中国对外直接投资的母国产业技术进步效应研究
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摘要
随着世界经济发展水平的不断提高和经济全球化的不断深化,对外直接投资越来越成为世界经济所关注的热点。目前大部分国内外研究学者都着重研究发达国家的对外直接投资理论和相关的经济效应,对发展中国家的对外直接投资相对研究较少。并且现有的研究也大多集中在对外直接投资的区位、产业选择分析上,对技术问题的研究还颇为有限。近年来,中国对外直接投资活动开始迅速发展,那么对外直接投资对中国产业技术进步是否存在着某种影响。鉴于此,本文研究中国对外直接投资与产业技术进步的关系具有一定的理论与现实意义。
本文综合运用国际投资学、产业经济学等相关学科知识,对对外直接投资的母国产业技术进步效应进行了系统研究,全文共分五章。第一章对选题背景与意义、国内外研究现状及研究方法与内容等进行了概述。第二章对发达国家和发展中国家的对外直接投资理论和对外直接投资的技术进步效应理论进行了阐述。第三章分析了对外直接投资对母国产业技术进步的影响因素,探讨了对外直接投资影响母国产业技术进步的机理及路径。第四章透析了中国对外直接投资与技术水平发展的现状,基于理论分析与中国的实际数据,对中国对外直接投资与产业技术进步的相互关系进行了实证检验。结果表明,在产业层面上,中国对外直接投资能促进第二产业的技术进步；在行业层面上,中国各具体行业对外直接投资对产业技术进步具有不同程度的影响。第五章对全文的主要研究结论进行了总结,并对进一步研究的方向做了工作展望。
本文的主要创新点有：基于母国视角,并区别于以往研究文献的分类标准,探讨了对外直接投资影响母国产业技术进步的影响机理和路径,提出模仿学习型FDI和合作创新学习型FDI；区别于以往文献的地域视角而从产业的视角来分析对外直接投资的技术进步效应；采用中国的相关实际数据,通过两种计量经济学方法从产业层面和行业层面上对中国对外直接投资与产业技术进步的关系进行了实证检验。但本文的研究也还存在一些不足,如由于数据有限而不能采用各行业的面板数据对各行业的对外直接投资存量、研发资本存量及研发人力资本存量与全要素生产率之间的关系进行检验。今后,笔者将在这些不足的方面进行继续研究,以使本文研究得到进一步的延伸和深化。
With the improvement of the world overall economy and the deepening of the economic globalization, outward foreign direct investment has continued been the focus of the world economy. Currently, most of the scholars at home and abroad emphatically studied on the related theories and economic impacts of outward foreign direct investment, and only a few researches are about outward foreign direct investment of developing countries. Furthermore, most of these researches are focused on the location selection and industry selection analysis, and the research on technology is still limited. In recent years, China's outward foreign direct investment has got rapid development and it's necessary to reveal that whether the development of China's outward foreign direct investment has affected the industrial technology progress in China. In view of this, this thesis has certain theoretical and practical significance by making analysis on the relationship of the China's outward foreign direct investment and the industrial technology progress.
This thesis combined the knowledge of international investment, industrial economics and some other subjects, and researched on the industrial technology progress impacts of the homeland from outward foreign direct investment. This thesis was divided into five chapters. The first chapter summarized the background and significance, research status, research methods and the main content. The second chapter discussed the foreign direct investment theory and the technical progress theory of both developed countries and the developing countries. The third chapter analyzed the influence factors of outward foreign direct investment which affected the industrial technology progress of the homeland, and discussed the influence mechanism and path of it. The fourth chapter analyzed the current situation of China's outward foreign direct investment, and based on the theoretical analysis and practical data of China, this thesis made empirical test on the relationship of China's outward foreign direct investment and industry technical progress. From the industry perspective, the results showed that China's outward foreign direct investment can promote industrial technological progress. From the business perspective, China's specific industries had different influence on industrial technology progress. The fifth chapter summarized the main research results and look forward to the further research work.
