I 摘要 在世界经济协同发展的今天，中国绿色技术创新水平的提高不仅仅是依赖于 中国自身的研发投入还有赖于其他国家的国际技术溢出。国际技术溢出能否在东 道国地区实现良好的利用与转化，很大程度上是取决于当地的吸收能力。在人类 文明不断发展、社会不断进步的过程中，存在着不容忽视的一点，经济实现飞速 发展的同时造成了环境问题的日益严峻，这也致使世界各国在污染治理方面也付 出了沉重的代价，绿色技术创新的出现使得所有生态问题迎刃而解。因此，论证 国际技术溢出、吸收能力与绿色技术创新三者之间的关系具有重要的现实意义。 本文在对国际技术溢出、吸收能力和绿色技术创新的相关理论进行了论述以 后，对三者之间的关系进行了逻辑梳理，并绘制了逻辑关系图。其次本文基于2009 年到2017年中国的省域面板数据来展开的研究。以绿色技术创新为出发点，分别 从外商直接投资和贸易进出口两个角度来讨论国际技术溢出对绿色技术创新的影 响，在基础模型的基础上，加入了吸收能力作为调节变量，实证研究了不同地区 吸收能力对于国际技术溢出对于绿色技术创新的调节作用效果。除此以外，本文 采用空间误差模型，检验了国际技术溢出、吸收能力与绿色技术创新的空间相关 性。研究结果显示:（1）外商直接投资溢出与绿色技术创新具有空间异质性特征， 大部分省份属于高溢出高创新型（HH）和低溢出低创新型（LL）。（2）吸收能力 在国际技术溢出与绿色技术创新之间具有显著的调节作用，吸收能力的加入，显 著正向促进了国际技术溢出对于绿色技术创新的作用效果。（3）通过构造的空间 计量模型证实了外商直接投资显著的促进受溢出地区的绿色技术创新，而贸易进 出口则对受溢出地区的绿色技术创新产生了显著的抑制作用。针对研究结果的情 况，本文提出了以下几点结论：（1）外商直接投资是促进中国各省份进行绿色技 术创新的重要途径，各地区要积极做好外资引进工作，在引进外资的同时，努力 吸收外国先进思想，抓住精髓实现二次创新，使得外商直接投资带来的效益发挥 到极致。（2）各省份想要提高自身的绿色技术创新水平，必须要摆脱对于国外设 备、技术、芯片等的依赖，不能只满足于贸易进出口带来的短暂的效益，而要积 极学习国外的技术，实现自己的创新，以此才能实现真正的质的飞跃。（3）中国 各省份在引进外资获取了国际技术溢出以后，必须要提升各省份自身的吸收能力， 使得引进的外来先进技术能得到更好地解剖、更深层次的吸收消化，最终实现自 身的绿色技术创新。（4）各省份之间的空间溢出效应也是提升绿色技术创新的重 要因素之一。因此，需要加强各省份之间的沟通和切磋，促进人才交流学术科研 摘要 II 交流活动的积极开展，提升各省份之间的空间溢出效应，通过周边省份绿色技术 创新水平的提高带动自身实现绿色技术创新。 关键字：绿色技术创新;吸收能力;国际技术溢出;调节作用;空间误差模型 Abstract I Abstract Intoday'scoordinateddevelopmentoftheworldeconomy,theimprovementof China'sgreentechnologyinnovationleveldependsnotonlyonChina'sownR&D investmentbutalsooninternationaltechnologyspilloversfromothercountries. Whetherinternationaltechnologyspilloverscanbewellutilizedandtransformedinthe hostcountryregiondependslargelyonthelocalabsorptivecapacity.Intheprocessof continuousdevelopmentofhumancivilizationandcontinuousprogressofsociety,there isapointthatcannotbeignored.Therapiddevelopmentoftheeconomyhascaused increasinglyseriousenvironmentalproblems,whichhasalsocausedcountriesaround theworldtopayaheavypriceintermsofpollutioncontrol.Theemergenceofgreen technologicalinnovationhassolvedallecologicalproblems.Therefore,itisofgreat practicalsignificancetodemonstratetherelationshipbetweeninternationaltechnology spillovers,absorptivecapacityandgreentechnologicalinnovation. Afterdiscussingtherelatedtheoriesofinternationaltechnologyspillover, absorptivecapacityandgreentechnologicalinnovation,thispaperlogicallycombsthe relationshipbetweenthethreeanddrawsalogicalrelationshipdiagram.Secondly,this articleisbasedonChina'sprovincialpaneldatafrom2009to2017.Takinggreen technologyinnovationasthestartingpoint,thisarticlediscussesinternational technologyspilloversandgreentechnologyinnovationfromtheperspectiveofforeign directinvestmentandtradeimportandexport.Basedonthebasicmodel,theabsorption capacitywasaddedasamoderatingvariabletoempiricallystudytheeffectofthe absorptioncapacityofdifferentregionsontheregulationeffectofinternational technologyspilloversongreentechnologyinnovation.Inaddition,thispaperusesa spatialerrormodeltotestthespatialcorrelationbetweeninternationaltechnology spillovers,absorptivecapacityandgreentechnologicalinnovation.Theresearchresults showthat:(1)Foreigndirectinvestmentspilloversandgreentechnologicalinnovation havespatialheterogeneity.Mostprovincesbelongtohighspilloverhighinnovation(HH) andlowspilloverlowinnovation(LL).(2)Absorptivecapacityhasasignificant regulatoryrolebetweeninternationaltechnologyspilloversandgreentechnological innovation.Theadditionofabsorptivecapacityhassignificantlypromotedtheeffectof Abstract II internationaltechnologyspilloversongreentechnologicalinnovation.