国际贸易的技术溢出促进资源型地区技术进步的机理研究
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摘要
建国以来，为推动中国工业化的发展，一大批资源地区伴随着资源的大规模开发而相继兴起，这些资源型地区的资源开发为推动我国国民经济和社会发展做出了巨大的贡献。然而进入上世纪八十年代之后，随着资源型地区自然资源的枯竭以及我国市场经济体制的不断完善，资源型地区的经济发展开始逐渐每况愈下，这极大的拖累了我国国民经济的发展。因此，在新的经济形势下如何使资源型地区摆脱资源约束，实现本地区经济的可持续健康发展，成为摆在我们面前的首要问题。需要指出的是，现有资源型经济转型的研究文献以及国内外资源型地区经济转型的成功实例都已经明确表明技术进步是实现资源型地区可持续健康发展的必由之路，但是如何推动资源型地区技术进步，相关研究却还处于初级阶段。现有文献多是注重R&D与人力资本的投入，却忽略了国际贸易的技术溢出效应对技术进步的推动机理。本文针对现有研究的不足以及我国资源型地区经济发展所面临的现实问题，以开放经济条件下的均衡分析为理论基础，理论与实证相结合地探讨了资源型地区通过国际贸易的技术溢出效应推动本地区技术进步，实现经济最优增长的机理，本文的研究旨在为我国资源型地区的经济发展提供切实可靠的理论与政策依据。
本文首先从经济学角度出发对技术溢出的概念进行了理论界定，对国际贸易技术溢出的前提条件和传导方式进行了理论分析，并且在新增长理论、新贸易理论研究框架下探究技术溢出的过程机理，通过上述理论分析构建本文国际贸易技术溢出效应的整体理论框架，为本文后面的理论与实证研究打下坚实的基础。同时，为进一步明确本文关于资源型地区经济发展的研究主题，本文还将资源变量引入生产函数，建立了国际贸易、资源约束与技术溢出效应的数理模型，以此来为进一步说明国际贸易技术溢出效应推动资源型地区技术进步的作用机制，同时也从整体上建立本文的数学模型和理论研究框架。
在建立国际贸易技术溢出效应推动资源型地区技术进步理论研究框架之后，本文开始对国际贸易技术溢出不同的传导方式对资源型地区技术进步的推动机理进行理论分析。本文首先从技术溢出传导方式中的技术模仿入手，对技术模仿进行了概念界定，探讨了技术模仿与技术溢出的之间的理论关系，同时详细分析了资源型地区通过技术模仿实现技术进步的机理。其次在本文国际贸易、资源约束与技术溢出的均衡分析框架下，通过将知识产权引入到研发部门，构建了资源约束、国际贸易、知识产权保护、技术模仿与技术进步的数理模型，通过对模型的市场均衡分析，给出了资源约束、国际贸易、知识产权保护、技术模仿与技术进步的均衡增长路径。最后利用在不同参数条件下的数值模拟分析，探讨了经济参数变化对均衡增长路径的影响机理，并给出了经济学的解释。
国际贸易对人力资本积累的促进作用也是实现技术溢出重要的传导方式。本文首先从理论方面详细论述了人力资本对技术溢出的制约作用，并且从供给和需求两个角度论探究了国际贸易推动资源型地区人力资本积累的机理。其次，在理论分析基础之上，本文分别建立国际贸易促进教育和培训的代际模型和国际贸易推动人力资本积累的动态模型，进一步佐证本文的理论研究；最后，本文建立三部门的均衡分析模型，阐述在资源约束条件下，国际贸易、人力资本、技术溢出与经济增长之间的逻辑机理。
在国际贸易扩大竞争效应实现技术溢出方面，本文首先在分析竞争效应的概念和转化条件基础之上，梳理了国际贸易与竞争之间的关系。其次，本文从内源驱动力、外源驱动力、创新的微观激励、打破能源产业垄断、竞争情报五个方面阐述了国际贸易通过扩大资源型地区的竞争程度实现技术溢出的作用机理。最后，本文构建了一个四部门的内生模型，通过对市场竞争状态下的均衡路径比较静态分析与数值模拟分析，阐述了通过国际贸易扩大资源型地区的竞争程度提高资源型地区技术溢出的作用机理。
在实证研究方面，本文以我国资源型地区的省域面板数据为研究样本，利用计量经济学的相关理论与方法，对本文所涉及的理论命题进行了实证分析和检验。首先本文以CH计量模型为实证的基础模型对资源型地区贸易开放的技术溢出效应进行了实证检验，研究发现贸易开放的技术溢出效应对资源型地区技术进步的推动作用并不大。其次，本文应用面板门槛模型对资源型地区技术溢出的影响因素进行分析，研究表明资源型地区贸易的技术溢出在资源、人力资本、技术差距、贸易开放度方面分别存在溢出门槛。最后，本文对技术溢出的传导方式进行了实证分析，分别考察了技术模仿、竞争对资源型地区技术进步动态变化的传导机制，以及贸易对资源型地区人力资本积累的推动作用。
Since the founding of People's Republic of China in1949, in order to promoteChina’s development of industrialization, a large quantity of resource-orientedregions have arisen in succession with resources exploitation which has madetremendous contributions to promote China’s national economy and socialdevelopment. However, with the depletion of natural resources in resource-orientedregions and the continuous improvement of China’s market economy system,economic development in resource-oriented regions gradually became worse andworse, which enormously impeded the development of China’s national economy.Therefore, the primary problem that we confront with is how to make theresource-oriented regions get rid of resource constraints and realize the sustainabledevelopment of economy of this region under the new economic situation. Whatneeds to be pointed out is that the research literature on the economic transition ofexisting resources in resource-oriented regions and successful cases on theeconomic transition of domestic and overseas resource-oriented regions have fullyproved that technology progress is the only way of realizing sustainabledevelopment of economy of the resource-oriented regions. But relevant research onhow to promote the technology progress of resource-oriented regions has been stillin the initial stage. Most existing research literatures focus on the investment onR&D and human capital which ignored the driving mechanism of technologyspillovers effect of international trade in promoting technology progress.Considering the insufficiency of existing studies and the realistic problems that theeconomic development in resource-oriented regions has, this paper makes aninvestigation into the operating principle of technology spillovers effect ofinternational trade in promoting technology progress of these regions theoreticallyand empirically for the purpose of achieving optimal economic growth mechanismbased on equilibrium analysis theory under the condition of open economy. It aimsat providing effective and reliable theoretical and policy basis for the economicdevelopment in resource-oriented regions of China.
