创新资源国际流动格局、过程及对中国自主创新的影响

发布时间：2018-05-15 02:27

本文选题：创新资源 + 科技全球化　；参考：《华东师范大学》2014年博士论文

【摘要】：创新是经济可持续增长和社会繁荣的基石。随着新科学技术革命的迅猛发展,世界经济活动日趋知识化、全球化,创新资源也正在不断跨越国家的界限,大规模在全球加速流动,并深刻影响各国的国家创新系统。因此,研究科技全球化背景下,创新资源国际流动的格局及其对国家自主创新活动的影响具有重大的理论和现实意义。国内外对创新资源的相关研究主要来自经济学和管理学领域,集中在对一国范围内企业和地区创新资源配置的研究。然而,在全球竞争日益激烈的当代,任何技术力量雄厚的企业、地区乃至国家都无法从其内部创造出技术创新需要的所有知识,也难以拥有创新所需的全部资源和技术。在开放创新范式下,创新不再以传统的自给自足的方式进行,而是发展成为一种网络化、全局性的活动,致使企业、地区和国家的创新行为日益明显地受国际创新环境的影响和制约。另外,创新资源的流动是一种独特的空间运动过程,离不开一定的地理空间载体。现有的研究往往忽视创新活动的空间维度,假定创新行为在过滤了空间的“点”上进行。本文研究创新资源各要素的国际流动时空过程、格局及影响,以期为相关研究领域提供有益借鉴。本研究在系统梳理和评价国内外有关创新资源国际流动文献的基础上,首先回顾了全球创新资源国际流动的历史轨迹,总结其中的经验和启示。工业革命的转移都伴随着创新资源的大规模跨国流动,这为发展水平较高的后发国家通过技术一产业体系转换而全面崛起提供了有力的支撑,造成大国间的兴衰更替。继承先进国家的创新资源而获得经济繁荣的后发国家一般具备以下的特点：第一,政府强有力的政治领导及进行制度变迁。第二、国内市场稳定增长。第三、完成了资本积累。第四、具有较强的制造业的基础。第五、政府采取促进生产发展的政策。第六、具备较好的知识和文化条件。第七、大众有艰苦奋斗和投身发明创造的精神。本文接着从创新人才、技术、资本三个方面,研究了全球创新资源国际流动空间分布的现状特征和态势。总体而言,全球创新资源的总量在快速增长,但是其分布极不均衡,发达国家仍然占全球创新资源较大部分。金融危机以来,发达国家创新资源增长放缓,而发展中国家特别是新兴经济体国家的创新资源却快速增长,导致传统的以美国、欧盟和日本组成的“大三角”格局逐步转变为一个更加多极化的格局。具体来说,全球创新资源的国际流动具有以下的特点：从人才资源来看,无论是以科技人力资源、研发人员、研究人员、高技术移民还是国际学生来衡量,总量都在稳步增长。发达国家作为全球人才最重要的培养和就业基地,仍然是高级人才资源最集聚的地区。美国作为全球科技经济最发达的超级大国,仍然接纳了数量最多的各类外国人才。发展中国家随着经济快速发展及国内社会条件的改善,特别是金融危机对发达国家经济的消极影响,在全球人才环流中的吸引力不断提高,配合部分国家实施的更积极的人才战略,创新人才出现了回流的趋势。从技术资源来看,全球专利申请过去十年实现了稳步增长。全球的专利申请集中在美国、日本、欧洲、中国和韩国五大专利局。近年来,全球专利增长的格局呈现中国、美国和韩国增强,日本和欧盟增长乏力的态势。其中,2011年中国的专利、实用新型、商标和工业设计四类知识产权的申请数超过所有其他国家,成为全球专利申请数最多的专利局。全球高技术制成品出口的中心仍然在亚洲,其中中国是全球高技术产品最大的出口国,2010年占全球高技术制成品出口的22%,美国和欧盟各占16%,日本占6.8%。从资本资源来看,自2007年,世界RD经费历史性地突破一万亿美元以来,世界RD投资在经济危机的笼罩下仍然有增无减。总体上,新兴市场国家特别是中国研发投资比发达国家更快,成为全球研发投资重要的来源。2009年亚洲RD经费支出占全球的比重提高到33%,比北美和欧洲分别高出0.34、4.58个百分点,首次超过北美。从国家尺度来看,研发支出最多的三个国家仍然是美国3982亿美元,中国1541亿美元,日本1371亿美元(按购买力平价)。在此基础上,本文进一步用指数评价方法,定量测度了56个国家国际创新资源流动的水平并分析了其格局变化。从时间维度看,2005-2010年,样本国家总体的创新资源流动水平呈稳步提高趋势。全球创新资源流动水平具有顺周期性,随着全球金融危机的蔓延而下降,又随着经济活动的复苏而快速恢复。样本国家参与全球创新资源流动的水平存在显著的空间差异。全球创新资源流动主要集中在西欧、北美和东亚地区,这种国别差异和国家的经济发展水平存在高度相关性。总体上,发达国家国际创新资源流动的水平比发展中国家高,经济发达的小型开放经济体参与全球创新资源转移的程度相对大国更高。