【作者】 李伟庆；

【导师】 黄先海； 汪斌；

【作者基本信息】 浙江大学 ， 西方经济学， 2011， 博士

【摘要】 自主创新是当前区域经济发展的热点议题,提高自主创新能力已上升为我国地区乃至国家战略。在经济全球化和区域一体化背景下,地区自主创新能力不仅取决于区域研发创新投入的内源式创新,而且还取决于从其他地区获取技术研发外溢的程度。其中区际产业转移已成为我国地区尤其是欠发达地区获取外源性技术研发外溢的主要渠道,因而区际产业转移对自主创新的溢出效应是当前经济学研究中一个较为新颖的论题,自主创新效应也是我国实施产业转移过程中国家战略预期的关键之一。当前国内外有关产业转移对自主创新溢出效应的研究,更多的集中在以直接投资为主要载体的国际产业转移对东道国自主创新的影响,以及区际产业转移中自主创新的必要性、缺失原因等定性分析上。有关区际产业转移对地区自主创新影响的机理分析和经验性实证研究明显不足,尤其是针对我国特定区域,分析国内区际产业转移对自主创新溢出效应的理论和实证专题研究更是缺乏。因此,积极研究国内区际产业转移的自主创新效应,系统地探讨其作用机制及其影响因素,无疑具有重要的理论价值和现实意义。在梳理相关研究文献的基础上,本文按照区际产业转移对自主创新溢出的效应、区际产业转移对自主创新溢出的作用机制及其影响因素的研究思路展开理论研究,并运用安徽和重庆2004-2008年地区与行业层面的面板数据,实证检验区际产业转移对地区自主创新的影响。本文的主要研究内容与研究成果有以下方面：论文的数理研究中,本文通过运用数理模型,推导了区际产业转移对自主创新溢出的效应。(1)依据区际产业转移对自主创新溢出的主要影响方式,构建了区际产业转移自主创新效应的理论框架,提出技术研发溢出效应、技术直接转移效应和集聚效应三种创新效应,并进行了详细的论证。分析显示,本地学习吸收效率越高,区际产业转移的技术研发溢出效应越大；本地人力资本积累越快,技术直接转移效应促使本地技术创新越明显；区域产业集聚与本地自主创新呈倒U形的关系。(2)论证了区际产业转移对自主创新溢出的作用机制和影响因素,分析表明,区际产业转移创新效应的传导机制分为行业内水平溢出的四种创新机制和行业间垂直溢出的链接-创新机制,以及中间产品-创新机制和集聚-创新机制；分析表明区际产业转移的创新效应还受到地区层面的经济发展水平、人力资本存量、研发投入、经济开放度、基础设施和产业集聚因素以及行业层面的技术差距因素的影响。论文的实证研究中,本文分别从安徽和重庆地区与行业层面检验了区际产业转移对自主创新的溢出效应及其影响因素。(1)检验表明,在地区层面,区际产业转移对地区自主创新产生显著正向的溢出效应,验证了区际产业转移自主创新效应的存在性。分组回归结果进一步表明,这种创新溢出效应主要体现在一些技术水平相对较低的实用新型和外观设计专利方面,在技术水平相对较高的发明专利方面,区际产业转移的创新溢出效应不显著。而影响区际产业转移自主创新效应的因素研究表明,人力资本存量、研发支出、地区经济发展水平、基础设施和产业集聚程度对区际产业转移的自主创新效应产生显著正向的影响；地区经济开放度对区际产业转移创新溢出的影响不显著。(2)检验表明,在行业层面,区际产业转移对行业内自主创新产生显著正向的溢出效应,验证了行业内区际产业转移的自主创新效应的存在性。行业内影响因素的检验表明,两类企业适度的技术差距对区际产业转移的自主创新效应产生显著正向的影响。区际产业转移对行业间前后向产业自主创新产生显著正向的溢出效应,而且前向作用强度都要比后向大。上述检验进一步验证了区际产业转移中相关创新机制的存在性。在理论研究与实证分析基础上,本文得出了一些研究结论,同时,借鉴国际产业转移对创新溢出的相关经验和政策导向,提出中国区际产业转移对自主创新溢出效应的政策建议和策略选择。本文的可能创新之处在于：(1)扩展和丰富了区际产业转移与自主创新的关联理论,从地区和行业层面对区际产业转移的自主创新效应及其影响因素进行实证检验,一定程度上填补了该领域经验性实证的空白,揭示了区际产业转移与FDI作用强度的差异性。(2)从我国区际产业承接及其对自主创新溢出影响方式的视角分析中国区际产业转移对自主创新溢出的效应、影响因素和内在传导机理,这是一种重要的视角突破。(3)采用动态分析法、比较分析法和连乘交叉分析法等多种分析法,将区际产业转移的创新溢出效应、影响因素、两类企业互动程度等内涵纳入实证分析框架中,较全面系统地实证了区际产业转移的自主创新效应。更多还原

