【作者】 黄亮；

【导师】 杜德斌；

【作者基本信息】 华东师范大学 ， 人文地理学， 2014， 博士

【摘要】 当前,伴随着科学技术的迅猛发展及经济全球化进程的不断深入,人类正逐步从工业社会向知识社会迈进,城市与区域经济的发展已进入到一个由传统要素驱动向创新要素驱动转变的新阶段。在上述背景下,研发作为知识创造与技术创新的现实途径和重要来源,对于城市与区域经济发展的重要性与日俱增。与此同时,经济全球化已由产业全球扩张进入到研发全球扩张的新阶段。其中,作为跨国界知识流动载体的跨国公司在研发全球化进程中发挥着主要作用。跨国公司研发网络的全球扩张与地方镶嵌,带来了技术创新资源在世界范围内的空间转移与重新整合。跨国公司研发投资在某一城市空间范围内的持续集聚的同时,与本土研发资源不断交互融合,推动国际研发城市(International R&D City)这一新型空间形态与城市功能的形成与发展。国际研发城市是一个颇具开创性的研究命题,不仅在国内学术界涉足者寥寥,即使在国外也鲜有学者涉及。目前,学术界对于该领域的研究仍处于起步阶段,主要研究内容也多局限于一般的概念探讨与案例分析,并缺少全球层面的统一性把握,其相应的理论研究远远落后于国际研发城市建设的现实发展与实践需求。基于此,本文主要从国际层面的观察视野出发,力图通过系统研究,建立一套较为严密和科学的学术概念体系,并在此基础上来搭建一个合理的国际研发城市形成与发展机制的理论解释框架。具体研究内容如下：首先,回顾国内外的相关理论研究进展,从创新型城市与世界城市相结合的理论视角出发,厘定国际研发城市的基本概念,明确其核心特征、本质内涵、空间尺度等一系列基本问题来作为本文研究的工作基础与逻辑起点。在界定了国际研发城市的基本概念之后,紧随而至的任务就在于识别与判定当前世界上有哪些城市可以称之为国际研发城市。跨国公司是全球研发活动的主导力量,并通过研发全球化构建了全球研发网络的基本骨架。有鉴于此,本文借鉴世界城市的研究理论与方法,从跨国公司研发全球化的空间组织切入,通过对全球170余家跨国公司高等级研发机构区位分布与集聚程度的考察,以城市为空间尺度勾勒出跨国公司研发网络的地理格局,确定全球研发网络的空间节点,并将其作为识别与判定国际研发城市的核心特征指标。在上述工作完成之后,本文利用代表城市研发产出的国际专利统计数据就国际研发城市的运行特征与发展类型进行刻画与归纳。需要说明的是,目前国际上有关研发的数据如研发投入、研发强度、研发人员全时当量等大都局限于国家或省(州)域层面,基于城市尺度的研发统计数据极其缺乏。在此条件下,本研究本着可行性和统一性的原则,以世界知识产权组织提供的国际专利数据库平台为基础,构造专利申请总量、专利申请密度、专利申请的年均增长率、专利申请的外资依存度等若干指标来深入透视国际研发城市的研发运行特征与发展类型,力求使定量分析的结果能够客观全面地反映出当前国际研发城市的现实状况。城市之间的关系问题是“城市的第二本质”,在研究国际研发城市问题时也应当采用联系的视角来进一步分析国际研发城市之间的网络联系结构与演变趋势。基于此,作者以城市体系和网络的相关理论为基础,从研发合作的观察视角切入,采用国际专利合作申请数据表征研发合作,运用社会网络分析法对国际研发城市之间的网络联系图景与发展演变轨迹进行刻画,并分析国际研发城市之间的网络联系结构与主要特征。基于个案的区域研究是经济地理学的经典研究方法。接下来,作者将主要采用案例剖析的研究方法,在众多城市中选取硅谷、班加罗尔这两座颇具典型性的国际研发城市进行全面解析。一方面,以历史的眼光回顾其发展历程与演变轨迹,深入解析驱动其研发与创新发展的主要因素,力争透过现象看本质,来深层次洞察推动国际研发城市崛起的各种力量源泉,并在此基础上综合运用新经济增长、研发全球化、全球价值链以及城市创新系统等理论与分析工具来搭建国际研发城市形成与发展机制的理论解释框架,另一方面,期望通过上述城市的个案研究,归纳出不同类型国际研发城市独具特色的成长路径与发展经验,为我国国际研发城市的建设实践提供有益的借鉴与启示。最后,本文将研究视野转回中国,提出从“世界工厂”到“研发城市”的发展战略,在对国内主要城市创建国际研发城市的适宜性进行综合评价的基础上,结合国际经验为我国国际研发城市的建设提出具有针对性的对策建议。更多还原

