【作者】 姜晓婧；

【导师】 肖兴志；

【作者基本信息】 东北财经大学 ， 产业经济学， 2013， 博士

【摘要】 自2008年金融危机爆发以来,世界各国纷纷加大对科技创新的投入,力争通过开发新技术和培育新产业率先走出危机。由于新兴产业在产生初期较为弱小,但却代表着未来的发展方向,因此许多国家都会选择一些对整体经济具有战略性的新兴产业进行政策扶植和引导,旨在推动本国经济快速增长。新一轮的科技革命已经开始,对中国而言,通过培育战略性新兴产业以抢占科技制高点成为当务之急。自从发展战略性新兴产业的国家战略提出之后,理论界也掀起了相关理论与实证研究的热潮。这是因为战略性新兴产业给经济学理论提出了诸多新问题,战略性新兴产业的发展也需要经济理论的支持与推动。由于技术创新基础薄弱、技术储备不足等原因,培育发展战略性新兴产业面临技术源缺乏和重大突破研究进展缓慢等问题。在2010年年初的政府工作报告中,温家宝总理明确指出要大力培育发展战略性新兴产业。为了培育发展战略性新兴产业、优化战略性新兴产业政策环境,中央和各级地方政府密集出台了一系列战略性新兴产业扶持政策。战略性新兴产业是以重大技术突破为基础的,科技创新对于战略性新兴产业的发展起着至关重要的作用,政府创新扶持政策是否能够引导和推动企业创新水平和绩效的发展就显得尤为重要。研究战略性新兴产业的创新政策离不开对微观企业类型和产业特征的把握,从而完善培育发展战略性新兴产业的创新政策体系。政府对企业的创新扶持政策需要了解企业自身的创新激励特点,才能更有针对性的实行创新扶持政策,从而弥补企业创新激励的不足,提高企业的创新水平。自熊彼特提出创新理论以来,企业类型对创新的影响一直是理论和经验研究者重点关注的热点问题,如企业规模的大小、在位者还是新进入者、垄断者还是竞争者、国有企业还是民营企业等等。在国家大力发展战略性新兴产业的大背景下,许多企业纷纷进入战略性新兴产业,这些企业之中有的在进入之前属于相关或不相关的传统领域,有的则是在成立时就进入了战略性新兴产业。本文按照企业进入战略性新兴产业的不同来源将其划分为两类：传统转型企业和新生企业,分别考察两者不同的创新激励特点。本文首先阐述了企业类型视角下的差异化创新政策的理论基础,然后在分析和回顾了中国创新政策演进的大背景下对战略性新兴产业创新政策进行了定性分析和定量分析相结合的政策评价。在对传统转型企业和新生企业的创新激励差异的研究中,首先建立了研发竞争博弈模型,然后通过上市公司的面板数据,采用Bootstrap组间差异检验的方法考察了企业进入时机、企业规模对这两种类型企业的影响是否存在显著差异。研究结果表明：在同一时点进入战略性新兴产业的传统转型企业与新生企业相比具有较小的研发创新激励。然而对战略性新兴产业的研究不仅需要整体研究还需要局部研究,因此本文选取了高端装备制造业和碳纤维产业进行了案例研究。通过考察了这两个具体产业的技术演进特点,提出了基于企业类型视角的创新政策优化建议。通过理论和实证研究,本文认为对于需要在传统产业基础上通过技术融合形成的战略性新兴产业来说,政府创新政策的重点应是传统转型企业,从而弥补传统转型企业的创新激励不足,引导和促进其创新,在具体的子产业案例分析中以高端装备制造业为例；而对于需要通过技术跨越形成与发展的战略性新兴产业来说,政府创新政策的重点应是新生企业,引导新生企业大量进入战略性新兴产业并发挥其创新动力,在具体的子产业案例分析中以新材料产业中的碳纤维产业为例。由此可见,政府创新政策需要针对传统转型企业和新生企业的不同创新特点对其采用差异化的创新扶持政策。在研究方法的选取方面,本文将规范研究和经验研究相结合,利用国内外对所研究问题的研究成果和理论基础,联系中国战略性新兴产业发展实际,并力求逻辑和历史方法相结合。本文以产业经济学、发展经济学、财政学和管理学等多学科理论为基础,通过演绎与推理相结合,博弈论、计量经济学方法,案例研究方法对所研究问题进行了深入的研究。本文可能的创新点主要体现在：(1)紧密围绕支持战略性新兴产业培育发展的创新政策体系,结合中国具体国情特点和实践经验,深入剖析中国战略性新兴产业发展中的创新政策的现实问题,丰富和完善战略性新兴产业发展的创新政策理论和作用机理。坚持学术研究和现实问题的双导向原则,着力破解制约战略性新兴产业发展的技术创新政策现实瓶颈问题,为战略性新兴产业培育发展实践提供科学的理论依据。(2)针对中国战略性新兴产业发展中的现实问题,从企业进入战略性新兴产业不同来源的新视角,将企业划分为传统转型企业和新生企业,对这两类企业的创新激励差异进行理论和实证研究,并将其创新激励差异与战略性新兴产业创新政策联系在一起,通过具体产业的案例研究提出了战略性新兴产业差异化创新政策的优化建议。(3)在实证研究方面,本文针对微观企业层面的数据,通过计量经济学的实证方法有效评价了中国战略性新兴产业创新扶持政策的总体状况,并运用重复抽样的统计方法检验了传统转型企业和新生企业的创新激励差异,为政府相关部门制定和实施战略新兴产业创新扶持政策提供了有针对性的政策建议。本文进行的研究在理论和实证两个方面均做了一定的创新性尝试。然而,从目前的研究内容和结果来看,仍然存在一些不足之处并有待于今后的进一步研究。在理论分析方面,由于将进入战略性新兴产业的企业按照企业来源划分为传统转型企业和新生企业的做法是一种新的尝试,因此难免存在理论基础仍不扎实的情况。但这正是由于伴随着战略性新兴产业出现了与以往传统产业所不同的新问题,这些新问题也对经济理论提出了新的要求和挑战。因此在下一步的研究,需要进一步夯实理论基础和理论分析内容。数理模型方面,只考虑了降低成本的工艺创新,并没有考虑产品创新的情况,因此在进一步的研究中,需要对产品创新的数理模型进行研究。在实证分析方面,由于现阶段战略性新兴产业中企业层面的数据非常缺乏,因此为确保足够的样本量,本文实证分析的样本选择包含了多个产业的数据。对于七大战略性新兴产业中的某个具体产业来说,其必然会有区别于其他产业的个性特征,因此关于企业创新的研究结论可能会因产业不同而存在一定差别。我们下一步的研究方向是选定七大战略性新兴产业中的几个重点产业进行深入广泛的调查研究、搜集大量的一手数据来进行经验研究。对企业的调查研究可以采取不同的形式,如问卷调查,实地考察、与企业座谈等方式搜集数据。通过深入调查扩大样本量,从而得到针对某个具体产业的研究结论,进而对战略性新兴产业政府创新政策提出更有针对性和建设性的政策建议。更多还原

【Abstract】 Since the outbreak of the financial crisis in2008, the countries of the world have increased investment in science and technology innovation, and strive to take the lead out of the crisis through the development of new technologies and foster new industries. The new round of technological revolution has begun to become a top priority in order to seize the technological high ground, through the development of strategic emerging industries of China. Since the national strategy for the development of strategic emerging industries, theorists also set off a craze of relevant theoretical and empirical research. This is because the strategic emerging industries to economic theory raised many new issues, and the development of strategic emerging industries also need the support and promotion of the economic theory.The emerging industry is relatively weak in the production early, but it represents the future direction of development, many countries will choose the overall economy has strategic emerging industries, policy support and guidance, and to promote the rapid growth of the national economy. Since the beginning of2010in the government work report, Premier Wen Jiabao pointed out the need to make great efforts to cultivate the development of strategic emerging industries, the central and local governments at all levels in order to foster the development of strategic emerging industries, optimize emerging industries of strategic policy environment, intensive