中国在从汽车大国走向汽车强国的过程中，逐渐出现了不少引起产业内外广泛讨论的问题，主要表现在以下两个方面。一是“以市场换技术”的引资思路以及合资模式给中国内资汽车企业的技术进步带来了怎样的影响。二是当前只靠加强自主研发是否足以促进中国汽车企业技术进步，并促进汽车工业发展自主知识产权。在理论方面，从现有文献资料来看，与封闭经济系统中的经济增长研究相比，对开放经济系统中的内生经济增长有待进一步深入研究，而且现有理论大多着眼于宏观技术进步，对微观企业技术进步的研究较少，特别是在开放经济条件下，基于吸收能力视角，将FDI技术溢出内生于企业技术进步的研究文献更少见。目前，对国际技术溢出的研究大多是基于宏观层面的研究。可能是基于数据可得性的限制，关于微观层面的研究比较鲜见。本研究正是基于“技术溢出接受方”的吸收能力视角，从微观层面上探讨中国内资汽车企业自身的吸收能力与技术引进的传导机制，从而研究国际技术溢出是如何影响中国内资汽车企业技术进步的。

本研究以中国汽车企业为研究对象，以内资汽车企业的吸收能力为研究视角，对中国汽车企业的技术进步路径进行了理论和实证分析。在开放经济条件下，对中国汽车企业而言，其技术进步路径主要包括以下三大方面：自主创新、直接技术引进、国际技术扩散。本研究遵循“理论分析—实证检验—政策建议”的研究思路，探讨了自主创新、直接技术引进、FDI技术溢出三大路径对中国汽车产业技术进步的影响。首先，为了对中国汽车企业技术进步状况有一个比较全面的了解，本研究采用DEA-Malmquist生产率指数分别从分行业和所有制视角对中国汽车产业的全要素生产率（TFP）进行了测度分析，阐述了内外资汽车企业的技术差距。其次，本书研究了自主创新与中国汽车产业技术进步之间的关系，构建模型实证检验了中国汽车产业R&D产出弹性以及R&D和国外技术引进对汽车产业技术进步的影响。再次，本书基于内资汽车企业吸收能力的视角研究了FDI技术溢出与汽车产业技术进步之间的关系，从产业以及产业内部不同类型企业的两个层面研究了汽车产业FDI的技术溢出效应，一是从产业层面实证检验FDI对中国整体汽车产业的技术溢出效应，二是从产业内部不同类型企业的层面实证检验FDI对中国内资汽车企业的技术溢出效应，研究了FDI技术溢出的渠道，并基于内资汽车企业吸收能力的视角识别FDI技术溢出的影响因素。最后，本书结合中国汽车产业的现状，对如何促进中国汽车产业，特别是内资汽车企业的技术进步提出了相关对策建议。

本书的主要研究结论包括以下几个方面。①中国汽车工业技术进步明显，且存在明显的行业异质性和所有制异质性。从整体上来看，1994～2010年中国汽车产业年均TFP增长率为9.1%，TFP增长主要得益于纯技术进步的增长，技术效率的贡献较低，而技术效率改进主要得益于规模效率的增长。从时间趋势来看，自从我国加入WTO之后，中国汽车产业的TFP增长率均为正，且每年都保持着较高的增长率。从分行业角度来看，汽车行业的TFP增长率最高，其次为摩托车和车用发动机行业，再次为改装汽车行业，最后为汽车摩托车配件行业。从技术效率来看，中国汽车产业处于技术非效率状态。从所有制性质来看，外商投资企业的TFP增长率最高，其次为国有企业。②自主创新对中国汽车产业技术进步具有显著的促进作用。在规模报酬不变的情形下的R&D产出弹性为0.6354，在规模报酬可变的情形下的R&D产出弹性为0.6460，且均在1%的水平下显著；R&D产出弹性高出物质资本产出弹性十余个百分点。③技术引进对中国汽车产业技术进步具有显著的促进作用，R&D吸收能力对直接技术引进的作用为负。由于R&D吸收能力较低，因而R&D与国外技术引进的交互项对中国汽车产业生产率的增长具有显著的负影响。④FDI对中国整体汽车产业具有显著的技术溢出效应，R&D投资对FDI技术溢出效应的作用不明显，而R&D人力资本对其具有显著正影响。⑤FDI对内资汽车企业的挤出效应超过了其溢出效应。外资汽车企业主要通过人力资本效应对内资汽车企业产生技术溢出效应，但内外资汽车企业技术差距的扩大不利于FDI技术溢出。增加内资汽车企业的人力资本投入有助于FDI技术溢出，而增加内资汽车企业的研发投入对FDI技术溢出的作用不明显。⑥中国汽车产业技术进步的主要来源分别是：技术引进、FDI溢出和自主研发。可见，目前技术引进和FDI溢出效应是中国汽车产业技术进步的主要来源，而自主创新才是提高中国汽车产业技术和国际分工地位的关键性内部动力，因而，中国汽车产业升级的关键是要挖掘和培育内部动力，而非依赖技术引进和FDI溢出。

本研究具有一定的理论和实践价值：在理论价值方面，丰富了在开放经济系统条件下的增长理论研究；在实践价值方面，将此理论研究充分运用到微观汽车企业层面，有助于中国内资汽车企业的技术进步，有助于中国自主知识产权汽车工业的培育和发展。但是本研究也存在一些不足之处，如忽略了进口贸易技术溢出等因素对中国汽车产业技术进步的影响，此外，由于汽车产业FDI数据的缺失，本研究关于FDI技术溢出与汽车产业技术进步关系的精确性尚有待进一步提高。

