要素禀赋、技术能力与后发技术赶超
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摘要
技术赶超是后发国家或地区经济发展和技术追赶的关键,那么技术赶超是否具有现实性,即后发国家或地区能否通过实施技术赶超战略,缩短同发达国家的经济和技术差距甚至超越呢?关于这一问题的回答学者们解释各异,并且实践结果也千差万别。也就是说,后发国家技术赶超的根本原因是什么,其内在作用机理是什么,怎么样才能实现后发技术赶超,对这些问题的深入研究成为发展经济学的一个核心内容。
纵观已有理论可以看出,技术创新是缩小技术差距,实现技术赶超的关键。但是发达国家的技术是适合本国要素禀赋和技术能力的,其开发的技术可能对于发展中国家并不适合,因为发展中国家普遍缺乏像发达国家那样适应技术所必须的组织、技术基础、人力资本等要素禀赋和技术能力。基于此,本文研究认为,技术能力是后发技术赶超的关键,但是技术能力又是由一个经济体的要素禀赋决定的。传统的要素禀赋理论是要素的数量对比论,忽视了要素的质量维度,因此本文拓展了要素禀赋理论,将要素看作是由数量维度和质量维度共同决定的复合体,研究要素禀赋作用于技术能力的内在机理,分析要素禀赋和技术能力共同决定后发技术赶超的过程、方式等,为后发国家技术赶超提供理论和方法的支持。
与发达国家(地区)的技术差距对后发国家(地区)来讲既是挑战,也是机遇,尤其是后发优势的存在使后发国家或地区可以通过技术创新缩小技术差距,实现技术赶超。技术赶超尽管面临着“比较利益陷阱”和后发优势向后发劣势转换的困境,但仍然可以通过后发国家和地区要素禀赋的培育和技术能力的提升,使要素禀赋、技术能力和技术赶超方式之间实现螺旋上升,进而实现技术赶超。要素禀赋是技术能力的核心,是后发技术赶超的基础。借用Robert J.Barro and Xavier Sala-I-Martin以及G.M Grossman and E.Helpman的技术创新框架,利用中间产品这个载体,分别从要素数量和要素质量两个维度对技术赶超的作用机理进行阐述,深入研究要素禀赋对技术赶超的实现途径。分析结果进一步强化了本文的第一个重要结论:要素禀赋决定了技术能力,两者共同决定了技术赶超的能力和程度。
要素禀赋是技术赶超的基础,技术能力是技术赶超的关键。为了详细地阐述了技术能力的本质、内涵与来源,分析技术能力对技术赶超三种方式的对应关系,文章分析了技术能力的动态演变性决定了技术赶超方式的动态演变性。并通过A-J模型探讨技术能力与技术赶超方式之间的演变对应性,得出本文的第二个重数上升到一定的程度之后可以采取合作创新的技术赶超方式;只有技术能力上升的较高的程度时,才有可能实施自主创新的赶超方式。
要素禀赋与技术能力对技术赶超的作用机理是统一的,两者是结合起来共同作用于后发技术赶超的。通过分析要素禀赋促进技术能力提升与实现技术赶超的传导机制,来进一步揭示要素禀赋、技术能力与后发技术赶超的作用机理。为了验证这个理论的科学性,并检验要素禀赋、技术能力在中国省域技术赶超中的效果,文章对要素禀赋进行筛选,提炼出技术能力测算的指标体系,对中国区域技术能力进行了科学合理的测算,并科学地测定技术能力对技术赶超的门槛效应,得出了本文的第三个重要结论:在中国区域技术赶超过程存在着技术能力门槛效应,其中西藏、云南、贵州、海南、青海、甘肃和宁夏七个省份还没有跨越技术能力门槛,这些区域应该采取模仿创新进行技术赶超,其他省份已经跨越了技术能力门槛,应该采取高层次的技术赶超模式,比如合作创新或自主创新。
世界经济发展的过程实际上就是后发国家和地区通过要素禀赋和技术能力不断实现技术赶超的过程。为了科学地考察要素禀赋、技术能力与技术赶超国际经验,提出中国技术赶超的策略。文章对日本和韩国的技术赶超进行梳理,从经济史学的角度证明了本文的三个重要结论和命题。然后结合中国的实际情况,提出要素禀赋培育和技术能力提升的具体策略,为中国实现技术赶超提供可行的、具有可操作性的建议和策略。
The technical catching up is the key for the developing countries or regions to catch up the developed countries or regions. Is it feasible to implement technology catching up to shrink the economic and technical gap between the developed countries and the developing countries, or even to surpass the developed countries? Scholars have various interpretations on this question, and the practical results are different. In other words, what is fundamental reason of the technical catching up for the developing countries, what is the mechanisms, and how to implement the technical catching up, the in-depth study on the issues has become a core element for the development economics.
