外商直接投资技术外溢理论与我国的实践
摘要
先进技术是现代经济发展的发动机,如何以最低成本获取先进技术,促进我国经济的持续健康发展,这是我们目前最为密切关注的问题。20世纪80年代以来,国际资本流动日趋活跃,外国直接投资(FDI)成为主要的资本流动形式,也成为发展中国家获取技术外溢的重要渠道。本文首先阐述了FDI技术外溢的理论:新古典经济增长理论强调资本要素积累对经济增长的作用,认为FDI资本注入对东道国只能在短期内影响东道国的经济增长,不能改变长期总产出的增长率;内生增长理论则引入了知识、人力资本等内生技术变化因素,认为资本收益不变甚至递增,从而可以实现持续经济增长;新制度经济学理论认为制度是影响经济增长的内生要素,因此FDI对东道国技术外溢的效果需要有利的东道国制度的支持。论文全面、深入地研究了国内外技术外溢的有关文献资料。在对我国“以市场换技术”的FDI政策效果评定方面,本文认为外国直接投资对我国确实产生了技术外溢效应,但是这种效应表现出区域不平衡分布和产业不平衡分布特征—东部地区技术外溢明显多,广大中西部地区相对少,行业分布中制造业特别是劳动密集型制造业获取的外溢技术较多,高科技产业得到的外溢技术较少。本文进一步分析了技术外溢的实现途径、制约因素;并对在华外商直接投资的技术外溢现状进行具体分析。最后,笔者提出从提高我国自身的吸收能力方面(加大研发投入、深化产业联系、加强国内企业的产业集聚效应、创造更好的通讯、运输和金融基础设施等)着手,促进FDI对我国技术转让与技术外溢。
Advanced technology is an engineer to growth and development in modem economy, so it is our top concern to procure advanced technology so as to promote sustainable and healthy development of our economy at the cheapest cost. International capital flow has been so robust since the 1980s that FDI becomes a major form of capital flow, and it becomes an important channel for developing host countries to get technology spillovers. This paper first briefly examines the origin of theories about technology spillovers. New Classic Growth Theory pays excessive attention to the importance of the capital factor to economy growth while Endogenous Growth Theory introduces endogenous technology factors such as human capital, knowledge, and argues that it is possible for developing host countries to achieve sustainable economic growth. New Institution Economics Theory thinks institutions are endogenous factors that can affect economic growth. Deeply and thoroughly the paper studies literature related to technology spillovers from FDI, and to our policy strategy "Procurement of Foreign Advanced Technology at the Cost of the Home Market", the paper argues that FDI does reveal some proprietary knowledge to our industries, but that this effect distributes unevenly among different industries and different economic areas: more in the eastern area in China and less in the central and western parts, and more in the labor-intensive manufactures such as textile, processing, retailing and less in the technology-intensive industries such as mobile industry. Further the paper analyzes channels achieving technology spillovers from FDI, effective factors which restrict the absorptive capacity. Finally the paper puts foreword some countermeasures to increase our own absorptive capacity to technology spillovers from FDI such as to invest more in R&D, to deepen industry relations, to reinforce industry accumulation effect on our industries and to develop better frustration in communication, transport in order to achieve more technology spillovers from FDI.
