技术溢出效应研究文献综述

技术溢出是经济发展中的一种现象,是经济外在性的一种体现,对技术溢出的研究最早始于1960S,技术溢出是跨国公司影响东道国企业技术水平的重要途径。而跨国公司的FDI是形成技术溢出效应的桥梁,技术溢出主要是通过前后向联系、人员流动及示范作用三个渠道完成的。同时技术溢出效应的形成又受到多种因素的制约。本文对技术溢出效应理论的研究做了综述,其中重点对跨国公司及其FDI形成技术溢出效应的途径及其制约因素进行了分析,并对技术溢出的研究方法提出了建议。     

外商直接投资与东道国产业发展——基于后向关联效应的研究

外商直接投资对东道国产业发展存在催化作用,FDI通过产业关联促进东道国产业升级,经验研究表明其后向关联效应较前向关联效应有更大显著性。本文在跨国公司、东道国上游企业和下游企业三者之间建立理论模型,分析跨国公司直接投资后向关联效应的影响因素,得出影响外商直接投资后向关联效应的一个重要因素是跨国公司与东道国下游企业之间的技术差异。     

外贸政策对FDI技术溢出效应的影响机制

FDI技术溢出效应实证研究呈现不同结果,有正面溢出效应,有负面溢出效应,还有的不存在显著溢出效应,学者们针对这些不同结果给出了不同解释。本文主要研究了外贸政策对FDI技术溢出效应的影响机制,首先总结了FDI技术溢出渠道及影响FDI技术溢出效应的因素,接下来界定外贸政策范围,最后研究了外贸政策对FDI技术溢出效应的影响机制:外贸政策的不同会导致外商不同的投资动机,进而影响FDI的流向,使跨国公司在东道国市场结构中处于不同地位,从而对FDI技术溢出渠道产生影响,最终影响到FDI技术溢出效应。     

行业增长性、技术投资博弈与跨国公司直接投资技术外溢

跨国公司直接投资对发展中东道国技术发展的影响如何?大多数研究停留在总体正负外溢效应的争论上,很少有学者关注东道国的行业增长性和企业技术投资对跨国公司直接投资技术外溢的影响。本文引入行业增长性,拓展Wang与Blomstrom的国际技术转移模型,构建了跨国公司技术转移与东道国企业技术学习的博弈框架,重点研究行业增长性对企业技术行为与技术外溢的影响,更全面地探讨跨国公司直接投资技术外溢机制。     

东道国外资规制政策互动与跨国公司对外直接投资

鉴于传统主流对外直接投资理论忽视了国家分析视角的重要价值，不少学者开始侧重从宏观实证角度来分析FDI对一国产业、贸易、市场结构与经济发展的影响。但从微观上看，FDI不仅是一种跨国的资本投放方式，更是一种包含资本、技术、管理等国际经营活动要素在内的“打包型复合产品”，其对东道国的经济影响是多渠道和多重性质的。在存在溢出效应、信息不对称和政策俘获情况下，文章使用新政治经济学的政府规制分析框架分析了跨国公司在多个东道国之间配置其投资预算时，东道国外资规制政策国际协调对跨国公司对外直接投资行为所产生的影响。     

跨国公司垂直技术转移、后向关联与东道国产业的发展

跨国公司进入东道国通过两种重要途径影响东道国产业发展:一是技术转移;二是产生后向关联效应。而现有文献很少将二者放在一起研究,本文则试图通过建立东道国上下游产业的古诺竞争均衡模型,分析垂直技术转移与后向关联效应之间的关系、并讨论跨国公司垂直技术转移方式的决定条件及其对东道国上下游产业发展的不同影响。     

跨国公司研发国际化的“溢出效应”及对我国政策分析

当今跨国公司控制着90%的国际先进技术,其研发投资活动显现出明显的国际化趋势,但对东道国技术进步有正反两方面的影响。跨国公司对外直接投资带来的“技术溢出”和“工资溢出”在我国都有所表现,但发挥作用的条件在变化,所以我国现行的鼓励政策有明显的局限性,应抓住机遇,扬长避短,进行政策性调整,大力引进跨国公司研发投资,充分利用“溢出效应”,防止“挤出效应”,促进先进制造业基地的成长,加快我国知识性经济的步伐。     

跨国公司的技术溢出效益及其制约因素

技术溢出是跨国公司影响东道国企业技术水平的重要途径,跨国公司的技术溢出效应是通过示作用,前后向联系及人员流动等渠道完成的,技术溢出效应的强度受到多种因素的制约,如当地企业的学习能力与吸附能力,市场环境等。本文对跨国公司的技术溢出效应及其制因素进行了分析,并对我国政府的相关政策提出了建议。     

