自主创新对产业结构高级化的驱动作用研究

发布时间：2018-05-14 01:42

本文选题：自主创新 + 产业结构高级化　；参考：《吉林大学》2016年博士论文

【摘要】：本文以自主创新对产业结构高级化的驱动作用为研究主线,从理论分析和实证分析两个角度考察了自主创新对于产业结构高级化的作用机理及实际的驱动效应,并探讨了自主创新的驱动作用对于相邻接地区的空间溢出效应,为拓展自主创新的发展空间、更好的实现自主创新对于产业结构高级化的驱动作用提供了一些富有建设性的意见。本文的研究主要从以下四个方面展开:首先,在充分借鉴Hansen and Birkinshaw三阶段创新价值链思想的基础上,提出了“四阶段创新价值链”理论,即创新应该是一个由“创意产生——创新形成——创新转化——创新扩散”四个阶段构成的循序渐进、紧密相连的过程。并据此构建了一个包含5个一级指标和19个二级指标的自主创新综合评价指标体系。其次,分别对我国自主创新与产业结构高级化进行了测度,并将动态因子分析法(DFA)引入到自主创新评价之中,有效解决了传统因子分析法和主成分分析法无法处理动态面板数据的问题。并根据动态因子分析法的评价结果,对我国31个省市自主创新水平进行了评价和排名。再次,从理论分析与实证分析两个角度考察了自主创新对于产业结构高级化的作用机理及实际的驱动效应。自主创新对产业结构高级化驱动作用的理论分析分成了数理模型分析、作用机理分析和博弈分析三个部分探讨。实证分析分成了两个部分:其一,构建了面板向量自回归模型(PVAR),并对其进行了动态面板GMM估计、脉冲响应分析和方差分解。结果表明:自主创新对产业结构高级化的驱动作用表现为长期、持续、动态、显著的正向效应。但是自主创新对产业结构高级化的驱动作用具有时滞性,自主创新的驱动作用需要3年时间才能达到最强,随后开始持续衰减。其二,应用Moran`s I指数检验、空间滞后模型(SLM)估计等方法对自主创新与产业结构高级化的空间相依性、以及自主创新的驱动作用对于相邻接区域的空间溢出效应进行了深入研究。结果表明:自主创新与产业结构高级化均存在着空间相依性,自主创新对本地区及相邻接地区的产业结构高级化均有着显著的正向驱动作用。应用空间马尔可夫链对自主创新的驱动作用进行进一步的研究发现,自主创新的空间溢出效应显著存在,并且需要5年时间才能呈现出显著影响。因此,我们可以提出,自主创新对于本地区产业结构高级化的驱动作用需要3年时间才能达到最大,而对于相邻接地区自主创新的驱动作用则需要5年时间才能呈现出显著影响。最后,基于理论与实证的分析结果,从解决自主创新主体融资困境、加快体制机制改革,处理好新兴产业与传统产业关系、推进产学研协同创新和加快自主创新生态系统建设等方面提出了一些个人见解。对Hoppe and Grube的博弈模型加以改进,分别构建了“一次性政府补贴博弈模型”、“阶梯式政府补贴博弈模型”以及“最小合理政府补贴博弈模型”,并提出了跟进企业自主创新过程,推行阶梯式政府补贴的建议。相比于政府目前实行的事后补贴,阶梯式政府补贴可能更能有效激励企业率先进行自主创新,同时又能解决企业在自主创新过程中后期常常会遇到的资金困难的问题,也有效抑制了研发企业在申请创新补贴中的寻租行为。
[Abstract]:In this paper, the driving effect of independent innovation on the advanced industrial structure is the main line. From two angles of theoretical analysis and empirical analysis, the mechanism and actual driving effect of independent innovation on industrial structure advanced is investigated, and the spatial spillover effect of independent innovation on adjacent areas is explored. The development space of independent innovation and better realization of independent innovation provide some constructive suggestions for the driving effect of industrial structure advanced. The research of this paper is mainly carried out from the following four aspects: first, on the basis of full reference to the Hansen and Birkinshaw stage innovation price chain thought, the "four stage innovation" is put forward. The theory of value chain is that innovation should be a gradual and closely connected process composed of four stages: "creative creation - innovation formation - innovation transformation - innovation diffusion". Based on this, a comprehensive evaluation index system of independent innovation consists of 5 first level indexes and 19 two level indexes. The national independent innovation and the advanced industrial structure are measured, and the dynamic factor analysis (DFA) is introduced into the independent innovation evaluation, which effectively solves the problem that the traditional factor analysis method and the principal component analysis method can not deal with the dynamic panel data. According to the evaluation results of dynamic factor analysis, 31 provinces and cities of our country are innovating independently. The evaluation and ranking are carried out. Again, the mechanism and actual driving effect of independent innovation on industrial structure advanced is investigated from two angles of theoretical analysis and empirical analysis. The theoretical analysis of the driving effect of independent innovation to the advanced industrial structure is divided into three parts: mathematical model analysis, action mechanism analysis and game analysis. The empirical analysis is divided into two parts: first, the panel vector autoregressive model (PVAR) is constructed, and the dynamic panel GMM estimation, impulse response analysis and variance decomposition are carried out. The results show that the driving effect of independent innovation on industrial structure advanced is long-term, continuous, dynamic and significant positive effect. The driving effect of the new industrial structure is time-delay, and the driving effect of independent innovation takes 3 years to reach the strongest, and then begins to continue to decay. Secondly, the spatial dependence of the application of Moran`s I index test, space lag model (SLM) estimation and other methods on the spatial dependence of independent innovation and industrial structure advanced, and the independent innovation The driving effect has been deeply studied on the spatial spillover effect of adjacent area. The results show that the independent innovation and the industrial structure have a spatial dependence. The independent innovation has a significant positive driving effect on the industrial structure advanced in the region and adjacent areas. The application of the spatial Markov chain to independent innovation Further research shows that the spatial spillover effect of independent innovation is significant, and it takes 5 years to have a significant impact. Therefore, we can suggest that the driving effect of independent innovation on the industrial structure of the region takes 3 years to reach the maximum, and it is independent for adjacent areas. The new driving force will take 5 years to make a significant impact. Finally, based on the theoretical and empirical analysis, it is proposed to solve the financing dilemma of the independent innovation subject, accelerate the reform of the institutional mechanism, deal with the relationship between the new industry and the traditional industry, promote the cooperative innovation of production, research and research, and accelerate the construction of the independent innovation ecosystem. Some personal views are made. To improve the game model of Hoppe and Grube, the "one-off government subsidy game model", "staircase government subsidy game model" and "minimum reasonable government subsidy game model" are constructed respectively, and some suggestions are put forward to follow up the process of independent innovation of enterprises and carry out the ladder type government subsidies. In the event of the government's present post subsidy, the ladder type government subsidies may be more effective to motivate enterprises to take the lead in independent innovation, and at the same time can solve the problem of financial difficulties that enterprises often encounter in the late process of independent innovation, and also effectively inhibit the rent-seeking behavior of R & D enterprises in the application of new subsidies.

【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：F121.3;F124.3

【参考文献】