【作者】 黄林秀；

【导师】 王锡桐；

【作者基本信息】 西南大学 ， 农林经济管理， 2011， 博士

【摘要】 对于发展中国家来说,实现经济平稳、快速、健康的的发展是经济政策关注的目标之一。我国通过改革开放,打开国门承接国外产业转移,业已实现了经济多年的高速增长,被世界称为“中国模式”。但这个模式是建立在高能耗、高资源消耗、高污染和低效率、低技术含量的基础上的,可以说是高速的但是是不健康的,这种模式发展到今天,随着中国经济总量的增大,资源稀缺表现愈发突出,加上劳动力成本提高,越来越难以为继。我国经济正面临产业转型和升级的内在要求和外在压力,产业和经济的发展迫切需要得到技术层面的支撑。但我国技术发展长期以来处于“引进-落后-再引进-再落后”的恶性循环,即所谓的“技术发展陷阱”,如果不跳出陷阱,最终可能形成制造大国、创新弱国局面。通常认为,二次创新低是造成我国“技术发展陷阱”的根本原因。本文系统梳理了产业转移和技术引进消化吸收创新的有关理论,在此基础上对我国产业转移和技术创新的实践与绩效进行了评判,然后以重庆市为例对西部地区承接产业转移和技术创新的现状和问题进行了较为详细的分析,研究发现“技术发展陷阱”是由多重原因造成的,并不能简单归结为二次创新不足,核心问题是产业转移和技术创新存在严重脱节、没有实现协同发展。主要表现在三个方面：(1)从产业、技术的引进环节,西部地区存在重“招商引资”、轻“招商引技(术)”现象,起点不协同；(2)从技术引进到吸收消化创新环节,存在重“引进”、轻“消化吸收创新”现象,过程不协同；(3)从企业层面到政府层面,主体不同,目标和驱动力不同,造成各主体之间的关系不协同,政府所需非企业所愿。基于此,论文选择“西部地区承接产业转移和技术创新协同演化”进行研究,既可借鉴东部地区在产业转移和技术引进消化吸收创新方面的经验教训,又可抓住西部地区正面临的承接产业转移、产业结构调整与技术升级的快速发展的难得机遇。因为产业转移和技术创新协同演化是一个全新的视角,本研究借鉴协同演化理论的成果,构建了基于企业联盟的产业转移和技术创新协同演化模型,将企业作为自组织系统,将政府作为它组织系统,将企业联盟作为序参量。依托模型,提出实现协同发展的新思路：(1)企业是产业转移和技术创新的主体,政府只能作为外在变量发挥作用。(2)西部地区在国际、国内的双重压力下,确定产业、技术引进的切入点至关重要。(3)政府的介入方式应该针对引进消化吸收创新不同的环节分层次、有步骤地进行。(4)企业联盟是延伸企业规模、降低企业风险、增加谈判筹码、避免重复引进的最有效的方式。结合西部地区承接产业转移和技术创新协同演化存在的问题,提出相应的政策建议,具体包括：切入点的选取要严格把关,通过技术门槛的设置,要将其引导到主导产业、优势产业和高技术产业领域,限制涌向房地产产业的局面；政策的制定要遵从市场规律,依据利润最大化原则制定政策,引导外商转移自己需要的产业、技术,既要避免盲目引进、重复引进,还要保证政策操作的可行性；在技术引进消化吸收创新环节,加强企业和政府、企业和企业之间的合作,尤其要设立企业、技术联盟来降低技术投入的风险,建立企业之间的人才共享机制；限制外商独资化倾向,在让渡市场作用受限的情况下,需要创新管理模式,形成外商愿意合作、合资的新平台；改进技术引进方式,要在企业联盟的基础上形成分工协作机制,将技术引进从成套设备的引进导向关键技术、核心技术的引进。本研究的最终目标是通过西部地区产业和技术的协同发展,以产业转移带动技术进步,以技术进步促进产业升级,发挥后发优势,实现赶超战略。更多还原