From the existing theories, we can see that the technology innovation is the key to narrow the technology gap and implement the technology catching up. But technology of the developed countries is adapting their factor endowments and the technological ability, which may not be appropriate for the developing countries because they lack the needed organization, the technological base, the human capital and other factor endowments and technology capacity as developed countries do. Based on this, our research shows that technology capability is the key to the technology catching up, meanwhile technology capacity of the economy is determined by the factor endowments. The traditional factor endowments theory focuses on the comparison of the quantity of the factors and ignores the quality dimension of the factors, this dissertation expands the factor endowment theory and suggests the factors are determined by both the quantity and the quality dimension. It studies the internal mechanism between the factor endowments and the technology capacity and analyzes the processes and ways of catching up determined by the factor endowments and the technology capacity, therefore, it can provide the theoretical and methodological support for the developing countries.
Technology gap between the developed countries and developing countries is both a challenge and an opportunity for the latter, especially the presence of the back advantages of the developing countries (regions) makes it possible to narrow the technology gap and realize the technology catching up through technology innovation. Although the technology catching up is facing the difficulty of "comparative advantage trap" and the conversion from backward advantage to disadvantage, it can still be implemented through cultivating the factor endowments and upgrading the technology ability.
The factor endowments are the core of the technology capacity and the basis of the technology catching up. Utilizing the technology innovation framework built by Robert J. Barro and Xavier Sala-I-Martin and GM Grossman and E. Helpman, this paper elaborates the mechanism of the technology catching up from both quantity and quality dimensions using intermediate products as a carrier. The results further strengthen the paper's first important conclusion: the factor endowments determine the technology capacity, and both the factor endowments and the technology ability jointly determine the ability and the level of the technology catching up.
The factor endowments are the basis of the technology catching-up, and the technology capacity is the key to the technology catching-up. In order to illustrate the essence, content, and source of the technology ability and to analyze the corresponding relationship between the technology ability and three ways of the technology catching up, this paper analyzes that the dynamic evolution of the technology ability which determines the dynamic evolution of the technology catching-up, which leads to the second important conclusion: the imitative innovation should be adopted when the technical parameters are low; the cooperative innovation should be adopted when the technology parameters rise to a certain degree; the independent innovation can be implemented only when the technical capacity increases to a higher level.
The factor endowments and technological ability are unified, which are combined together for the technology catching-up. The paper analyzes the conduction mechanism of the factor endowments which promotes the technology upgrading and technology catching up, and further elaborates the mechanism of the factor endowments, the technology capacity, and the technology catching up. In order to verify the theory in this paper and test the effect of the factor endowments and the technology capabilities in Chinese provinces, the paper refines the index system of the factor endowment and the technology capacity and estimates the threshold effect of the technology ability, therefore we draw draws the third important conclusion: there is a threshold effect of the technology capacity in China's regional technology catching up, Tibet, Yunnan, Guizhou, Hainan, Qinghai, Gansu and Ningxia provinces have not crossed the technology capacity threshold, these regions should take the imitate innovation to catch up, and the others provinces have already crossed the threshold of the technology capacity, thus can adopt high-level model, for example, the independent or the cooperation innovation to catch up and surpass.
