在华外商直接投资的技术溢出效应研究以江苏为例

南京财经大学硕士学位论文在华外商直接投资的技术溢出效应研究--以江苏为例姓名：朱瑞微申请学位级别：硕士专业：企业管理指导教师：戴庆华2009-01-06IIIABSTRACTTheeffectofFDItothehostcountryorarea,especiallythetechnologyspilloverseffecttothehostcountry,hasarousedgreatcareofboththeoreticalfieldandgovernments.ThistechnologyspilloverseffectisregardedasanimportantwaytogetadvancedproducingandmanagingtechnologyofFDI.JiangsuisoneofthemosteconomicallydevelopedregionofChinaandthemostconcentratedareaofFDI.ThereforeobjectiveanalysisandevaluationarenotonlyhelptounderstandtheeffectofFDIinJiangsuareabutalsohelpustomakecorrectpoliciestoenhancetheeffectofFDI.FirstlystartingwiththedefinitionsofFDIandtechnologyspillovers,thispaperintroducesthemainFDIspilloverseffecttheoryrecentstudiesoftechnologyspillovers,thenitgoestothedetailtoanalyzetheprocessofFDItechnologyspilloversandthewaysandthefactorsofspilloversincidence.What’smore,thispaperpresumesthatthetechnologyspilloversofFDIisconditionalandchangeablewhilethesituationisdifferent,andthattechnologyspilloverscangotodifferentstages,whiletherewillbedistincttechnologyspilloverseffect.Secondly,accordingtotheconditionofFDIinJiangsuprovince,includingthedevelopingtrendsandtheconsistsofFDI,thispaperdeeplyanalyzethemainfactorsofFDIincidenceaswellasthepositiveandnegativeeffectofFDIinJiangsu.Then,thispaperbeginstousemodeland2002-2006areapaneldatatotestFDIinJiangsu.TheresultshowsthatFDIpromotesnativetechnologyandeconomicaldevelopmentandthatdifferentrateoftechnologyspilloverseffectexistsamongdifferentareas.Thenthereasonsarestudied.Finally,basedontheresultsoftheempiricalstudythelastpartofthispapergivesseveralsuggestionstopromotethepositiveFDItechnologyspillovers,justasenhancingthenativeabsorbingcapability;IncreasingtheR&Dinputandimprovingthetechnologylevelofenterprisesandsoon.KEYWORDS:FDI;TechnologySpilloversEffect;Jiangsu1207090FDI1993FDI2006FDIFDI720200620061FDIFDIFDIFDIFDIFDIFDI—2003FDI2006FDI174.3FDIFDIFDIFDIFDIFDI12FDI1FDI2FDI()FDI3EviewsFDIFDIFDIFDIFDIFDIFDIFDIFDIFDIC—DFDI2002-2006FDIFDIFDI3C—DFDI2002-2006FDIFDI42.12.1.1:(ForeignDirectInvestmentFDI)()()()FDI2FDI:FDI2.1.2;;:;;;2,.FDI[M].2004:7.52.1.3()()FDIFDIFDIFDIFDI“”FDIFDIFDI——(TechnologySpillovers)Macdougall(1960)FDIR&DFDI3Dunning1993:FDI4BlomstromKokko1996:;51999“”62000“FDI”7FDI3.FDI[D].,200764Dunning.J.HMultinationalEnterprisesandGlobalEconomy[J]Assison-Wesley1992.5MagllusBlomstrom&AriKokko,TheImpactofForeignInvestmentonHostCountries:aReviewoftheEmpiricalEvidence[J],WorldBankPolicyResearchWorkingPaper,No.1745,1996.662.22.2.1Caves(1974)FDIGriliehesVerspagen(1979)FDI()()(pecuniaryspillovers)8,GirmaWaklin(2001)AitkenHarrison(1999)DriffieldTaylor2001MarkusenVenables1999Kungler20012.2.2Kokko(1994)KokkoTansiniZejan(1996)InbrianiReganati(1997)Verspagen(1992)Cantwell(1989)Griffithetal(2000)“”Grifrithetal(2000)Kinoshita(2000)R&D9(2003)FDI(2003)FDI;,8FDI[D]2007:7.9.