【作者】 张建民；

【导师】 杨先明；

【作者基本信息】 云南大学 ， 政治经济学， 2010， 博士

【摘要】 创新已经成为衡量一个国家、区域竞争力的重要指标,是一个国家、区域经济持续发展和保持区域竞争优势地位的关键。提高自主创新能力,建设创新型国家,是我国今后一个相当长的时期内国家现代化建设的重要目标和战略任务。然而目前我国不少地方的技术创新能力还不强,技术创新对经济增长的贡献也相对较低。长远来看,不断提升技术创新能力应该是我国不同区域经济进步的基本选择,也是增强区域乃至于国家竞争力的根本途径。本文以我国不同区域的技术创新能力、差异及其影响因素为研究对象。在研究方法上坚持规范研究与实证分析相结合;定性分析与定量分析相结合;力图使研究规范、科学,结论真实、可信。本文在研究中综合运用多学科的理论知识和方法,以发展经济学、制度经济学、创新经济学、系统科学、人力资本理论和统计学等学科或分支的有关理论、方法为分析工具、手段,对区域技术创新系统构成要素、联系机制、技术创新过程以及能力形成机理进行科学认识;构建指标体系,搜集数据,对我国不同区域的技术创新能力、差异情况及产生差异的主要原因进行科学分析,并在此基础上提出了有针对性、指导性的对策建议。本文共分8章,第一章是“导论”,第二章是“区域技术创新能力研究综述”,第三章是“区域技术创新:过程和能力”,第四章是“中国区域技术创新能力差异”,第五章是“人力资本与区域技术创新能力差异”,第六章是“经济发展阶段与区域技术创新能力差异”,第七章是“制度与区域技术创新能力差异”,最后一章是“结论与展望”。本研究的主要结论是:1.我国不同省、市、自治区的技术创新能力有很大差异,有突出的层次性,可以分为三大类:北京、江苏、上海和广东为第一类;浙江、山东、天津和辽宁为第二类;其它的为第三类。从能力因素的视角看,对区域技术创新能力差异影响最大的是技术创新扩散吸收能力,其次是技术创新产出能力,再次是技术创新投入能力差异。造成我国不同区域技术创新能力差异的根本原因在于各地人力资本状况、经济发展水平和制度环境的差异。2.我国不同地区的人力资本存量有较大差异。人力资本比较丰裕的是北京、广东、江苏、山东和上海等东部经济发达地区,人力资本比较贫乏的是甘肃、宁夏、青海、海南和西藏等西部欠发达地区。不同区域人力资本存量的差异是造成其技术创新能力差异的重要原因。在技术创新支撑能力、投入能力、产出能力、扩散吸收能力和产业化能力等方面,人力资本比较丰裕的区域北京、广东、江苏、山东和上海普遍较强,而人力资本存量较低的甘肃、宁夏、青海、海南和西藏等省区普遍较低。作为人力资本存量不足的西部地区来说,今后应继续大力发展正规的学校教育,强化大专以上人才培养,切实提高西部人力资源结构,建立起吸聚人才的机制,营造良好的创新环境,并鼓励跨国公司到西部投资、对当地雇员进行培训。3.区域经济发展水平与技术创新能力之间呈较高程度的正向相关关系,经济发展水平、阶段的差异是引致区域技术创新能力出现差异的重要原因。经济发展程度高的东部省、市、区,如上海、广东、北京、山东、江苏和浙江等,在技术创新的支撑能力、投入能力、产出能力、吸收扩散能力和产业化能力等方面也较强,而经济较为落后的属于西部省区的甘肃、云南、广西、西藏、贵州和海南等地方,则在构成技术创新能力的各方面均比较弱。作为技术创新能力普遍较弱的西部省区来说,要切实、稳健地提升技术创新能力,一定要依托于现实的发展基础,因地制宜地采取有针对性的技术发展战略、路径和模式。4.我国不同区域制度完善程度与其技术创新能力之间的分布存在一致性,制度相对完善的地区技术创新能力较强,制度相对缺陷一些的地区技术创新能力较弱,制度完善程度对技术创新形成一定的支撑,制度完善程度差距是技术创新能力差距的重要原因。制度完善程度对不同区域技术产业化能力的影响尤其明显。为了真正完善我国不同区域的技术创新体系及其能力,务必要抓好根本性的市场制度与知识产权制度建设,形成良好的基于创新求生存、求发展的市场竞争环境。与此同时,要积极探索激励创新的财政资助、税收优惠、风险投资以及政府采购制度。此外,还要主动探索有利于创新的思想文化制度建设。本研究的主要创新点表现在这样几个方面:一是从系统观念出发,对推动区域技术创新的机制进行了剖析,指出了三个基本的机制,即动力机制、扩散机制和共生机制。并对三种机制的影响因素、功能、联系做了分析。二是基于对克莱因(S.Klein)、罗森堡(N.Rosenberg)的“链环一回路模型”以及Peter L.Josty的创新过程模型的研究,对技术创新过程的多因性和多维性以及不同路径做了重新认识,独创性地提出了区域技术创新过程模型。把我们对区域技术创新过程的认识提升到了一个更高的层次。三是提出影响区域技术创新能力形成的最重要的机制包括交互学习、知识生产、临近和社会根植。并剖析了影响能力形成机制运转的关键支持条件,即制度、人力资本、经济科技发展状况。四是从区域技术创新过程视角出发创新性地分析了区域技术创新能力的层次结构,即支撑能力、投入能力、产出能力、扩散吸收能力、技术产业化能力。并科学、合理地选取了有关代理指标,运用标准化、变异系数、基尼系数、集中度、差异程度等指标评价方法以及聚类分析方法进行定量测度,对我国不同区域的技术创新能力进行了不同的聚类。五是对造成我国不同区域技术创新能力差异的因素进行了分解,创新性地提出造成我国不同区域技术创新能力差异的根本原因在于各地经济发展水平、人力资本状况和制度环境的差异。六是利用对比分析、Mann-Whitney U检验、散点图观察等方法,就各地人力资本状况、经济发展水平和制度环境差异对技术创新能力的具体影响状况进行了实证研究,并提出了有独到性、针对性的对策建议。更多还原

【Abstract】 Innovation has become a key indicator of national and regional competitiveness and a critical component for national and regional economies to maintain their sustained development and dominances. Enhancing its independent innovation capability and constructing an innovative country is China’s long term important target and strategy for modernization. However, many areas in China are weak at technical innovation and innovation contributes little to economic growth. In the long run, persistently enhancing innovation capability should be the first choice of various regional economic progresses and even the prime solutions of regions and countries to enhance their competitiveness.This thesis takes the innovation capabilities, differences and their effects as its research objects. It takes the normative and empirical analysis research as its methodology which combines qualitative analysis and quantitative analysis and pursues formal, scientific, reasonably conclusive and creditable research. The thesis comprehensively uses knowledge and methodologies of various disciplines, takes subjects or branches of development economics, institutional economics, innovative