FDI行业间技术溢出效应的实证研究——基于全球价值链的视角

国内现有研究FDI行业间技术溢出的文献相对较少,特别是没有结合跨国公司FDI按照全球价值链进行布局的背景进行分析。本文选取2001～2006年两位码国民经济行业中8个行业的面板数据,考察了购买者驱动类型和生产者驱动类型的全球价值链下跨国公司在华FDI行业间技术溢出的效应和途径。结果发现,我国纺织、服装、家具等劳动密集型行业中前向溢出和后向溢出的效应都比较明显,后向溢出的效应大于前向溢出的效应;我国电子通讯、计算机等资本技术密集型行业并没有从外资企业获得明显的行业间溢出,上游的FDI反而对内资企业的生产率带来负面影响。     

中国对"一带一路"沿线国家投资的技术溢出效应研究

"一带一路"沿线国家是中国开放新时期对外直接投资的重点区域,实现并扩大中国对外投资的正向技术溢出,对促进沿线各国转型发展、提高中国对外直接投资效益均有重要影响。利用38个沿线国家2003—2015年的面板数据,借助GMM估计法分析我国对沿线国家直接投资的技术溢出效应。研究结果表明,中国对沿线国家直接投资存在显著的正向技术溢出,但与出口贸易相比溢出水平较低;东道国科技研发实力、对外开放程度、金融发展水平等因素可显著扩大中国对沿线国家直接投资的技术溢出效应。     

中国对外直接投资逆向技术溢出的影响因素分析

国内外研究显示,一国对外直接投资具有技术寻求动机,而且普遍存在逆向技术溢出效应,但是针对对外直接投资逆向技术溢出的影响因素研究处于相对空白。本文以中国作为分析对象,从东道国的创新能力、国际技术传递渠道和中国的消化吸收能力3个方面归纳出中国对外直接投资逆向技术溢出的10个影响因素,建立偏最小二乘回归模型并运用辅助分析手段对这些因素进行了实证检验。结果发现:东道国的研发资本存量、人均国民收入和中国的GDP是影响中国对外直接投资逆向技术溢出的三大因素,真实汇率水平与我国对外直接投资逆向技术溢出负相关,而政府支持力度的影响很小,中国对外直接投资寻求逆向技术溢出主要还是企业的要求和行为。     

Productivity Spillovers from FDI in China： Regional Differences and Threshold Effects

Economic theory posits numerous channels through which FDI might create positive spillovers for domestic firms. However, the results of empirical studies that have sought to document these spillovers have been mixed. One explanation for this variation is that the capacity of domestic firms to absorb spillovers might vary. In the present paper, we explore these issues in the case of China. ,4side from being one of the world＇s leading hosts offoreign direct investment, China makes for an interesting case study because its provinces vary greatly with respect to those factors most commonly held to influence absorptive capacity, such as the initial level of technology in domestic firms. This paper begins by empirically establishing that the spillovers from foreign direct investment do indeed vary across provinces. Threshold values for varioas factors that influence absorptive capacity factors are then estimated and it is found that conditions in many provinces presently fall short of these values. This provides an obvious focus of attention for China＇s policy-makers.     

Foreign Investment and Technological Spillovers in Kenya: Extent and Mode of Occurrence

This paper uses a uniquely designed analytical framework based on technological learning and capability development to examine the extent of multinational company spillover occurrence in the Kenyan manufacturing industry. Using a firm‐level survey data, we examined the kind of spillovers occurring, extent of occurrence as well as the channels through which such spillovers occurred. The results obtained showed that the main kinds of spillovers occurring were product and process spillovers followed by marketing, management and organisation. Results of t‐tests analysis showed significant differences between competition and demonstration, and linkage and labour mobility implying that the first two mechanisms were extremely important in spillover occurrence compared with the latter two in the Kenyan context. These have implications that linkage and labour mobility have weaker learning effects, hence weak in stimulating capability building. T‐test analysis showed that more spillovers occurred from foreign firms than from locally owned firms. The results also showed that spillovers were likely to occur due to foreign presence, firm and machine age, skill level, research and development, training and participation in imports. Based on the results generated, the paper portends that foreign direct investment can play an important role in the country's manufacturing industry by stimulating learning and capability development via spillover occurrence.     

