国际技术外溢与自主创新
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摘要
对技术进步、经济增长乃至对整个经济结构演进过程的深刻理解都离不开对知识生产过程的洞悉。知识的生产是个非常复杂的过程,很难用一言两语说得清楚,尽管为研究方便,经济学上通常把知识生产抽象化和简单化。二十世纪末,世界经济一体化的发展使国际技术溢出成为知识生产的一个重要手段。技术溢出与技术本身所具有的非排他性性质密切相关,国际技术溢出,顾名思义,就是技术在国际上的扩散和溢出。已有研究证明,在OECD国家(除了美国),促进生产率增长的主要因素不是国内R&D活动,而是国外的R&D活动。当前,世界上的创新活动集中在为数不多的几个发达国家,世界科技发展的非均衡性比世界经济发展的非均衡性还要大。对于多数发达国家,技术溢出都非常重要,那么对于技术和科技投入上均落后的发展中国家来说,国际技术溢出岂不是更加重要。
然而,关于国际技术溢出,尤其是其对于发展中国家的影响,争议颇多。本文以中国为实例的研究希望能对这些争议做出些许平息。
本文以内生经济增长理论为背景,阐明了国际技术溢出的理论背景及其影响因素。本文从三个不同的渠道研究国际技术溢出,这三个渠道分别是进口贸易、外商直接投资和外国专利申请。在不同的国家或在一个国家不同的发展阶段,这三个渠道在国际技术溢出中发挥的作用可能不同。文章首先阐明了三种不同溢出渠道的技术溢出机理及其影响因素,为下文的研究提供了丰富的理论基础。在此基础上,针对我国改革开放以来对外经济活动快速发展的特征,实证研究了三种不同渠道产生的溢出效应及其对我国技术进步和创新能力产生的影响,并得到了丰富和有意义的结论:(1)进口贸易产生了正的溢出作用,资本品进口的溢出作用更强。进口贸易产生技术溢出效应的基本思想是:进口贸易,尤其是资本品的进口增加了一国可以接触到的技术的数量和知识存量,一国的知识生产有可能增加;(2)FDI技术溢出效应是存在的,但没有发现显著的行业间溢出效应。FDI对较低层次的创新有显著的正面作用,而对较高层次的创新作用不显著;(3)外国专利申请会阻碍我国的自主创新,说明外国专利申请产生的竞争效应和技术垄断大于其产生的溢出效应。我国企业唯有奋起力争,才有可能打破外国专利垄断的局面:(4)企业自身研发投入是自主创新的源泉。而我国企业R&D投入不足,企业创新动力不足,创新意识淡薄:(5)获取技术溢出和自主创新要同时进行,互相促进。在获取技术溢出的基础上再创新也是自主创新的一条重要路径。
To deeply understand technology progess, economic growth and economic structure envolvement, we should discern the process of knowledge production. The process of knowledge production is so complicated that it's hard to explain in words of one syllable. In economics, knowledge production is often abstracted and simplified for the convenience of research. At the end of 20th century, international technology spillovers had became an important means of knowledge production along with the integration of world economy. Technology spillovers are closely ralated to the non-exclusive nature of technology. There's evidence show that in the OECD countries (USA is the exception), foreign R&D activities (but not inner R&D activities) are the main cause of productivity growth. Presently, world innovation activities are concentrated in a few developed countries. Technology spillovers are very essential for most developed countries. For developing countries which are lagged behind in both technology and R&D investment, technology spillovers are more important.
There are a lot of disagreements about international technology spillovers. The evidence of China may be helpful for appeasing the disputes.
Based on endogenous economic growth theory, the thesis expatiates theory backgrounds and determinants of international technology spillovers. The three channels of international technology spillovers concerned here are imported trade, foreign direct investment and foreign patent applications. The extent of spillovers may be different in different countries or at different stages of a country. The thesis provides fundmental theory for the empirical research. Abundant and meaningful conclusions are got from empirical research: (1) Imported goods, especially capital goods, have generated positive effects. The basic idea is that imported goods increase the knowledge stock and the knowledge production may increase; (2) Positive spillover effects of FDI have been found. Significant inter-industry spillover effects haven't been found. FDI has significant positive effects to lower level innovations and hasn't significant effects to higher level innovation; (3) Foreign patent applications have hampered the self-innovations of our country. It shows that competition effects and technology monopoly effects outweigh spillover effects which foreign patent applications have generated. Inner enterprises have to strive to compete with foreign enterprises for breaking monopoly of foreign patents; (4) R&D investments of enterprises are the sources of self-innovation. However, R&D investments are insufficient in the enterprises. Enterprises are lack of innovation motivations; (5) Acquisition of technology spillovers and self-innovation are improved each other. Re-innovation based on technology spillovers is an important way of self-innovation.
