【作者】 陈丹宇；

【导师】 张小蒂；

【作者基本信息】 浙江大学 ， 政治经济学， 2010， 博士

【摘要】 创新是区域经济发展的根本动力源；区域创新系统的形成与发展是增强区域自主创新能力,建设创新型区域的捷径。作为转型的发展中大国,中国区域创新系统发展具有不平衡性。先发地区的创新系统经验和模式对后发地区具有极强的示范效应和借鉴意义。虽然,区域创新效率增进方式多种多样,但是,相对于传统来讲,现代科技研究交叉融合性和创新的复杂性、不确定性所引致的创新协同信息成本畸高,致使创新协同度提升成为降低信息成本、增进区域创新效率的关键。长江三角洲地区是我国综合实力最强的区域,尽管长三角三省市的区域创新能力处于全国领先水平,也形成了各具典型特色的创新系统模式,并拥有较丰富的区域创新资源,但是,三地创新资源配置过程中,分工、共建脉络还不清晰；过度竞争现象仍然严重；信息共享程度低,重复研发的现象依然如故。整体创新协同缺乏,影响和制约着长三角创新资源的利用效率；因此,创新协同度的提升是增进区域创新效率的关键,本文选择具有典型示范意义的长三角,在大国转型经济的背景下,研究区域创新系统中的协同效应,剖析创新协同提升的内在机理,从而试图为我国区域创新的效率提升提供具有一定普适意义的思路与对策。本文所作的创新性探索要点如下：1、从区域空间视角拓展了创新协同的内涵,揭示了区域创新协同动因是协同剩余。虽然现有研究对创新协同现象关注较多,但对创新协同背后的动因研究较少。本研究发现,区域创新协同的动因是各创新行为主体预期获取的协同剩余；而各创新行为主体因追求此种经济利益有可能扭曲信息,引致系统整体协同度较低下,导致剩余减少。追求协同剩余、提升协同度的实质是各区域创新行为主体在信息不对称下通过有效的制度安排来强化互补效应与弱化冲突效应而形成的净增益的过程。2、通过协同剩余的几何模型,剖析了妨碍协同剩余的形成与增进的症结所在。研究发现,在充分信息情况下,其形成与增进可通过“分工合理+竞争适度+融合互补”三个维度的互补效应来实现。但是,因技术市场的交易所涉及三类不确定性和跨省区的政府研发决策的种种困境等引致的信息障碍,导致区域误分工,即在给定研发资源前提下,创新资源误配置,其特征是低水平的研发重复、有价值的研发投入不足等；导致区域竞争过度,内耗加剧,使得创新难以持续；导致区域融合虚置,表现为创新系统僵化和效率低下等,从而致使协同度较低,进而妨碍了协同剩余的形成。因此,弱化这种“信息障碍→研发误分工→竞争过度→融合虚置→协同度较低”的冲突效应具有紧迫性,问题的症结源于政府在区域创新协同方面存在信息障碍。3、通过对协同度实证分析,验证了上述信息障碍在地区层次上的差异。研究发现,长三角区域创新系统的整体协同度很低,而江浙沪各自的创新系统的有序度却相对较高。这一反差表明,虽然,各地政府为区域创新协同构筑了环境、设计了机制和实施了规制,使得系统在跨省区层次上初步形成,但是,这种政府主导型的、跨省区的创新系统,一方面其协同层次“重心”越高,市场配置创新资源的作用发挥越少,利益扭曲越大,信息障碍越多；另一方面各省区追求局部自身利益引致省区间利益有所扭曲,致使跨省区面临协同的信息障碍程度较大,从而导致跨省区的整体协同度较低。而对江浙沪各自而言,因协同层次“重心”低,市场作用发挥较大,利益扭曲程度较低,信息障碍较少；同时,因源自于市场在配置创新资源的作用较明显,引致政府在做出科技创新发展规划时所面临的信息障碍较少,从而导致其创新系统协同度相对较高。因此,化解信息障碍,提升协同度的关键是要构建市场治理和政府治理的互补而非替代的机制。4、从机制设计的视角,探索了化解信息障碍的有效途径。研究表明,在区域创新协同过程中,其信息障碍有特殊性,它表现一是源自于不重视市场作为创新资源配置重要手段的行政规划；二是源自于技术、知识含量较高的创新自身引起的交易费用过高。而政府惯用的规划难以化解此类信息障碍,因此,构建新型的以激励相容为特征的顺市场导向的政府动态治理机制是明智的选择。这种新型的治理机制可让市场纠偏机制由事后转变为事前,由静态转变为动态,从而降低化解信息障碍的高昂的代价,最终促使区域创新协同所致整体效率增进。更多还原

