本文選題：中關(guān)村　切入點(diǎn)：技術(shù)創(chuàng)新效率　出處：《中國(guó)礦業(yè)大學(xué)(北京)》2016年博士論文

【摘要】：黨的十八大報(bào)告指出“創(chuàng)新驅(qū)動(dòng)戰(zhàn)略”是國(guó)家發(fā)展戰(zhàn)略的核心,“著力構(gòu)建以企業(yè)為主體、市場(chǎng)為導(dǎo)向、產(chǎn)學(xué)研相結(jié)合的技術(shù)創(chuàng)新體系”,這是繼黨的十七大會(huì)議強(qiáng)調(diào)“提高自主創(chuàng)新能力,建設(shè)創(chuàng)新型國(guó)家”之后對(duì)我國(guó)創(chuàng)新發(fā)展的再次戰(zhàn)略部署。中關(guān)村示范區(qū)作為我國(guó)技術(shù)創(chuàng)新的標(biāo)志,其企業(yè)的技術(shù)創(chuàng)新能力、技術(shù)創(chuàng)新的環(huán)境影響因素及創(chuàng)新生產(chǎn)的收益特點(diǎn)等問(wèn)題均具有很強(qiáng)的研究意義。本文圍繞“中關(guān)村國(guó)家自主創(chuàng)新示范區(qū)技術(shù)創(chuàng)新效率實(shí)證研究”的選題,論文首先確立了“效率研究”的切入點(diǎn),即生產(chǎn)前沿面理論的“技術(shù)效率”;基于對(duì)傳統(tǒng)企業(yè)技術(shù)創(chuàng)新過(guò)程模型的理解,論文提出了示范區(qū)企業(yè)二階段技術(shù)創(chuàng)新過(guò)程劃分方式,技術(shù)研發(fā)與技術(shù)轉(zhuǎn)化,從而企業(yè)技術(shù)創(chuàng)新效率被分解為技術(shù)研發(fā)效率和技術(shù)轉(zhuǎn)化效率;基于動(dòng)態(tài)的角度,從示范區(qū)企業(yè)空間載體和產(chǎn)業(yè)載體兩個(gè)維度,應(yīng)用Windows-DEA方法,測(cè)算了示范區(qū)園區(qū)/產(chǎn)業(yè)層面的企業(yè)技術(shù)研發(fā)/轉(zhuǎn)化效率,結(jié)合示范區(qū)園區(qū)/產(chǎn)業(yè)的實(shí)際情況,對(duì)園區(qū)/產(chǎn)業(yè)內(nèi)的企業(yè)技術(shù)創(chuàng)新活動(dòng)進(jìn)行了定位;考察了政府資助、金融機(jī)構(gòu)支持、國(guó)際貿(mào)易、外商投資、產(chǎn)業(yè)集聚、地理區(qū)位等六個(gè)環(huán)境因素對(duì)示范區(qū)企業(yè)技術(shù)創(chuàng)新效率影響的方向及程度,包括因素指標(biāo)的構(gòu)建測(cè)度以及效率環(huán)境影響因素Panel Data-Tobit模型的建立和參數(shù)估計(jì);最后,通過(guò)PCA方法,構(gòu)建了園區(qū)層面的單投入單產(chǎn)出技術(shù)研發(fā)/轉(zhuǎn)化投入產(chǎn)出指數(shù),并基于園區(qū)的純技術(shù)效率值,繪制了示范區(qū)企業(yè)技術(shù)研發(fā)生產(chǎn)前沿面和技術(shù)轉(zhuǎn)化生產(chǎn)前沿面的二維形態(tài),研發(fā)和轉(zhuǎn)化的生產(chǎn)前沿面表現(xiàn)出不同的邊際收益特性。最后,歸納論文的主要研究結(jié)論,為示范區(qū)企業(yè)的技術(shù)創(chuàng)新發(fā)展提供了相應(yīng)的建議。論文的主要研究?jī)?nèi)容及成果包括:(1)對(duì)國(guó)內(nèi)外“技術(shù)創(chuàng)新效率”及“中關(guān)村國(guó)家自主創(chuàng)新示范區(qū)”相關(guān)研究領(lǐng)域內(nèi)的研究文獻(xiàn)進(jìn)行綜述,并做出簡(jiǎn)要評(píng)述。明確了論文的研究?jī)?nèi)容及研究思路,描述了本文的技術(shù)路線;按照問(wèn)題的解決,列出論文的主要研究方法,并對(duì)本文的創(chuàng)新點(diǎn)進(jìn)行了簡(jiǎn)單的概括。(2)對(duì)“技術(shù)創(chuàng)新”、“高技術(shù)產(chǎn)業(yè)”、“效率和技術(shù)效率”等基本概念進(jìn)行了界定,明確技術(shù)創(chuàng)新“效率”為基于生產(chǎn)前沿面理論的“技術(shù)效率”。對(duì)傳統(tǒng)企業(yè)技術(shù)創(chuàng)新過(guò)程模型進(jìn)行了分析,基于模型對(duì)示范區(qū)內(nèi)企業(yè)適用性的原則,從生產(chǎn)邏輯的角度,將企業(yè)技術(shù)創(chuàng)新過(guò)程劃分為6個(gè)環(huán)節(jié),并根據(jù)每個(gè)環(huán)節(jié)產(chǎn)出成果的商業(yè)價(jià)值特點(diǎn),按照投入產(chǎn)出的角度,將6個(gè)環(huán)節(jié)分為兩個(gè)階段,即技術(shù)研發(fā)階段與技術(shù)轉(zhuǎn)化階段,從而示范區(qū)內(nèi)企業(yè)技術(shù)創(chuàng)新效率被分解為技術(shù)研發(fā)效率與技術(shù)轉(zhuǎn)化效率。研發(fā)效率與轉(zhuǎn)化效率的分解,為本文研究?jī)呻A段技術(shù)創(chuàng)新效率提供了理論支撐。對(duì)生產(chǎn)前沿面理論進(jìn)行了簡(jiǎn)單的回顧,生產(chǎn)前沿面理論是本文進(jìn)行效率測(cè)度的理論基石,數(shù)據(jù)包絡(luò)分析(DEA)和隨機(jī)前沿面分析(SFA)均是基于此理論而產(chǎn)生的效率測(cè)度方法,本文主要是通過(guò)Windows-DEA模型對(duì)效率進(jìn)行測(cè)度的。(3)論文構(gòu)建了示范區(qū)企業(yè)多投入——多產(chǎn)出的技術(shù)研發(fā)效率指標(biāo)體系和技術(shù)轉(zhuǎn)化效率指標(biāo)體系,通過(guò)Windwos-DEA模型,從園區(qū)和產(chǎn)業(yè)兩個(gè)層面,分別測(cè)度了2007年~2012年示范區(qū)海淀園、亦莊園等十個(gè)園區(qū)和電子信息產(chǎn)業(yè)、新能源產(chǎn)業(yè)等六個(gè)高技術(shù)產(chǎn)業(yè)的純技術(shù)研發(fā)/轉(zhuǎn)化效率、研發(fā)/轉(zhuǎn)化規(guī)模效率和綜合技術(shù)研發(fā)/轉(zhuǎn)化效率。在此基礎(chǔ)上,以2010年~2012年的效率均值為樣本數(shù)據(jù),構(gòu)建園區(qū)層面和產(chǎn)業(yè)層面的純技術(shù)創(chuàng)新效率分布圖和規(guī)模效率分布圖,從研發(fā)和轉(zhuǎn)化的角度,分別對(duì)園區(qū)和產(chǎn)業(yè)層面企業(yè)的技術(shù)創(chuàng)新活動(dòng)進(jìn)行定位。