【Abstract】 With the rapid development of science and technology and economic globalization in recent years, human beings have experienced an evolution from an industrial society to a knowledge society. The development of urban and regional economy has entered a phase where innovation is taking the place of tradition as the major driving force. Against this background, research and development (R&D), the practical approach and the significant source of knowledge creation and technology innovation, is becoming increasingly important in developing the urban and regional economy. In the meantime, the economic globalization is marked by a transition from industrial expansion to R&D expansion in the global scale, in which multinational corporations (MNCs) play an important role in the trans-national flow of knowledge. The global expansion and localization of MNCs’R&D network has brought the whole world with spatial transference and reintegration. MNCs focus their sustaining R&D investments on certain cities, and integrate more and more closely with local R&D resources, which lead to the formation and development of international R&D cities as a new spatial type and urban function. As an innovative research subject, little research has been done on international R&D cities either at home or abroad. Besides, research in this filed is still on its initial stage, for it has been limited to general discussions of concepts and case studies without a global perspective. All this results the fact that relevant theoretical studies have lagged far behind the actual development and practical demands for the construction of international R&D cities. Therefore, by adopting a global viewpoint, this dissertation attempts to establish a comprehensive and scientific system of academic concept system and based on which, to build an analytical theoretical framework of the formation and development mechanism of international R&D cities. The details of the research contents are as follows.Firstly, the research progresses of some relevant theories at home and abroad are reviewed. From a theoretical perspective of the combination of innovative cities and world cities, the current research starts from a clarification of basic concepts of international R&D cities by specifying a number of fundamental issues which are regarded as the research foundation and logical starting point of this paper, including the core features of the essential connotation and the spatial scale of those cities. Then, cities that can be termed as international R&D cities are redefined. The author holds that MNCs have served as the driving force of R&D activities globally and thus have successfully built up the infrastructure of an international R&D network. With reference to the research methodology for world cities, the current research starts from the spatial organization of MNCs’ R&D globalization, by examining the distribution and conglomeration of the advanced R&D institutes with more than170MNCs, draws a geographic map with cities as its spatial dimensions and it further marks the nodes within the international R&D network which are then used to identify and define the core features of international R&D cities.After that, the current features and types of the international R&D cities are analyzed and categorized by employing international patent statistics which represent the R&D output ratio of those cities. It should be noted that internationally data for R&D investment, intensity and workload of full-time researchers are mostly taken at the provincial or regional level, therefore, data on urban dimensions is extremely scarce. To make the quantitative analyses results feasible and generalized, the current research is based on the international patent database provided by World Intellectual Property Organization in order to truly reflect the present situation in an objective and quantitative way. Analysis on the features and types of the international R&D cities are made with reference to the six indexes of international patent applications including the total number, per capita, average annual growth rate, dependence on foreign investment and distributions of applicants.The problem of relationship between cities is the "second nature of the city". International R&D city should be researched in the perspective of connection, so that the structure of network associate between international R&D cities and its evolution trend can be further analyzed. Therefore, taking some related theories of city system and network as the basis and starting with the perspective of R&D cooperation, the author adopts the data of the application number for international patent cooperation as the representation of R&D cooperation; describes the network connection between international R&D cities and its evolution track by the use of social network analysis; and discusses on the structure and major characteristic of network connection. Regional research based on individual case is a traditional research method in economical geography. Cases analysis is mainly used as follows. Silicon Valley in the USA and Bangalore in India and Singapore, two characteristic international R&D cities, are selected to be analyzed comprehensively..On the one hand, the development process and evolutionary traces in the two cases are reviewed in the historical view to explore at depth the successful factors for the development of their R&D and innovation, meanwhile, to give deep insight to the driving forces for the rise of international R&D cities, and based on that, the theoretical framework for the rise and development of the international R&D cities is constructed under the combination of some theories and analysis tools including New Economic Growth Theory, R&D globalization, global value chain, regional innovation system and so forth. On the other hand, the unique growth path for each international R&D city is expected to be drawn through the two case studies in the hope of providing beneficial insights into the construction of R&D cities in our country.In the end, this dissertation shifts its focus to China and proposes a developmental strategy for China to transform from a World Factory to International R&D Cities. Suggestions are made for building Chinese international R&D cities on the basis of the international experience and a comprehensive evaluation on the feasibility of transforming major cities of the country into international R&D cities.更多还原