产业创新的科学知识特征对中国技术追赶的影响
李梦柯1,2，王芳1
（1.中国科学院科技战略咨询研究院，北京100190；
2.中国科学院大学 公共政策与管理学院，北京100049）
摘要：理解科学知识对后发经济体技术追赶的影响对创新经济理论与创新政策都有重要意义。本文结合知识基础理论和技术体制理论，提出科学技术特征属性的概念和分析框架，从知识异质性视角分析产业创新的科学知识特征因素对中国技术追赶过程的影响。通过分析美国专利及商标局1995—2019年的全球授予专利及其引用科学文献的数据，发现中国难以在科学关联度较高的领域、科学知识复杂多样化的领域和私有部门科学知识贡献度较高的技术领域提升技术水平和实现追赶；中国的技术追赶更依赖较为近期的科学知识，优势产业发展更依赖国外的科学知识来源；中国技术创新的本土科学知识来源主要来自公共部门的成果，私有部门产出科学对创新的作用不突出。研究结论揭示了中国优势技术领域发展的科学知识特征，为中国技术追赶提供了实证证据与政策启示。
关键词：科学知识；非专利引文；科学技术特征；后发经济体；技术追赶
主要研究结论：本文研究产业创新呈现的科学技术特征因素对后发经济体技术追赶水平的影响。基于USPTO在1995—2019年授予的专利及其引用科学文献的数据，分析产业的科学知识基础特征对中国技术优势领域创新的影响，深化了对后发经济体实现技术追赶与科学知识之间联系的理解。主要有以下研究结论：
（1）中国在科学关联度较高领域难以实现技术追赶。科学关联度较高的产业创新更多地依赖于科学上的新发现和基础科学研究知识，如纳米技术、生物技术、化学制药等领域。与发达经济体相比，中国未能有效地利用科学知识进行技术创新，未来需要积累科学知识基础和提高吸收转化能力。该研究结论从产业的科学知识基础的视角够揭示了中国技术追赶的特征与差距，完善了后发经济体的技术追赶理论与实证研究。
（2）中国更易在依赖较为近期的科学研究知识成果的领域获得技术优势。这些领域的创新对科学累积性的要求较少，更依赖于新发表的科学研究知识，这有利于新兴经济体的技术追赶。同时，中国优势产业技术创新的科学知识基础主要来源于国外，拓展科学知识来源的地理边界是后发经济体吸收异质性、互补性科学知识、提升创新能力的重要途径。国外的科学研究成果对中国技术创新具有非常显著的积极作用。该研究结论揭示了中国技术优势领域的科学知识来源和累积性维度的关系，强调了科学知识本身的异质性特征对应用主体利用过程产生的不同作用。
（3）中国难以在科学知识多样性较高的领域获得技术优势。不同知识禀赋的组织创新动机与模式存在较大差异，中国发明者驾驭复杂科学知识的能力较弱，在科学知识转移过程中更依赖较窄领域的知识，尚未能有效地利用交叉科学知识领域的成果形成高质量的创新产出。该研究结论将科学知识的多样性纳入产业的科学技术特征分析维度，揭示了其对后发经济体技术追赶过程的作用，拓展了技术体制理论的分析框架。
（4）中国在私有部门科学知识贡献度较高的技术领域难以获得技术优势。中国专利引用的本土科学文献主要来自公共机构产出的科学成果，私有部门产出科学对创新的作用不突出。而发达经济体的私有部门基础研究投入占有较大的比重，成果转化效果突出，尤其在科学密集型领域，后发经济体企业科研能力与知识基础落后，同时缺乏投入科学研究的动力，因而影响其科研产出的结果和转化率。该研究结论揭示了中国技术追赶过程中企业层面存在的科学和基础研究滞后的问题，为进一步制定有效战略实现技术追赶提供理论和实证依据，政策制定者应完善相关政策，引导企业加大基础研究投入，提高自主创新能力。
Impact of scientific knowledge characteristics of industrial innovation on China′s technological catch-up
Li Mengke1,2, Wang Fang1
(1. Institutes of Science and Development, Chinese Academy of Sciences, Beijing 100190, China;
2. School of Public Policy and Management, University of Chinese Academy of Sciences, Beijing 100049, China）
Abstract:Understanding the impact of scientific knowledge on the technological catch-up of latecomer economies is of great significance to innovation economics theory and public policy. This paper combined the theory of knowledge base and technological regime to construct a theoretical framework for analyzing the scientific knowledge characteristics of technological innovation across different sectors from the perspective of heterogeneity of scientific knowledge. It proposed five dimensions, namely, scientific linkage, scientific cumulativeness, scientific appropriability, scientific diversity and scientific knowledge sources, to define the characteristics of scientific knowledge used in technological innovation across different sectors, and analyzed their impacts on the technological catch-up of China.
