国际R&D溢出对中国技术进步的作用机理研究
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摘要
理论和现实情况均表明,一国要实现经济的长期增长,必须依赖于以生产率为表征的持续技术进步,这又要求一国在不断提升自身研发能力的同时,逐步加强对国际R&D溢出的吸收能力,对中国来说更是如此。那么,合理地多渠道吸收利用国际R&D溢出来促进自身技术进步是中国实现经济长期增长所亟需解决的重大问题。
本文在前人研究的基础上,首先从理论上对国际R&D溢出机制的作用路径进行探讨,然后基于知识驱动的内生增长模型,对Coe & Helpman的R&D溢出模型进行推导和扩展,运用中国30个省／直辖市／自治区(西藏自治区、香港、澳门特别行政区、台湾省除外)2003-2007五年的数据,选取24个与中国发生重要经贸关系的国家为代表,对国际R&D溢出对中国区域技术进步的作用进行实证分析,接下来分别以技术水平、人力资本水平、市场竞争水平三个关键影响因素的高低为标准,对30个样本地区进行分组,并实证检验不同外部条件对国际R&D溢出效应作用的区别和联系。
本文研究的结果表明：海外直接R&D投资、外商直接投资、对外直接投资、进口、技术引进合同等渠道的国际R&D溢出对技术进步的作用存在很多相似的机制；本国R&D资本和外商直接投资渠道的国际R&D溢出对技术进步具有较显著和较强的正面作用,进口和海外R&D直接投资次之,对外直接投资和技术引进合同的作用不明显；技术水平、人力资本水平、市场发展水平均显著地影响了国际R&D溢出对技术进步的作用,特别是入力资本水平,技术水平和人力资本水平较高的地区,主要从主动型的R&D溢出渠道中获得更大的技术进步；技术水平和人力资本水平较低的地区,则主要从被动型的R&D溢出渠道中获益。针对所得出的结论,本文针对国家整体,以及人力资本水平、技术水平高和人力资本水平、技术水平低的地区分别提出政策建议,以期为相关部门决策提供参考。
Evidences from both theory and realities show that a country is dependent on technology advancement to achieve long-term growth, which requires that the country not only boosts the research and development ability by itself, but also strengthens its absorbency of foreign R&D spillover. Then, it's important for China to make good use of foreign R&D spillover to accelerate its technology advancement.
Using the panel data of 30 provinces in China from 2003 to 2007, choosing 24 countries, which have close economic relationship with China, including OECD countries USA, Japan, UK, France, German, Canada, Sweden, Turkey, Austria, Belgium, Czech, Danmark, Finland, Greece, Ireland, Netherlands, Norway, Portugal, Spain, Korea, Hungary, Poland and non-OECD countries Singapore and Russia, this paper, based on Coe & Helpman's R&D spillover model, makes an empirical study on the effect of foreign R&D spillover on China's technology advancement. And then this paper divides 30 provinces into 2 groups according to three key affecting factors, technology, human resources and market development level, and analyzes the effect of different conditions on foreign R&D spillover.
The conclusion is as follows. At the beginning, oversea R&D investment, FDI, outflow FDI, import and technology contract have similar acting mechanism on foreign R&D spillover. Secondly, the country's own R & D resources and FDI play the most significant positive role in the effect of foreign R&D spillover on technology advancement. Next come import and oversea R&D investment. Outflow FDI and technology contract make the least contribution. Finally, technology, human resources and market development all exert remarkable affection on foreign R&D spillover, especially human resources. According to the conclusions, three suggestions are put forward for reference.
本文在前人研究的基础上,首先从理论上对国际R&D溢出机制的作用路径进行探讨,然后基于知识驱动的内生增长模型,对Coe & Helpman的R&D溢出模型进行推导和扩展,运用中国30个省／直辖市／自治区(西藏自治区、香港、澳门特别行政区、台湾省除外)2003-2007五年的数据,选取24个与中国发生重要经贸关系的国家为代表,对国际R&D溢出对中国区域技术进步的作用进行实证分析,接下来分别以技术水平、人力资本水平、市场竞争水平三个关键影响因素的高低为标准,对30个样本地区进行分组,并实证检验不同外部条件对国际R&D溢出效应作用的区别和联系。
本文研究的结果表明：海外直接R&D投资、外商直接投资、对外直接投资、进口、技术引进合同等渠道的国际R&D溢出对技术进步的作用存在很多相似的机制；本国R&D资本和外商直接投资渠道的国际R&D溢出对技术进步具有较显著和较强的正面作用,进口和海外R&D直接投资次之,对外直接投资和技术引进合同的作用不明显；技术水平、人力资本水平、市场发展水平均显著地影响了国际R&D溢出对技术进步的作用,特别是入力资本水平,技术水平和人力资本水平较高的地区,主要从主动型的R&D溢出渠道中获得更大的技术进步；技术水平和人力资本水平较低的地区,则主要从被动型的R&D溢出渠道中获益。针对所得出的结论,本文针对国家整体,以及人力资本水平、技术水平高和人力资本水平、技术水平低的地区分别提出政策建议,以期为相关部门决策提供参考。
Evidences from both theory and realities show that a country is dependent on technology advancement to achieve long-term growth, which requires that the country not only boosts the research and development ability by itself, but also strengthens its absorbency of foreign R&D spillover. Then, it's important for China to make good use of foreign R&D spillover to accelerate its technology advancement.