【Abstract】 In the case of developing countries, achieving a smooth, rapid and healthy economic development is one of the objectives of economic policy. Through reform and opening-up, undertaking foreign industrial transfer, China has achieved economic growth over the years, which is known as the "Chinese model". However, this model is based on high energy consumption, high resource consumption, high pollution and low efficiency, low technology, namely, it is speedy but unhealthy. Coupled with the increase of China’s economic aggregate, the scarcity of resources and the increase of labor costs, this model is becoming increasingly untenable. Our economy is experiencing the internal requirement and external pressure from industrial restructuring and upgrading, its industrial and economic development urgently needs technical level supports. However, our technical development has been in the state of a long-term vicious circle—introduction, then backwardness, then introduction, then backwardness, that is, so-called "technical development trap ", which may lead to the situation of a large manufacturer with weak innovation.It is usually believed that the secondary innovation is the basic reason for "technical development trap". Having done up theories related to industrial transfer and technical import, this paper assessed the practice and effectiveness of industrial transfer and technical innovation, then it analyzed in detail the problems and status by taking Chongqing’s transfer and innovation as an example. Researches found out that technical development trap is caused not simply by the absence of second innovation but by multiple reasons, with the essential problem of the disjunction between industrial transfer and technical innovation followed by the failure of balanced development.1) In the aspect of industry, the introduction of technological, we laid more emphasis on attracting investment than that on attracting techniques in western region.2) From technical introduction to absorption, digestion and innovation we paid more attentions to the introduction than those to absorption, digestion and innovation.3) From the enterprise level to the government level, they have different objectives and the driving forces, resulting in the different desire and inharmonious relationship. Based on this, through the study of the co-evolution of undertaking industrial transformation and technical innovation in western region, utilizing the experiences in this field in eastern region and taking the rare opportunity available to western region, the paper supplied new ideas for coordinative development.1) Make policy on the basis of profit maximization principle, the guidance foreign enterprises to transfer the industry and technology we need, avoiding blind introduction.2) Enhance the government-enterprise and enterprise-enterprise cooperation in the link of technical digestion, absorption and innovation, especially set up the technical alliance to reduce the risk of technical investment the risk, and establish the talent-shared mechanism between the enterprises.3) Limit wholly foreign-owned tendency, and innovate management model in the situation of limited action of transferring market. The ultimate goal is to employ industrial transfer to spur technology advancement, then to promote industrial upgrading, and to play to the strengths to achieve catch-up strategy.Through a fresh angle of coevolution of industrial transfer and technical innovation, the research set up a model of coevolution based on Keiretsu, which regarded business as self-organizing system, the government as other-organizing system, and Keiretsu as order parameter. New thinking based on the model to achieve convolution is as follows: Firstly, enterprises are the subject of industrial transfer and technical innovation, while the government functions as an external variable; Secondly, it is important for western China,under the dual pressure from inside and outside of the county, to select an entry point for industrial and technical import; Thirdly, involvement of government is supposed to be in proper order according to different procedures and levels; Fourthly, Keiretsu is the most effective pattern which expands scale of business, decreases risks, generates power to negotiate and avoids duplication of imports. Considering the problems of coevolution in western China’s industrial transfer and technical innovation, the paper recommended following suggestions. Select the entry point of industrial transfer and technical innovation very carefully. With the design of technical threshold, the entry point is expected to direct the transfer to leading industry, competitive industry and hi-tech industry, instead of real estate; Make policies consistent with market discipline. With principle of profits maximum, policies are made to pilot foreign businesses to transfer the industry and technology they need, to prevent blind and/or duplicate import, and to ensure the feasibility; Strengthen the cooperation between firms and governments in the process of technical import and digestion. Organize business alliance and technical alliance to decrease risks of technical invests and set up mechanism of talents sharing; Restrict the tendency of single proprietorship of foreign firms. When the release of market is limited, it is required to innovate pattern of management and set up a new platform on which foreign firms are willing to cooperate and invest; Improve the pattern of technical import, establish mechanism of labor division, and turn import of complete plant into import of key technology. With the harmonious development of industry and technology in western China, the transfer of industry will promote advancement of technology, and technical forwardness will in turn propel the upgrade in industries, which enables late mover advantages and forging ahead strategy to be actualized. It is the final target of this research.更多还原