市场换技术下内资企业技术能力的提升路径——基于溢出效应和吸收能力的分析

Toward the Technology Capability Improvement of Domestic Enterprises under Swap-Market-for-Technology—Analysis Based on Spillover Effects and Absorbing Capabilities

国际直接投资可在东道国产生溢出效应,包括行业内的竞争、示范效应,行业间的产业关联效应,以及人才流动效益。这些效应对东道国企业技术能力的形成和提升提供了一种路径选择,即选择、获取、吸收学习和改进国外技术,经过模仿、跟随进而达到创新或超越。然而,溢出效应不会自动产生,它在很大程度上取决于东道国企业的吸收能力。吸收能力又受企业自身的技术基础、学习、研发和行业内外资企业间能力差距的影响。在市场换技术的行业或地区,如果内资企业学习和研发强度大,行业内外资企业能力差距适中,外资的溢出效应就可能大,在此状态下,内资企业就可基于溢出效应和吸收能力加速其技术发展,反之,就会形成技术依赖甚至被逐出市场。汽车行业以民营企业为主体的自主开发企业与跨国公司主导的合资企业在技术能力提升上的巨大差异,对此提供了很好例证。

FDI can cause spillover effects in host countries,including competition and demonstration effects within industries,and industrial association effects and talents flowing effects among industries. These effects provide a choice of paths for the formation and improvement of firms' technology in host countries. Nevertheless,spillover effects can not emerge automatically and rely on firms' absorbing capabilities in host countries to a great extent. Absorbing capabilities are affected by firms' technology,learning,R&D and the capability gap between domestic and foreign enterprises within a given sector. For those industries or regions where swap-market-for-technology policy is in effect,the FDI spillover effects would be greater if the input of domestic firms' learning and R&D is large. The automobile sector where there is big gap in technology capabilities between private firms and joint ventures dominated by multinationals provides a good case for our research.