【作者】 江洪；

【导师】 宋德勇；

【作者基本信息】 华中科技大学 ， 西方经济学， 2008， 博士

【摘要】 自主创新是促进产业结构调整和推动经济社会发展的主要动力。自主创新和产业结构优化升级之间的关系相对复杂,本文以通过自主创新促进我国产业结构优化升级为研究目标,分析了自主创新与产业结构优化升级的关系,研究了影响自主创新的各种因素,考察了自主创新对产业结构优化升级的影响途径和内在机制,并对相关问题进行了经验分析,据此提出了一些有针对性的政策建议。本文首先从自主创新与产业结构优化升级的相关理论分析入手,通过文献研究,找出了自主创新与产业结构优化升级之间可能存在的联系,指出自主创新产生的技术进步是促进产业结构优化升级的主要力量。自主创新通过对产业结构优化升级产生直接影响和间接影响,改变了三次产业在国民经济中的地位。其次,本文全面分析了影响自主创新的因素,并使用了面板数据的计量经济学分析方法,结果发现,如果以发明专利申请量作为衡量自主创新能力的指标,那么,研发经费支出、科研人员数量、基础设施等是影响自主创新的主要因素。在此基础上,提出了一些有针对性的建议,即要发挥政府在自主创新中的主导作用和企业的主体作用、高校和科研机构的引领作用,共同建设产学研一体化的自主创新体系,提高我国的自主创新能力。接着,本文对我国产业结构的现状和问题进行了分析,研究了自主创新对我国产业结构优化升级的影响途径,认为自主创新使我国三次产业结构之间的比例更加合理,也促进了三次产业内部结构的高级化。通过理论分析和经验分析,分别研究了自主创新对农业、工业和服务业内部产业结构的优化升级途径,并以高技术产业份额为代理变量,重点分析了自主创新通过促进高技术产业的发展、推动信息化和新型工业化,实现了工业产业结构的优化升级。最后,本文进一步考察了自主创新促进产业结构优化升级的内在机制,通过使用高技术产业利润和高技术产业份额作为代理变量进行了经验分析,发现自主创新一方面提高了劳动生产率,影响了产业相对成本的变动,并通过投资效应,促进生产要素在不同产业之间的流动,推动了产业结构的优化升级,即自主创新对产业结构优化升级的推动机制;另一方面自主创新不断产生新技术和新产品,改变了需求结构,拉动了产业结构优化升级,即自主创新对产业结构优化升级的拉动机制。此外,研究还发现公路等基础设施对提高自主创新能力和促进产业结构优化升级有较大的影响。为此,需要优化科研资源配置,重视需求结构调整,促进生产要素自由流动,加强基础设施建设等,充分发挥自主创新对产业结构优化升级的推动作用与拉动作用。本文通过定量与定性相结合的研究方法,在理论方面部分解决了自主创新与产业结构优化升级之间的内在逻辑关系问题。如首先从自主创新活动的不同参与者的角度出发,提出了促进自主创新的政策建议。然后以高技术产业份额作为代理变量,阐述了自主创新对产业结构优化升级的影响途径。接着从劳动生产率变动和需求变动这两个角度,将自主创新与产业结构优化升级的内在机制分为推动机制与拉动机制。本文对提出的理论观点逐一进行了实证检验,对使用的各种变量进行了度量,并尽可能使用不同的设定与估计方法进行参数估计,最后的计量分析结果也基本支持我们的预期,表明理论分析提出的假设是较为可信的,这为进一步研究自主创新与产业结构优化升级的关系提供了基础。更多还原

【Abstract】 Independent innovation as the main force promotes the industrial structure adjustment and development of economy and society. As we know, the relationship is comparative complex between independent innovation and optimization and upgrading of industrial construction. So for the purpose of research that how independent gives an effect to optimization and upgrading of China’s industrial construction, this paper involved some main steps as below: analyzing the relations between the former one and later one; researching the various effecting factors to independent innovation, investigating the way of effect and inner-mechanism of the former one to the later one; And also, putting forward some direct political proposals based on the related issues by experienced analysis.Initially, this dissertation based on the literature researches involved related theory of impossible relations about the independent innovation and industrial structure optimization and upgrading illustrates the impossible relations between independent innovation and industrial structure optimization and upgrading, and obtains results that promotion of technology lied on independent innovation helped forward the optimization and upgrading of industrial structure, and that direct and indirect effecting by independent innovation bringing out technology progress has changed the role of three industrial construction in the national economy.Furthermore, the comprehensive analysis of factors for independent innovation adopts econometric method of penal data, and we find out that if the patent application quantity as the measurement index for independent innovation capability, the main factors that will give an effect to independent innovation is including: investment of research and development, personnel of scientific research, and development of infrastructures. Based on the these conclusions through analysis, this paper brings up some pertinent proposals, such as: the exercising the guiding function of government, body action of enterprises, and leading influence of high schools and scientific research institutions in the independent innovation. Then we should establish a independent innovation system of integration of industry, studying and research for advancing independent innovation capability of our country.Then, this paper gives an analysis to the present conditions and problems of independent construction, and through a analysis of independent innovation’s effecting way to industrial structure optimization and upgrading, it shows a result that more reasonable of ration among three industrial constructions in our country can be brought out by independent innovation, and upgrading of inner-construction of the three industrial constructions by same meaning. Meanwhile, this paper offers some analysis by theory and practicing, individually studies on the way of optimization and upgrading of inner-industrial construction in agriculture, industry, and serve by means of independent construction. Also, this paper selects a agent variable of high-technology industrial portion particularly analyzes the reality of industrial construction optimization and upgrading in field of industry is dependent by independent innovation, which developed the high-technology industry, promoted informationization, and new industrialization.Accordingly, some results presented in this paper are constituted by three facets. First of all, while through the independent innovation, a promoting mechanism for optimization and upgrading of industrial construction, labor productivity is increased, comparative cost is changed, and optimization and upgrading of industrial construction is given an impetus by investment’s effecting to hastening the circulation of various factors in different industries. Secondly, as a driving mechanism, the independent innovation changed demand construction and gave a driving to optimization and upgrading of industrial construction by constant producing of new technologies and new products. Besides, there is also a finding that infrastructure like road gave more effected to independent capability’s enhancing and optimization and upgrading of industrial construction. For this purpose, some proposals shall be given as: resources distribution in scientific research shall be optimized; allocation of demanding construction shall be gave much more attention; circulation of industrial factors shall be hastened; development of infrastructures shall be enhanced. In summary, the independent innovation as the mechanism of promoting and driving shall optimize in full to the upgrading of industrial construction.Eventually, this research, in the theoretic layer, adopted a comprehensive analysis of quality and quantity, and partly solved logic relationship between independent innovation and optimization and upgrading of industrial constructions. As has been noted, firstly, it brought forward some political proposal for the promotion of independent innovation, from the various participants in the independent innovation activities. Secondly, it through selecting a agent variable of high-technology industrial portion, illustrated independent innovation’s effecting way to industrial structure optimization and upgrading in our country. Meanwhile, it divided inner-mechanism in both sides, from variation of labor productivity and demanding, into promoting mechanism and driving mechanism. By demonstration examination provided step by step for the points of views and theories, like measurement of various variables, using of different setting and estimating of parameters, it showed that the results through measurement and analysis basically satisfied our expectation, and assumption provided in analysis of theory was comparatively credible. Thereby, all of these will put a basis up for further studying of independent innovation’s optimizing and upgrading to industrial constructions.更多还原