【作者】 邓路；

【导师】 周立群；

【作者基本信息】 南开大学 ， 政治经济学， 2010， 博士

【摘要】 高技术产业是国民经济的战略性先导产业,近年来我国高技术产业整体规模迅速增长,2009年该产业总产值达到60914亿元,出口交货值到达29843亿元,高技术产业已成为拉动我国外贸出口及经济持续快速增长的主要推动力之在该产业整体规模快速增长的同时,我国高技术产业技术创新相对缺乏的粗放型增长方式所带来的弊端也日益显现,以技术创新带动我国高技术产业发展成为提高该产业国际产业链分工层次及国际竞争力的必然选择。在这一背景之下,本文基于技术创新的视角对我国高技术产业发展情况进行了较为全面的分析和研究,并基于产业维度以及区域维度两个方面提供了一个研究该产业技术创新效率及其影响因素的较为完整的理论分析框架。文章的第一部分主要包括本文的第一、二章,该部分对全文的研究背景、总体研究框架以及相关理论文献进行了较为深入的研究,为后续理论分析的展开奠定基础。本文的文献综述部分主要是围绕创新、技术创新以及我国高技术产业技术创新三个维度展开,其中对于高技术产业技术创新的相关文献,本文将其划分为技术创新效率、产业维度及区域维度技术创新效率三个方面进行了较为详细的阐述和梳理,并提出了本文对于技术创新这一核心概念的定义及内涵说明。文章的第二部分是本文的核心部分,主要包括第三、四、五章。第三章首先介绍了我国高技术产业的内涵及界定,并以日本为例介绍了高技术产业发展的成功国际经验。在此基础之上,本文对我国高技术产业的发展现状进行了分析,结论认为,近年来我国高技术产业整体规模迅速增长,但是技术创新相对缺乏的粗放型增长方式的弊端近年来日益显现,以技术创新及自主技术创新带动我国高技术产业发展成为提高该产业国际产业链分工层次及国际竞争力的必然选择。本文第四章主要是基于产业维度视角对我国高技术产业技术创新效率的影响因素进行了深层次的研究。本章首先运用随机前沿生产函数对我国高技术产业技术创新效率进行实证度量,认为内资企业技术创新效率起点较低,并且只有内资企业技术创新水平得到提高,才能从根本上带动我国高技术产业整体技术创新水平的持续提升。基于此,本文提供了一个包含R&D投入以及FDI技术溢出效应的高技术产业内资企业技术创新影响因素模型,并分别从R&D投入以及FDI技术溢出效应两方面对我国高技术产业技术创新及自主技术创新的影响机制展开了理论分析及实证检验。研究结论认为,研发投入对我国高技术产业整体技术创新及内资企业自主技术创新均具有显著促进作用,内资企业R&D投入与该行业内国内技术购买(DT)、技术引进(TI)及外资企业本土化R&D(FRD)溢出效应之间存在的显著博弈竞争机制客观上增强了该产业自主技术创新水平。另一方面,我国高技术产业近年来外资的大规模进入从整体上促进了该产业整体技术创新效率的提高,但是FDI的技术溢出效应表现出显著的异质性特征,并且这种异质性技术溢出效应主要体现在两个方面：第一,我国高技术产业外资进入所产生的正向技术溢出效应主要集中在该产业外资企业内部,对内资企业自主技术创新所产生的正向技术溢出效应不显著。第二,FDI在该产业内资企业中的不同三位码行业中也同样存在异质性的技术溢出效应,而行业特征差异性是造成这种异质性技术溢出效应的主要原因。第五章本文首先构建了一个在一定开放水平及技术创新环境下,包含企业、政府及科研院所等主体的区域技术创新系统理论分析框架。在此理论框架下,本章对我国高技术产业区域维度技术创新现状及其影响因素进行了实证分析。研究结论认为,区域外商直接投资水平(FDI)对于高技术产业区域技术创新效率的技术溢出效应不显著,但区域创新环境的提升对我国高技术产业区域维度技术创新效率具有显著的促进作用,且地理位置、区域消化吸收能力等因素对于我国高技术产业区域维度技术创新效率具有较为显著的影响。文章的第三部分是本文的第六章,该部分主要是对全文的研究内容进行了全面总结,并提出相关政策建议及研究展望。本文认为提升我国高技术产业技术创新能力的相关政策建议主要包括三方面：第一是以市场为导向,以企业为主体,进一步增强企业为主体的R&D投入的动力机制；第二是进一步拓宽融资渠道,建立多层次的融资服务体系；第三是进一步合理利用外资,吸引外资企业在国内设立技术研发及人员培训机构,从而更好地吸收FDI的正向技术溢出效应。更多还原

