【作者】 贺灵；

【导师】 陈治亚；

【作者基本信息】 中南大学 ， 管理科学与工程， 2013， 博士

【摘要】 区域创新已成为理论和实践领域关注的焦点。在实践中,各级政府正试图通过加强本区域创新系统的建设来调动各创新主体及各种要素的创新积极性,为推动本地区创新能力的提升和经济社会的发展发挥独特功能。在理论界,诸多学者试图通过对区域创新的研究,深入认识其运行规律,以丰富相关理论并为完善管理措施提供参考。然而,目前有待深入地从系统协同的角度对区域创新进行考察,且研究中有待加强数理研究方法(如协同学数理方法、计量经济方法)的应用。鉴于此,本文首先从协同视角对省级区域创新系统的结构及功能进行剖析,并运用数理方法对区域协同创新能力进行测度；其次,实证分析各能力子系统发展的有序性及能力系统发展的全面协同性对区域创新绩效的影响；再次,深入探究区域协同创新能力的形成与增进机理；最后,对区域创新系统协同失灵进行诊断并提出针对性的障碍化解措施。具体地分析,主要包含以下研究内容：(1)从系统的角度构建了区域协同创新能力的结构系统,并运用复合系统协同度测度方法对区域协同创新能力进行了测度。首先,对区域协同创新能力的构成要素进行分析,并探讨了能力构成要素之间的相互作用关系,在科学、合理的原则基础上构建了区域协同创新能力测评指标体系,对指标体系进行了优化和筛选并对测评方法进行了比较和选择。其次,在收集并整理指标的相关原始数据后,运用所确立的协同度测量方法测度了区域创新能力系统的协同发展状况,并结合聚类方法对各省的这种协同状况进行比较分析,对各类地区间的差异性作了初步探讨,为依照地区特点分类设计出改善措施奠定基础。(2)实证分析了各能力子系统的有序性及能力系统的整体协同发展对区域创新绩效的影响。首先,通过简便的综合指数法测算出区域创新绩效的综合指数；再基于面板数据计量模型实证分析各子系统发展的有序性以及能力系统发展的整体协同状况对区域创新绩效的影响。研究结果表明：创新资源保障、知识创造、知识转移与配置、知识应用开发以及创新环境支撑五个能力子系统各自发展的有序性及能力系统发展的全面协同性对区域创新绩效的影响都是正向的,只不过其影响的强度有所差异。进一步的研究表明,地区间难以量化的区域创新文化的差异性对区域创新绩效的影响力度随着时间的推移而不断增强。这为后续对区域协同创新能力形成机理的探究赋予了研究的意义和必要性。(3)深入探究了区域协同创新能力的形成与增进机理。首先,基于耗散结构理论构建了区域创新系统有序协同发展的基石,即促使系统达到耗散结构状况。研究指出,系统内部会因各种矛盾和冲突产生正的熵增效应,若这种效应持续积累最终会使系统向无序方向发展,其化解措施就是从外部环境中引入负熵流以降低内部熵增从而使系统达到耗散结构状态,这是确保系统发展有序的基石。其次,运用协同学理论,从协同创新动力机制、竞争与协作机制以及协同管理机制三方面探究了协同的实现机理。研究表明,在外部负熵流及协同的实现机制的共同作用下,最终促使着区域创新系统迈向更高层次的有序结构,区域协同创新能力得以形成与提升。该研究为后续开展区域创新系统协同失灵的诊断与制度设计提供了可靠的源头性理论支持。(4)提出了区域创新系统协同失灵的三维诊断框架,并且将其应用于对我国区域创新障碍的诊断,进而提出了解决系统协同失灵、增进协同创新能力的措施。首先,对市场失灵理论、系统失灵理论、生命周期理论进行了回顾与评述。在原有市场失灵诊断框架及一维、二维的区域创新系统失灵诊断框架基础上,提出了区域创新系统协同失灵的三维诊断框架。其次,将三维框架运用到了对我国各区域创新的诊断分析当中,并将我国所有区域分成了四种典型类型：(创新系统)萌芽期-(经济)欠发达-创新组织失灵地区；形成期-一般发展-制度失灵地区；发展期-经济发达-网络失灵地区；疑似成熟后期-老工业基地-能力与范式失灵地区。最后,针对每一种类型的区域提出了有效的且具针对性的障碍化解思路及措施。障碍或失灵问题的化解会直接改善创新系统的运行状况,也就会对区域协同创新能力的增进起到积极的促进作用。更多还原

