OFDI逆向技术溢出与母国产业结构优化
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摘要
随着经济全球化趋势的不断加强，资本的跨国流动对各国经济的发展产生了深远的影响。在影响企业发展的诸多因素中，技术成为决定企业在市场竞争中成败的关键因素。因此，技术寻求型OFDI成为许多国家尤其是处于技术劣势的发展中国家寻求技术跨越式发展的重要途径。随着发展中国家OFDI的快速发展，OFDI的母国逆向技术溢出问题成为学术界研究的重点。
自从我国政府确立了“走出去”的发展战略以后，我国的OFDI取得的迅猛的发展，年平均发展速度超过50%。在经济全球化的背景下，一国产业结构的调整是在世界产业结构调整的框架内进行的，而技术进步是影响产业结构优化的重要因素。因此，研究OFDI逆向技术溢出与母国产业结构优化的关系具有重要的理论和现实意义。
本文在前人研究的成果上，以逆向技术外溢为主线，分析了OFDI逆向技术溢出促进母国产业结构优化的宏微观机理，并运用我国相关数据进行实证检验，然后用具体案例进行说明，最后结合我国的OFDI现状和实证检验结果，提出相应的启示和建议。
通过理论分析和实证研究，本文得出以下结论：第一，从理论上看，OFDI具有逆向技术溢出效应，但由于我国的OFDI规模比较小，且行业和区域分布不均衡，导致OFDI的逆向技术溢出效应较小。第二，技术进步能促进我国的产业结构优化，但效果较小。第三，合理的产业结构对经济起到促进作用，进而导致OFDI的增加，但我国目前的产业结构没有导致OFDI的增加。第四，我国吸收能力较弱，对国外技术的创新能力不足。
With the continuous strengthening of the trend of economicglobalization, capital's international flowing has had a profoundinfluence on the development of national economies. Technologyhas become the key factor that decided the success or failure in themarket competition in all various that affected the development ofenterprises. Therefore, the technology-seeking OFDI has becomeone of the ways in seeking technology's leapfrog development tomany countries, especially in technologically inferior countries.With the growth of OFDI in developing countries, The OFDI's reversetechnology spillovers of home-country become the focus ofacademic research.
China's foreign direct investment obtained the swift and violentdevelopment with the average annual growth rate of more than 50%since government established the "going out" development strategy.Under the background of economic globalization, a country'sindustrial structure adjustment is carried out within the frameworkof the world's industrial structure adjustment, and technologicalprogress is the important factor influencing the optimization ofindustrial structure. Therefore, the research of the relationshipbetween OFDI reverse technology spillover and the home country's industry structure optimization has important theoretical andpractical significance.
On the foundation of previous studies, author analyses themicro-macro mechanism on OFDI reverse technology spillover topromote their industrial structure optimization , and has a empiricaltest using the relevant data, further uses concrete example toexplain. Finally, puts forward the corresponding suggestion andadvice combined with the present situation of the OFDI in China andempirical results.
Through theoretic research and empirical test, this paper drawsthe following conclusions: First, OFDI has reverse technologyspillover effect, but the effect is rather small because the OFDIscale is relatively small, and the industry and regional distribution isnot balanced. Second, technical progress can promote theoptimization of industrial structure in china, but the effect is small.Third, the reasonable industrial structure promotes economicgrowth, and then promotes OFDI increasing, but the empirical testis not good. Last, the absorption capacity is weak, so the innovationability on foreign technology is weak.
