【作者】 汪娟；

【导师】 罗能生；

【作者基本信息】 湖南大学 ， 政治经济学， 2013， 博士

【摘要】 建设创新型国家是我国面向未来的一项重大战略抉择。城市作为国家或一定区域内的政治、经济、文化中心，在整个国家创新体系中处于最为重要的地位。构建城市技术创新体系，对于促进现代城市经济社会的持续发展和建设创新性国家，起着至关重要的作用。近年来，国内外许多城市都在积极进行城市技术创新体系建设的探索。作为中部地区重要的中心城市、湖南省的政治、经济和文化中心，长沙市一直重视创新发展，近年来更是提出了“建设国家创新型城市”的重大战略决策。技术创新体系是城市创新体系的主要构成，在长沙市建设国家创新型城市战略中处于核心和基础的地位。那么，如何来定位长沙市的技术创新体系，从哪些方面来构建城市技术创新体系，通过什么样的方式来推进城市技术创新体系建设，如何有效运作和管理城市技术创新体系？这些问题是长沙市在推进技术创新体系建设中亟待解决根本性问题。本文从理论和实践相结合的视角，对长沙市技术创新体系的构建及其运行机制进行了全面、深入的研究，一方面将为长沙市建设创新型城市提供科学的决策参考；另一方面也将充实、拓展技术创新理论的研究。本文在对长沙市城市技术创新体系构建进行理论分析和现状考察的基础上，从推进动力、运行机制和支撑体系三个层次，深入地探讨了长沙市技术创新体系的构建及其运行机制，揭示了长沙市技术创新体系的特质、构成及其运行规律，解决了长沙市技术创新体系由什么构成、如何去推进、怎样去运作、如何有效治理等重要问题。城市技术创新体系是城市技术创新相关主体、要素、条件及其运行机制的综合系统，主要由技术创新的主体系统和功能系统构成，主体系统由企业、政府、高校、科研机构、中介机构等构成；功能系统包括科技知识创新系统、科技成果的转化与扩散系统，科技价值实现系统等。长沙市城市技术创新体系的构建，是长沙市创新型城市建设的基本要求，是实现长沙经济社会持续发展和两型社会建设的重要条件，是提升长沙城市竞争力，发挥长沙区域经济增长极作用的重要保障。构建和完善长沙市技术创新体系不仅是必要的，也是可能和可行的，长沙市已经在经济基础、人力资源、政策环境、文化观念等方面奠定了良好基础，为长沙市推进技术创新体系的建设提供了良好条件。目前，长沙市技术创新体系建设还处于初步阶段，长沙市技术创新活动取得了重要成绩，也存在着明显问题。如科技人员、科技经费投入冗余，科技创新效率不高，科技成果转化机制不完善，技术创新过程不连续，重大和原始科技创新稀少等。这些问题的解决需要长沙市科技创新体系的进一步健全和完善。长沙市技术创新体系建设，是依靠一定的动力机制来推进的。本文探讨了长沙市技术创新体系构建的动力机制，认为市场需求和竞争的是长沙市技术创新体系构建的拉动力，科技发展内在需求是长沙市技术创新体系构建的推动力，城市发展和竞争是长沙市技术创新体系构建的促进力，企业发展与竞争是长沙市技术创新体系构建的自动力，政府政策导向为长沙市技术创新体系构建提供掌控力。目前，国内外推进城市技术创新体系构建的模式主要有市场主导、政府主导和政府引导市场推动三种基本模式，基于对三种模式特点和适应性的分析，依据对长沙市技术创新体系构建的条件和环境分析，为了体现出长沙市的特点，我们认为长沙市技术创新体系的推进模式应该选择政府引导市场推动的模式，这一推进模式可以具体应该表述为：市场主导、政府扶引、企业主体、协同推进。长沙市技术创城市技术创新体系构建是靠政府、企业、高校和科研机构、中间服务机构等相关主体来推进的，本文分别对这些主体的行为和其激励机制进行了研究。首先，利用博弈论分析了政府相关管理部门在城市技术创新体系构建中的行为选择，揭示了在什么条件下政府相关部门会选择积极推进城市技术活动的策略，并从政绩考核机制、晋升激励机制、物质和精神激励以及监督约束机制和反向激励等四方面，提出了激励政府相关部门推进技术创新行为的对策建议。其次，分析了企业投入技术创新活动的博弈策略，提出了加大企业创新投入的制度设计和政策建议；再次，分析了高校和科研机构在技术创新体系中的行为选择，提出了有效激励科研组织和人员积极开展科技创新活动的体制机制安排。构建长沙市技术创新体系，需要形成有效的运行机制。一方面，文章探讨了长沙市技术创新体系的组织模式，基于对长沙市技术创新体系面临的任务、条件和环境的分析，提出适合长沙市技术创新系统构建的组织模式是“官产学研金”合作方式，并深入阐明了五者之间的具体合作方式和机制。另一方面，全面分析了长沙市技术创新体系的运作和实现机制。不仅探讨了科技知识的投入产出机制，提出了提高长沙市科技创新投入产出效率的对策建议；而且分析了科技创新成果的转化机制，阐明了有效促进科技成果价值实现的途径和条件；同时也考察了科技创新成果的推广机制，提出了扩大科技成果的应用和推广的方式和措施。在以上分析的基础上，将长沙市技术创新体系作为一个整体进行系统分析，运用系统动力学方法从技术创新体系内部结构入手，研究了在创新活动过程中形成的动态反馈系统，并对其进行系统仿真模拟研究，深刻揭示了长沙市技术创新体系的系统运行特征和规律。长沙市技术创新体系的有效运行，需要健全相应的支撑系统。文章主要从人才支撑、平台建设、市场机制、政府支持四个方面进行了研究。人才是长沙市技术创新体系最重要的资源和支撑因素，文章在研究科技人才的引进、培养和使用机制等基础上，提出了健全长沙市科技人才体系的政策建议。平台作为科技创新和集群创新的基地，在现代科技创新中发挥着重要作用。文章在对长沙市现有科技园区、研究中心、重点实验室等创新平台进行考察分析的基础上，提出了进一步扩大创新平台建设，充分发挥平台功能，促进技术创新的对策建议。市场是技术创新的原动力，文章分析了长沙市的科技市场发展状况及其问题，提出了进一步健全长沙市科技市场体系的思路和措施。政府的政策和行为是城市技术创新体系有效运行的关键制约因素，本文从政府的引导机制、扶持机制、服务机制、管理机制四个方面，提出了健全长沙市政府支撑体系的对策建议。本文的创新性主要体现在：对长沙市这一特定对象的技术创新体系进行了创新性研究；对城市技术创新体系的分散内容进行了综合集成，并且对研究较缺乏的领域进行了拓展性研究；提出了一系列针对长沙市技术创新体系的具有创新性的见解和政策建议；在研究过程中，对先进研究方法进行了综合性、创新性应用等。有待进一步研究的问题主要有：本文对于技术创新体系构建的研究主要从长沙市创新系统的现实状态、推进机制、运行机制以及支撑体系四个层面来进行，在技术创新体系构建过程中还有其他的一些问题有待研究，如可以对城市化、产业集聚中的竞争对城市技术创新产生的影响等方面展开研究，而且本文主要是利用长沙市的数据资料进行相应的分析，没有将长沙市技术创新体系的构建与其他区域进行对比分析，以后可以沿着这个方向做进一步研究。更多还原

【Abstract】 It is an important strategic choice for our country in the future to build aninnovative country. As the country’s political, economic and cultural center, the city isin the most important position for the national innovation system. It plays a vital roleto construct urban technical innovation system for the promotion of sustainablesocio-economic development in modern city and the construction of innovativecountry. In recent years, many domestic and foreign cities are actively carrying outexploration on the construction of technological innovation system. As the political,economic and cultural center of Hunan province, Changsha City always attaches greatimportance to development of innovation and has made a significant strategicdecision-making to build national innovative cities. Technical innovation system isthe main composition of urban innovation system，it is in the core and foundationstatus for building national innovative cities in Changsha City. So, for ChangshaCity，how to locate the technological innovation system? From which to build theurban technology innovation system？By what means to promote urban technologicalinnovation system？ How to effectively operate and manage city technologyinnovation system？ These are the fundamental problems to be solved in theconstruction of technology innovation system. This paper conducts a comprehensiveand in-depth research for the construction of technological innovation system and itsoperating mechanism from the perspective of theory and practice. On the one hand,this study will provide scientific reference for the construction of innovative city ofChangsha City; On the other hand, it will enrich the development and innovation oftechnology innovation theory.Based on the theoretical analysis and investigation on the present situation of theChangsha technology innovation system construction, this paper deeply discusses theconstruction and operating mechanism of technology innovation system from thepropulsion, operating mechanism and supporting system three levels, reveals thecharacteristics, composition and operation rule of Changsha’s technology innovationsystem, settles in the important issues, such as, what made up of, how to promote,how to go to work, how to effective governance and so on.Urban technology innovation system is an integrated system combined of relatedsubject, factors, conditions and mechanism, mainly composed of the main body of technology innovation system and function system. The main system is constituted bybusinesses, governments, universities, research institutions, intermediaries. Thefunctional system includes knowledge innovation system of science and technology,transformation and diffusion system of science and technology achievements, thevalue of science and technology to achieve the system. Construction of Changsha Citytechnology innovation system is the basic requirement of constructing innovative city,is an important condition for sustained economic and social development and the twotypes of social construction, is an important guarantee for enhancing the citycompetitiveness and playing the role of regional economic growth pole. It is not onlynecessary but also possible and feasible to build and improve the technologicalinnovation system, because Changsha City has a good foundation in the economic base,human resources, policy environment and cultural values, which provides goodconditions for Changsha City to promote the construction of technological innovationsystem. At present, the construction of Changsha city technology innovation system isstill in the preliminary stage, its technological innovation activities have made importantachievements, but there are still many obvious problems. Such as scientific andtechnical personnel and funds are redundant, innovation efficiency is not high,scientific and technological achievements mechanisms are inadequate, technologicalinnovation process is not continuous, significant and original scientific and technologicalinnovation is scarce. The solution of these problems needs to further improve and perfectfor Changsha City scientific and technological innovation system.The technology innovation system construction of Changsha City depends on adynamic mechanism to promote. For the technology innovation system construction inChangsha City, this paper discusses the dynamic mechanism and think that marketdemand and competition is the pulling power of technology innovation systemconstruction, internal demand for science and technology development is the drivingforce, city development and competition is a promoting force, enterprise developmentand competitiveness is the automatic force, government policies guide is the controlforce. Now there are three basic modes that is market-led, government-led andgovernment-led marketing drive for domestic and foreign cities construction oftechnological innovation system. Based on the analysis of characteristics andadaptability of the three modes and the conditions and environment in theconstruction of technological innovation system, we believe that the promotion oftechnological innovation system should choose on government guidance andmarket-driven mode to reflect the characteristics of Changsha City. Technological innovation system construction of Changsha City is relying on the relevant entities toadvance, such as government, enterprises, universities and research institutions,intermediate service agencies and so on, so we study the behavior and the incentivemechanism of those main bodies. First of all, this paper analyzes the behavior choiceof relevant government administrative department by using the game theory, revealsthat the government related department will choose strategy of promoting citytechnology activity under what conditions, and puts forward the countermeasures andsuggestions for motivating the relevant government departments from performanceevaluation mechanism, promotion incentives, material and