(4)論文選取地方政府資助、金融機(jī)構(gòu)支持、國(guó)際貿(mào)易、外商直接投資、產(chǎn)業(yè)集聚度、地理區(qū)位等六個(gè)因素作為示范區(qū)企業(yè)技術(shù)創(chuàng)新效率的環(huán)境影響因素,構(gòu)建了每個(gè)因素的表征數(shù)據(jù)指標(biāo)。運(yùn)用Panel Data-Tobit回歸模型,構(gòu)建了園區(qū)/產(chǎn)業(yè)層面的企業(yè)技術(shù)研發(fā)/轉(zhuǎn)化效率環(huán)境影響因素的個(gè)體單向固定效應(yīng)-Tobit模型,并通過(guò)參數(shù)估計(jì),分析了上述六個(gè)因素對(duì)技術(shù)研發(fā)和技術(shù)轉(zhuǎn)化效率的影響程度及原因。(5)論文以2007年~2012年園區(qū)層面的企業(yè)技術(shù)研發(fā)/轉(zhuǎn)化的投入產(chǎn)出指標(biāo)數(shù)據(jù)為數(shù)據(jù)樣本,通過(guò)主成分分析法,構(gòu)建了2007年~2012年園區(qū)的技術(shù)研發(fā)投入/產(chǎn)出指數(shù)和技術(shù)轉(zhuǎn)化投入/產(chǎn)出指數(shù),從而將每個(gè)園區(qū)企業(yè)的多投入多產(chǎn)出創(chuàng)新生產(chǎn)變?yōu)閱瓮度雴萎a(chǎn)出的創(chuàng)新生產(chǎn)。根據(jù)生產(chǎn)前沿面理論的單投入單產(chǎn)出的生產(chǎn)前沿面描述方法,首先畫(huà)出2007~2012年園區(qū)技術(shù)研發(fā)/轉(zhuǎn)化的投入產(chǎn)出分布圖,再根據(jù)每個(gè)園區(qū)的純技術(shù)研發(fā)/轉(zhuǎn)化效率值得有效性(效率值為1),得到技術(shù)研發(fā)/轉(zhuǎn)化生產(chǎn)前沿面上的點(diǎn),每個(gè)點(diǎn)依次連接而形成的曲線,便是研發(fā)/轉(zhuǎn)化生產(chǎn)前沿面的二維形態(tài)。最后,根據(jù)研發(fā)/轉(zhuǎn)化前沿面的規(guī)模收益特性(對(duì)于單投入單產(chǎn)出的生產(chǎn)活動(dòng),也可稱為邊際收益特性),分析示范區(qū)園區(qū)層面的企業(yè)技術(shù)研發(fā)特點(diǎn)和技術(shù)轉(zhuǎn)化特點(diǎn)。最后,歸納了論文研究的基本結(jié)論,在這些結(jié)論的基礎(chǔ)上,給出了中關(guān)村國(guó)家自主創(chuàng)新示范區(qū)園區(qū)層面和產(chǎn)業(yè)層面的企業(yè)技術(shù)創(chuàng)新生產(chǎn)的政策建議,總結(jié)了本文研究的局限性以及未來(lái)研究的展望。
[Abstract]:The eighteen Party Congress report pointed out that the core of "innovation driven strategy" is the national development strategy, strive to build the enterprise as the main body, the market as the guidance, the combination of technical innovation system ", which is the second party Congress meeting stressed that improving the ability of independent innovation, innovation and development of China's strategic plan of building again an innovative country". The Zhongguancun demonstration zone as a symbol of China's technology innovation, the enterprise technology innovation ability, innovation factors and production yield characteristic of the environmental impact of technological innovation has strong research significance. This paper focuses on the "Zhongguancun National Innovation Demonstration Zone Technology Innovation efficiency empirical research" topic. This paper firstly established the "starting point of efficiency", namely the production frontier theory of "technical efficiency"; the process of technological innovation of traditional business model and solutions based on the theory of This paper presents the demonstration zone of the two phase of the enterprise technology innovation process division, technology research and development and technological transformation, thus the efficiency of enterprise technology innovation is decomposed into technical efficiency of research and development and technological transformation efficiency; dynamic perspective from two dimensions of enterprise and industry demonstration zone space carrier carrier, using the Windows-DEA method, calculates the park / demonstration area R & D / industry level conversion efficiency, combined with the actual situation of Industrial Park / demonstration area, the park / technological innovation activities of enterprises in the industry are located; examines