【摘要】：改革開放以來，中國汽車產(chǎn)業(yè)長期處于高速發(fā)展態(tài)勢，在產(chǎn)業(yè)規(guī)模擴大的同時，其技術水平也得到不斷提高。當前，中國汽車產(chǎn)業(yè)的開放程度可以被視為是最為成熟的行業(yè)，尤其是外資的進入對汽車產(chǎn)業(yè)技術進步產(chǎn)生了重大影響，這也決定了中國汽車產(chǎn)業(yè)內(nèi)部存在內(nèi)資和外資兩種不同屬性資本的競爭，這兩種資本在運行過程中相互影響，彼此作用。對于外資來講，因為追逐最大利潤的本性，決定了它必須通過封鎖核心技術，防止技術擴散，通過保持與內(nèi)資企業(yè)之間的技術差距，以期達到擠壓內(nèi)資、搶占市場的目的，以便攫取高額的壟斷利潤。對于汽車產(chǎn)業(yè)來講，抓住外資進入的機遇來進一步求得發(fā)展，提升企業(yè)技術水平，這是長期以來該行業(yè)關注的焦點。因此，在當前條件下，討論中國汽車產(chǎn)業(yè)外資發(fā)生技術溢出效應，并測度這種效應進行測度，特別是通過實證方法考察技術溢出的影響因素，為汽車產(chǎn)業(yè)充分利用外資帶來的技術機遇具有十分重要的意義。 本文共由7章構(gòu)成，總體思路為：首先，追蹤國內(nèi)外研究外資技術溢出效應的文獻，并對國內(nèi)研究汽車產(chǎn)業(yè)技術溢出效應的成果進行系統(tǒng)分析，為本文奠定理論基礎；其次，從國際、國內(nèi)角度出發(fā)，對外資的流動和布局加以系統(tǒng)分析，并對中國汽車產(chǎn)業(yè)的外資發(fā)展進行深入研究，將汽車產(chǎn)業(yè)的外資與汽車產(chǎn)業(yè)的技術進步加以聯(lián)系；再次，研究測度外資技術溢出效應的理論模型與經(jīng)驗模型，并以中國汽車產(chǎn)業(yè)數(shù)據(jù)加以驗證，在此基礎上分析影響汽車產(chǎn)業(yè)外資發(fā)生技術溢出效應的主要因素；隨后針對這些因素進行專題研究，深入剖析對汽車產(chǎn)業(yè)外資發(fā)生技術溢出效應的影響程度，并提出對策與建議。 本文的研究方法，主要分為兩類。第一類是傳統(tǒng)的文獻研究法；第二類方法是現(xiàn)代實證研究法。在運用這兩類方法的同時，還適時插入比較研究方法。 本文的創(chuàng)新點主要在以下四個方面：（1）.建立了較為完整的分析框架。在系統(tǒng)分析國內(nèi)外有關FDI技術外溢效應最新研究成果基礎上，對汽車產(chǎn)業(yè)的外資技術溢出的測度建立了比較完善的分析框架，并在測度基礎上加以分解，最終分離出本土汽車產(chǎn)業(yè)企業(yè)的技術吸收能力、汽車產(chǎn)業(yè)政策等兩大因素作為影響外資技術溢出的主要因素，然后分別采用實證方法研究其影響程度。采用這種研究思路對汽車產(chǎn)業(yè)外資技術溢出開展比較系統(tǒng)的研究，在國內(nèi)相關研究領域比較前沿。（2）.構(gòu)造了一套新的測度方法。在相關研究中，目前主要使用經(jīng)濟產(chǎn)出作為被解釋變量來測度外資的技術溢出效應，部分學者使用內(nèi)資企業(yè)的生產(chǎn)率來實現(xiàn)測度目標。本文除了采用汽車產(chǎn)業(yè)的經(jīng)濟產(chǎn)出作為解釋變量以外，還建立以專利授權成果為被解釋對象的記錄模型，測度影響科技產(chǎn)出的主要因素。將科技產(chǎn)出進入計量模型，，相關研究成果較少。因此，在建立測度汽車產(chǎn)業(yè)技術外溢的方法上，有一定創(chuàng)新。（3）.建立了政策量化分析模型。在以往研究中，一般分析政策采用簡單綜述或單變量分析。本文另辟蹊徑，通過建立量化模型并采用復合變量對政策實施分析，定量研究汽車產(chǎn)業(yè)的政策變化對外資技術溢出的影響程度，這在該領域的研究中存在一定程度的創(chuàng)新。（4）.給出了較為有意義的政策建議。在定量研究基礎上，提出中國汽車產(chǎn)業(yè)的外資政策需要重新審視，尤其要注重不同地區(qū)政策的差異性，而不是對全國所有地區(qū)汽車產(chǎn)業(yè)實施統(tǒng)一的外資政策。其主要依據(jù)就是不同地區(qū)汽車行業(yè)的外資對內(nèi)資企業(yè)技術影響具有差異性。 本文的主要不足之處，表在在兩個方面：一是因外資技術溢出的基礎理論比較缺乏，目前國內(nèi)外并未就該問題形成主流的理論解釋，而是通過實證研究得到相應認識，這樣就導致了并不能對外資的技術溢出產(chǎn)生一致的解釋。因此，本文的研究，主要以構(gòu)建經(jīng)驗模型，采用實證研究來解釋汽車產(chǎn)業(yè)的外資技術溢出及其影響因素，并沒有專門就該領域外資技術溢出的理論作討論。二是由于外資在中國大規(guī)模存在的時間較短，從改革開放到現(xiàn)在，僅僅經(jīng)歷了30多年時間，能夠直接獲取汽車產(chǎn)業(yè)的數(shù)據(jù)難度較大。所以，即使經(jīng)驗模型的構(gòu)建比較合理，因汽車產(chǎn)業(yè)的數(shù)據(jù)質(zhì)量將會影響檢驗結(jié)果的科學性。 本文得到的主要結(jié)論，有四個方面：第一，汽車產(chǎn)業(yè)外商直接投資功能的演化。改革開放以來，因外商直接投資的引進，尤其是汽車產(chǎn)業(yè)領域在外商直接投資的帶動下，無論是資本規(guī)模、汽車產(chǎn)量，還是汽車產(chǎn)業(yè)的技術進步均取得長足進步。這種進步，部分直接來自外商直接投資的貢獻。比如，80年代外商直接投資進入的主要功能在于緩解該產(chǎn)業(yè)資金不足的困難，這時的外商直接投資主要扮演發(fā)揮“資金”的功能；進入90年代后，外商直接投資除了發(fā)揮資金功能以外，還承擔著促進國內(nèi)汽車產(chǎn)業(yè)技術進步的功能。實際上，這時汽車產(chǎn)業(yè)的外商直接投資主要發(fā)揮“資金”功能和“技術”功能，雙重功能比較突出。后來，尤其是到2000年以后，隨著中國汽車產(chǎn)業(yè)發(fā)展實力的壯大，對外商直接投資的資金功能依賴逐漸減弱，主要是借助其先進技術來發(fā)展汽車產(chǎn)業(yè)。因此，這時的外商直接投資主要扮演“技術”補充角色。在技術獲取方面，除了汽車跨國公司直接轉(zhuǎn)讓技術進步其子公司以外，還通過發(fā)生技術外溢效應來促進本土企業(yè)技術進步，推動汽車產(chǎn)業(yè)的快速發(fā)展。第二，汽車產(chǎn)業(yè)的外商直接投資確實對本土企業(yè)發(fā)生了技術溢出效應。得出這個結(jié)論的主要證據(jù)在于：無論是采用生產(chǎn)率模型，還是產(chǎn)出模型，均能證明外商直接投資與本土企業(yè)的技術進步之間保持正相關關系，而且這種關系還十分顯著。此外，汽車產(chǎn)業(yè)的外商直接投資所發(fā)生的技術溢出效應具有階段性特征，主要表現(xiàn)為2000年以前的技術溢出效應程度較高，而這之后的10余年期間，技術溢出效應有減弱的趨勢。第三，采用分階段檢驗、科研經(jīng)費投入等解釋變量的實證結(jié)果表明，影響汽車行業(yè)外商直接投資發(fā)生技術溢出效應的影響因素主要有本土企業(yè)的技術吸收能力和外貿(mào)政策兩類。在單獨研究這兩類政策的影響后發(fā)現(xiàn)，本土企業(yè)對外資技術的吸收能力越強，則外商直接投資發(fā)生技術溢出效應的程度就越高，且顯著度就越明顯。而汽車行業(yè)的外貿(mào)政策開放度越大，則外商直接投資發(fā)生技術溢出效應的程度也越大，效果越顯著。第四，到目前為止，縱觀國內(nèi)外關于外商直接投資發(fā)生技術溢出效應的研究成果，主要是建立在經(jīng)驗研究基礎之上，而并沒有形成主流理論對其加以解釋。因此，如何建立解釋外商直接投資發(fā)生技術溢出效應的理論，應成為該領域以后研究的主要方向。
