多维视角下知识溢出机制与测度的研究述评
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摘要
知识溢出是新增长理论的重要观点,通过正外部性和要素边际报酬递增促进经济增长和生产率提升。本文首先回顾了经济学中相关分支学科阐释知识溢出的作用机制以及融入新增长理论后推动学科发展的理论前沿;其次,概述这些学科对知识溢出效应的代表性测度方法与主要发现;最后,提出结论与未来研究展望。本文有助于厘清经济学不同分支学科视角下知识溢出的作用机制、测度方法与主要观点。
Knowledge spillover is an important viewpoint of the new growth theory, which promotes economic growth and productivity through positive externalities and increases marginal return. Firstly, it reviewed the mechanism of knowledge spillovers in some branches of economics such as new economic geography and new trade theory, as well as new theoretical frontiers formed after the new theory integrated. On this basis, it summarized representative measurement methods and main findings of knowledge spillover effects. Finally, it reached the conclusions, and then future research prospects were proposed. It helps to clarify the mechanism, main measurements and future research directions of knowledge spillovers in different branches of economics.
Knowledge spillover is an important viewpoint of the new growth theory, which promotes economic growth and productivity through positive externalities and increases marginal return. Firstly, it reviewed the mechanism of knowledge spillovers in some branches of economics such as new economic geography and new trade theory, as well as new theoretical frontiers formed after the new theory integrated. On this basis, it summarized representative measurement methods and main findings of knowledge spillover effects. Finally, it reached the conclusions, and then future research prospects were proposed. It helps to clarify the mechanism, main measurements and future research directions of knowledge spillovers in different branches of economics.
引文
[1] GRILICHES Z. The search for R&D spillovers[J]. Scandinavian Journal of Economics, 1998, 94:29-47.
[2] BRANSTETTER L G. Looking for international knowledge spillovers:a review of the literature with suggestions for new approaches[J]. Annales Déconomie Et De Statistique, 1998, 49/50:517-540.
[3]李青.知识溢出:对研究脉络的基本回顾[J].数量经济技术经济研究,2007, 24(6):153-160.
[4] KELLER W. Trade and the transmission of technology[J]. Economic Growth, 2002, 7(1):5-24.
[5] ROMERP M. Endogenous technological change[J]. Journal of Political Economy, 1990, 98(5):71-102.
[6]赵勇,白永秀.知识溢出:一个文献综述[J].经济研究,2009(1):144-156.
[7]杨红丽. FDI技术溢出的研究脉络和最新进展[J].现代经济探讨,2016(12):92-95.
[8] KRUGMAN P. Increasing returns and economic geography[J]. Journal of Political Economy, 1991, 99(3):483-499.
[9] HA咬GERSTRAND T. Innovation diffusion as a spatial process[J]. Economic Development and Cultural Change,1969, 16(18):543-544.
[10] MARSHALL A. The principles of economics[M]. London:Macmillan, 1922:52.
[11] PIORE M J, SABEL C F. The second industrial divide:possibilities for prosperity[J]. American Journal of Sociology, 1986, 73(91):96-108.
[12] FELDMAN M P, FLORIDA R. The geographic sources of innovation:technological infrastructure and product innovation in the United States[J]. Annals of the Association of American Geographers, 1994, 84(2):210-229.
[13] BATISSE C. Dynamic externalities and local growth:a panel data analysis applied to Chinese provinces[J].China Economic Review, 2002, 13(2/3):231-251.
[14] RICHARDSON H W. The state of regional economics:a survey article[J]. International Regional Science Review, 1978, 3(1):1-48.
[15] ABRAMOVITZ M. Catching up, forging ahead and falling behind[J]. Journal of Economic History, 1986, 46(2):385-406.
[16] FAGERBERG J. Technology and international differences in growth rates[J]. Journal of Economic Literature,1994, 32(3):1147-1175.
[17]刘志彪,安同良.现代产业经济分析[M]. 3版.南京:南京大学出版社,2009:387-389.
[18] VON HIPPEL E. Lead users:a source of novel product concepts[J]. Management Science, 1986, 32(7):791-805.
[19] BAIN B S. The economics of the pacific coast petroleum industry[J]. American Economic Review, 1969, 36(1):148-149.
[20] PORTER M E. Competitive advantage:creating and sustaining superior performance[M]. New York:Free Press, 1985:167.
[21] DODGSON M. Technology strategy and the firm:management and public policy[M]. New Jersey:Addison Wesley Publishing Company, 1989:159-164.
