【作者】 曾珠；

【导师】 姜凌；

【作者基本信息】 西南财经大学 ， 世界经济， 2010， 博士

【摘要】 随着新的技术革命的发展,技术创新和技术进步提供的生产率将日益成为决定一个国家、一个行业、一家公司竞争地位的关键,自然资源已不再成为经济发展的关键。一个国家、一个行业、一家公司能制胜的主要优势在于它能获得多少知识,能够取得多少创新。在现实经济中,一些自然资源贫乏的国家,如日本、韩国等,正是靠不断地创新取得了比自然资源富有国家更快的经济增长。所以说传统自然资源丰富的国家如果不同时加大技术创新力度,在知识经济时代就很容易受到冲击。胡锦涛总书记在十七大报告中提出：提高自主创新能力,建设创新型国家。这是国家发展战略的核心,是提高综合国力的关键。而创新的根本,是实践、学习和知识积累的过程。本文通过实证分析,试图阐明一国的知识创新和对外贸易竞争力之间的因果关系,深化比较优势理论,从比较优势、竞争优势引申出知识优势,并进一步论证了以专利为代表的知识创新能力和一国对外贸易竞争力的关系。中日两国同为东亚经济强国,由于它们发展水平层次上的互补性、经济利益上的相似性、地理位置上的相临性、文化传统上的相似性,对两国在国际竞争力等方面进行比较研究有着现实的指导、借鉴意义。一国参与国际分工和贸易的模式、贸易竞争战略的选择,都与本国的资源禀赋、人口结构、经济实力、技术水平等要素、条件密不可分,由此对国家、产业和企业的比较优势或竞争优势的研究是必不可少的。国内外文献对比较优势、竞争优势及相关产业(中观层面)的论述比较多,但对国家(宏观层面)和企业(微观层面)的优势研究较少。本文则选择中日这两个东亚大国,从国家、产业、企业三个层面对两国的国际竞争力进行横向比较,并为国家知识优势的培育提出方向。本文的主要工作以及成果如下：1、首先对比较优势及其内涵与外延、竞争优势等理论基础进行了梳理,总结出在经济全球化的今天,比较优势从某种意义上就表现为以知识为核心的知识优势。也就是说,随着世界经济由游牧经济、农业经济向工业经济、信息经济乃至知识经济的过渡,企业竞争力的基础逐渐从绝对优势转变为比较优势,从比较优势转变为竞争优势,再由竞争优势转变为知识优势。2、以专利为例,围绕中日的专利申请及授予量、对外贸易进出口额以及它们之间的因果关系进行实证分析。从而论证了在知识经济时代,一国持续的自主创新能力对该国的贸易竞争力乃至国家竞争力有着至关重要的作用。此外,本文还通过历史数据和近年的截面数据对中日两国进行了比较分析,结果表明中国的创新投入和产出远远不及日本。尽管近年来多数指标明显好转,增长率也居世界前列,但与我国的大国地位仍不匹配。3、从企业(微观)、产业(中观)、国家(宏观)三个层次分别对知识创新及国际竞争力的提升进行中日比较和借鉴。主导性与战略性产业的竞争力决定了国家的整体竞争力,技术标准又决定了企业与产业的竞争力,自主创新能力则是技术标准的重要保障。因此,如果说技术标准是国家竞争力的体现,自主创新能力则是国家竞争力的核心。4、对目前的多种贸易战略调整观点进行了总结评价后指出,无论是继续实施原有的战略还是选择新的战略,为了保持经济的持续发展,必须重视技术进步和创新。作为经济发展不平衡的中国,各种贸易理论都可以找到适合的条件和土壤,因此,中国适合选择多元化的贸易战略。对发达国家的知识优势战略分析表明,知识已成为一国经济发展的主要动力。本文的观点是,除了吸收前人几种战略观点的合理成分外,我们可以从知识产权及其保护、知识创新、知识的培育、知识的转化利用等几个方面着手来加大国家知识优势的培育力度。本文的主要创新点：1、先前学者从宏观角度、国家或国际创新过程、产业角度、微观角度等利用专利数据对创新活动进行了广泛研究,但绝大多数研究却是针对发达国家的,对发展中国家的研究甚少。而对专利创新活动与对外贸易竞争力之间的实证研究甚为罕见。本文运用Johansen协整检验、Granger因果关系检验等计量方法,验证了一国的发明专利对该国的贸易出口的直接促进作用；并通过中日两国的比较分析,发现日本的创新活动对该国的贸易出口促进作用比中国更显著。从而论证了在知识经济时代,一国持续的自主创新能力对该国的贸易竞争力乃至国家竞争力有着至关重要的作用。2、先前学者有关中日国际竞争力的研究大多数是针对某个阶段的阶段性分析及对我国的借鉴,或者是针对某个领域(产业)的竞争力比较,尚未将国家(宏观层面)、产业(中观层面)、企业(微观层面)三个层面的竞争力贯穿起来研究。本文选择中日这两个东亚强国,试图从这三个层面进行横向比较,并探索出三个层次竞争力之间的相互关系,为培育不同经济贸易发展阶段的不同层次的不同优势提供思路。3、先前学者多数针对不同国家(地区)某个领域(行业)比较优势、竞争优势进行比较研究,然后互相借鉴学习,取长补短。而对比较优势理论本身的拓展、深化或如何演变方面的研究不多。本文通过实证分析,试图深化比较优势理论,从比较优势、竞争优势的分析中引申出知识优势,阐述三种优势之间的相互关系,并确立知识优势的概念,强调知识经济时代知识竞争力的核心地位,然后并就中国企业的知识产权保护、利用等提出政策建议。更多还原

【Abstract】 With the development of new technological revolution, the productivity provided by technological innovation and technological progress will increasingly become the key of deciding the competitive position of a country, an industry and a company. Natural resources will no longer be critical to economic development. the main winning advantage of a country, an industry and a company lies in how much knowledge it can get and how many innovations it can achieve. In the real economy, some countries poor in natural resources, such as Japan and South Korea, depend on constant innovation to gain faster economic growth than the countries rich in natural resources. Therefore, in the era of knowledge economy, if countries, rich in traditional natural resources, do not intensify technological innovation comtemporarily, they will be easily under attack.Both China and Japan are the economic powers in East Asian. Considering the complementarity of their development levels, the similarity of their economic interests, the proximity of their geographical location, the similarity of their cultural traditions, there are practical guiding and referring meanings to comparatively study the two countries’economic development, economic policy, economic strategy and so on. A country’ pattern of participating in international division and trade, and its choice about foreign trade policy and economic development strategy, are inseparable with such factors and conditions as resource