【作者】 千慧雄；

【导师】 安同良；

【作者基本信息】 南京大学 ， 产业经济学， 2011， 博士

【摘要】 何种市场结构最有利于创新是经济学领域长期争论的一个话题。以Schumpeter为代表的经济学家认为垄断更有利于创新,以Arrow为代表的经济学家则相反,认为竞争的市场结构更有利于创新,Mansfield等则认为中度市场结构中的企业创新最集中,还有大量的学者如：Scherer、Dasgupta和Stiglitz等从更细致的角度考虑创新与市场结构的关系,实际上他们认为市场结构与创新的关系是不确定的,其具体关系依赖于具体的条件而变化。总之,市场结构与创新的关系如何至今未达成一致意见。本研究引入产品异质性变量,综合考虑市场规模、研发效率等其它变量,把各种冲突的观点纳入到一个统一的分析框架。研究表明,当参数变化时,创新的最优市场结构有一个从垄断到完全竞争的连续变化过程。根据理论研究的需要,以及中国技术创新的特点,本研究首先建立了异质性条件下技术创新最优市场结构的基本理论,分为产品创新最优市场结构和工艺创新最优市场结构两部分,然后在分析了中国高技术产业运行特征的基础上,使用高技术产业的数据对上述理论进行检验,接着研究了消化吸收的最优市场结构和再创新的最优市场结构。异质性条件下产品创新最优市场结构的研究表明：那些产品差异度小、或者创新产品潜在利润高、或者创新产品对原产品的替代度低的产业,行业垄断程度越高越有利于创新；那些产品差异度大、或者创新产品潜在利润低、或者创新产品对原产品的替代度高的产业,行业竞争程度越高越有利于创新；这些参数处在中度值的那些产业,市场结构与创新的关系则呈“倒U型”结构。异质性条件下工艺创新最优市场结构的研究表明：企业工艺创新投入与市场规模、产品差异度、产品初始成本正相关,与研发溢出效应、市场竞争负相关；行业工艺创新投入与市场规模、产品差异度、产品初始成本正相关,与溢出效应负相关,与市场竞争的关系为“倒U”型；企业工艺创新效率与市场规模、产品差异度负相关,与产品初始成本、研发溢出效应、市场竞争正相关；行业工艺创新效率与市场规模、产品差异度负相关,与产品初始成本、研发溢出效应正相关,与市场竞争的关系随着研发溢出效应的增大逐步由负相关转化为正相关；企业研发能力对企业、行业工艺创新投入和效率的影响都是非单调的。消化吸收最优市场结构的研究表明：企业对引进技术的消化吸收是一项昂贵的学习性活动,不会自动的发生,企业对引进技术消化吸收的重视程度是由多种因素共同决定的,企业消化吸收与技术引进支出的比值与该行业世界技术进步的速度负相关,与企业的人力资本存量和该行业的市场竞争程度正相关。中国高技术产业的经验分析业证实了这些观点,且从消化吸收的角度看,中国高技术产业的市场结构是缺乏竞争的。再创新最优市场结构的研究表明：技术引进对再创新的影响是双向的,只有满足一定条件,技术引进才能促进再创新。技术引进对再创新是抑制还是促进,关键取决于“生产效应”、“学习效应”之和与“扩散效应”的力量对比；产品差异起着“防火墙”的作用；市场规模、研发能力等变量可以改变技术引进促进自主研发的临界市场结构。中国高技术产业的数据基本支持这些结论,同时,中国高技术产业的经验研究还表明,其与最优有利于再创新的市场结构相比是缺乏竞争的。综上所述,引入产品异质性变量后,技术创新最优市场结构随着各参数的变化,有一个从垄断到完全竞争的连续变化过程,这一结论对产品创新、工艺创新、消化吸收再创新都是成立的。对中国高技术产业各个方面的研究表明,其与最优的市场结构相比是缺乏竞争的,因此今后政府应该促进中国高技术产业的市场竞争。更多还原

