产业集聚的技术溢出研究
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摘要
集聚是在全球化与区域化相互作用中参与竞争的主要力量。目前,在我国以政府为主导的产业集聚现象日益凸现,但是,作为产业集聚核心竞争优势的专业化分工、创新等并未得到充分体现,导致集群内部“集体创新缺乏”和集聚区内“技术锁定”等问题普遍存在。本研究运用实证分析与规范分析相结合的方法,对我国现阶段产业集聚的现象与事实进行了描述；运用动态博弈的方法,从市场结构和差异化的角度对集聚区内企业间技术溢出效应进行研究,分别求解企业在竞争或合作状态下的最优产出与技术溢出；以53个国家级技术开发区为样本,研究产业集聚的技术溢出在产业间和产业内的溢出弹性、溢出成本以及溢出收益方面存在的差异性规律,以及产业集聚的技术溢出对区域经济增长的贡献作用。本研究对于促进产业集聚、产业升级及其产业结构调整具有重要的现实意义。
本文的研究内容分为五个方面：一是产业集聚的技术溢出理论、测量及模型估计。从技术外部性和经济收敛两方面对产业集聚的技术溢出相关理论进行了总结,分析了成本函数法、技术流量法和生产函数法对企业间、产业间和区域间技术溢出的测量,比较了技术距离模型、空间计量模型和阈值回归模型。二是产业集聚的企业间技术溢出研究。企业间的技术溢出受市场结构和产品差异化定位两种因素的影响。在市场结构结构方面,由于竞争或垄断程度不同,企业会选择竞争、部分合作或完全合作等不同策略,这些策略的博弈均衡结果都会影响企业间的技术溢出。在差异化定位方面,运用Hotelling模型分析了同一集聚区内,企业对差异化程度的定位,不仅影响企业间的技术差距,同时也影响企业间的竞争与合作关系,最终影响企业间的技术溢出。三是产业集聚的产业间及产业内技术溢出研究。本研究把产业内技术溢出分为同类产品间的技术溢出和同一产品的代际间技术溢出；产业间的技术溢出在实证研究时重点检验了传统产业与高新技术产业之间的技术溢出效应,从技术差距角度研究我国产业集聚区内高新技术产业对传统产业的带动与辐射效应。对产业内和产业间技术溢出分别研究之后,再把产业间与产业内技术溢出纳入同一模型中进行实证研究。四是产业集聚的技术溢出与区域经济增长研究。分析我国获取“政策租”、技术创新效率不高等产业集聚现象,以国家级高新技术开发区为研究样本,验证产业集聚的技术溢出效应对经济增长的重要性,为产业政策的制定提供事实依据。五是产业集聚技术溢出的政策规制研究。从市场失灵、合作博弈和关联经济三方面分析产业集聚的规制政策目标,找到政府在产业集聚过程中可能发挥作用的领域和适合的政策工具。重点阐述补贴、进入限制和技术标准联盟三个政策工具,认为在政策设计的内容方面主要围绕经济性规制、社会性规制与激励性规制展开。
本研究的结论包括四个方面：一是同一集聚区内,市场结构和差异化(产品差异化和空间差异化)程度对企业技术溢出的影响程度不同。二是产业集聚的技术溢出在产业层面表现为产业内和产业间的技术溢出。产业内技术溢出分为产品内和产品间技术溢出,实证结果表明产品内的技术溢出并没有比产品间的技术溢出效应更强；运用两部门生产函数对产业间的技术溢效应进行估计,结果表明高技术产业对传统产业的技术溢出较强。三是产业集聚的技术溢出效应对区域经济增长的贡献应该在更长的时间范围内进行考察,在不同的产业发展阶段,产业集聚对区域经济增长的效应可能会发生变化。从产业集聚的现象和事实来看,产业集群成为了拉动区域经济增长的主要力量,但是,深入分析之后发现产业集聚效应也未得到充分释放,依靠外力驱动对集聚区以外的周边地区产业结构调整和升级的带动作用不大。四是区域产业集聚的创新动力和产业升级在政策设计上需要强调在产业集聚过程中保持公平竞争。
研究的创新之处主要体现在三个方面：一是从产品和空间差异化两方面研究产业集聚的技术溢出问题,对产品差异化研究发现,当水平溢出比较弱时,一个厂商在技术方面的投资只能溢出到采用与其技术水平最接近的厂商。如果厂商的定位可以随着时间的推移而发生改变,出于成本的考虑,在下一期这种极端差异会被加强,长期来看,在特征空间的成本曲线将呈现为倒“U”型,厂商保持定位在市场两端。二是把产业间技术溢出和产业内技术溢出纳入同一模型进行分析,实证结果表明：这两种类型的溢出效应降低了平均生产成本。相对于产业内技术溢出而言,产业间的技术溢出引起单位成本下降的幅度较大。三是把研究的归结点放在中国环境下政府政策对产业集聚的影响方面,从规制经济学的角度提出政府应该如何制定有效的产业政策,提出区域经济增长和产业结构升级还有赖于从产业政策向产业集聚政策的转变,根据产业集聚政策的目标选择政策工具和制定具体的规制政策,以最大化产业集聚的技术溢出效应。
Agglomeration is the major forces of the competition between globalization and regionalization. China's industrial agglomeration has become more apparent, and the government-led industry cluster as the main form, but the specialization, innovation as a core competitive advantage of industrial clustering has not been fully reflected, resulting in cluster "lacked of collective innovation". In this paper, used the empirical and normative methods to describe the stage of industrial agglomeration phenomena and facts; used the dynamic game approach to analysis the technology spillover inter-enterprises, and to solve the state the optimal output and technology spillovers of enterprises; used the 53 national technology development zones as the sample of industrial agglomeration area of industrial clustering to study the technology spillover effect on regional economic growth. The study of the paper has important practical significance for the promotion of industrial agglomeration, industrial upgrading and industrial restructuring.
