發(fā)布時(shí)間：2018-03-07 17:14

  本文選題：技術(shù)創(chuàng)新　切入點(diǎn)：創(chuàng)新指數(shù)　出處：《對(duì)外經(jīng)濟(jì)貿(mào)易大學(xué)》2016年博士論文　論文類型：學(xué)位論文

【摘要】：2008年全球金融危機(jī)后,世界各國(guó)普遍陷入經(jīng)濟(jì)增長(zhǎng)乏力的境地。為給世界經(jīng)濟(jì)注入新的活力,推動(dòng)經(jīng)濟(jì)從衰退走向復(fù)蘇,依據(jù)內(nèi)生增長(zhǎng)理論和經(jīng)濟(jì)周期理論,各國(guó)普遍重視創(chuàng)新對(duì)經(jīng)濟(jì)增長(zhǎng)的促進(jìn)作用,開(kāi)始建立和完善本國(guó)的國(guó)家創(chuàng)新體系。國(guó)家創(chuàng)新體系的建立可以參考別國(guó)經(jīng)驗(yàn),但是究竟學(xué)習(xí)哪國(guó)的經(jīng)驗(yàn)卻需要慎重選擇。此外,各國(guó)建設(shè)國(guó)家創(chuàng)新體系都必須先明確影響創(chuàng)新的主要因素是什么,這些因素都對(duì)創(chuàng)新產(chǎn)生哪些影響。只有把這些問(wèn)題研究清楚了,才能做出合理的政策選擇。當(dāng)前對(duì)創(chuàng)新的學(xué)術(shù)研究以分析創(chuàng)新對(duì)其他變量的影響為主,如創(chuàng)新對(duì)增長(zhǎng)的影響,以影響創(chuàng)新的因素為研究對(duì)象的研究相對(duì)較少。世界知識(shí)產(chǎn)權(quán)組織等機(jī)構(gòu)聯(lián)合發(fā)布的《全球創(chuàng)新指數(shù)》報(bào)告將大量子指標(biāo)納入創(chuàng)新投入范疇,且賦予其近乎相等的權(quán)重。若據(jù)此全面加大創(chuàng)新投入,以獲得更高的創(chuàng)新產(chǎn)出,無(wú)疑會(huì)受到資源總量的約束,且導(dǎo)致資源配置效率嚴(yán)重降低。因此有必要進(jìn)一步分析影響創(chuàng)新的主要因素,為促進(jìn)創(chuàng)新的政策制定提供理論支持。但當(dāng)前相關(guān)研究中,不同學(xué)者對(duì)影響創(chuàng)新的因素,如貿(mào)易和外商直接投資的影響情況持不同觀點(diǎn)。此外,大多數(shù)實(shí)證研究使用單一國(guó)家微觀數(shù)據(jù),普遍的宏觀研究較少。這些問(wèn)題不解決,會(huì)導(dǎo)致各國(guó)在構(gòu)建國(guó)家創(chuàng)新體系時(shí)缺乏明確的理論指導(dǎo)。這不但影響創(chuàng)新的發(fā)展,而且還可能影響國(guó)際經(jīng)貿(mào)關(guān)系的走向。本文以創(chuàng)新和影響創(chuàng)新的因素為研究對(duì)象,首先使用世界知識(shí)產(chǎn)權(quán)組織等聯(lián)合發(fā)布的2012至2014年度《全球創(chuàng)新指數(shù)》報(bào)告相關(guān)數(shù)據(jù),通過(guò)面板數(shù)據(jù)聚類分析方法,將世界主要國(guó)家和經(jīng)濟(jì)體的創(chuàng)新指數(shù)和創(chuàng)新效率進(jìn)行聚類分析,并總結(jié)了各聚類類別的特征。而同類文章則多采用截面數(shù)據(jù)進(jìn)行分析,忽略了各國(guó)創(chuàng)新水平的動(dòng)態(tài)變化。隨后,本文使用2011至2014年,4年間來(lái)自84個(gè)國(guó)家和地區(qū)的宏觀經(jīng)濟(jì)數(shù)據(jù),以知識(shí)生產(chǎn)的“投入-產(chǎn)出”理念為理論基礎(chǔ),實(shí)證檢驗(yàn)貿(mào)易和外商直接投資對(duì)創(chuàng)新的影響情況。本文是此類研究中較少地使用多國(guó)宏觀經(jīng)濟(jì)數(shù)據(jù)的文章。同時(shí),研究中區(qū)分了創(chuàng)新投入和創(chuàng)新產(chǎn)出,并考慮到數(shù)據(jù)收集的準(zhǔn)確性和廣泛性,采用產(chǎn)出端數(shù)據(jù)——專利——來(lái)代表創(chuàng)新,還對(duì)因各國(guó)對(duì)專利的定義不一致導(dǎo)致的偏差盡肯能地進(jìn)行了校正。最后,通過(guò)對(duì)世界主要國(guó)家創(chuàng)新體系的介紹,總結(jié)了瑞士、美國(guó)、韓國(guó)和中國(guó)國(guó)家創(chuàng)新體系的特點(diǎn),為各國(guó)建立和完善國(guó)家創(chuàng)新體系提供經(jīng)驗(yàn)參考。本文主要得出了以下結(jié)論:一、本文第3章,對(duì)世界主要國(guó)家和經(jīng)濟(jì)體創(chuàng)新指數(shù)(GII)和創(chuàng)新效率(GIE)進(jìn)行定性研究,分析當(dāng)前世界各國(guó)創(chuàng)新的狀況和特征。研究發(fā)現(xiàn),創(chuàng)新指數(shù)與收入水平有較強(qiáng)的正相關(guān)關(guān)系,該結(jié)論與內(nèi)生增長(zhǎng)理論相契合。而相對(duì)于創(chuàng)新指數(shù),創(chuàng)新效率與收入水平的關(guān)聯(lián)性不強(qiáng)。本章還使用聚類分析方法對(duì)2012至2014年度世界主要國(guó)家和地區(qū)的創(chuàng)新指數(shù)和創(chuàng)新效率進(jìn)行聚類分析。每次聚類分析都得到五個(gè)創(chuàng)新指數(shù)和創(chuàng)新效率逐漸增大的聚類類別,二者表現(xiàn)出明顯的線性正相關(guān)關(guān)系。屬于同一類別的國(guó)家具有創(chuàng)新上的內(nèi)在共同特征;同一國(guó)家不同年度類別的變化反應(yīng)了其創(chuàng)新能力的動(dòng)態(tài)變化。據(jù)此,向同類別和相近類別中典型國(guó)家學(xué)習(xí)創(chuàng)新發(fā)展經(jīng)驗(yàn)要比盲目照搬發(fā)達(dá)國(guó)家經(jīng)驗(yàn)更有實(shí)踐價(jià)值。二、本文第4章、5章和第6章基于知識(shí)生產(chǎn)的“投入-產(chǎn)出”理念,對(duì)2011年至2014年,4個(gè)年度84個(gè)國(guó)家宏觀經(jīng)濟(jì)數(shù)據(jù)進(jìn)行實(shí)證檢驗(yàn),考察貿(mào)易和外商直接投資對(duì)創(chuàng)新的影響情況。我們使用產(chǎn)出端變量——專利——作為創(chuàng)新的代理變量。考慮到各國(guó)知識(shí)產(chǎn)權(quán)制度對(duì)專利的定義存在差異,分別使用國(guó)內(nèi)專利申請(qǐng)量、國(guó)內(nèi)外專利申請(qǐng)量和總專利申請(qǐng)量三個(gè)變量代表技術(shù)創(chuàng)新。同時(shí),我們使用進(jìn)口額、總貿(mào)易額和高技術(shù)產(chǎn)品進(jìn)口占比三個(gè)變量分別代表貿(mào)易,對(duì)回歸模型進(jìn)行穩(wěn)健性檢驗(yàn)。經(jīng)檢驗(yàn),得出貿(mào)易和外商直接投資對(duì)創(chuàng)新有顯著正向影響的結(jié)論。此外,考慮了可能存在的競(jìng)爭(zhēng)的非線性影響后,貿(mào)易和外商直接投資對(duì)創(chuàng)新的影響不變,結(jié)論具有穩(wěn)健性。因而,促進(jìn)貿(mào)易開(kāi)放和積極吸收外商直接投資都是有利于創(chuàng)新發(fā)展的政策選擇。三、本文第7章在介紹國(guó)家創(chuàng)新體系相關(guān)理論的基礎(chǔ)上,結(jié)合前兩部分的研究結(jié)論,歸納總結(jié)了瑞士、美國(guó)、韓國(guó)和中國(guó)四國(guó)國(guó)家創(chuàng)新體系的特點(diǎn),為各國(guó)建立和完善本國(guó)國(guó)家創(chuàng)新體系提供借鑒經(jīng)驗(yàn):瑞士將職業(yè)教育與高等教育緊密結(jié)合;美國(guó)以企業(yè)為主建立自主創(chuàng)新國(guó)家創(chuàng)新體系;韓國(guó)國(guó)家創(chuàng)新體系則以政府為主導(dǎo),并由“拿來(lái)主義”的模仿創(chuàng)新向“科技強(qiáng)國(guó)”的自主創(chuàng)新轉(zhuǎn)變;中國(guó)將國(guó)家創(chuàng)新體系建設(shè)與改革開(kāi)放相融合,以萬(wàn)眾創(chuàng)新迎接經(jīng)濟(jì)增長(zhǎng)新常態(tài)。最后,根據(jù)以上研究結(jié)論,提出繼續(xù)擴(kuò)大貿(mào)易開(kāi)放;提高對(duì)外商直接投資的吸引和利用能力;打破壟斷束縛,促進(jìn)市場(chǎng)有序競(jìng)爭(zhēng);深化金融體制改革,發(fā)展各種形式的風(fēng)險(xiǎn)投資和私人信貸;創(chuàng)建服務(wù)型政府共計(jì)五點(diǎn)政策建議。
