国际经济与贸易学院知识库

摘 要 在习近平新时代中国特色社会主义的引领下，中国科技的自主创新能力已 经成为我国转变为经济强国的关键所在，这也是提高国际竞争力和国家综合实 力的重要体现之一。党的十九届六中全会着重强调了创新是我国科技发展的核 心，自主创新是提高和巩固我国综合国力、推动经济高质量增长的主要动力， 把自主创新作为中国发展的主要力量。随着我国逐步进入新时代时期，对科技 创新的发展特别是高新技术产业的创新发展提出了更高的要求。高新技术产业 是我国实现科技创新的主要载体，在变换发展新时代的产业形式、加强中国的 国际竞争力等方面起到了不可忽略的作用。一个国家的高新技术产业创新能力 的提升主要通过两个途径：一是国内投资构成和研发活动的自主创新；二是通 过国际技术溢出渠道引进、吸收和消化国外技术后的再创新。随着我国“走出 去”的战略计划的顺利实施和 “一带一路”的快速发展，众多高新技术企业通 过对外直接投资的方式获取国外领先的科技，从而让自身的科技创新水平有所 突破。这是一条具有中国新时代特色社会主义的高新技术产业化的道路，为我 国的科技创新发展奠定有利的基础条件。同时，我国高新技术产业对外直接投 资生产活动的扩大、对外直接投资的经济效应及其对国内生产发展的影响引起 了广泛的关注。本文就中国OFDI对高新技术产业创新能力的影响这一主题对以 下问题展开研究：我国OFDI对国内的高新技术产业技术创新能力究竟有何影响？ OFDI逆向技术溢出影响技术创新能力的途径和机制是什么？不同的区域是否存 在差异？ 根据数据的可获得性，本文的研究内容主要分为两个部分：理论研究和实 证论述。理论研究主要是梳理对外直接投资中高新技术产业逆向技术溢出的文 献和理论机制。实证论述选取10个国家作为本文的研究样本，根据创新能力的 视角来分析，思考对外直接投资逆向技术溢出效应是否提高了中国的高新技术 产业创新能力；同时也研究东部、中部和西部地区获得OFDI对高新技术产业创 新能力是否存在着差异。本文基于2009-2019年30个省份的面板数据进行实证检 验，讨论OFDI溢出效应对高新技术产业创新能力的影响，并且对实证结果进行 了稳健性检验。 基于以上研究思路，本文得到以下主要结论： 兰州财经大学硕士学位论文 OFDI 逆向技术溢出对高新技术产业创新能力的影响研究 （1）通过 OFDI 渠道获得的反向技术溢出已成为提高我国高新技术产业创 新能力的主要载体。对外直接投资规模越大，对我国自主创新能力的提升效果 越明显。 （2）国内高新技术产业通过 OFDI 获得的反向技术溢出创新能力存在比较 显著的地区差异：中部地区通过 OFDI获得的反向技术溢出对自主创新能力的提 升贡献较高，而东部和西部地区却没有明显的驱动作用。 关键词：对外直接投资；逆向技术溢出；高新技术产业；技术创新

Abstract Under the leadership of socialism with Chinese characteristics in the new era of Xi Jinping, the independent innovation capability of China's science and technology has become the key to my country's transformation into an economic power, which is also one of the important manifestations of improving international competitiveness and national comprehensive strength. The Sixth Plenary Session of the 19th Central Committee of the Communist Party of China emphasized that innovation is the core of my country's scientific and technological development, independent innovation is the main driving force for improving and consolidating my country's comprehensive national strength and promoting high-quality economic growth, and independent innovation is the main force for China's development. As my country gradually enters a new era, higher requirements are put forward for the development of scientific and technological innovation, especially the innovation and development of high-tech industries. The high-tech industry is the main carrier for my country to realize scientific and technological innovation, and it has played an important role in transforming and developing the industrial form in the new era and strengthening China's international competitiveness. A country's high-tech industry innovation capability can be improved mainly through two ways: one is the independent innovation of domestic investment composition and R&D activities; the other is re-innovation after 兰州财经大学硕士学位论文 OFDI 逆向技术溢出对高新技术产业创新能力的影响研究 introducing, absorbing and digesting foreign technology through international technology spillover channels. With the smooth implementation of my country's "going out" strategic plan and the rapid development of the "One Belt, One Road" initiative, many high-tech enterprises have acquired foreign leading technology through foreign direct investment, thereby making a breakthrough in their own technological innovation level. This is a road of high-tech industrialization with the characteristics of China's new era of socialism, which lays a favorable foundation for my country's scientific and technological innovation and development. At the same time, the expansion of my country's high-tech industry foreign direct investment production activities, the economic effect of foreign direct investment and its impact on the development of domestic production have attracted widespread attention. This paper studies the following questions on the theme of the impact of China's OFDI on the innovation capability of high-tech industries: What is the impact of my country's OFDI on the technological innovation capability of domestic high-tech industries? What are the ways and mechanisms by which OFDI reverse technology spillover affects technological innovation capability? Are there differences in different regions? According to the availability of data, the research content of this paper is mainly divided into two parts: theoretical research and empirical 研究 discussion. The theoretical research is mainly to sort out the literature and theoretical mechanism of reverse technology spillover of high-tech industries in foreign direct investment. The empirical discussion selects 10 countries as the research samples of this paper, analyzes it from the perspective of innovation ability, and considers whether the reverse technology spillover effect of foreign direct investment has improved China's high-tech industry innovation ability; at the same time, it also studies the acquisition of OFDI in the eastern, central and western regions. Whether there are differences in the innovation ability of high-tech industries. Based on the panel data of 30 provinces from 2009 to 2019, this paper conducts an empirical test, discusses the impact of OFDI spillover effects on the innovation capacity of high-tech industries, and conducts a robustness test of the empirical results. Based on the above research ideas, this paper draws the following main conclusions: (1) The reverse technology spillover obtained through OFDI channels has become the main carrier to improve the innovation capability of my country's high-tech industries. The larger the scale of foreign direct investment, the more obvious the improvement effect on my country's independent innovation capability. (2) There are significant regional differences in the innovation capability of reverse technology spillovers obtained by domestic high-tech industries through OFDI: the reverse technology spillovers obtained through OFDI in the central region contributed more to the improvement of independent innovation capabilities, while the eastern and western regions did not. no obvious driving effect Keywords：Foreign direct investment; Reverse technology spillover; High-tech industry; Technology innovation