竞争如何影响创新:中国情景的新检验  

How Does Competition Affect Innovation:Evidence from China

作　　者：张杰[1] 郑文平[2] 翟福昕[3] 

机构地区：[1]中国人民大学中国经济改革与发展研究院,北京100872 [2]中国人民大学经济学院,北京100872 [3]中国人民大学财政金融学院,北京100872

出　　处：《中国工业经济》2014年第11期56-68,共13页China Industrial Economics

基　　金：国家自然科学基金面上项目"贸易地理特征与中国出口附加值低下之谜"(批准号41371139)

摘　　要：创新已成为维持中国经济可持续增长的重要途径之一。然而,中国企业创新能力的相对低下,迫切说明深入研究影响中国企业创新能力关键因素的重要性。本文从竞争和创新关系这一经典视角出发,从微观层面研究中国情景下竞争如何影响创新及其作用机理。本文的主要发现是:中国情景下竞争和创新之间呈现显著且稳健的正向关系,这表明提高竞争可以促进中国企业创新研发活动:竞争只对民营企业创新研发活动产生激励效应,而对国有及外资企业均未产生激励作用,这表明仅在民营企业中存在逃离竞争的创新效应,反映国有企业和外资企业由于垄断地位或超国民待遇,从而导致竞争对创新内生激励作用的扭曲性。本文的研究结论还有深刻的政策含义:现阶段通过继续推进全面的市场化改革,减少垄断来提升市场竞争化程度,是促进中国企业创新能力提升的根本性制度措施。Innovation has become one of the most important ways to maintain sustainable economic growth in China. It urges further research on key factors determining Chinese firms＇ innovation abilities accounting to lower level of innovation abilities. From the perspective of the relationship of competition and innovation, this paper focuses on how competition affects innovation and its mechanism. We find that： there exists significant positive relationship between competition and innovation, which indicates improving competition can promote Chinese firms＇ innovation activities. However, this effect occurs only in private enterprises, while disappears in SOEs and foreign enterprises. Using Partial Equilibrium Industry Model issued by Hashmi （2012）, we can explain internal causes of complete relationships of competition and innovation in China and other countries. This paper has vivid policy implications： only by pushing steadily market-oriented reforms,enhancing the degrees of market competition by reducing monopoly, can Chinese enterprises＇ innovation abilities get sustainably promotion.

关 键 词：竞争 创新 中国情景 倒U型关系理论假说 正向关系 

分 类 号：F124.3[经济管理—世界经济]