government funded institutions, financial support, international trade, foreign investment, industrial agglomeration, demonstration area on the efficiency of enterprise technology innovation influence the direction of geography the location and extent of six environmental factors, including the construction of factor measure and efficiency of environmental impact factors to estimate Panel and Data-Tobit model parameters; finally And through the PCA method, constructed the single input single output Park level R & D / transformation of input and output index, and based on the pure technical efficiency value of the park demonstration area, drawing the enterprise technology R & D and production frontier technology into production frontier research and development and production of two-dimensional shape, frontier of showing characteristics of different marginal revenue at last, summed up the main research conclusions, provides some suggestions for the development of enterprise technology innovation demonstration zone. The main research contents and achievements of this thesis include: (1) the domestic and foreign research literature of "technology innovation efficiency" and "Zhongguancun national innovation demonstration zone" in the research field are reviewed. And make brief comments. The research contents and research ideas of this paper, describes the technical route of this paper; according to the problems, the main research papers listed in this paper and the method. The innovation points are discussed briefly. (2) of "technological innovation", "high tech industry", "basic concepts of efficiency and technical efficiency" are defined, clear technological innovation efficiency "based on production frontier theory of" technical efficiency ". In the process of technological innovation model of the traditional enterprise analysis of the principle of model to the enterprise in the demonstration area of applicability based on production from the perspective of logic, the enterprise technology innovation process is divided into 6 parts, and according to the characteristics of the commercial value of each link output, according to the input-output angle, the 6 part is divided into two stages, namely the stage of technology development and technology a stage of transformation, thus the efficiency of technological innovation demonstration zone enterprises is decomposed into technical efficiency and technical R & D conversion efficiency. The decomposition research efficiency and conversion efficiency, provides the theory for the research of technological innovation efficiency of two stage Support. Reviews the production frontier theory, production frontier theory is the theoretical foundation for the evaluation of efficiency, data envelopment analysis (DEA) and stochastic frontier analysis (SFA) is the efficiency measure which based on this theory, this paper is mainly through the Windows-DEA model to measure the efficiency. (3) the construction of the enterprise demonstration area of multi input multi output - R & D efficiency index system and technological transformation efficiency index system, through the Windwos-DEA model, from two aspects of park