【作者】 夏茂森；

【导师】 王元；

【作者基本信息】 辽宁大学 ， 技术经济学， 2013， 博士

【摘要】 自1995年江苏海门产业基地建设以来，产业基地越来越被理论和实践所认知和重视，在十多年的时间中，产业基地在理论界和实践中得到充分的发展。高技术产业基地战略与高新技术开发区、高技术产业基地科技发展战略成为我国区域科技发展中重要的科技战略。自1995年我国建立第一个产业基地以来，依托科技部火炬中心，经科技部认定的国家级高技术产业基地已经超过了200家，成为促进我国区域科技创新的重要载体。我国正处于经济发展方式转型的重要时期，科技创新、高技术产业的发展是“创新型社会”战略实现的核心环节，而高技术产业基地是促进高技术形成、产业化、规模化的重要模式和载体。辽宁作为我国重要的老工业基地，在中央振兴老工业基地的政策指引下，重新焕发了生机和活力,进入经济转型发展的新阶段。但辽宁省传统计划经济的影响造成区域间分工模糊，缺乏特色，趋同化的现象，造成资源总体配置的无效率和竞争力下降的现状并没根本改观，如何破解当前辽宁经济发展升级的困境，实现辽宁老工业基地的二次振兴是摆在辽宁省各级政府面前的现实问题。2008年以来，辽宁省政府从区域资源整合的角度出发，结合未来经济、技术发展趋势和自身的产业、资源优势，细分市场需求，选择既体现未来发展方向又符合自身资源优势的产业作为未来发展的战略产业，突出产业特色和差异化，实施具有地方特色的高技术产业基地建设的重大战略。在“九五”和“十五”期间，相对于南方发达省份，辽宁的产业基地建设发展缓慢，“十一五”以来，辽宁省高技术产业基地进入了加速发展阶段，截止到2013年底，全省共有高技术产业基地35个，其中省级以上18个，国家级11个。辽宁省科技厅紧紧围绕省委、省政府中心工作大力发展高技术产业基地，积极探索高科技产业的发展模式，统筹基地布局、规划产业方向、确定发展思路。截止到2010年底，辽宁省各类产业基地共实现产值2053亿元，占全省规模以上企业生产总值的11.4%；实现高新技术产品增加值410亿元，占全省高新技术产品增加值的27.8%。在辽宁东北老工业基地二次振兴中，高技术产业基地战略的实施起到承接和引领作用。辽宁省高技术产业基地的形成与发展中，各级政府起到重要甚至决定性的作用，政府干预作用明显。在市场环境相对滞后、吸引力较低的区域，运用政府干预的非常规手段对产业基地发展效果是否明显？政府干预产业基地形成、发展的理论基础何在，产业基地演化的内在机理及演化中具有哪些规律？政府的干预过多是否会造成未来发展潜力的弱化和产业空洞化的风险，政府干预的强度是过度还是不足，一系列的问题需要在理论上进行进一步分析探讨。本文基于对辽宁高技术产业基地发展的历史和现状进行分析，运用理论推演力求对上面的一些问题做以系统、深入的探讨。本论文共分为8章，内容如下：第1章主要是绪论部分，对本文写作的背景、意义、框架进行论述，对相关的理论进行梳理。第2章对产业基地的内涵、特征进行分析，重点区分高技术产业基地与产业集群、高新开发区等相似概念的区分界定，同时把市场、技术创新与知识外溢、内部网络组织作为高技术产业基地演化的三个重要影响要素，构建整个论文的主体框架。第3章重点分析产业基地演化中的市场失灵问题，认为在完全市场演化下的产业基地形成、发展中会产生市场失灵问题，而市场失灵会引发公共产品有效供给不足、资源配置不充分、不合理；运用博弈方法分析无政府干预的产业基地演化中的产业同构和无序竞争的问题，并从技术的角度分析产业基地发展中市场失灵引发的路径依赖、负外部效应、技术锁定等问题。第4章分析产业基地内部技术创新失灵的问题，对技术特别是共性技术在产业基地内部失灵问题进行探讨，分析缺乏政府干预的产业基地内部创新的不充分和非最优的原因。从产业基地内部创新网络体系构建中存在的失灵问题进行分析，认为完全依赖市场演化而缺乏市场干预的内部创新组织体系的形成、完善的进程延迟，甚至出现不可避免的缺陷。探讨产业基地内部技术锁定成因及破解。第5章论述了政府干预的效率评价，列举了政府失灵的若干情况，包括政府干预过度、干预不足和干预无效率等几种情况。并针对辽宁省高技术产业基地发展现状，分析存在潜在政府政策失灵的潜在风险，以及相对应的防范措施。第6章以对铁西区先进装备制造产业基地实地调研的调查问卷为基础，运用主成分分析、回归分析的实证分析方法，分析铁西产业基地演化中在技术创新意识、创新环境、创新绩效等方面的情况，找出其发展中存在的问题，并对政府干预的效果进行测度和评价。第7章根据上文对辽宁高技术产业基地发展中政策需求分析，对未来辽宁省高技术产业基地发展提出的政策建议。特别是将辽宁省现有产业基地按照发展阶段进行进一步分析，并采取有针对性的差异化的政策策略。第8章为本文结论、研究不足及未来研究方向。更多还原

