發(fā)布時間：2018-01-16 06:01

  本文關鍵詞：我國區(qū)域技術創(chuàng)新績效的空間差異及影響因素研究　出處：《湖南大學》2014年博士論文　論文類型：學位論文

  更多相關文章： 技術創(chuàng)新 創(chuàng)新績效 空間分布格局 科技成果轉化 空間溢出效應

【摘要】：雖然我國科技創(chuàng)新能力一直保持上升態(tài)勢，創(chuàng)新規(guī)模增長明顯，創(chuàng)新結構不斷優(yōu)化，但創(chuàng)新水平與發(fā)達國家差距依然較大。尤其需要注意的是，相當一部分科研成果并沒有轉化為實際生產(chǎn)力，使得技術創(chuàng)新并未真正實現(xiàn)與經(jīng)濟增長的協(xié)同發(fā)展。為此，十八大報告提出“要加快形成新的經(jīng)濟發(fā)展方式”、“著力增強創(chuàng)新驅(qū)動發(fā)展新動力”、“使經(jīng)濟發(fā)展更多依靠科技進步”。這不但要求強化創(chuàng)新投入，提高研發(fā)效率，更本質(zhì)的要求是增強創(chuàng)新對宏觀經(jīng)濟可持續(xù)發(fā)展的驅(qū)動作用。 基于上述現(xiàn)實問題，本論文站在我國經(jīng)濟可持續(xù)發(fā)展的立場上，以增強創(chuàng)新驅(qū)動力為導向，以區(qū)域技術創(chuàng)新為研究主線，在空間經(jīng)濟學理論及空間計量經(jīng)濟學基礎上，對我國區(qū)域技術創(chuàng)新績效的空間分布格局及演進、空間格局存在的內(nèi)在機理、技術創(chuàng)新績效的影響因素等進行了深入研究，試圖回答以下問題：如何合理界定與度量我國各省級區(qū)域的技術創(chuàng)新績效？我國區(qū)域技術創(chuàng)新績效具有哪些空間分布特征？造成這種空間分布的內(nèi)在機理及影響因素有哪些？在區(qū)域技術創(chuàng)新績效空間分布及演進過程中，作為重要影響因素的科技成果轉化與空間溢出扮演了何種角色？ 為合理度量我國各省級區(qū)域的技術創(chuàng)新績效，首先，區(qū)分了區(qū)域技術創(chuàng)新能力與區(qū)域技術創(chuàng)新績效的內(nèi)涵，將區(qū)域技術創(chuàng)新能力界定為技術創(chuàng)新潛力結合技術創(chuàng)新資源與環(huán)境，形成技術創(chuàng)新產(chǎn)出的過程，而區(qū)域技術創(chuàng)新績效是指技術創(chuàng)新能力通過市場機制，結合市場資源，轉化為實際經(jīng)濟效益的過程。然后，構建了區(qū)域技術創(chuàng)新能力與實際經(jīng)濟效益的評價指標體系。區(qū)域技術創(chuàng)新能力包括技術創(chuàng)新潛力與技術創(chuàng)新產(chǎn)出，實際經(jīng)濟效益則包括宏觀經(jīng)濟產(chǎn)出與創(chuàng)新產(chǎn)出價值。最后，采用SFA及基于標度無關視角的回歸模型兩種方法測算了我國各省的區(qū)域創(chuàng)新績效，發(fā)現(xiàn)我國各省的區(qū)域技術創(chuàng)新績效存在較大的非效率問題。 為考察我國區(qū)域技術創(chuàng)新績效的空間分布特征，首先，基于區(qū)域空間經(jīng)濟分析理論，運用基尼系數(shù)度量我國區(qū)域技術創(chuàng)新績效的空間結構，運用Moran指數(shù)、Geary指數(shù)分析我國區(qū)域技術創(chuàng)新績效的空間關聯(lián)性，發(fā)現(xiàn)我國區(qū)域技術創(chuàng)新績效存在空間分布不均、空間集中性較高等情況，大多數(shù)區(qū)域的技術創(chuàng)新績效表現(xiàn)為穩(wěn)定的空間關聯(lián)模式。然后，基于梯度理論，將我國區(qū)域技術創(chuàng)新績效分為高績效、次高績效、中等績效、低績效、差績效5個等級，發(fā)現(xiàn)存在比較明顯的區(qū)域技術創(chuàng)新績效梯度差，呈“兩頭少，中間多”的分布形狀。最后，為實現(xiàn)各區(qū)域協(xié)調(diào)發(fā)展，基于經(jīng)濟收斂理論，構建了我國區(qū)域技術創(chuàng)新績效的收斂理論模型，發(fā)現(xiàn)我國區(qū)域創(chuàng)新績效存在條件β收斂，即雖然我國各區(qū)域技術創(chuàng)新績效存在非平衡性，但控制部分外生變量后，技術創(chuàng)新績效的區(qū)域差異可能會不斷縮小。 為尋找我國區(qū)域技術創(chuàng)新績效空間分布的形成機理及影響因素，，首先，基于自組織機制與動力學模型，分析了我國區(qū)域技術創(chuàng)新績效的初始勢位階段、能量需求階段、能量重組階段、新勢位階段四個自組織演進過程，及推動區(qū)域技術創(chuàng)新績效空間結構演變的相互作用、自身積累與外部動力三大動力源，在這些動力因素及勢位的隨機漲落過程中，產(chǎn)生了區(qū)域技術創(chuàng)新績效的聚集或離散現(xiàn)象。然后，從宏觀因素、微觀因素及關聯(lián)因素三個角度總結歸納了區(qū)域技術創(chuàng)新績效的影響因素。宏觀因素主要包括市場化程度、金融環(huán)境、知識產(chǎn)權保護制度、科技成果轉化率、人力資本水平等。微觀角度的影響因素主要有企業(yè)管理制度、企業(yè)科研投入、企業(yè)組織結構等。系統(tǒng)內(nèi)部的協(xié)同與區(qū)域之間的空間溢出是影響區(qū)域技術創(chuàng)新績效的關聯(lián)因素。 為考察上述影響因素在區(qū)域技術創(chuàng)新績效空間差異中的作用，以科技成果轉化、空間外溢作為宏觀因素和關聯(lián)因素的主要代表，度量了科技成果轉化與空間溢出對區(qū)域技術創(chuàng)新績效的影響。首先，明確界定與測算了科技成果轉化率，分析了科技成果轉化的正向與負向作用機制，并通過技術創(chuàng)新績效影響因素實證模型估計了科技成果轉化影響區(qū)域技術創(chuàng)新績效的總體效應，然后從地理區(qū)域、經(jīng)濟區(qū)域、自相關區(qū)域三個角度進行了區(qū)域差異性估計。結果發(fā)現(xiàn)，我國平均的科技成果轉化率相對較低；科技成果轉化率對經(jīng)濟產(chǎn)出存在促進作用，但也存在一定的負向效應；在東部區(qū)域、創(chuàng)新績效較高區(qū)域、高高自相關區(qū)域和高低自相關區(qū)域，科技成果轉化率推動經(jīng)濟長期可持續(xù)發(fā)展的作用相對較大。然后，從聚集與離散兩個角度分析區(qū)域技術創(chuàng)新績效外溢的簡單機制，建立了A、B兩個區(qū)域技術創(chuàng)新績效相互影響的數(shù)理模型，運用空間面板計量方法考察了空間外溢對區(qū)域技術創(chuàng)新績效的影響。結果表明，區(qū)域A有可能從區(qū)域B的高質(zhì)量資源與優(yōu)勢區(qū)位中獲益，但區(qū)域A的優(yōu)質(zhì)資源也有可能被區(qū)域B“削弱”，不管是地理鄰近、經(jīng)濟相似還是績效接近區(qū)域，區(qū)域技術創(chuàng)新績效空間分布存在較顯著的空間關聯(lián)性，而且經(jīng)濟特征相似區(qū)域的空間溢出效應最大。
[Abstract]:Although China's scientific and technological innovation ability has maintained an upward trend, innovation size increased significantly, innovation to optimize the structure, but the level of innovation gap with developed countries is still large. Especially need attention, a considerable part of the research results and not into actual productivity, the technological innovation has not really realize the coordinated development of economic growth and therefore. Eighteen, the report put forward "to accelerate the formation of a new mode of economic development", "strengthen the innovation driven development momentum", "economic development and more rely on scientific and technological progress". This requires not only strong innovation investment, improve the efficiency of research and development, the essential requirement is to strengthen the driving role of innovation on macro economy sustainable development.