This study is divided into five parts. First, it is to introduce the technology spillover theory, measurement and model estimates of industry agglomeration. From technical external and economic convergence aspects of technology spillover theories to summarize and analyze the cost function, technology flow method and the production function method, enterprises, and regional inter-industry technology spillovers between the measured and compared from the Technology model, spatial econometric models and threshold regression model. Second, from the perspective of market structure and the Differentiation at the micro level and using of the method of dynamic game to study the technology spillover effect among businesses in the region, respectively, in competition or cooperation to solve the state of enterprises under the optimal output and technology spillovers. Third, studies from the empirical perspective on inter-industry and intra-industries of technology spillovers at the meso level, and then put them under the same model to empirical test. In addition, the industrial agglomeration of technology spillover in the meso level is also reflected on the role of regional economic growth. Fourth, the regional industrial structure adjustment and industrial upgrading as the main objective of policy goals in regulation, the objective regulation policy, instrument choice and content of regulatory policy design are very important to policy regulation onindustrial technology spillover. Fifth, from market failure, the cooperative game and association of economic aspects to analysis the objectives of regulation policies. The Government may play a role in the field and choose the appropriate policy tools. It is the focuses on the subsidies, access restrictions and technical standard alliance and the main contexts are economic regulation, social regulation and incentive regulation started.
Basis on the analysis it can draw the following conclusions:First, in the same concentration region, market structure and differentiation on the firms impact of technology spillovers. Second, technology spillover at the industry level represents the inter-industry and intra-industries. Technology spillovers of intra-industries are divided into inter-product technology spillovers and intra-products, the empirical results show that technology spillovers of intra-product are no more than the inter-products; using the two-sector model to estimate the technological spillover of inter-industry, the result show that the high-tech industry technology spillover to traditional industries is strong. Third, industrial agglomeration of technology spillover effect on regional economic growth should be within a longer time to inspect, at different stages of industrial development, industrial agglomeration effects on regional economic growth may change. From the industrial agglomeration phenomena and facts, both the high-tech area and industry cluster had become the main driving force of regional economic growth at the surface. However, further analysis indicates that the industrial agglomeration effects had not been fully released, rely on external drives on the surrounding areas outside the concentrated area of industrial structure adjustment and upgrading of the driving were very limited. Fourth, regional industrial agglomeration power and industrial upgrading and innovation in policy design needs to be emphasized in the industrial agglomeration process to maintain fair competition.
