我国区域技术创新绩效的空间差异及影响因素研究

发布时间：2018-01-16 06:01

本文关键词：我国区域技术创新绩效的空间差异及影响因素研究　出处：《湖南大学》2014年博士论文　论文类型：学位论文

【摘要】：虽然我国科技创新能力一直保持上升态势，创新规模增长明显，创新结构不断优化，但创新水平与发达国家差距依然较大。尤其需要注意的是，相当一部分科研成果并没有转化为实际生产力，使得技术创新并未真正实现与经济增长的协同发展。为此，十八大报告提出“要加快形成新的经济发展方式”、“着力增强创新驱动发展新动力”、“使经济发展更多依靠科技进步”。这不但要求强化创新投入，提高研发效率，更本质的要求是增强创新对宏观经济可持续发展的驱动作用。基于上述现实问题，本论文站在我国经济可持续发展的立场上，以增强创新驱动力为导向，以区域技术创新为研究主线，在空间经济学理论及空间计量经济学基础上，对我国区域技术创新绩效的空间分布格局及演进、空间格局存在的内在机理、技术创新绩效的影响因素等进行了深入研究，试图回答以下问题：如何合理界定与度量我国各省级区域的技术创新绩效？我国区域技术创新绩效具有哪些空间分布特征？造成这种空间分布的内在机理及影响因素有哪些？在区域技术创新绩效空间分布及演进过程中，作为重要影响因素的科技成果转化与空间溢出扮演了何种角色？为合理度量我国各省级区域的技术创新绩效，首先，区分了区域技术创新能力与区域技术创新绩效的内涵，将区域技术创新能力界定为技术创新潜力结合技术创新资源与环境，形成技术创新产出的过程，而区域技术创新绩效是指技术创新能力通过市场机制，结合市场资源，转化为实际经济效益的过程。然后，构建了区域技术创新能力与实际经济效益的评价指标体系。区域技术创新能力包括技术创新潜力与技术创新产出，实际经济效益则包括宏观经济产出与创新产出价值。最后，采用SFA及基于标度无关视角的回归模型两种方法测算了我国各省的区域创新绩效，发现我国各省的区域技术创新绩效存在较大的非效率问题。为考察我国区域技术创新绩效的空间分布特征，首先，基于区域空间经济分析理论，运用基尼系数度量我国区域技术创新绩效的空间结构，运用Moran指数、Geary指数分析我国区域技术创新绩效的空间关联性，发现我国区域技术创新绩效存在空间分布不均、空间集中性较高等情况，大多数区域的技术创新绩效表现为稳定的空间关联模式。然后，基于梯度理论，将我国区域技术创新绩效分为高绩效、次高绩效、中等绩效、低绩效、差绩效5个等级，发现存在比较明显的区域技术创新绩效梯度差，呈“两头少，中间多”的分布形状。最后，为实现各区域协调发展，基于经济收敛理论，构建了我国区域技术创新绩效的收敛理论模型，发现我国区域创新绩效存在条件β收敛，即虽然我国各区域技术创新绩效存在非平衡性，但控制部分外生变量后，技术创新绩效的区域差异可能会不断缩小。为寻找我国区域技术创新绩效空间分布的形成机理及影响因素，，首先，基于自组织机制与动力学模型，分析了我国区域技术创新绩效的初始势位阶段、能量需求阶段、能量重组阶段、新势位阶段四个自组织演进过程，及推动区域技术创新绩效空间结构演变的相互作用、自身积累与外部动力三大动力源，在这些动力因素及势位的随机涨落过程中，产生了区域技术创新绩效的聚集或离散现象。然后，从宏观因素、微观因素及关联因素三个角度总结归纳了区域技术创新绩效的影响因素。宏观因素主要包括市场化程度、金融环境、知识产权保护制度、科技成果转化率、人力资本水平等。微观角度的影响因素主要有企业管理制度、企业科研投入、企业组织结构等。系统内部的协同与区域之间的空间溢出是影响区域技术创新绩效的关联因素。为考察上述影响因素在区域技术创新绩效空间差异中的作用，以科技成果转化、空间外溢作为宏观因素和关联因素的主要代表，度量了科技成果转化与空间溢出对区域技术创新绩效的影响。首先，明确界定与测算了科技成果转化率，分析了科技成果转化的正向与负向作用机制，并通过技术创新绩效影响因素实证模型估计了科技成果转化影响区域技术创新绩效的总体效应，然后从地理区域、经济区域、自相关区域三个角度进行了区域差异性估计。结果发现，我国平均的科技成果转化率相对较低；科技成果转化率对经济产出存在促进作用，但也存在一定的负向效应；在东部区域、创新绩效较高区域、高高自相关区域和高低自相关区域，科技成果转化率推动经济长期可持续发展的作用相对较大。然后，从聚集与离散两个角度分析区域技术创新绩效外溢的简单机制，建立了A、B两个区域技术创新绩效相互影响的数理模型，运用空间面板计量方法考察了空间外溢对区域技术创新绩效的影响。结果表明，区域A有可能从区域B的高质量资源与优势区位中获益，但区域A的优质资源也有可能被区域B“削弱”，不管是地理邻近、经济相似还是绩效接近区域，区域技术创新绩效空间分布存在较显著的空间关联性，而且经济特征相似区域的空间溢出效应最大。
[Abstract]:Although China's scientific and technological innovation ability has maintained an upward trend, innovation size increased significantly, innovation to optimize the structure, but the level of innovation gap with developed countries is still large. Especially need attention, a considerable part of the research results and not into actual productivity, the technological innovation has not really realize the coordinated development of economic growth and therefore. Eighteen, the report put forward "to accelerate the formation of a new mode of economic development", "strengthen the innovation driven development momentum", "economic development and more rely on scientific and technological progress". This requires not only strong innovation investment, improve the efficiency of research and development, the essential requirement is to strengthen the driving role of innovation on macro economy sustainable development.
Based on the above problems, this paper is in the sustainable development of China's economic position, to enhance the driving force of innovation oriented, focusing on studying the regional technological innovation, in spatial economics theory and spatial econometrics on the basis of the distribution pattern and evolution of technology innovation performance of China's regional space, the internal mechanism of the spatial pattern of existence the influence of technological innovation performance factors are studied deeply, trying to answer the following questions: how to define and measure China's provincial regional technological innovation performance? The technological innovation performance of China's regional distribution characteristics with which space? Cause the inherent mechanism and the affecting factors of the spatial distribution of what? In the regional technological innovation performance the spatial distribution and evolution process, as an important factor in the transformation of scientific and technological achievements and spatial spillover played what role?
To measure the performance of technological innovation, the provincial regional reasonable first, distinguish the connotation of regional technological innovation capacity and regional innovation performance, the regional technological innovation ability to define a combination of technological innovation resources and environment for technological innovation potential, the formation process of technological innovation, and the performance of regional technological innovation refers to the technical innovation ability through the market mechanism, combined with the market resources into actual economic benefits. Then, the regional technological innovation ability and actual economic benefit. The evaluation index system of regional technology innovation ability including technology innovation potential and technological innovation, the actual economic benefits include macro economic output and innovation output value. Finally, using SFA and regression model scaling from the perspective of two methods based on estimates of regional innovation performance of all provinces in China, found that regional technology of all provinces in China There is a large inefficiency problem in innovation performance.
