【作者】 张永凯；

【导师】 杜德斌；

【作者基本信息】 华东师范大学 ， 人文地理学， 2010， 博士

【摘要】 知识经济时代,科学技术对社会经济发展的影响不断增强,科技水平日益成为衡量国家竞争力的重要标尺。R&D作为科技活动的核心,更是引起各国政府和企业界的高度关注。在科技全球化背景下,国家技术创新能力的提升不但依靠本国的研发投入和产出,而且更加注重全球研发资源的整合,需要借助外部动力推动本国研发创新活动。随着R&D全球化的纵深发展,R&D活动在空间格局上呈现出新的变化趋势。本文以R&D活动空间分异为研究主线,采用R&D投入产出等一系列指标,首先从宏观层面考察全球不同国家R&D活动的空间格局,其次根据R&D活动空间演化和发展态势,揭示了新兴研发经济体的崛起,最后从微观层面分析新兴研发经济体崛起过程中区域内部R&D活动空间差异。具体对下列问题展开研究：(1)探讨R&D活动的行为主体,并追根溯源,回顾R&D活动的历史发展演变过程,探讨科技全球化下的R&D活动趋势；(2)通过R&D活动的相关指标,分析38个国家R&D活动的现状与空间差异,并测算样本R&D活动的空间集聚度：(3)采用31个国家R&D活动的投入产出以及影响因子的面板数据,运用随机前沿分析法,测算了不同国家的R&D资源配置效率；(4)根据全球R&D活动的空间变化和发展趋势,揭示新兴研发经济体的崛起,从理论上阐释其崛起的动力机制,并对印度和中国的研发崛起进行重点分析；(5)将研究尺度缩小到新兴研发经济体内部,以中国各个省市为研究对象,从微观层面考察中国各区域R&D活动的空间差异,同时选取影响R&D活动的相关指标,运用因子分析法,剖析中国R&D活动空间差异的形成机制。基于上述理论与实证分析,得出以下主要研究结论：(1)从全球主要国家的R&D活动主体、发展演变过程中发现：第一,企业、大学和研究机构是R&D活动的行为主体；第二,R&D活动的发展经历了从无到有、从内部化到外部化、由低级向高级的演变过程；第三,在科技全球化的背景下,R&D全球化趋势明显,其中“R”在空间上趋于集中,而“D”相对分散。(2)在全球尺度上,R&D活动的地理空间主要集中于美国、日本和欧洲的“大三角”区域,但目前这种空间格局正在悄然发生变化,韩国、中国、印度、巴西等新兴研发经济体开始崛起,全球R&D活动的空间格局由“大三角”向“多极化”方向转变。然而, R&D活动各指标在空间上的表现形式有所不同。从R&D强度和人力资本投入指标来看,目前全球R&D活动还集中在美国、日本、欧盟国家,巴西、印度、中国等国家R&D活动的活跃度尚未表现出来；但从三方专利的申请数量和科学与工程论文发表数量两个指标来看,这种空间格局已经发生较大变化,特别是科学与工程论文发表量,“多极化”态势十分明显,中国和印度等国表现出强劲的增长势头；从R&D经费投入看,目前,中国和印度已经位居世界前列,而且也是全球吸引外资研发投入较多的国家,并成为跨国公司海外R&D投资的首选区域。另外,从主要国家R&D活动的空间集聚度来看,R&D产出的集聚度明显高于R&D投入的集聚度。其中,三方专利申请量的空间集聚水平最高,其次为科学与工程论文发表数量,而研发投入强度、研发人员工作全时当量的空间集聚水平相对不高。但从历年变化情况看,近年来各项指标的空间集聚度呈微弱走低趋势。(3)对31个国家R&D资源配置效率的分析表明：虽然美国、日本、德国、英国等国是R&D投入和产出大国和强国,但R&D效率却较低；瑞士、瑞典、韩国、加拿大和澳大利亚等国的R&D效率最高,而中国、印度、巴西、南非等国家的R&D效率也相对较高。随着全球R&D活动向成本较低且R&D效率较高的国家转移,新兴研发经济体正在崛起。从研发资源要素的产出弹性看,人力要素的产出弹性总体上大于资金要素的产出弹性。其中,高收入国家的人力要素产出弹性大于中等收入国家,而高收入国家的资金要素产出弹性却低于中等收入国家。另外,高技术产品的进出口量和FDI等外生性变量对样本的R&D资源配置效率具有明显的正向促进作用。(4)我国R&D活动在空间上表现出明显的“自东向西递减”特征,而且不断向少数区域集聚,特别是向以北京为中心的环渤海地区、以上海为中心的长三角地区和以深圳为中心的珠三角地区高度集聚。从R&D活动具体指标的空间集聚度来看,我国技术市场合同成交的空间集聚度最高,然后依次为专利申请数量、R&D经费支出、科技论文的收录情况以及R&D人员的工作全时当量。总体而言,从时间序列上看,我国R&D活动的空间集聚度有进一步加强的趋势。(5)通过对我国各省市R&D活动空间差异的影响因子分析发现：地区生产总值、各地区从事科技活动人员数量、高等学校数、高等学校普通本专科学生在校人数、各地区教育经费、外商投资的企业数、外商投资总额、各地区科技活动经费内部支出、长途电话交换机容量、移动电话交换机容量、互联网宽带接入端口等11个指标对研发产出的影响显著,而劳动力成本对研发创新产出的影响力比较有限,气候条件对研发创新产出的影响尚不明显。由此可见,经济发展水平、教育科技发展水平、外商投资规模、通信设施建设条件等因素对我国的研发创新产出具有重要正向促进作用,而职工平均工资和空气质量两项指标对专利产出的影响力比较微弱。更多还原