This paper begins with defining the theoretical concepts of technologyspillovers from an economic perspective, theoretically analyzes the preconditions and transmission way for the technology spillovers of international trade, probesinto the mechanism of technology spillovers under the framework of new growththeory, new trade theory, and establishes the overall theoretical framework of thispaper for the technology spillovers effect of international trade, which lays a solidfoundation for the latter theoretical and empirical research. At the same time, inorder to clarify the research theme of this paper on economic development inresource-oriented regions, this paper brings resource dimension into productionfunction and sets up mathematical model of international trade, resource constraintsand technology spillovers to further illustrate the mechanism of technologyspillovers effect of international trade promoting technology progress in theresource-oriented regions and also build the mathematical model and theoreticalresearch framework of this paper from an overall perspective.
Under the theoretical guidance of technology spillovers will lead to technologyadvancement in resource-oriented regions, this paper studies the role technologydissemination avenues plays in resource-oriented regions' technology advancement.This paper opens technology dissemination avenues study with technology imitation,in which the definition of technology imitation is given, the theoretical relationshipbetween technology imitation and spillover is discussed, and a detailed analysis ofthe role technology imitation plays in technology advancement is made. Under theframework which makes a balanced analysis of international trade, resourceconstraint and technology spillovers, a mathematical model consists of parameterssuch as resource constraint, international trade, intellectual property right protection,technology imitation and technology advancement then is constructed by means ofintroducing intellectual property right to department of technology research anddevelopment. Taking advantage of the constructed mathematical model, therelationship between economic parameters and balanced growth will be exploredthrough parameters simulation analyses, and then economic explanations for theensued results will be made.
International trade is also an important avenue in technology spillovers for itplays a positive role in human capital accumulation. This paper firstly makes adetailed theoretical account of human capital's restriction effects on technologyspillovers, then makes a further exploration of international trade's role in humancapital accumulation in resource-oriented regions from the supply and demanding perspectives. Based on a theoretical analysis, a trans-generational model related tointernational trade's positive role in education and training as well as a dynamicmodel concerning international trade's positive role in human capital accumulationare then built to give more support to the theory applied in this paper. Finally, abalanced model consists of three departments is built to demonstrate the logicrelationship among international trade, human capital, technology spillovers, andeconomic growth under the circumstance of resource constraint.