endowment, population structure, economic strength, technological level, etc. Thus, it is essential to study the comparative advantage or competitive advantage of countries, industries and enterprises. There are lots of adomestic and foreign literature about the comparative advantage, competitive advantage and related industries (meso level), but there are few reseach on the advantages of countries (macro level) and enterprises (micro level). This dissertation chooses two great powers of East Asia——China and Japan, comparing horizontally from the three levels of countries, industries, and enterprises, and puts forward the direction for the cultivation of country’ knowledge advantage.In the report of China’s 17th Party Congress, Chinese President Hu Jintao put forward the emphasis on improving the ability of independent innovation and building innovation-oriented country. This is the core of the national development strategy and the key to enhancing the comprehensive national strength, while the process of practice, learning and knowledge-building is the fundamentals of innovation. Through empirical analysis, this dissertation tries to clarify the causal relationship among a country’s knowledge innovation, international competitiveness and foreign economic and trade policy, deepen the theory of comparative advantage, derive knowledge advantage from the comparative advantages and competitive advantages, and provide theoretical basis for our country to develop foreign economic and trade policies in line with their own advantages.The main results of this dissertation are as the following:1. This dissertation first puts in order some theoretical basis such as comparative advantage, its connotation and denotation, competitive advantage, and so on. Then it sums up that, in today’economic globalization, comparative advantage in a sense is represented by knowledge advantage, which is knowledge-centered. In other words, with the world economy transiting from nomadic economy, agricultural economy to industrial economy, information economy and even knowledg economy, the basis of enterprise competitiveness shifts gradually from absolute advantage to comparative advantage, from comparative advantages to competitive advantages, and then from competitive advantage to knowledge advantage.2. This dissertation takes patents as example and carries out empirical analyses of patent applications, patents granted, the import and export volume of foreign trade, as well as the causal relationship among them. Thus it demonstrats that, in the era of knowledge economy, a country’s sustained ability of independent innovation is vital to improving its trade competitiveness and even national competitiveness.In addition, through historical data and cross-section data in recent years, this dissertation carries out a comparative analysis of the two countries and the results show that, China’s innovation input and output lag far behind that of Japan. In spite of most indicators obviously improving in recent years and the growth rate being in world’s front rank, these still do not match the great power status of China.3. This dissertation compares knowledge innovation and the enhancement of international competitiveness in China and Japan from three levels of enterprise (micro), industry (meso), national (macro). The competitiveness of leading and strategic industry determines the country’s overall competitiveness, and technical standards decide the competitiveness of enterprises and industries, and independent innovation ability is an important guarantee for technical standards. Therefore, if technical standards are the