中国外资进入自由化、创新驱动与制造业企业转型升级研究

Based on the “Catalogue for the Guidance of Foreign Investment Industries”, this project will evaluate the effectiveness of foreign investment liberalization in China systematically by constructing the index of foreign investment liberalization from the perspective of foreign policy changes. In theory, this project aims to build an analytical framework of the internal relations among foreign investment liberalization, innovation-driven and firm transformation and upgrading by proposing a comprehensive theories of international direct investment, industrial economy and the global value chain. In the empirical, three main parts are included: (1) taking the substantial relax of foreign investment barriers—which is induced by the revision of “Catalogue for the Guidance of Foreign Investment Industries” conducted by the Chinese government in 2002—as a quasi-natural experiment, we evaluate the causal effects of foreign investment liberalization on firm innovation and firm upgrading by using difference-in-difference (DID) method; (2) comparing the differential effect and relative effectiveness between Ⅰ-type foreign investment liberalization (i.e., the foreign investment policy changes from the prohibited category or the restricted category to the permitted category) and Ⅱ-type foreign investment liberalization (i.e., the foreign investment policy changes from the permitted category to the supported category); (3) discussing how innovation-driven affects firm upgrading, and identifying whether innovation-driven is an important channel through which foreign investment liberalization affects firm upgrading. All in all, this project will provide a novel research approach for accurately evaluating the effectiveness of China’s foreign investment policy, and may also provide decision-making reference for the transformation and upgrading of enterprises, the implement of the innovation-driven strategy, as well as the dynamic adjustment of foreign investment policy.

本课题拟利用《外商投资产业指导目录》构造外资进入自由化指标，从外资政策变动这一新颖的视角系统评估中国外资进入自由化的成效。在理论上，本课题拟综合国际直接投资、产业经济与全球价值链理论，构建外资进入自由化、创新驱动与企业转型升级之间内在联系的分析框架。在实证上，本课题：①将以中国政府2002年对《目录》的修订所引致的大幅度外资进入壁垒放松作为准自然实验，采用倍差法评估外资进入自由化对企业创新与企业升级的因果效应；②比较研究Ⅰ类外资进入自由化（即外资政策由禁止或限制变动为允许外资进入）与Ⅱ类外资进入自由化（即外资政策由允许变动为鼓励外资进入）的差异性影响和相对有效性；③探讨创新驱动如何影响企业升级，并识别创新驱动是否是外资进入自由化影响企业升级的渠道。本课题将为准确评估中国引进外资政策的成效提供新颖的研究思路，同时为促进企业转型升级、有效实施创新驱动战略与外资政策动态调整提供决策参考。