【作者】 刘伟；

【导师】 杨新华；

【作者基本信息】 宁波大学 ， 区域经济学， 2011， 硕士

【摘要】 区域研发投入是促进区域创新的重要因素,一个区域的创新水平与其研发投入的多少呈现正相关关系。R&D投入首先使得自身创新能力发生变化,由于新知识具有固有的外部性,自身创新能力的变化不可避免的发生知识溢出,知识的溢出影响到其他企业或区域的创新,其他企业或区域创新能力的变化又通过竞争机制反过来影响到创新者的R&D再投入。因此,R&D投入与创新构成了“投入—创新—再投入”的循环系统,R&D投入的水平取决于系统所处的阶段和状态。本文正是从思考R&D投入水平的决定因素出发,研究R&D投入对于创新的影响机制,并分析知识溢出在其中的作用和影响,进而区分了R&D投入与区域创新循环发展的阶段,最后对浙江省进行了实证分析。本文首先探讨了R&D投入与区域创新的机制,建立了R&D投入循环系统的框架,分析了知识溢出及其对于区域创新的影响,进而基于不同来源知识溢出对于区域创新影响的变化特征划分区域创新循环发展的三个阶段,在此基础上以浙江省为例实证分析3种不同来源的知识溢出对于创新的影响:首先根据省域时间序列数据运用知识生产函数模型分析了研发投入与外部知识溢出、反向技术溢出对于浙江创新的影响,然后引入空间计量模型对浙江11地市的2007-2008、2008-2009年度空间截面数据分析内部知识溢出、外部知识溢出、反向技术溢出对于浙江创新的影响,并运用Moran’s I指数判断浙江11市的创新行为是否存在空间上的集群现象及存在哪些创新集群,然后选取合适的空间滞后模型或空间误差模型进行参数估计。最后根据分析的理论成果和实证结果探讨了浙江创新发展的阶段及发展方向。时间序列的计量结果表明,浙江省研发投入与人力资本、FDI均对其创新水平的提升具有显著的促进作用,对外研发投资对浙江创新有正向影响,但不显著;截面数据的空间计量结果表明浙江省各市之间的创新行为存着明显的空间影响,并且空间溢出越来越明显;FDI渠道的外部知识溢出对于浙江创新的有正向影响但作用有所下降;高技术产业集聚引起的内部知识溢出对于浙江省创新的影响为正但不显著;对外研发投资引起的反向技术溢出对于浙江省创新影响为正并且由不显著趋于显著。接下来本文根据理论和实证结果分析判断浙江区域创新发展的阶段特征和发展方向,认为浙江目前正处于由吸收型创新发展阶段向外向型创新发展阶段过渡的时期,内生型创新发展的条件仍不成熟。浙江创新发展应当进一步发挥外部知识溢出的作用,积极利用反向技术溢出,逐步提高内部知识溢出的效应。更多还原

【Abstract】 Regional R&D investment is an important factor in promoting regional innovation, the level of innovation in a region and the number of its R&D investment is positively correlated. At first R&D investment makes self-innovation capacity changed. Then as new knowledge’s inherent externality, the change of self-innovation capacity makes knowledge inevitably overflows, knowledge spillover affects other companies or region’s innovation, and through competition mechanism changes of other companies or region’s innovation in turn influence R&D re-investment. Therefore, R&D investment and innovation constitute the "input-innovation–re-input" cycle of systems, and R&D investment level depends on the stage and state of the system. With the question of what determines R&D investment level, This article discusses the mechanism of R&D investment to the change of innovation, and analysis the role and impact of knowledge spillovers, then we distinguish the development stage of R&D investment and regional innovation system, finally, we make an Empirical analysis about Zhejiang Province.At first, this paper discusses the mechanism between R&D investment and regional innovation, establishes a framework of the cycle of R&D investment system, and analysis knowledge spillovers and its impact to the regional innovation. Then divide three development stage of the regional innovation based on the different impact to innovation of the three sources of knowledge spillovers, and makes an empirical analysis of Zhejiang Province to find out the impact of three kinds of knowledge spillovers to its innovation: Firstly, according to provincial time series data, we using the Knowledge Production function Model to analyze the R&D investment, external knowledge spillovers and reverse technology spillover’s impact to it’s innovation, and then take the spatial econometric models to analyze the Space section data of 11 prefectures and cities in Zhejiang in 2007-2008 and 2008-2009, to make clear the impact of internal knowledge spillovers, external knowledge spillovers and reverse technology spillover to it’s innovation. We use Moran’s I index to determine whether there is spatial clustering phenomenon of regional innovation and where is it, so we can select the appropriate spatial lag model or spatial error model to estimate the parameters. Finally, with the analysis of theories and empirical results we discuss the development stage and direction of Zhejiang’innovation.Time series econometric results show that R&D investment and human capital of Zhejiang Province, Foreign R&D investments are seem to play a significant role in enhancing the level of it’s innovation; R&D investment to other country is positive but not significant. Section data measured results show that it has clear space effects between the 11 prefectures and cities’innovative behavior in Zhejiang Province, and it’s getting more obvious; the affection of FDI channel of external knowledge spillovers to the innovation of Zhejiang is obvious, but it’s impact seems to get weaker; the affection of the cluster of high-tech industry channel of internal knowledge spillovers to the regional innovation is positive but not significant; the affection of R&D investments to other country channel of reverse technology spillovers gets a positive impact to the regional innovation, and the influence is becoming more obvious. Then with the analysis of theories and empirical results we discuss the development stage and direction of Zhejiang’innovation, and find out that in currently development stage of Zhejiang’s innovation is in the transition from Absorption-oriented stage to Foreign-oriented stage, the conditions of Endogenous stage is remain not ripe. We believe that the development of Zhejiang’s innovation should make full use of external knowledge spillovers, actively use reverse technology spillovers, and gradually improve the internal knowledge spillovers’effects.更多还原