[Abstract]:Since the reform and opening-up, China's automobile industry has been at a high speed for a long time. At the same time the industrial scale is expanded, its technical level has been continuously improved. At present, the degree of openness of China's automobile industry can be regarded as the most mature industry, especially the entry of foreign capital has great influence on the technological progress of automobile industry, which also determines the competition between domestic capital and foreign capital in China's automobile industry. These two kinds of capital influence each other during operation, and act on each other. For foreign investment, because of the nature of the pursuit of the maximum profit, it is determined that it must block the core technology, prevent the diffusion of technology, maintain the technical gap between the domestic and foreign enterprises, with a view to achieving the purpose of squeezing internal capital and seizing the market, so as to gain high monopoly profits. For the automobile industry, seize the opportunity of foreign capital to gain further development and improve the technology level of the enterprise, which is the focus of long-term concern of the industry. Therefore, under the current condition, the technology spillover effect of foreign capital in China's automobile industry is discussed, and the measure of this effect is measured, especially through the empirical method to investigate the influence factors of technology spillover, which is of great significance for the technology opportunity brought by the full utilization of foreign capital in the automobile industry. This paper is composed of 7 chapters. The general idea is: firstly, to track the literature on the spillover effect of foreign investment technology at home and abroad, analyze the achievements of domestic research on the spillover effect of automobile industry technology, lay the theoretical foundation for this paper; secondly, from the international and national perspectives. Based on systematic analysis of the flow and layout of foreign capital, the paper makes an in-depth study on the foreign capital development in China's automobile industry, links the foreign capital of the automobile industry with the technological progress of the automobile industry, and studies the theoretical model and experience to measure the spillover effect of foreign technology. Based on the verification of China's automobile industry data, the paper analyzes the main factors that influence the spillover effect of foreign investment in automobile industry, and then makes a special study on these factors, and deeply analyzes the influence on the spillover effect of foreign investment in automobile industry. Degree, and put forward the countermeasures Recommendation. The methods of the study, main The first kind is the traditional literature research method, and the second kind of method is modern. The empirical research method is to insert the ratio in time while applying these two methods. The innovative points in this paper are mainly in the following areas: Four aspects: (1). Established more On the basis of systematic analysis of the latest