Based on the above problems, this paper is in the sustainable development of China's economic position, to enhance the driving force of innovation oriented, focusing on studying the regional technological innovation, in spatial economics theory and spatial econometrics on the basis of the distribution pattern and evolution of technology innovation performance of China's regional space, the internal mechanism of the spatial pattern of existence the influence of technological innovation performance factors are studied deeply, trying to answer the following questions: how to define and measure China's provincial regional technological innovation performance? The technological innovation performance of China's regional distribution characteristics with which space? Cause the inherent mechanism and the affecting factors of the spatial distribution of what? In the regional technological innovation performance the spatial distribution and evolution process, as an important factor in the transformation of scientific and technological achievements and spatial spillover played what role?
To measure the performance of technological innovation, the provincial regional reasonable first, distinguish the connotation of regional technological innovation capacity and regional innovation performance, the regional technological innovation ability to define a combination of technological innovation resources and environment for technological innovation potential, the formation process of technological innovation, and the performance of regional technological innovation refers to the technical innovation ability through the market mechanism, combined with the market resources into actual economic benefits. Then, the regional technological innovation ability and actual economic benefit. The evaluation index system of regional technology innovation ability including technology innovation potential and technological innovation, the actual economic benefits include macro economic output and innovation output value. Finally, using SFA and regression model scaling from the perspective of two methods based on estimates of regional innovation performance of all provinces in China, found that regional technology of all provinces in China There is a large inefficiency problem in innovation performance.
In order to investigate the performance of technological innovation in China's regional spatial distribution characteristics, firstly, theoretical analysis of regional economy based on the spatial structure of China's regional technological innovation performance metric of the Gini coefficient, using Moran index, analysis of spatial correlation between the performance of technological innovation in China's regional Geary index, found the uneven spatial distribution of technology innovation performance in the area of spatial concentration is higher, the technological innovation performance of most areas for spatial association mode stability. Then, based on the gradient theory, the performance of technological innovation in our country is divided into high performance, high performance, moderate performance, low performance, poor performance of the 5 grade, found the performance of regional technological innovation the obvious difference is gradient, "two small, intermediate shape distribution". Finally, in order to realize the coordinated development of the regional economic convergence, based on the theory of the construction of China "s regional. The convergence theory model of innovation performance shows that conditional innovation convergence exists in China's regional innovation performance. That is, although regional technological innovation performance is unbalanced in China, the regional differences of technological innovation performance will continue to shrink after controlling some exogenous variables.