Advanced technology is an engineer to growth and development in modem economy, so it is our top concern to procure advanced technology so as to promote sustainable and healthy development of our economy at the cheapest cost. International capital flow has been so robust since the 1980s that FDI becomes a major form of capital flow, and it becomes an important channel for developing host countries to get technology spillovers. This paper first briefly examines the origin of theories about technology spillovers. New Classic Growth Theory pays excessive attention to the importance of the capital factor to economy growth while Endogenous Growth Theory introduces endogenous technology factors such as human capital, knowledge, and argues that it is possible for developing host countries to achieve sustainable economic growth. New Institution Economics Theory thinks institutions are endogenous factors that can affect economic growth. Deeply and thoroughly the paper studies literature related to technology spillovers from FDI, and to our policy strategy "Procurement of Foreign Advanced Technology at the Cost of the Home Market", the paper argues that FDI does reveal some proprietary knowledge to our industries, but that this effect distributes unevenly among different industries and different economic areas: more in the eastern area in China and less in the central and western parts, and more in the labor-intensive manufactures such as textile, processing, retailing and less in the technology-intensive industries such as mobile industry. Further the paper analyzes channels achieving technology spillovers from FDI, effective factors which restrict the absorptive capacity. Finally the paper puts foreword some countermeasures to increase our own absorptive capacity to technology spillovers from FDI such as to invest more in R&D, to deepen industry relations, to reinforce industry accumulation effect on our industries and to develop better frustration in communication, transport in order to achieve more technology spillovers from FDI.
引文
1. Blomstrom M. and H. Persson (1983), "Foreign Investment and Spillovers Efficiency in an Underdeveloped Economy: Evidence from the Mexican Manufacturing Industry", World Development, Vol. 11, 493-501.
2. Blomstrom M. and E. Wolff (1994), "Multinational Corporations and Productivity Convergence in Mexico", in W. Baumol, R. Nelson and E. Wolff, eds., Convergence of Productivity: Cross-National Studies and Historical Evidence, Oxford: Oxford University Press
3. Borensztein, E., De Gregorio, J., Lee, J. W., (1998),"How does foreign direct investment affect economic growth.", Journal oK International Economics, 45, 115-135.
4. Brian J. Ariken and Ann E. Harrison, "Do Domestic Firms Benefit From Direct Foreign Investment? Evidence from Venezuela", The American Economic Review, Vol. 89, No. 3, pp. 605-617.
5. Caves, R.E., (1971), "International Coporations: The Industrial Economics of Foreign Investment", Economics, Vol. 38, pp. 1—27.
6. Caves, R. E., (1974), "Multinational Firms, Competition and Productivity in Host-Country Markets", Economics, Vol. 41, pp. 176—193.
7. Cohen W. M. and Levinthal D. A. (1990), "Absorptive Capacity: A New Perspective in Learning and Innovation", Administrative Science Quarterly, Vol. 35, PP. 128-152.
8. Das, S.,(1987),"Externalitics, and Technology Transfer Through MNCs", Journal of Internstional Economics Review, Vol. 22, 171-182.
9. Findlay R. (1978), "Relative Backwardness, Direct Foreign Investment and the Transfer of Technology: A Simple Dynamic Model", Quartely of Journsl of Economics, February, pp. 1—16.
10. Globerman, S. (1979), "Foreign Direct Investment and Spillover Efficiency Benefits in Canadian Manufacturing Industries", Canadian Journal of Economics, Vol. 12, 42-56.
11. Graham, Edward M. and Krugman, Paul R, (1995), "Foreign Direct Investment in the United State, Washington DC", Institute for International Economic.
12. Haddad, M. & A. Harrison (1993), "Are there positivi spillovers from FDI, Evidence from panes data for Morocco", J. Develop. Ecom., 42: 51-74.
13. Johnson, Harry G., (1972), "Survey of Issues" in Peter Drysdale, ed, "Direct Foreign Investment in Asia and Pacific Toronto", University of Toronto Press.
14. Keller, W. (1996), "Absorptive capacity: On the Creation and Acquisition of Technology in Development", J. Develop. Econ., 49: 199-227.
15. Koizumi, T., and K. J. Kopecky, (1980), "Foreign Dire ct Investment, Technology Transfer and Domestic Employment Effects. "Journal of International Economics, 2, 1-20.
16. Kokko, A., (1992), "Foreign Investment, Host Country Characteristics and Spillovers", The Economic Research Institute, Stockholm.
17. Kokko,A.,(1994),"Technology, Market Characteristics,and Spillovers", Journal of Development Economics, Vol. 43, 279-293.