自从我国政府确立了“走出去”的发展战略以后，我国的OFDI取得的迅猛的发展，年平均发展速度超过50%。在经济全球化的背景下，一国产业结构的调整是在世界产业结构调整的框架内进行的，而技术进步是影响产业结构优化的重要因素。因此，研究OFDI逆向技术溢出与母国产业结构优化的关系具有重要的理论和现实意义。
本文在前人研究的成果上，以逆向技术外溢为主线，分析了OFDI逆向技术溢出促进母国产业结构优化的宏微观机理，并运用我国相关数据进行实证检验，然后用具体案例进行说明，最后结合我国的OFDI现状和实证检验结果，提出相应的启示和建议。
通过理论分析和实证研究，本文得出以下结论：第一，从理论上看，OFDI具有逆向技术溢出效应，但由于我国的OFDI规模比较小，且行业和区域分布不均衡，导致OFDI的逆向技术溢出效应较小。第二，技术进步能促进我国的产业结构优化，但效果较小。第三，合理的产业结构对经济起到促进作用，进而导致OFDI的增加，但我国目前的产业结构没有导致OFDI的增加。第四，我国吸收能力较弱，对国外技术的创新能力不足。
With the continuous strengthening of the trend of economicglobalization, capital's international flowing has had a profoundinfluence on the development of national economies. Technologyhas become the key factor that decided the success or failure in themarket competition in all various that affected the development ofenterprises. Therefore, the technology-seeking OFDI has becomeone of the ways in seeking technology's leapfrog development tomany countries, especially in technologically inferior countries.With the growth of OFDI in developing countries, The OFDI's reversetechnology spillovers of home-country become the focus ofacademic research.
China's foreign direct investment obtained the swift and violentdevelopment with the average annual growth rate of more than 50%since government established the "going out" development strategy.Under the background of economic globalization, a country'sindustrial structure adjustment is carried out within the frameworkof the world's industrial structure adjustment, and technologicalprogress is the important factor influencing the optimization ofindustrial structure. Therefore, the research of the relationshipbetween OFDI reverse technology spillover and the home country's industry structure optimization has important theoretical andpractical significance.
On the foundation of previous studies, author analyses themicro-macro mechanism on OFDI reverse technology spillover topromote their industrial structure optimization , and has a empiricaltest using the relevant data, further uses concrete example toexplain. Finally, puts forward the corresponding suggestion andadvice combined with the present situation of the OFDI in China andempirical results.
Through theoretic research and empirical test, this paper drawsthe following conclusions: First, OFDI has reverse technologyspillover effect, but the effect is rather small because the OFDIscale is relatively small, and the industry and regional distribution isnot balanced. Second, technical progress can promote theoptimization of industrial structure in china, but the effect is small.Third, the reasonable industrial structure promotes economicgrowth, and then promotes OFDI increasing, but the empirical testis not good. Last, the absorption capacity is weak, so the innovationability on foreign technology is weak.
引文
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①焦建云.技术进步与山西产业结构调整研究.山西大学硕士论文. 2007. P15-16
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①赵伟,古广东,何元庆.外向FDI与中国技术进步:机理分析与尝试性实证[J].《管理世界》. 2006,7. P53-60
②尹冰.逆向投资过程中的技术传导机制-以海尔技术进步为例[J].《世界经济与政治论坛》. 2006,1. P60-65
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①白洁.对外直接投资的逆向技术溢出效应-对中国全要素生产率影响的经验检验[J].《世界经济研究》. 2009,8.P65-69
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【1】Hymer H S. The International Operations of National Firms: A Study of Direct ForeignInvestment[M]. Cambridge: MIT Press, 1976:260-264
【2】Buckley P J , Casson M. The Future of the Multinational Enterprise[M]. London: Macmillan,1976:167-172
【3】Vernon R. International Investment and International Trade in the Product Cycle[J]. TheQuarterly Journal of Economics. 1966,80(2):190-207
