本文關(guān)鍵詞： 技術(shù)引進(jìn) 工業(yè)結(jié)構(gòu)優(yōu)化 全要素生產(chǎn)率 自主創(chuàng)新 東西部地區(qū)　出處：《蘭州大學(xué)》2016年博士論文　論文類型：學(xué)位論文

【摘要】：對后發(fā)國家而言,技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化歷來十分重要。技術(shù)引進(jìn)是后發(fā)國家技術(shù)進(jìn)步的重要途徑,而工業(yè)結(jié)構(gòu)優(yōu)化則是后發(fā)國家經(jīng)濟(jì)發(fā)展的重要?jiǎng)恿�。技術(shù)引進(jìn)強(qiáng)調(diào)消化吸收再創(chuàng)新。有別于日本、韓國的崛起,大部分后發(fā)國家技術(shù)引進(jìn)的現(xiàn)實(shí)是引進(jìn)易、吸收難、再創(chuàng)新更難。近年來,各國就“自主創(chuàng)新是一國發(fā)展的核心動能”業(yè)已達(dá)成廣泛共識,“引進(jìn)還未成功,創(chuàng)新如何進(jìn)行”成為擺在許多后發(fā)國家經(jīng)濟(jì)增長和科技發(fā)展的現(xiàn)實(shí)難題。對于我國來說,技術(shù)引進(jìn)雖然在經(jīng)濟(jì)增長中一貫發(fā)揮著積極作用,但是卻遠(yuǎn)沒有達(dá)到預(yù)期的效果,也存在著上述問題。在結(jié)構(gòu)性改革與經(jīng)濟(jì)增長逐漸放緩的背景下,中央政府在“十三五”規(guī)劃中建議以“創(chuàng)新、協(xié)調(diào)、綠色、開放、共享”為主線,明確指出創(chuàng)新是經(jīng)濟(jì)發(fā)展的第一驅(qū)動力。隨著我國創(chuàng)新驅(qū)動戰(zhàn)略的推行,工業(yè)經(jīng)濟(jì)增長更加注重結(jié)構(gòu)優(yōu)化的作用,傳統(tǒng)的要素驅(qū)動模式逐步向效率驅(qū)動和創(chuàng)新驅(qū)動轉(zhuǎn)變。面對經(jīng)濟(jì)新常態(tài),技術(shù)引進(jìn)又在工業(yè)結(jié)構(gòu)優(yōu)化中扮演了怎樣的角色?創(chuàng)新驅(qū)動下,我國工業(yè)發(fā)展的動力轉(zhuǎn)換在方向上更加強(qiáng)調(diào)自主創(chuàng)新的首要地位。在與自主創(chuàng)新的博弈中,技術(shù)引進(jìn)對我國工業(yè)結(jié)構(gòu)優(yōu)化是否仍然重要?技術(shù)引進(jìn)對工業(yè)結(jié)構(gòu)優(yōu)化的影響是否具有新特點(diǎn),區(qū)域和行業(yè)特征又是怎樣?帶著這些問題,本文展開研究。第一章為緒論,主要目的在于闡明研究目的,交代研究背景,介紹研究方法與思路。第二章為理論基礎(chǔ)與文獻(xiàn)綜述,主要是對已有研究(包括理論和文獻(xiàn))進(jìn)行回顧,說明本文的理論依據(jù)和研究重要性。第三章是對后發(fā)國家技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化關(guān)系的初步研究,通過歸納總結(jié)日本和韓國在技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化中的成功經(jīng)驗(yàn),對技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化的關(guān)系作出初步判斷:后發(fā)國家可以通過技術(shù)引進(jìn)不斷優(yōu)化本國工業(yè)結(jié)構(gòu),技術(shù)引進(jìn)的最終目的是為了向自主創(chuàng)新轉(zhuǎn)變。第四章是對技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化關(guān)系機(jī)理的理論分析,通過埃奇沃思盒狀圖、羅伯津斯基定理以及全要素生產(chǎn)率與技術(shù)引進(jìn)途徑多角度的理論闡述對技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化的關(guān)系作出進(jìn)一步判斷:后發(fā)國家技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化是相互作用的;在后發(fā)國家技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化的關(guān)系中,技術(shù)引進(jìn)對工業(yè)結(jié)構(gòu)優(yōu)化的影響更為重要。第五章是中國技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化的演進(jìn)歷程的數(shù)據(jù)性回顧,通過圖表式描述與時(shí)空變異分析,對中國技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化的關(guān)系作出相對直觀的判斷:技術(shù)引進(jìn)對中國工業(yè)結(jié)構(gòu)優(yōu)化具有影響,二者在方向上存在著一致性和協(xié)同性,在效果上存在著正向關(guān)聯(lián)。此外,結(jié)合第三章的內(nèi)容,提出了一些仍然存在于我國技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化中的問題。第六章是中國技術(shù)引進(jìn)優(yōu)化工業(yè)結(jié)構(gòu)的實(shí)證研究,采用空間Durbin模型從整體上檢驗(yàn)技術(shù)引進(jìn)對工業(yè)結(jié)構(gòu)優(yōu)化的影響;SUR估計(jì)和效用函數(shù)從區(qū)域?qū)用娣治黾夹g(shù)引進(jìn)在東西部地區(qū)工業(yè)結(jié)構(gòu)優(yōu)化中的作用差異;FMOLS估計(jì)與直接消耗系數(shù)、影響力系數(shù)測算從行業(yè)層面討論不同技術(shù)水平與產(chǎn)業(yè)關(guān)聯(lián)屬性部門的技術(shù)引進(jìn)對工業(yè)結(jié)構(gòu)優(yōu)化的影響。實(shí)證研究表明,技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化均具有空間屬性,技術(shù)引進(jìn)對我國工業(yè)結(jié)構(gòu)優(yōu)化具有長期促進(jìn)作用;技術(shù)引進(jìn)在推動我國工業(yè)結(jié)構(gòu)優(yōu)化的進(jìn)程中仍十分重要,其對工業(yè)結(jié)構(gòu)優(yōu)化的影響存在著地區(qū)差異性,這種影響在西部地區(qū)更加顯著;技術(shù)引進(jìn)在技術(shù)水平較高和產(chǎn)業(yè)關(guān)聯(lián)性較強(qiáng)的部門能夠發(fā)揮出更大的作用;與技術(shù)引進(jìn)投入相比,消化吸收投入對于工業(yè)結(jié)構(gòu)優(yōu)化具有更重要的作用,應(yīng)當(dāng)予以足夠的重視。第七章是結(jié)論與政策建議,主要是對全文的研究工作作出歸納,得出結(jié)論;根據(jù)可能存在的問題、理論結(jié)論與實(shí)證結(jié)論三方面內(nèi)容給出對應(yīng)的政策建議,明確只有結(jié)合技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化的自主創(chuàng)新道路才是中國特色的自主創(chuàng)新道路;最后,提出研究展望,說明本文的延展方向。全文采用了文獻(xiàn)分析、規(guī)范分析、實(shí)證分析和比較分析的方法�？赡艿膭�(chuàng)新在于從理論上拓展了埃奇沃思盒狀圖與羅伯津斯基定理關(guān)于技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化關(guān)系機(jī)理的描述;實(shí)證中使用多種模型互補(bǔ)研究,在因變量設(shè)計(jì)上采用多角度考量,既選擇了靜態(tài)變量度量工業(yè)結(jié)構(gòu)優(yōu)化,也選擇了動態(tài)變量度量工業(yè)結(jié)構(gòu)優(yōu)化,既分開考察了工業(yè)結(jié)構(gòu)的合理化與高度化,也綜合分析了工業(yè)結(jié)構(gòu)的合理化與高級化;方法上使用了圖表式描述、時(shí)空變異分析,并將效用論融入研究;邏輯上設(shè)計(jì)了五步驟的實(shí)證分析,通過相關(guān)數(shù)據(jù)的依次估計(jì)和測算可以得出具有層次和實(shí)際價(jià)值的具體結(jié)論。本文的研究有利于進(jìn)一步拓展和豐富技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化的相關(guān)理論;為設(shè)計(jì)更具中國特色的自主創(chuàng)新道路提供理論依據(jù)和具體思路;利于政府、企業(yè)判斷和把握區(qū)域及行業(yè)發(fā)展形勢,制定切實(shí)可行的發(fā)展策略;促使今后我國技術(shù)引進(jìn)與工業(yè)結(jié)構(gòu)優(yōu)化進(jìn)一步合理匹配。