and industry, 2007 ~2012 demonstration area of Haidian park were also measure, manor ten parks and the electronic information industry, pure technology research and development six / high technology industry of new energy industry, conversion efficiency, scale efficiency and comprehensive transformation of the R / R & D / conversion efficiency. On this basis, the average efficiency of 2010 ~2012 as samples This data, the park level and industry level of pure technical innovation efficiency distribution and scale efficiency distribution of construction, development and transformation from the point of view, respectively, to locate the park and industrial level enterprise technological innovation activities. (4) the paper selected by local governments, financial institutions, international trade, foreign direct investment. Industrial agglomeration, location six factors such as environmental factors affecting the efficiency of technological innovation demonstration enterprise, constructs the index characterization data for each factor. By using the Panel Data-Tobit regression model, constructed Park / R & D / industry level conversion of individual one-way fixed effects model of -Tobit factors of the efficiency of environmental impact, and through parameter estimation, analysis of the above six factors of technology development and technology transfer efficiency of the influence and reason. (5) based on the 2007 ~2012 level enterprise technology park Operation research / transformation of input and output index data as the sample data, through principal component analysis, Construction Technology Development Park 2007 ~2012 input / output index and technological transformation input / output index, and each of the enterprises in the park with multiple inputs and outputs into a single input production innovation product innovation. The description method of production according to the production frontier theory into a single unit of production frontier, first draw 2007~2012 Technology Development Park / transformation of the input and output distribution, according to the pure technical R & D / each park worth the effectiveness of conversion efficiency (efficiency = 1), get the R & D / transformation production frontier point each point in turn formed by connecting the curve, is the R & D / transformation productionfrontier two-dimensional shape. Finally, according to the research and development / transformation frontier returns to scale characteristics (for single input single output Activities, also known as the marginal return characteristics), analysis demonstration zone level enterprise technology characteristics and technical transformation characteristics. Finally, the basic conclusion summarizes the thesis, based on these conclusions, gives the park of Zhongguancun national innovation demonstration zone level and industry level production enterprise technology innovation policy recommendations, summarized the limitations of this study and future research prospects.

【學(xué)位授予單位】：中國(guó)礦業(yè)大學(xué)(北京)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2016
【分類號(hào)】：F276.44;F273.1

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