贸易品技术溢出与基础科学研究替代—互补效应研究  

The Substitution-complementary Effect of Technology Spillovers from Trade Goods and Basic Scientific Research

作　　者：谢慧莹 刘航[1] 张雨微[2] Xie Huiying;Liu Hang;Zhang Yuwei(School of Economics and Finance,Xi′an Jiaotong University,Xi′an 710061,China;School of Economics and Finance,Xi′an International Studies University,Xi′an 710128,China)

机构地区：[1]西安交通大学经济与金融学院,陕西西安710061 [2]西安外国语大学经济金融学院,陕西西安710128

出　　处：《科技进步与对策》2024年第6期40-51,共12页Science & Technology Progress and Policy

基　　金：陕西省创新能力支撑计划软科学一般项目(2021KRM039);陕西省自然科学基础研究计划重点项目(2021JZ-05);中央高校基本科研业务费专项资金项目(SK2022104)。

摘　　要：随着中国技术能力从以跟跑为主转向跟跑、并跑和领跑并存,以基础科学研究推动科技自立自强日益迫切。科技自立自强不等于“闭门造车”,基础研究应基于全面开放新格局,以更高的成果质量和转化效率有效驱动经济发展。因此,探讨贸易品蕴含的技术正外部性与本国基础研究是替代还是互补关系具有重要的现实意义。采用跨国面板数据,实证分析基础研究投入对全要素生产率的影响以及贸易开放对基础研究成果转化的调节效应。研究发现:①基础研究资本投入对全要素生产率增长具有显著正向影响,贸易开放对该正向影响具有显著负向调节效应,即贸易品技术隐含流与基础研究成果存在一定替代关系;②在基础研究投入增进全要素生产率过程中,应用研究产出发挥关键中介效应,其中贸易开放对第一阶段起显著为负的中介—调节效应,对第二阶段没有影响。因此,未来需要深入推动科研人员绩效评价改革、借助进口贸易搭建创新示范区、构建内外一体化开放融通创新体系。研究结论可为我国协同实现创新发展与高水平对外开放提供理论依据。China is ramping up efforts to promote scientific and technological self-reliance and self-improvement through basic scientific research.The current theoretical exploration of economic performance in basic research is inefficient in two aspects.Firstly,basic research and applied research are taken as two parallel types without analysis based on the innovation value chain.Secondly,basic research is often viewed under closed economic conditions,while in practice,applied research departments can choose to collaborate with domestic basic research departments upstream and downstream to produce innovative results,or gain cross-border knowledge spillovers from imports and exports.Since the focus of comprehensive national strength competition shifts towards basic research,and open innovation becomes a mainstream innovation model,the traditional research on innovation practice has limited explanatory power.It is necessary and of practical value to combine these two questions to explore if there is a substitute or complementary relationship between the positive externalities of technology from trade goods and domestic basic scientific research.This paper uses cross-country panel data to empirically analyze the impact of basic research input on TFP and the regulatory effect of trade opening on the transformation process of basic scientific achievements.It is confirmed that(1)capital investment in basic research has a significant positive impact on TFP growth.Basic scientific research is one of the fundamental driving forces of a country's connotative economic growth.Trade openness has a significant negative moderation effect on this process,that is,there is a certain substitution relationship between the implicit flow of technology from trade goods and basic research achievements.(2)In the process of promoting TFP through basic research input,applied research output(patent density)plays a key mediation effect,that is,basic scientific achievements need to be transformed downward along the innovation value chain to drive econ

关 键 词：贸易开放 基础科学研究 成果转化机制 TFP 开放创新生态 

分 类 号：G301[文化科学]