[22] CHESBROUGH H. The logic of open innovation:managing intellectual property[J]. California Management Review, 2003, 45(3):33-58.
[23] D’ASPREMONT C, JACQUEMIN A. Cooperative and non-cooperative R&D in duopoly with spillovers[J].American Economic Review, 1988, 78(5):1133-1137.
[24] KAMIEN M I, MULLER E, ZANG I. Research joint ventures and R&D cartels[J]. American Economic Review, 1992, 82(5):1293-1306.
[25] JAFFE A B. Real effects of academic research[J]. American Economic Review, 1989, 79(5):957-970.
[26] ACS Z J, AUDRETSCH D B, FELDMAN M P. Real effects of academic research:comment[J]. American Economic Review, 1992, 82(1):363-367.
[27] ARROW K J. The economic implications of learning by doing[J]. Review of Economic Studies, 1962, 29(3):155-173.
[28] MANSFIELD E, RAPOPORT J, ROMEO A, et al. Social and private rates of return from industrial innovations[J]. Quarterly Journal of Economics, 1977, 91(2):221-240.
[29] BERNSTEIN J I, NADIRI M I. Research and development and intra-industry spillovers:an empirical application of dynamic duality[J]. Review of Economic Studies, 1989, 56(2):249-267.
[30] NELSON R R. National innovation systems:a comparative analysis[M]. New York:Oxford University Press,1993:241-246.
[31] ETZKOWITZ H, LEYDESDORFF L. Introduction to special issue on science policy dimensions of the triple helix of university-industry-government relations[J]. Science and Public Policy, 1997, 24(1):2-5.
[32] IACOVONE L, JAVORCIK B, KELLER W, et al. Walmart in Mexico:the impact of FDI on innovation and industry productivity[EB/OL].(2009-01-26). http://spot.colorado.edu/~kellerw/IJKT_012609.pdf.
[33] EATON J, KORTUM S. International technology diffusion:theory and measurement[J]. International Economic Review, 1999, 40(3):537-570.
[34] BLALOCK G, GERTLER P J. Learning from exporting revisited in a less developed setting[J]. Journal of Development Economics, 2004, 75(2):397-416.
[35] HELPMAN E, KRUGMAN P R. Market structure and foreign trade:increasing returns, imperfect competition,and the international economy[M]. Cambridge, MA:MIT Press, 1985:543-548.
[36] GROSSMAN G M, HELPMAN E. Trade, knowledge spillovers, and growth[J]. European Economic Review,1991, 35(2/3):517-526.
[37] COE D T, HELPMAN E. International R&D spillovers[J]. European Economic Review, 1995, 39(5):859-887.
[38] COE D E, HELPMAN E, HOFFMAISTER A. North-South R&D spillovers[J]. Economic Journal, 1997, 107(440):134-149.
[39]李小平,朱钟棣.国际贸易的技术溢出门槛效应———基于中国各地区面板数据的分析[J].统计研究,2004(10):27-32.
[40] HARRISON A E, AITKEN B J. Do domestic firms benefit from direct foreign investment?Evidence from Venezuela[J]. American Economic Review, 1999, 89(3):605-618.
[41] JAVORCIK B S. Does foreign direct investment increase the productivity of domestic firms?In search of spillovers through backward linkages[J]. American Economic Review, 2004, 94(3):605-627.
[42] LIN P, LIU Z, ZHANG Y. Do Chinese domestic firms benefit from FDI inflow?Evidence of horizontal and vertical spillovers[J]. China Economic Review, 2009(5):677-691.
[43] GORODNICHENKO Y, SVEJNAR J, TERRELL K. When does FDI have positive spillovers?Evidence from 17transition market economies[J]. Journal of Comparative Economics, 2007, 42(4):954-969.
[44]许和连,魏颖绮,赖明勇,等.外商直接投资的后向链接溢出效应研究[J].管理世界,2007(4):24-39.
[45]王滨. FDI技术溢出、技术进步与技术效率———基于中国制造业1999—2007年面板数据[J].数量经济技术经济研究,2010(2):93-117.
[46]杨亚平. FDI技术行业内溢出还是行业间溢出———基于广东工业面板数据的经验分析[J].中国工业经济,2007(11):73-79.
[47]姜瑾,朱桂龙.外商直接投资行业间技术溢出效应实证分析[J].财经研究,2007(1):112-121.
[48]魏守华,姜宁,吴贵生.内生创新努力?本土技术溢出与长三角高技术产业创新绩效[J].中国工业经济,2009(2):25-34.
