發(fā)布時(shí)間：2018-07-10 05:06

  本文選題：技術(shù)趕超 + 全要素生產(chǎn)率　； 參考：《云南大學(xué)》2016年博士論文

【摘要】：技術(shù)進(jìn)步對(duì)于經(jīng)濟(jì)增長(zhǎng)起著重要的影響作用。在經(jīng)典的新古典、新增長(zhǎng)、熊比特及新熊比特經(jīng)濟(jì)學(xué)理論中都強(qiáng)調(diào)了技術(shù)進(jìn)步在經(jīng)濟(jì)增長(zhǎng)的中的重要作用。新古典認(rèn)為技術(shù)進(jìn)步速度決定了穩(wěn)態(tài)時(shí)經(jīng)濟(jì)增長(zhǎng)的速度；新增長(zhǎng)理論認(rèn)為技術(shù)進(jìn)步是經(jīng)濟(jì)長(zhǎng)期增長(zhǎng)的主要原因,技術(shù)進(jìn)步能克服其它要素邊際報(bào)酬遞減,實(shí)現(xiàn)經(jīng)濟(jì)增長(zhǎng)；熊比特及新熊比特認(rèn)為創(chuàng)新作用于技術(shù)進(jìn)步從而影響經(jīng)濟(jì)增長(zhǎng)。從世界經(jīng)濟(jì)的發(fā)展事實(shí)來(lái)看,技術(shù)水平位于世界技術(shù)前沿及其附近的國(guó)家都有著較為穩(wěn)定的經(jīng)濟(jì)增長(zhǎng)速度和高的收入水平。欠發(fā)達(dá)國(guó)家與發(fā)達(dá)國(guó)家在技術(shù)水平上存在著較大的差距,欠發(fā)達(dá)國(guó)家要實(shí)現(xiàn)經(jīng)濟(jì)上對(duì)發(fā)達(dá)國(guó)家的趕超就必然要縮小與發(fā)達(dá)國(guó)家在技術(shù)上的差距。欠發(fā)達(dá)國(guó)家技術(shù)趕超是經(jīng)濟(jì)趕超的必要條件。本文重點(diǎn)研究的問(wèn)題是欠發(fā)達(dá)國(guó)家技術(shù)趕超的問(wèn)題。技術(shù)趕超的實(shí)現(xiàn)并不是一蹴而就的,學(xué)者們?cè)谘芯考夹g(shù)進(jìn)步問(wèn)題時(shí)將技術(shù)趕超的過(guò)程分為幾個(gè)階段。這些階段性理論認(rèn)為：模仿與創(chuàng)新是欠發(fā)達(dá)國(guó)家技術(shù)趕超的路徑會(huì)經(jīng)歷的兩個(gè)主要階段。在技術(shù)趕超的初始階段,與世界技術(shù)前沿的差距較大,此時(shí)模仿是推動(dòng)技術(shù)進(jìn)步的主要方式；在技術(shù)趕超的中后期階段,與世界技術(shù)前沿的差距較小,此進(jìn)創(chuàng)新對(duì)技術(shù)進(jìn)步的作用大于模仿。第1章緒論的部分我們闡述了本文所做研究的現(xiàn)實(shí)方面與理論方面意義。從現(xiàn)實(shí)意義上講,技術(shù)趕超過(guò)程中模仿向創(chuàng)新轉(zhuǎn)型是欠發(fā)達(dá)國(guó)家技術(shù)趕超的內(nèi)在要求,因此,我們的研究能為我國(guó)現(xiàn)階段的國(guó)家創(chuàng)新戰(zhàn)略提供支持。從理論意義上講,研究技術(shù)趕超過(guò)程中模仿向創(chuàng)新轉(zhuǎn)型的問(wèn)題可以豐富和充實(shí)技術(shù)趕超理論,為欠發(fā)達(dá)國(guó)家的技術(shù)趕超提供理論上的支持和方法上的建議。在緒論的最后一節(jié)我們對(duì)本文的研究方法和研究思路做出描述,論證了本項(xiàng)研究的可行性并提出了本項(xiàng)研究可能實(shí)現(xiàn)的創(chuàng)新之處以及具體的技術(shù)研究路線。第2章的內(nèi)容主要是回顧與梳理了欠發(fā)達(dá)國(guó)家技術(shù)趕超的相關(guān)理論和文獻(xiàn)成果。首先分析關(guān)于技術(shù)趕超可行性的理論,其次分析技術(shù)趕超的階段性理論,最后分析了技術(shù)趕超過(guò)程中模仿主導(dǎo)向創(chuàng)新主導(dǎo)轉(zhuǎn)型的相關(guān)理論。通過(guò)文獻(xiàn)回顧和梳理筆者認(rèn)為技術(shù)模仿與創(chuàng)新在趕超的不同階段對(duì)技術(shù)進(jìn)步的推動(dòng)作用并不相同。技術(shù)趕超的路徑并不是連續(xù)的,存在著階段性特點(diǎn)。階段間的過(guò)渡無(wú)法簡(jiǎn)單完成,特別是由模仿向創(chuàng)新的過(guò)渡存在較多困難。很多欠發(fā)達(dá)國(guó)家沒(méi)有完成對(duì)世界技術(shù)前沿的趕超,最重要的原因就是沒(méi)有完成由模仿向創(chuàng)新的技術(shù)轉(zhuǎn)型。第3章通過(guò)拓展羅默的三部門增長(zhǎng)模型對(duì)欠發(fā)達(dá)國(guó)家的技術(shù)趕超進(jìn)行了理論分析。分析結(jié)果表明：欠發(fā)達(dá)國(guó)家在技術(shù)趕超的路徑上存在模仿均衡點(diǎn)與創(chuàng)新均衡點(diǎn)。發(fā)達(dá)國(guó)家的技術(shù)水平會(huì)收斂于創(chuàng)新均衡點(diǎn),在該均衡點(diǎn)處對(duì)應(yīng)著較高的中間品價(jià)值與較高的技術(shù)水平；欠發(fā)達(dá)國(guó)家的技術(shù)水平會(huì)收斂于模仿均衡點(diǎn),在該點(diǎn)處對(duì)應(yīng)著較低的中間品價(jià)值與較低的技術(shù)水平。欠發(fā)達(dá)國(guó)家在技術(shù)趕超的路徑上,只有成功越過(guò)模仿均衡點(diǎn)才能達(dá)到創(chuàng)新均衡點(diǎn),從而實(shí)現(xiàn)趕超。欠發(fā)達(dá)國(guó)家只有從模仿均衡點(diǎn)躍升到創(chuàng)新均衡點(diǎn)才能實(shí)現(xiàn)技術(shù)趕超,這種躍升的過(guò)程就是由模仿向創(chuàng)新轉(zhuǎn)型的過(guò)程。在技術(shù)趕超的不同階段里,實(shí)現(xiàn)技術(shù)進(jìn)步所需要的要素稟賦不相同。相同要素在技術(shù)趕超的不同階段里對(duì)技術(shù)進(jìn)步的影響作用也存在著差異；要素自身的豐富程度和發(fā)展水平如果發(fā)生變化,它對(duì)技術(shù)進(jìn)步的作用也會(huì)相應(yīng)發(fā)生變化。綜合上述原因,我們認(rèn)為技術(shù)趕超中模仿向創(chuàng)新轉(zhuǎn)型這一過(guò)程的實(shí)現(xiàn)是困難的。本章還建立了一個(gè)廠商的微觀決策模型。運(yùn)用該模型來(lái)分析企業(yè)對(duì)于模仿和創(chuàng)新的選擇機(jī)制,以此來(lái)論證由模仿向創(chuàng)新轉(zhuǎn)型的微觀理論機(jī)制。第4章采用跨國(guó)數(shù)據(jù)檢驗(yàn)了國(guó)家間技術(shù)的收斂情況。檢驗(yàn)時(shí)樣本國(guó)家被分為欠發(fā)達(dá)國(guó)家與OECD國(guó)家兩組。第一步對(duì)技術(shù)水平的絕對(duì)收斂進(jìn)行檢驗(yàn)。結(jié)果表明,OECD國(guó)家的技術(shù)水平絕對(duì)收斂,欠發(fā)達(dá)國(guó)家與總體樣本國(guó)家均不絕對(duì)收斂。我們?cè)賹?duì)國(guó)家間技術(shù)水平進(jìn)行條件收斂檢驗(yàn),按照條件收斂的檢驗(yàn)方法,將那些對(duì)技術(shù)進(jìn)步產(chǎn)生影響的要素引入條件收斂模型進(jìn)行檢驗(yàn),檢驗(yàn)結(jié)果顯示：總體樣本國(guó)家存在條件收斂。