issued a series of clear strategic emerging industries support policies. Due to the weak foundation of technological innovation, lack of technical reserves and other reasons, to foster the development of strategic emerging industries facing the lack of technological resources and a major breakthrough in research progress slow. Strategic emerging industries in major technological breakthrough is based on scientific and technological innovation plays a vital role in the development of strategic emerging industries, government innovation support policy to guide and promote the level of innovation and performance is particularly important. Strategic emerging industries, innovation policy is inseparable from the micro-enterprise heterogeneity and industry characteristics, thus perfect to foster the development of emerging industries of strategic innovation policy system, which is undoubtedly a great theoretical significance and practical value. By distinguishing R&D incentives between different enterprises, government can implement innovation support policy more effectively. Since Schumpeter proposed innovation theory, the impact of corporate attributes of innovation has been the theoretical and empirical researchers focus on hot issues, such as the size of firm size, enter the sequence, monopoly or competitors, state-owned enterprises or private enterprises and so on. In the context of the country vigorously develop strategic emerging industries, many companies have been pouring into a strategic emerging industries, some of these enterprises to enter the traditional enterprise, while others are newly established enterprises. In order to analyze the R&D incentive of enterprises, we divide the enterprises in the strategic emerging industries into traditional enterprises in transition and newborn enterprises. Government innovation policy enterprise sources Perspective This paper describes the theoretical basis and the analysis and review of policy evaluation of the background of China’s innovation policy system a combination of qualitative and quantitative analysis of the emerging industries of strategic innovation policy system. In the study of differences in the traditional transformation of enterprises and new enterprises innovation incentives, first establish a R&D competition game model, then we undertakes an econometric analysis of the effects of enter timing and firm size on R&D expenditure by using the data of the listed companies of103strategic emerging enterprises from2006though2011. We use bootstrap test to examine whether there are statistically significant differences between regression coefficients of traditional enterprises in transition and newborn enterprises. Studies have shown that the newborn enterprises have greater R&D incentives to innovate compared to traditional enterprises in transition which entered the strategic emerging industries at the same time point. Strategic emerging industries requires not only the overall research also need local research. This article selected high-end equipment manufacturing and new materials industry case studies. The two industry-specific R&D innovation and technical efficiency, and industrial innovation policy perspective based enterprises sources. By distinguishing between enterprises of different characteristics of the R&D incentives, the government can more effectively against enterprise innovation support policy. Through theoretical and empirical research, the paper argues for traditional industries based on technology convergence formed strategic emerging industries, government innovation fund to invest in, in order to compensate for the lack of traditional corporate R&D in transition should focus on traditional businesses in transition; need Government innovation Fund to invest in technology across the formation and development of strategic emerging industries should focus on R&D incentives newborn enterprises. Government innovation policies need to adopt differentiated innovation support policy for the innovative features of the traditional transformation of enterprises and new enterprises.In the selection of the research methods, this article will regulate research and