The innovation of this paper mainly in three aspects:First, at the product and spatial differentiation aspects to study the problems of the technology spillover, the found on product differentiation is when the spillover is relatively weak; the investment in technology can only spill over to others that are closest with its technology. If the firms' location can be change over time, because of the cost, this extreme difference in the next time will be to strengthen, the cost curve in the feature space of will show an inverted "U" type, firms to maintain positioning in the market at both ends. Second, put technology spillovers of the inter-industry and intra-industry under the same model, the empirical results show that technology spillovers inter-industry caused a large decrease of unit costs. Third, the study attributed to the point that the Chinese government policy on the impact of industrial agglomeration, from the angle of regulation economics to proposed how the government should draw up effective industrial policy, and the economic growth of regional and upgrading of industrial structure also depends on the policies have change from industrial policy to the industry cluster polices, according to industry cluster policy select target policy instruments and construct the specific regulation policies to maximize the spillover effects of technology industry cluster.
本文的研究内容分为五个方面：一是产业集聚的技术溢出理论、测量及模型估计。从技术外部性和经济收敛两方面对产业集聚的技术溢出相关理论进行了总结,分析了成本函数法、技术流量法和生产函数法对企业间、产业间和区域间技术溢出的测量,比较了技术距离模型、空间计量模型和阈值回归模型。二是产业集聚的企业间技术溢出研究。企业间的技术溢出受市场结构和产品差异化定位两种因素的影响。在市场结构结构方面,由于竞争或垄断程度不同,企业会选择竞争、部分合作或完全合作等不同策略,这些策略的博弈均衡结果都会影响企业间的技术溢出。在差异化定位方面,运用Hotelling模型分析了同一集聚区内,企业对差异化程度的定位,不仅影响企业间的技术差距,同时也影响企业间的竞争与合作关系,最终影响企业间的技术溢出。三是产业集聚的产业间及产业内技术溢出研究。本研究把产业内技术溢出分为同类产品间的技术溢出和同一产品的代际间技术溢出；产业间的技术溢出在实证研究时重点检验了传统产业与高新技术产业之间的技术溢出效应,从技术差距角度研究我国产业集聚区内高新技术产业对传统产业的带动与辐射效应。对产业内和产业间技术溢出分别研究之后,再把产业间与产业内技术溢出纳入同一模型中进行实证研究。四是产业集聚的技术溢出与区域经济增长研究。分析我国获取“政策租”、技术创新效率不高等产业集聚现象,以国家级高新技术开发区为研究样本,验证产业集聚的技术溢出效应对经济增长的重要性,为产业政策的制定提供事实依据。五是产业集聚技术溢出的政策规制研究。从市场失灵、合作博弈和关联经济三方面分析产业集聚的规制政策目标,找到政府在产业集聚过程中可能发挥作用的领域和适合的政策工具。重点阐述补贴、进入限制和技术标准联盟三个政策工具,认为在政策设计的内容方面主要围绕经济性规制、社会性规制与激励性规制展开。
本研究的结论包括四个方面：一是同一集聚区内,市场结构和差异化(产品差异化和空间差异化)程度对企业技术溢出的影响程度不同。二是产业集聚的技术溢出在产业层面表现为产业内和产业间的技术溢出。产业内技术溢出分为产品内和产品间技术溢出,实证结果表明产品内的技术溢出并没有比产品间的技术溢出效应更强；运用两部门生产函数对产业间的技术溢效应进行估计,结果表明高技术产业对传统产业的技术溢出较强。三是产业集聚的技术溢出效应对区域经济增长的贡献应该在更长的时间范围内进行考察,在不同的产业发展阶段,产业集聚对区域经济增长的效应可能会发生变化。从产业集聚的现象和事实来看,产业集群成为了拉动区域经济增长的主要力量,但是,深入分析之后发现产业集聚效应也未得到充分释放,依靠外力驱动对集聚区以外的周边地区产业结构调整和升级的带动作用不大。四是区域产业集聚的创新动力和产业升级在政策设计上需要强调在产业集聚过程中保持公平竞争。
研究的创新之处主要体现在三个方面：一是从产品和空间差异化两方面研究产业集聚的技术溢出问题,对产品差异化研究发现,当水平溢出比较弱时,一个厂商在技术方面的投资只能溢出到采用与其技术水平最接近的厂商。如果厂商的定位可以随着时间的推移而发生改变,出于成本的考虑,在下一期这种极端差异会被加强,长期来看,在特征空间的成本曲线将呈现为倒“U”型,厂商保持定位在市场两端。二是把产业间技术溢出和产业内技术溢出纳入同一模型进行分析,实证结果表明：这两种类型的溢出效应降低了平均生产成本。相对于产业内技术溢出而言,产业间的技术溢出引起单位成本下降的幅度较大。三是把研究的归结点放在中国环境下政府政策对产业集聚的影响方面,从规制经济学的角度提出政府应该如何制定有效的产业政策,提出区域经济增长和产业结构升级还有赖于从产业政策向产业集聚政策的转变,根据产业集聚政策的目标选择政策工具和制定具体的规制政策,以最大化产业集聚的技术溢出效应。
Agglomeration is the major forces of the competition between globalization and regionalization. China's industrial agglomeration has become more apparent, and the government-led industry cluster as the main form, but the specialization, innovation as a core competitive advantage of industrial clustering has not been fully reflected, resulting in cluster "lacked of collective innovation". In this paper, used the empirical and normative methods to describe the stage of industrial agglomeration phenomena and facts; used the dynamic game approach to analysis the technology spillover inter-enterprises, and to solve the state the optimal output and technology spillovers of enterprises; used the 53 national technology development zones as the sample of industrial agglomeration area of industrial clustering to study the technology spillover effect on regional economic growth. The study of the paper has important practical significance for the promotion of industrial agglomeration, industrial upgrading and industrial restructuring.