能夠影響技術(shù)收斂的要素,必然會(huì)對(duì)技術(shù)趕超產(chǎn)生影響,也必然會(huì)對(duì)技術(shù)趕超過(guò)程中由模仿向創(chuàng)新的轉(zhuǎn)型產(chǎn)生影響。所以,我們?cè)谶@一章對(duì)這些要素展開(kāi)了較為詳細(xì)的分析,以便了解這些要素對(duì)技術(shù)進(jìn)步的影響,以及在模仿主導(dǎo)和創(chuàng)新主導(dǎo)這兩種類型的國(guó)家中這種影響表現(xiàn)出怎樣的差異。第5章通過(guò)建立動(dòng)態(tài)面板模型,實(shí)證分析了在第4章中影響收斂的因素對(duì)于技術(shù)趕超國(guó)家和技術(shù)發(fā)達(dá)國(guó)家的技術(shù)進(jìn)步所產(chǎn)生的作用。實(shí)證分析過(guò)程中我們對(duì)樣本國(guó)家進(jìn)行分組估計(jì)研究,分析比較了這些影響因素在OECD國(guó)家和欠發(fā)達(dá)國(guó)家對(duì)技術(shù)進(jìn)步所發(fā)揮的作用有何差異。這些差異說(shuō)明了以模仿為主導(dǎo)的欠發(fā)達(dá)國(guó)家和以創(chuàng)新為主導(dǎo)的OECD國(guó)家在推動(dòng)技術(shù)進(jìn)步時(shí)對(duì)要素的需求存在差異。為了進(jìn)一步分析這種差異性,本章通過(guò)面板門檻回歸對(duì)要素影響技術(shù)水平的結(jié)構(gòu)性特點(diǎn)進(jìn)行了研究。研究結(jié)果顯示：這些轉(zhuǎn)型要素對(duì)技術(shù)進(jìn)步產(chǎn)生影響時(shí)存在著相應(yīng)的門檻效應(yīng)。如果它們自身的發(fā)展程度和豐富程度產(chǎn)生變化,那么,它們對(duì)技術(shù)水平的影響將會(huì)出現(xiàn)顯著的差異性。第6章主要對(duì)欠發(fā)達(dá)國(guó)家模仿向創(chuàng)新轉(zhuǎn)型是否成功對(duì)欠發(fā)達(dá)國(guó)家技術(shù)趕超產(chǎn)生的影響。通過(guò)對(duì)比實(shí)現(xiàn)技術(shù)趕超的國(guó)家和沒(méi)有實(shí)現(xiàn)技術(shù)趕超的國(guó)家。我們發(fā)現(xiàn),成功實(shí)現(xiàn)技術(shù)趕超的國(guó)家也成功實(shí)現(xiàn)了由模仿向創(chuàng)新的轉(zhuǎn)型,并且以創(chuàng)新為技術(shù)進(jìn)步的主要推動(dòng)形式。長(zhǎng)期中沒(méi)有完成技術(shù)進(jìn)步的方式轉(zhuǎn)型的國(guó)家,在技術(shù)趕超上是失敗的。在對(duì)技術(shù)趕超成功的國(guó)家與技術(shù)趕超失敗的國(guó)家進(jìn)行對(duì)比研究之后,我們接著對(duì)技術(shù)轉(zhuǎn)型失敗與中等收入陷阱問(wèn)題進(jìn)行了論述。第7章對(duì)我們的研究成果進(jìn)行了總結(jié),同時(shí)也反思了我們的研究存在的不足,反思之后對(duì)下一步的研究做出了展望。本文的研究是從理論與實(shí)證兩方面結(jié)合進(jìn)行的,在理論分析時(shí)我們提出兩個(gè)命題,然后通過(guò)實(shí)證研究得到了證實(shí)。
[Abstract]:Technological progress plays an important role in economic growth. In classic neoclassical, new growth, bear bit and new bear bit economics, the important role of technological progress in economic growth is emphasized. New classical thought that the speed of technological progress determines the speed of economic growth in the steady state; the new growth theory believes that technology advances. Step is the main reason for long-term economic growth. Technological progress can overcome the diminishing marginal returns of other elements and achieve economic growth. Bear bits and new bear bits believe that innovation plays a role in technological progress and thus affects economic growth. From the fact of the development of the world economy, the level of technology is located in the frontier of the world technology and in the neighboring countries. The relatively stable economic growth rate and the high income level. There is a big gap between the developed countries and the underdeveloped countries. In order to realize the overtake of the developed countries, the underdeveloped countries will inevitably narrow the technical gap with the developed countries. The technology catching up of the less developed countries is the necessary condition for the economic surpassing. This paper focuses on the problem of technological surpassing in less developed countries. The realization of technology catching up is not achieved overnight. Scholars divide the process of technology catching up into several stages in the study of technological progress. These stage theory holds that imitation and innovation are the two of the paths that the underdeveloped countries will go through. The main stage. In the initial stage of technological surpassing, the gap between the technology advancement and the world technology frontier is larger. At this time, imitation is the main way to