[Abstract]:After the 2008 global financial crisis, all countries in the world in a weak economic growth situation. In order to inject new vitality into the world economy, promote economic recovery from the recession, according to endogenous growth theory and the theory of economic cycle, all countries attach importance to innovation to promote economic growth, to establish and improve the national innovation system and its establishment. The national innovation system can refer to the experience of other countries, but what to learn which country experience does need to be carefully chosen. In addition, the construction of national innovation system must first clear what is the impact of innovation factors, these factors have impact on innovation. Only to research the problem clearly, in order to make reasonable choices. The current academic research on innovation to analyze the impact of innovation on other variables, such as the impact of innovation on growth, with the impact of innovation factors. The research object is relatively small. The World Intellectual Property Organization jointly issued the "global innovation index report > will be a large number of sub index into the innovation category, and give the nearly equal weights. If this overall increase investment in innovation, in order to obtain a higher innovation output, will undoubtedly be affected by resource constraints, and lead to the efficiency of resource allocation is seriously reduced. So it is necessary to further analyze the main factors affecting innovation, to provide theoretical support to promote the development of innovation policy. But the related research, different scholars on the impact of innovation factors, such as the impact of trade and foreign direct investment of a different view. In addition, most empirical studies using a single national micro data generally, macro research less. These problems are not resolved, will lead to countries lack of clear theoretical guidance in the construction of national innovation system. But this is not. Sound development of innovation, but also may affect the trend of international economic and trade relations. Based on the innovation and the factors that influence innovation as the research object, the 2012 to 2014 annual global innovation index report < > data first released with the world intellectual property organization such as the use of panel data, through cluster analysis method, the major countries in the world and economy the index of innovation and the innovation efficiency of clustering analysis, and summarizes the characteristics of each cluster categories. And similar articles is the use of cross section data analysis, ignore the dynamic change of every level of innovation. Then, this paper uses the macroeconomic data from 2011 to 2014, 4 years from 84 countries and regions, with knowledge the production of "input-output" concept as the theoretical foundation, empirical test of trade and foreign direct investment impact on innovation. This paper is in such studies using less multinational macro Economic data in the article. At the same time, research the distinction between innovation input and output, and considering the accuracy of data collection and extensive, the output end of the data - patent - to represent the innovation of national patent on the definition of deviation due to inconsistencies due to possible correction to the energy. Finally, based on the the innovation system of major countries in the world, summarizes the characteristics of the United States, Switzerland, South Korea and Chinese of national innovation system, to provide a reference for the establishment and perfection of national