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基于技术缺口的技术寻求型对外直接投资的战略研究
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摘要
随着经济全球化趋势的加快和企业间竞争程度的加剧,技术优势在企业竞争中的地位急剧上升,技术缺口对经济增长的影响越来越明显。技术寻求型对外直接投资是一种“逆向型对外直接投资”,通过逆向技术溢出效应可以获得东道国的先进技术,在国外已有成功经验,如战后的德国、日本以及如今的亚洲新兴工业化国家,依靠技术寻求型对外直接投资而获得了先进的技术,从而迈入先进的国家行列。我国正处于工业化的发展阶段,技术的创新直接关系着我国的进一步发展速度。传统的“贸易窗口型”或“制造基地型”海外直接投资已不适应于中国开放经济条件下经济增长的要求。因此,开展技术寻求型对外直接投资将有助于弥补我国存在的技术缺口,提升我国企业在全球价值链的竞争优势,应成为我国对外资本输出的主流。
     论文共分六个部分:
     第一部分:导论。介绍了论文的选题意义,并提出了本文拟论述的问题;总结了国内外的相关研究现状;概述了本文的研究框架、研究内容及主要创新点。
     第二部分:技术缺口及其经济增长效应。阐述了技术缺口及其相关理论,论证了技术缺口对经济增长的重大影响,指出弥补技术缺口对一国长期经济发展的重要性。
     第三部分:技术寻求型对外直接投资对技术缺口的弥补。首先,通过与各种传统技术获取方法的比较和技术寻求型对外直接投资的独特优势分析,提出了技术寻求型对外直接投资的概念;其次,揭示了技术寻求型对外直接投资获取技术的机理,它是通过逆向技术溢出效应从公司、产业和国家三个层次依次发生作用而最终实现国家技术水平提升的;最后,指出公司层面的逆向技术溢出效应是三个层面中的关键。分别从溢出效应的供方和受方两个方面深入探讨了公司层面溢出效应发挥的影响因素,其中,供方的影响因素是发达国家地方产业集群的作用,受方的影响因素包括企业国外子公司知识吸收能力和集群嵌入能力。
     第四部分:国内外技术寻求型对外直接投资的发展现状。首先,对发达国家技术寻求型对外直接投资的发展现状进行了全面的分析。指出发达国家技术寻求型对外直接投资区位选择以其他发达国家为主,投资产业以信息技术硬件、汽车和生物医药等高新技术行业为主,并且区位选择逐渐呈现出向发展中国家集中的趋向。其次,对发展中国家技术寻求型对外直接投资的发展现状也进行了分析。虽然发展中国家通过技术寻求型对外直接投资获取技术的成功案例并不普遍,但发展速度也很快,尤其是韩国、新加坡和印度等国家,对我国企业成功开展技术寻求型对外直接投资具有重要的借鉴意义。最后,总结了这十几年来我国成功开展技术寻求型对外直接投资的企业,分别从主体选择、产业选择、区位选择和市场进入方式四个方面进行了分析,指出了我国企业今后的发展方向。
     第五部分:我国开展技术寻求型对外直接投资的策略分析。结合我国的国情和企业的现状,主要从两个层面来分析:企业层面和国家层面。在企业层面,从产生通过技术寻求型对外直接投资寻求所需技术的意向开始,到制定一系列计划、方案、决策,并组织和控制整个投资活动的全过程,最大化利用发达国家技术集聚地的外溢效应,最终使寻求的技术内部化,企业常常要经过一系列产业、区域和市场进入方式等的选择过程,从而如何进行这些方面的选择就成为企业开展技术寻求型对外直接投资的关键。本文运用定量与定性相结合的方式从主体选择、产业选择、区域选择、市场进入方式选择和最终的技术内部化五个方面分别进行了分析。在国家层面,提出国家应从战略高度认识到技术寻求型对外直接投资的重要性,以长远的战略规划来引导企业的发展方向,以有力的优惠措施和服务手段来支持企业的投资活动,以有效地法律法规来保障企业的合法利益,为我国企业实施技术寻求型对外直接投资战略创造一个全面良好的外部环境,保证技术寻求型对外直接投资能长期顺利展开。
     第六部分:结论。技术缺口对一国经济的长期发展有着重要的影响,使得我国弥补技术缺口显得格外迫切,而技术寻求型对外直接投资的逆向溢出效应为我国弥补技术缺口提供了契机。因此,我国企业开展技术寻求型对外直接投资是缩小与国外的技术差距,提升我国企业在全球价值链竞争地位的现实选择。为了保证我国企业技术寻求型对外直接投资的顺利实施,从企业层面上看,企业在产业选择、区位选择、市场进入方式等战略决策上应作出正确的选择;从国家层面来看,需要为我国企业技术寻求型对外直接投资战略创造良好的外部环境。
     本文在以下几个方面进行了创新尝试:
     首先,在研究思路上。近年来,在获取技术方面国内研究焦点集中在中国如何吸引外商直接投资。本文主要以技术缺口为出发点,研究我国通过技术寻求型对外直接投资利用发达国家技术逆向外溢效应获取先进技术,弥补技术缺口的战略。同时,国内外多是围绕发达国家跨国公司的R&D对外投资展开研究,对发展中国家涉及很少,本文不仅总结了发展中国家TSFDI发展现状,还针对我国提出了一些发展技术寻求型对外直接投资的策略;
     其次,在研究方法上。采用定性与定量相结合的方式。以23个国家为研究对象,构建了技术寻求型对外直接投资区位选择指标体系,从定量的角度对区位选择进行了分析。其他方面采用了定性的方式进行了详细的阐述。
     最后,在研究手段上。使用较多的图表等形式来刻画事物的特征,对研究对象的表达更加直观和精确。
     论文还存在不足之处:在数据资料上,还有一些国家如卢森堡、芬兰等重要国家可能对我国企业有重大意义,但由于数据的难以获得,使得区位选择的研究对象不甚全面。在研究内容上,在对发展中国家技术寻求型对外直接投资的发展现状阐述的不是很全面,主要是从企业层面简单做了列举。随着发展中国家技术寻求型对外直接投资的日趋活跃,关于技术寻求型对外直接投资的资料会日渐增多和系统化,从而使得研究会更加详细和深入。