18. Kokko, A.,(1996),"Productivity Spillovers from "Competition between Local Firms and Foreign Affiliates", Journal of International Development, Vol. 8, pp. 517-530.
19. Kokko, A., R. Tansini and M. Zejan (1996), "Local Technological Capability and Spillovers from FDI in the Uruguayan Manufacturing Sector", Journal of Development Studies, Vol. 34, 602-611.
20. Lucas, Robert E. Jr. (1988)" On the Mechanics of Economic Development" Journal of Monetary Economics 22 (July): 3-42.
21. MacDougall G. D. A. (1960), "The Benefits and Costs of Private Investment from Absorb: A Theoretical Approach", Economic Record, March, pp. 13—35.
22. Nadiri, M.I. (1991), "U.S. Direct Investment and the Production Structure of the Manufacturing Sector in France, Germany, Japan, and the U.K.", mimeo, New York University and NBER, December.
23. Romer, P.M. (1990), "Endogenous Technology Change" , Journal of Political Economy, VOL. 98, NO. 5.
24. Sjoholm, F. (1999a), "Technology Gap, Competition and Spillovers from Direct Foreign Investment: Evidence from Establishment Data", Journal of Development Studies, Vol. 36 (1), 53-73.
25.包群,赖明勇,“FDI技术外溢的动态测算及原因解释”,《统计研究》,2003(6)。
26.毕世杰主编,《发展经济学》,高等教育出版社,2001年4月第3版。
27.江小娟:《中国的外资经济:对增长、结构升级和竞争力的贡献》,中国人民大学出版社,2002年版。
28.江小娟、杨圣明、冯雷主编,《中国对外经贸理论前沿Ⅲ》,中国社会文献出版社。2003年12月。
29.李平,“技术扩散理论及其给予我们的几点启示”,《辽宁经济》,1997年第7期,第26—27页。
30.林毅夫、平新乔和杨大勇,“可口可乐罐装系统对中国经济的影响”,北京大学中国经济研究中心讨论稿,No.C2000001,2000年。
31.沈坤荣,“外国直接投资与中国经济增长”[J],北京,《管理世界》,1999(5)。
32.沈坤荣和耿强,“外国直接投资、技术外溢与内生经济增长”,《中国社会科学》,2001年第5期。
33.梁琦(2004),《产业集聚论》,商务印书馆。
34.菲利普.阿吉翁(Philippe Aghion)和彼得.霍依特(Peter Howitt),《内生增长理论》(Endogenous Growth Theory)(中译本),北京大学出版社,2004年4月第1版。
2. Blomstrom M. and E. Wolff (1994), "Multinational Corporations and Productivity Convergence in Mexico", in W. Baumol, R. Nelson and E. Wolff, eds., Convergence of Productivity: Cross-National Studies and Historical Evidence, Oxford: Oxford University Press
3. Borensztein, E., De Gregorio, J., Lee, J. W., (1998),"How does foreign direct investment affect economic growth.", Journal oK International Economics, 45, 115-135.
4. Brian J. Ariken and Ann E. Harrison, "Do Domestic Firms Benefit From Direct Foreign Investment? Evidence from Venezuela", The American Economic Review, Vol. 89, No. 3, pp. 605-617.
5. Caves, R.E., (1971), "International Coporations: The Industrial Economics of Foreign Investment", Economics, Vol. 38, pp. 1—27.
6. Caves, R. E., (1974), "Multinational Firms, Competition and Productivity in Host-Country Markets", Economics, Vol. 41, pp. 176—193.
7. Cohen W. M. and Levinthal D. A. (1990), "Absorptive Capacity: A New Perspective in Learning and Innovation", Administrative Science Quarterly, Vol. 35, PP. 128-152.
8. Das, S.,(1987),"Externalitics, and Technology Transfer Through MNCs", Journal of Internstional Economics Review, Vol. 22, 171-182.
9. Findlay R. (1978), "Relative Backwardness, Direct Foreign Investment and the Transfer of Technology: A Simple Dynamic Model", Quartely of Journsl of Economics, February, pp. 1—16.
