本文選題：產(chǎn)業(yè)自主創(chuàng)新能力 + 技術(shù)創(chuàng)新��； 參考：《江西財經(jīng)大學(xué)》2010年博士論文

【摘要】： 創(chuàng)新不足已經(jīng)構(gòu)成了我國經(jīng)濟(jì)持續(xù)發(fā)展的重要障礙,依靠外商投資和純粹技術(shù)引進(jìn)的產(chǎn)業(yè)結(jié)構(gòu)升級之路必須轉(zhuǎn)向依靠自主創(chuàng)新。自主創(chuàng)新成為各級政府和產(chǎn)業(yè)界共同關(guān)注的重要問題,并已成為近幾年國內(nèi)理論界的研究熱點。因此,建立有效的考察產(chǎn)業(yè)自主創(chuàng)新能力的指標(biāo)體系,有助于了解我國產(chǎn)業(yè)自主創(chuàng)新狀況以及存在的不足,為國家創(chuàng)新體系建設(shè)提供中觀視角,為決策者制定產(chǎn)業(yè)政策和進(jìn)行宏觀管理提供依據(jù),對產(chǎn)業(yè)技術(shù)進(jìn)步和區(qū)域經(jīng)濟(jì)的發(fā)展也有著重要的意義。 本文在現(xiàn)有研究成果的基礎(chǔ)上,通過對企業(yè)、產(chǎn)業(yè)、國家三個層面自主創(chuàng)新活動及其能力的比較分析,提出產(chǎn)業(yè)自主創(chuàng)新既是產(chǎn)業(yè)內(nèi)企業(yè)自主創(chuàng)新能力的集合,又是國家自主創(chuàng)新能力的基礎(chǔ)和體現(xiàn)；它與企業(yè)自主創(chuàng)新能力、狹義國家自主創(chuàng)新能力一起,共同構(gòu)成了廣義的國家自主創(chuàng)新能力體系,但三者之間又存在定位差異；它是一個技術(shù)創(chuàng)新和制度創(chuàng)新并重、引進(jìn)創(chuàng)新與自主創(chuàng)新并舉的中觀層次的動態(tài)演進(jìn)的系統(tǒng)綜合體。 圍繞論文核心觀點,本文共分為七章。第一章是導(dǎo)論,主要說明論文的研究背景、研究主題和選題依據(jù)、研究框架、研究內(nèi)容和研究方法、創(chuàng)新之處與不足等,并對已有研究進(jìn)行了針對性的綜述,認(rèn)為國內(nèi)外已有的研究成果主要集中于自主創(chuàng)新的內(nèi)涵特征、重要意義及對策建議上,而對自主創(chuàng)新能力及其評價的研究關(guān)注不夠；或者更多針對企業(yè)和國家兩個層面的自主創(chuàng)新能力進(jìn)行研究,而欠缺對產(chǎn)業(yè)層面自主創(chuàng)新能力及其評價問題的研究。 第二章是自主創(chuàng)新能力的形成機(jī)理分析。首先,通過評述已有研究者對自主創(chuàng)新的定義,指出目前尚無明確規(guī)范的解釋,進(jìn)而提出自主創(chuàng)新是一國公民(自然人)、法人或非法人單位通過其主導(dǎo)的創(chuàng)新或受讓形成依法擁有、能夠自我控制、具有商業(yè)價值的創(chuàng)新成果的活動,并從自主創(chuàng)新的主體、自主創(chuàng)新的三種形式、自主創(chuàng)新的本質(zhì)三方面作了具體解釋,接著論述了自主創(chuàng)新存在自主性和創(chuàng)新性兩大特征并分別闡述了它們的具體表現(xiàn)。其次,本章在已有研究的基礎(chǔ)上分析了自主創(chuàng)新能力的內(nèi)涵及其影響因素,指出自主創(chuàng)新能力的培育和形成是一個系統(tǒng)工程,它由技術(shù)創(chuàng)新能力和制度創(chuàng)新能力構(gòu)成,并且是一個動態(tài)系統(tǒng)。最后,本章重點闡述了自主創(chuàng)新能力的形成機(jī)理,即技術(shù)創(chuàng)新和制度創(chuàng)新兩大因素所形成的系統(tǒng)結(jié)構(gòu)決定了自主創(chuàng)新系統(tǒng)能力的大小,自主創(chuàng)新與引進(jìn)創(chuàng)新之間相互影響、相互作用共同推動自主創(chuàng)新能力的發(fā)展。