【Abstract】 Industrial cluster has become the hot research of economic phenomenon, which haslasted for20years, And it have fully developed in theory and practice. Industry clusterstrategy and high tech Development Zone, high tech Industrial Base DevelopmentStrategy of science and technology has become an important area in the development ofscience and technology science and technology strategy in China. Since1995, Chinaestablished the first industrial base, relying onthe torch center of science department,national high tech industrial base the Minstry of science and techonogy that hasmore than200home, Has become the important carrier of regional science and technologyinnovation in China. Our country is in an important period of transformation of the modeof economic development, the development of science and technology innovation, hightechnology industry is "key link ofinnovation oriented society" strategy, and the hightechnology industrial base is an important mode and carrier of hightechnology,industrialization, large-scale.Liaoning is an important industrial base of China, the revitalization of the oldindustrial base of industrial policy in the central, coruscate the vigor and vitality of theold industrial base, entered a new stage of the transformation of economic development.Impact of the traditional planned economy in Liaoning Province caused by the regionaldivision of labor and fuzzy, lack of features, assimilation and decrease the ineffective rateandcompetitiveness overall resource allocation. The government of Liaoning provincefrom the angle of regionalresources integration, combined with the future economy,technology development and its industrial, resource advantage, select the characteristicindustry not only embodies the future development direction and in conformity with theadvantages of its natural resources as astrategic industry, highlighting the industrycharacteristics and difference. During the "Nine Five" and "Ten Five" period,development of Liaoning characteristic industrial base slowly. Since "Eleven five",Liaoning Province industrial base has entered a phase of accelerated development, theprovince’s total high-teco industrial base35, of which above the provincial level18,national level11. Science and Technology Department of Liaoning provinceprovincialParty committee, the provincial government closely around the central work vigorously the development of characteristic industry base, and actively explore the developmentmode of high-tech industry base, planning layout, planning industry direction,determine the development train of thought.By the end of2010, Liaoning Province, all kinds of industrial base,the total outputvalue of2053billion yuan, accouting for GDP of the province’s above scale enterprises11.4%; realize the high-tech product added value of410billion yuan, the added value ofhigh-tech products accounted for27.8%of the province.The formation and development in Liaoning Province, plays an important and evendecisive role of provincial government.The government play an important and evendecisive role in the formation and development of high-tech industry base of LiaoningProvince.The use of government intervention in the market environment of the unco-nventional means relatively backward, less attractiveregion, the development effect ofindustrial base is obvious? Does the use of government intervention have the effect ofindustrial bade is obvious in which the market environment of the unconventional meansrelatively backward or less attractiveregion?What is the theoretical basis of the government intervention in industry base？Whatare the rules of internal mechanisms and evolution of industrial base of the evolution?Government intervention is excessive or insufficient strength? A series of problemsneed to be further discussed in theory. In this paper, I will base on the analysis of thedevelopment history and current situation of Liaoning high-tech industry base, analysisof the system, and strive to make further of some problems of the above.This paper is divided into8chapters as follows:The first chapter is the introduction part, and I will analysize the background,significance and framework of writing paper and reviewed the related theory.In the second chapter, I will analysize the the connotation and charactistics ofindustrial base.I analysize the differences of the connotation between high tech industrialbase and industrial clusters, high-tech development zone and other similar concepts, Atthe same time, I take the market, technical innovation and knowledge spillover, internalnetwork organization as high technologyindustry base in the evolution of the threeimportant factors, and build the main framework of the whole paper.In the third chapter, I focus on the analysis of the evolution of industrial base in the market failture problem and we think the industry base will produce market failture in thecomplete market evolution formation. So the market failure can cause problems such aslack of effective supply of public products is not sufficient, the allocation of resources isnot reasonable and so on. Using the game analysis of non isomorphic industry anddisorderly competition problems in the evolution of the industrial base. And analyzesmarket failure caused by path dependence, the negative external effect, technologylocking issues from a technical point of view.The fourth chapter analyzes technological innovation within the industrial basefailure problem of technology, especially common technology industry base in theinternal failure issues. Analysis of the causes of industrial base internal innovation is notfull and non optimal lack without the government intervention. Analysize the problems inconstructing the internal innovation network of industrial base. And thinking thatdepends entirely on the market evolution, the internal organization of innovation systemwill be delayed, and even emergence of defects.The fifth chapter analyzes several cases of government failture such as excessivegovernment intervention, lack of intervention, government failture and so on. Andbased on the development situation of high technology industry base in Liaoningprovince. Analysize of potential risk potential government policy failure, andcorresponding prevention measures.The sixth chapter is based on the questionnaire investigation of TieXi manufacturingindustry base area, and using the method of principal component analysis to anlysize theproblems in the evolution of Tiexi industrial base such as innovation consciousness,innovation environment,innovation performance and other aspects of the situation,The seventh chapter based on the above analysis, to put forward the development ofindustrial base in Liaoning province in the future policy recommendations. Especiallyanaylsizing the the existing industrial base of Liaoning province according to the stage ofevolution and take targeted differentiation strategy.The eighth chapter is the conclusion, research limitation and the future research.更多还原