发展中国家的市场结构和技术进步
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摘要
在现代市场经济环境下,市场结构、企业研发投入和技术进步之间的一般关系是:市场结构和企业研发投入是企业在一定经济、技术和制度环境下进行产品竞争和研发竞争的内生结果,而技术进步则是产品竞争和研发竞争过程的经济产出。对于发展中国家而言,其特殊性体现在发展中国家企业的研发活动是以技术引进和技术模仿为主要方式;其国内企业面临具有技术优势的跨国企业的严重威胁;市场机制,特别是金融体系并不完善。那么这些因素在上述企业研发活动、市场结构和技术进步的一般机制下对发展中国家市场结构和技术进步具有什么影响?在这种情况下,什么样的市场结构能够促进发展中国家的技术进步,进而推动经济的可持续增长?其中合适的政府政策和制度安排又是什么?
本文通过构建内生市场结构的增长模型,并考虑到发展中国家所具有的特征,试图对上述问题进行初步的探讨。文章的主要内容包括以下几点:
(1)分别引入拟固定成本和外生进入壁垒,在消费者多样性偏好下,构建了两个内生市场结构的模型。揭示了企业研发投入、市场结构和技术进步之间的一般关系,为针对发展中国家问题的分析提供模型化的研究平台。
(2)通过分析创新活动和模仿活动在知识外溢性上的不同表现,以及创新活动和模仿活动对研发项目规模和研发项目效率要求上的差异,刻画了发展中国家在不同技术差距水平下的研发活动的特征,解释了适合于发展中国家技术进步的市场结构因发展中国家所处于的技术差距水平不同而异的经验观察。并以日本和韩国为例对上述结论进行了佐证和进一步的探讨。
(3)分析了来自发达国家具有技术优势的跨国企业进入发展中国家市场对其企业研发行为和市场结构的作用,并讨论了金融限制对这一结果的影响,同时还利用模型的主要结论剖析了巴西经济开放过程中所出现的问题。
(4)以基于进入壁垒的内生市场结构模型中技术差距大于门槛值的部分为基础,将产业政策和竞争政策同时作为参数纳入到模型分析里,探讨了发展中国家产业政策和竞争政策的选择和协调问题。
论文分七章阐述了以上问题,第1章为绪论,第2章为对市场结构和技术进步建模工作的文献综述,第3章为两种内生市场结构的增长模型,第4章为封闭经济条件下的市场结构和发展中国家的技术进步,第5章为外资进入条件下的市场结构和发展中国家的技术进步,第6章为发展中国家产业政策和竞争政策的选择和协调,第7章为本文的主要结论、研究的不足和进一步研究的方向。
In modern market economy, the relations between market structure, the research input of enterprises and the improvement of technology can be interpreted as below: market structure and the research input are the endogenous results caused by the product and research competition of enterprises in certain economic, technological and institutional environment; the improvement of technology is the economical outcome of these competitions. As for developing countries, their particularity lies in these facts, first, import and imitation of technology constitute most researches of enterprise in those countries; second, enterprises in those countries are confronted with the challenge from international enterprises which have an edge in technology; third, the market mechanisms especially the financial system is not sound. The questions are, first, how these facts affect the market structure and the technology improvement? Second, which kind of market structure can help to give an impetus to the technology improvement and the sustainable economic development in developing countries? Third, what is the appropriate policy and institutions needed?
This paper constitutes a growth model with endogenous market structure concerning the characteristics of developing countries to discuss about questions mentioned above. The discussion includes these below:
(1) Taking quasi-fixed cost and exogenous barrier into account respectively, this paper constitutes two endogenous market structure models under the hypothesis of different consumer preference. These models uncover the relations between the research input, market structure and technology improvement, providing a analytical model for the research focusing on the developing countries.
