【作者】 盛淑凯；

【导师】 金维兴；

【作者基本信息】 西安建筑科技大学 ， 土木工程建造与管理， 2009， 博士

【摘要】 建筑业是一个在大自然中建造不动产的行业,它营造了人们赖以生存、工作和学习的物质条件与文明,吸纳了总人口3%的从业人员,供养了10%的国民。中国建筑业作为国民经济的支柱产业之一,其产值比重和增加值增长率却低于国际同行业正常水平,主要原因是其传统的经营方式、工程服务能力单一和技术进步缓慢,对市场环境和改革开放以来建设需求变化所蕴含的、新的经济增长机遇反应迟缓、应对乏力。鉴于此,本文采用规范研究和实证分析并重的方法,研究了创新型建筑业及其发展战略,为中国建筑业的产业规划、产业政策的制定提供依据。其主要内容有:1、创新型建筑业及其经济增长原理。中国建筑业经济增长面临低收益、低效率和低附加值三个亟待解决的重大问题;本文从建筑经济活动的特点及分工过程、建筑产品价值链与传统建筑企业的市场定位以及后向关联性建筑产业对市场的被动依赖关系的角度分析了这三大问题的成因;基于上述分析提出了构建创新型建筑业的建议。创新型建筑业是基于创新(产业内因)的经济增长方式,它具备三项基本功能:①通过市场开发主动地创造建筑需求,不断地开拓工程服务的新领域、新空间,充分发挥现有技术、资源的使用价值;②通过技术开发,不断地为工程服务提供新技术,提高服务质量、服务效率和社会满意度;③进行生产要素的新组合,不断地在建筑经济活动中引进新构思、新过程、新方法、新产品、新服务。本文还进一步分析了这三项基本功能与建筑业经济增长的关系。2、创新型建筑业的判定理论与方法。本文认为TFP是指产出的价值与全部投入的价值之比,在此定义下融合生产函数法建立了新的TFP增长率的测度模型(放宽规模收益不变的假设),进而采用非平衡Panel Data的方法测算了OECD六成员国建筑业的TFP增长率及对其经济增长的贡献率,并分析了它们的经济增长方式;同时使用DEA模型测算了这六国建筑业技术创新的相对效率;根据上述研究结果与建筑业技术创新的特点,本文认为创新型建筑业评价指标为TFP增长率对其经济增长的贡献率与技术创新相对效率的乘积,且该指标大于0.5为创新型建筑业,该指标小于或等于0.5为非创新型建筑业。随后,本文据此规则对OECD六成员国建筑业进行了判定,结果发现:加拿大、芬兰、意大利三国的建筑业为创新型建筑业,比利时、丹麦、法国的建筑业为非创新型建筑业。此外,根据上述国家建筑业的数据与判断结果,本文还建立了支持向量机模型(网格搜索法优化参数),对中国建筑业进行了简化判断,其结果为非创新型建筑业,中国建筑业亟待建设创新型建筑业。3、建设创新型建筑业的战略研究。本文使用扣除法测算了中国建筑业1993-2007年间管理创新在其经济增长中的贡献率为9.961%,技术创新在其经济增长中的贡献率为13.343%,广义技术进步在其经济增长中的贡献率为23.305%,资本和劳动力的生产弹性系数之和为0.978,轻度规模效益递减;基于此提出了中国建设创新型建筑业的战略方针:以技术创新为核心、以管理创新为先导,通过管理创新引导有序高效的技术创新。在此基础上,本文认为建设创新型建筑业短期内应着力进行生产力组织形式变革,加大产业结构调整力度以及对建筑市场进行合理的开放与保护;在中长期,应着眼于技术创新,但继上述管理创新这些基础性工作之后,应着力建立并完善中国建筑业技术创新体系与动力机制及风险投资机制,以激励建筑业的技术创新健康有序的进行。随后从管理创新的核心问题论述了相关战略措施。进而通过调查问卷实证研究中国建筑业技术创新的障碍因素,结果发现建筑经济活动的组织形式、建筑企业经营战略及市场竞争环境不利于新技术的产生、应用及推广;根据上述研究,在对中国建筑业技术创新体系、技术创新的动力要素及其相互作用和运作方式(模式)分析的基础上提出了中国建筑业技术创新动力机制模式及其相关政策建议;此外,本文在建立建筑企业多R&D项目投资风险测量模型的基础上,利用系统独立性原理和休哈特控制图确立了预警控制界限,事前判断建筑企业多R&D项目投资风险值是否受控,同时采用时间序列回归方法判断建筑企业R&D投资决策者的心理趋势是否有变动,并以案例验证了该方法的有效性。本文的研究成果形成了基于创新和更加注重产业内因的经济增长方式及相关视角,可望为中国建筑业科学发展以及把握机会和应对挑战提供新的工具与方法,同时也为建筑经济与管理学学科增添一些融合理论与知识,有利于本学科知识体系的完善和研究领域的拓展。更多还原

