论文总字数：48075字

摘 要

改革开放以来，特别是1992年以来，中国吸引着越来越多的外商直接投资（FDI）。最初，中国积极引进FDI是为了弥补国内建设资金的不足，之后逐渐转变成“以市场换技术”的方针积极的引入外资。

外商直接投资的技术溢出效应已经被理论界广泛研究，但是，研究的结果并不一致，对于不同的国家和地区，FDI技术溢出效应存在与否并不确定。然而我国的学者研究表明，FDI在我国存在明显的技术溢出效应。对此，我国学者利用了各种工具研究FDI对我国带来的技术溢出效应的决定因素以及影响程度。这些研究表明，决定技术溢出效应的不仅仅是FDI自身，东道国本身的条件也会影响FDI技术溢出效应，将这些条件概括为吸收能力。

其中，本文抓住我国的人力资源水平和研发强度对我国面对FDI技术溢出时的吸收能力作出研究。本文以我国高技术产业为例，选取了13个主要行业的企业面板数据，利用面板门限回归模型对数据进行实证分析，验证是否存在门槛效应，结果显示存在显著的门槛效应，其次再对人力资源投入强度和研发强度这两个门槛变量进行门槛特征分析，得出结论是：当人力资源投入强度和研发强度达到并高于一定水平（计算所得的门槛值）时，FDI对内资企业生产率增长存在非常显著的技术溢出效应，相反的，当其低于一定水平时，所造成的技术溢出效应较低。这一结果说明，面对FDI，我国企业如果主动地加大自身吸收能力的强度，就能够获得较为突出的技术溢出效应。最后，基于实证结果，对如何完善吸收能力以更好发挥FDI技术溢出效应提出了相应的对策建议。

关键词：外商直接投资 技术溢出效应 吸收能力

Absorption Ability and FDI Technology Spillover Effect

Abstract

Since carrying out the reform and opening up policy, especially since 1992,China has attracred more and more foreign direct investment(FDI). At the very beginning, China actively introduced FDI to make up the lack of domestic funds, while later the pue pose was gradually shifted to implement the “market for technology” strategy.

FDI spillover sffect has been studied widely in the field ,but the results of these studies are not consistent, for different countries and regions, FDI technology spillover effect exists or not is not sure.However our country's scholars study shows that the technology spillover of FDI in our country exist obvious effects.Thus, Chinese scholars use the various tools to study FDI technology spillover effect's determinants and influence degree on our country. These studies indicate that named the condition absorptive capacity by scholars, the basic conditions that host region oens also has deep influence on it.

In this paper, The article seizes the level of human resources and Ramp;D intensity of the face of technology spillover of FDI in China absorbing ability to study. As an example with the high technology industry in China , The article selected the 13 major industries enterprise panel datas, using the panel threshold regression model for countless, according to the empirical analysis to verify whether there is a threshold effect, the results showed a significant threshold effect, and then to human resources investment intensity and Ramp;D intensity threshold of both variable threshold characteristics analysis, the conclusion is: when the human resource investment intensity and Ramp;D intensity above a certain level(the threshold of the calculated value), the technology spillover of domestic enterprises to foreign capital has very significant technology spillover effect, on the contrary, when they below a certain level, the technology spillover effect is very low. The results show that, in the face of FDI, if our country's enterprises take the initiative to increase the strength of the absorbing ability , we can obtain more outstanding technology spillover effects. In the end, we offer the corresponding suggestions to better play to the FDI technology spillover effects on the basis of the empirical results.

Key Words: foreign direct investment, technology spillover effect, absorptive capacity

目 录

摘 要 2

目 录 5

第一章 引言 6

1.1 研究背景及意义 6

1.2 研究现状 7

1.2.1 国外研究情况 7

1.2.2 国内研究现状 8

1.3 本文研究框架 9

第二章 模型介绍 10

2.1 DEA-Malmquist指数 10

2.2 面板门限回归模型介绍 11

第三章 实证分析 13

3.1 模型设定 13

3.2 数据与变量 14

3.3 实证分析 16

3.3.1 平稳性检验 16

3.3.2 门槛效应的检验 17

3.3.3 FDI溢出效应的门槛特征分析 17

第四章 结论与政策建议 20

4.1 结论 20

4.2 对企业提出的建议 20

4.3 对政府提出的建议 20

参考文献 21

致 谢 22

附录 23

附录1：13个行业TFP指数 23

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