【作者】 杨代刚；

【导师】 张军涛；

【作者基本信息】 东北财经大学 ， 区域经济学， 2013， 博士

【摘要】 在人类发展和社会进步的演化中,科技创新始终担负着重要角色。科技创新在加速产业结构调整和产品技术升级的同时,还推进着地方经济规模的扩张和区域竞争优势的转化,其能力和水平正日益成为区域获取竞争优势的决定性因素,是社会经济实现可持续发展的核心与根本性所在。区域科技创新能力不仅来源于区域内高等院校、研发机构及企业等创新主体的内部活跃程度,也来源于良好的制度环境。我国各地区间社会经济发展程度并不平衡,区域间在资源禀赋、政府行为、创新主体等方面存在较大差距,且多数差距并未出现明显的缩减趋势。对于不同区域的创新主体而言,其所在区域的市场化进程、政府干预程度、金融发展水平和法治水平等制度环境因素也相差甚远,而此类差异必然对我国不同区域的科技创新能力产生关键性影响。本文以我国特殊的转轨时期为研究背景,以制度环境与区域科技创新能力关系为研究主线,通过理论分析和实证研究,探讨了制度环境对区域科技创新能力的影响机制。全文共分为六个部分：第一章为绪论,主要阐述了选题背景、选题意义、研究框架和技术路线；第二章为理论基础和文献综述,论述了熊彼特创新理论、区域创新体系理论、区域创新网络理论、现代区域发展理论、进化经济学理论和制度经济学理论等理论基础,并对国内外相关文献进行了归纳和梳理；第三章为我国省级行政区域科技创新能力评价研究,从科学研究能力、技术创新能力、知识及技术流动和科技创新环境等四大层级出发,构建了较为系统的区域科技创新指标评价体系,采用因子分析法对我国省级行政区域科技创新能力进行评价；第四章为我国各省级行政区域科技创新能力分布特征研究,采用聚类分析对各省级行政区域科技创新能力进行归类,绘制了我国科技创新能力区域分布特征图,并对各区域科技创新能力发展趋势进行了分析；第五章：区域制度环境与科技创新能力的关系研究,分别检验了政府干预、法治水平、金融发展水平、科技成果市场化程度和制度环境与区域科技创新能力之间的关系,发现制度环境的改善有利于科技创新能力的提高；第六章为研究结论与展望,对本文研究结果进行了详细的总结和归纳,针对存在的研究不足,提出了日后研究的建议和思路,最后给出了提升科技创新能力的政策建议。本文主要取得以下三个方面的研究成果：首先,科学评价了我国省级行政区域的科技创新能力。从科学研究能力、技术创新能力、知识及技术流动和科技创新环境等四大层级出发,构建了涵盖25项指标的区域科技创新能力评价指标体系,通过因子分析提取企业技术因子、技术创新环境因子、科研和服务因子、校企综合创新因子以及技术和知识吸收因子等5大主因子,科学评价了我国30个省级行政区域的科技创新能力。其次,从经济地理学的角度分析了我国科技创新能力的分布特征。本文采用聚类分析法对我国省级行政区域科技创新能力进行分析,划分了科技创新能力领先地区、科技创新能力较强地区、科技创新能力中游地区和科技创新能力待提高地区等四大区域,绘制了我国科技创新区域分布特征图,从地理特征角度直观反映了我国各地区的科技创新水平和发展程度并不平衡这一现状——科技创新能力相对较高的地区大多分布于东部,而区域间存在显著差异。最后,实证研究发现制度环境因素与科技创新能力呈正相关关系,制度环境的改善有利于提升科技创新能力。本文以我国30个省级行政区域面板数据为研究对象,从政府干预程度、法治水平、金融发展水平和科技成果市场化程度四个方面出发,深入研究了制度环境与科技创新能力之间的关系。实证结果发现,制度环境因素显著影响科技创新能力,政府干预程度与科技创新能力呈显著负相关关系,法治水平、金融发展水平、科技成果市场化程度与科技创新能力呈显著正相关关系,即政府干预程度越低、法治水平越高、金融发展水平越高、科技成果市场化程度越高,区域的科技创新能力越强。整体而言,制度环境与科技创新能力呈显著正相关关系,即制度环境的改善有利于区域科技创新能力的提升。更多还原

