【作者】 李大为；

【导师】 刘秉镰；

【作者基本信息】 南开大学 ， 区域经济学， 2012， 博士

【摘要】 伴随经济全球化的快速发展和知识经济时代的到来，产业集群技术创新已经成为保持产业集群竞争优势和实现产业集群可持续发展的重要动力。产业集群技术创新网络能够提高产业集群内部各企业的技术创新能力。本文在理论研究部分。首先阐述了产业集群和产业集群技术创新的联系，从影响产业集群技术创新的因素和产业集群技术创新网络的角度，分别论述了产业集群的各组成部分对产业集群技术创新的作用因素，认为产业集群技术创新过程是一个复杂的系统工程，使产业集群各要素在一定的社会经济环境条件下相互作用、相互促进的结果。其次，从交易成本节约、产业价值链上的知识共享、互补性资产和产业集群的知识溢出效应等分面对产业集群技术创新的内在机理进行了理论分析，然后从产业集群技术创新网络的结构、运行机制和功能实现机制等方面对产业集群技术创新网络的技术创新机理进行了中论述。通过构建微观经济模型基于博弈论分析技术创新下的溢出效应与集聚效应的内部作用机制，并通过测度溢出效应、集聚效应、技术创新验证内部机制。在上述分析及的基础上，分别对一般制造业产业集群的技术创新机理和高新技术产业集群的技术创新机理进行了深入分析。认为产业集群中各企业之间地理位置的邻近性以及由此形成的交流与学习、知识溢出、产业链协作机制、正反馈与自身强化机制等在市场需求的作用下对推进产业集群技术创新具有重要的作用和意义。论文测算了区位熵指数与Herfindahl指数，对生产性投入与创新性产出的集聚显著性进行了比较，探究了产业集聚与技术创新之间的产业相关性；然后通过测算空间指数，对生产投入与创新产出之间的空间分布特征进行比较，分析了产业集聚与技术创新之间的空间相关性；最后从分行业的专业化、多样化以及企业的竞争性角度，使用生产投入指标对中国分省市产业集聚的三种溢出效应进行了测算和排名，结果显示，产业集聚与技术创新具有明显的相关性，使用产业集聚相关指标对技术创新进行回归分析具有较大程度的可行性。此外，相比于高技术产业来说，空间因素对工业集聚的技术创新效应影响更大。在以上测算基础上，论文通过二维面板、空间模型与三维面板先后对工业与高技术产业的集聚与创新效应进行回归分析，主要得出以下基本结论：三种集聚溢出效应对创新活动的作用各有不同。对于高技术产业集聚来说，某一地区相对于其它地区较多的分行业对创新活动具有一定的积极影响；分行业的过于单一、竞争性过于激烈对创新活动具有抑制作用；此外，高技术产业分行业的产业集聚与创新集聚对创新活动具有推进作用，相比而言，前者的作用更为突出。对于工业集聚来说，较多的分行业与激烈的竞争对技术创新具有推进作用，分行业的单一性不利于工业创新；相比于工业，高技术产业的创新活动受空间相关性影响较小，产业的空间集中现象不明显，呈现出分布不均现象。更多还原

【Abstract】 With the rapid development of economic globalization and the coming ofknowledge economy era, technological innovation has become an important drivingforce for industrial clusters to maintain competitive advantage and achieve sustainabledevelopment.The technological innovation network in industrial clusters can improvethe technological innovation capacity of enterprises in it. In the theoretical study part,the thesis firstly described the contact of industrial clusters and technologicalinnovation, and respectively analyzed roles of various components of industrialclusters on technological innovation from the perspective of the factors affectingtechnological innovation and innovation networks. It thought that the process ofindustrial clusters’ technological innovation was a complicated systematic project, inwhich each component of industrial clusters mutually promotes under certainsocio-economic environmental conditions. Secondly, the thesis did theoreticalanalysis on internal mechanism of industrial clusters’ technological innovation fromsuch sides like reducing transaction costs, sharing the knowledge of industrial valuechain, complementary assets and knowledge spillage effects. Thirdly, the papermainly described the innovative mechanism of industrial clusters’ technologicalinnovative networks from its structure, operation mechanism and function achievingmechanism and so on. Through the constructing of micro-economic model based ongame theory, the paper analyzed the internal acting mechanism of spillover effects andcentralizing effects under the technological innovation, and verified the internalmechanism by measuring spillover and centralizing effects and technologicalinnovation. On the basis of the above analyses, the thesis respectively did deepanalysis on mechanisms of usual manufacturing industrial clusters and high-new-techindustrial clusters. Then it included that the closely geographical enterprises inindustrial clusters have mutual exchange and learning, knowledge spillovers,industrial chain coordination mechanism, positive feedback and self-reinforcingmechanism under the effect of market demand, and have important role in promotingthe technological innovation of industrial clusters.The thesis estimated the location quotient index and the Herfindahl index,compared the distinction of centralizing between productive inputs and innovativeoutputs, and explored the industrial correlation between industrial agglomeration andtechnological innovation. And then through measuring the spatial index, it comparedthe characteristics of spatial distribution between productive inputs and innovativeoutputs, and analyzed the spatial correlation between industrial agglomeration andtechnological innovation.Finally, it used productive input indicators to calculate andrank the three spillover effects of some provincial and municipal industrial clustersfrom the perspective of sub-industry specialization, diversification andcompetitiveness of enterprises. The results show that industrial agglomeration has asignificant correlation with technological innovation and there is much feasibility to do regression analysis on technological innovation by using related indicators ofindustrial clustering. In addition, compared to the high-tech industries, space factorshave a greater impact on the technological innovation effect of industrialagglomeration.On the basis of above calculation, the thesis respectively did regressionanalysis on the effects of industrial and high-tech industrial agglomeration andinnovation through two-dimensional panel, space model and three-dimensional panels,and drew the main conclusion that the three spillover effects had different effect oninnovation activities. As for high-tech industrial agglomeration, a region with muchmore sub-industries than other regions has some kind of positive impact on innovationactivity. Alone sub-industry and much fierce competition have negative effect oninnovation activities. In addition, the industrial agglomeration and innovationagglomeration of sub-industry of high-tech industry has positive effects on innovativeactivities and the former is more prominent. As for industrial concentration, muchmore sub-industries and fierce competition has pushing effect on technologicalinnovation, and the unity of the sub-industry is not conducive to industrial innovation.Compared to industry, high-tech industrial innovative activity is less affected byspatial correlation, and the spatial concentration of industry is not obvious, whichshows a uniform distribution.更多还原