【作者】 宋丽萍；

【导师】 杨树旺；

【作者基本信息】 中国地质大学 ， 管理科学与工程， 2014， 博士

【摘要】 大力推动创新发展,有利于开创国际竞争新优势,为我国可持续发展提供强大动力。与发达国家和地区相比,过去的30多年,我国经济快速发展的根源在于低廉的劳动力、丰富的自然资源和较高的环境承载力等具有相对比较优势,随着人口红利的逐步消失,自然资源的瓶颈制约日益显现,环境破坏进一步挤占了生存空间,低成本优势不断丧失,而技术创新不易被模仿、附加值高、环境成本低、人力资本收入高,具有长期的竞争力。大力推动创新发展,有利于提高经济增长的质量和效益,加快推动经济发展方式转变。可以说,创新发展是一个国家兴旺发达的不竭动力,对于一个区域、一个创新主体、一个社会系统也具有重要意义。与此同时,在我国经济发展的新的阶段,还出现了“两化”深度融合和城镇化加快推进的新背景,对于区域创新系统的建设和完善而言,既面临很多新的机遇,也面临更严峻的挑战。随着经济全球化的深入和国际国内经济领域创新转型步伐的不断加快,工业化和信息化的高度融合成为建立现代产业体系,促进区域产业结构升级,实现区域可持续发展,走新型工业化道路的重要途径。通过信息技术在企业生产经营领域和管理的关键环节的有效应用,业务流程优化实现再造,产业链协同能力将得到显著增强,企业的研发设计创造能力和生产集约化水平显著提升,进而促进各类产业的创新发展能力和服务水平得以明显提高。信息化创新研发设计手段可以促进产业自主创新能力的快速提升。信息化和工业化的深入融合,有利于不断提升各类市场主体的创新能力,推动区域创新能力的提升。同时,区域创新发展有利于激发创新主体信息化需求,推动骨干企业和中小企业加快对信息化技术和手段的使用,为这些中小企业核心竞争力的提升奠定坚实的基础。通过知识体系创新,促进政产学研合作新机制的建立,提高企业、研究机构、教育培训机构、政府部门等主体信息化水平,通过新型中介服务平台,促进行为主体间开展有效合作,并开展地区间创新联系,进而完善区域创新系统,提高地区两化融合水平。刚刚过去的城镇化工作会议指出,城镇化是我国现代化的必由之路,有利于推动区域之间的协调有序发展,有利于加快扩大我国内需,有利于推动产业转型升级。随着市场竞争的不断加剧,技术创新能力成为产业集群创新、提升竞争优势的关键因素,通过产业集群开展技术创新活动,有利于提高骨干企业的创新优势,整合各类主体的创新资源,并开展相互合作、学习与信息交流,集聚创新的行为方式,以获得持续、强大的竞争优势。区域创新系统的建立就是创新要素自由流动、优化配置的过程。地区间开展区域合作,有利于创新人才、创新激活素和资金投入等生产要素和创新要素的跨区域流动,通过集聚效应和扩散效应,提升区域合作层次。城镇化发展带来的土地制度改革、可持续的资金保障机制的建立、城镇化布局和形态的优化、城市建设和管理水平的提高等都将为创新破除瓶颈制约,创造更大的内需,为区域创新发展注入强大的发展动力。基于此,本文将区域创新系统的建设和完善作为提高区域竞争力的重要保证,分析发现我国区域创新系统存在整体创新能力不足的问题。认为区域创新系统(Regional Innovation System,简称RIS)是国家创新体系的核心组成部分,对于区域创新能力的提升和可持续发展动力的积聚具有重要的意义。区域创新系统指的是一定的区域范围内,如省、地区、市等,经常地、有序地、可持续地与区域内的企业创新投入相互影响,推动创新网络和创新制度的不断完善。构建科学、合理、完善区域创新系统,有利于整合区域内创新要素,搭建创新资源集聚平台,推动区域之间科技创新成果的转化,加快区域内新技术新产品新工艺的研发应用,加强区域之间技术集成和商业模式的创新,促进区域内各类企业、国家自主创新示范区和高新技术产业开发区等创新平台、科研院所和高等学校、科技中介机构、政府机构以及海内外科技平台实现协同创新,进一步加快建设国家科技创新体系。不仅如此,充分考虑区域创新系统的构成要素及其运行机制对于区域创新系统的运行绩效和能力提高具有重要的作用,本文分析了区域创新系统的构成,包括创新型企业、产业集群、产业园区、创新孵化体系、公共知识研发机构、中介服务机构和政府,共同推进了原始创新、集成创新、引进消化吸收再创新、协同创新运行机制的建立和完善。同时,探讨了区域创新系统中政府所能发挥的主要作用,创新文化在区域创新系统构建中也发挥了保障功能。基于此,采用两阶段的DEA分析方法,对我国各区域和各地区的创新系统绩效进行了评价,发现我国各个区域创新系统的技术创新效率和经济效率均有了较大的提高,效率较优的地区占绝大多数,北京、上海、江苏、浙江、重庆、四川等省份和地区科技研发效率较高,但转移转化效率较低,而河北、天津、山西、福建、山东、内蒙古、江西、河南、贵州、云南、陕西等省份的研发效率不高,转移转化效率较高,另外一些省份和地区,如辽宁、吉林、黑龙江、安徽、湖北、湖南等省份的技术创新效率和经济效率均偏低。在此基础上,采用随机前沿生产函数模型测度了区域创新系统能力的动态变迁,专利申请授权量作为衡量创新产出的指标,我国东部地区、中部地区、西部地区的差异非常明显,东部地区明显偏高,而中部地区和西部地区差异不大,但与东部地区的差距很明显。从各地区情况看,沿海发达地区和大城市、高校和研究机构密集的地区,研发人员全时当量和研发投入经费普遍较高,这些区域的创新能力较强。考虑到创新资源的投入是由以往投入的累积量和投入的增量共同决定的,且以往投入的累积量更为重要,容易促进地方形成一种“路径依赖”,所以选择特定区域的一个时间段进行创新绩效评价和能力提升的路径研究更具有说服力。通过对湖北省2006-2011年区域创新系统能力的路径研究,发现区域创新系统资源投入的角度看,财力投入和人力投入对于区域创新系统资源配置效率的作用是交替出现的,区域创新系统的发展阶段对于基础性研究和突破性研究的需求会有所不同,在这个过程中,区域创新系统生产新技术的能力和对新技术的吸收能力对区域资源配置效率均有一定的影响,特别是,新技术的研发和转化与一般商品不同,存在规模收益递减规律,必须在一定程度上同时推动基础研究的发展。区域创新系统的建设和完善是一个渐近的过程,我国总体上存在不平衡,中西部地区仍然处于起步阶段,对某些环节的重视程度超过了对系统和网络完善的重视。因此,研究发达国家和地区各类组织机制对于我国区域创新系统能力提升路径的分析具有重要的参考价值。本文对芬兰、日本和印度的政府作用进行了分析,探讨了政府主导、研发驱动、园区引钡仕区域创新系统中的侧重点,并以美国杜邦公司的技术创新战略为例,分析了推动企业建立创新联盟,实现交互式学习的重要性。对美国和英国的高校、科研机构对于创新系统作用的机制进行了分析。发现,区域创新系统绩效和能力的提升必须充分发挥政府、企业、产业研合作机制、科技园区、高等学校和研发机构的积极作用。最后,针对前文的分析,对我国区域创新系统绩效和能力提升的路径提出相关对策建议,认为必须强化企业创新的主体地位,通过培育创新型企业家,壮大市场为导向的创新型企业,加快培育科技型中小企业提高创新主体自主创新能力的水平；加速放大区域创新网络效应,推动科技园区创新支撑体系的不断完善；加大地方政府支持力度。本文研究采用理论演绎与实证探讨、定性分析与定量佐证、动态与静态相结合的分析方法,在以下三个方面体现了创新：(1)建立了区域创新系统构成及运行机制的分析框架。区域创新系统分析的侧重点各有不同,主要考虑到高技术企业、孵化器、加速器、政府等各类创新主体或者创新要素对创新系统绩效有不同的影响,职能通过不同类型的创新方式来实现,即原始创新、集成创新、引进消化吸收再创新、协同创新等方式。这种分析框架,结合了国家创新体系规划,并具有各区域和各地区的特点,研究的结论将更具现实意义。(2)对区域创新系统的绩效和能力进行静态、动态两方面的分析。采用DEA数据包络分析方法,采用两阶段模型,对我国各地区2006年-2011年的创新绩效进行分析评价和比较研究；采用随机前沿生产函数模型,对我国2006年-2011年的创新能力动态变迁规律进行分析,发现投入指标、产出指标和创新效率指标对于创新能力的作用均有不同。(3)采用湖北省的数据对特定区域创新系统绩效和创新能力提升路径进行分析。创新资源的投入是由以往投入的累积量和投入的增量共同决定的,且以往投入的累积量更为重要,容易促进地方形成一种“路径依赖”,所以,通过横向的比较创新体系的优劣,存在技术上的风险和挑战。本文选择湖北省进行分析,湖北是科教大省,科技园区层次较高,但总体来看创新绩效和能力在全国范围内并不高,通过分析,发现创新型企业集聚度和科研成果转移转化率不高是湖北省创新系统绩效较低的重要原因。更多还原

【Abstract】 To vigorously promote the innovation and development, we can create new advantages in international competition, and provide a powerful driving force for sustainable development in the future.Compared with the developed countries, The root of China’s rapid economic development lies in the capacity of cheap labor, abundant natural resources and high environment,which has a relative comparative advantage in the past30years. With the gradually disappear of population dividend, it is increasing in the bottleneck of natural resources, while the environmental destruction further squeezing the living space of development,we are continuous loss the advantage of low cost, And technology innovation is not easy to imitate, with high added value, low environment cost, and human capital income high, with long-term competitiveness. To vigorously promote the innovation and development, we can improve