【Abstract】 In the evolution of human development and social progress, scientific and technological innovation is always burdened with the important role. Scientific and technological innovation has accelerated industrial structure adjustment and technological upgrading of products, at the same time, it push forward the expansion of the local economy scale and the transformation of the regional competitive advantage, its ability and level is increasingly becoming a decisive factor to gain competitive advantage of the area and it is the core and fundamental of the socio-economic achieve development sustainable. Regional technological innovation capability not only from the internal level of activity of the main innovation of universities, research institutions and enterprises in the region, but also from a good institutional environment. The degree of social and economic development of China is imbalance, there is a larger gap in terms of resource endowments, governmental action, the main innovation in the region, and most gap does not appear to significantly reduced trend. For the different regions of the main innovation, their regions’ level of institutional environment factors such as market process, the degree of government intervention, the financial level of development and the rule of law are quite different, such differences will inevitably produce underestimated crucial influence to scientific and technological innovation capability of China’s different regions.This thesis regard our country’s special transition period as background, regard the relationship between the institutional environment and government scientific and technological innovation ability as the main line. Through theoretical analysis and empirical research, this study analysis the impact mechanism of the institutional environment to government science and technology innovation ability. This article is divided into six parts:the first chapter is the introduction, mainly on the research background, the significance of the topic, the research framework and technical route; Chapter II as the theoretical basis and a literature review discusses Schumpeter’s innovation theory, the theory of the regional innovation system, regional innovation network theory, the modern regional development theory, the evolution of economic theory and institutional economic theory, combing and synthesis the relevant literature; Chapter IE is the scientific and technological innovation ability evaluation study of the provincial-level administrative region in China. The four-level departure from the ability of scientific research, technological innovation ability, knowledge and technology flows and technological innovation, then build a systematic regional scientific and technological innovation evaluation system, and use factor analysis to evaluate the scientific and technological innovation capability of China’s provincial-level administrative regions Chapter IV researches the distribution characteristics of scientific and technological innovation capacity of the provincial administrative regions in our country, the technological innovation capacity of the provincial administrative regions classified using cluster analysis, drawing regional distribution feature maps of China’s scientific and technological innovation capability and analyzing the regional science and technology innovation capacity development trend. Chapter V researches the relationship between regional institutional environment and technological innovation capability, tested the relationship between government intervention, the level of the rule of law, the level of financial development, the market degree of scientific and technological achievements and institutional environment to the government’s scientific and technological innovation capability, found that the institutional environment improve is good for the improvement of scientific and technological innovation capacity; Chapter VI is the research conclusion and outlook, detailed review and summarize the results of this study. Proposed future research suggestions and ideas for the shortage surviving in the study in this article, and finally gives some policy recommendations to enhance the technological innovation capability.The major contributions of the dissertation are as follows:Firstly, this thesis has scientifically evaluated the scientific and technological innovation ability of the provincial administrative area in China. The thesis state out its point from the following four levels:scientific research ability, technical innovation ability, knowledge and technical flow as well as scientific and technological innovation, constructing a evaluation index system which consists of25indexes of regional scientific and technological innovation ability, evaluating the creative ability of science and technology of30provincial administrative area of our country by analysing5main factors such as extraction enterprise technology factor, technology innovation environment factor, scientific research and service factor, school&enterprises comprehensive innovation factor as well as technology and knowledge absorption factor. Secondly, from the perspective of economic geography, this thesis shows the distribution of scientific and technological innovation ability in China, which is concentrated mainly in the east. This thesis employs cluster analysis methodology to study the technology innovation capability of provincial-level administrative regions, dividing these regions into four categories, namely leading, advanced, medium and developing areas, offering a vivid picture of China’s regional distribution status of scientific and technological innovation, directly reflecting the unbalanced development in terms of geographic features of our country, which means significant differences remain to be a problem and technology innovation capability tends to be much more distinguished in the east.Finally, the empirical study finds that the system environment factor and the capacity of technological innovation are positively related, the improvement of system environment is conducive to the improvement of ability of innovation of science and technology.Based on our country30provincial administrative area panel data as the research object, from the four aspects of the government intervention level, the level of the rule of law, financial development level and the degree of marketization of scientific and technological achievements, this passage makes a deep research on the system environment and the relationship between the creative ability of science and technology. The empirical findings are as follows:the factor of the system environment has significant effect on scientific and technological innovation ability. There is a significant negative correlation between the degree of and government interference and the sci-technology innovation ability. The level of legal system, the financial development level and the marketing degree of scientific and technological achievements have a significant positive correlation with sci-technology innovation ability. That is, the lower the degree of and government interference, the higher the level of legal system, the financial development level and the marketing degree of scientific and technological achievements, the stronger the sci-technology innovation ability of the government.In a whole, the system environment and the sci-technology innovation ability have a significant positive correlation with each other:the improvement of the system environment may be beneficial to the promotion of the government sci-technology innovation ability.更多还原