其中,技術(shù)創(chuàng)新和制度創(chuàng)新二者之間不可分割且存在“和諧互動性”,共同構(gòu)成了自主創(chuàng)新能力的基石,使創(chuàng)新主體的自主創(chuàng)新能力不斷增強(qiáng),從而獲得潛在的收益。自主創(chuàng)新與引進(jìn)創(chuàng)新二者對自主創(chuàng)新能力的影響作用是內(nèi)部與外部、存量與流量的關(guān)系,自主創(chuàng)新從系統(tǒng)內(nèi)部決定著自主創(chuàng)新能力的大小,引進(jìn)創(chuàng)新則從系統(tǒng)外部拉動自主創(chuàng)新能力的提升。 第三章是產(chǎn)業(yè)自主創(chuàng)新能力的形成機(jī)理分析。沿襲上章的分析思路,首先在綜述已有研究的基礎(chǔ)上提出產(chǎn)業(yè)自主創(chuàng)新能力是指某一特定產(chǎn)業(yè)內(nèi)的所有創(chuàng)新主體通過共同努力獲得主導(dǎo)性創(chuàng)新產(chǎn)權(quán)和主要創(chuàng)新收益并能形成產(chǎn)業(yè)競爭優(yōu)勢的協(xié)同創(chuàng)新活動的整體能力,并從產(chǎn)業(yè)自主創(chuàng)新能力的主體、形成條件、具體表現(xiàn)及目標(biāo)四個方面展開論述。進(jìn)而通過辨析產(chǎn)業(yè)自主創(chuàng)新能力與企業(yè)自主創(chuàng)新能力和國家自主創(chuàng)新能力之間的關(guān)系,以準(zhǔn)確把握產(chǎn)業(yè)自主創(chuàng)新能力的定位。本章核心是對產(chǎn)業(yè)自主創(chuàng)新能力形成機(jī)理的分析,分別從兩個方面進(jìn)行闡述。一是從技術(shù)創(chuàng)新——制度創(chuàng)新與產(chǎn)業(yè)自主創(chuàng)新能力的關(guān)系來看,產(chǎn)業(yè)層面技術(shù)創(chuàng)新主要表現(xiàn)為共性技術(shù)的創(chuàng)新,產(chǎn)業(yè)層面制度創(chuàng)新實質(zhì)上是對產(chǎn)業(yè)特定制度體系進(jìn)行調(diào)整和變遷；二是從自主創(chuàng)新——引進(jìn)創(chuàng)新與產(chǎn)業(yè)自主創(chuàng)新能力的關(guān)系來看,自主創(chuàng)新聯(lián)盟和產(chǎn)業(yè)內(nèi)貿(mào)易分別作為產(chǎn)業(yè)自主創(chuàng)新和產(chǎn)業(yè)引進(jìn)創(chuàng)新的新形式,對產(chǎn)業(yè)自主創(chuàng)新能力的形成和提升具有重大的影響。由此提出,技術(shù)創(chuàng)新、制度創(chuàng)新、引進(jìn)創(chuàng)新、自主創(chuàng)新四者聯(lián)動,形成兩維,共同決定產(chǎn)業(yè)自主創(chuàng)新能力的演進(jìn)。本章最后以國內(nèi)外典型實例如我國移動通訊產(chǎn)業(yè)和韓國鋼鐵產(chǎn)業(yè)自主創(chuàng)新之路分析對上述觀點加以佐證。 第四章是對產(chǎn)業(yè)自主創(chuàng)新能力定量分析,也就是產(chǎn)業(yè)自主創(chuàng)新能力的評價。本章在比較、借鑒企業(yè)、國家、地區(qū)自主創(chuàng)新能力評價的成果的基礎(chǔ)上,以科學(xué)性與可行性相結(jié)合、全面性與重點性相結(jié)合、可比性和成長性相結(jié)合、指標(biāo)體系規(guī)模適宜等為原則,構(gòu)建了一個由兩個一級指標(biāo)、三個二級指標(biāo)、17個三級指標(biāo)構(gòu)成的四階層產(chǎn)業(yè)自主創(chuàng)新能力評價指標(biāo)體系,并對這些指標(biāo)進(jìn)行了具體的分析以解釋為什么要將它們納入指標(biāo)體系,同時確定了指標(biāo)權(quán)重的計算方法——熵值法。