research achievements of FDI technology spillover effect at home and abroad, a comparatively perfect analysis framework is established for the measure of foreign investment technology spillover in the automobile industry and decomposed on the basis of measurement, and the local auto industry enterprise is finally separated. The two factors, such as technical absorptive capacity and automobile industry policy, are the main factors influencing the spillover of foreign investment technology, and then the empirical formula is adopted respectively. The influence degree of foreign capital technology spillover in automobile industry was studied by this study. field of research compare the leading edge. (2). Construct A set of new measure methods. In the related research, the main use of economic output as the explanatory variable to measure the technology spillover effect of foreign investment, some scholars use the production of domestic enterprises In addition to using the economic output of the automobile industry as the explanatory variable, the paper also establishes a record model of the object to be interpreted based on the patent authorization results, and measures the influence section. The main factor of technical output is to enter the scientific and technological output into the measurement model. There are few related research achievements. Therefore, in the establishment of measures to measure the spillover of automobile industry technology, On the law, there's Be sure to innovate. (3). Establish Policy quantification analysis model. In previous studies, the general analysis policy is simple A review or univariate analysis is presented in this paper. By establishing a quantitative model and using composite variables to analyze the policy, quantitative research on the impact of the policy changes on the spillover of foreign technology spillover has been studied in this field. It's a course. The innovation of degree. (4). It gives more On the basis of quantitative research, it is necessary to re-examine the foreign policy of China's automobile industry, especially to focus on the difference of policy in different regions, not to the automobile industry in all regions of the country. The main basis is the foreign investment in the automobile industry in different regions. The main deficiency of this paper is that in two aspects: one is the lack of basic theory because of the spillover of foreign technology, but not the theoretical explanation of the mainstream of the problem at home and abroad, but on the other hand. Through empirical research, we get the corresponding understanding, which leads to the lack of foreign investment. Therefore, the research of this paper mainly uses empirical research to explain the spillover of foreign technology spillover and its influencing factors in automobile industry. The theory of technology spillover has been discussed. Second, due to the relatively short time of foreign investment in China, it has only been through 30 years since the reform and opening-up to now, which can be acquired directly The data difficulty of the automobile industry is large. Therefore, even if the construction of the empirical model is reasonable, the data quality of the automobile industry will It will affect the scientific nature of the inspection