导　　师： 肖奎喜

学科专业： 020206

授予学位： 硕士

作　　者： ;

机构地区： 广东外语外贸大学

摘　　要： 随着经济全球化趋势不断加强，企业竞争空前激烈，技术已经成为决定企业竞争结果的关键因素。对外直接投资作为国际技术溢出的主要渠道，技术寻求型对外直接投资是获取国外先进技术、获得逆向技术效应的有效实现途径。近年来，发展中国家的对外直接投资增长迅速，越来越多的发展中国家试图通过对外直接投资获取国际逆向技术溢出。但是国内外在对对外直接投资逆向效应的研究中，在研究对象的选取上不具备针对性。而改革开放以来，伴随着“走出去”战略的推进，我国对欧盟技术寻求型直接投资取得了显著的发展，使得研究中国对欧盟技术寻求型直接投资的逆向技术溢出效应成为可能。 本文在对直接投资理论和国内外相关文献总结的基础上，首先从投资规模、区位分布、行业选择、进入方式等方面对我国在欧盟直接投资的发展历程及现状进行分析，然后从微观（企业）、中观（产业）、宏观（国家）三个层面分析对外直接投资引起母国技术进步的机制，接着分别从投资母国、东道国角度分析影响母国逆向技术效应的因素。在理论分析的基础上，本文依据我国对欧盟对外直接投资数据，运用LP模型测算了通过OFDI渠道溢出的外国研发资本存量，并采用国际R/&D溢出回归方法，并且运用状态空间计量模型来构造变参数模型，就逆向技术溢出对全要素生产率的影响作了实证分析。结果显示，对外直接投资产生的逆向技术溢出能够对全要素生产率产生积极影响，但作用强度较小。其主要原因在于：中国对欧盟技术寻求型OFDI规模较小；对欧盟投资的产业集中在技术密集度相对低的行业。东道国丰富的资本、较高的经济开放程度与较强的知识产权保护力度对我国OFDI逆向技术溢出的吸收具有促进作用。技术差距对我国逆向技术溢出的作用不显著。基于以上结论，最后从微观企业和宏观政府两个角度提出对策。 With the growing trend of economic globalization, enterprises are facing fiercecompetition, and technology has become a key factor of the competition. As a maininternational technology spillovers vector, technology-seeking outward foreign directinvestment /(OFDI/) would have important influence on the technology progress ofMotherland. In recent years, foreign direct investment grew rapidly in developingcountries, a growing number of developing countries trying to obtain internationalreverse technology spillover through OFDI. However, in the study of domestic andforeign direct investment in the reverse effect, on the selected object of study does nothave targeted. Since the reform and opening up, along with the 'going-out' strategy,OFDI in the EU has made significant development, which made the study of China'sdirect investment in the EU seeking technology of reverse technology spillover effectpossible. Based on the the theory of direct investment and the summary of relatedliterature, this paper reviews the course and current situation of China’s directinvestment in EU, including the investment scale, location distribution, industryselection, mode of entry and so on. Then it analyzes the mechanism of technologicalprogress in the aspect of the micro /(enterprise/), meso /(industry/) and macro /(national/)in the home country. After that, this paper summarizes the technological factorsaffecting the reverse effect of the home country and then analyzed from theperspective of the host country. Based on the theoretical analysis, this paper employsthe data of the E U's foreign direct investment to estimate foreign R/&D capital stockthrough OFDI channels on the base of LP models and use international R/&D spilloverregression method, and use state-space model with varying parameter modelconstructed on the reverse technology spillover effect on TFP to made empiricalanalysis. The results show that foreign direct investment generated by reversetechnology spillover can have a positive impact on total factor productivity, but theeffect is small. The main reasons are that the scale of China to EU technical-seekingOFDI is small; EU investment in technology-intensive industries concentrated is in arelatively low degree of industry. The richer human capital, the higher degree ofeconomic openness and stronger intellectual property protection of host country isgood for our technology spillovers reverse absorption. The effect of technology gapbetween China and EU is certainty. Based on these conclusions, some suggestions are put forward from micro enterprises and government macro perspectives in thefinal part.

关 键 词： 逆向溢出效应 技术寻求型对外直接投资 全要素生产率 欧盟

分 类 号： [F752.67 F752.7]

领　　域： [经济管理] [经济管理] [经济管理] [经济管理]