economics, system science, human capital theory and statistics as its analytical instrument and measures, then scientifically analyzes the technology innovation capabilities, gaps, and the reasons of these gaps of different regions of China and gives pertinent and instructional strategies. The paper includes eight chapters. The first chapter is Introduction. The second chapter is General Introduction to Regional Technology Innovation Capability. The third chapter is Regional Technology Innovation-Procedure and Capability. The fourth chapter is Technology Innovation Capability Gaps among Chinese Regions. The fifth chapter is The Correlation of Human Capital and Regional Technology Innovation Capabilities. The sixth chapter is The Correlation of Economic Development Stages and Regional Technology Innovation Capabilities. The Seventh chapter is The Correlation of System and Regional Technology Innovation Capabilities, and the last chapter is Conclusions and Expectations.The main conclusions of this research are as follows:1. The different provinces, cities and autonomies have great gaps in technology innovation capabilities. The gaps stratify to be three levels. First level: Beijing, Jiangsu, Shanghai and Guangdong; the second level: Zhejiang, Shandong, Tianjin and Liaoning; other regions are in the third level. In terms of capability factors, the most effective factor of technology innovation capabilities is the absorbing capability of technology innovation expansion; the next is the output capability of technology innovation; and the last is the input capability of technology innovation. The root causes of the gaps of technology innovation capabilities are gaps of human capital conditions, economic development level and system environments.2. The human capital levels in different regions have large gaps. The regions with ample human capital are Beijing, Guangdong, Jiangsu Shandong and Shanghai. The regions with less ample human capital regions are Gansu, Ningxia, Qinghai, Hainan, Tibet and other developing regions. The gap of human capital stock is the important reason for regional technology innovation capabilities. In areas of technology innovation supporting, input, output, expansion and industrialization capabilities, the regions like Beijing, Guangdong, Jiangsu, Shandong and Shanghai with ample human capital have advantages but the regions like Gansu, Ningxia, Qinghai, Hainan, Tibet and other regions are relatively fall behind. For western regions with insufficient human capital, they should strive to develop formal education, enhance the cultivation of higher educates, ensure the improvement of human resource structure, build systems attracting assets, construct good innovation environment and encourage multinational company to invest and train their employees in western regions.3. Regional economic development level and technology innovation capability are highly correlated. Economic development level and stage are important reasons for the gaps of regional technology innovation capabilities. The highly developed eastern provinces, cities and regions like Shanghai, Guangdong, Beijing, Shandong, Jiangsu and Zhejiang are also competitive in technology innovation supporting, input, output, absorbing expansion and industrialization capabilities, while the developing western provinces including Gansu, Yunnan, Guangxi, Xizang, Guizhou and Hainan, etc. are relatively weak at technology innovation capabilities in every aspects. As for the western provinces with poor technology innovation capabilities, they should practically, stably and