experience, the use of research at home and abroad on the research questions and theoretical foundation, contact the actual development of strategic emerging industries in China and strive combination of logic and history. Through the perspective of the evolution and development of the theoretical basis of the study and other content. Multidisciplinary theory of industrial economics, development economics, finance and management science, through the combination of deductive and reasoning, game theory, econometric methods, in-depth study of the case study method on the research questions.This article may innovation is mainly reflected in:(1) Tightly around the support of strategic emerging industries to nurture the development of innovation policy system, combined with the characteristics of China’s national conditions and practice experience, in-depth analysis of the practical issues of innovation policy in the development of China’s strategic emerging industries, enrich and improve the development of strategic emerging industries innovation policy theory and mechanism of action. Adhere to the double guiding principle of academic research and practical problems efforts to crack the technology innovation policy reality bottleneck restricting the development of strategic emerging industries, nurture and develop the practice to provide the scientific and theoretical basis for China’s strategic emerging industries.(2) For the development of China’s strategic emerging industries in reality, from the enterprise into a new perspective of the different sources of strategic emerging industries, the business is divided into the traditional transformation of enterprises and new enterprises theoretical differences of these two types of enterprise innovation incentives and empirical research, and incentives to innovate differences emerging industries of strategic innovation policy linked to the emerging industries of strategic innovation policy differences.(3) In terms of empirical research, for micro-enterprise level data econometrics, empirical method effective evaluation of the overall situation of China’s strategic emerging industries to support policies and use repeated sampling of statistical methods to test the traditional transformation of enterprises and the differences in the innovation of new enterprises incentive for the relevant government departments to develop and implement strategic emerging industry innovation support policies to provide targeted policy recommendations.The research carried out some innovative attempts in two aspects of theoretical and empirical. However, there are still some inadequacies and need further study in the future from the contents of current study and results. In the content of theoretical analysis, there is still inevitably lack of theoretical foundation due to the innovative attempts. However, along with national strategy of strategic emerging industries, there will be new problems and challenge for economists and government. Therefore, in the next step of the research, we need to reinforce the theoretical basis and of the content. In the content of mathematical model, we only considerate the process innovation except the product innovation. So for the next step of the research, we will discuss the mathematical model of product innovation. In the content of Empirical analysis, in order to overcome the lack of firm-level data strategic emerging industries and ensure adequate sample size, we use the data of seven industries of strategy of strategic emerging industries. However, the each of seven strategic emerging industries has its personality characteristics. Therefore, in the next step of the research, we will undertake extensive survey of several typical industries, collect a large number of first-hand data for more empirical research. The survey of enterprises can take different forms, such as questionnaire, field trips, and informal discussion. Through in-depth investigation we can expand the sample size, and obtain the conclusion of specific industry, and then make a more targeted and constructive policy recommendations for the differentiated innovation policy of strategic emerging industries.更多还原