(3)The constructedspatialeconometricmodelconfirmsthatforeigndirectinvestment significantlypromotesgreentechnologyinnovationinspilledareas,whiletradeimports andexportshavesignificantlyinhibitedgreentechnologyinnovationinspilledareas. Accordingtothesituationoftheresearchresults,thefollowingconclusionsareput forwardinthisarticle:(1)Foreigndirectinvestmentisanimportantwaytopromote greentechnologicalinnovationinChina'sprovinces.Allregionsshouldactivelydoa goodjobinintroducingforeigncapital,andworkhardwhileintroducingforeigncapital. Absorbingadvancedforeignideasandgraspingtheessencetoachievesecondary innovation,thebenefitsbroughtbyforeigndirectinvestmenthavebeenmaximized.(2) Toincreasetheirlevelofgreentechnologyinnovation,eachprovincemustgetridofits dependenceonforeignequipment,technology,andchips.Itmustnotonlybesatisfied withthetemporarybenefitsbroughtbytradeimportsandexports,butmustactively learnfromforeigntechnologies.,Toachievetheirowninnovation,inordertoachievea realqualitativeleap.(3)AftertheprovincesofChinahaveintroducedforeigncapitaland obtainedinternationaltechnologyspillovers,theymustimprovetheirownabsorptive capacity,sothatimportedadvancedforeigntechnologiescanbebetterdissectedand deeperabsorbedanddigested,andfinallyrealizetheirowngreenTechnicalinnovation. (4)Thespacespillovereffectbetweenprovincesisalsooneoftheimportantfactorsto promotegreentechnologicalinnovation.Therefore,itisnecessarytostrengthenthe exchangesandcooperationbetweenprovinces,promotetheactivedevelopmentof talentexchangeandacademicexchangeactivities,enhancethespacespillovereffect betweenprovinces,andpromotetherealizationofgreentechnologyinnovationby improvingthelevelofgreentechnologyinnovationinneighboringprovinces. Keywords:greentechnologyinnovation;absorptivecapacity;international technologyspillovers;regulatoryrole;spatialerrormodel 目录 I 目录 摘要.................................................................................................................................I 第1章绪论.....................................................................................................................1 1.1研究背景与意义.................................................................................................1 1.2研究方法与思路.................................................................................................1 1.2.1研究方法..................................................................................................1 1.2.2研究思路..................................................................................................3 1.3国内外文献综述.................................................................................................3 1.3.1国际技术溢出效应文献综述..................................................................3 1.3.2绿色技术创新文献综述..........................................................................4 1.3.3吸收能力文献综述..................................................................................5 1.4本文的创新和不足.............................................................................................6 1.4.1本文的创新..............................................................................................6 1.4.2本文的不足..............................................................................................6 第2章理论基础及其作用关系......................................................................