【作者】 王中兴；

【导师】 张小蒂；

【作者基本信息】 浙江大学 ， 国际贸易学， 2009， 博士

【摘要】 根据索洛的研究,经济增长的主要原因不是要素的积累速度,而是技术创新。诸多研究表明,技术创新研发成本高、但复制成本极低,存在外部经济。在技术溢出条件下,仅靠市场力量不足以对创新产生充分的激励,故政府强化对技术创新的投入已成为世界各国共识,而如何强化对技术创新的投入则成为亟待研究的课题。中国作为深具东方文化底蕴的后发转型大国,政府对技术创新的投入具有极强的正外部性,能产生远高于私人收益率的社会收益率；故其R&D投入效率又是后发优势能否充分发挥的关键。本文研究揭示,发达国家对中国存在高新技术转让壁垒,高技术产业内资企业技术引进费用与其新产品销售收入呈显著的负相关,亟需政府R&D投入改变内资企业市场份额持续降低之困境。国际贸易理论研究认为,政府R&D投入有助于刺激本国R&D活动(Helpman,1984),缩短技术差距,改变后发国在国际贸易中的不利地位,最终跻身于世界技术领先国之列。自上世纪末,中国加大了R&D投入强度,政府R&D也相应增加,但通过诸多指标衡量,政府R&D投入效率现状堪忧,妨碍了后发优势发挥。笔者实证发现,中国高技术产业内资企业R&D投入(含政府R&D投入)效率远不如三资企业。其中政府R&D的投入效率不高的根源之一是其具有双重效应,即“引致效应”和“挤出效应”。投入到高技术产业内资企业的政府R&D投入存量对产业内企业研发投入的影响均具有一定的“引致效应”；但对属于市场需求较敏感行业(企业)的研发投入却存在一定程度“挤出效应”。本文研究所揭示的这一行业差异可为政府R&D选择性投入与效率提升提供有益的思路。进一步分析表明,除影响政府R&D投入效率的行业差异因素外；政府R&D后续投入过程中面临市场需求的动态变化亦可对其效率产生较大影响；故提高政府R&D效率的关键在于缓解其投入所遇市场需求的信息不对称程度,而政府R&D的选择性投入有助于化解其信息不对称。在上述研究基础上,笔者进一步分析了政府R&D选择性投入依据和机制。选择性投入途径有：选择一,基于行业差异的选择性投入。对公享性强、覆盖面广、在国计民生中具有重大战略意义的行业或产品,由于其市场前景或空间均较明确、进行后发追赶的信息不对称程度较小,国家宜加大投入。选择二,基于企业家创新能力的选择性投入。企业家作为特殊的人力资源,其商业精神、市场直觉及商机捕捉能力一旦被充分利用,则有助于矫正政府R&D投入的信息不对称,减少政府的误投入,使政府R&D投入更适应市场需求的动态变化。为此,政府亟需营造良好的社会经济环境,使不同类型企业家的创新才能得到充分的激活、拓展。在此基础上,提高政府R&D投入的效率。选择三,以共性技术研发为目标的选择性投入。针对集聚经济共性技术外溢较大、研发目标集中、隐含的市场需求信息明确的特点,政府对此类研发予以投入,可化解集群技术创新中特有的“囚徒困境”,获取事半功倍的效果。以上选择之所以是明智的,是由于其可有效地缓解政府R&D投入过程中的信息不对称,从而提高其投入效率,有力促进中国技术创新后发优势的充分发挥。更多还原

【Abstract】 According to Solow’s study, the technological innovation, instead of the accumulation speed of elements, is the main reason for the economic growth. Many studies have shown that reproduction cost of technological innovation is rather low, compared to the high R & D costs, resulting in the external economy. In the condition of technical overflow, relying only on market forces cannot produce adequate incentives for innovation. To strengthen the government’s input in the technological innovation has become the consensus of all countries in the world. Therefore, how to strengthen the input in technological innovation has become an urgent research subject. As an eastern power with a great literary talent, China is in the period of economic transition. The government’s input in technological innovation exerts great externality, bringing about a social rate of return which is much higher than the personal rate of return. As a result, the efficiency of the government’s R & D input is decisive for the performance of the backward advantage.The study of this paper revealed that the developed countries set a hi-tech transfer barrier for China. In the hi-tech industry, it is found that the technology introduction costs are negatively correlated with the sales revenue of their new products. The government’s R & D input is urgently needed to change the situation. The study in International Trade Theory holds the view that the government’s R & D input will help to stimulate the national R & D activities (Helpman,1984), to narrow the technological gap and to change the disadvantageous situation of the backward countries in the international trade activities. Eventually, the countries would rank among the world’s leading technological countries.Since the end of last century, China has intensified its R & D investment. The government’s R & D input has seen a corresponding increase. However, a series of indexes shows that the R & D input efficiency of is not satisfactory, hampering the full play of the backward advantages. The author found through empirical analysis that in the hi-tech industry, the R & D input efficiency of the domestic-funded enterprises (including the government’s R & D input) is much lower than that of the foreign-funded enterprises. One of the reasons for the government’s low input efficiency is the dual effect, namely, the "causing effect" and the "crowding-out effect". The government’s R & D input in the domestic-funded enterprises exerts "causing effect" on their R & D input. However, it in some degrees has a "crowding-out effect" on the R & D input of the enterprises which are sensitive to the market demand. The industrial differences this paper uncovers could provide beneficial ideas for the government’s selective R & D input and the improvement of its input efficiency.Further analysis showed that the dynamic changes of the market demand also affects the government’s R & D input efficiency significantly in the following-up process. The key in increasing the R & D input efficiency is to reduce the degree of information asymmetry in market demand. The government’s selective input helps to improve the situation.Based on the studies above, the author further analyzed the channels and the mechanism of the government’s selective R & D input. The first channel is the selective input based of the industrial differences. For industries and products which are generally concerned, widely spread, and have a great strategic significance for the welfare of the country and the people, the input should be increased due to the great market potential and low degree of information asymmetry in the catching up process. The second one is the selective input based on the entrepreneurs’innovative abilities. As a special human resource, the business sense, market intuition and opportunity capturing ability help to reduce the information asymmetry and the faulty R & D input, adapting the government’s R & D input to the dynamic changes of the market demand. For this reason, the government needs to create a favorable economic environment in order to fully activate and enhance the various innovative abilities of entrepreneurs, thus improving the R & D input efficiency of the government. The third selective input is targeted at the R & D of general technology. Because of the high positive externality, definite research subjects and clear market demand information of cluster economy, government’s input in this field will defuse the unique "Prisoner’s Dilemma" in the cluster’s technological innovation, immensely increasing the input efficiency. The channels above are reasonable because they effectively reduce the information asymmetry in the process of the government’s R & D input, increase the input efficiency and give the backward advantages into full play.更多还原