steadily improve their technology innovation capabilities, and take effective technology development strategy, solution and modes according to their existing development fundamentals and different circumstances.4. The system completeness and technology innovation capability distribution in different regions of China have some consistency. The regions with relatively completed system have strong technology innovation capabilities and the regions with uncompleted system are weak at technology innovation capabilities. The completeness of system contributes supports to technology innovation capabilities and the gaps of system completeness are critical reasons for the gaps of technology innovation capabilities, especially for the different regional technology industrialization capabilities. To truly complete China’s regional technology innovation systems and their capabilities, it requires the completeness of the rudimentary market system, intellectual property system, and an innovation-based competitive market. At the same time, it calls for active financial encouragement, tax preference, adventure investment and government procurement to support innovation. Besides, it needs to positively investigate the innovation-benefited system of ethics and culture.The creative points of this research are as below:First, with the concept of system, the research analyzes the mechanism of boosting technology innovation and comes up with three basic mechanisms: dynamic mechanism, expansion mechanism and interdependent mechanism and then analyzes the effect factors, functions and connections of these three mechanisms.The second creative point is that basing on the research on S.Klein and N. Rosenberg’s Chain-Linked Model and Peter L. Josty’s innovation process model, the thesis recognizes the multifactor and multidimension and various routes of innovation process, creatively brings forward the Regional Technology Innovation Process Model, promoting our cognitions of regional technology innovation process to a new level.The third creative point is bringing forward the most mechanisms including interactive learning, knowledge production, proximity and social embeddedness. Moreover, it analyzed the key supporting conditions for pushing the mechanism operation, i.e. system, human capital and economic and technology development situation.The fourth is that the thesis, from the angle of regional technology innovation process, creatively analyzes the structural levels of regional technology innovation capabilities, i.e. supporting, input, output, expansion and technology industrialization capabilities and scientifically and rationally picks relevant proxy indicators to make quantitative measurements with indicator assessment methods and cluster analysis methods like standardization, coefficient variation, Gini index, concentration ratio, etc., assorting the technology innovation capabilities of regions in China. The fifth is that the thesis dissociates the factors deciding the different regional technology innovation capabilities and creatively concluded that the root causes of the gaps of regional technology innovation capabilities in China are the gaps of regional economic development level, human capital situation and system circumstances.The sixth is to use comparative analysis, Mann-Whitney U Test, scatterplots and other methods to do empirical research on the specific influences of regional economic development level, human capital condition and system environment to technology innovation capabilities and proposed original and pointed suggestions.更多还原