【作者】 梁超；

【导师】 黄兆基；

【作者基本信息】 南开大学 ， 国际贸易学， 2012， 博士

【摘要】 基础设施投资不仅改善了基础设施水平，而且也推动了我国经济的发展，是促进我国经济增长的重要因素。现有文献主要从社会产出弹性、对私人投资的影响、出口贸易角度研究了基础设施对我国经济增长的影响，然而很少有文献关注基础设施对我国技术创新能力的影响效应。事实上，虽然外商直接投资的技术溢出促进了我国技术创新能力的提高以及进口贸易特别是中间产品贸易的快速发展和出口贸易竞争的加剧也提升了我国的技术创新能力的提高，但是，外商直接投资对高技术专利的封锁，以及处于全球价值链的低端的加工贸易对技术创新能力的提升有限，因此，在外部技术的影响下，我们必须加强自主创新力的提升，为此，研究基础设施对我国技术创新能力的影响效应，考察其作用机制成为一个关键的重要因素。本文主要运用了一般均衡模型，研究了基础设施对技术创新能力的影响机制，本文分别从信息成本、融资成本角度探讨了基础设施影响技术创新能力的机制效应。在理论分析的基础上，进一步运用地区的数据和分行业分地区的数据，利用实证模型验证了理论模型的结论。本文共分为七个部分。第一章为导论，介绍了本章的研究方法、论文结构以及创新点。第二章为基础设施与经济增长以及劳动生产率方面的相关文献回顾。第三章考察了基础设施对技术创新能力的协整效应及脉冲响应影响，从集聚效应的角度研究了基础设施对地区创新能力的影响。第四章构建了一般均衡理论模型，研究了基础设施对进口贸易及其贸易结构的影响机制并利用实证模型检验基础设施对我国地区创新能力之间的影响效应。第五章分别从出口贸易结构和出口技术复杂度的角度考察了基础设施对技术创新能力的影响。第六章利用分行业分地区的数据，从融资依赖、出口贸易、和行业出口技术复杂度的角度考察了基础设施对行业技术创新能力的影响。第七章对全文进行了总结，并为我国利用基础设施推动技术创新提供政策建议。本文的主要结论为：第一，基础设施水平的改善对各地区的技术创新能力有着显著的促进作用，主要表现在基础设施水平的提升对人力资本、国际贸易和外商直接投资有显著的集聚效应，基础设施水平的提高促进了人力资本、国际贸易和外商直接投资对我国技术创新能力的提升。第二，基础设施水平高的地区，在进口贸易较多的地区，更能促进创新能力的提升，更重要的是，基础设施水平高的地区，进口贸易的国际R&D技术溢出比进口贸易额的技术溢出更能提升我国技术创新能力的提升，分区域的结果显示东部地区的服务贸易的国际R&D显著促进了技术创新能力的提高，西部地区则与之相反。第三，基础设施水平的改善能够促进出口结构的改善和地区技术创新能力的提升，基础设施水平高的地区在出口技术复杂度高的行业更能促进技术创新能力的提高，从而地区基础设施水平的提高有助于促进出口技术复杂度高的地区的技术创新能力的提升。第四，基础设施水平较高的地区在技术复杂度高的行业更促进地区技术创新能力的提高，这不仅表现在基础设施对地区技术创新的提升作用，更重要的是地区基础设施水平的提高能够显著的促进高技术产业的技术创新能力的提升，从而有利于出口贸易结构的改善和出口技术复杂度的提升。更多还原

【Abstract】 Infrastructure investment has not only improved the level of infrastructure, butalso promoted China’s economic development, it is important factor that promotesChina’s economic development. The existing literature discussed the role ofinfrastructure on China’s economic growth from the social output elasticity ofinfrastructure to its influence on private investment and export trade.However, Thelittle literature has focused on infrastructure in China’s technical innovation abilityeffect. In fact, although the FDI technology spillover to promote China’s technicalinnovation ability and in particular,the intermediate goods trade of import traderapidly development and the export trade competition have also promoted China’stechnical innovation ability.However, high technology patent was blocked by foreigndirect investment, as well as the processing trade has seldomly promoted China’stechnical innovation ability because it can be in the lower end of the global valuechain, hence, in the influence of the external technique,we must strengthen theindependent innovation.Therefore, the infrastructure has influence on China’stechnical innovation ability, it is importanr factor to study the impact of infrastructureon China’s technical innovation ability and explore its mechanism.The dissertation study the role of infrastructure on China’s technical innovationability by general equilibrium models, the essay researchs the mechanism throughwhich infrastructure affects technological innovation capability from information costfinancing cost respectively.Based on theoretical model analysis,empirically studyusing data of cross-regional and cross-industry cross-province strongly support themain conclusions of the empirical model.This essay has seven parts. Chapter onestates the background information, research methods, structure and innovation points.In chapter two,we revews the literature on infrastructure and economic growth andlabor productivity. In chapter three, we study the the externality of infrastructure onregional technical innovation ability from the perspective of the combined effectusing cointegration effect and impulse response impact. In chapter fourth,we build a general equilibrium theory model to study the impact mechanism of the infrastructureon import trade and its trade structure and use an empirical model to test the effect ofinfrastructure on China’s regional innovation capacity. In chapter five, we investigateinfrastructure on technological innovation capability from the perspective of exporttrade and export sophistication.In chapter six we investigate infrastructure ontechnological innovation capability from the perspective of financing cost,exporttrade and industry export sophistication using the date of cross-industrycross-province. Finally,chapter seven concludes the essay and gives some policyimplications concerning infrastructure on technological innovation capability.The dissertation gets the following from theoretical and empirical studies. Firstly,high level of infrastructure has a significant positive effect on regional technologicalinnovation capability, it is the main effect of agglomeration that the infrastructureenhances the level of human capital, international trade and foreign direct investment,high level of infrastructure has a significant positive effect on regional technologicalinnovation capability by human capital, international trade and foreign directinvestment.Secondly, regions with high level of infrastructure have moretechnological innovation ability in the import trade volumes of area.It is moreimportmant that import trade international technology spillover of R&D more thanimport trade volumes for technological innovation ability promotion.The resulr ofregionals show service trade’s international R&D of the eastern region significantlypromotes the technological innovation ability improvement,but the western isopposite.Thirdly, high level of infrastructure has a significant effect on export tradestructure and regional technical innovation ability promotion, high level ofinfrastructure of region has a significant positive effect on regional technologicalinnovation capability in industries with export sophistication.Thus,level ofinfrastructure of region has a significant positive effect on regional technologicalinnovation capability in regions with export sophistication.Finally,high level ofinfrastructure of region has a significant positive effect on regional technologicalinnovation capability in industries with export sophistication, It is more importmantthat high level of infrastructure of region has a significant positive effect on hightechnological industry technological innovation capability.Thus,it contributes to the improvement of export trade structure and the enhancement of export technicalsophistication.更多还原