promote the technological progress. In the middle and late stages of the technology catching up, the gap between the technology advancement and the world technology frontier is smaller. The role of this innovation is greater than the imitation. The part of the first chapter of the introduction described this article. In practical sense, in a realistic sense, the transformation of imitation to innovation in the process of technological catching up is the inherent requirement of the technology catching up in the less developed countries. Therefore, our research can provide support for the national innovation strategy at the present stage of our country. The problem of transformation can enrich and enrich the theory of technological catch up and provide theoretical support and method suggestions for the technology catching up in less developed countries. In the last section of the introduction, we describe the research methods and research ideas of this article, demonstrate the feasibility of this study and put forward the possible innovation of this study. The second chapter mainly reviews and combs the related theories and literature achievements of the technology catching up in the less developed countries. Firstly, it analyzes the theory about the feasibility of technology catching up, secondly analyzes the stage theory of technology catching up, and finally analyzes the leading transformation of imitation leading to innovation in the process of technological catching up. By reviewing and combing the literature, I think that technology imitating and innovation are not the same in the different stages of technological progress. The path of technology catching up is not continuous, and there is a stage characteristic. The transition between stages can not be completed simply, especially the transition from imitation to innovation is more difficult. The most important reason is that many underdeveloped countries have not completed the technological transformation from imitation to innovation. The third chapter analyses the technology surpassing of the less developed countries by expanding Romer's three sector growth model. The results show that the less developed countries are in the way of technological surpassing. There are imitative equilibrium points and innovation equilibrium points. The technological level of developed countries converges to the innovation equilibrium point, which corresponds to higher intermediate value and higher technical level at the equilibrium point; the technical level of the less developed countries converges to the imitative equilibrium point, and the lower intermediate value and lower technology should be at the point. Level. In the path of technology catching up, the less developed countries can reach the innovation equilibrium only by successfully crossing the equilibrium point of imitation, so that the less developed countries can catch up with the technology only from the imitative equilibrium point to the innovation equilibrium point, which is the process of transformation from imitation to innovation. In different stages, the factor endowments needed to achieve technological progress are different. The effects of the same elements on the technological progress are also different in the different stages of the technology catching up. If the richness and development level of the elements themselves change, it will change accordingly. We believe that it is difficult to realize the process of transformation