In order to investigate the performance of technological innovation in China's regional spatial distribution characteristics, firstly, theoretical analysis of regional economy based on the spatial structure of China's regional technological innovation performance metric of the Gini coefficient, using Moran index, analysis of spatial correlation between the performance of technological innovation in China's regional Geary index, found the uneven spatial distribution of technology innovation performance in the area of spatial concentration is higher, the technological innovation performance of most areas for spatial association mode stability. Then, based on the gradient theory, the performance of technological innovation in our country is divided into high performance, high performance, moderate performance, low performance, poor performance of the 5 grade, found the performance of regional technological innovation the obvious difference is gradient, "two small, intermediate shape distribution". Finally, in order to realize the coordinated development of the regional economic convergence, based on the theory of the construction of China "s regional. The convergence theory model of innovation performance shows that conditional innovation convergence exists in China's regional innovation performance. That is, although regional technological innovation performance is unbalanced in China, the regional differences of technological innovation performance will continue to shrink after controlling some exogenous variables.
In order to find the formation mechanism and influencing factors, the spatial distribution of regional technological innovation performance in China first, self organization mechanism and dynamics model based on the analysis of the initial performance of technological innovation in China's regional potential energy demand stage, stage, stage of energy restructuring, new potential stage four self organization evolution process, and promote interaction the performance of regional technological innovation of the evolution of the spatial structure, self accumulation and external power three power source, in the process of random fluctuation of these factors and potential in the area of technological innovation performance of the aggregation or discrete phenomena. Then, from three aspects of macro factors, micro factors and factors related to summarizes the influencing factors of regional the technological innovation performance. The macroscopic factors include the degree of marketization, financial environment, intellectual property protection system, the conversion rate of scientific and technological achievements, the level of human capital. The micro angle The main influencing factors include enterprise management system, enterprise research investment and enterprise organization structure, etc.
To investigate the influence factors of differences in regional innovation performance function in the space, with the transformation of scientific and technological achievements, spatial spillover as the main representative of the macro factors and associated factors, to measure the influence of scientific and technological achievements transformation and spatial spillover on regional innovation performance. Firstly, define and measure the conversion rate of scientific and technological achievements, analysis of science and technology the transformation of positive and negative mechanism, and through technological innovation performance influencing factors empirical model to estimate the transformation of scientific and technological achievements affect the overall effect of regional technological innovation performance, and then from the geographical region, economic region, from three angles of the relevant regional regional difference estimation. The results showed that the average of China's scientific and technological achievements the conversion rate is relatively low; the rate of scientific and technological achievements has promoting effect on economic output, but also has some negative effects in the eastern region, innovation performance; High efficiency area, high and low autocorrelation autocorrelation of regional area, the rate of scientific and technological achievements to promote the sustainable development of economy and the long-term effect is relatively large. Then, from the simple mechanism of agglomeration of regional technological innovation performance and the discrete two angles of spillover, established mathematical model of B two A, the performance of regional technological innovation influence each other and the spatial panel econometric method to investigate the spatial spillover effect on regional innovation performance. The results show that A may benefit the high quality resources and location advantage from the area of the B, but the quality of resource area A may also be B "weakened", regardless of geographical proximity, similar or close to economic performance the spatial distribution of regional, regional technological innovation performance has significant spatial correlation, and similar economic characteristics of regional spatial spillover effects.

【学位授予单位】：湖南大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：F124.3

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