【Abstract】 Construction industry constructs the real estate in the nature,so it provides the physical foundation and civilization for the people who live,work and learn.It receives 3%of the total amount of the nation people and supports 10%of the total people. Chinese construction industry is one of the backbone industries,but its production proportion and growth rate of value-added is lower than them of the construction industries in other countries.The main reasons are traditional management mode, singleness of ability of engineering service and slowness of technology progress so that Chinese construction industry is lack of viability and difficult that it faces the market environment and chance of economic growth after reform and opening.Because these, this thesis studies the innovation-based construction industry and its strategy of development from the theoretical analysis and empirical study as evidence for industry planning,establishment of industry policy in Chinese construction industry.This thesis mainly includes as follows:1.Innovation-based construction industry and its economics growth principle. According to the important problems in the process of development in Chinese construction industry,this thesis proposes to develop the innovation-based construction industry.The innovation-based construction industry is the construction industry that constantly introduces new production function(new undertaking) in the construction economics activities and changes the profit ability of existing resource.It have three basic function:the first one is that constantly exploits the new space and field of engineering service for existing technology and resource through market development to create new construction demand.The second one is that through the technology development continually provides the new technology for engineering service to enhance the engineering quality,service efficiency and satisfaction of society.The last one is through new combination of production factors constantly introduces new design, new process,new method,new product,and new service into construction economics activities.This thesis also analyzes the relationship between these basic functions and its economic growth.2.Determinant theory and technique of innovation-based construction industry. Based on the analysis of TFP theory and combined the production function,the measuring model of TFP growth rate,which relaxes the hypothesis of constant return to scale,is built.Then the TFP growth rate and contribution rate of six countries in OECD is measured in use of panel data and the economics mode of the construction industries of these countries is studied.Meanwhile based on DEA model,the relative efficiency of technology innovation in these countries is computed.On the basis of the two studies this thesis proposes the computing formula of determinant index of innovation-based construction industry and brings forward the determinant standards of innovation-based construction industry.According to the data and above result of these countries,the SVM model,in which optimize the parameters by gridding search,is built to decide the Chinese construction industry.The result is non-innovation-based construction industry.3.The development strategy of innovation-based construction industry in China. The contribution rate of management innovation in economics growth in Chinese construction industry is 9.961%in use of the measuring model of contribution rate of management innovation in economics growth built by Li Zinai etc.Meanwhile the contribution rate of the technology innovation in economics growth is 13.343%,the contribution rate of generalized technology progress in economics growth is 23.3059% and the sum of production elasticity of capital and labor is 0.978,which shows return to sale in Chinese construction industry decrease gently.Based on the above results,this thesis proposes the strategy guild line of development innovation-based construction industry is that technology innovation is the core,the management innovation is the precursor and the management innovation leads the technology innovation orderly and efficiently.After this,this thesis discusses the strategy measure of management innovation from the scientific productivity organization form and system,structure regroup,open and protection of construction market etc.And this thesis also studies the strategy measure in technology innovation.Through the questionnaire,study the obstacle factors that influence the technology innovation in Chinese construction industry empirically.Then build the impetus system and relative policy of technology innovation in Chinese construction industry.Based on risk measure of multiple R&D projects in construction enterprise,this thesis constructs the R&D projects risk forewarning control model in the construction enterprise from the Shewhart control chart and system independence principle.After this,this thesis studies the validity by a case.The conclusion in this thesis forms the Chinese construction industry economics growth strategy and relative angle of view,which is on the basis of innovation and paid much more attention to the industry intra-factors than before.It will provide new theories and tools to develop scientificly,hold chances and deal with challenge for Chinese construction industry.At the same time it adds some combined theories and knowledge to the construction economics and management subject.In a word,it will be beneficial for the knowledge system perfectly and study field developmentally.更多还原