R_D存量_知识函数与生产效率

5420067()ChinaEconomicQuarterlyVol.5,No.4July,2006R&D3,R&D,,:(1),R&D,;(2);(3)3:1,8527,100102;:[phone];E2mail:[e-mail],,R&D,,Schumpeter(1950),,R&DR&D,R&DR&D,R&DR&D;R&D,R&D19932002,,R&D,R&DR&D:,R&D;R&D;2;;;;1130()5,,R&DR&D,,,,11R&DR&D,:;;,ComanorandScherer(1969),,,,Jeffersonetal.(2004),R&D12%,R&D,2Scherer,,R&D,R&DScherer(1965)500,1955R&D19592Schmookler(1966),18701950;,195318R&D,R&D85%Muel2ler(1966)195819606,R&D(R&DR&D)R&D,R&DComanorandScherer(1969)1955196057R&D,R&DR&D0.8PavittandWald(1971)13R&D(R&D/)()McLeanandRound(1978)1971197213980,,R&D(R&DR&D);,R&DPakesandGriliches(1980)157,Griliches(1989)19531987,4:R&D1131R&DAcsandAudretsch(1988)Koeller(1995)(U.S.SmallBusinessAdministration)1982,,R&DComanor(1965)1955196057,R&D,R&DR&D,R&D(),R&D,,R&DMcLeanandRound(1978),R&DBoundetal.(1984)19762582,R&D,OLS,R&D,,R&DComanor(1965),0.115,R&D1.390.610.54,,R&D;,R&DScherer(1965),R&D(R&D),()Mansfield(1968),,R&D,PakesandGriliches(1980)R&D0.61Boundetal.(1984),R&D,R&D1AcsandAudretsch(1988)R&D(R&DR&D)R&D0.360.41;,R&D0.3Griliches(1989)R&D0.20.4Koeller(1995),R&D0.5;,R&D0.51,R&DR&D,R&D,1132()5R&D,,,,OLS,PakesandGriliches(1984)R&D19681975121,,R&D5R&D,,,R&D5R&D,14R&D;,5R&D0.6HausmanHallandGriliches(1984,1986)R&D,R&D,R&D,R&D0.290.6Jenson(1987)R&D,R&D1,1Cincer(1997)19831991181,,GMMR&D,R&D0.48CrponandDuguet(1997)19841989698,R&D,GMM,R&D1,,BlundellGriffithandVanReenen(1995,1999)19721982,(),R&D,,,FisherandTemin(1973)VernonandGusen(1974)Comanor(1965)Mansfield(1968)Mansfieldetal.(1971)Schmookler(1972)Pavittetal.(1987)Jenson(1987)Boundetal.(1984)BlundellGriffithandVanReenen(1995,1999)Gayle(2001)AcsandAudretsch(1987,1988),4:R&D1133,,FreemanandSoete(1997),,,AcsandAu2dretsch(1988),Geroski(1990),Koeller(1995),BlundellGriffithandVanReenen(1995,1999),BroadberryandCrafts(2000)Lunn(1986),,Gayle(2001),LunnGayle,,,,,,,,,,,,,Berliner(1976),,Ofer(1987),,,,,Weitzman(1970)Desai(1976)Ofer(1987)EasterlyandFisher(1994),,,QianandXu(1998)HuangandXu(1998)R&D,Baumol(2002),,;,,,1134()5(1998)1995,1214670,,22%57%39%34%(2001)1998,4137769,,13%15%42%46%9%11%3,Zhangetal.(2003)19953383412,R&DR&D,R&DR&D,R&DR&D1,,,Jeffersonetal.(2004)19971999,,R&D(R&D/);,R&D,R&D(),,R&D,,R&DR&D1.83,,,,,:,,19932002R&D,R&D,R&D,,,4:R&D1135R&D,,R&DR&D,R&DR&DR&DR&D,R&DR&D(PerpetualInventoryMeth2od,PIM)CuneoandMairesse(1984),GrilichesandMairesse(1984),Griliches(1980a,1980b,1986,1998),GotoandSuzuki(1989),CoeandHelpman(1995),HallandMairesse(1995),CrponandDuguet(1997),Hu,JeffersonandQian(2005)R&DR&D41993:1993,,,19932002Griliches(1980a,1986,1998)GotoandSuzuki(1989),tR&DR&Dt-1R&D,Kt=nk=1kEt-k+(1-)Kt-1.