the quality and efficiency of economic growth in the long run, and accelerate the transformation of economic development mode. That is, innovation and development is an inexhaustible motive force for national prosperity, it has important significance for a region, an innovation body,and a social system.At the same time, in the new stage of China’s economic development stage, we also face new situation of Industrialization and informational integration and speeding up of urbanization, So the construction and perfection of regional innovation system, is facing many new opportunities, and more severe challenges. With the deepening of economic globalization and the the domestic and international economic transformation.The innovation continues to accelerate the pace of industrialization and information fusion, highly to become established modern industrial system, promote the upgrading of regional industrial structure, to realize the regional sustainable development, as an important way to take a new road to industrialization. Through the effective application of information technology in the key part of enterprise production operation and management, business process optimization and recycling, industrial chain collaborative capacity will be significantly enhanced, R&D design become the ability of enterprises to create and intensive production levels significantly, and promote industrial innovation capacity,then the service levels will be improved obviously. The rapid information technology to enhance the innovation design method can promote independent innovation capability of industry.The integration of informational and industrialization, can promote all types of market entities’ innovation ability, promote the regional innovation capability. At the same time, the regional innovation development is conducive to stimulating innovation subject information demand, promote the use of information technologies and means of the key enterprises and small medium-sized enterprises, improve the production management level of enterprises, then enhance the core competitiveness of enterprises. Through knowledge innovation system, we can promote the establishment of a new mechanism to improve the cooperation of government, enterprises, research institutions, education and training institutions, government departments and other subject information level, through the new intermediary service platform, to carry out effective cooperation among actors, and carry out innovation contact area, and improve the regional innovation system, improving the integration of the two level.Just past Urbanization conference pointed out, China’s urbanization is the modernization of the route we must take, Urbanization is a powerful support for promoting coordinated regional development, is the expansion of domestic demand and important way to promote industrial upgrading. With the increasingly fierce market competition, the technological innovation capability becomes the key factor of industrial cluster innovation and competitive advantage Industry cluster development by technology innovation is conducive to improve the the innovation advantages of backbone enterprises, the integration of various subject innovation resources, and carry out cooperation, learning and information exchange, cluster innovation behavior in order to achieve sustained, powerful competitive advantage.Regional innovation system is the process of free flow of factors of innovation,establish an optimal allocation Development of regional cooperation between regions, the trans regional flow is conducive to innovation, innovation talents of activin and capital investment through agglomeration and diffusion effect, enhance regional cooperation level. Funds guarantee mechanism of land reform, bring the urbanization and the development of sustainable building, urban layout and shape optimization, city construction and improve the management level will break the bottleneck of innovation, to create a greater domestic demand, with strong developing power for regional development.Based on this, this paper will take the construction of regional innovation system and perfect as an important guarantee enhancing regional competitiveness, the analysis found that the regional innovation system in China are lack of innovation ability. We found that region innovation system (Regional Innovation System, abbreviation RIS) is the core component of a national innovation system, which has an important significance for the regional innovation capability and sustainable