The world economic development process is actually a catching-up process continuously through the factor endowments and the technology capabilities for the backward countries and regions. In order to scientifically study the international technology catching-up experience from the factor endowments and the technology capacity and to put forward China's technology strategy, this paper inspects Japan and South Korea’s catching-up with the developed countries and proves the three important conclusions of this paper from the history of economic development. It then provides some suggestions and strategies to nurture the factor endowments and enhance the technical capacity to provide practical and workable recommendations and strategies for China’s catching up based on its actual situation.
纵观已有理论可以看出,技术创新是缩小技术差距,实现技术赶超的关键。但是发达国家的技术是适合本国要素禀赋和技术能力的,其开发的技术可能对于发展中国家并不适合,因为发展中国家普遍缺乏像发达国家那样适应技术所必须的组织、技术基础、人力资本等要素禀赋和技术能力。基于此,本文研究认为,技术能力是后发技术赶超的关键,但是技术能力又是由一个经济体的要素禀赋决定的。传统的要素禀赋理论是要素的数量对比论,忽视了要素的质量维度,因此本文拓展了要素禀赋理论,将要素看作是由数量维度和质量维度共同决定的复合体,研究要素禀赋作用于技术能力的内在机理,分析要素禀赋和技术能力共同决定后发技术赶超的过程、方式等,为后发国家技术赶超提供理论和方法的支持。
与发达国家(地区)的技术差距对后发国家(地区)来讲既是挑战,也是机遇,尤其是后发优势的存在使后发国家或地区可以通过技术创新缩小技术差距,实现技术赶超。技术赶超尽管面临着“比较利益陷阱”和后发优势向后发劣势转换的困境,但仍然可以通过后发国家和地区要素禀赋的培育和技术能力的提升,使要素禀赋、技术能力和技术赶超方式之间实现螺旋上升,进而实现技术赶超。要素禀赋是技术能力的核心,是后发技术赶超的基础。借用Robert J.Barro and Xavier Sala-I-Martin以及G.M Grossman and E.Helpman的技术创新框架,利用中间产品这个载体,分别从要素数量和要素质量两个维度对技术赶超的作用机理进行阐述,深入研究要素禀赋对技术赶超的实现途径。分析结果进一步强化了本文的第一个重要结论:要素禀赋决定了技术能力,两者共同决定了技术赶超的能力和程度。
要素禀赋是技术赶超的基础,技术能力是技术赶超的关键。为了详细地阐述了技术能力的本质、内涵与来源,分析技术能力对技术赶超三种方式的对应关系,文章分析了技术能力的动态演变性决定了技术赶超方式的动态演变性。并通过A-J模型探讨技术能力与技术赶超方式之间的演变对应性,得出本文的第二个重数上升到一定的程度之后可以采取合作创新的技术赶超方式;只有技术能力上升的较高的程度时,才有可能实施自主创新的赶超方式。
要素禀赋与技术能力对技术赶超的作用机理是统一的,两者是结合起来共同作用于后发技术赶超的。通过分析要素禀赋促进技术能力提升与实现技术赶超的传导机制,来进一步揭示要素禀赋、技术能力与后发技术赶超的作用机理。为了验证这个理论的科学性,并检验要素禀赋、技术能力在中国省域技术赶超中的效果,文章对要素禀赋进行筛选,提炼出技术能力测算的指标体系,对中国区域技术能力进行了科学合理的测算,并科学地测定技术能力对技术赶超的门槛效应,得出了本文的第三个重要结论:在中国区域技术赶超过程存在着技术能力门槛效应,其中西藏、云南、贵州、海南、青海、甘肃和宁夏七个省份还没有跨越技术能力门槛,这些区域应该采取模仿创新进行技术赶超,其他省份已经跨越了技术能力门槛,应该采取高层次的技术赶超模式,比如合作创新或自主创新。
世界经济发展的过程实际上就是后发国家和地区通过要素禀赋和技术能力不断实现技术赶超的过程。为了科学地考察要素禀赋、技术能力与技术赶超国际经验,提出中国技术赶超的策略。文章对日本和韩国的技术赶超进行梳理,从经济史学的角度证明了本文的三个重要结论和命题。然后结合中国的实际情况,提出要素禀赋培育和技术能力提升的具体策略,为中国实现技术赶超提供可行的、具有可操作性的建议和策略。
The technical catching up is the key for the developing countries or regions to catch up the developed countries or regions. Is it feasible to implement technology catching up to shrink the economic and technical gap between the developed countries and the developing countries, or even to surpass the developed countries? Scholars have various interpretations on this question, and the practical results are different. In other words, what is fundamental reason of the technical catching up for the developing countries, what is the mechanisms, and how to implement the technical catching up, the in-depth study on the issues has become a core element for the development economics.