(1)KR&D,ER&D,k,R&D,R&DR&D,,t-R&DtR&D,k=,k=1;k,k=0,nk=1kEt-k=Et-,=1,(1):Kt=Et-1+(1-)Kt-1.(2)(2):(1)R&DE;(2)R&D,R&DR&D;(3);(4)R&DK0,R&DER&D19934R&D1136()5R&DR&D,R&D,,R&D,R&D,R&DE5Mansfield(1984)R&DI=ni=1P1iP0ii100,P0i1969i,P1i1979iiiR&Dn6,R&D,R&D,1,,,,EPI,R&DR&D(Mansfield,1984)Jaffe(1972)R&DGNP,0.49,0.51,Griliches(1980b)Jensen(1987)Mansfield(1984)2R&D5LoebandLin(1977)R&DGNP,0.55,0.45(2003)R&D,0.55,0.45,R&D,R&D,R&D:EPI=RMPI+(1-)IFAPI.(3)EPIRMPIIFAPIR&D,6,,,0.40.50.6,EPI,1993EPIR&D,R&D,:15%(GrilichesandLichtenberg,1984;Jaffe,1988;HallandMairesse,1995;AdamsandJaffe,4:R&D11371996;CrponandDuguet,1997),Hu,JeffersonandQian(2005)R&D,R&D15%;,(Bosworth,1978;PakesandSchankerman,1984);,,(GotoandSuzuki,1989),,,15%R&D(Griliches,1980a)PakesandSchankerman(1984),,R&D,R&D77Young(2000)6%,(2004)9.6%8=0.4=0.6R&D,,,,R&DK0GotoandSuzuki(1989)CoeandHelpman(1995),R&DKR&DE,(Kt-Kt-1)/Kt-1=(Et-Et-1)/Et-1=g,gE,t=1,K1=(1+g)K0(6),t=1,K1=E0+(1-)K0,R&D:K0=E0/(g+).(4)g,19932002R&D,10R&DR&D,(2)R&D119932002R&D119932002R&D1,19932002R&D,R&D,,,=0.5R&D81138()5:;K1K2K3=0.40.50.6R&D;=0.5R&D(K2)1R&D12002=0.5R&D()R&DR&DR&D,21R&D,R&D(274.65)(235.60)(190.34);R&D(1.17)(1.21)(1.85),R&DR&D,R&DR&D16(R&DR&D23)R&D(R&D/),R&D(9.22%)(8.77%)(7.45%);(1.09%)(1.12%)(1.27%)2R&DR&D,R&DR&DR&D(),R&D1R&DR&D(2002)R&D()R&D()R&D/R&DR&D/(%)R&D/(%)R&D/()(06)14.9029.661.991.332.650.11(07)12.0868.845.700.744.221.97(08)0.511.172.300.932.150.03(09)1.065.445.110.804.090.04(10)0.965.215.400.924.970.03(12)0.081.8522.800.133.040.02(13)6.4819.312.980.451.330.02(14)5.0817.463.440.712.440.03(15)9.7232.043.300.943.110.044:R&D1139()R&D()R&D()R&D/R&DR&D/(%)R&D/(%)R&D/()(16)4.0815.833.880.281.090.12(17)21.4392.694.331.054.530.05(18)4.536.501.440.881.270.01(19)1.263.292.620.431.120.01(20)1.563.992.560.902.300.02(21)0.271.214.550.442.000.01(22)9.7027.772.861.283.660.05(23)2.157.203.340.903.000.02(24)1.064.334.090.753.060.03(25)8.6944.755.150.281.430.32(26)50.96165.833.251.565.090.09(27)24.3859.462.441.684.100.07(28)10.9842.153.841.827.010.19(29)6.9519.982.871.684.820.08(30)6.8830.674.461.124.990.04(31)16.4068.574.181.335.580.04(32)66.35172.822.601.724.480.47(33)14.4445.313.141.253.910.12(34)6.8628.484.151.014.180.04(35)29.83137.274.601.918.770.09(36)21.58101.824.721.959.220.09(37)110.88235.602.122.304.890.17(40)70.82190.342.692.777.450.16(41)122.28274.652.252.054.610.23(42)6.2728.734.581.446.610.08:R&D,=0.5,(1993)R&D,=0.5(1993):;,R&D22002R&DR&D1140()5,R&D(Comanor,1965;Scherer,1965;Schm