development dynamic accumulation. Regional innovation system is in a certain geographical area, administrative innovation and regional business investment closely interaction innovation network and the system support arrangements. Constructing scientific, reasonable, perfect regional innovation system, is conducive to integration innovative elements within the region, to build innovation resource gathering platform, to promote the transformation regional technology innovation, development and application of new technology of new products of new technology within the region, to strengthen the innovation of regional technology integration and business model, promoting the realization of cooperative innovation within the various the enterprise, the national independent innovation demonstration area and high-tech industrial development zones,research institutes and institutions of higher education, science and technology intermediary organization, government agencies at home and abroad as well as the platform of science and technology, to further speed up the construction of national innovation system of science and technology.At the same time, considering the composition and running mechanism of regional innovation system has an important role in the regional innovation system performance and capability, we analyzed the composition of the regional innovation system, which including the innovation oriented enterprises, industrial cluster,industrial park, innovation incubation system, public knowledge, research institutions, intermediary service organizations and the government, jointly promoting the original innovation, integrated innovation, the introduction of digestion and absorption of re innovation, to establish and perfect running mechanism of cooperative innovation. At the same time, analyzed the government role in the regional innovation system through financial support, infrastructure, public service,innovation culture in constructing the regional innovation system also play a security function.On the basis of this, we analyzed the two phase of the DEA analysis method, evaluated the performance of innovation system in each region of our country and each area, found that the innovation efficiency and economic efficiency technology of regional innovation system of our various has improved efficiency, the better areas accounted for the vast majority, Beijing, Shanghai Jiangsu, Zhejiang, Chongqing, Sichuan and other provinces and areas of technology research and development with high efficiency, but the transformation efficiency is low, while the efficiency of research and development of Hebei, Tianjin,Shanxi, Fujian, Shandong, Inner Mongolia, Jiangxi, Henan, Guizhou, Yunnan,Shaanxi and other provinces is not high, transformation efficiency is high, the other provinces and regions, such as Liaoning, Jilin Anhui, Heilongjiang, Hubei, Hunan and other provinces, the technological innovation efficiency and economic efficiency is low. Based on this, using the stochastic frontier production function model,we measured the dynamic changes of regional innovation system, with the amount of patent application and granting as a measure of innovation output index,the differences in China’s eastern region, central region, the western region is very obvious, the eastern region is obviously too high, while the central and western regions with little difference, however, with the Eastern area difference is very obvious.The regional situation is different. The coastal developed areas and large city,universities and research institutes intensive areas, R&D personnel FTE and R&D investment funds are generally higher, all these areas with regional innovation ability. Considering the innovation resource input is determined by the input increment accumulation and investment, the cumulative amount and the former investment is more important, readily to promote local formation of a "path dependence", so the choice of a particular time period to study the path of ascension regional innovation performance evaluation and capacity is more persuasion. Through the research on the path to innovation system ability in2006-2011region of Hubei Province, we found the resources of regional innovation system inputs perspective, financial resources and manpower for the allocation efficiency of regional innovation system resource role is alternating,stages of development of the regional innovation system for basic research and breakthrough research demand will be different, in in this process, ability of regional technology