innovation system. This paper draws the following conclusions: first, in the third chapter, the major countries of the world economy and innovation index (GII) and innovation efficiency (GIE) for qualitative research, analysis of the current status and characteristics of innovation all over the world. The study found that the innovation index has a strong positive correlation with income level, with the conclusion of the endogenous growth theory and fit. Compared with the index of innovation, relationship between innovation efficiency and income level is not strong. This chapter also use the clustering analysis method of clustering analysis for 2012 to 2014 major countries and regions in the world of innovation and innovation efficiency index. Each clustering clustering analysis are five innovation index and innovation efficiency increases gradually, the two show obvious linear positive correlation. Belong to the same class of other countries have inherent common features of innovation; changes in the same country in different categories of response annual dynamic changes in the innovation ability. Therefore, to experience more than blindly copying the developed countries value learning and innovation development experience of typical countries with the category and similar categories two, in the fourth chapter, the 5 chapter and the sixth chapter is based on the knowledge production of "input-output" concept, from 2011 to 2014, the 4 annual 84 national macroeconomic data. The empirical study, trade and foreign direct investment impact on innovation. We use the output variables of patent -- as a proxy for innovation. Considering the definition of national intellectual property system of patent differences, respectively, the number of domestic patent applications, domestic and foreign patent applications and patent applications total of three variables on behalf of Technology innovation. At the same time, we use the total trade volume of imports, imports and high technology products representing trade respectively than the three variables for the robustness test of the regression model. Through the test, the trade and foreign direct investment have a significant positive effect on innovative conclusions. Moreover, considering the nonlinear effects of competition may exist after the same trade and foreign direct investment impact on innovation, robust conclusions. Therefore, promoting open trade and actively absorb foreign direct investment is conducive to innovation Choose a new development policy. Three, in the seventh chapter, based on introducing the theory of national innovation system, combined with the conclusion of the first two parts, summarizes the characteristics of the United States, Switzerland, South Korea and Chinese four of the national innovation system, providing a reference for the establishment and improvement of the national innovation system: Swiss occupation education combined with higher education; the United States to establish enterprises independent innovation of national innovation system; national innovation system is the South Korean government led, and independent innovation is changing from "imitation" to "science and technology"; Chinese will be the construction of national innovation system and the reform and opening up integration, to meet the new normal economic growth innovation. Finally, according to the above research conclusion, put forward to expand trade openness; improve foreign direct investment attracting and using the ability to break the monopoly bondage, promote; Orderly competition in the market, deepening the reform of the financial system, developing various forms of venture capital and private credit, and creating a five point policy proposal for creating a service-oriented government.

【學(xué)位授予單位】：對(duì)外經(jīng)濟(jì)貿(mào)易大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2016
【分類號(hào)】：F742;F831.6

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本文編號(hào)：1580206