【作者】 李栋华；

【导师】 胡军；

【作者基本信息】 暨南大学 ， 产业经济学， 2010， 博士

【副题名】吸收能力与最优研发投资

【摘要】 本文在内生经济增长理论的框架下探讨了吸收能力与我国产业知识生产之间的关系,即开放条件下吸收能力的几个不同维度对产业绩效的影响机制和效果。并结合理论模型结论,利用面板数据和门限模型对我国20个产业的知识生产函数进行了实证检验分析。在此基础上进一步从理论和实证研究角度分别探讨我国产业在开放条件下的最优研发经费投入比例。通过以上的分析,本文得到了以下的结论：由理论分析和实证结果可知：(1)人力资本积累对经济增长和技术进步有促进作用；(2)知识差距对技术进步率和经济增长率间并不存在必然的线性关系,这与一国的人力资本、最终生产部门对国外技术的匹配程度等其它因素相关；(3)制度因素是内生的,其受到本国的人力资本结构等因素的影响,只有当创新能力超过一定的门槛值,加大对研发的支持力度将会提高经济增长率和技术进步率；反之则并不会促进经济增长和技术进步。此外,实证结果还表明：开放条件下,20个样本产业对应于4种吸收能力指标的最优的研发投入经费比例分别为2.704115%、1.465457%、5.552166%和11.0202%；在以吸收能力1和吸收能力3衡量时,不存在显著的门限值；而以吸收能力2衡量时,存在三门限值,分别为0.1060%、0.2422%和0.4306%；吸收能力4下的研发经费投入比例门限值为0.0886%。而20个产业12年内研发经费投入比例均值为0.7622976%,超过开放条件下的门限值,说明经过30年的开放和积累,所有产业已经具备最基本的研发水平和研发经费投入,但是与最优研发投入比例相比,还相距甚远。同时,从实证结果可以看出,不同的指标衡量下,最优的研发投入有所区别,分行业中,有的行业实际研发投入会超过最优研发投入,也就是说在开放条件下,我国产业存在着创新浪费的现象。更多还原

【Abstract】 This article studies relationship between knowledge production and the absorptive capacity of Chinese industries under the framework of endogenous growth theory, that is to say the mechanism and affects of different dimensions of absorptive capacity has been investigated under open conditions. And combining with the theoretical model, the author has analyzed the knowledge production function of 20 Chinese industries empirically, using panel data and threshold model. On these bases, a further research, from theoretically and empirically, has been carried out to discuss the optimal ratio of R&D with the conditions of open economy. Through the above analysis, this paper obtaines the following conclusions:The theoretical analysis and empirical study showes that:(1) human capital accumulation exertes positive impacts on economic growth and technological progress. (2) The linkage between knowledge gaps and technological progress and economic growth is murky, the discrepancy of human capital, technology matching degree and other factors may lead to a huge different one. (3) The policies, which are endogenous and determined by the human capital structure and other factors, would be effective only if the efficiency of innovation has beyond a certain threshold value. And also it can obtain, from the yield of empirical, that the optimal ratio of R&D investment of the sample industries are 2.704115%,1.465457%,5.552166% and 11.0202%, corresponding to the four kinds of absorptive capacity, and there is no threshold effect to absorptive capacity1 and absorptive capacity2, while, three thresholds to absorptive capacity3 and one to absorptive capacity4,0.1060%, 0.2422%,0.4306% and 0.0886% respectively. And the mean of actual R & D expenditures of 20 samples industrial, within 12 years from 1995 to 2006, was 0.7622976%, exceeding the threshold under open conditions, which means that all the industries already have surpassed the minimum of R & D investment levels after 30 years of opening and accumulation, but was far lower to the optimization. When it came to Sub-industries, corresponding to different indicators, the optimal R&D investment would be heterogenous, and the empirical results showed the coexistence of the long term shortage and waste of R & D investment in Chinese industries.更多还原