技术领先会持续吗？--非择时无溢出R＆D竞争研究综述  

Can the Technological Leadership Persist? A Survey of Studies on R&D Competition without Timing and Spillover

作　　者：常中阳[1] 宋敏[2,3] 

机构地区：[1]复旦大学经济学院金融研究院 [2]香港大学经济与工商管理学院 [3]华中科技大学经济学院

出　　处：《经济研究》2010年第12期125-138,共14页Economic Research Journal

摘　　要：本文对上世纪80年代初以来的非择时无溢出R&D竞争文献进行综述。其中理论分析包括专利竞赛模型和增量投资模型两类。根据研发过程是否有技术风险、主要依赖于一次性投资还是流量投资、投资强度是否时变、竞争状态变量是否多维以及有无知识和经验积累等,本文在前一类模型中归纳出七种R&D模式;后一类则被区分为基于特定性态利润函数的模型和基于特定产品市场竞争形式的模型。在对诸模型按结构和所关注因素进行归类的同时,文中特别注意阐释和归纳了公司博弈过程中所涌现出来的多种竞争效应、机制和结果模式。此外,文中还汇总了相关的实证和实验文献。最后,本文初步总结出了若干影响公司间技术差距演化的一般规律,提出了政策建议并探讨了未来的研究方向。This paper provides a survey of studies on R＆D Competition without timing and spillover since the early of 1980s. The theoretical models are bifurcated into the patent race and the incremental investment models. Seven kinds of R＆D approaches are abstracted from the former models according to whether there is technological risk or not, the investment is one-shot or flowing, the investment intensity is time-varying or invariable, the competition state variable is one-dimensional or multidimensional, and experiences or knowledge are accumulated or useless in the R＆D process. On the other hand, the latter are, sorted into models based on profit functions with given properties and on particular kinds of product market competitions respectively. While classifying these theoretical models according to the highlights and structures, the paper also pays particular attention to unveiling and collecting a variety of competition effects, mechanisms and result patterns from them. Besides, the related empirical and experimental papers are also summarized. Finally, several principles goveming the evolutions of the technological gaps are generalized, and a number of policy suggestions and a promising research avenue are presented.

关 键 词：创新 R&D竞争 专利竞赛 增量投资 

分 类 号：F273.1[经济管理—企业管理] F224[经济管理—国民经济]