【Abstract】 High-tech industry is a strategic leading industry in the national economy. The overall size of high-tech industry in China grows rapidly in recent years. The gross output value of this industry reached 6.0914 trillion yuan in 2009, and the export delivery value reached 2.9843 trillion yuan in 2009. The high-tech industry has become one of the main driving force of exporting growth and rapid economic growth in China. While the rapid growth of the overall size of the industry, the shortcomings that the high-tech industry have the characteristics of extensive mode of growth with inadequate technological innovation appears progressively. The development of high-tech industry with technological innovation has become the inevitable choice of increasing the international industrial chain level and the international competitiveness. In this background, this paper carries out comprehensive analysis and research on the development of high-tech industry in China in the view of technological innovation, and provides a complete theoretical framework to study the efficiency and influential factors of technological innovation of this industry with the industrial and regional dimensions.The first part of the article includes the first two chapters. This part mainly studies the research background, overall research framework and the related literature, and set a foundation for the follow-up theoretical analysis. The literature review of this article mainly focus on three dimensions, that are innovation, technological innovation and technological innovation of the high-tech industry China, and the literature review of technological innovation of the high-tech industry can be.divided into the efficiency of technological innovation, industrial and regional technological innovation. In this part, we analyses the literature review in detail and make a definition and connotation of the core concept of technological innovation.The second part is the core of this article, including chapter three, chapter four, and chapter five. The chapter three introduces the content and definition of high-tech industry in China, and introduces the successful international experience of high-tech industry in Japan. On this basis, we analyses the development of high-tech industry in China. While the rapid growth of the overall size of the industry in China, the shortcomings that the high-tech industry lacks technological innovation appears progressively. The strategy of the development of high-tech industry in China with technological innovation and independent technological innovation has become the inevitable choice of increasing the international industrial chain level and the international competitiveness. The chapter four mainly analyses the influential factors on the technological innovation efficiency of the high-tech industry of China in the view of industrial dimension. The chapter four firstly measures the efficiency of technological innovation of the high-tech industry in China with stochastic frontier production function method, the results show that the technological innovation efficiency of state-owned enterprise has low starting points. Only if the technological innovation efficiency of the state-owned enterprise increases, the technological innovation efficiency of the whole industry will increase continuously. Because of this, we provides a influential factor model containing R&D investment and technological spillover effect of FDI, then analyses the mechanism of technological innovation and independent technological innovation of the high-tech industry in China in the view of R&D investment and technological spillover effect of FDI. The results show that the R&D investment has positive effect on the technological innovation efficiency of the whole industry and the independent technological innovation of the state-owned enterprise. The R&D investment of the state-owned Enterprise, the purchase of domestic technology and the R&D investment of the foreign-owned enterprise of high-tech industry exist significant competitive mechanism, and this progress enhances the level of independent technological innovation in this industry. On the other hand, the large-scale foreign investment into the high-tech industry promote the efficiency of the independent technological innovation of this industry in recent years, but it also shows significant heterogeneity, and this heterogeneity mainly reflects in two aspects:Firstly, the positive technological spillover effect of FDI mainly concentrates in the foreign-owned enterprise in this industry, the positive effect is not obvious in the state-owned enterprise. Secondly, the significant heterogeneity of technological spillover effect of FDI also exists in the 3 yards industry of the state-owned enterprise of the high-tech industry in China, and the different industrial characteristics is the main reason for the heterogeneity of the technological spillover effect of FDI.In the chapter five, we construct a theoretical framework of the regional technological innovation system in a certain level of openness and technological innovation environment, including the main subjects, such as the firms, the government, and the research institutes. In this framework, this chapter analyses the reality and the influential factors of the regional technological innovation of the high-tech industry. The results show that the positive technological spillover effect of the regional FDI is not obvious in the state-owned enterprise, but the improvement of the technological innovation environment have positive effect on the efficiency of the regional technological innovation of the high-tech industry in China. The geographic location, and the regional absorption capacity have significant effect on the efficiency of the regional technological Innovation of the high-tech industry in China.The chapter six is the third part of this article. In this part, we conduct a comprehensive summary of the whole study, and also make several relevant policy recommendations and research prospects. We argue that the relevant policy recommendations for improving the technological Innovation ability of the high-tech industry in China mainly include three aspects:Firstly, enhancing the dynamic mechanism of R&D investment to make the enterprises as the mainstay in the market-oriented way. Secondly, broaden the financing channels, building a multi-level financial service system. Thirdly, taking advantage of FDI rationally to attract foreign companies to establish R&D base and personnel training organizations in China, in order to absorb the positive technological spillover effect of FDI better.更多还原