The choice between an international joint venture and a wholly-owned subsidiary in a developing country under technology spillover effects

A general equilibriumm model of a foreign multinational enterprise's decisions on establishing a wholly-owned subsidiary or forming a joint venture is built on firm-specific knowledge and plant-specific knowledge when there are intraindustry and interindustry technology spillovers. The welfare effects of a host developing country under closed economies, unrestricted foreign direct investment, and the policy of minimum local ownership requirements are compared. A developing country's worry is confirmed: Introduction of competition from foreign firms may not improve the welfare of the host country. However, the minimum local ownership requirement is Pareto-superior to a closed economy.     

Technology spillovers from Chinese outward direct investment: The case of Ethiopia

The present study uses firm survey data of 1033 manufacturing firms operating in Ethiopia in 2011 to examine the impact of Chinese outbound direct investment on the productivity of domestic firms. Particularly, we attempt to answer two questions. Firstly, are Chinese-owned (henceforth foreign) firms more productive than local ones? Secondly, does the presence of foreign firms generate technology spillovers on domestic firms operating in the same industry? Our empirical results show that foreign firms are more productive and that their presence has different spillover effects on the productivity of domestic firms. In particular, we find that domestic firms with higher absorptive capacity experience positive spillovers, while those with low absorptive capacity witness negative spillover. We also find that small firms and non-exporting firms benefit more from spillovers than do other types of domestic firms. In this study, instrumental variables are used to address the potential endogeneity between foreign firm presence and domestic firm productivity.     

Productivity spillovers from foreign multinationals and trade protection: firm‐level analysis of Vietnamese manufacturing

This paper examines how the presence of foreign multinational enterprises (MNEs) affects productivity in domestic private firms in Vietnamese manufacturing in 2005–10. The paper also examines how import protection has affected these productivity spillovers and how spillovers from wholly foreign MNEs and joint ventures differ. The most consistent result suggests wholly foreign MNEs impart negative spillovers while joint ventures tend to generate positive spillovers. Theory and random effects estimates also indicate that import protection reduces local firm productivity and weakens the effect of spillovers from all MNEs; but this result is not obtained when a fixed effects estimator is used. Results are similar in samples of labour‐intensive industries, which include close to three fourths of all sample firms, but differ markedly for more capital‐intensive groups.     

Knowledge spillovers from foreign direct investment in R&D: Evidence from Japanese firm-level data

This study uses firm-level panel data from the Japanese manufacturing industries and examines whether foreign direct investment generates intra-industry knowledge spillovers to domestic firms. The analysis found positive effects of R&D stocks of foreign firms on the productivity of domestic firms, while effects of capital stocks of foreign firms were absent, suggesting that knowledge of foreign firms spills over through their R&D activities, but not through their production activities. In addition, we found that the extent of spillovers from R&D stock of foreign firms is substantially larger than spillovers from R&D stock of domestic firms.     

Efficiency spillovers from foreign direct investment in the EU periphery: A comparative study of Greece,Ireland, and Spain

Despite a growing number of empirical studies on efficiency spillovers arising from the presence of multinational firms for a number of countries, general conclusions on this issue have been inhibited by differences in the data sets and estimation techniques used across studies. In this paper we conduct a comparative empirical study for Greece, Ireland and Spain by creating comparable data sets and estimating identical models. Our results show evidence of spillovers in Ireland and Spain only, although these positive spillovers seem to depend on whether firms have the absorptive capacity to capture technological spillovers and the criteria used to classify them as foreign affiliates. JEL no. F23, O30     

知识产权保护与国际R&D溢出实证研究

进口贸易和FDI是国际R&D溢出的主要渠道,知识产权保护水平是影响国际技术效应的重要因素。运用中国1985～2009的时间序列数据实证分析表明,进口贸易和FDI能显著促进国际R&D的技术溢出,且吸收能力的加强有助于技术效应的扩大。但是在现有中国经济的发展水平下,知识产权保护的加强会抑制国际技术溢出,阻碍中国劳动生产率的提高。因此,作为发展中国家,完善现有教育体制和提高人力资本自主创新才是关键,同时在不违反WTO协议的前提下,应采取适度的知识产权保护水平。     

Export Spillovers to Chinese Firms: Evidence from Provincial Data

Multinational firms are important conduits of managerial skills, foreign market linkages, and technology. Foreign export spillovers associated with multinational firms have the potential to reduce entry costs for local exporting firms. This paper examines whether exports by multinational firms increase the probability of exporting by domestic Chinese firms. The findings from the Probit estimation highlight the varying relationships between multinational exports and local foreign entry based on the type of ownership. The results from separating foreign-invested enterprises into overseas Chinese companies and OECD-based multinational firms suggest that the export activity of the former does not increase the probability of exporting by local firms, whereas the latter positively influence the export decision of local firms, particularly under processing trade.