接著,本章提出了產(chǎn)業(yè)自主創(chuàng)新能力計量模型,并從理論上作了分析。 第五章是對前述理論和模型的實證檢驗,分別對我國高技術(shù)產(chǎn)業(yè)、高技術(shù)產(chǎn)業(yè)中各具體行業(yè)及江西高技術(shù)產(chǎn)業(yè)的自主創(chuàng)新能力狀況進(jìn)行了評價,其中評價樣本數(shù)據(jù)均來自1998-2007年的《中國高技術(shù)產(chǎn)業(yè)統(tǒng)計年鑒》。通過熵值法和SPSS15.0軟件的綜合運用,計算得到了十年間我國高技術(shù)產(chǎn)業(yè)、江西高技術(shù)產(chǎn)業(yè)和醫(yī)藥制造業(yè)、航空航天制造業(yè)、電子及通信設(shè)備制造業(yè)、電子計算機(jī)及辦公設(shè)備制造業(yè)、醫(yī)療設(shè)備及儀器儀表制造業(yè)等五個具體行業(yè)的技術(shù)創(chuàng)新能力、制度創(chuàng)新能力、自主創(chuàng)新能力的結(jié)果,并對其表現(xiàn)出來的演變規(guī)律和特點進(jìn)行了具體比較,并以江西高技術(shù)產(chǎn)業(yè)為例對其發(fā)展現(xiàn)狀和變化趨勢作了深入分析。 第六章是提升產(chǎn)業(yè)自主創(chuàng)新能力的對策建議,主要從正確處理引進(jìn)創(chuàng)新和自主創(chuàng)新的關(guān)系、正確處理技術(shù)創(chuàng)新和制度創(chuàng)新的關(guān)系兩個方面展開,提出國家層面應(yīng)狠抓原始創(chuàng)新系統(tǒng)的構(gòu)建、企業(yè)層面應(yīng)注重引進(jìn)消化吸收再創(chuàng)新、產(chǎn)業(yè)層面應(yīng)強(qiáng)調(diào)集成創(chuàng)新方式的運用；從技術(shù)創(chuàng)新的角度來看,產(chǎn)業(yè)自主創(chuàng)新能力的提升主要依賴于產(chǎn)業(yè)共性技術(shù)的創(chuàng)新和運用,從制度創(chuàng)新的角度來看,產(chǎn)業(yè)自主創(chuàng)新能力的提升則主要依靠產(chǎn)業(yè)特定制度體系的創(chuàng)新。本章還對如何提升高技術(shù)產(chǎn)業(yè)自主創(chuàng)新能力提出了具體對策。 最后一章是論文主要的研究結(jié)論和下一步的研究展望,歸納本文已取得的階段性研究成果,并對未來的相關(guān)深入研究提出了若干思路。
[Abstract]:The lack of innovation has constituted an important obstacle to the sustainable development of our country . The road of upgrading the industrial structure by means of foreign investment and pure technology must turn to independent innovation . It has become a hot spot in the domestic theoretical circles in recent years . Therefore , it is important to establish an effective index system to study the independent innovation ability of the industry and to provide the basis for the decision - makers to formulate industrial policies and macro - management . It also has important significance for the development of industrial technology and the development of regional economy .



