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Three essays on technology development and FDI in China: Regional spillover, factor bias spillover, and change of energy intensity.

机译：关于中国技术发展和外国直接投资的三篇论文：区域溢出，因子偏差溢出和能源强度变化。

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摘要

This thesis investigates how the spillover effect of R&D expenditures and foreign direct investment (FDI) affect firms' productivity, technology development, and energy efficiency in China. Specifically, the first essay uses firm-level panel data from Chinese enterprises to examine how regional differences influence the impact of technology spillovers on firms' productivity. This essay contributes to the existing literature in the following aspects: providing regional evidence that vertical channels are more important than horizontal channels to generate positive spillovers; providing empirical evidence on how regional differences, including geographical endowments, economic factors, and government policies, affect within-region and outside-region spillovers; providing empirical evidence to support the fact that China's "Grand Western Development Program" helped to reduce the economic disparity between the Western region and Coastal region. We find within-region spillover effects improve the productivity of firms in the Eastern region, which may due to the "Coastal Development Strategies" and the Eastern region's geographical advantages; firms in the Northeastern region receive significant cost-increasing outside-region spillover effects, which is in some extent caused by the low performances of SOEs in the Northeast; firms in the Southwestern region, which has the lowest GDP among five Chinese regions, receive significant cost-saving within-region and outside-region spillover effects, which may be a result of the fact that Coastal region has bigger positive impacts on the Western region after the implementation of "Grand Western Development Program". The second essay investigates the factor-bias spillover effect of FDI in China. Specifically, we examine how domestic enterprises guide their technology development direction in response to FDI in their horizontal industry, upstream industry, or downstream industry. Moreover, we will investigate the impact on FDI spillovers, resulting from China's joining of the World Trade Organization in 2001. Our empirical results show that foreign capital invested in upstream industries results in the use of more materials; foreign capital in downstream industries induces the use of more capital, but less labor; and foreign capital in horizontal industries induces saving in capital, but using in materials. Competition from foreign firms in the same industry spurs domestic firms to reduce their production cost by more intensively utilizing their relative factors endowment, which is capital-scarce, labor- and material-abundant. FDI in upstream industry produces higher quality outputs inducing Chinese firms to outsource more. Benefiting from technology transferred from downstream foreign consumers, local suppliers exhibit technical change with capital-using, labor- and material-saving factor bias. The third essay investigates how R&D expenditures and FDI, as well as other factors, influence the energy intensity in four Chinese high energy consumption industries. Results suggest that China's increased openness to the world and R&D expenditures only bring benefits a couple of industries in improving their energy efficiency, while rising energy costs and China's industrial policy—"grasping the large, letting go off the small" are significant contributors to the decline in energy intensity in all four industries.
机译：本文研究了研发支出和外国直接投资（FDI）的溢出效应如何影响中国企业的生产率，技术发展和能源效率。具体来说，第一篇文章使用来自中国企业的企业层面的面板数据来研究区域差异如何影响技术外溢对企业生产率的影响。本文在以下方面为现有文献做出了贡献：提供区域性证据，表明垂直渠道比水平渠道对产生积极的溢出效应更为重要；提供关于区域差异（包括地理，赋，经济因素和政府政策）如何影响区域内和区域外溢出效应的经验证据；提供经验证据来支持中国的“西部大开发计划”有助于缩小西部地区与沿海地区之间的经济差距这一事实。我们发现，区域内溢出效应可提高东部地区企业的生产率，这可能是由于“沿海发展战略”和东部地区的地理优势所致；东北地区的企业受到了成本增加的区域外溢出效应，这在一定程度上是由于东北地区国有企业的绩效低下所致；在中国五个地区的GDP最低的西南地区的公司中，区域内和区域外溢出效应得到了显着的节省，这可能是由于沿海地区对西部地区产生了更大的积极影响实施“西部大开发计划”后。第二篇文章研究了外国直接投资在中国的因果关系溢出效应。具体而言，我们研究了国内企业如何响应其横向行业，上游行业或下游行业中的外国直接投资来指导其技术发展方向。此外，我们将调查中国于2001年加入世界贸易组织对外国直接投资溢出的影响。我们的实证结果表明，投资于上游产业的外国资本导致了更多材料的使用。下游产业中的外国资本促使人们使用更多的资本，但减少了劳动力；横向行业中的外国资本可以节省资本，但可以节省材料。来自同一行业的外国公司的竞争促使国内公司通过更密集地利用其相对要素end赋来降低生产成本，这些要素relative赋是资本稀缺，劳动力和物质丰富的。上游行业的外国直接投资产生了更高质量的产出，从而促使中国企业外包更多的资源。受益于下游外国消费者转让的技术，本地供应商在使用资金，节省劳动力和节省材料等因素方面表现出技术变化。第三篇文章研究了研发支出和外国直接投资以及其他因素如何影响中国四个高耗能行业的能源强度。结果表明，中国对世界的开放程度和研发支出的增加仅给几个行业带来了提高能源效率的好处，而不断上涨的能源成本和中国的产业政策-“抓大放小”是对这一行业的重要贡献。所有四个行业的能源强度下降。

著录项

  • 作者

    Hu, Yong.;

  • 作者单位

    The Pennsylvania State University.;

  • 授予单位 The Pennsylvania State University.;
  • 学科 Economics Environmental.;Energy.;Sociology Public and Social Welfare.
  • 学位 Ph.D.
  • 年度 2012
  • 页码 169 p.
  • 总页数 169
  • 原文格式 PDF
  • 正文语种 eng
  • 中图分类
  • 关键词

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