From the existing theories, we can see that the technology innovation is the key to narrow the technology gap and implement the technology catching up. But technology of the developed countries is adapting their factor endowments and the technological ability, which may not be appropriate for the developing countries because they lack the needed organization, the technological base, the human capital and other factor endowments and technology capacity as developed countries do. Based on this, our research shows that technology capability is the key to the technology catching up, meanwhile technology capacity of the economy is determined by the factor endowments. The traditional factor endowments theory focuses on the comparison of the quantity of the factors and ignores the quality dimension of the factors, this dissertation expands the factor endowment theory and suggests the factors are determined by both the quantity and the quality dimension. It studies the internal mechanism between the factor endowments and the technology capacity and analyzes the processes and ways of catching up determined by the factor endowments and the technology capacity, therefore, it can provide the theoretical and methodological support for the developing countries.
Technology gap between the developed countries and developing countries is both a challenge and an opportunity for the latter, especially the presence of the back advantages of the developing countries (regions) makes it possible to narrow the technology gap and realize the technology catching up through technology innovation. Although the technology catching up is facing the difficulty of "comparative advantage trap" and the conversion from backward advantage to disadvantage, it can still be implemented through cultivating the factor endowments and upgrading the technology ability.
The factor endowments are the core of the technology capacity and the basis of the technology catching up. Utilizing the technology innovation framework built by Robert J. Barro and Xavier Sala-I-Martin and GM Grossman and E. Helpman, this paper elaborates the mechanism of the technology catching up from both quantity and quality dimensions using intermediate products as a carrier. The results further strengthen the paper's first important conclusion: the factor endowments determine the technology capacity, and both the factor endowments and the technology ability jointly determine the ability and the level of the technology catching up.
The factor endowments are the basis of the technology catching-up, and the technology capacity is the key to the technology catching-up. In order to illustrate the essence, content, and source of the technology ability and to analyze the corresponding relationship between the technology ability and three ways of the technology catching up, this paper analyzes that the dynamic evolution of the technology ability which determines the dynamic evolution of the technology catching-up, which leads to the second important conclusion: the imitative innovation should be adopted when the technical parameters are low; the cooperative innovation should be adopted when the technology parameters rise to a certain degree; the independent innovation can be implemented only when the technical capacity increases to a higher level.
The factor endowments and technological ability are unified, which are combined together for the technology catching-up. The paper analyzes the conduction mechanism of the factor endowments which promotes the technology upgrading and technology catching up, and further elaborates the mechanism of the factor endowments, the technology capacity, and the technology catching up. In order to verify the theory in this paper and test the effect of the factor endowments and the technology capabilities in Chinese provinces, the paper refines the index system of the factor endowment and the technology capacity and estimates the threshold effect of the technology ability, therefore we draw draws the third important conclusion: there is a threshold effect of the technology capacity in China's regional technology catching up, Tibet, Yunnan, Guizhou, Hainan, Qinghai, Gansu and Ningxia provinces have not crossed the technology capacity threshold, these regions should take the imitate innovation to catch up, and the others provinces have already crossed the threshold of the technology capacity, thus can adopt high-level model, for example, the independent or the cooperation innovation to catch up and surpass.
