中国工业行业间RD溢出效应研究.PDF

数量经济研究 The Journal of Quantitative Economics 第 5 卷 第2 辑 VoL. 5. No.1 2014 年9 月 September 2014 中国工业行业间 RD 溢出效应研究 朱平芳 1 项歌德 2 王永水 3 (1.3 上海社会科学院数量经济研究中心 2. 申银万国期货有限公司) 内容提要：本文根据中国工业行业的特征，用垂直溢出效应和水平溢出效应两个维度来研究本土工业行业 间的 RD 溢出效应，其中垂直溢出效应可进一步分为前向溢出和后向溢出。根据对中国 37 个工业行业 2003-2011 年间的面板数据分析，借助空间计量经济学方法，寻找这些行业间两个维度 RD 溢出效应的特 点。研究发现，无论采用何种 RD 活动产出代理变量，水平溢出效应均十分显著，而垂直溢出效应呈现 非对称性—前向溢出效应不显著，后向溢出效应显著；数量关系上，水平溢出效应远大于垂直溢出效应。 将 37 个工业行业按照技术层次划分为高、中和低技术行业，发现中国工业行业部门的技术水平与之对应的 RD 前向溢出效应之间存在一种“斜 S”型关系；后向溢出与水平溢出效应都比较显著。论文还解释了这些 溢出效应所对应的可能的经济现象。 关键词：工业行业 RD 溢出效应 RD Spillover Effect between Chinese Industrial Sectors Abstract: From this perspective of independent innovation, it is a strong practical significance to study local RD spillover between industrial sectors. According to the characteristics of industrial sectors, RD spillover can be studied from two dimensions, namely vertical and horizontal spillover, and vertical spillovers can be further divided into forward and backward spillover. This paper regards 33 industrial sectors of China between 1998-2008 panel data as the object, and analyzes the features of these two dimensions RD spillover. It is found that that the asymmetry of vertical spillover effects and the forward spillover is not significant, with the significance of backward spillover and horizontal spillover. The 33 industries are divided into high-tech industries and low technology industries according to the technical level, and the local RD investment is found to exhibit the substitution effect with high-tech industry RD investment in the level of horizonta