产业自主创新能力及其评价研究

发布时间：2018-06-25 08:19

本文选题：产业自主创新能力 + 技术创新　；参考：《江西财经大学》2010年博士论文

【摘要】： 创新不足已经构成了我国经济持续发展的重要障碍,依靠外商投资和纯粹技术引进的产业结构升级之路必须转向依靠自主创新。自主创新成为各级政府和产业界共同关注的重要问题,并已成为近几年国内理论界的研究热点。因此,建立有效的考察产业自主创新能力的指标体系,有助于了解我国产业自主创新状况以及存在的不足,为国家创新体系建设提供中观视角,为决策者制定产业政策和进行宏观管理提供依据,对产业技术进步和区域经济的发展也有着重要的意义。本文在现有研究成果的基础上,通过对企业、产业、国家三个层面自主创新活动及其能力的比较分析,提出产业自主创新既是产业内企业自主创新能力的集合,又是国家自主创新能力的基础和体现；它与企业自主创新能力、狭义国家自主创新能力一起,共同构成了广义的国家自主创新能力体系,但三者之间又存在定位差异；它是一个技术创新和制度创新并重、引进创新与自主创新并举的中观层次的动态演进的系统综合体。围绕论文核心观点,本文共分为七章。第一章是导论,主要说明论文的研究背景、研究主题和选题依据、研究框架、研究内容和研究方法、创新之处与不足等,并对已有研究进行了针对性的综述,认为国内外已有的研究成果主要集中于自主创新的内涵特征、重要意义及对策建议上,而对自主创新能力及其评价的研究关注不够；或者更多针对企业和国家两个层面的自主创新能力进行研究,而欠缺对产业层面自主创新能力及其评价问题的研究。第二章是自主创新能力的形成机理分析。首先,通过评述已有研究者对自主创新的定义,指出目前尚无明确规范的解释,进而提出自主创新是一国公民(自然人)、法人或非法人单位通过其主导的创新或受让形成依法拥有、能够自我控制、具有商业价值的创新成果的活动,并从自主创新的主体、自主创新的三种形式、自主创新的本质三方面作了具体解释,接着论述了自主创新存在自主性和创新性两大特征并分别阐述了它们的具体表现。其次,本章在已有研究的基础上分析了自主创新能力的内涵及其影响因素,指出自主创新能力的培育和形成是一个系统工程,它由技术创新能力和制度创新能力构成,并且是一个动态系统。最后,本章重点阐述了自主创新能力的形成机理,即技术创新和制度创新两大因素所形成的系统结构决定了自主创新系统能力的大小,自主创新与引进创新之间相互影响、相互作用共同推动自主创新能力的发展。其中,技术创新和制度创新二者之间不可分割且存在“和谐互动性”,共同构成了自主创新能力的基石,使创新主体的自主创新能力不断增强,从而获得潜在的收益。自主创新与引进创新二者对自主创新能力的影响作用是内部与外部、存量与流量的关系,自主创新从系统内部决定着自主创新能力的大小,引进创新则从系统外部拉动自主创新能力的提升。第三章是产业自主创新能力的形成机理分析。沿袭上章的分析思路,首先在综述已有研究的基础上提出产业自主创新能力是指某一特定产业内的所有创新主体通过共同努力获得主导性创新产权和主要创新收益并能形成产业竞争优势的协同创新活动的整体能力,并从产业自主创新能力的主体、形成条件、具体表现及目标四个方面展开论述。进而通过辨析产业自主创新能力与企业自主创新能力和国家自主创新能力之间的关系,以准确把握产业自主创新能力的定位。本章核心是对产业自主创新能力形成机理的分析,分别从两个方面进行阐述。一是从技术创新——制度创新与产业自主创新能力的关系来看,产业层面技术创新主要表现为共性技术的创新,产业层面制度创新实质上是对产业特定制度体系进行调整和变迁；二是从自主创新——引进创新与产业自主创新能力的关系来看,自主创新联盟和产业内贸易分别作为产业自主创新和产业引进创新的新形式,对产业自主创新能力的形成和提升具有重大的影响。由此提出,技术创新、制度创新、引进创新、自主创新四者联动,形成两维,共同决定产业自主创新能力的演进。本章最后以国内外典型实例如我国移动通讯产业和韩国钢铁产业自主创新之路分析对上述观点加以佐证。第四章是对产业自主创新能力定量分析,也就是产业自主创新能力的评价。本章在比较、借鉴企业、国家、地区自主创新能力评价的成果的基础上,以科学性与可行性相结合、全面性与重点性相结合、可比性和成长性相结合、指标体系规模适宜等为原则,构建了一个由两个一级指标、三个二级指标、17个三级指标构成的四阶层产业自主创新能力评价指标体系,并对这些指标进行了具体的分析以解释为什么要将它们纳入指标体系,同时确定了指标权重的计算方法——熵值法。接着,本章提出了产业自主创新能力计量模型,并从理论上作了分析。第五章是对前述理论和模型的实证检验,分别对我国高技术产业、高技术产业中各具体行业及江西高技术产业的自主创新能力状况进行了评价,其中评价样本数据均来自1998-2007年的《中国高技术产业统计年鉴》。通过熵值法和SPSS15.0软件的综合运用,计算得到了十年间我国高技术产业、江西高技术产业和医药制造业、航空航天制造业、电子及通信设备制造业、电子计算机及办公设备制造业、医疗设备及仪器仪表制造业等五个具体行业的技术创新能力、制度创新能力、自主创新能力的结果,并对其表现出来的演变规律和特点进行了具体比较,并以江西高技术产业为例对其发展现状和变化趋势作了深入分析。第六章是提升产业自主创新能力的对策建议,主要从正确处理引进创新和自主创新的关系、正确处理技术创新和制度创新的关系两个方面展开,提出国家层面应狠抓原始创新系统的构建、企业层面应注重引进消化吸收再创新、产业层面应强调集成创新方式的运用；从技术创新的角度来看,产业自主创新能力的提升主要依赖于产业共性技术的创新和运用,从制度创新的角度来看,产业自主创新能力的提升则主要依靠产业特定制度体系的创新。本章还对如何提升高技术产业自主创新能力提出了具体对策。最后一章是论文主要的研究结论和下一步的研究展望,归纳本文已取得的阶段性研究成果,并对未来的相关深入研究提出了若干思路。
[Abstract]:The lack of innovation has constituted an important obstacle to the sustainable development of our country . The road of upgrading the industrial structure by means of foreign investment and pure technology must turn to independent innovation . It has become a hot spot in the domestic theoretical circles in recent years . Therefore , it is important to establish an effective index system to study the independent innovation ability of the industry and to provide the basis for the decision - makers to formulate industrial policies and macro - management . It also has important significance for the development of industrial technology and the development of regional economy .