(2) Concerning the different effects of creation and imitation in the overflow of knowledges, and the different choice decided by the scale or efficiency of the research programs, this paper maps a picture of characteristics of developing countries in different stages of technology, offers an explanation to the fact that the appropriate market structure varies because of different stages of technology. And the examples of Japan and Korea provide evidence and further discussions for such conclusions.
(3) Analyze the affect of international enterprises from developed countries, also the affect of financial limitation. Meanwhile. Give an analysis of the problems existing in Brazil's opening up using the conclusion of the model.
(4) Taking the industrial policies and competition policies into account as parameters, and basing on the tech. difference in the model, this paper discusses the selection and cooperation of industrial policies and competition policies in developing countries.
The paper is divided into seven parts, of which the first part is introduction, and the 2nd chapter gives a literature review of researches already existed. The 3rd chapter describes two kinds of models. The 4th chapter discusses the market structure in closed economy and the technology improvement in developing countries. The 5th chapter argues the market structure with the foreign investment and the technology improvement in developing countries. The 6th chapter discusses the selection and cooperation of industrial policies and competition policies in developing countries. The 7th chapter argues the major conclusions and some flaws of this research, as well as some possible directions of further research.
本文通过构建内生市场结构的增长模型,并考虑到发展中国家所具有的特征,试图对上述问题进行初步的探讨。文章的主要内容包括以下几点:
(1)分别引入拟固定成本和外生进入壁垒,在消费者多样性偏好下,构建了两个内生市场结构的模型。揭示了企业研发投入、市场结构和技术进步之间的一般关系,为针对发展中国家问题的分析提供模型化的研究平台。
(2)通过分析创新活动和模仿活动在知识外溢性上的不同表现,以及创新活动和模仿活动对研发项目规模和研发项目效率要求上的差异,刻画了发展中国家在不同技术差距水平下的研发活动的特征,解释了适合于发展中国家技术进步的市场结构因发展中国家所处于的技术差距水平不同而异的经验观察。并以日本和韩国为例对上述结论进行了佐证和进一步的探讨。
(3)分析了来自发达国家具有技术优势的跨国企业进入发展中国家市场对其企业研发行为和市场结构的作用,并讨论了金融限制对这一结果的影响,同时还利用模型的主要结论剖析了巴西经济开放过程中所出现的问题。
(4)以基于进入壁垒的内生市场结构模型中技术差距大于门槛值的部分为基础,将产业政策和竞争政策同时作为参数纳入到模型分析里,探讨了发展中国家产业政策和竞争政策的选择和协调问题。
论文分七章阐述了以上问题,第1章为绪论,第2章为对市场结构和技术进步建模工作的文献综述,第3章为两种内生市场结构的增长模型,第4章为封闭经济条件下的市场结构和发展中国家的技术进步,第5章为外资进入条件下的市场结构和发展中国家的技术进步,第6章为发展中国家产业政策和竞争政策的选择和协调,第7章为本文的主要结论、研究的不足和进一步研究的方向。
In modern market economy, the relations between market structure, the research input of enterprises and the improvement of technology can be interpreted as below: market structure and the research input are the endogenous results caused by the product and research competition of enterprises in certain economic, technological and institutional environment; the improvement of technology is the economical outcome of these competitions. As for developing countries, their particularity lies in these facts, first, import and imitation of technology constitute most researches of enterprise in those countries; second, enterprises in those countries are confronted with the challenge from international enterprises which have an edge in technology; third, the market mechanisms especially the financial system is not sound. The questions are, first, how these facts affect the market structure and the technology improvement? Second, which kind of market structure can help to give an impetus to the technology improvement and the sustainable economic development in developing countries? Third, what is the appropriate policy and institutions needed?
This paper constitutes a growth model with endogenous market structure concerning the characteristics of developing countries to discuss about questions mentioned above. The discussion includes these below:
(1) Taking quasi-fixed cost and exogenous barrier into account respectively, this paper constitutes two endogenous market structure models under the hypothesis of different consumer preference. These models uncover the relations between the research input, market structure and technology improvement, providing a analytical model for the research focusing on the developing countries.
