经济开放促进技术创新的理论及实证研究

发布时间：2018-04-02 01:30

本文选题：外商直接投资　切入点：对外贸易　出处：《湖南大学》2010年博士论文

【摘要】： 在经济全球化进程中,由国际贸易与FDI导致的技术扩散极大地促进了新技术的交流与创新,从而推动了各国经济的发展。本文研究了开放经济条件下技术创新的影响因素,探讨了不同层面国际贸易、外商直接投资对我国技术创新的影响途径和作用。首先,本文将我国企业技术创新的影响因素区分为企业组织结构、企业基本特征、企业人力资源状况、企业技术环境、企业国际联系、企业面临政府环境、企业市场环境、企业金融环境等方面,建立我国技术创新影响因素的二元选择模型,并采用北京、天津、上海、广州、成都五个城市电子设备、电子元件、交通设备及零部件等5类制造业和广告与营销、信息技术服务等5类服务业共1548家企业的调查数据,实证研究了我国企业技术创新的影响因素,考察了FDI、国际贸易和技术许可三种国际技术转移方式对于企业技术创新的影响作用。实证结果表明：企业的研发人数和政府对企业的研发支持显著地促进技术创新；中国企业成立时间、研发投入、决策者教育程度、政府研发支持、进口能显著地推动企业创新活动的发生；私有企业对技术创新产生了较大的贡献,与相对发达地区的国有企业相比,相对落后地区的国有企业对技术创新有更大的影响力；关于国际转移方式对技术创新的影响,外资股份占多数的外资企业对技术创新产生了负向的作用,而企业经营年限、培训机会和人力资本水平对技术创新也具有不同程度的促进作用。其次,本文进一步探讨了企业出口行为与企业生产率之间的关系,考察“出口中学”效应的存在。采用中国一千多家代表性企业的调查数据,从形式更为灵活的超越对数生产函数出发,纳入出口状态变量,建立实证模型。结果表明出口企业的生产率相对非出口企业高出20%至30%,这一生产率优势能够较为稳健地归结于“出口中学”效应,也就是说企业在参与出口的过程中通过“出口中学”效应促进了企业生产率的提高。这为“出口中学”理论假说提供了来自中国的实证支持,更为识别出口导向型发展战略对我国经济增长的贡献提供了来自微观视角的证据。再次,本文从产业的视角探讨了外商直接投资的技术溢出机制和途径,区分为FDI的横向溢出效应和后向溢出效应,并分别采用行业的就业人员和产出数据来度量这两个不同层面的技术溢出,采用我国行业层面的数据实证考察FDI的技术溢出机制和途径。研究表明外国直接投资在我国产业层面上没有产生横向溢出效应,但是有正的后向链接效应；在劳动密集型行业既存在负的竞争效应,又存在因为劳动力从外资企业回流到国内同行企业所带来的正向溢出效应。FDI技术溢出效应的具体表现和程度依赖于溢出途径和产业自身特征。最后,本文讨论了知识产权保护影响外商直接投资与技术创新的作用机制,建立实证模型,利用我国1995-2007年省际平衡面板数据分析知识产权保护、FDI对于技术创新的影响作用。实证发现我国技术创新能力主要来源于研发投入；知识产权保护水平的提高并不能显著促进我国技术创新能力的提升,这些结论不因技术创新能力指标选取的不同而改变。但这种作用存在区域差异性,在环渤海和海峡两岸省份存在一定促进作用,而中部、西部、北部湾知识产权保护水平的提高在一定程度上抑制了技术创新能力。国际贸易和FDI能显著促进国内技术创新能力的提升,但FDI对我国技术创新的促进作用受到知识产权保护水平的影响,强化知识产权保护水平能增进FDI的技术创新效应。
[Abstract]:In the process of economic globalization, caused by international trade and FDI technology diffusion has greatly facilitated the exchange and innovation of new technology, so as to promote the economic development of countries. This paper studied the impact factors of technological innovation under the condition of open economy, discusses the different aspects of international trade, foreign direct investment and the influence on technology innovation our way.
First of all, the influence factors of technological innovation of Chinese enterprises is divided into organizational structure, the basic characteristics of enterprises, human resources enterprise, enterprise environment, enterprise international connection, enterprises are facing the government environment, business environment, financial environment, the establishment of China's technology innovation factors two Yuan choice model, and the Beijing, Tianjin, Shanghai, Guangzhou, Chengdu five city of electronic equipment, electronic components, communications equipment and spare parts and other 5 categories of manufacturing and advertising and marketing survey data, information technology services and other 5 services a total of 1548 enterprises, empirical study on the influential factors of technological innovation of enterprises in our country, the effects of FDI international trade and technology licensing, three kinds of international technology transfer mode for enterprise technological innovation. The empirical results show that: the number of corporate R & D and the government research for enterprise support significantly To promote technological innovation; Chinese enterprises set up R & D investment, decision makers, education, government support for R & D, imports can significantly promote enterprise innovation activities; private enterprises have a greater contribution to the technological innovation, compared with the state-owned enterprises in developed regions, relatively backward regions of the state-owned enterprises have a greater influence on technological innovation; on the impact of international transfer of technology innovation, foreign shares accounted for the majority of foreign enterprises have the negative effect on technology innovation, and business life, training opportunities and the level of human capital has different effect on technology innovation.
Secondly, this paper discussed the relationship between export and productivity of enterprises, study the existence of learning by exporting. The Chinese more than 1000 representative survey data of the enterprise, from the form of more flexible translog production function of export into the state variables, an empirical model. The results show that the relative productivity of export enterprises. Non export enterprises by 20% to 30%, this productivity advantage is robust due to the effect of "learning by exporting", that is to say in the process of enterprise's export through the effect of "learning by exporting" to promote the enterprise productivity. This provides empirical support from China for "learning by exporting" hypothesis more recognition, export-oriented development strategy's contribution to China's economic growth provides evidence from the micro perspective.
Again, this paper discusses the FDI technology spillover mechanism and way from the industry perspective, divided into FDI horizontal spillovers and backward spillover effects, and using industry employment and output data to measure these two different levels of technology spillover, using the empirical data of China's industry level of FDI technology spillover mechanism and approaches. The results show that foreign direct investment has no horizontal spillover effect in China's industrial level, but there are positive effects of backward links; in labor-intensive industry, there is a negative competitive effect, and because of the specific performance and the degree of technology spillover effect of.FDI positive spillover effects from foreign companies to return to the workforce domestic companies to bring on the overflow channels and industry characteristics.
Finally, this paper discusses the impact of intellectual property protection mechanism of foreign direct investment and technology innovation, to establish an empirical model, using China 1995-2007 years to balance the inter provincial panel data analysis of intellectual property protection, influence of FDI on the role of technological innovation. The empirical found the main source of China's technology innovation ability in R & D investment; the level of intellectual property protection increase does not significantly promote the upgrading of China's technology innovation capability, the conclusion is not because the selected indicators of technical innovation capability of different changes. But this effect has regional differences, in the Bohai sea and the Strait provinces have a certain role, while the central, western, the level of intellectual property protection in the Beibu Gulf decreases with the rise of technology innovation ability to a certain extent. The international trade and FDI can significantly promote the upgrading of domestic technological innovation capability, but the FDI to promote technological innovation in China The effect of intellectual property protection is influenced by the level of intellectual property protection, and the enhancement of the level of intellectual property protection can enhance the technological innovation effect of FDI.

【学位授予单位】：湖南大学
【学位级别】：博士
【学位授予年份】：2010
【分类号】：F224;F062.4

【引证文献】