In order to find the formation mechanism and influencing factors, the spatial distribution of regional technological innovation performance in China first, self organization mechanism and dynamics model based on the analysis of the initial performance of technological innovation in China's regional potential energy demand stage, stage, stage of energy restructuring, new potential stage four self organization evolution process, and promote interaction the performance of regional technological innovation of the evolution of the spatial structure, self accumulation and external power three power source, in the process of random fluctuation of these factors and potential in the area of technological innovation performance of the aggregation or discrete phenomena. Then, from three aspects of macro factors, micro factors and factors related to summarizes the influencing factors of regional the technological innovation performance. The macroscopic factors include the degree of marketization, financial environment, intellectual property protection system, the conversion rate of scientific and technological achievements, the level of human capital. The micro angle The main influencing factors include enterprise management system, enterprise research investment and enterprise organization structure, etc.
To investigate the influence factors of differences in regional innovation performance function in the space, with the transformation of scientific and technological achievements, spatial spillover as the main representative of the macro factors and associated factors, to measure the influence of scientific and technological achievements transformation and spatial spillover on regional innovation performance. Firstly, define and measure the conversion rate of scientific and technological achievements, analysis of science and technology the transformation of positive and negative mechanism, and through technological innovation performance influencing factors empirical model to estimate the transformation of scientific and technological achievements affect the overall effect of regional technological innovation performance, and then from the geographical region, economic region, from three angles of the relevant regional regional difference estimation. The results showed that the average of China's scientific and technological achievements the conversion rate is relatively low; the rate of scientific and technological achievements has promoting effect on economic output, but also has some negative effects in the eastern region, innovation performance; High efficiency area, high and low autocorrelation autocorrelation of regional area, the rate of scientific and technological achievements to promote the sustainable development of economy and the long-term effect is relatively large. Then, from the simple mechanism of agglomeration of regional technological innovation performance and the discrete two angles of spillover, established mathematical model of B two A, the performance of regional technological innovation influence each other and the spatial panel econometric method to investigate the spatial spillover effect on regional innovation performance. The results show that A may benefit the high quality resources and location advantage from the area of the B, but the quality of resource area A may also be B "weakened", regardless of geographical proximity, similar or close to economic performance the spatial distribution of regional, regional technological innovation performance has significant spatial correlation, and similar economic characteristics of regional spatial spillover effects.

【學位授予單位】：湖南大學
【學位級別】：博士
【學位授予年份】：2014
【分類號】：F124.3

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