innovation system of production and the absorption capacity of new technology on the the efficiency of regional resource allocation are especially,development and transformation of new technologies with a general merchandise are different, law of diminishing returns returns is scale, which must be in a certain extent at the same time, promote the development of basic research.The construction and perfection of regional innovation system is a progressive process, there is an imbalance in our country on the whole, The central and western regions are still in the initial stage, paying more attention to some aspects than on the system and network to improve attention. Therefore, developed countries and regions have important reference value for the analysis of improving path of regional innovation system in our country ability. The role of the government of Finland, Japan and India are analyzed in this paper, discussed the government domination, R&D driving, park leading in regional innovation system focus, and with USA DuPont Co’s technical innovation strategy as an example,analyzes the importance of promoting enterprises in establishing innovation alliance, to achieve interactive learning. Mechanism of universities, scientific research institutions in America and British for innovation system are analyzed.,The regional innovation system performance and enhance the ability of must give full play to the positive role of government, enterprise, industry cooperation mechanism, technology parks, universities and research institutions. Finally,according to the above analysis, we put forward some suggestions on the path to improve the regional innovation system of our performance and ability, that we must strengthen the enterprise innovation main body status, through the cultivation of innovative entrepreneurs, innovation oriented enterprises and expand the market orientation, accelerate the development of science and technology type small and medium-sized enterprises to improve innovation independent innovation ability level; accelerating amplification effect of promoting regional innovation network, supporting system of science and technology park innovation continuous improvement; to strengthen the local government support.There are three aspects of innovation in the following:(1) Established analysis framework of regional innovation system and operation mechanism. Regional innovation system is the focus of the analysis of the different,but the main innovation includes innovation oriented enterprises, industrial zones,the incubation system, universities and research institutions, intermediary service organizations, government, and the main innovation or innovation for innovation system performance, function is realized through the different types of innovation mode, original innovation, integrated innovation, the introduction of digestion and absorption of re innovation, cooperative innovation mode. This analytical framework, combined with the planning of the national innovation system, and has the characteristics of each region and the regions, the conclusion of the study will be more practical significance.(2) Analyze the regional innovation system’s performance and ability from two aspects of static and dynamic. Using the DEA data envelopment analysis method, and the two stages model, carries on the analysis comparison and Evaluation Research on the innovation performance of each region in2006-2011; using stochastic frontier production function model of innovation ability, analyzed dynamic change law of2006-2011, found that the input and output indicators and efficiency indicators for innovation is different.(3) Using the data of Hubei Province on the innovation system of region specific to analyze the performance and the ability. Innovation resource input is the is determined by the the input incremental accumulation and investment,accumulated amount and the former investment is more important, easy to promote the formation of a "path dependence", and so, through comparison the quality of innovation system of horizontal, the technical risks and challenges. This paper selects Hubei province, which is the province of science and education, science and Technology Park level is high, but the overall innovation performance and ability is not high, across the country through analysis, found the innovative enterprise and achievements in scientific research transformation rate is not high is one of the most important reasons of the low performance of innovation system in Hubei province.更多还原