Based on the existing research results , this paper analyzes the independent innovation activities and their abilities of enterprises , industries and countries , and puts forward that the independent innovation of industry is not only the collection of the independent innovation ability of enterprises in the industry , but also the foundation and embodiment of the national independent innovation ability .
Along with the independent innovation ability of enterprises and the independent innovation ability of narrow sense countries , it constitutes a broad sense of national independent innovation ability system , but there is still positioning difference among them ;
It is a system complex of technological innovation and institutional innovation and the dynamic evolution of the meso - level of innovation and independent innovation .

On the core of the thesis , the thesis is divided into seven chapters . The first chapter is the introduction , which mainly explains the background of the research , the research framework , the research content and the research methods , the place and the shortage of the innovation , and puts forward some pertinent research on the existing research . It is believed that the research achievements at home and abroad are mainly focused on the connotation , significance and countermeasures of the independent innovation , and the research on the independent innovation ability and its evaluation is not enough ;
or more research on the independent innovation ability at both the enterprise and the national level , and the lack of the research on the independent innovation ability and the evaluation problem of the industrial level .

Chapter 2 is an analysis of the formation mechanism of independent innovation ability . First of all , the definition of independent innovation is reviewed . It is pointed out that independent innovation is the foundation of independent innovation ability .

The third chapter is the analysis of the formation mechanism of the industry ' s independent innovation ability . Based on the review of the existing research , it is pointed out that the innovation of the industry ' s independent innovation ability is the main body , the formation condition , the concrete performance and the target .
From the point of view of technological innovation , the promotion of independent innovation ability mainly depends on the innovation and application of industry - specific technology . From the angle of institutional innovation , the promotion of independent innovation ability mainly depends on the innovation of industry - specific system . This chapter also puts forward concrete countermeasures to how to improve the independent innovation ability of high - tech industry .

The fourth chapter is the quantitative analysis of the industry ' s independent innovation ability , that is , the evaluation of the industry ' s independent innovation ability . Based on the comparison of the results of the enterprise , the country and the region ' s independent innovation ability evaluation , the paper constructs a four - layer industry independent innovation ability evaluation index system composed of two primary indexes , three secondary indexes and 17 three - level indicators .

The fifth chapter evaluates the independent innovation ability of hi - tech industry and hi - tech industry in China from 1998 to 2007 . The results of technological innovation ability , institutional innovation ability and independent innovation ability of five specific industries , such as manufacturing of high - tech industry , Jiangxi high - tech industry and pharmaceutical manufacturing industry , electronic computer and office equipment manufacturing , medical equipment and instrument manufacturing industry , are compared with each other .

The sixth chapter is the countermeasure suggestion to improve the independent innovation ability of the industry , mainly from the correct handling of the relationship between the introduction of innovation and independent innovation , the correct handling of the relationship between technological innovation and system innovation , put forward that the country level should pay attention to the construction of the original innovation system , the enterprise level should pay attention to the introduction of the reinnovation of the digestion and absorption , the industrial level should emphasize the application of the integrated innovative way ;
Second , from the relationship between innovation of independent innovation and innovation of innovation and innovation of industry , independent innovation alliance and intra - industry trade have great influence on the formation and promotion of independent innovation of industry .

The last chapter is the main research conclusion of the thesis and the research prospect of the next step , summarizes the achievements of the stage research , and puts forward some ideas for the further study in the future .
【学位授予单位】：江西财经大学
【学位级别】：博士
【学位授予年份】：2010
【分类号】：F062.9

【参考文献】