【作者】 韩继坤；

【导师】 张卫东；

【作者基本信息】 华中科技大学 ， 西方经济学， 2007， 博士

【摘要】 自主创新能力、高技术产业的发展力是一个国家综合国力的重要体现。科技园区在提升自主创新能力、发展高技术产业方面起着巨大的推动作用。世界各国都将建设科技园区作为发展高技术产业集群、提升自主创新能力的重要手段,研究科技园区发展具有十分重要的战略意义。中国科技园区正在实施“二次创业”战略,战略实践需要以科学理论为指导,研究中国科技园区发展具有十分重要的现实意义。学者们对科技园区、科技园区的技术创新、科技园区的制度创新进行了研究。但是,对技术创新与科技园区经济发展的关系、制度创新与科技园区经济发展的关系的研究并不多见,从技术创新与制度创新的双重视角对科技园区经济发展进行的研究为数更少。本文以中国科技园区经济发展问题为中心,在综述已有的关于科技园区技术创新、制度创新研究成果的基础上,从中国科技园区的发展现状出发,借鉴美国科技园区的发展经验,建立了含有制度因素和技术因素的科技园区经济发展分析框架,以技术创新、制度创新为主线,采用微观分析与宏观分析相结合、实证分析与规范分析相结合,并辅之以案例分析的研究方法,着重从技术创新、制度创新、二者的互动关系及其对科技园区发展的影响等方面,探讨了中国科技园区的经济发展问题。对世界科技园区的发展现状进行的研究表明,世界科技园区的分布存在不平衡性,大部分科技园区位于少数发达的工业化国家,而广大的发展中国家很少。硅谷成功的基本经验是创新,包括制度创新和技术创新。对中国科技园区的发展现状和经济成效进行的研究表明,中国的科技园区分布不均衡,主要分布在东部沿海地区,西部相对较少。中国的科技园区发展取得了重大成就,但是与发达国家的科技园区相比,差距很大。中国的科技园区要实施“二次创业”,在更高水平上发展,除了借鉴发达国家科技园区的成功经验之外,迫切需要科学的理论作为指导。对科技园区的创新网络进行的研究表明,科技园区创新网络与产业集群之间存在相互促进的关系。同时,产业集群的形成对科技园区产业结构的相对变化有重要影响。随着科技园区创新网络和产业集群的扩展,产业集群逐渐向创新集群演变。产业集群只有不断创新,向创新集群发展,才能保证企业产品和科技园区产业持久的竞争力。对科技园区创新集群的形成模式研究表明,产业、大学、政府三螺旋创新是科技园区创新集群形成的重要模式。从大学、企业、政府三元结构创新向大学、企业、政府三螺旋创新转变是科技园区技术创新的战略趋向。从三元结构创新向三螺旋创新转变有赖于科技园区管理机构、科技园区所在的地方政府乃至中央政府推动的科技制度的创新、大学使命的转变和政府运行机制的创新。三螺旋创新有效运行的关键是三元之间要形成互动的网络和良好的运作模式,对将制度因素加入到经济增长模型的主要方法的研究表明,制度在中国科技园区发展过程中的增长效应,可以用市场化指数、非国有化率、对外开放度等变量作为代理制度变量。实证分析中,非国有经济增长率作为科技园区制度的代理变量更可行。对高技术企业制度创新的研究表明,高技术企业制度创新的重点是产权制度创新和组织结构创新。高技术企业是以智力资本和人力资本为主要特征的合约,只有使产权的安排、报酬的支付与生产率相一致的高技术企业,才具有持久的发展力和竞争力。对科技园区制度创新内容的研究表明,科技园区制度创新的重点是科技园区立法创新,立法创新的核心是科技园区管理体制的定位问题。对科技园区制度创新模式的研究表明,中国科技园区制度创新正在由自上而下的制度创新向自下而上的制度创新转变、由供给主导型制度创新模式向需求诱导型制度创新模式转变。对技术创新和制度创新的关系研究表明,技术创新与制度创新在发展高技术产业中何者更重要,要在成本—收益的框架下作出判断。如果技术创新的潜在收益大于制度创新的潜在收益,则技术创新重于制度创新,反之,则制度创新重于技术创新。在转型中国的背景下发展高技术产业和科技园区,制度创新重于技术创新。对中国科技园区发展的实证研究和经验分析表明,中国科技园区的发展存在非均衡性特征,除了经济发展不平衡的一般规律以及科技园区发展的初始发展条件不同外,主要原因是技术及制度的差异。本文认为,“创新—经济增长—科技园区发展”是一个有机的统一体,创新是经济增长的原因,又是经济增长的结果;创新与经济增长是制度变迁的原因,也是制度变迁的结果。在经济发展过程中,技术创新和制度创新密不可分、互相促进。创新是科技园区经济发展的动力。科技园区创新的根本目的是促进科技园区经济增长。制度创新、技术创新是决定科技园区经济发展的最主要因素,成功的科技园区一定是实现了技术创新与制度创新的有机结合。技术创新是科技园区发展的源动力,制度创新是科技园区发展的加速器。对处于转型时期的中国而言,应以制度创新为突破口,同时注重进行技术创新,从而推动中国科技园区的相对均衡发展。更多还原