With the trend of economic globalization and the intensified inter-firm competition, the position of technical superiority rises suddenly in the enterprise competition and technology gap on economic growth is increasingly apparent. Technology-seeking FDI is a "reverse type of foreign direct investment". It can be the host of advanced technologies through the reverse technology overflow effort. It has been successful experiences abroad, such as the post-war Germany, Japan and the Asian newly industrialized countries. They access to the advanced technology relying on technology-seeking foreign direct investment, thus into the ranks of advanced countries. China is in the semi-industrial stage of development, technological innovation is directly related to the further development. The traditional "trade window type" or "manufacturing base type" foreign direct investment has not adapted to the required of China's economic growth under the conditions of opening economic. Therefore, technical-seeking FDI will help to fill the technology gap existing in our country and enhance our business competitive advantage in the global value chain, and should become the mainstream of China's foreign capital exports.
     Paper is divided into six parts:
     PartⅠ:Introduction. First, the paper explained the significance of the topic and made this issue to be discussed; Second, summarizes related research at home and abroad; Finally, this study outlines the framework, content and major innovation.
     PartⅡ:Technology Gaps and Economic Growth. Describes the technology gap and related theory, demonstrated the technology gap a significant impact on economic growth, that to close the technological gap in a country long-term economic development.
     PartⅢ:Technical Seeking foreign direct investment on technology to make up the gap. First, With a variety of traditional techniques for Comparison and analysis of the unique advantages of Technology-seeking FDI, the paper put forwards the concept of Technology-seeking FDI; Second, it reveals the mechanism of access to technology of Technology-seeking FDI, which is through reverse technology spillover effect from the companies, industries and countries in order to achieve the ultimate level of national technical upgrading; Finally, it discusses the factors of spillover effects by the corporate level technology from supply-side and receive-side, which supply-side factor is the role of local industrial clusters of developed countries and receive-side factor is corporate foreign sub-companies embed knowledge absorptive capacity and ability of the cluster.