The process，in which the Chinese car industry changes from big to strong，has caused many problems and aroused hot discussion. The discussion can mainly divide into following aspects：the first one is that how the investment idea of using the market charge for technology and the joint venture mode influences the technological progress of China’s domestic technology；the second one is that if strengthening the independent research is the only way to promote the technological progress of enterprises in our country and the development of independent intellectual property rights of automobile industry. In the aspect of theory，compared with the study of economic progress in a closed economic system，the endogenous economic growth in open economy system needs further study，and most of the existing theories focus on the macroscopically technology progress，but there is little research on enterprise technological progress，especially the FDI spillover and the progress of enterprises’ technology under the condition of open economy，in the aspect of absorptive capacity. At present，most study of the international technology spillover is based on the macro level，there is little based on the micro level，which may cause by availability of the data. From the “technology spillover recipient” absorptive capacity aspect，the paper explores the transmission mechanism of the absorptive capacity and the introduction of technology of Chinese domestic automobile enterprise based on the micro level，then study how the international technology spillover influence the progress of domestic automobile enterprises in china.

The paper selects the China’s automobile enterprises as the research object. From the aspect of the absorption capacity of the domestic automobile enterprises，the paper theoretically and empirically analyzes the path of automobile enterprise technology progress in China. Under the condition of open economy，the technology progress path of China’s automobile enterprises mainly include the following three aspects：independent innovation，technology introduction and international technology diffusion. Based on the idea of “theoretical analysis，empirical analysis，policy suggestion”，the paper discusses the influence of independent innovation，technology introduction，FDI technology spillover on the progress of China’s automobile industry. Firstly，in order to have a more comprehensive understanding of the Chinese automobile enterprise technology progress，the paper adopts DEA-Malmquist productivity index to analyze the total factor productivity of China’s auto industry （TFP） and elaborate the gap between the domestic and foreign auto enterprise from the aspect of the industry and ownership. Secondly，the paper studies the relationship between the independent innovation and technological progress in China’s automobile industry，and through building the model testing how the China’s automobile industry R&D output elasticity and the introduction of foreign R&D technology influences the automobile industry technological progress. Thirdly，the paper also studies the relationship between FDI technology spillovers and technology progress from the aspect of absorptive capability of domestic auto industry，and the FDI technology spillovers is studied from the perspective of different types of industry and inner industry. The paper empirically tests the China’s automobile industry’s technology spillovers effects of FDI mainly on the level of different types of enterprises in the inner industry，and studies the FDI technology spillover channels. Based on the aspects of domestic automobile enterprises absorb capacity，the paper also studies the recognition of the influence factors of FDI technology spillover. At last，the paper presents the main conclusion，and combing with the current situation of industry of automobile of our country，the paper proposes countermeasures about how to promote China’s auto industry’s progress especially the domestic ones on the bases of empirical research.

The conclusions are as follows：（1） the technical progress is obvious of China automobile industry，so does the industry heterogeneity and the ownership of enterprise heterogeneity. On the whole，the average annual growth rate of TFP is 9.1% during the year of 1994-2010. The growth of TFP is mainly due to the pure growth of technological progress and the low technical efficiency contribution，but the improvement of technical efficiency is mainly due to the scale efficient；From the aspect of time trend，the growth rate of China’s auto industry TFP is positiveafter China’s entry into the WTO，and maintains a high growth rate each year. From the view of industry，the growth rate of automobile industry TFP is the highest，followed by motorcycle，engine industry and the automobile，the last one is the motorcycle parts industry；From the view of technical efficiency，China’s auto industryis on the state of technical inefficiency；From the view of ownership，growth rate of foreign investment enterprises TFP is the highest，followed by state-owned enterprises；（2） Independent innovation has a significant effect on the automobile industry technological progress. R&D output elasticity case is 0.6354 on the condition of Constant returns to scale；R&D output elasticity case is 0.6460，and the value is significantthe at the level of 1%. R&D output elasticity is higher 10% than material capital output elasticity；（3） The introduction of technology has a significant role in promoting the technological of the automobile industry. The R&D absorption capacity has a negative effect on the introduction of direct technical. The reason why interaction terms of R&D and the introduction of foreign technology has a significant negative effect on productivity growth of China’s automobile industry is that the absorption capacity of R&D is low；（4） FDI has a significant technology spillover effect on the whole automobile industry in China，However，R&D investment does not have an obvious effect on FDI Technology Spillover，but the R&D human capital does；（5） Thecrowding-out effect of FDI to inward-owned auto companies is over the spillover the spillover effect. Through the effect of human capital，the foreign auto company has spillover effect on domestic automobile industry in China. The expand of the gap between foreign and domestic auto companies is not conducive to FDI technology spillover，and increasing the investment of human capita in domestic auto company can contribute to the FDI technology spillover，while，the contribution of increasing the R&Dinvestment is not obvious；（6）The main sources of technological progress of China’s automobile industry respectively are：the introduction technology，FDI overflow and independent research and development. Though the introduction of technology and FDI spillovers are the main source of technological progress of China’s automobile industry，it is independent innovation that can improve the technological progress of China’s automobile industry the international division of labor status，therefore，the key to the upgrading of China’s automobile industry is to mining and foster internal motivation，rather than relying on the introduction technology and FDI spillovers.

The paper has certain theoretical and practical value. On the theoretical aspect，the paper riches the research of growth theory on the condition of open economic system；on the practical aspect，making the full use of this theory to the micro car company can contributes to the technological progress of domestic-owned automobile enterprise and the nurturing and development of the auto industry of China’s own intellectual property rights on the condition of open economic system. But the paper also has some shortcomings，such as ignoring the import trade overflow’s effect on technological progress of China’s automobile industry. Lacking of data based on the auto industry FDI，the accuracy of the study about the relationship between FDI technology spillover and technological progress of the automobile industry needs further study.