【Abstract】 The abilities of independent innovations, powers of high-tech industry development are important reflections of a country’s comprehensive national strength. Science and Technology Parks(STPs) are playing great roles in improving the abilities of independent innovation and promoting the development of high-tech industries. Building STPs is an important means of developing high-tech industry clusters,enhancing independent innovation capabilities, which are utilized by all countries in the world. Researches on STPs are of great strategic importance.The strategy of "second venture" is being implemented by China’s STPs. The guidance of scientific theories are needed by the strategic practices. Researches on China’s STPs are of great realistic significance.It was STPs,technological innovations and institutional innovations that was studied by scholars. However,it was rarely studied on the relationship between technological innovations and economic development of STPs and that of institutional innovations and economic development of STPs. It was less studied on the economic development of STPs from double perspectives of technological innovation and institutional innovation. The focus of this paper is the economic development issues of China’s STPs. On the basis of summaries of STPs technological and institutional research results, from the current situation of China’s STPs and American experiences, by establishing the STPs analytical framework containing both technological factors and institutional ones, the development of STPs was discussed by focusing on technological innovation, institutional innovation and the interaction between the two, taking technological innovation and institutional innovation as main analytical lines, by the means of combinations of microscopic analysis and macro analysis, empirical analysis and normative analysis,supported by the method of case studies.The study on the current situation of world’s STPs shows that they are of imbalance in distribution, most of the STPs are situated in few advanced industrialized countries, and few ones in developing countries.The basic experiences of Silicon Valley are innovations, including technological innovations and institutional innovations.The deliberation on the development and economic effectiveness of China’s STPs shows that China’s STPs are of unequilibrium distributed, mainly located in the eastern coastal regions, western relatively small.China’s STPs have made significant achievements, but the gaps are more terriblely larger compared with the STPs in developed countries.Scientific theories are urgently needed to guide China’s STPs development at a higher level as the "second venture" is being implemented.The research on STPs, innovation networks shows that there are mutual promoting relations between STPs innovation networks and industrial clusters.Meanwhile,the formation of industrial clusters has important effects on relative changes of the industrial structures. With the expansion of STPs innovation networks and industrial clusters, industrial clusters will gradually make evolutions to innovational clusters. Only constant innovations and the development of innovational clusters can guarantee the durable competitiveness of enterprises, products and STPs development.The consideration on the formation models of innovational clusters shows that the triple helix innovation among universities, enterprises and government is an important innovational model which can form innovational clusters in STPs. Strategic trends of technological innovation in STPs will shift from three-element-structure innovation to triple helix innovation. Changes from three-element-structure innovation to triple helix innovation will depend on system innovations of science & technology, transformations of university missions and innovations of government operation mechanism which are promoted by STPs management agencies, local governments and even the central government.Interactive networks and good interactive patterns are the keys to the effective operations of triple helix innovations.The study on the method of institution factors endogenicalized into the economic growth models shows that marketization index, non-nationalization rate, degree of outside-opening can be used as agentive variables to measure the growth effects during the development of China’s STPs. It is more feasible that non-state-owned economic growth rate is used as a agent variable of STPs institutions during empirical analysis。The research on the institutional innovations of high-tech enterprises shows that the innovations of property rights and organizational structure are the main points of enterprises, innovations. High-tech enterprises are contracts mainly characterized by the features of intellectual and human capitals. Only the arrangements of property rights, the payments of remunerations are in lines with productivities in the high-tech enterprises can the enterprises possess enduring power and competitiveness.The study on the contents of STPs institutional innovations shows that STPs legislation innovation is one of the important innovations, with the management system being the focus.The consideration on the model of STPs institutional innovation shows that the paradigms of STPs institutional innovation are shifting from top-down institutional innovations to bottom-up ones and from supply-oriented institutional innovations to need -induced ones.The discussion on the relationship between technological innovations and institutional ones expresses that it should be judged under the cost-benefit framework what is more important during the development of high-tech industries.If the potential benefits of technological innovation is greater than that of institutional innovation,then technological innovation is more important than institutional innovation. Conversely, institutional innovation is more important than technological innovation.In the context of restructuring the development of China’s high-tech industries and STPs, institutional innovation is more important than technological innovation.The research on the development situation of China’s STPs shows that the economic development of China’s STPs possesses unbalanced characteristics, the reasons lie mainly in the differences of technology and institutions among the STPs in addition to the initial different developing conditions and the general laws of unbalanced economic development.This paper believes that "innovation-economic growth-STPs development " is an organic entity. Innovation is the reason for economic growth, also the result of economic growth. Innovation and economic growth are the reasons for institutional changes, also the results of institutional changes. In the course of economic development, technological and institutional innovations are inseparable, and promoting each other. Technological innovation is the driving force of economic development of STPs.The fundamental purpose of STPs innovations is to promote economic growth in STPs.Institutional innovation and technological innovation are the two most important factors which determine the economic development of STPs. Successful STPs are surely to reach the combination of institutional innovation and technological innovation.Technical innovation is the dynamic source of STPs economic development,and institutional innovation is the accelerator of STPs economic development.With regard to the transition period of China,institutional innovation should be taken as a breach, simultaneously technological innovation should be attached importance on, thus the relatively balanced development of China’s STPs will be realized.更多还原