然而,关于国际技术溢出,尤其是其对于发展中国家的影响,争议颇多。本文以中国为实例的研究希望能对这些争议做出些许平息。
本文以内生经济增长理论为背景,阐明了国际技术溢出的理论背景及其影响因素。本文从三个不同的渠道研究国际技术溢出,这三个渠道分别是进口贸易、外商直接投资和外国专利申请。在不同的国家或在一个国家不同的发展阶段,这三个渠道在国际技术溢出中发挥的作用可能不同。文章首先阐明了三种不同溢出渠道的技术溢出机理及其影响因素,为下文的研究提供了丰富的理论基础。在此基础上,针对我国改革开放以来对外经济活动快速发展的特征,实证研究了三种不同渠道产生的溢出效应及其对我国技术进步和创新能力产生的影响,并得到了丰富和有意义的结论:(1)进口贸易产生了正的溢出作用,资本品进口的溢出作用更强。进口贸易产生技术溢出效应的基本思想是:进口贸易,尤其是资本品的进口增加了一国可以接触到的技术的数量和知识存量,一国的知识生产有可能增加;(2)FDI技术溢出效应是存在的,但没有发现显著的行业间溢出效应。FDI对较低层次的创新有显著的正面作用,而对较高层次的创新作用不显著;(3)外国专利申请会阻碍我国的自主创新,说明外国专利申请产生的竞争效应和技术垄断大于其产生的溢出效应。我国企业唯有奋起力争,才有可能打破外国专利垄断的局面:(4)企业自身研发投入是自主创新的源泉。而我国企业R&D投入不足,企业创新动力不足,创新意识淡薄:(5)获取技术溢出和自主创新要同时进行,互相促进。在获取技术溢出的基础上再创新也是自主创新的一条重要路径。
To deeply understand technology progess, economic growth and economic structure envolvement, we should discern the process of knowledge production. The process of knowledge production is so complicated that it's hard to explain in words of one syllable. In economics, knowledge production is often abstracted and simplified for the convenience of research. At the end of 20th century, international technology spillovers had became an important means of knowledge production along with the integration of world economy. Technology spillovers are closely ralated to the non-exclusive nature of technology. There's evidence show that in the OECD countries (USA is the exception), foreign R&D activities (but not inner R&D activities) are the main cause of productivity growth. Presently, world innovation activities are concentrated in a few developed countries. Technology spillovers are very essential for most developed countries. For developing countries which are lagged behind in both technology and R&D investment, technology spillovers are more important.
There are a lot of disagreements about international technology spillovers. The evidence of China may be helpful for appeasing the disputes.
Based on endogenous economic growth theory, the thesis expatiates theory backgrounds and determinants of international technology spillovers. The three channels of international technology spillovers concerned here are imported trade, foreign direct investment and foreign patent applications. The extent of spillovers may be different in different countries or at different stages of a country. The thesis provides fundmental theory for the empirical research. Abundant and meaningful conclusions are got from empirical research: (1) Imported goods, especially capital goods, have generated positive effects. The basic idea is that imported goods increase the knowledge stock and the knowledge production may increase; (2) Positive spillover effects of FDI have been found. Significant inter-industry spillover effects haven't been found. FDI has significant positive effects to lower level innovations and hasn't significant effects to higher level innovation; (3) Foreign patent applications have hampered the self-innovations of our country. It shows that competition effects and technology monopoly effects outweigh spillover effects which foreign patent applications have generated. Inner enterprises have to strive to compete with foreign enterprises for breaking monopoly of foreign patents; (4) R&D investments of enterprises are the sources of self-innovation. However, R&D investments are insufficient in the enterprises. Enterprises are lack of innovation motivations; (5) Acquisition of technology spillovers and self-innovation are improved each other. Re-innovation based on technology spillovers is an important way of self-innovation.
引文
22 何帆等译。《全球经济中的创新与增长》,2002.中国人民大学出版社.
23资本品是资本作为物的存在的形式,资本品是相对于消费品而言的。消费品是在特定时空点内所定义的单位时间内被消耗完的物品的事物,而资本品是在这个时间内不可能消耗完的。
24黄晓玲:《中国对外贸易概论》,对外经济贸易大学出版社,2003年版。
25由《中国统计年鉴》中的数据计算得到。
26转引自方民生《进口贸易与经济增长之思辨》,《浙江社会科学》,2007.1.
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23资本品是资本作为物的存在的形式,资本品是相对于消费品而言的。消费品是在特定时空点内所定义的单位时间内被消耗完的物品的事物,而资本品是在这个时间内不可能消耗完的。
24黄晓玲:《中国对外贸易概论》,对外经济贸易大学出版社,2003年版。
25由《中国统计年鉴》中的数据计算得到。
26转引自方民生《进口贸易与经济增长之思辨》,《浙江社会科学》,2007.1.
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