【4】Kojima K. Direct Foreign Investment: A Japanese Model of Multinational BusinessOperations[M]. London: Praeger, 1978
【5】Dunning J H. Trade, Location of Economic Activity, and the Multinational Enterprise: A Searchfor an Eclectic Approach[C]. London: Macmillan, 1977: 395-418
【6】Wells, L.T. Third World Multinational: the Rise of Foreign Investment from DevelopingCountries[M]. Cambridge: MIT, 1983
【7】Dunning J H. The Investment Development Cycle and Third World Multinationals[M]. London:Francis Porter, 1986
【8】Lall S. The New Multinational: The Spread of Third World Enterprises[M]. London: ChiChester, Wiley, 1983
【9】Cantwell, Tolentino. Technological innovation and Third World multinationals[M]. London:Routledge, 1993
【10】Fosfuri A, Motta M. Multinational without Advantages[J]. Scandinavian Journal of Economics.1999,101(4):617-630
【11】Wssson T. A model of asset-seeking foreign direct investment driven by dem and conditions[J].Canadian Journal of Administrative Sciences. 1999,1:1-10
【12】Siotios G. Foreign direct investment strategies and firm’capabilities[J]. Journal of Economics＆Management Strategy. 1999,8(2):251-270
【13】Bjorvank,Eckel C. Technology sourcing and strategic foreign direct investment[J]. Review ofInternational Economics. 2006,14(4):600-614
【14】Kogut, B.Chang S.J. Technological Capabilities and Japanese Foreign Direct Investment in theUnited States[J]. Review of Economics and Statistics. 1991,73(3):401-413
【15】Coe & Helpman. International R&D Spillovers[J]. European Economic Review. 1995,39(5)：859-887
【16】Lichtenberg, F.B. van Pottelsberghe De La Potterie.“Does Foreign Direct Investment TransferTechnology Across Borders?”[J]. Review of Economics and Statistics. 2001,83(3):490-497
【17】Driffield N, Love J H. Foreign direct investment, technology sourcing and reverse spillovers[J].The Manchester School. 2003,71(6):659-672
【18】Falzoni A M, Grasseni M. Home country effects of investing aboard: evidence quantileregressions[Z]. NBER Working Paper No.170.2005:326-358
【19】Biter J, Kerekes M. Does foreign direct investment transfer technology across borders? NewEvidence[J]. Economics Letters. 2008,100(3):355-358
【20】Jaya Prakash Pradhan, Neelam Singh. Outward FDI and Knowledge Flows: A Study of theIndian Automotive Sectors[J]. International Journal of Institutions and Economies, Faculty ofEconomics and Administration, University of Malaya. 2009,1:156-187
【21】Howitt, Peter, David Mayer-Foulers. R＆D, Implementation and Stagnation: A SchumpeterianTheory of Convergence Clubs[J]. Journal of Money, Credit and Banking, 2005,37(1):147-177
【22】Anusua Datta, Hamid Mohtadi. Endogenous Imitation and Growth: Technology DiffusionRevisited[J]. Philadelphia University. 2003,2
【23】Griffith R, S Redding, J Van Reenen. Mapping the Two Faces of R＆D: Productivity Growth ina Panel of OECD Industries[J]. IFS Working Papers, 2000,2000(1)
【24】Kokko. Technology, Market Characteristics, and Spillovers[J]. Journal of DevelopmentEconomics. 1994,43(2):279-293
【25】Earon, Jonathan,Sanuel Kortum. Technology, Geography and Trade[J]. Econoetrica.2002,70(5):1741-1780
【26】Keller. Geographic Localization of International Technology Diffusion[J]. American EconomicReview. 2002,92(1):120-142
【27】尹冰.中国企业的对外直接投资与技术进步[J].《社会科学家》. 2003,9. P45-55
【28】马亚明,张岩贵.技术优势与对外直接投资:一个关于技术扩散的分析框架[J].《南开经济研究》. 2003,4. P10-19
【29】李蕊.跨国并购的技术寻求动因解析[J].《世界经济》. 2003,2. P19-27
【30】徐卫东,王河流.中国高新技术企业对外直接投资的动因分析[J].《经济与管理》. 2005,2.P69-72
【31】吴先明.中国企业对发达国家的逆向投资:创造性资产的分析视角[J].《经济理论与经济管理》. 2007,9. P52-57
【32】申俊喜.工业化中后期技术寻求型对外直接投资的的理论分析[J].《上海经济研究》. 2008,7.P20-25
【33】茹玉骢.技术寻求型对外直接投资及其对母国经济的影响[J].《经济评论》. 2004,2.P109-112
【34】杜群阳. R&D全球化、反向外溢与技术获取型FDI.《国际贸易问题》. 2006,12. P88-91
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