[49] SCHERER F M. Inter-industry technology flows and productivity growth[J]. Review of Economics and Statistics, 1982, 64(4):627-634.
[50] GOTO A, SUZUKI K. R&D capital, rate of return on R&D investment and spillover of R&D in Japanese manufacturing industries[J]. Review of Economics and Statistics, 1989, 71(4):555-564.
[51] HAUKNES J, KNELL M. Embodied knowledge and sectoral linkages:an input-output approach to the interaction of high-and low-tech industries[J]. Research Policy, 2009, 38(3):459-469.
[52]潘文卿,李子奈,刘强.中国产业间的技术溢出效应:基于35个工业部门的经验研究[J].经济研究,2011(7):18-29.
[53] CANIE咬LS M C J, VERSPAGEN B. Barriers to knowledge spillovers and regional convergence in an evolutionary model[J]. Journal of Evolutionary Economics, 2001, 11(3):307-329.
[54] FUNKE M, NIEBUHR A. Regional geographic research and development spillovers and economic growth:evidence from West Germany[J]. Regional Studies, 2005, 39(1):143-153.
[55]陈傲,柳卸林,程鹏.知识溢出空间扩散过程的实证检验———以追踪一类专利扩散为线索[J].科学学与科学技术管理,2010(12):96-101.
[56] ANSELIN L. Lagrange multiplier test diagnostics for spatial dependence and spatial heterogeneity[J]. Geographical Analysis, 1988, 20(1):1-17.
[57]吴玉鸣,何建坤.研发溢出、区域创新集群的空间计量经济分析[J].管理科学学报,2008(4):59-66.
[58]郭嘉仪,张庆霖.省际知识溢出与区域创新活动的空间集聚———基于空间面板计量方法的分析[J].研究与发展管理,2012, 24(6):1-11.
[59]魏守华,禚金吉,何嫄.区域创新能力的空间分布与变化趋势[J].科研管理,2011(4):152-160.
[60] GLAESER E L, KALLAL H D, SCHEINKMAN J A, et al. Growth in cities[J]. Journal of Political Economy,1992, 100(6):1126-1152.
[61] HENDERSON V, KUNCORO A, TURNER M. Industrial development in cities[J]. Journal of Political Economy, 1995, 103(5):1067-1090.
[62] COMBES P P. Economic structure and local growth:France, 1984—1993[J]. Journal of Urban Economics,2000, 47(3):329-355.
[63]薄文广.外部性与产业增长———来自中国省级面板数据的研究[J].中国工业经济,2007(1):37-44.
(1)例如,a行业购买b行业的产品为10%,购买c行业的产品为20%,购买d行业的产品为40%,b、c、d 3个行业中的外资产出份额分别为5%、20%和10%,因此a行业的后向溢出效应:a=0.1×0.05+0.2×0.2+0.4×0.1=0.085。
(2)例如,a行业产出的10%供应给b行业,产出的20%供应给c行业,产出的40%给d行业,b、c、d 3个行业中的外资产出份额分别为5%、20%和10%,因此a行业的前向溢出效应:a=0.1×0.05+0.2×0.2+0.4×0.1=0.085。
[2] BRANSTETTER L G. Looking for international knowledge spillovers:a review of the literature with suggestions for new approaches[J]. Annales Déconomie Et De Statistique, 1998, 49/50:517-540.
[3]李青.知识溢出:对研究脉络的基本回顾[J].数量经济技术经济研究,2007, 24(6):153-160.
[4] KELLER W. Trade and the transmission of technology[J]. Economic Growth, 2002, 7(1):5-24.
[5] ROMERP M. Endogenous technological change[J]. Journal of Political Economy, 1990, 98(5):71-102.
[6]赵勇,白永秀.知识溢出:一个文献综述[J].经济研究,2009(1):144-156.
[7]杨红丽. FDI技术溢出的研究脉络和最新进展[J].现代经济探讨,2016(12):92-95.
[8] KRUGMAN P. Increasing returns and economic geography[J]. Journal of Political Economy, 1991, 99(3):483-499.
[9] HA咬GERSTRAND T. Innovation diffusion as a spatial process[J]. Economic Development and Cultural Change,1969, 16(18):543-544.
[10] MARSHALL A. The principles of economics[M]. London:Macmillan, 1922:52.
[11] PIORE M J, SABEL C F. The second industrial divide:possibilities for prosperity[J]. American Journal of Sociology, 1986, 73(91):96-108.