【Abstract】 In the era of knowledge-based economy, Science and Technology play more and more important roles in the development of economy and society, and the technical level of a country has become one of the major criteria to evaluate the competiveness of a country. Being the core activities of Science and Technology, Research & Development has been caught great attention of governments and the business. Under the background of S&T globalization, the innovative competence of a country not only comes from its own R&D input and output, but also depends upon the global R&D resources, which will give impetus to the innovative activities from an external aspect. As a result, with the development of R&D globalization, there have been many changes in the spatial differentiation of global R&D activities recently.Taking the spatial differentiation of R&D activities as a guideline, the author studied the spatial distribution of global R&D activities in different countries from the perspective of global macro-scope. And then based on the spatial evolution and development trend of R&D activities, it has been found that R&D Emerging Economies has risen gradually. Finally, with the rise of R&D Emerging Economies, its inner parts of R&D activities are imbalanced as to the spatial distribution. The following issues had been studied in detail:i) Based on the literature review and theoretical analysis, the author studied the major doers and the evolutionary history of R&D activities, and analyzed the roles that different doers played in terms of R&D activities. ii) Through a series of indexes that related to R&D activities,the empirical study had been made to analyze the spatial differentiation of R&D activities in 38 countries, and then the spatial agglomeration has been measured by some different variables. iii) Based on the panel data of R&D input, output and its factors, the R&D efficiency of 31 countries has been calculated. iv) According to the latest changes and developing trends of the spatial differerentiation of global R&D activities, the dissertation finds out that R&D Emerging Economies are rising, and has shed light on the cause of their emergence, especially highlighted the rise of India and China’s R&D activities. v) Then from the micro scope perspective, taking the provinces and major cities of China as research target, the spatial differerentiation of R&D activities in China has been studied. Meanwhile the Factor Analysis method has been employed to analyze the mechanism of spatial differerentiation of R&D activities in China.Based on the theoretical and empirical analysis mentioned above, it comes to the conclusion as follows:i) Based on the major doers of R&D activities and its evolution, we can draw the conclusion that:firstly, enterprises, universities and research institutions are the main doers of R&D activities; Secondly, as far as the evolution of R&D activities is concerned, it developed from scratch, from the internalization to the externalization, from the primitive to the advanced stage; Thirdly, under the background of S&T globalization, R&D globalization becomes more and more evident,while R is inclined to be concentrated, and D tends to be scattered.ii) From the perspective of global, R&D activities are concentrated mainly among the Big Triangle of U.S.A, Japan and Europe. However, with the rise of R&D Emerging Economies such as India, China, South Korea and Brazil, the differentiation of global R&D activities changes from the Big Triangle to the multipolars. And the various indicators of R&D activities have different spatial characteristics. In terms of R&D intensity and human labour investment, they are concentrated on the U.S.A, Japan and Europe, and the liveness of R&D activities is not yet showed in India, China and Brazil. But when it comes to the triadic patent and science and engineering papers, the trend of decentralization is much clearer, and India and China become more and more powerful. As far as R&D fund input is concerned, India and China play the leading role in the world, and attract a large sum of foreign R&D investment. Moreover, considering the spatial agglomeration of R&D activities in major countries, R&D outputs are much higher than R&D inputs in general. And the spatial agglomeration of the triadic patent is the highest, and the amount of science and engineering papers is the next, but R&D intensity and Full Time Equivalent of R&D workers are not so high relatively. In long run, the spatial agglomerations of all variables display the decreasing trend.iii) According to the analysis of allocation efficiency of R&D resources in 31 countries, it reveals that:U.S.A, Japan, Germany and Britain are the big powers of R&D input and output, yet their R&D efficiency is not so high; Switzland, Sweden, South Korea, Canada and Australian have the highest R&D efficiency, and the R&D efficiency of China, India, Brazil and South Africa are relatively high. With the global R&D activities transferring to the region of lower cost and high efficiency, R&D Emerging Economies are on the horizon. According to the output elasticity of R&D resources, human labour is much stronger than that of funds generally. Furthermore, the output elasticity of human labour in high-income countries is stronger than that of middle-income countries, but the output elasticity of funds in high-income countries is weaker than that of middle-income countries. In addition, the ectogenous variables including imports and exports of high-tech products and FDI have positive effects on the allocation efficiency of R&D resources.iv) The spatial distribution of R&D activities in China is characterized by decreasing step by step from the east to the west, and it concentrated on such regions as Bohai Bay Region that Beijing centered, Yangtze River Delta that Shanghai centered, and Pearl River Delta that Shenzhen centered. From the perspective of spatial agglomeration of R&D activities in China, the turnover of technology market contract is the highest, and the patent application, R&D funds inputs, scientific papers published and Full Time Equivalent of R&D workers. In short, from the developing process of R&D activities in China, the spatial agglomeration of different variables is displaying the increasing tendency.v) Based on the factors that affected the spatial differentiation in China, we found that most of factors have the positive effects on R&D output, such as GDP, the quantity of the personnel engaged in scientific and technological activities, the numbers of universities, college students that enrolled, education funding input, the number of foreign enterprise, the scale of FDI, expenditures for science and technology activities, long-distance telephone exchange capacity, mobile phone exchange capacity, internet access interface and so on. However, the average wage of workers and air quality has no obvious effects on R&D output. We can draw a conclusion that the development of economy, education, science and technology, the scale of foreign direct investment, the infrastructure of communications have the favorable influence on R&D output.更多还原