spiritual incentives, aswell as supervision and restraint mechanisms and perverse incentives. The second,this paper analyzes the game strategy of enterprises in technological innovationactivities and proposes the policy suggestions to increase investment in enterpriseinnovation system design. Once again, this paper analyzes the behavior choice ofuniversities and research institutions in the technology innovation system andproposes institutional arrangements for the inspiring researchers to actively carry outtechnological innovation activities.The technology innovation system construction of Changsha City needs to forman effective operational mechanism. On the one hand, this paper discusses theorganizational model and proposes a suitable organizational model for technologyinnovation system construction that is the cooperation among government-industry-university-academy-investment, and clarifies the concrete forms of cooperation betweenfive and mechanisms. On the other hand，this paper comprehensively analyzes theoperation and implementation mechanism of technological innovation system inChangsha City. This paper probes into the knowledge of science and technology inputand output mechanism and puts forward the improving of Changsha City science andtechnology innovation input and output efficiency of the countermeasures andSuggestions; This paper not only discusses the input-output mechanism，conversionmechanism and promotion mechanism of scientific and technological innovation, butput forward a series of policy recommendations. And meanwhile, through the systemdynamics method, this paper studies the dynamic feedback system formed in theprocess of innovation activities from the internal structure of the technologicalinnovation system, and carries on the system simulation study, which deeply revealsthe system operation characteristics and regularity of technology innovation system.The technology innovation effective operation of Changsha City needs toimprove the corresponding support system. This paper began to study from the personnel support, platform construction, the market mechanism and governmentsupport. Talent is the most important resource and supporting factors for technologyinnovation system. Based on studying the mechanism of science and technology talentintroduction, cultivation and use, this paper puts forward sound policyrecommendations for scientific and technological personnel system. Platform as abase of science and technology innovation and cluster innovation, plays an importantrole in modern science and technology innovation. On the basis of studying theinnovation platform, this paper puts forward recommendations to expand theinnovation platform construction, give full play to the function of the platform andpromote technological innovation. The market is the driving force behindtechnological innovation. This paper analyzes the technology market developmentsituation and problems and puts forward the ideas and measures to further improve themarket system. Government policy and behavior are key factors to ensure the citytechnology innovation system effective operation. This paper proposes suggestions tosound support system of Changsha City from the government’s guidance mechanism,support mechanism, service mechanism, management mechanism.The innovation of this paper lies in the following points: This paper conducts aninnovative research for the technology innovation system of Changsha City thisspecific research object. This paper not only scatters contents integration, but alsoexpands research the lack of areas. This paper also makes a series of innovative insightsand policy recommendations of the technological innovation system for Changsha City.Inthe course of the study,advanced research methods are comprehensive and innovativeapplications.The further research problems need to be conducted in the future：This paperanalyzes the construction of technological innovation system from innovation system,dynamic mechanism, operation mechanism and support system，there are still otherissues to be examined in the construction of technological innovation system. Such asurbanization, the effect of competition in the industry cluster on technologicalinnovation in city. And this paper mainly uses Changsha’s data for analysis, withoutmaking a comparative analysis to other regions, so we can follow this direction forfurther research later.更多还原