[Abstract]:For developing countries, technology introduction and optimization of industrial structure has always been very important. The introduction of technology is an important way of developing countries and technological progress, industrial structure optimization is an important driving force for national economic development. After the introduction of technology absorption and innovation. That is different from Japan, South Korea's rise, most of the developing countries the reality is the introduction of technology introduction, absorption and innovation is difficult, more difficult. In recent years, the "independent innovation is the core of the kinetic energy" of a country's development has reached a broad consensus, "the introduction is not successful, how to carry out the innovation of" becoming reality problem in many countries economic growth after the development of science and technology for. In China, although the introduction of technology has always played a positive role in economic growth, but it is far from the expected, there are also the problems. Gradually on the structural reform and economic growth Slow in the background, the central government in the "13th Five-Year" planning advice to the "innovation, harmony, green, open, sharing" as the main line, clearly pointed out that innovation is the first driving force of economic development. With the implementation of China's innovation drive strategy, industrial structure optimization and economic growth to pay more attention to the role of traditional factors driving mode to efficiency driven and innovation driven change. Facing the new economic norm, the introduction of technology and in the optimization of industrial structure plays a kind of role? Innovation driven power industry development in our country the conversion more primacy in the direction of adjustment of independent innovation and independent innovation. In the game, the introduction of technology on the structure the optimization of China's industry is still important? Whether technology importation has new features of optimization of industrial structure, industry and regional characteristics and how? With these questions, this paper studies the first chapter. The main purpose is to clarify the purpose of the study, explain the research background, introduces the research methods and ideas. The second chapter is the theoretical basis and literature review, mainly on the existing research (including the theory and literature review), illustrate the theoretical basis and research significance. The third chapter is about the developing country technology introduction and preliminary study the relationship between the industrial structure optimization, through summing up successful experience of Japan and South Korea in the introduction of technology and industrial structure optimization, the relationship between technology introduction and optimization of industrial structure and make a preliminary judgment: the developing countries can be through the introduction of technology to optimize its industrial structure, the ultimate goal is to shift to the introduction of technology independent innovation fourth. Chapter of technology introduction and industrial structure optimization mechanism of the theoretical analysis, through the Edgeworth box diagram, Rybczynski theorem and the total factor productivity With the introduction of technology approach to multi angle theory further judgment on the relationship between technology introduction and optimization of industrial structure of developing countries: technology introduction and optimization of industrial structure is the interaction between countries; technology introduction in developing and optimization of industrial structure, the introduction of technology impact on the optimization of industrial structure is more important. The fifth chapter is Chinese technology introduction and data evolution of industrial structure optimization and the chart review, through the description and analysis of spatial and temporal variation of Chinese, the relationship between