[12] FELDMAN M P, FLORIDA R. The geographic sources of innovation:technological infrastructure and product innovation in the United States[J]. Annals of the Association of American Geographers, 1994, 84(2):210-229.
[13] BATISSE C. Dynamic externalities and local growth:a panel data analysis applied to Chinese provinces[J].China Economic Review, 2002, 13(2/3):231-251.
[14] RICHARDSON H W. The state of regional economics:a survey article[J]. International Regional Science Review, 1978, 3(1):1-48.
[15] ABRAMOVITZ M. Catching up, forging ahead and falling behind[J]. Journal of Economic History, 1986, 46(2):385-406.
[16] FAGERBERG J. Technology and international differences in growth rates[J]. Journal of Economic Literature,1994, 32(3):1147-1175.
[17]刘志彪,安同良.现代产业经济分析[M]. 3版.南京:南京大学出版社,2009:387-389.
[18] VON HIPPEL E. Lead users:a source of novel product concepts[J]. Management Science, 1986, 32(7):791-805.
[19] BAIN B S. The economics of the pacific coast petroleum industry[J]. American Economic Review, 1969, 36(1):148-149.
[20] PORTER M E. Competitive advantage:creating and sustaining superior performance[M]. New York:Free Press, 1985:167.
[21] DODGSON M. Technology strategy and the firm:management and public policy[M]. New Jersey:Addison Wesley Publishing Company, 1989:159-164.
[22] CHESBROUGH H. The logic of open innovation:managing intellectual property[J]. California Management Review, 2003, 45(3):33-58.
[23] D’ASPREMONT C, JACQUEMIN A. Cooperative and non-cooperative R&D in duopoly with spillovers[J].American Economic Review, 1988, 78(5):1133-1137.
[24] KAMIEN M I, MULLER E, ZANG I. Research joint ventures and R&D cartels[J]. American Economic Review, 1992, 82(5):1293-1306.
[25] JAFFE A B. Real effects of academic research[J]. American Economic Review, 1989, 79(5):957-970.
[26] ACS Z J, AUDRETSCH D B, FELDMAN M P. Real effects of academic research:comment[J]. American Economic Review, 1992, 82(1):363-367.
[27] ARROW K J. The economic implications of learning by doing[J]. Review of Economic Studies, 1962, 29(3):155-173.
[28] MANSFIELD E, RAPOPORT J, ROMEO A, et al. Social and private rates of return from industrial innovations[J]. Quarterly Journal of Economics, 1977, 91(2):221-240.
[29] BERNSTEIN J I, NADIRI M I. Research and development and intra-industry spillovers:an empirical application of dynamic duality[J]. Review of Economic Studies, 1989, 56(2):249-267.
[30] NELSON R R. National innovation systems:a comparative analysis[M]. New York:Oxford University Press,1993:241-246.
[31] ETZKOWITZ H, LEYDESDORFF L. Introduction to special issue on science policy dimensions of the triple helix of university-industry-government relations[J]. Science and Public Policy, 1997, 24(1):2-5.
[32] IACOVONE L, JAVORCIK B, KELLER W, et al. Walmart in Mexico:the impact of FDI on innovation and industry productivity[EB/OL].(2009-01-26). http://spot.colorado.edu/~kellerw/IJKT_012609.pdf.
[33] EATON J, KORTUM S. International technology diffusion:theory and measurement[J]. International Economic Review, 1999, 40(3):537-570.
[34] BLALOCK G, GERTLER P J. Learning from exporting revisited in a less developed setting[J]. Journal of Development Economics, 2004, 75(2):397-416.
[35] HELPMAN E, KRUGMAN P R. Market structure and foreign trade:increasing returns, imperfect competition,and the international economy[M]. Cambridge, MA:MIT Press, 1985:543-548.
[36] GROSSMAN G M, HELPMAN E. Trade, knowledge spillovers, and growth[J]. European Economic Review,1991, 35(2/3):517-526.
[37] COE D T, HELPMAN E. International R&D spillovers[J]. European Economic Review, 1995, 39(5):859-887.
[38] COE D E, HELPMAN E, HOFFMAISTER A. North-South R&D spillovers[J]. Economic Journal, 1997, 107(440):134-149.
[39]李小平,朱钟棣.国际贸易的技术溢出门槛效应———基于中国各地区面板数据的分析[J].统计研究,2004(10):27-32.
[40] HARRISON A E, AITKEN B J. Do domestic firms benefit from direct foreign investment?Evidence from Venezuela[J]. American Economic Review, 1999, 89(3):605-618.
