国际R&D溢出、前沿技术和吸收能力——基于中国13个工业行业面板数据的研究

International R&D Spillover,Frontier Technology and Absorptive Capacity:Panel Data Analysis of 13 Industrial Sectors in China

大量研究表明,国际贸易和国际R&D溢出对发展中国家的国内生产率提升有着重要作用。基于随机前沿生产函数,测算中国13个工业行业在由国际上技术领先国家的R&D资本决定的前沿生产边界下的技术效率水平(实际生产与生产边界的距离)后发现,通过国际贸易这一渠道,技术领先国家的R&D资本对中国确实产生了技术溢出;相对于高技术行业,中国传统制造业反而越接近前沿技术边界;人力资本、国内R&D投入、FDI对吸收国际R&D溢出和先进技术转移都有着显著的促进作用,从而验证了人力资本和国内R&D投入在经济增长中的两面性。由此可得到如下启示,一是要提高R&D资本和人力资本的回报率以鼓励企业进行研发和社会对教育的投入;二是在技术赶超的路途上,应该循序渐进以引进和利用符合目前中国技术现状的适宜技术为主。

Studies show that international trade and international R＆D spillovers have important roles in developing countries enhancing domestic productivity. This paper uses SEA model to calcu late 13 industrial sectors technology efficiency under production frontier determined by the R＆D investments from the leading countries. The results indicate that through international trade, R＆D from leading countries has a spillover to China. Low technology sectors, as Chinese traditional com- parative advantage industries, are the most closed to production frontier. Human capital, domestic R^D investments and FDI have significant positive effect on absorbing international R＆D spillover and technology transfer, which uncover the two roles of human capital and domestic R^D invest- ments during the growth of economy. The revelation is that it is necessary to increase return of R＆D and human capital to encourage enterprises to develop R＆D and social investment in educa- tion; Secondly, in order to technological catch--up, China should step by step give priority to in- troduce and utilize appropriate technology consistent with the present status.