technology introduction and industrial structure optimization to make relatively intuitive judgment: the introduction of technology has influence on the optimization of industrial structure China, two there are consistency and coordination in the direction. In effect, there is a positive association. In addition, with the content of the third chapter, some still exist in China's technology introduction and industrial structure optimization problems. The sixth chapter is an empirical study on the optimization of industrial structure of the imported technology Chinese, using spatial Durbin model from the overall inspection technology introduction effect on industrial structure optimization; SUR estimation and the utility function from the regional level analysis technology introduced in the optimization of industrial structure in the east by the difference; FMOLS estimation and direct consumption coefficient, influence coefficient to discuss the effect of different level of technology and industry sectors associated attributes of technology import to optimize the industrial structure from the industry level. The empirical study shows that technology introduction and optimization of industrial structure with spatial attributes, introduction of technology has long-term effect on industrial structure optimization in China; the introduction of technology in promoting China's industrial structure optimization in the process is still very it is important, there are regional differences of industrial structure optimization, this effect is more significant in the western region; technology import To play a greater role in technology to high level and strong industrial relevance department; compared with the introduction of technology investment, digestion and absorption of investment has a more important role in optimizing the industrial structure, should be paid enough attention to. The seventh chapter is the conclusion and policy recommendations, if the main work of this dissertation sums up the conclusion.; according to the possible problems, the theoretical conclusion and three aspects of the corresponding policy recommendations, clearly only the combination of technology introduction and optimization of the industrial structure of the road of independent innovation is the road of independent innovation China characteristics; finally, puts forward the prospect of research, illustrate the extension direction of this thesis. The thesis use the literature analysis, normative analysis. The empirical analysis and comparative analysis method. The possible innovation is theoretically extended Edgeworth boxplots and Rybczynski theorem about technology introduction With the industrial structure optimization mechanism is described; using a variety of empirical research complementary model, the dependent variable is designed using multi angle considerations, choose the static variable metric optimization of industrial structure, but also choose the dynamic variable metric optimization of industrial structure, both separately investigated the rationalization of industrial structure and height, also comprehensive analysis the rationalization of industrial structure and the advanced method; using graphic description, analysis of spatial and temporal variation, and will be integrated into the study of utility theory; logical design empirical analysis of five steps, through the relevant data in order to estimate and measure can draw specific conclusions with the level and practical value. This paper is helpful to to further expand and enrich the theory of technology introduction and optimization of industrial structure; provide theoretical basis and specific ideas for the road of independent innovation design more Chinese characteristics to the government, The enterprises should identify and grasp the regional and industrial development situation, formulate feasible development strategies, and promote the further matching of technology import and industrial structure optimization in China.

【學(xué)位授予單位】：蘭州大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2016
【分類號】：F424

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