The world economic development process is actually a catching-up process continuously through the factor endowments and the technology capabilities for the backward countries and regions. In order to scientifically study the international technology catching-up experience from the factor endowments and the technology capacity and to put forward China's technology strategy, this paper inspects Japan and South Korea’s catching-up with the developed countries and proves the three important conclusions of this paper from the history of economic development. It then provides some suggestions and strategies to nurture the factor endowments and enhance the technical capacity to provide practical and workable recommendations and strategies for China’s catching up based on its actual situation.
引文
①具体详见http://news.jxnews.com.cn/system/2002/11/25/000293718.shtml
①Sachs, Jeffrey,Sachson G lobalization: A New Map of the World, The Economist, June 24 ,2000 p97.
①详见http://baike.baidu.com/view/1380484.htm
①详见陈秀山,王舒勃,论后发优势与跨越式发展,教学与研究2002年第10期,第22-29页。
①详见道格拉斯.诺思.经济史中的结构与变迁[M].上海:上海三联书店,上海人民出版社,1994.第23页。
①www.ibm.com/flat/fncl/3-5-18-fncl-notes.html
②www.prolytix.com/mot/table2.html
③www.intel.com/intel/annual00/f-sumary.htm
④www.anrpt2000.com/financialhighlights.htm
①卡洛塔佩雷斯和吕克苏蒂(1992),“在技术上的追赶:进入壁垒和机会窗口”一文中对此有所集中概括和描述,参阅多西等主编技术进步与经济理论,北京:经济科学出版社, P567
①(美)彼得?F·德鲁克等著,知识管理,北京:中国人民大学出版社,1999,P12
①还有一种专利竞赛模型,它强调创新的时间性,即创新竞赛的获胜者将得到垄断的利润汇报,这种思路充分考虑到技术的公共产品性质,比较贴近实际,具体可参见文献[127-128]。
①杨林,日本技术创新机制与经济增长,见http://web.cenet.org.cn/upfile/84512.pdf
①详见杨云,《人力资本积累与西部地区跨越式发展》,云南大学博士论文,第172页。
①详见安同良,企业技术能力发展论,人民出版社2004年2月版,第222页。
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①Sachs, Jeffrey,Sachson G lobalization: A New Map of the World, The Economist, June 24 ,2000 p97.
①详见http://baike.baidu.com/view/1380484.htm
①详见陈秀山,王舒勃,论后发优势与跨越式发展,教学与研究2002年第10期,第22-29页。
①详见道格拉斯.诺思.经济史中的结构与变迁[M].上海:上海三联书店,上海人民出版社,1994.第23页。
①www.ibm.com/flat/fncl/3-5-18-fncl-notes.html
②www.prolytix.com/mot/table2.html
③www.intel.com/intel/annual00/f-sumary.htm
④www.anrpt2000.com/financialhighlights.htm
①卡洛塔佩雷斯和吕克苏蒂(1992),“在技术上的追赶:进入壁垒和机会窗口”一文中对此有所集中概括和描述,参阅多西等主编技术进步与经济理论,北京:经济科学出版社, P567
①(美)彼得?F·德鲁克等著,知识管理,北京:中国人民大学出版社,1999,P12
①还有一种专利竞赛模型,它强调创新的时间性,即创新竞赛的获胜者将得到垄断的利润汇报,这种思路充分考虑到技术的公共产品性质,比较贴近实际,具体可参见文献[127-128]。
①杨林,日本技术创新机制与经济增长,见http://web.cenet.org.cn/upfile/84512.pdf
①详见杨云,《人力资本积累与西部地区跨越式发展》,云南大学博士论文,第172页。
①详见安同良,企业技术能力发展论,人民出版社2004年2月版,第222页。
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