中国从世界制造中心向技术创新中心转变的路径研究

【作者】 陈一博；

【导师】 齐建国；

【作者基本信息】 中国社会科学院研究生院 ， 技术经济及管理， 2010， 博士

【摘要】 工业革命以来,世界制造中心和技术创新中心在全球范围内经历了多次变迁。英国、德国、美国、日本都曾经或仍然充当着这“两个中心”的角色。目前,中国已经成为名副其实的世界工厂。尽管有些学者认为世界工厂并不等同于世界制造中心,但我们认为狭义上的世界制造中心与世界工厂的内涵实际上是一致的。虽然目前中国已经成为了世界制造中心,但是中国的制造业是以劳动密集型产业和资本、技术密集型产业中的劳动密集型环节为主,处于全球制造业价值链的低端。发达国家控制着核心技术和品牌,处于价值链的高端。通过劳动力比较优势获取国际竞争力的中国制造业所获得的利润回报是非常微薄的。随着“刘易斯拐点”的日益临近,中国必须实现产业升级,从生产加工的价值链低端向掌握核心技术的价值链高端攀升,从世界制造中心向世界技术创新中心转变,向世界制造中心与世界技术创新中心融合的方向努力。本文通过对英、德、美、日四个世界制造中心与技术创新中心转换过程的分析,探索“两个中心”在世界范围内变迁的共同规律,剖析大多数新兴经济体未能成长为新一代世界技术创新中心的原因,提出了“技术引进——消化吸收再创新——自主开发”三阶段后发国家最优技术进步路径假说。认为后发国家实现技术进步的最优路径是从以技术引进为主的第一阶段,逐步过渡到以消化吸收再创新为主的第二阶段,再过渡到以自主开发为主的第三阶段。这三个阶段构成了后发国家技术进步的最优路径。通过运用DEA-Malmquist指数法对美国、英国、日本3个国家1890-1992年的数据和美国、英国、日本、韩国、中国、马来西亚、泰国、印度、巴西、墨西哥10个国家1975-2005年的数据进行实证检验,证明了本文提出的后发国家最优技术进步路径假说。经过实证检验,本文认为中国目前应当以消化吸收再创新为着力点,充分利用技术后发优势,加快提升本土企业的技术创新能力。在从世界制造中心向技术创新中心转变的过程中,中国应当加速完善国家技术创新系统,培育有利于技术创新的制度环境;追踪技术创新生态化转向的趋势,把握技术范式变革带来的机遇;融合国际研发力量,把握研发全球化带来的机遇,最终实现世界制造中心与技术创新中心在中国的融合。更多还原

【Abstract】 Since the Industrial Revolution, the world manufacturing centre and technological innovation centre have shifted their locations a number of times. The United Kingdom, Germany, the United States and Japan have all once played or are still are playing the“dual centre”role. Although some scholars argue that world factory is not an equivalent concept to world manufacturing centre, we believe that on a narrow definition the connotation of world manufacturing centre and that of world factory are consistent.China has nowadays become a manufacturing centre of the world. However Chinese production is still focused on the labor-intensive manufacturing industries or the labor-intensive segments of the technology-intensive industries, therefore possessing a low-end position in global production value chain. Chinese manufacturers, by utilizing their comparative advantages in labor caiptal, gain very slim profit margin among the fierce global competition. With the“Lewisian turning point”approaching, China is in urgent need of entering more value-added positions and upgrading from low-end of value chain that involves mainly producing and processing activities to the high-end which is dominated by crucial technologies. China needs to make conscious efforts to transform from a world manufacturing centre to a world technological innovation centre and finally merge the two centers into one and achieve a dual status.My dissertation herein conducted in-depth research on the whole processes of transforming from a manufacturing centre to a technological innovation centre experienced by the four countries including the UK, Germany, the U.S and Japan, in attempts to discover the common rules lying in such transformation in a world-wide scenario. After analyzing in detail the reasons and factors that prohibited many emerging economies from growing to become a new-generation technological innovation centre, I presented in my dissertation an optimal technology advancing path hypothesis that suits the late developing countries, which features such three phases as“Technology importing– Digesting and re-innovating– Self-developing”. The optimal path for late-developing countries to achieve technological advance is to import technology during the first phase, then gradually to transit into the second phase that is focused on digesting the imported technology and conducting re-innovating, and eventually to evolve into the third phase that is featured by self-development. By utilizing the DEA-Malmquist Index Measurement, I conducted a number of empirical tests on the data covering years from 1890 to 1992 for the U.S, the UK and Japan, and data of years from 1975 to 2005 for of the US, the UK, Japan, Korea, China, Malaysia, Thailand, India, Brazil and Mexico, the results of which evidenced my optimal technology advancing path hypothesis of the late developing countries.Through empirical tests, my dissertation herein concluded that“digesting and re-innovating”should give impetus to China for its technology advance at the current stage and China should make full use of the late-developing advantages of technology to expedite local enterprises’technological improvement and enhance their innovation ability. During the transformation from the world manufacturing centre to the technological innovation centre, China should speed up the process of optimizing the technological innovation mechanism and nurture a regulatory environment that favors technological innovation. China should also keep track of the ecologicalization trend of technological innovation and grasp the opportunities that have been brought along by the technology paradigm reform. Furthermore, China should leverage the foreign researching capabilities and take advantage of abundant opportunities in the current globalized environment so that it would eventually achieve a dual status and become the world manufacturing centre and technological innovation centre simultaneously.更多还原