【Abstract】 Regional innovation has become the attention focus in the field of theory and practice. In practice, all levels of government attempts to strengthen the building of the regional innovation system to mobilize innovation enthusiasm of various innovative entities and elements and play a unique function for promoting regional innovation capacity and economic and social development level. In theoretical circles, many scholars tried to study the regional innovation in order to understand its operating rules in-depth and enrich relevant theory and provide a reference for improving innovation management measures. The present research is mostly lack of systematic thinking and interdisciplinary research. In particular, it is lack of a reasonable application of the mathematical research methods. In view of this fact, first of all, the structure and function of the provincial regional innovation system was dissected from a synergy perspective, and the regional synergy innovation capacity was measured with mathematical methods. Secondly, a empirical analysis was carried out to explore the impact of order degree of every capacity subsystem and comprehensive synergy of capacity system on regional innovation performance. Furthermore, the formation and promotion mechanism of regional synergy innovation capability was explored in-depth. Finally, synergy failure diagnosis frame of regional innovation systems was put forward in order to resolve relevant obstacles. Specifically, the research contains the following contents.(1) A structural system of the regional synergy innovation capability was established from systematic perspective, and the regional synergy innovation capacity was measured with synergy degree method of composite system. Firstly, we analyzed the constituent elements of the regional synergy innovation capability, and explored the interaction among capability elements. Based on the scientific and rational principles, a regional synergy innovation capability evaluation index system was established. Furthermore, we carried out optimization and screening of the index system, and selected appropriate evaluation method after systematic comparison. Secondly, after collecting and collating related indicators original data, synergy development status of regional innovation capability system was measured based on the established synergy measurement methods. Furthermore, synergy innovation status of all provinces was analyzed with cluster analysis method, and various types of inter-regional differences were discussed preliminary.The results lay the foundation for improving classified measure according to regional features.(2) An empirical analysis was carried out to explore the impact of order degree of every capacity subsystem and comprehensive synergy of capacity system on regional innovation performance. First of all, regional innovation performance comprehensive index was measured by comprehensive index method. Based on panel data, we explored the impact of order degree of every capacity subsystem and comprehensive synergy of capacity system on regional innovation performance. The results show that respective order degree of five capacity subsystems including knowledge resources, knowledge innovation, knowledge configuration, knowledge application and innovation environment support and comprehensive synergy of capacity system has positive effect on regional innovation performance, however, the impact strength has difference. Further studies show that regional difference in non-quantifiable innovation culture has obvious effect on regional innovation performance, and the effect has an upward trend as time goes by. The results provide research significance and necessity for exploring formation mechanism of regional synergy innovation capability.(3) The formation and promotion mechanism of regional synergy innovation capability was deeply explored. First of all, based on the theory of dissipative structure, the synergy development foundation of region innovation system was established. Results show that various contradictions and conflicts will produce entropy increase effect, and continued accumulation of this positive entropy will lead entire system to the disorder direction. Furthermore, the defuse measures were put forward, that is to say, negative entropy flow should be introduced into the system from external environment in order to reduce the entropy increase in the system and lead the system to dissipative structure status, and this is synergy development foundation of region innovation system. Secondly, synergy implement mechanism was analyzed from three aspects based on synergy theory, that is, synergy innovation power mechanism, competition and cooperation mechanism, synergy management mechanism. The results show that in the dual role of external negative entropy flow and synergy implement mechanisms, regional innovation system will be promoted to a much more orderly structure so that regional synergy innovation capacity can be formed and upgraded. The results provide theoretical support for synergy failure diagnosis of regional innovation systems and institution design.(4) Synergy failure three-dimensional diagnosis frame of regional innovation systems was put forward, and it was applied to regional innovation barriers diagnosis in our country, and policy recommendations was established to solve synergy failure and promote synergy innovation capability. First of all, we reviewed market failure theory, system failure theory and life cycle theory. Based on market failure diagnostic framework, one-dimensional&two-dimensional innovation system failure diagnostic framework, three-dimensional diagnostic framework of regional innovation systems synergy failure was put forward. Secondly, the three-dimensional framework was applied to regional innovation diagnosis practice, and all regions in our country were divided into four typical types:"infancy period-economics under development-innovation organization failure region","formation period-general development-institution failure region","developing period-economics developed-network failure region","suspected post-mature period-old industrial base-capability and paradigm failure region". Finally, for each type of region, the relevant effective and targeted ideas and measures to overcome barriers were proposed. Resolving obstacles or failures will directly improve innovation system operation condition and also enhance regional synergy innovation capability.更多还原