In terms of international trade's role in promoting resource-oriented regions'competitiveness and further fulfilling the goal of technology spillovers, this paperfirst clarifies the relationship between cooperation and competitiveness ininternational trade based on the research of the definition and conversion conditionsof competitive effects. This paper then illustrates the fulfillment of technologyspillovers by means of gaining competitive advantages in international trade fromthe following perspectives, internal and external driving forces, innovativemicro-incentive mechanism, energy industry monopoly-breaking measures, andcompetitive intelligence gathering. After an analysis of static equilibrium path andsimulation parameters under the competitive market circumstances, an endogenousgrowth model comprises four departments is built to illustrate howresource-oriented regions improve its technology spillovers through gainingcompetitive advantages in international trade.
本文首先从经济学角度出发对技术溢出的概念进行了理论界定，对国际贸易技术溢出的前提条件和传导方式进行了理论分析，并且在新增长理论、新贸易理论研究框架下探究技术溢出的过程机理，通过上述理论分析构建本文国际贸易技术溢出效应的整体理论框架，为本文后面的理论与实证研究打下坚实的基础。同时，为进一步明确本文关于资源型地区经济发展的研究主题，本文还将资源变量引入生产函数，建立了国际贸易、资源约束与技术溢出效应的数理模型，以此来为进一步说明国际贸易技术溢出效应推动资源型地区技术进步的作用机制，同时也从整体上建立本文的数学模型和理论研究框架。
在建立国际贸易技术溢出效应推动资源型地区技术进步理论研究框架之后，本文开始对国际贸易技术溢出不同的传导方式对资源型地区技术进步的推动机理进行理论分析。本文首先从技术溢出传导方式中的技术模仿入手，对技术模仿进行了概念界定，探讨了技术模仿与技术溢出的之间的理论关系，同时详细分析了资源型地区通过技术模仿实现技术进步的机理。其次在本文国际贸易、资源约束与技术溢出的均衡分析框架下，通过将知识产权引入到研发部门，构建了资源约束、国际贸易、知识产权保护、技术模仿与技术进步的数理模型，通过对模型的市场均衡分析，给出了资源约束、国际贸易、知识产权保护、技术模仿与技术进步的均衡增长路径。最后利用在不同参数条件下的数值模拟分析，探讨了经济参数变化对均衡增长路径的影响机理，并给出了经济学的解释。
国际贸易对人力资本积累的促进作用也是实现技术溢出重要的传导方式。本文首先从理论方面详细论述了人力资本对技术溢出的制约作用，并且从供给和需求两个角度论探究了国际贸易推动资源型地区人力资本积累的机理。其次，在理论分析基础之上，本文分别建立国际贸易促进教育和培训的代际模型和国际贸易推动人力资本积累的动态模型，进一步佐证本文的理论研究；最后，本文建立三部门的均衡分析模型，阐述在资源约束条件下，国际贸易、人力资本、技术溢出与经济增长之间的逻辑机理。
在国际贸易扩大竞争效应实现技术溢出方面，本文首先在分析竞争效应的概念和转化条件基础之上，梳理了国际贸易与竞争之间的关系。其次，本文从内源驱动力、外源驱动力、创新的微观激励、打破能源产业垄断、竞争情报五个方面阐述了国际贸易通过扩大资源型地区的竞争程度实现技术溢出的作用机理。最后，本文构建了一个四部门的内生模型，通过对市场竞争状态下的均衡路径比较静态分析与数值模拟分析，阐述了通过国际贸易扩大资源型地区的竞争程度提高资源型地区技术溢出的作用机理。
在实证研究方面，本文以我国资源型地区的省域面板数据为研究样本，利用计量经济学的相关理论与方法，对本文所涉及的理论命题进行了实证分析和检验。首先本文以CH计量模型为实证的基础模型对资源型地区贸易开放的技术溢出效应进行了实证检验，研究发现贸易开放的技术溢出效应对资源型地区技术进步的推动作用并不大。其次，本文应用面板门槛模型对资源型地区技术溢出的影响因素进行分析，研究表明资源型地区贸易的技术溢出在资源、人力资本、技术差距、贸易开放度方面分别存在溢出门槛。最后，本文对技术溢出的传导方式进行了实证分析，分别考察了技术模仿、竞争对资源型地区技术进步动态变化的传导机制，以及贸易对资源型地区人力资本积累的推动作用。
Since the founding of People's Republic of China in1949, in order to promoteChina’s development of industrialization, a large quantity of resource-orientedregions have arisen in succession with resources exploitation which has madetremendous contributions to promote China’s national economy and socialdevelopment. However, with the depletion of natural resources in resource-orientedregions and the continuous improvement of China’s market economy system,economic development in resource-oriented regions gradually became worse andworse, which enormously impeded the development of China’s national economy.Therefore, the primary problem that we confront with is how to make theresource-oriented regions get rid of resource constraints and realize the sustainabledevelopment of economy of this region under the new economic situation. Whatneeds to be pointed out is that the research literature on the economic transition ofexisting resources in resource-oriented regions and successful cases on theeconomic transition of domestic and overseas resource-oriented regions have fullyproved that technology progress is the only way of realizing sustainabledevelopment of economy of the resource-oriented regions. But relevant research onhow to promote the technology progress of resource-oriented regions has been stillin the initial stage. Most existing research literatures focus on the investment onR&D and human capital which ignored the driving mechanism of technologyspillovers effect of international trade in promoting technology progress.Considering the insufficiency of existing studies and the realistic problems that theeconomic development in resource-oriented regions has, this paper makes aninvestigation into the operating principle of technology spillovers effect ofinternational trade in promoting technology progress of these regions theoreticallyand empirically for the purpose of achieving optimal economic growth mechanismbased on equilibrium analysis theory under the condition of open economy. It aimsat providing effective and reliable theoretical and policy basis for the economicdevelopment in resource-oriented regions of China.