The main innovations of this thesis included the following aspects. From the homeland perspective and different from the previous research literature classification standards, this thesis discussed the influence mechanism and path of outward foreign direct investment to industry technology progress and raised the conception of imitation-oriented innovation FDI and cooperative learning -oriented innovation FDI. Different from the previous regional perspective, this thesis analyzed the technical progress impacts from the industrial perspective. This thesis used Chinese actual data and two econometric methods to analyze the direct relationship between China's outward foreign investment and industrial technology progress both from the industry perspective and business perspective. However, this thesis also existed some disadvantages, such as the data collection was limited and caused the fact that the panel data was not enough to inspect the relationship among the foreign direct investment capital, R&D capital, human capital and total factor. In the future, the author will continue to study on these aspects in order to make further extensions and deepening.
本文综合运用国际投资学、产业经济学等相关学科知识,对对外直接投资的母国产业技术进步效应进行了系统研究,全文共分五章。第一章对选题背景与意义、国内外研究现状及研究方法与内容等进行了概述。第二章对发达国家和发展中国家的对外直接投资理论和对外直接投资的技术进步效应理论进行了阐述。第三章分析了对外直接投资对母国产业技术进步的影响因素,探讨了对外直接投资影响母国产业技术进步的机理及路径。第四章透析了中国对外直接投资与技术水平发展的现状,基于理论分析与中国的实际数据,对中国对外直接投资与产业技术进步的相互关系进行了实证检验。结果表明,在产业层面上,中国对外直接投资能促进第二产业的技术进步；在行业层面上,中国各具体行业对外直接投资对产业技术进步具有不同程度的影响。第五章对全文的主要研究结论进行了总结,并对进一步研究的方向做了工作展望。
本文的主要创新点有：基于母国视角,并区别于以往研究文献的分类标准,探讨了对外直接投资影响母国产业技术进步的影响机理和路径,提出模仿学习型FDI和合作创新学习型FDI；区别于以往文献的地域视角而从产业的视角来分析对外直接投资的技术进步效应；采用中国的相关实际数据,通过两种计量经济学方法从产业层面和行业层面上对中国对外直接投资与产业技术进步的关系进行了实证检验。但本文的研究也还存在一些不足,如由于数据有限而不能采用各行业的面板数据对各行业的对外直接投资存量、研发资本存量及研发人力资本存量与全要素生产率之间的关系进行检验。今后,笔者将在这些不足的方面进行继续研究,以使本文研究得到进一步的延伸和深化。
With the improvement of the world overall economy and the deepening of the economic globalization, outward foreign direct investment has continued been the focus of the world economy. Currently, most of the scholars at home and abroad emphatically studied on the related theories and economic impacts of outward foreign direct investment, and only a few researches are about outward foreign direct investment of developing countries. Furthermore, most of these researches are focused on the location selection and industry selection analysis, and the research on technology is still limited. In recent years, China's outward foreign direct investment has got rapid development and it's necessary to reveal that whether the development of China's outward foreign direct investment has affected the industrial technology progress in China. In view of this, this thesis has certain theoretical and practical significance by making analysis on the relationship of the China's outward foreign direct investment and the industrial technology progress.
This thesis combined the knowledge of international investment, industrial economics and some other subjects, and researched on the industrial technology progress impacts of the homeland from outward foreign direct investment. This thesis was divided into five chapters. The first chapter summarized the background and significance, research status, research methods and the main content. The second chapter discussed the foreign direct investment theory and the technical progress theory of both developed countries and the developing countries. The third chapter analyzed the influence factors of outward foreign direct investment which affected the industrial technology progress of the homeland, and discussed the influence mechanism and path of it. The fourth chapter analyzed the current situation of China's outward foreign direct investment, and based on the theoretical analysis and practical data of China, this thesis made empirical test on the relationship of China's outward foreign direct investment and industry technical progress. From the industry perspective, the results showed that China's outward foreign direct investment can promote industrial technological progress. From the business perspective, China's specific industries had different influence on industrial technology progress. The fifth chapter summarized the main research results and look forward to the further research work.
The main innovations of this thesis included the following aspects. From the homeland perspective and different from the previous research literature classification standards, this thesis discussed the influence mechanism and path of outward foreign direct investment to industry technology progress and raised the conception of imitation-oriented innovation FDI and cooperative learning -oriented innovation FDI. Different from the previous regional perspective, this thesis analyzed the technical progress impacts from the industrial perspective. This thesis used Chinese actual data and two econometric methods to analyze the direct relationship between China's outward foreign investment and industrial technology progress both from the industry perspective and business perspective. However, this thesis also existed some disadvantages, such as the data collection was limited and caused the fact that the panel data was not enough to inspect the relationship among the foreign direct investment capital, R&D capital, human capital and total factor. In the future, the author will continue to study on these aspects in order to make further extensions and deepening.