【Abstract】 Innovation is the essential dynamic driver of regional economic development. Hence, establishing the regional innovation system can be regarded as a shortcut taken to strengthen capabilities of independent innovation and develop an innovative region. China, as a large developing country still in the course of economic transition, has taken on imbalance in its regional economic development. The experience and patterns of innovation systems in China’s developed regions have valuable demonstration effects on less developed regions, and can be used for reference. It is true that the efficiency of regional innovation can be enhanced in various manners. However, compared to traditional patterns, modern scientific research is highly merged, and innovation tends to be considerably complicated and uncertain. Consequently, the information costs of innovation synergy become remarkably high. Thereby, the improvement on synergy degree can be regarded as the key to reduction of information costs and enhancement of regional innovation efficiency. The Yangtze-Delta has the most outstanding comprehensive strength in China. The dominant provinces and cities within this region, namely Zhejiang and Jiangsu Provinces as well as Shanghai Municipality, have established typical modes of innovation systems and accumulated abundant resources for regional innovation. However, some problems still exist in the allocation of innovation resources and need to be resolved. Firstly, the specialization and collaborative construction are not yet accurate. Secondly, over-repetition is considerably severe. Thirdly, information and other resources are barely shared, which resulted in repeated programs and research. The resulting lack of overall innovation synergy has now become a dominant restraint to advancing efficiency of innovation resources in the Yangtze-Delta. Therefore, the improvement on synergy degree becomes the key to enhancement of regional innovation efficiency. In view of the above, this paper aims to study the synergy effects in regional innovation systems as well as the mechanisms for improving innovation synergy on the basis of large transition economy. With some findings and conclusions, this paper attempts to bring forward some general clues and counter-measures, and hereby help to improve China’s regional innovation efficiency.This paper seeks to make original progress in following aspects:1. This paper develops the connotation of innovation synergy with a regional and spatial perspective, and reveals that the dynamic driver of regional innovation synergy lies in the synergy residual. In the existing research, much attention has been paid to innovation synergy. The dynamic drivers, however, are rarely studied. It is found that, the expected synergy residual of every innovation body works as the dynamic driver for regional innovation synergy. However, information may well be distorted with innovation bodies pursuing their residual, which would reduce the overall synergy degree and residual. In essence, when pursuing synergy residual and improving synergy degree, innovation bodies with asymmetric information design and use effective institutions. In this way, they endeavor to strengthen complimentary effects and weaken conflicting effects, and hereby gain net benefits.2. This paper, via a geometric model, analyzes the dominant restraints to the achievement and enhancement of synergy residual. It is found that, under circumstances of complete information, synergy residual can be achieved and enhanced by complementary effects on three dimensions, namely rational division of labor and moderate competition as well as amalgamation. However, information barriers may arise from transaction uncertainty of three types on technology market, as well as all sorts of dilemma in inter-provincial governments’decision-making on R&D activities. One of the resulting troubles may be false division of labor within the region. In other words, given R&D resources are wrongly allocated, which is featured by over-repetition on low levels and inadequate valuable R&D input. Another trouble would be over-competition within the regional, which intensifies internal friction and makes innovation unsustainable. For a third one, regional amalgamation may well exist in name only, with the regional innovation system becoming rigid and inefficient. To sum up, information barriers, false division of labor, over-competition, void amalgamation, and low synergy degree ensue. Such conflicting effects will bring down the synergy degree and hamper the achievement of synergy residual. Therefore, it is urgent to weaken the conflicting effects. The key to this goal, however, lies in the governments’ information barriers in regional innovation synergy.3. This paper empirically studies synergy degree of the Yangtze-Delta, and verifies the discrepancy of the above-mentioned information barriers among different regions. It is found that, the overall synergy degree of this regional is rather low, while the separate degree of order within each province and municipality is relatively high. Such a contrast reveals that, despite governments manage to initiate the inter-provincial innovation system through efforts on the environment and institutions as well as regulations, this government-dominated innovation system is to some extent defective. For one thing, with the "heart" of synergy moving higher, market mechanism plays a less important role in R&D resource allocation, while the distortion in interests and information barriers become more severe. For another thing, with each province and municipality pursuing their separate interests and causing distortions, information barriers to inter-provincial synergy becomes more intense, which brings down the overall synergy degree within the delta. For each province and municipality, the "heart" of synergy is rather low, and market mechanism plays a much more important role in R&D resource allocation. Therefore, their interests are less severely distorted and information barriers are limited. Meanwhile, by virtue of significant market role, governments will encounter less information barriers when making programs and decisions on scientific innovation activities, leading to a higher degree of innovation synergy. Obviously, the key to resolve information barriers and improve synergy degree lies in the establishment of complimentary rather than substitute relationship between market operation and government regulation.4. This paper probes into the effective resolutions to information barriers with a perspective of mechanism design. It is found that, information barriers in the process of regional innovation synergy takes on specific features. Firstly, they arise from administrative planning of R&D resources allocation, which discounts the radical role of market. Secondly, they arise from the high transaction costs involved in the hi-tech innovation activities themselves. It is difficult for governments to resolve such information barriers via conventional measures. However, it would be wise to establish a dynamic regulation mechanism featured by incentive compatibility and market domination. By virtue of such a new regulation mechanism, the rectifying role of market can be ex-ante and dynamic, rather than ex-post and static. In this way, costs to resolve information barriers can be considerably reduced, and therefore the overall efficiency of regional innovation synergy can be enhanced.更多还原