This paper begins with defining the theoretical concepts of technologyspillovers from an economic perspective, theoretically analyzes the preconditions and transmission way for the technology spillovers of international trade, probesinto the mechanism of technology spillovers under the framework of new growththeory, new trade theory, and establishes the overall theoretical framework of thispaper for the technology spillovers effect of international trade, which lays a solidfoundation for the latter theoretical and empirical research. At the same time, inorder to clarify the research theme of this paper on economic development inresource-oriented regions, this paper brings resource dimension into productionfunction and sets up mathematical model of international trade, resource constraintsand technology spillovers to further illustrate the mechanism of technologyspillovers effect of international trade promoting technology progress in theresource-oriented regions and also build the mathematical model and theoreticalresearch framework of this paper from an overall perspective.
Under the theoretical guidance of technology spillovers will lead to technologyadvancement in resource-oriented regions, this paper studies the role technologydissemination avenues plays in resource-oriented regions' technology advancement.This paper opens technology dissemination avenues study with technology imitation,in which the definition of technology imitation is given, the theoretical relationshipbetween technology imitation and spillover is discussed, and a detailed analysis ofthe role technology imitation plays in technology advancement is made. Under theframework which makes a balanced analysis of international trade, resourceconstraint and technology spillovers, a mathematical model consists of parameterssuch as resource constraint, international trade, intellectual property right protection,technology imitation and technology advancement then is constructed by means ofintroducing intellectual property right to department of technology research anddevelopment. Taking advantage of the constructed mathematical model, therelationship between economic parameters and balanced growth will be exploredthrough parameters simulation analyses, and then economic explanations for theensued results will be made.
International trade is also an important avenue in technology spillovers for itplays a positive role in human capital accumulation. This paper firstly makes adetailed theoretical account of human capital's restriction effects on technologyspillovers, then makes a further exploration of international trade's role in humancapital accumulation in resource-oriented regions from the supply and demanding perspectives. Based on a theoretical analysis, a trans-generational model related tointernational trade's positive role in education and training as well as a dynamicmodel concerning international trade's positive role in human capital accumulationare then built to give more support to the theory applied in this paper. Finally, abalanced model consists of three departments is built to demonstrate the logicrelationship among international trade, human capital, technology spillovers, andeconomic growth under the circumstance of resource constraint.
In terms of international trade's role in promoting resource-oriented regions'competitiveness and further fulfilling the goal of technology spillovers, this paperfirst clarifies the relationship between cooperation and competitiveness ininternational trade based on the research of the definition and conversion conditionsof competitive effects. This paper then illustrates the fulfillment of technologyspillovers by means of gaining competitive advantages in international trade fromthe following perspectives, internal and external driving forces, innovativemicro-incentive mechanism, energy industry monopoly-breaking measures, andcompetitive intelligence gathering. After an analysis of static equilibrium path andsimulation parameters under the competitive market circumstances, an endogenousgrowth model comprises four departments is built to illustrate howresource-oriented regions improve its technology spillovers through gainingcompetitive advantages in international trade.
引文
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