     PartⅣ:domestic and foreign technology-based foreign direct investment for the development of the status quo. First, the paper analyzes technical-seeking FDI on the domestic and foreign countries. It Points out that technology-seeking FDI of the developed countries choice other developed countries as Investment regions, mainly the with information technology hardware, automotive and high-tech industries such as bio-based medicine as investment industries. In recent years, technology-seeking FDI has shown a gradually trend in developing countries. Second, although the success of developing countries through technology-seeking FDI not common, but the pace of development is soon, especially in South Korea, Singapore and India, for the successful implementation of enterprise-seeking foreign direct investment in technology has an important reference. Although China started late, but there are many success stories. Finally, the paper summarizes that China has successfully launched technology-seeking FDI enterprises the last ten years, and analyzes in four aspects from the main selection, industry selection, location selection and market entry mode, and points the direction of development of China's enterprises in the future.
     PartⅤ:technical Seeking FDI Strategy in China. The paper puts forward our technical Seeking FDI strategy according to China's national conditions and the status of business. It analyzes them from two aspects mainly:the enterprise level and national level. At the enterprise level, from the intention of technical Seeking FDI to a set of plans, programs, decisions, and organize and controlling the whole process of the investment activities, gathering to maximize the use of technology developed spillover effects, and finally to seek the internalization of technology, companies often go through a range of industries, regions and market entry mode of the selection process to choose how to proceed in these areas to become the key of technical-seeking FDI. This thesis analyzes the main selection in the way of combination of quantitative and qualitative:industry selection, area selection, market entry mode selection and technology internalization. At the national level, it raises the national awareness of the technology from a strategic model for the importance of foreign direct investment to strategic planning to guide long-term development of enterprises, with a powerful means of preferential measures and services to support the investment activities of enterprises to effectively the laws and regulations to protect the legitimate interests of enterprises, enterprises of China's technology-seeking foreign direct investment strategy to create a favorable external environment for comprehensive, ensure that technology-seeking foreign direct investment in the long.
     Part VI:Conclusion. First, the technology gap on the long-term development of a country's economy has a significant impact, making our country to close the technological gap particularly urgent. Technology-seeking FDI spillover effects provided an opportunity to close the technological gap of our country. Therefore, developing technology-seeking FDI is the realistic choice to narrow the technology gap with foreign countries and enhance the value chain of enterprises in the global competitive position. Secondly, in order to carry out technology-seeking FDI smoothly, from the enterprise level, the enterprises in the industry selection, location selection, market entry methods should be to make the right strategic decision-making choices; from the national level, the need for China Enterprise Technology-seeking FDI strategy to create a favorable external environment.
     In this paper, several aspects of the innovation to try:
     First of all, research ideas. In recent years, the research focused on how to attract foreign direct investment in China. In this paper, the technology gap as the starting point, describes that our country obtains advanced technology through technology-seeking FDI in the form of reverse spillover effects from developed countries, and closes the technological gap.
     Secondly, research methods. Using a combination of qualitative and quantitative methods.To 23 countries for study and build a technology-seeking FDI location choice index system, from a quantitative point of view of location choice is analyzed. Other qualitative methods used were described in detail.
     Finally, research forms. The charts use more non-text things like form to describe the characteristics of the study. The expression on the study makes a more intuitive and precise.
     Because of my limited ability and information, the paper still has many shortcomings:Missing Data. Because of some countries such as Luxembourg, Taiwan, Finland and other important countries may have great significance for China's enterprises, it makes study less comprehensive. In the research technology-seeking FDI in developing countries is not very fully described, mainly lists the enterprise. With technology-seeking FDI has become increasingly active in developing countries, technology-seeking FDI and systematic information is increasing, which would make a more detailed and in-depth Research.
引文
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