptive capacity which is the function of enterprises’own R&D investment so as to overcome the defect of the research of FDI for acquisition-technology and two-way spillover through different technology enterprises from two countries, whether corporations without technology advantage do in for FDI or not depends on the degree of technology spillovers and the strengthen of own R&D activity on absorptive capacity of corporations.
Thirdly,we use cases of Jingdongfang Enterprise and Samsung Electronics Company to testify the theory of the FDI of corporations without technology advantages.In the end, according to China’s FDI ,we find some problems in the FDI to acquire technology by our corporations, and then this dissertation puts up some advice for Chinese government and corporations and presents some issues that can be further studied in the future.
引文
①王艳梅,王新华,《中国企业对外直接投资:基于企业资源观的分析》,《对外经贸实务》,2005年第12期第页。
①A.D.Mayer,Tech Tach:How Managers are Stimulating Global R&D Communciation,Sloan Management Review49,(Spring)1991.
①转引自薛求知著的《当代跨国公司新理论》,复旦大学出版社2007年版第78页。
①与此类似,刘海云认为发展中国家对发达国家的直接投资可分为两个典型阶段:学习积累经验阶段和利用企业优势阶段,参见《规模经济与发展中国家的对外直接投资》,《国际贸易问题》1998年第8期第14页。
①参见孟宪昌著的《企业扩张论》,西南财政大学出版社2001年版第109页。
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