【作者】 王孝炯；

【导师】 汤书昆；

【作者基本信息】 中国科学技术大学 ， 管理科学与工程， 2009， 博士

【摘要】 本文的研究主题是基于效率优化的国家创新能力的测度研究,重点在于国家创新效率的影响因素分析。以此为研究目标,本文借鉴了内生增长理论、国家创新系统理论以及国家智力资本理论的框架,对创新能力、创新效率进行了重新定义,并构建了基于知识的国家创新效率模型,同时应用数据包络分析(DEA)的方法对金砖四国以及30个OECD国家进行了创新效率比较研究,使用因子分析、回归分析等多元统计方法对国家创新效率模型进行了检验,得到了如下结论:首先,通过创新效率比较,本文发现发达国家和新兴发展中国家在国家创新效率的发展模式上存在着差异。发达国家主要领先于研发效率,而新兴发展中国家领先于转化效率。换句话说,前者重点在于以论文和专利为代表的新知识的创造,而后者则着重于通过商品的生产实现知识的市场价值。其次,本文将国家创新效率按照阶段划分为研发效率、转化效率和全阶段创新效率,并以基于知识的国家创新效率模型中的因素为自变量,对上述效率进行回归,结果发现,以上效率均可以由理论框架中一组变量较好地去解释。此外,不同阶段的创新效率,其影响因素也并不相同。研发效率最重要的影响因素是以知识产权保护程度、反垄断程度、个人宽带用户等指标综合而成的基础设施资本,而转化效率不但受到前面这些因素的影响,同时也受到专利存量、贸易开放度为主要成分的知识存量资本和知识溢出资本的影响,全阶段创新效率则主要受到基础设施资本和知识存量资本的影响。最后,本文在国家创新效率模型中引入了公民科学素质的研究成果,将科学态度作为创新文化资本的主要组成部分纳入理论框架,并研究其和创新效率之间的关系,本文通过回归分析验证了科学态度的部分测量指标对于创新效率有着显著影响。更多还原

【Abstract】 This dissertation studies the measurement of national innovative capacity based on efficiency optimization, with a focus on the influential factors analysis on national innovative efficiency. Endogenous growth theories, national innovation system theories, as well as the national intellectual capital theories are employed to redefine the innovative capacity and innovative efficiency, and to construct an innovative efficiency model based on knowledge. Besides, data envelopment analysis is employed to compare the innovative efficiency of the BRICS and 30 OECD member countries. Through a multi-analysis method including the factor analysis and regression analysis, etc. the theory structure of the innovative efficiency is verified and the conclusions are:Firstly, through the comparison of innovation efficiency, it is revealed that the developed countries and emerging countries vary in their innovation efficiency developing pattern. Developed countries prevail in R&D efficiency while developing countries perform better in transfer efficiency. Namely, developed countries focus more on the production of new knowledge represented by scientific paper and patents, while the developing countries concentrate more on the transfer process from the knowledge to the market value.Furthermore, this paper divides the national innovation efficiency into several phases including the R&D efficiency, transfer efficiency and fully-developed efficiency phases. Using the factors in the efficiency theory structure based on knowledge as the independent variable, regression analysis is implemented on the above efficiency phases and the results illustrate that different phases of efficiency can be explained by a certain variable in the theory structure.Thirdly, influencing factors on different efficiency phases vary. R&D efficiency is dominantly influenced by the indicators as intellectual property protection, antitrust, personal broadband users, etc. which compose the infrastructure capital. Meanwhile, the transfer efficiency phase is not only influenced by the above factors, but also the indicators like patent accumulation, openness of trade which are components of knowledge accumulation and spillover capital. Fully-developed efficiency phase in turn is influenced by factors both of the infrastructure capital and of knowledge accumulation. Lastly, the dissertation introduces the results in public scientific literacy studies into the construction of the innovation efficiency theory structure, and includes the science attitude in the innovation cultural capital of the structure. The relationship between this attitude with innovation efficiency is studied and through the regression analysis, it is proven that there is a significant influence of some indicators of science attitude on the innovation efficiency.更多还原