results. The main conclusions are that there are four aspects: first, steam The evolution of foreign direct investment function in car industry. Since the reform and opening up, since the introduction of foreign direct investment, especially in the field of automobile industry, it has been driven by foreign direct investment, whether capital scale, automobile output, or automobile. The technological progress of the industry has made great progress. For example, the main function of foreign direct investment in the 1980s is to alleviate the difficulty of insufficient funds in the industry. at this moment Direct investment plays an important role in "fund". After entering the 1990s, foreign direct investment has been promoted in addition to the function of fund. The function of the technological progress of domestic automobile industry. In fact, at this time, automobile industry foreign businessmen direct investment Mainly use the "fund" function and "" Technology "function and dual function are prominent. Later, especially after 2000, with the growth of China's automobile industry development strength, the financial function dependence of foreign enterprises' direct investment decreases gradually, mainly Development of the automotive industry with its advanced technology. here, at this time, foreign direct investment In the aspect of technology acquisition, in addition to the direct transfer of technology of automobile transnational corporations to its subsidiaries, the technology spillover effect has been adopted to promote local enterprise technology Progress and the rapid development of the automobile industry. The second, the foreign direct investment of the automobile industry is indeed The main evidence of this conclusion lies in that both the productivity model and the output model can prove the positive correlation between the foreign direct investment and the technological progress of the local enterprises. In addition, the technical spillover effect of foreign direct investment in the automobile industry has the characteristics of stage, which mainly shows that the technology spillover effect before 2000 is higher than that of the last ten years. Third, the empirical results show that the influence factors that affect the technology spillover effect of foreign direct investment in auto industry are mainly domestic enterprises. There are two types of technical absorptive capacity and foreign trade policy. After studying the impact of these two types of policies, it is found that the stronger the absorptive capacity of domestic enterprises to foreign investment technology, the technology spillover effect of foreign direct investment occurs. The higher the degree of foreign trade policy, the greater the openness of foreign trade policies in the automobile industry, the more foreign direct investment occurs The greater the effect, the more remarkable the effect. Fourth, to date, the research results on the spillover effects of foreign direct investment have been reviewed, mainly based on empirical research, and There is no mainstream theory to explain it. Therefore, how to establish the theory to explain the spillover effect of foreign direct investment should
【學位授予單位】：北京理工大學
【學位級別】：博士
【學位授予年份】：2014
【分類號】：F426.471;F832.6

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