贸易和外商直接投资对创新影响实证研究

发布时间：2018-03-07 17:14

本文选题：技术创新　切入点：创新指数　出处：《对外经济贸易大学》2016年博士论文　论文类型：学位论文

【摘要】：2008年全球金融危机后,世界各国普遍陷入经济增长乏力的境地。为给世界经济注入新的活力,推动经济从衰退走向复苏,依据内生增长理论和经济周期理论,各国普遍重视创新对经济增长的促进作用,开始建立和完善本国的国家创新体系。国家创新体系的建立可以参考别国经验,但是究竟学习哪国的经验却需要慎重选择。此外,各国建设国家创新体系都必须先明确影响创新的主要因素是什么,这些因素都对创新产生哪些影响。只有把这些问题研究清楚了,才能做出合理的政策选择。当前对创新的学术研究以分析创新对其他变量的影响为主,如创新对增长的影响,以影响创新的因素为研究对象的研究相对较少。世界知识产权组织等机构联合发布的《全球创新指数》报告将大量子指标纳入创新投入范畴,且赋予其近乎相等的权重。若据此全面加大创新投入,以获得更高的创新产出,无疑会受到资源总量的约束,且导致资源配置效率严重降低。因此有必要进一步分析影响创新的主要因素,为促进创新的政策制定提供理论支持。但当前相关研究中,不同学者对影响创新的因素,如贸易和外商直接投资的影响情况持不同观点。此外,大多数实证研究使用单一国家微观数据,普遍的宏观研究较少。这些问题不解决,会导致各国在构建国家创新体系时缺乏明确的理论指导。这不但影响创新的发展,而且还可能影响国际经贸关系的走向。本文以创新和影响创新的因素为研究对象,首先使用世界知识产权组织等联合发布的2012至2014年度《全球创新指数》报告相关数据,通过面板数据聚类分析方法,将世界主要国家和经济体的创新指数和创新效率进行聚类分析,并总结了各聚类类别的特征。而同类文章则多采用截面数据进行分析,忽略了各国创新水平的动态变化。随后,本文使用2011至2014年,4年间来自84个国家和地区的宏观经济数据,以知识生产的“投入-产出”理念为理论基础,实证检验贸易和外商直接投资对创新的影响情况。本文是此类研究中较少地使用多国宏观经济数据的文章。同时,研究中区分了创新投入和创新产出,并考虑到数据收集的准确性和广泛性,采用产出端数据——专利——来代表创新,还对因各国对专利的定义不一致导致的偏差尽肯能地进行了校正。最后,通过对世界主要国家创新体系的介绍,总结了瑞士、美国、韩国和中国国家创新体系的特点,为各国建立和完善国家创新体系提供经验参考。本文主要得出了以下结论:一、本文第3章,对世界主要国家和经济体创新指数(GII)和创新效率(GIE)进行定性研究,分析当前世界各国创新的状况和特征。研究发现,创新指数与收入水平有较强的正相关关系,该结论与内生增长理论相契合。而相对于创新指数,创新效率与收入水平的关联性不强。本章还使用聚类分析方法对2012至2014年度世界主要国家和地区的创新指数和创新效率进行聚类分析。每次聚类分析都得到五个创新指数和创新效率逐渐增大的聚类类别,二者表现出明显的线性正相关关系。属于同一类别的国家具有创新上的内在共同特征;同一国家不同年度类别的变化反应了其创新能力的动态变化。据此,向同类别和相近类别中典型国家学习创新发展经验要比盲目照搬发达国家经验更有实践价值。二、本文第4章、5章和第6章基于知识生产的“投入-产出”理念,对2011年至2014年,4个年度84个国家宏观经济数据进行实证检验,考察贸易和外商直接投资对创新的影响情况。我们使用产出端变量——专利——作为创新的代理变量。考虑到各国知识产权制度对专利的定义存在差异,分别使用国内专利申请量、国内外专利申请量和总专利申请量三个变量代表技术创新。同时,我们使用进口额、总贸易额和高技术产品进口占比三个变量分别代表贸易,对回归模型进行稳健性检验。经检验,得出贸易和外商直接投资对创新有显著正向影响的结论。此外,考虑了可能存在的竞争的非线性影响后,贸易和外商直接投资对创新的影响不变,结论具有稳健性。因而,促进贸易开放和积极吸收外商直接投资都是有利于创新发展的政策选择。三、本文第7章在介绍国家创新体系相关理论的基础上,结合前两部分的研究结论,归纳总结了瑞士、美国、韩国和中国四国国家创新体系的特点,为各国建立和完善本国国家创新体系提供借鉴经验:瑞士将职业教育与高等教育紧密结合;美国以企业为主建立自主创新国家创新体系;韩国国家创新体系则以政府为主导,并由“拿来主义”的模仿创新向“科技强国”的自主创新转变;中国将国家创新体系建设与改革开放相融合,以万众创新迎接经济增长新常态。最后,根据以上研究结论,提出继续扩大贸易开放;提高对外商直接投资的吸引和利用能力;打破垄断束缚,促进市场有序竞争;深化金融体制改革,发展各种形式的风险投资和私人信贷;创建服务型政府共计五点政策建议。
[Abstract]:After the 2008 global financial crisis, all countries in the world in a weak economic growth situation. In order to inject new vitality into the world economy, promote economic recovery from the recession, according to endogenous growth theory and the theory of economic cycle, all countries attach importance to innovation to promote economic growth, to establish and improve the national innovation system and its establishment. The national innovation system can refer to the experience of other countries, but what to learn which country experience does need to be carefully chosen. In addition, the construction of national innovation system must first clear what is the impact of innovation factors, these factors have impact on innovation. Only to research the problem clearly, in order to make reasonable choices. The current academic research on innovation to analyze the impact of innovation on other variables, such as the impact of innovation on growth, with the impact of innovation factors. The research object is relatively small. The World Intellectual Property Organization jointly issued the "global innovation index report > will be a large number of sub index into the innovation category, and give the nearly equal weights. If this overall increase investment in innovation, in order to obtain a higher innovation output, will undoubtedly be affected by resource constraints, and lead to the efficiency of resource allocation is seriously reduced. So it is necessary to further analyze the main factors affecting innovation, to provide theoretical support to promote the development of innovation policy. But the related research, different scholars on the impact of innovation factors, such as the impact of trade and foreign direct investment of a different view. In addition, most empirical studies using a single national micro data generally, macro research less. These problems are not resolved, will lead to countries lack of clear theoretical guidance in the construction of national innovation system. But this is not. Sound development of innovation, but also may affect the trend of international economic and trade relations. Based on the innovation and the factors that influence innovation as the research object, the 2012 to 2014 annual global innovation index report < > data first released with the world intellectual property organization such as the use of panel data, through cluster analysis method, the major countries in the world and economy the index of innovation and the innovation efficiency of clustering analysis, and summarizes the characteristics of each cluster categories. And similar articles is the use of cross section data analysis, ignore the dynamic change of every level of innovation. Then, this paper uses the macroeconomic