(2) Concerning the different effects of creation and imitation in the overflow of knowledges, and the different choice decided by the scale or efficiency of the research programs, this paper maps a picture of characteristics of developing countries in different stages of technology, offers an explanation to the fact that the appropriate market structure varies because of different stages of technology. And the examples of Japan and Korea provide evidence and further discussions for such conclusions.
(3) Analyze the affect of international enterprises from developed countries, also the affect of financial limitation. Meanwhile. Give an analysis of the problems existing in Brazil's opening up using the conclusion of the model.
(4) Taking the industrial policies and competition policies into account as parameters, and basing on the tech. difference in the model, this paper discusses the selection and cooperation of industrial policies and competition policies in developing countries.
The paper is divided into seven parts, of which the first part is introduction, and the 2nd chapter gives a literature review of researches already existed. The 3rd chapter describes two kinds of models. The 4th chapter discusses the market structure in closed economy and the technology improvement in developing countries. The 5th chapter argues the market structure with the foreign investment and the technology improvement in developing countries. The 6th chapter discusses the selection and cooperation of industrial policies and competition policies in developing countries. The 7th chapter argues the major conclusions and some flaws of this research, as well as some possible directions of further research.
引文
1这两个假说是:垄断力量或市场集中度与研发投入成正相关;企业规模与研发投入成正相关。它们指出垄断有利于技术进步,可以给经济体带来动态的收益。
2约翰·伊特维尔,默里·米尔盖特,彼得·纽曼编.新帕尔格雷夫经济学大辞典[M].北京:经济科学出版社,1996.第一卷,804页。
3约翰·伊特维尔,默里·米尔盖特,彼得·纽曼编.新帕尔格雷夫经济学大辞典[M].北京:经济科学出版社,1996.第二卷,576页。
4例如,在《竞争政策—理论与实践》中,马西莫·莫塔把垄断程度或市场势力定义为“厂商把价格提高到竞争水平以上的能力”。
5约翰·伊特维尔,默里·米尔盖特,彼得·纽曼编.新帕尔格雷夫经济学大辞典[M].北京:经济科学出版社,1996.第一卷,577页。
6 Merriam-Webster英语大辞典,235页。
7马西莫·莫塔.竞争政策——理论与实践[M].沈国华译.上海:上海财经大学出版社,2006.第43页。
8 这也是产业组织理论中的判断不同市场结构垄断、竞争性质的主要标准。
9陈志鹏.中国轿车行业市场结构分析[J].华东经济管理,2006,第4期。
10威廉·鲍莫尔.资本主义的增长奇迹——自由市场创新机器[M].郭梅军,唐宇,彭敬,李青译.北京:中信出版社,2004.第137页。
11Cayseele,P.,1996,"Market Structure and Innovation:A Survey",De Economist,146,391-417.
12研发活动所构成的“内生进入壁垒”的实证证据是高技术密集型和高资本密集型行业中的企业数目要小于劳动密集型行业中的企业数目。
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4例如,在《竞争政策—理论与实践》中,马西莫·莫塔把垄断程度或市场势力定义为“厂商把价格提高到竞争水平以上的能力”。
5约翰·伊特维尔,默里·米尔盖特,彼得·纽曼编.新帕尔格雷夫经济学大辞典[M].北京:经济科学出版社,1996.第一卷,577页。
6 Merriam-Webster英语大辞典,235页。
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8 这也是产业组织理论中的判断不同市场结构垄断、竞争性质的主要标准。
9陈志鹏.中国轿车行业市场结构分析[J].华东经济管理,2006,第4期。
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11Cayseele,P.,1996,"Market Structure and Innovation:A Survey",De Economist,146,391-417.
12研发活动所构成的“内生进入壁垒”的实证证据是高技术密集型和高资本密集型行业中的企业数目要小于劳动密集型行业中的企业数目。
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