[41] JAVORCIK B S. Does foreign direct investment increase the productivity of domestic firms?In search of spillovers through backward linkages[J]. American Economic Review, 2004, 94(3):605-627.
[42] LIN P, LIU Z, ZHANG Y. Do Chinese domestic firms benefit from FDI inflow?Evidence of horizontal and vertical spillovers[J]. China Economic Review, 2009(5):677-691.
[43] GORODNICHENKO Y, SVEJNAR J, TERRELL K. When does FDI have positive spillovers?Evidence from 17transition market economies[J]. Journal of Comparative Economics, 2007, 42(4):954-969.
[44]许和连,魏颖绮,赖明勇,等.外商直接投资的后向链接溢出效应研究[J].管理世界,2007(4):24-39.
[45]王滨. FDI技术溢出、技术进步与技术效率———基于中国制造业1999—2007年面板数据[J].数量经济技术经济研究,2010(2):93-117.
[46]杨亚平. FDI技术行业内溢出还是行业间溢出———基于广东工业面板数据的经验分析[J].中国工业经济,2007(11):73-79.
[47]姜瑾,朱桂龙.外商直接投资行业间技术溢出效应实证分析[J].财经研究,2007(1):112-121.
[48]魏守华,姜宁,吴贵生.内生创新努力?本土技术溢出与长三角高技术产业创新绩效[J].中国工业经济,2009(2):25-34.
[49] SCHERER F M. Inter-industry technology flows and productivity growth[J]. Review of Economics and Statistics, 1982, 64(4):627-634.
[50] GOTO A, SUZUKI K. R&D capital, rate of return on R&D investment and spillover of R&D in Japanese manufacturing industries[J]. Review of Economics and Statistics, 1989, 71(4):555-564.
[51] HAUKNES J, KNELL M. Embodied knowledge and sectoral linkages:an input-output approach to the interaction of high-and low-tech industries[J]. Research Policy, 2009, 38(3):459-469.
[52]潘文卿,李子奈,刘强.中国产业间的技术溢出效应:基于35个工业部门的经验研究[J].经济研究,2011(7):18-29.
[53] CANIE咬LS M C J, VERSPAGEN B. Barriers to knowledge spillovers and regional convergence in an evolutionary model[J]. Journal of Evolutionary Economics, 2001, 11(3):307-329.
[54] FUNKE M, NIEBUHR A. Regional geographic research and development spillovers and economic growth:evidence from West Germany[J]. Regional Studies, 2005, 39(1):143-153.
[55]陈傲,柳卸林,程鹏.知识溢出空间扩散过程的实证检验———以追踪一类专利扩散为线索[J].科学学与科学技术管理,2010(12):96-101.
[56] ANSELIN L. Lagrange multiplier test diagnostics for spatial dependence and spatial heterogeneity[J]. Geographical Analysis, 1988, 20(1):1-17.
[57]吴玉鸣,何建坤.研发溢出、区域创新集群的空间计量经济分析[J].管理科学学报,2008(4):59-66.
[58]郭嘉仪,张庆霖.省际知识溢出与区域创新活动的空间集聚———基于空间面板计量方法的分析[J].研究与发展管理,2012, 24(6):1-11.
[59]魏守华,禚金吉,何嫄.区域创新能力的空间分布与变化趋势[J].科研管理,2011(4):152-160.
[60] GLAESER E L, KALLAL H D, SCHEINKMAN J A, et al. Growth in cities[J]. Journal of Political Economy,1992, 100(6):1126-1152.
[61] HENDERSON V, KUNCORO A, TURNER M. Industrial development in cities[J]. Journal of Political Economy, 1995, 103(5):1067-1090.
[62] COMBES P P. Economic structure and local growth:France, 1984—1993[J]. Journal of Urban Economics,2000, 47(3):329-355.
[63]薄文广.外部性与产业增长———来自中国省级面板数据的研究[J].中国工业经济,2007(1):37-44.
(1)例如,a行业购买b行业的产品为10%,购买c行业的产品为20%,购买d行业的产品为40%,b、c、d 3个行业中的外资产出份额分别为5%、20%和10%,因此a行业的后向溢出效应:a=0.1×0.05+0.2×0.2+0.4×0.1=0.085。
(2)例如,a行业产出的10%供应给b行业,产出的20%供应给c行业,产出的40%给d行业,b、c、d 3个行业中的外资产出份额分别为5%、20%和10%,因此a行业的前向溢出效应:a=0.1×0.05+0.2×0.2+0.4×0.1=0.085。