This study is divided into five parts. First, it is to introduce the technology spillover theory, measurement and model estimates of industry agglomeration. From technical external and economic convergence aspects of technology spillover theories to summarize and analyze the cost function, technology flow method and the production function method, enterprises, and regional inter-industry technology spillovers between the measured and compared from the Technology model, spatial econometric models and threshold regression model. Second, from the perspective of market structure and the Differentiation at the micro level and using of the method of dynamic game to study the technology spillover effect among businesses in the region, respectively, in competition or cooperation to solve the state of enterprises under the optimal output and technology spillovers. Third, studies from the empirical perspective on inter-industry and intra-industries of technology spillovers at the meso level, and then put them under the same model to empirical test. In addition, the industrial agglomeration of technology spillover in the meso level is also reflected on the role of regional economic growth. Fourth, the regional industrial structure adjustment and industrial upgrading as the main objective of policy goals in regulation, the objective regulation policy, instrument choice and content of regulatory policy design are very important to policy regulation onindustrial technology spillover. Fifth, from market failure, the cooperative game and association of economic aspects to analysis the objectives of regulation policies. The Government may play a role in the field and choose the appropriate policy tools. It is the focuses on the subsidies, access restrictions and technical standard alliance and the main contexts are economic regulation, social regulation and incentive regulation started.
Basis on the analysis it can draw the following conclusions:First, in the same concentration region, market structure and differentiation on the firms impact of technology spillovers. Second, technology spillover at the industry level represents the inter-industry and intra-industries. Technology spillovers of intra-industries are divided into inter-product technology spillovers and intra-products, the empirical results show that technology spillovers of intra-product are no more than the inter-products; using the two-sector model to estimate the technological spillover of inter-industry, the result show that the high-tech industry technology spillover to traditional industries is strong. Third, industrial agglomeration of technology spillover effect on regional economic growth should be within a longer time to inspect, at different stages of industrial development, industrial agglomeration effects on regional economic growth may change. From the industrial agglomeration phenomena and facts, both the high-tech area and industry cluster had become the main driving force of regional economic growth at the surface. However, further analysis indicates that the industrial agglomeration effects had not been fully released, rely on external drives on the surrounding areas outside the concentrated area of industrial structure adjustment and upgrading of the driving were very limited. Fourth, regional industrial agglomeration power and industrial upgrading and innovation in policy design needs to be emphasized in the industrial agglomeration process to maintain fair competition.
The innovation of this paper mainly in three aspects:First, at the product and spatial differentiation aspects to study the problems of the technology spillover, the found on product differentiation is when the spillover is relatively weak; the investment in technology can only spill over to others that are closest with its technology. If the firms' location can be change over time, because of the cost, this extreme difference in the next time will be to strengthen, the cost curve in the feature space of will show an inverted "U" type, firms to maintain positioning in the market at both ends. Second, put technology spillovers of the inter-industry and intra-industry under the same model, the empirical results show that technology spillovers inter-industry caused a large decrease of unit costs. Third, the study attributed to the point that the Chinese government policy on the impact of industrial agglomeration, from the angle of regulation economics to proposed how the government should draw up effective industrial policy, and the economic growth of regional and upgrading of industrial structure also depends on the policies have change from industrial policy to the industry cluster polices, according to industry cluster policy select target policy instruments and construct the specific regulation policies to maximize the spillover effects of technology industry cluster.
引文
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