【作者】 田军华；

【导师】 刘灿；

【作者基本信息】 西南财经大学 ， 政治经济学， 2012， 博士

【摘要】 新中国成立后,中国的基础设施在原有基础上进行了巨大的革新,尤其是自改革开放以来,国家每年投入大量的资金进行基础设施建设,可以说比起改革开放前,中国的交通、能源、通讯等基础设施都发生了翻天覆地的变化,给人们的生产生活带来了极大的便利。基础设施作为国家及地方的重要投资,具有强大的产业促进效应,可以对前项产业和后项产业产生巨大影响,它是否会产生技术进步效应,如何对技术进步产生影响,这些问题人们关注的比较少。尤其如中国这样的正在蓬勃发展的经济大国,基础设施在近些年来由了显著发展变化,技术进步水平也得到了显著提高,前者是否对后者有促进作用,而且又是如何发挥作用的。本文试图从这一问题入手进行研究,从而弥补现有文献存在的一些缺憾,以此做出自己应有的一点边际贡献。本文立足于经济增长理论和新经济地理理论开展研究,并从理论上继承了原有技术进步常见的分析维度,即技术创新和技术溢出维度,在此基础上拓宽其分析框架,认为要素配置也应该是技术进步的一个维度,并建立了相应的理论模型,分析了基础设施对要素配置的影响作用。本文基于前人的研究,对大量文献进行梳理,从技术创新、技术溢出、要素配置三个维度建立了详细的理论框架,理论的研究为后续的实证分析奠定了坚实的研究基础。本文共分成九章,第一章为绪论,介绍了文章的选题背景、研究意义、逻辑思路等。第二章是文献综述,综述了近几十年来对基础设施与、技术进步、经济发展关系的研究文献。第三章为本文的理论基础,主要介绍了基础设施相关的增长理论和新经济地理理论；第四章为基础设施影响技术进步的机理,从理论上分析了基础设施对技术进步的影响,第五、第六、第七章在理论框架的基础上构建了实证模型,检验了理论分析的结果,研究发现：交通基础设施、能源基础设施、通讯基础设施均对地区技术创新水平有显著为正的影响；其中能源基础设施影响最为突出,这表明能源基础设施对地区技术创新有着最为重要的促进作用。各基础设施对R&D活动表示的技术溢出有为正的影响作用,其中通讯基础设施的正向作用最大。各基础设施对专利活动表示的技术溢出有一定的影响作用,其中通讯基础设施的正向作用最突出。全样本的研究表明,基础设施对FDI技术溢出有显著的促进作用,通讯基础设施最为显著,能源基础设施影响较弱。分东、中、西部子样本的检验表明,在东部地区,基础设施对FDI技术溢出的影响表现较好,通讯基础设施影响最明显；在中部地区,公路基础设施表现的最为突出；而在西部地区,基础设施对FDI的技术溢出作用不显著,这可能跟西部地区基础设施薄弱,FDI投入较少有关。各基础设施均对资本配置效率有显著为正的影响,即基础设施确实能够促进资本的流动,提高了资本的配置效率,且通讯基础设施对资本配置的影响作用最为典型。各基础设施均对劳动力配置效率存在显著的正向影响,即基础设施存量能够在一定程度上加速劳动力的流动,促进了劳动力配置效率的提升。公路基础设施和铁路基础设施对劳动力配置效率的影响较大,这说明交通基础设施在促进劳动力流动、提高劳动力配置效率方面表现的尤为突出,尤其是铁路的这种正向作用更为明显。第八章对新加坡和我国江苏省两个典型案例进行分析,作为基础设施对技术进步影响效应的经验验证。第九章总结得出本文的研究结论,并提出了政策含义。本文的可能创新之处在于：本文在前人研究的基础上,从一个较为独特的视角,研究基础设施对技术进步的作用。本文的可能创新之处在于：1、视角的创新,已有文献研究基础设施与经济发展的关系,主要集中在研究基础设施对经济增长或者对减贫的影响作用,很少涉及基础设施对技术进步的影响。本文尝试从技术进步的视角入手,研究基础设施通过影响技术进步进而促进经济发展的作用,从而深化对基础设施与经济增长关系的研究。2、维度的创新,已有文献一般从技术创新和技术溢出这两个常见维度分析对技术进步的作用,本文研究提出影响技术进步的第三个维度,即要素配置维度,认为要素的配置和重新配置都影响着技术进步,并且要素在推动技术创新、技术溢出过程中都发挥着重要作用,本文尝试从技术创新、技术溢出和要素配置这三个维度,更加全面地研究基础设施对技术进步的影响作用3、方法的创新。本文在已有文献基础上,基于影响的实效性和数据的可获得性,用实物形态的基础设施来衡量基础设施存量,并在使用随机前沿函数方法测度我国省级层面要素配置效率基础上,研究交通、能源和通讯等核心基础设施对要素配置效率的实际影响,从而保证实证研究工作的有效进行。更多还原

【Abstract】 After the founding of new China, China’s infrastructure have great change on the basis of the original, especially since the reform and opening up the country each year put a lot of fund to infrastructure.Compared to before the reform and opening up, we can say China’s infrastructure has undergone enormous changes.Infrastructure as a national and local investment, whether it will produce the effect of technological progress, how the impact of technological progress, these problems are not concerned about. In particular, such as China is booming, a large country, the infrastructure in recent years significant growth, technological progress has also been greatly improved, the former to the latter, and also how they work, this article attempts from this a problem to start the study, in order to compensate for the defects of the existing literature, in order to make their own due contribution margin.Theoretically inherited the common analysis of the dimension of the original technological progress, technological innovation and technology spillovers dimensions, broaden its analytical framework, this article also on the basis of that factor allocation should also be a dimension of technological progress, this paper establishes the corresponding theoretical model to analyze the effect of the infrastructure to the factor allocation. Based on previous studies, a large number of literatures to sort out technical innovation, technology spillovers, the three dimensions of the factor allocation to create a detailed theoretical framework, theoretical research has laid a solid foundation for the subsequent empirical analysis. Fourth, fifth, sixth chapter on the basis of the theoretical framework to build an empirical model to test the results of the theoretical analysis, the study found:Transport infrastructure, energy infrastructure, communications infrastructure on the regional level of technological innovation have a significant positive impact; impact of energy infrastructure is the most prominent, suggesting that the energy infrastructure the most important role in promoting the area of technological innovation.All infrastructure have the positive effects to the technology spillovers of the R&D activities. And all infrastructure have the positive effects to the technology spillovers of the patent activity, the positive role of the communications infrastructure is the most prominent.The sample-wide research have found that the infrastructure have significant role in promoting technology spillover of FDI,and the communications infrastructure has the most significant, energy infrastructure has weaker influence. The sub-sample test showed that in the eastern region, the infrastructure, the impact of FDI technology spillovers performed better communications infrastructure is the most obvious impact; most prominent in the central region, the performance of highway infrastructure; in the west areas, infrastructure for FDI technology spillover effects was not significant, this may be the weak infrastructure in the western region, FDI into less relevant.Four infrastructure efficiency of capital allocation with a positive impact of infrastructure can promote the flow of capital, improve capital allocation efficiency, and the effect of the communications infrastructure of the allocation of capital is the most typical. Four infrastructure are significant positive impact on the efficiency of labor allocation, the stock of infrastructure can accelerate the movement of labor to a certain extent, promote the enhancement of the efficiency of labor allocation. Road infrastructure and railway infrastructure on the efficiency of allocative labor, indicating that transport infrastructure especially in promoting labor mobility, and improve the efficiency of labor allocation, especially in such a positive effect of the railway is more obvious更多还原