引文
[1]Bin Xu, Eric p Chiang, International Expansion Strategy of Japanese Firms Capability Building through Sequential Entry. The Academy of ManagementJournal,2005,(38):383-407.
[2]Branstetter L. Is Foreign Direct Investments a Channel of Knowledge Spillovers [J]. Evidence form Japan's FDI in the United States, NBER Working Paper No.8015,2000.
[3]Buckley P J, Casson M. The Future of the Multinational Enterprise, Ma-cmillan, London, 1976:198-231.
[4]Cantwell, Janne.Technologieal Globalisation and Innovation Centers:The Role of Technological Leadership and Location Hierarchy[J]. Research Policy,1999,8:119-144.
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[9]Dunning J H, Kim C S, Lin J D. Incorporating Trade into the Investment Development Path:A Case Study of Korea and Taiwan.Oxford Development Studies,2001,29(2):145-154.
[10]Fosfuri. Andrea, Motta. Massimo. Multinational without Advantages[J]. Scandinavian Journal of Economics,1999, 101(4):617-630.
[II]Glass A, Kamal5.International technology transfer and the technology gap[J]. Journal of Development Economics,1988,55(2):369-398.
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[13]Hymer S H. International Operations of National Firms:A Study of Direct Foreign Investment, MIT, Press,1976.
[14]Jaffe A, Trajtenberg M, Henderson R. Geographic Localization of Knowledge Spillovers as Evidenced by Patent Citations[J]. Quarterly Journal of Economics August,1993:577-598.
[15]Keller, Hakanson L. Foreign Research and Development in Swedish Multinational[J]. Research Policy,2001,22(11):373-396.
[16]Kogut B, Chang S. Technological Capabilities and Japanese Foreign Direct Investment in the United States [J]. The Review of Economics and Statistics,1991,73:401-413.
[17]Kojima K. Dynamics of Japanese Direct Investment:A Japanese Model of Multinations Business Operations, Beckenham, Croom Helm,1978.
[18]Kojima K. Agreed Specification and Cross-Direct Investment, Hitotsubashi Journal of Economies,24(1),1983.
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[34]古广东.对外直接投资与母国经济利益：理论分析与实证分析[D].浙江大学,2006.
[35]龚艳萍,郭凤华.对外直接投资对产业技术进步的影响——文献回顾与我国的实证研究[J].中南大学学报(社会科学版),2009(6)：378-384.
[36]景劲松,陈劲,吴沧澜.我国企业R&D国际化的现状、特点及模式[J].研究与发展管理,2003(8)：41-48.
[37]江小娟.我国对外投资的战略意义与政策建议[J].中国外汇管理,2000(11)：8-9.
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[41]鲁桐.中国企业海外经营：对英国中资企业的实证研究[J].世界经济,2000,23(4)：3-15.
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[2]Branstetter L. Is Foreign Direct Investments a Channel of Knowledge Spillovers [J]. Evidence form Japan's FDI in the United States, NBER Working Paper No.8015,2000.
[3]Buckley P J, Casson M. The Future of the Multinational Enterprise, Ma-cmillan, London, 1976:198-231.
[4]Cantwell, Janne.Technologieal Globalisation and Innovation Centers:The Role of Technological Leadership and Location Hierarchy[J]. Research Policy,1999,8:119-144.
[5]Chang, SeaJin. International Expansion Strategy of Japanese Firms:Capability Building through Sequential Entry[J]. Academy of Management Journal,1995, (38).
[6]Dunning J H. International Production and the Multinational Interprise, George Allen Unwin, London,1981.
[7]Dunning J H.The Investment Development Cycle and Third World Multinati-onals, in K.M.Khan, ed., Multinational of the south, London:Francis Porter.
[8]Dunning J H. Location and multinational Enterprise:A Neglected Factor? Journal of International Business Studies,1998,29(1):45-66.
[9]Dunning J H, Kim C S, Lin J D. Incorporating Trade into the Investment Development Path:A Case Study of Korea and Taiwan.Oxford Development Studies,2001,29(2):145-154.
[10]Fosfuri. Andrea, Motta. Massimo. Multinational without Advantages[J]. Scandinavian Journal of Economics,1999, 101(4):617-630.