from imitation to innovation. This chapter also establishes a manufacturer's micro decision model. The model is used to analyze the mechanism of enterprise's choice of imitation and innovation, in order to demonstrate the micro theoretical mechanism from imitation to innovation. The fourth chapter uses transnational data to test the country. The sample countries are divided into two groups in the less developed countries and the OECD countries. The first step is to test the absolute convergence of the technical level. The results show that the technical level of the OECD countries is absolutely convergent, and the less developed countries and the overall sample countries are not absolutely convergent. According to the test method of conditional convergence, the factors that affect the technological progress are introduced into the conditional convergence model, and the test results show that the overall sample country has a conditional convergence. The factors that can affect the technological convergence will inevitably have an impact on the technological catch up, and are bound to be imitated in the process of catching up with the technology. So we have a more detailed analysis of these elements in this chapter so as to understand the impact of these elements on technological progress, and how the difference in the impact of the two types of countries that are dominant and innovative. The fifth chapter is based on the establishment of a dynamic panel model. In the fourth chapter, we analyze the effect of the factors that affect the convergence of the technology in the technology surpassing countries and the technology progress of the developed countries. In the process of empirical analysis, we study the sample countries in group estimation, and compare the differences between these factors and the role of the OECD countries and the less developed countries on the technical progress. In order to further analyze this difference, this chapter studies the structural characteristics of the factors affecting the technical level by the panel threshold regression in order to further analyze this difference. The transformation factors have a corresponding threshold effect on the technological progress. If their own degree of development and enrichment changes, then they will have significant differences in the impact on the technical level. The sixth chapter is mainly about the success of the imitative transformation of the underdeveloped countries to the underdeveloped countries. We find that countries with successful technology catching up have also succeeded in realizing the transformation from imitation to innovation and the main driving force of technological progress. After a comparative study of the countries that have succeeded in catching up with the successful countries and countries that fail to catch up with technology, we then discuss the failure of technology transformation and the middle income trap. The seventh chapter summarizes the results of our research, and also rethinks the shortcomings of our research, and after rethinking. The research of the next step is prospected. The research of this paper is carried out from two aspects of theory and demonstration. In theoretical analysis, we put forward two propositions and then confirmed through empirical research.
【學(xué)位授予單位】：云南大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2016
【分類號(hào)】：F113.2
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本文編號(hào)：2112165