The data were obtained from the United States Patent and Trademark Office (USPTO) and Lens dataset. This covers a total of 5,100,624 patents in 88 economies granted by USPTO from 1995 to 2019, and 5,837,518 resolved scientific literature. Based on the WIPO technology classification table, the sample patents were divided into 35 technology fields according to their first IPC code. The generalized least squares (GLS) model was used to analyze impacts of scientific-technological regimes on technological catch-up in China.
The following four research findings were obtained from this research. First, it is difficult for China to catch up in the fields characterized with high degree of scientific linkage. Sectors characterized with high scientific linkage, such as nanotechnology, biotechnology and chemical pharmaceuticals, rely heavily on new discoveries and basic scientific research knowledge. Compared with developed economies, China needs to accumulate scientific knowledge foundations and improve its absorption and transformation capabilities in the long term, in order to stimulate a virtuous interaction between subsequent scientific output and technological innovation.
Second, China is more likely to gain technological advantages in the fields that rely on relatively recent scientific research knowledge. These fields require less scientific accumulation and rely more on newly published scientific research knowledge, which favors emerging economies′ technological catch-up. Meanwhile, foreign scientific research presents a significant positive effect on China′s technological innovation. The development of relatively advantage industries in China heavily rely on foreign scientific knowledge. Expanding the geographic boundaries of scientific knowledge sources acts as an important way for latecomer economies to absorb heterogeneous and complementary scientific knowledge and enhance their innovation capabilities.
Third, China faces difficulties in gaining technological advantages in sectors characterized with high diversity of scientific knowledge. Organizations with different knowledge endowments present significant differences in innovation motives and patterns. Chinese inventors have weaker abilities to master complex scientific knowledge and rely more on knowledge in narrow domains in the process of scientific knowledge transfer. They have not been able to effectively utilize the achievements of multiple scientific knowledge fields to generate high-quality innovation. Technology innovators need to have a certain depth and breadth of knowledge to combine the scientific knowledge required for technological innovation and carry out subsequent integrated innovation.
Finally, it is difficult for China to gain technological advantages in sectors where contribution of corporate science is high. Private basic research plays an important role in innovation in such sectors. It is hard for firms to transform scientific knowledge into technological innovation without enough efforts in understanding and absorbing cutting-edge science. The domestic scientific knowledge cited by Chinese patents are mainly produced by public institutions. In contrast, developed economies have a higher proportion basic research investment in private sectors, resulting in outstanding technological innovation, especially in science-intensive fields.
These research findings will contribute to understanding the impacts of scientific knowledge to innovation, as well as characteristics of scientific knowledge of advantageous technological fields in China, thus providing policy implications for technological catch-up. This will deepen the theories of technological regime and enrich empirical evidences on the relationship between science and technology.
Key words: scientific knowledge; non-patent reference; characteristics of science and technology; latecomer economies; technological catch-up
引用本文：李梦柯,王芳.产业创新的科学知识特征对中国技术追赶的影响[J].科研管理,2024,45(3):10-19.