data from 2011 to 2014, 4 years from 84 countries and regions, with knowledge the production of "input-output" concept as the theoretical foundation, empirical test of trade and foreign direct investment impact on innovation. This paper is in such studies using less multinational macro Economic data in the article. At the same time, research the distinction between innovation input and output, and considering the accuracy of data collection and extensive, the output end of the data - patent - to represent the innovation of national patent on the definition of deviation due to inconsistencies due to possible correction to the energy. Finally, based on the the innovation system of major countries in the world, summarizes the characteristics of the United States, Switzerland, South Korea and Chinese of national innovation system, to provide a reference for the establishment and perfection of national innovation system. This paper draws the following conclusions: first, in the third chapter, the major countries of the world economy and innovation index (GII) and innovation efficiency (GIE) for qualitative research, analysis of the current status and characteristics of innovation all over the world. The study found that the innovation index has a strong positive correlation with income level, with the conclusion of the endogenous growth theory and fit. Compared with the index of innovation, relationship between innovation efficiency and income level is not strong. This chapter also use the clustering analysis method of clustering analysis for 2012 to 2014 major countries and regions in the world of innovation and innovation efficiency index. Each clustering clustering analysis are five innovation index and innovation efficiency increases gradually, the two show obvious linear positive correlation. Belong to the same class of other countries have inherent common features of innovation; changes in the same country in different categories of response annual dynamic changes in the innovation ability. Therefore, to experience more than blindly copying the developed countries value learning and innovation development experience of typical countries with the category and similar categories two, in the fourth chapter, the 5 chapter and the sixth chapter is based on the knowledge production of "input-output" concept, from 2011 to 2014, the 4 annual 84 national macroeconomic data. The empirical study, trade and foreign direct investment impact on innovation. We use the output variables of patent -- as a proxy for innovation. Considering the definition of national intellectual property system of patent differences, respectively, the number of domestic patent applications, domestic and foreign patent applications and patent applications total of three variables on behalf of Technology innovation. At the same time, we use the total trade volume of imports, imports and high technology products representing trade respectively than the three variables for the robustness test of the regression model. Through the test, the trade and foreign direct investment have a significant positive effect on innovative conclusions. Moreover, considering the nonlinear effects of competition may exist after the same trade and foreign direct investment impact on innovation, robust conclusions. Therefore, promoting open trade and actively absorb foreign direct investment is conducive to innovation Choose a new development policy. Three, in the seventh chapter, based on introducing the theory of national innovation system, combined with the conclusion of the first two parts, summarizes the characteristics of the United States, Switzerland, South Korea and Chinese four of the national innovation system, providing a reference for the establishment and improvement of the national innovation system: Swiss occupation education combined with higher education; the United States to establish enterprises independent innovation of national innovation system; national innovation system is the South Korean government led, and independent innovation is changing from "imitation" to "science and technology"; Chinese will be the construction of national innovation system and the reform and opening up integration, to meet the new normal economic growth innovation. Finally, according to the above research conclusion, put forward to expand trade openness; improve foreign direct investment attracting and using the ability to break the monopoly bondage, promote; Orderly competition in the market, deepening the reform of the financial system, developing various forms of venture capital and private credit, and creating a five point policy proposal for creating a service-oriented government.

【学位授予单位】：对外经济贸易大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：F742;F831.6

【参考文献】