【作者】 易先忠；

【导师】 张亚斌；

【作者基本信息】 湖南大学 ， 国际贸易学， 2008， 博士

【摘要】 《国家中长期科学和技术发展规划纲要(2006-2020年)》明确提出到2020年我国力争进入创新型国家的行列。对国外技术的模仿和自主创新是实现这一赶超目标两个基本途径,那么,我国作为一个后发大国应当如何选择适宜技术进步模式,并促进从模仿到自主创新的转型?同时我国区域经济发展不平衡,区域技术进步模式有所差异,科技政策和科技发展战略应如何根据区域技术进步模式的差异性实现大国技术进步模式的耦合,以促进国家整体技术赶超?以这些现实问题为导向,本论文重点解决以下三个方面问题:(1)通过构建拓展的南北技术扩散模型和国际经验论证了选择适宜的技术进步模式有利于后发国家的技术赶超。通过对后发优势悖论探讨,我们发现即使在技术后发优势能发挥的前提下,后发国家仍需加强自主创新、并选择适宜的技术进步模式才能破解后发优势悖论和实现技术赶超。(2)探讨后发国家技术赶超过程中技术进步模式的决定与转型,以及研发投资与生产性投资的关系。首先构建了拓展的内生的增长模型,分析了技术差距对技术进步模式的影响;然后在分析一致的理论模型框架中逐步纳入异质型人力资本和物质资本,探讨后发国技术赶超过程中技术进步模式决定和转型的影响因素;并以中国省际面板数据进行实证检验。分析表明:在技术后发优势能发挥的前提下,技术差距和人力资本构成决定了主导技术进步模式,主导技术进步模式随着技术差距的缩小、创新型人力资本构成比例的提高,逐步从模仿到自主创新转型;而当后发国模仿能力很弱时,在经济进入以技术模仿为主导技术进步模式前,有一个以自主研发提高模仿能力的阶段;提高自主研发效率和创新型人力资本的丰裕度可加速技术进步模式转型,但加速技术进步模式转型的政策不一定有利于技术赶超;根据技术差距权衡生产性投资与研发投资才能实现经济的最优增长,鼓励研发投入的“有限赶超战略”有利于技术赶超。基于中国的实证表明:我国现阶段技术进步以模仿为主,自主创新效应不明显;但在技术水平较高区域,自主创新和研发投资能显著促进技术进步和经济增长,而在技术水平较低的区域,生产性投资和对国外技术进步的模仿是促进经济增长和技术进步的主要动力。(3)探讨为实现区域差异性技术进步模式的耦合、我国科技政策与科技战略的选择。根据理论和实证分析,提出在两种技术进步模式间权衡的适度知识产权保护政策选择,以及为促进我国技术进步的知识产权保护与R&D补贴的组合政策;通过对科技政策的比较实证分析,认为科技政策应当以刺激研发需求为主转向以改善研发资源供给为主;并根据区域技术进步模式的差异性提出我国区域技术、经济“分层赶超”战略构想,为耦合分层赶超战略,提出以“圈层经济”带动技术的“圈层进步”。从而破解我国科技政策和科技战略选择的困境,实现技术赶超。这一研究的意义集中体现在:澄清了后发国家在技术赶超过程中模仿与创新、研发投资与生产性投资之间的关系;为技术进步模式的选择与转型提供理论与经验支持;为促进大国整体技术赶超,科技政策与科技发展战略的选择提供指导建议。更多还原

【Abstract】 《National Guideline on Medium- and Long-Term Program for Science and Technology Development (2006-2020)》indicateed specifically that until the year 2020 our country should become one of the innovation countries. Imitation and self-innovation are two main channels to achieve this aim. So how does China, as a lagging country, chose a suitable technological progress mode and how to promote its transition from imitation to self-innovation, are important problems we have to solve. At the same time, the regional economic in our country is developed unequally, therefore the regional technological progress mode should be different. Thus, another question occured: How does an unequal developed country choose suitable technological policies and development strategies reflecting the regional differences? In order to find the answer for these questions, this paper focused on solving the following three problems:(1) By extended north–south technology diffusion model and international empirical analysis, we found that choosing an appropriate technological progress mode is beneficial to technological progress. By discussing the backward advantage paradox, we found that even under the premise that the technological backward advantage can be utilized fully, the lagging countries still need to deal with the relationship well between the two technological progress modes to realize economic catching up. (2) In order to find the determining factors of the technological progress modes and of the relationship between the R&D investment and the production investment, Firstly we built an extended endogenous growth model to discuss the influence of the technology gap on the technological progress mode; Secondly, we put the heterogeneous human capital into the consentaneous theory model to discuss the determinate factors of the technological progress mode; thirdly, we made a empirical analysis based on China’s provincial panel date. The conclusions are that: when the lagging country’s imitation ability is at a high level, the technological backward advantage can play a role, technology gap and human capital are main determining factors of the technological progress mode,The dominate technological progress mode transits from imitation to innovation as the technology gap narrowing and increasing of the composition of human capital; When the lagging country’s imitation ability is at a low level, there is an innovation phase before the lagging country’s technological progress mode becoming imitation; Improving innovation efficiency and human capital copiousness degree can accelerate the transition of technological progress mode, but the policies accelerating the technological progress mode’s transition may not be beneficial to the technological catching up; The“Strategies of Limited Catching up”can be helpful to the technological catching up by encouraging R&D investment. According to the empirical analysis, we can find that the dominate technological progress mode in our country is imitation; In the region with high technological level, innovation and R&D investment promote economic growth and technological progress; In the region with low technological level, production investment and imitation are main forces for the economic growth and technological progress. (3)We explored the lagging country’s choice of technological policy and strategies which reflect different technological progress modes of different regions. According to the theory and the empirical analysis, we proposed that suitable intellectual property rights policies should balance imitation and innovation, Also we proposed combinatorial polices of intellectual property rights and R&D subsidy to accelerate technological progress; By Empirical analysis and comparing technological policies, we concluded that the main technological policy should transit from stimulating R&D demand to improving the supply of R&D resources. Finally, we proposed the technological strategy of“layer catching up”reflecting regional differences. To couple“Layer catching up”strategy, we proposed that“Layer technological progress”should be driven by“Layer Economic”. By doing so, we can crack the dilemma of the technological strategies and technological policies and realize technological catching up.The main significance of the research is that we clarified the relationship between imitation and innovation、R&D investment and production investment, and to provide supporting theory and proof for the choseing and transition of the technological progress mode, and also we proposed some suggestions for the choice of policies and development Strategy promoting china’s technological catching up.更多还原