【Abstract】 Independent innovation is the current hot topic of regional economic development, enhancing the independent innovation capability has become our regional and national strategies. In the background of economic globalization and regional integration, regional independent innovation capability depends on not only the endogenous innovation, but also the degree of access to technological R&D spillovers from other areas. Interregional industrial transfer has become the main channel for regions, especially the less developed regions to obtain exogenous R&D spillovers. For this, the independent innovation effect of regional industrial transfer is an newer topic among the international economics research, and is also the critical one of national strategic prospects during China’s implementation of the industrial transfer. the current domestic and foreign study about the spillover effects on independent innovation of industrial transfer, more focused on the influence of international industrial transfer to the host of independent innovation through direct investment as the main carrier, and the qualitative analysis of independent innovation necessity & lack reasons during the regional industrial transfer. The mechanism of analysis and empirical evidence about regional industrial transfer impact on regional independent innovation is obviously insufficient, especially for specific regions in China, the theoretical and empirical case studies is the lack of the independent innovation spillover effect of domestic regional industrial transfer. Therefore, actively researching the independent innovation spillover effect of domestic regional industrial transfer, and systematically exploring its mechanism and its influencing factors, Undoubtedly has important theoretical and practical significance.Based on domestic and abroad the research literature, this paper start theoretical study in accordance with the innovation spillover effect and mechanisms of regional industrial transfer, and its influencing factors. This paper deeply analyses the influence on independent innovation. For this, an empirical test is carried out bye using Anhui and Chongqing provincial region and industry panel data during 2004 and 2008. The main research contents and results are the following.In mathematical research, this paper derives the innovation spillover effect of regional Industrial transfer by using the mathematical models. First, based on the the main effect means of regional industrial transfer impact on innovation overflow, this paper constructs the theoretical framework of the regional industrial transfer innovation effect, proposes R&D spillovers effect, technology transfer effect and the cluster effect, and carries out a detailed argument. Analysis shows that the higher the efficiency of the local study and absorb, the greater R&D spillover effect of regional industrial transfer is; The faster the local human capital accumulates, the more obvious technology direct transfer effect promotes local technological innovation; Regional industrial cluster and the local innovation is inverted U-shaped relationship. Second, demonstrates the mechanism and influence factors of regional industrial transfer spillover effect on innovation. Analysis shows that transmission mechanisms of the innovation effects of regional industrial transfer has the four innovative mechanisms of level overflow within industry, links-innovative mechanism of the vertical overflow between industries, intermediate products-innovative mechanism and clustering-innovative mechanism; Analysis also shows that the innovation effects of regional industrial transfer are affected by the level of economic development, human capital, R&D investment, economic openness, infrastructure, industry agglomeration factors on regional level and the technology gap factor at regional level.In empirical research, this papers examines the regional industrial transfer of spillover effects on innovation and its influencing factors from Anhui and Chongqing region and industry, test shows that at the region level, regional industrial transfer has significant positive spillover effects to regional innovation, which verifies the existence of innovation effect of regional industrial transfer. Group regression results further show that the spillover effects of these innovation are mainly reflected on utility model and design patents at the relatively low technical level, But invention patents at relatively high technical level, innovative spillover effect of regional industrial transfer is not significant. While the impact factors of innovation effect of regional industrial transfer shows that human capital、R&D spending、the level of economic development、infrastructure and industrial concentration degree has significant positive spillover effects to regional innovation of regional industrial transfer, but the regional economic openness to innovation spillover effect of the regional industrial transfer is not significant. Test also shows that at the industry level, the innovation of regional industrial transfer within industry has a significant positive spillover effect, which also verifies the existence of innovation effect of regional industrial transfer within industry. Effect factors within industry shows that technological gap on two types of enterprise has significant positive spillover effects to innovation of regional industrial transfer. Regional industrial transfer has a significant positive spillover effect to before and after the industrial innovation, and the strength of the before industry is better than that of the after industry. These test further verifies the existence of mechanisms related to innovation during the regional industrial transfer.Based on theoretical ang empirical analysis, this paper draw some conclusions, at the same time, refer related experience and policy guidance on innovation spillover effects of the international industrial transfer, and puts forward the strategy choice and policy recommendations on innovation spillover effects of Chinese industrial transfer.The innovations of this article may be that expand and enrich the correlative theory of independent innovation and industry transfer, empirically verify innovation effect of regional industrial transfer and its influencing factors from regional and level, which fill gaps in empirical testing field, that analyse spillover effect, influencing factors and the intrinsic conduction mechanism of innovation spillover effects of Chinese regional industrial transfer from the perspective of Chinese regional industrial undertaking and its on the way of influence to independent innovation, which is an important breakthrough in perspective. That with a variety of analysis methods such as dynamic analysis, comparative analysis and even by cross-analysis and other analysis, this paper puts the innovation spillover effect of regional industrial transfer, influencing factors, the degree of interaction between two types of enterprise content into the empirical analysis framework, which more comprehensive and systematic empirically verifys the innovation effect of regional industrial transfer.更多还原