Using the panel data of 30 provinces in China from 2003 to 2007, choosing 24 countries, which have close economic relationship with China, including OECD countries USA, Japan, UK, France, German, Canada, Sweden, Turkey, Austria, Belgium, Czech, Danmark, Finland, Greece, Ireland, Netherlands, Norway, Portugal, Spain, Korea, Hungary, Poland and non-OECD countries Singapore and Russia, this paper, based on Coe & Helpman's R&D spillover model, makes an empirical study on the effect of foreign R&D spillover on China's technology advancement. And then this paper divides 30 provinces into 2 groups according to three key affecting factors, technology, human resources and market development level, and analyzes the effect of different conditions on foreign R&D spillover.
The conclusion is as follows. At the beginning, oversea R&D investment, FDI, outflow FDI, import and technology contract have similar acting mechanism on foreign R&D spillover. Secondly, the country's own R & D resources and FDI play the most significant positive role in the effect of foreign R&D spillover on technology advancement. Next come import and oversea R&D investment. Outflow FDI and technology contract make the least contribution. Finally, technology, human resources and market development all exert remarkable affection on foreign R&D spillover, especially human resources. According to the conclusions, three suggestions are put forward for reference.
引文
1数据来源：《中国统计年鉴》和《中国科技统计年鉴》各期。
2数据来源：《中国科技统计年鉴》各期。
3数据来源：根据《中国统计年鉴》各期数据计算。
[1]陈继勇,盛杨怿,外商直接投资的知识溢出与中国区域经济增长[J],经济研究,2008年,第12期,pp.39-49。
[2]陈涛涛,中国FDI行业内溢出效应的内在机制研究[J],世界经济,2003年,第9期,pp.23-28。
[3]高凌云,王永中,R_D溢出渠道、异质性反应与生产率：基于178个国家面板数据的经验研究[J],世界经济,2008年,第2期,pp.65-73。
[4]何洁,外国直接投资对中国工业部门外溢效应的进一步精确量化[J],世界经济,2000年,第12期,pp.29-36。
[5]黄先海,张云帆,我国外贸外资的技术溢出效应分析[J],国际贸易问题,2005年,第1期,pp.27-32。
[6]黄先海,石东楠,对外贸易对我国全要素生产率影响的测度与分析[J],世界经济研究,2005年,第]期,pp.22-26。
[7]江小娟,FDI对中国工业增长和技术进步的贡献[J],中国工业经济,2002年,第7期,pp.15-23。
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[11]李平,张庆昌,国际间技术溢出对我国自主创新的动态效应分析——论人力资本的消化吸收[J],世界经济研究,2008年,第4期,pp.56-60。
[12]李小平,国际贸易、R&D溢出和生产率增长[J],经济研究,2006年,第2期,pp.56-64.
[13]李有,刘万岚,国际贸易与技术溢出——经验研究的最新进展[J],国际贸易问题,2007年,第3期,pp.16-21。
[14]李子奈,外资对中国企业生产效率的影响研究[J],管理世界,2003年,第4期,pp.35-43。
[15]连丽,R&D投入与经济增长关系的国际比较研究[D],武汉理工大学,2006。
[16]潘文卿,外商投资对中国工业部门的外溢效应：基于面板数据的分析[J],世
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[17]师求恩,外商投资企业的出口溢出效应研究[J],国际贸易问题,2006年,第6期,pp.84-89。
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[19]苏方林,中国省域R&D溢出的空间模式研究[J],科学学研究,2006年,第10期：pp.696-701。
[20]王飞,外商直接投资促进了国内工业企业技术进步吗?[J],世界经济研究,2003年,第4期,pp.56-63。
[21]王洪庆,外国直接投资、出口倾向与技术溢出效应[J],国际贸易问题,2006年,第12期,pp.73-77。
[22]王铮,中美间R&D溢出估计[J],科学学研究,2003年,第4期：pp.396-399。
[23]吴林海,罗佳,杜文献,跨国R_D投资技术溢出效应的理论分析框架[J],中国人民大学学报,2007年,第2期,pp.113-119。
[24]吴玉鸣,徐建华,中国区域经济增长集聚的空间统计分析[J],地理科学,2004年,第7期,pp.35-48.