embodiment of national competitiveness, independent innovation ability is the core of national competitiveness.4. This dissertation points out that, whether implementing the original strategy or choosing new strategies, in order to maintain sustained economic development, we must attach importance to technological progress and innovation. China, bearing unbalanced economic development, provides suitable conditions and soils for a variety of trade theories. Therefore, China suits for diversified trade strategies. The analyses of knowledge advantage strategy of developed countries tell us that, knowledge has become the main impetus of a country’s economic growth. The view of this dissertation is that, in addition to absorbing the reasonable elements of predecessors’strategic views, we can redouble our efforts to cultivate the national knowledge advantage from such aspects as intellectual property rights and its protection, knowledge innovation, knowledge cultivation, knowledge transformation and so on.The primary innovations include:1. Previous scholars have carried out extensive research, using patents to analyze innovation activities, from a macro perspective, national or international process of innovation, industrial point of view, the micro-perspective, etc. But, the vast majority of researches are aiming at the developed countries, and very little research on developing countries. For the relationship between patent innovation activities and foreign trade competitiveness, empirical research from the quantitative view is rare in academia. Through Johansen’s Co-integration Test, Granger Causality Test and other methods, this dissertation verifies that, a country’s inventions can directly promote export trade, and its pulling effect is more visible than the total patents. Tests also manifest that the innovative activities in Japan play a more significant role in enhancing its export than in China. These show that in the era of knowledge economy, a country’s sustainable ability of independent innovation is the key to trade and national competitiveness.2. The majority of researches on the international competitiveness in China and Japan by previous scholars are phased analysis and implications for China, aiming at a certain stage, or the competitiveness comparison aiming at a certain area (industry), not yet combining the competitiveness of the three levels throughout the study:countries (macro level), industries (meso level) and enterprises (micro level). This dissertation selects the two East Asian powers, China and Japan, tries to make horizontal comparison from the three levels, explores the interrelationship among the three levels of competitiveness, and provide ideas to foster specific advantages of specific levels at specific stages of economic and trade development.3. Previous scholars mostly make comparative study of comparative advantages and competitive advantage in certain area (industry) in different countries (regions), and then learn from each other. But very few researches are about how to develop, deepen or evolute the theory of comparative advantage on its own. Through empirical analyses, this dissertation tries to deepen the theory of comparative advantage, derive knowledge advantage from the analyses of comparative advantages and competitive advantage, set forth on the relationship among the three advantages, establish the concept of knowledge, emphasize the core position of knowledge competitiveness in the era of knowledge economy, and then put forward policy recommendations on the protection and utiliztion of intellectual property rights in Chinese enterprises.更多还原