Based on the existing research results , this paper analyzes the independent innovation activities and their abilities of enterprises , industries and countries , and puts forward that the independent innovation of industry is not only the collection of the independent innovation ability of enterprises in the industry , but also the foundation and embodiment of the national independent innovation ability .
Along with the independent innovation ability of enterprises and the independent innovation ability of narrow sense countries , it constitutes a broad sense of national independent innovation ability system , but there is still positioning difference among them ;
It is a system complex of technological innovation and institutional innovation and the dynamic evolution of the meso - level of innovation and independent innovation .



On the core of the thesis , the thesis is divided into seven chapters . The first chapter is the introduction , which mainly explains the background of the research , the research framework , the research content and the research methods , the place and the shortage of the innovation , and puts forward some pertinent research on the existing research . It is believed that the research achievements at home and abroad are mainly focused on the connotation , significance and countermeasures of the independent innovation , and the research on the independent innovation ability and its evaluation is not enough ;
or more research on the independent innovation ability at both the enterprise and the national level , and the lack of the research on the independent innovation ability and the evaluation problem of the industrial level .



Chapter 2 is an analysis of the formation mechanism of independent innovation ability . First of all , the definition of independent innovation is reviewed . It is pointed out that independent innovation is the foundation of independent innovation ability .



The third chapter is the analysis of the formation mechanism of the industry ' s independent innovation ability . Based on the review of the existing research , it is pointed out that the innovation of the industry ' s independent innovation ability is the main body , the formation condition , the concrete performance and the target .
From the point of view of technological innovation , the promotion of independent innovation ability mainly depends on the innovation and application of industry - specific technology . From the angle of institutional innovation , the promotion of independent innovation ability mainly depends on the innovation of industry - specific system . This chapter also puts forward concrete countermeasures to how to improve the independent innovation ability of high - tech industry .



The fourth chapter is the quantitative analysis of the industry ' s independent innovation ability , that is , the evaluation of the industry ' s independent innovation ability . Based on the comparison of the results of the enterprise , the country and the region ' s independent innovation ability evaluation , the paper constructs a four - layer industry independent innovation ability evaluation index system composed of two primary indexes , three secondary indexes and 17 three - level indicators .



The fifth chapter evaluates the independent innovation ability of hi - tech industry and hi - tech industry in China from 1998 to 2007 . The results of technological innovation ability , institutional innovation ability and independent innovation ability of five specific industries , such as manufacturing of high - tech industry , Jiangxi high - tech industry and pharmaceutical manufacturing industry , electronic computer and office equipment manufacturing , medical equipment and instrument manufacturing industry , are compared with each other .



The sixth chapter is the countermeasure suggestion to improve the independent innovation ability of the industry , mainly from the correct handling of the relationship between the introduction of innovation and independent innovation , the correct handling of the relationship between technological innovation and system innovation , put forward that the country level should pay attention to the construction of the original innovation system , the enterprise level should pay attention to the introduction of the reinnovation of the digestion and absorption , the industrial level should emphasize the application of the integrated innovative way ;
Second , from the relationship between innovation of independent innovation and innovation of innovation and innovation of industry , independent innovation alliance and intra - industry trade have great influence on the formation and promotion of independent innovation of industry .



The last chapter is the main research conclusion of the thesis and the research prospect of the next step , summarizes the achievements of the stage research , and puts forward some ideas for the further study in the future .
【學(xué)位授予單位】：江西財經(jīng)大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2010
【分類號】：F062.9

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