[25]肖文,侯田,中国逆向型FDI动机实证分析[J],区域经济开放与发展评论,2009年,第三辑,pp.98-106。
[26]喻美辞,喻春娇,中国进口贸易技术溢出效应的实证分析[J],国际贸易问题,2006年,第3期,pp.26-31。
[27]张继红,吴玉鸣,何建坤,专利创新与区域经济增长关联机制的空间计量经济分析[J],科学学与科学技术管理,2007年,第5期,pp.13-22。
[28]张云帆,中国对外贸易的技术溢出效应分析[D],浙江大学,2003。
[29]郑京海,中国的经济增长能否持续[J],经济学(季刊),2008年,第7卷第3期,pp.777-808。
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2数据来源：《中国科技统计年鉴》各期。
3数据来源：根据《中国统计年鉴》各期数据计算。
[1]陈继勇,盛杨怿,外商直接投资的知识溢出与中国区域经济增长[J],经济研究,2008年,第12期,pp.39-49。
[2]陈涛涛,中国FDI行业内溢出效应的内在机制研究[J],世界经济,2003年,第9期,pp.23-28。
[3]高凌云,王永中,R_D溢出渠道、异质性反应与生产率：基于178个国家面板数据的经验研究[J],世界经济,2008年,第2期,pp.65-73。
[4]何洁,外国直接投资对中国工业部门外溢效应的进一步精确量化[J],世界经济,2000年,第12期,pp.29-36。
[5]黄先海,张云帆,我国外贸外资的技术溢出效应分析[J],国际贸易问题,2005年,第1期,pp.27-32。
[6]黄先海,石东楠,对外贸易对我国全要素生产率影响的测度与分析[J],世界经济研究,2005年,第]期,pp.22-26。
[7]江小娟,FDI对中国工业增长和技术进步的贡献[J],中国工业经济,2002年,第7期,pp.15-23。
[8]经济合作和发展组织,弗拉斯卡蒂手册[M],上海：复旦大学出版社,1985。
[9]李平,技术扩散中的溢出效应分析[J],南开学报,1999年,第2期,pp.28-33。
[10]李平,刘建,FDI、国外专利申请与中国各地区的技术进步——国际技术扩散视角的实证分析[J],国际贸易问题,2006年,第7期,pp.99-104。
[11]李平,张庆昌,国际间技术溢出对我国自主创新的动态效应分析——论人力资本的消化吸收[J],世界经济研究,2008年,第4期,pp.56-60。
[12]李小平,国际贸易、R&D溢出和生产率增长[J],经济研究,2006年,第2期,pp.56-64.
[13]李有,刘万岚,国际贸易与技术溢出——经验研究的最新进展[J],国际贸易问题,2007年,第3期,pp.16-21。
[14]李子奈,外资对中国企业生产效率的影响研究[J],管理世界,2003年,第4期,pp.35-43。
[15]连丽,R&D投入与经济增长关系的国际比较研究[D],武汉理工大学,2006。
[16]潘文卿,外商投资对中国工业部门的外溢效应：基于面板数据的分析[J],世
界经济,2003年,第6期,pp.3-7。
[17]师求恩,外商投资企业的出口溢出效应研究[J],国际贸易问题,2006年,第6期,pp.84-89。
[]8]宋泓,三资企业对我国工业结构效应影响的实证研究[J],经济研究,1998年,第1期,pp.32-43。
[19]苏方林,中国省域R&D溢出的空间模式研究[J],科学学研究,2006年,第10期：pp.696-701。
[20]王飞,外商直接投资促进了国内工业企业技术进步吗?[J],世界经济研究,2003年,第4期,pp.56-63。
[21]王洪庆,外国直接投资、出口倾向与技术溢出效应[J],国际贸易问题,2006年,第12期,pp.73-77。
[22]王铮,中美间R&D溢出估计[J],科学学研究,2003年,第4期：pp.396-399。
[23]吴林海,罗佳,杜文献,跨国R_D投资技术溢出效应的理论分析框架[J],中国人民大学学报,2007年,第2期,pp.113-119。
[24]吴玉鸣,徐建华,中国区域经济增长集聚的空间统计分析[J],地理科学,2004年,第7期,pp.35-48.
[25]肖文,侯田,中国逆向型FDI动机实证分析[J],区域经济开放与发展评论,2009年,第三辑,pp.98-106。
[26]喻美辞,喻春娇,中国进口贸易技术溢出效应的实证分析[J],国际贸易问题,2006年,第3期,pp.26-31。
[27]张继红,吴玉鸣,何建坤,专利创新与区域经济增长关联机制的空间计量经济分析[J],科学学与科学技术管理,2007年,第5期,pp.13-22。
[28]张云帆,中国对外贸易的技术溢出效应分析[D],浙江大学,2003。
[29]郑京海,中国的经济增长能否持续[J],经济学(季刊),2008年,第7卷第3期,pp.777-808。
[30]Anselin, Varga, Local Geographic spillovers between university research and high technolofy innovations[J]. Journal of Urban Economics,1997, Vol.26: pp.56-68.
[31]Atiken, Hanson, Harrison, Spillovers, foreign investment and export behavior[J]. Journal of International Economics,1999, Vol.43:pp.103-132.
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