[II]Glass A, Kamal5.International technology transfer and the technology gap[J]. Journal of Development Economics,1988,55(2):369-398.
[12]Griffith,Gedding. An Assessment of Outward Foreign Direct Investment from China's Transitional Economy. Europe-Asia Studies,2001,53(8):1235-1254.
[13]Hymer S H. International Operations of National Firms:A Study of Direct Foreign Investment, MIT, Press,1976.
[14]Jaffe A, Trajtenberg M, Henderson R. Geographic Localization of Knowledge Spillovers as Evidenced by Patent Citations[J]. Quarterly Journal of Economics August,1993:577-598.
[15]Keller, Hakanson L. Foreign Research and Development in Swedish Multinational[J]. Research Policy,2001,22(11):373-396.
[16]Kogut B, Chang S. Technological Capabilities and Japanese Foreign Direct Investment in the United States [J]. The Review of Economics and Statistics,1991,73:401-413.
[17]Kojima K. Dynamics of Japanese Direct Investment:A Japanese Model of Multinations Business Operations, Beckenham, Croom Helm,1978.
[18]Kojima K. Agreed Specification and Cross-Direct Investment, Hitotsubashi Journal of Economies,24(1),1983.
[19]Lee J Y, Mansfield E. Intellectual property protection and US foreign direct investment[J]. Review of Economics and Statistics,1996,78:181-186.
[20]Neven D, Siotis G. Foreign direct investment in the European Community:Some policy Issues [J]. Oxford Review of Economic Policy,1993,9(2):72-93.
[21]Nelson, Richard. Investment in Humans, Technological Diffusion, and Economic Growth. American Economic Review:Papers and Proceedings,1999,(61):724-756.
[22]Pack H, Saggi K.Inflows of foreign technology and indigenous technological development. Review of Development Economics,1997,1(1):81-98.
[23]Pearce. Decentralized R&D and Strategic Competitiveness:Globalised Approaehes to Generation and Use of Teehnology in Multinational Enterprises[J]. Researeh Policy,1999, 28:157-178.
[24]Porter M E. Clusters and New Economies of Competition[J], Harvard Business Review, 1998(11).
[25]Sourafel G, Greenaway D, Wakenlin K.Who benefits from foreign direct investment in the UK [J].Scottish Journal of political Economy,2001,48(2):119-133.
[26]Vernon R. International Investment and International Trade in the Product Cycle, Quarterly Journal of Economic 80(2)May,1996.
[27]Wells. Third World Multinationals, MIT, Press,1983.
[28]Wooldridge, Jeffrey M. Introductory Econometrics:A Modern Approach [M].北京：清华大学出版社,2009.
[29]Yui Kijoma,Thomas A. Keiretsu and Japanese Direct Investment in US Manufacturing.Japan and The World Economy,1995,(7):481-503.
[30]白玲,刘艳美.我国企业技术寻求型跨国并购的战略分析[J].商场现代化.2007(10)：265.
[31]杜群阳,朱勤中国企业技术获取型海外直接投资理论与实践[J].国际贸易问题,2004(11)：66-69.
[32]杜群阳.R&D全球化、反向外溢与技术获取型FDI[J].国际贸易问题,2006(12)：88-91.
[33]范方志,周剑,张立军.对外直接投资与母国技术创新[J].宁波职业技术学院学报,2004(4)：7-10.
[34]古广东.对外直接投资与母国经济利益：理论分析与实证分析[D].浙江大学,2006.
[35]龚艳萍,郭凤华.对外直接投资对产业技术进步的影响——文献回顾与我国的实证研究[J].中南大学学报(社会科学版),2009(6)：378-384.
[36]景劲松,陈劲,吴沧澜.我国企业R&D国际化的现状、特点及模式[J].研究与发展管理,2003(8)：41-48.
[37]江小娟.我国对外投资的战略意义与政策建议[J].中国外汇管理,2000(11)：8-9.
[38]李东阳.国际直接投资与经济发展.北京：经济科学出版社,2002,129-132.
[39]李烁,王峰,王启云.中国企业海外R&D投资的思考[J].重庆邮电学院学报(社会科学版),2005,17(4)：496-499.
[40]刘红忠.中国对外直接投资的实证研究及国际比较.上海：复旦大学出版社,2001,110-16.
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