[D]..2007:5.7(2004)R&DFDITeece(1977)10Kokko(1994)RichardKnellerPhillipAndrewStevens(2002)119OECDR&D12(19992001)(2002)(2005)FDIBhagwati(1985)Ozawa(1992)13Olfsdotter(1998)(Henleyetal1999)(Stem1991)(Tortensson1994)(Alfaroetal,2000)(HemesLensink,2000)(MarkusenVanables1998)14(2000)Feder(1982),FDI,(2001)(2002)(2003)R&DFDI2.2.310Teece.TechnologyTransferbyMultinationalFirms,theResourceCostofTransferringTechnologicalKnow-how[J],EconometricJournal,1977.11RichardKneller&PhillipAndrewStevens.AbsorptiveCapacityandFrontierTechnology:EvidencefromOECEManufacturingIndustries[J].DiseussionPaperNo.202.2002.,[D]..2007:6.13T.Ozawa.ForeignDirectInvestmentandEconomicDevelopment[J].TransnationalCorporations,Vol.l,1992..FDI[J].(),2007(8):18-19.8FDIFDI1Caves(1974)FDI1966FDIGloberman(1979)BlomstromKokko(1986):15Sjoholm(1999)16FDIKokko(l996)Aslanogilu(2000)Flores(2000)Liu(2000)GirmaWakelin(2001)FDI(1999)1985-1996,,,FDI,(2001)1987-199829FDI(2003)1995-2000FDI17(1999)2003(2003)(2004)(2004)(2007)(2007)FDI1516Sjoholm.E.TechnologyGap,CompetitionandSpilloversfromForeignDirectInvestment:EvidencefromEstablishmentUata[J].JournalofDevelopmentStudiesVol.36(1)1999.92HaddadHarrison(1993)1985-1989AitkenHarrison(1999)181976-1989HarrisRobinson(2001)1974-1995BarriosStrobl(2001)1990-1994DjankovHoekan(2000)1993-1996FDIFDIKinoshita(2001)1995-1998R&D19(1998)199539FDIFDIFDI(1996)(1999)FDI(2001),,(2004)FDIFDI2.2.4FDI,(),“”18AitkenJ.J&A.E.Harrison.DoDomesticFirmsBenefitfromDirectForeignInvesonent:EvidencefromVenezuela[J],AmericanEconomicReview,1999.1910,FDI,(),FDI(1998)(2001)(2002)(2002)(2003)(2003)(2005)(2001)(2003)(2005)(2005)(2005)(2005)(2005)Y(/),FDI,FDI/,,FDI,;,20(200320042005)(2005),FDI(),FDIFDI,,,(19992000)(2003)(2004)(2000)(2005)(2005)(2005)Feder,,FDI;,FDI,,FDI21(2005)(2003)(2004)(2005)(2003)GDP,,FDIGDPFDI2.3(2004)Feder1991-2002FDIFDIGDP2011(2008)1995-2006FDIFDIR&DFDI(2005)1990-2003GDPFDIFDI(2005)FDI:(l)FDIFDI;(2)FDI;(3)FDIFDIFDIFDIFDIFDI,FDI,123.13.1.13.1“”:FDIFDI3.1.2FDIFDI131.FDIFDIFDIFDI“”FDI22FDIFDIFDIFDI2214FDIFDIFDIFDI:FDIFDIFDIFDI3.2FDI3.2.1FDI15FDIFDI,FDIFDIFDI163.2.2FDIFDIFDI“FDI”23FDI24FDIFDIFDIFDIFDI2317FDIFDI;FDIFDI:,,,,,FDIFDIFDI,FDI,FDI,18,,FDIFDI,,FDIFDI,,,3.3FDIFDIFDI3.3.1FDIFDIF