10. Globerman, S. (1979), "Foreign Direct Investment and Spillover Efficiency Benefits in Canadian Manufacturing Industries", Canadian Journal of Economics, Vol. 12, 42-56.
11. Graham, Edward M. and Krugman, Paul R, (1995), "Foreign Direct Investment in the United State, Washington DC", Institute for International Economic.
12. Haddad, M. & A. Harrison (1993), "Are there positivi spillovers from FDI, Evidence from panes data for Morocco", J. Develop. Ecom., 42: 51-74.
13. Johnson, Harry G., (1972), "Survey of Issues" in Peter Drysdale, ed, "Direct Foreign Investment in Asia and Pacific Toronto", University of Toronto Press.
14. Keller, W. (1996), "Absorptive capacity: On the Creation and Acquisition of Technology in Development", J. Develop. Econ., 49: 199-227.
15. Koizumi, T., and K. J. Kopecky, (1980), "Foreign Dire ct Investment, Technology Transfer and Domestic Employment Effects. "Journal of International Economics, 2, 1-20.
16. Kokko, A., (1992), "Foreign Investment, Host Country Characteristics and Spillovers", The Economic Research Institute, Stockholm.
17. Kokko,A.,(1994),"Technology, Market Characteristics,and Spillovers", Journal of Development Economics, Vol. 43, 279-293.
18. Kokko, A.,(1996),"Productivity Spillovers from "Competition between Local Firms and Foreign Affiliates", Journal of International Development, Vol. 8, pp. 517-530.
19. Kokko, A., R. Tansini and M. Zejan (1996), "Local Technological Capability and Spillovers from FDI in the Uruguayan Manufacturing Sector", Journal of Development Studies, Vol. 34, 602-611.
20. Lucas, Robert E. Jr. (1988)" On the Mechanics of Economic Development" Journal of Monetary Economics 22 (July): 3-42.
21. MacDougall G. D. A. (1960), "The Benefits and Costs of Private Investment from Absorb: A Theoretical Approach", Economic Record, March, pp. 13—35.
22. Nadiri, M.I. (1991), "U.S. Direct Investment and the Production Structure of the Manufacturing Sector in France, Germany, Japan, and the U.K.", mimeo, New York University and NBER, December.
23. Romer, P.M. (1990), "Endogenous Technology Change" , Journal of Political Economy, VOL. 98, NO. 5.
24. Sjoholm, F. (1999a), "Technology Gap, Competition and Spillovers from Direct Foreign Investment: Evidence from Establishment Data", Journal of Development Studies, Vol. 36 (1), 53-73.
25.包群,赖明勇,“FDI技术外溢的动态测算及原因解释”,《统计研究》,2003(6)。
26.毕世杰主编,《发展经济学》,高等教育出版社,2001年4月第3版。
27.江小娟:《中国的外资经济:对增长、结构升级和竞争力的贡献》,中国人民大学出版社,2002年版。
28.江小娟、杨圣明、冯雷主编,《中国对外经贸理论前沿Ⅲ》,中国社会文献出版社。2003年12月。
29.李平,“技术扩散理论及其给予我们的几点启示”,《辽宁经济》,1997年第7期,第26—27页。
30.林毅夫、平新乔和杨大勇,“可口可乐罐装系统对中国经济的影响”,北京大学中国经济研究中心讨论稿,No.C2000001,2000年。
31.沈坤荣,“外国直接投资与中国经济增长”[J],北京,《管理世界》,1999(5)。
32.沈坤荣和耿强,“外国直接投资、技术外溢与内生经济增长”,《中国社会科学》,2001年第5期。
33.梁琦(2004),《产业集聚论》,商务印书馆。
34.菲利普.阿吉翁(Philippe Aghion)和彼得.霍依特(Peter Howitt),《内生增长理论》(Endogenous Growth Theory)(中译本),北京大学出版社,2004年4月第1版。
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