【Abstract】 The topic which market structure will more benefit innovation has argued for many years. Some economists represented by Schumpeter hold monopoly benefit more to innovation; to the contrary, economists represented by Arrow believe competition benefit more to innovation; however, Mansfield et.al. consider that innovation is more concentrated in the medium market structure’s firm. At the same time there are many other economists, for example, Scherer、Dasgupta and Stiglitz, et. al. they consider this problem from some more delicate perspective, actually they believe the relation between market structure and innovation changes with the conditions, that is to say, their relationship is uncertain. In a word, the relationship between market structure and innovation has not come to an agreement. Importing the variable of product heterogeneity, considering the market scale, efficiency of R&D, this paper put the paradoxical viewpoints into a uniform framework. The research shows:when the parameter changes the optimal market has a continuous changing process from monopoly to complete competition.According to the demand of theory research and the trait of Chinese technical innovation, this research builds a framework of optimal market structure of technical innovation under heterogeneous product terms, it involves the optimal market structure of product innovation and process innovation. Then following the statistical analysis on the running state of Chinese high technology industry, this research does an empirical analysis using the data of Chinese high technology industry. After that is the optimal market structure of absorption and reinnovation. The research on optimal market structure of heterogeneous product innovation shows: the industry in which the difference of product is small, or the innovative product has a high potential profit, or the innovative product has a low substitution rate to the original product more benefits the innovation, when its market structure has a higher degree of monopoly; the industry in which the difference of product is big, or the innovative product has a low potential profit, or the innovative product has a high substitution rate to the original product more benefits the innovation, when its market structure has a higher degree of competition; the market structure and innovation have a "inverted U" relation when the value of those parameters is medium.The research on optimal market structure of heterogeneous process innovation shows: The relationship between R&D input of firm and market scale, the degree of product differentiation, original cost of product is positive correlation, the relationship between R&D input of firm and R&D spillover, market competition is negative correlation; The relationship between R&D input of industry and market scale, the degree of product differentiation, original cost of product is positive correlation, the relationship between R&D input of industry and R&D spillover is negative correlation, the relationship between R&D input of industry and market competition is inverted U; The relationship between R&D efficiency of firm and market scale, the degree of product differentiation is negative correlation, the relationship between R&D efficiency of firm and original cost of product, R&D spillover, market competition is positive correlation; The relationship between R&D efficiency of industry and market scale, the degree of product differentiation is negative correlation, the relationship between R&D efficiency of industry and original cost of product, R&D spillover is positive correlation, increasing with the R&D spillover, the relationship between R&D efficiency of industry and market competition varies from negative correlation to positive correlation.The research on the optimal market structure of absorption shows; absorbing the imported technology is a costly learning process for the enterprises, so it can’t happen automatically, how much the enterprises pay attention to absorbing the imported technology is determined by several factors. The theory research shows:the ratio of expenditure which the enterprises pay to absorb and import technology has a negative relationship with the world technical progress rate of given industry, and positive relationship with the firm’s human capital stock and the market competition of the given industry. The experience analysis of Chinese high technology industry also verifies these conclusions on the whole, and from the perspective of absorption, the market structure of Chinese high technology industry lacks competition.The research on optimal market structure of heterogeneous reinnovation shows:whether technology import could boost autonomous innovation or not depends on the contest of strength between the sum of production effect, learning effect and the diffusing effect; Product difference plays a role of fire wall; The variables of market scale, research capability et al can change the critical market structure which technology import could boost autonomous innovation. The data of Chinese high technology industry supports these conclusions on the whole, at the same time the research on reinnovation of Chinese high technology industry shows:comparing with the optimal market, the market structure of Chinese high technology industry lacks competition.To sum up, after importing the parameter of product heterogeneity, when the parameters change the optimal market has a continuous changing process from monopoly to complete competition. This conclusion is correct to product innovation, process innovation and absorbing reinnovation. The research on the each aspect of Chinese high technology industry shows:comparing the optimal market structure, the market structure of Chinese high technology industry lacks competition, so the government should promote the market competition of Chinese high technology industry.更多还原