经济增长的创新模式与机制研究

南京财经大学硕士学位论文经济增长的创新模式与机制研究姓名：胡育蓉申请学位级别：硕士专业：西方经济学指导教师：桑乃泉2011-06-16IJonesFDIIIABTRACTInnovationisanimportantmeansforenhancingcompetitivenessandsustainabledevelopment,andthepowersourceforthatofacountry.Astodevelopingcountries,therearetwomodesofinnovation:imitativeinnovationandindependentinnovation.Basedonthecomparativeadvantageprinciple,developingcountriestakesgreateradvantagebyimitationthanindependentinnovation.Butindependentinnovationmodel,whichembodiestheautonomyoncoretechnology,isboundtobethefianalmodelofinnovationforacountryorenterpriseinlongterm.Thereforeitisnecessarytoexplorewhetherthereisanendogenousmechanismallowingeconomyofinnovationfromimitationtoindependentmodelandwhatisthemainfactors.Intheory,amacro-economicgrowthmodelandamicro-enterprisemodelofevolutionaryinnovationareconstructed.Itispointedoutinthispaperthatevolutionfromimitationtoinnovationmodelcanbecompletedspontaneouslyoutofinterests,resultingineconomicleap.FixedJonesmodelsuggesttheinnovativetechnologicaldevelopmentrateisrelatedtotherateofhumancapitalgrowthrateandcontributionrate,theelasticityofindependentinnovationoutputandtherateofforeigntechnologicalprogressarerelated.Besides,itstressedonlywhentherateofhumancapitalgrowthexceedsthecriticalvalue,theeconomywillself-realizetheupgradeofinnovativemodel.Inadditiontothechoiceofinnovativemodel,humancapitaldecidetherateoftechnologicalprogressandthesteady-stateleveltrends.Micro-enterprisemodel,basedonexpectedprofitsandmethodoftheevolutionarygame,suggesttransitonofinnovativemodelisrelatedcloselytotheintensityofindependentinnovationandimitativeinnovation,humancapitalinvestmentandtheprotectiononintellectualproperty.Intheempiricalanalysis,therearetwoparts.ThecaseofsuccessfulinnovativemodeltransitionfromimitationtoindependenceintheautomobileindustryinKoreaandJapanimplicatesthefeasibilityofendogenousmechanisms.Andhumancapitalinthetwocasesarenecessary,butpropertyrightsprotectionpolicycanbedynamicdevelopment.Upgradeofinnovativemodel,companieshavetomaintainasenseofownershipandharborthecouragetoleap.TheotherpartisbasedonregressionalanalysisusingdataofChinatostudytheeffectofinnovationmodel.TheresultsuggestFDI-representedimitativeinnovationsmaycrowdoutnationaleconomicgrowthandIIIhaveanegativecorrelationwithgrowth,whiletheamountofhumancapitalandinnovationsignificantlypromoteeconomicgrowth.Accordingtotheanalysisoftext,Iwillputforwardthefollowingproposals:First,developeducation,cultivatetalents,andintroduceadvancedinternationaltalenttoescortinnovationmodelupgrade.Second,respectforpropertyrights.Intellectualpropertyprotectionsafeguardstheinterestsofenhancinginnovationandenhancesthemotivation,helptoguideenterprisestodevelopindependentinnovationmodel.Third,payattentiontothecultivationandmaintenanceofthefreemarket.Thefreemarketisthearenaofindependentinnovation.Freeflowofinnovativeresourcesensurefeasibilityandsustainabilityofinnovation.Companiescanupgradeinnovationmodelbasedonexpectedprofit,soinordertopromotethetransitionfromimitationtoindependentinnovation,toprovidefreeandcompetitivemarketenvironmentismoreappropriate.KEYWORDS:independentinnovation;immitativeinnovation;endogenousmechanism11.1,231.21.2.141991-2009FDIFDI*1.2.2519912009FDI*/GDPGDPFDI61.2.31.312199120097FDI*/GDPGDPFDImatlab382.12.1.1·1912“”2.1.219621974(JMUMerback)92.1.32.22.2.11516-17•W.Petty,1662•(A.Smith)(1772)10•D.Ricardo,18190J.Schumpeter,1911“”2040“”2.2.2R.SolowSwan————11——2.2.3——(Arrow1962)(Uzawa1965)lucas1988R&DRomer1990GrossmanHelpman1991AghionHowitt1992Romer1990KingRebelo1990•R.JonesManuelli1990BeckerMurphyTamura1990Barro1990Stocky1991122.320082.3.1.20102007,2007,200420092.3.2132009(R&D)2007————200520062006Panel2008SegerstromPS.1991Mukoyama,Toshihiko(2003)2.3.320102000-2007DriscollKraayFDI2008142007Jones(1995),2.3.42009()()YangMaskus(2001)Helpman(1993)GlassSaggi(1995),Helpman(1993),GlassSaggi(1995)Schneider(2005)1970-1990472005FDIFDI(2003),,20071996-20041520042008382.4163.1AixYMukoyama(2003)——()()10AiYuHxdiaa-=∫01a≤≤1uHu01u≤≤A0AaH()()0ntHtHe=1()ntHte=()0AiKxdia=∫()()1*.1AAuHAAqlqdj-⎛⎞=-⎡⎤⎜⎟⎣⎦⎝⎠01q≤≤2l*AAj*AAFindlay19782009AdAqdj17()().1AuHAlqd=-⎡⎤⎣⎦01q≤≤322()1*.1AAuHAqlj-⎛⎞=-⎡⎤⎜⎟⎣⎦⎝⎠01q≤≤4Romer19903.20()()()0ln()1AtiYHdxdiggdtaa=-+∫3().11AAguHAAlqqd-==-⎡⎤⎣⎦uql().1AHAggglq=+-Hg18.0Ag=n*1Anglq=-ud4()().1*21AAguHAAAqlqj--==-⎡⎤⎣⎦uql().'2(1)AHAAgggglqq=+-+-n'Ag.0Ag='*(1)2AAngglqq+-=-ud2.0Ag='*(1)2(1)AAngglqq+-=-ud19(3.1)AABB3.1BGh200720''1Anglq=-'*2(1)Anngllq+=-*1Anglq=-3.32(3)4uldqj*An121SergueySalavatAtsushi20072010201120110.453.13.1uldqj*AA0H*nn0.010.450.10.50.51010.050.010.0090.0180.027matlabode453.23.63.33.43.63.2223.3103.453.5233.60.13.4JonesBarro(2001)Glewwe&Hanan(2004)Sorensen(1993),Narula(2004)Borensztein,Gregorio&Lee(1998)Xu(2000)FDI0.01te244.1:,mVCpaca,rcSCt()()CttmmtVCCeVedCtrttr∞----=+∫t25()()()()()1()1()ccpCtstccpttSaaCCeSaaCedsdCttrtr∞-----+-+=+∫∫()()1()[1()]ccpmccpmmSaaCVSaaCVCCCCprrr-+--+=-=+++IIa,ISIpat()()()()mpIttmptVaIIeVaedItrttr∞----++=+∫t()()()()()11IIItstIIttSaIIeSaIedsdCttrtr∞------=+∫∫()()()()11mpmpIIIIIVaIVaSaSaIIIIIprrr+