【作者】 李晓敏；

【导师】 景普秋；

【作者基本信息】 山西财经大学 ， 区域经济学， 2012， 硕士

【摘要】 自然资源是经济发展中的天然赋存优势，技术创新是后天培养的推动经济持续增长的重要生产要素。但是在资源型区域，丰裕的自然资源与技术创新之间存在一种悖论，即丰富的自然资源对人力资本、技术创新等产生了“挤出效应”，降低了资源型区域的可持续发展能力，是导致“资源诅咒”的原因之一。为什么会出现“挤出效应”，如何推进资源型区域的技术创新，尤其是在循环经济、低碳经济及经济转型背景下，如何推动绿色技术创新以促社会、经济和生态的协调发展，是资源型区域面临并需要迫切解决的问题。基于此，本文使用成本收益理论，基于企业需求的视角，从创新预期收益、创新风险和创新预期成本三个方面，对资源型区域绿色技术创新的动力机制进行分析，尝试破解资源型区域绿色技术创新挤出难题，探讨资源型区域绿色技术创新的动力机制，通过理论阐释、案例比较等，以期得出推进资源型区域绿色技术创新的激励机制与制度创新。论文的主要工作与基本观点如下：（1）资源型区域绿色技术创新动力包括创新预期收益、创新风险概率及创新预期成本。其中创新预期收益受产品市场需求、产品市场竞争及产权制度约束；创新风险受内部不确定性和外部不确定性的影响；创新预期成本受创新活动费用及转换成本的制约。（2）资源型区域绿色技术创新的主体为资源型企业，资源型企业在创新预期收益、创新风险和创新成本上具体表现为：资源型产品的战略性、同质性、产权的不完善性降低了企业的创新预期收益；资源型企业自身研发部门的缺失和研发能力的不足、市场需求环境的不确定性、其他外部环境的多变性加大了企业的创新风险；资源型企业的非技术外溢性、资产专用性提高了企业进行创新的转换成本。上述因素合力作用下，导致资源型区域绿色技术创新动力不足。（3）美国、芬兰和德国技术创新各有特色，分别在提升创新预期收益、降低创新风险、减少创新预期成本上形成了各具特色的模式。美国通过股票市场监督机制、法律保护机制使企业获得较高的收益预期，激励企业进行创新。芬兰通过建立完善的国家创新体系和多元化的产业发展，增强了企业内部创新能力和市场需求的稳定性，进而降低了创新风险。德国主要通过财政税收支持以降低企业生产成本。（4）山西是典型的资源型区域，对技术创新具有显著的挤出效应。生产建设和生活消费对煤炭消费量的持续增长使煤炭开采者依然沿着资源初级开采的路径生产，而对人力资本和技术投入较少；山西GDP与原煤产量变动趋势说明山西经济发展很大程度上依赖煤炭的开采，原煤产量是政府及企业追求的目标，过多的注重产量而忽视了质量；山西采掘业对制造业存在人力资本挤出，劳动力向采掘业流动迹象明显；山西教育经费支出、采掘业科研机构数及科技人员数、制造业固定资产投资与采掘业固定资产投资增长率等指标表明，山西创新环境差，难以吸引高效率、高质量企业的进入，也难以形成创造性企业的集聚。（5）针对山西的具体状况，在理论及案例基础上，对山西绿色技术创新动力机制进行了设计，机制涵盖了竞争培育机制、创新平台建设机制、产业结构升级机制、财税补贴机制和绿色信贷机制等几个方面。更多还原

【Abstract】 Natural resources are native advantage for the economic development, and technologicalinnovation is the important factor of production by fostering, which can promote sustainedeconomic growth. But in the resource-based regions, there is a paradox between the abundantnatural resources and technological innovation. That means abundant natural resources force outthe human capital and technology innovation, so-called “extrusion effect”, which may reduce thesustainable development ability of resource-based regions, and is the reason causing “resourcecurse”. Why do “extrusion effect” have to happen? How to promote the technical innovation?Especially under the background of the circular economy, the low carbon economy and theeconomic transition, how to promote green technology innovation to promote the harmoniousdevelopment in social, economic and ecological? Resource-based regions face all of these problemsand need urgent to solve them.Under the circumstances, based on the demand of the enterprises, using cost-benefit theory,this paper will analyze the dynamic mechanism of green technology innovation in resource-basedregions from three aspects—innovation expected return, innovation risk and innovation expectedcost，and attempt to resolve the innovation extrusion problems, and discuss the dynamic mechanismof green technology innovation in resource-based regions. Then utilizing the methods of theoreticalinterpretation, and the case comparison, it will design the incentive mechanism to promote greentechnology innovation. The main work and basic points are as follows:(1) The impetuses of green technology innovation in resource-based regions contain expectedbenefits, innovation risk and expected cost. Expected return is restrained by market demand, marketcompetition and property order; innovation risk is affected by the internal uncertainties and externaluncertainty; expected cost is restricted by the expenses of innovation activity and the switchingcost.(2)The principle part of green technological innovation is enterprise. Resource-basedenterprises have different performance in innovation expected benefits, innovation risk andinnovation expected cost. The incomplete property, the strategic and homogeneous characteristicsof resources products, have reduced the innovation expected return; the loss of their own researchability, the uncertainty of market demand and the variability of other external environment have increased innovation risk; non-technology spillover of resource-based enterprises, the specificity ofasset have improved the innovation cost. The combined forces have leaded to the shortage of greentechnology innovation.(3)The United States, Finland and Germany have had distinguishing features in technologyinnovation. They have owed respectively distinctive dynamic mechanism model. The United Statesurge enterprises to obtain higher yields and incentive innovation, through the stock marketsupervision mechanism, and the legal protection mechanism. Through establishing a perfectnational innovation system and diversified development in Finland, the internal innovation abilitiesof enterprises have been enhanced and the stability of market demand have been founded, the havereduced the risk of innovation. To reduce production cost, Germany has supported enterprisesmainly through tax revenue.(4) Shan xi Province, as a typical resource-based region, has significant extrusion effect for thetechnical innovation. Firstly, the continuing growth in consumption of construction and life makesthat the coal mining still proceed along the initial path, leading to the loss of the human capitalinvestment and technology input. Secondly, the change trend of GDP and raw coal output showsthat the economic development of Shan xi relies heavily on coal mining. So coal production is thegoal pursued by government and enterprises, which pay too much attention to production andignore the quality. Thirdly, extractive industries force out the human capital in manufacturing. Theeducation expenditure, the number of institutions and technological personnel, the number of fixedassets in manufacturing show that innovation environment in Shan xi is bad. It is difficult to attracthigh efficiency, high quality enterprises, also hard to form the gathering enterprises.(5)According to the specific situation of Shan xi, based on the theory and the cases, this paperdesigns dynamic mechanism of green technology innovation: competition mechanism, cultivatinginnovation platform, upgrading of the industrial structure, subsidies mechanism by finance and taxand the green credit mechanism, etc.更多还原