本文进一步以中国为案例,在省域尺度上,研究了国际创新资源流动增长趋势、空间分异及其对我国30个省级行政单位自主创新产出的影响,结果发现：第一,我国的国际创新资源在快速增长,在省级尺度上的空间差异明显。国际创新资源在21世纪初期的增长速度总体快于上个世纪末期。东部沿海地区是国际创新资源主要的集聚地区,且目前已经形成了北京-天津、长三角和珠三角三个集聚核心区。随着时间的推移,国际创新资源在我国的分布范围不断扩大,扩散的方向是延伸到西南沿海沿边省份和长江流域内地省份,并有望形成T型格局。第二,国际创新资源分布存在正的空间相关性。我国省域之间国际创新资源流动呈一定的两极分化倾向。由于溢出效应的存在,东部国际创新资源丰富的省份周边也出现类似的省份,而西部国际创新资源稀少的省份,周边的省份常常也缺乏国际创新资源。第三,创新资源流动对我国省域自主创新产出的影响总体是正向的。国际创新资源通过两个途径作用于我国的自主创新。技术引进与自主创新活动直接结合提高了自主创新的产出,而外资研发投资和创新人才流动构成促进自主创新的环境,间接促进我国省域的自主创新绩效。内资企业的研发努力是决定自主创新产出的主要因素。第四,国际创新资源流动对我国各省的自主创新产出影响存在空间溢出效应和空间异质性。周边省份的创新活动对本地的产出有显著地正向效应。国际创新资源效应影响总体的格局是西部省区受到的影响效果强于东部省区,而东部省区受到的影响相对较小,同时模型对东部省区创新产出的解释力也相对要弱。本研究的创新之处在于：第一、从创新资源国际流动的视角,系统地总结了创新资源国际流动的相关理论,并从创新人才、技术和创新资本三个方面研究了创新资源国际流动的历史过程、现状及空间格局。论文构建了科技全球化指数指标体系,定量评估了56个样本国家参与国际创新资源流动的水平及时空演化特征,从地理空间视角拓展了科技全球化的研究。第二、以中国为样本国家,采用空间统计学分析技术,从创新人才、技术和创新资本三个方面分析了国际创新资源在我国的省域空间格局及其时空演化特征,证实了科技活动的全球化也是个穿透多个空间尺度的动态过程。第三、采用空间计量经济学模型,实证研究了国际创新资源对我国省域自主创新产出的影响,发现国际创新资源流动对自主创新产出存在正面影响,且我国省域创新活动存在正的空间溢出及空间异质性的实证证据。
[Abstract]:Innovation is the foundation of sustainable economic growth and social prosperity . With the rapid development of the new science and technology revolution , the world economic activity is becoming more and more educated , the globalization and the innovation resources are constantly crossing the boundaries of the country , which is accelerating the flow on a large scale and deeply affecting the national innovation system of the countries . Therefore , under the background of the globalization of science and technology , the pattern of international flow of innovative resources and its influence on national independent innovation activities have great theoretical and practical significance .

At home and abroad , the research on innovative resources is mainly from the field of economics and management , which focuses on the research on the resource allocation of enterprises and regions within a country . However , in the open innovation paradigm , innovation is not based on traditional self - sufficiency , but it is difficult to have all the resources and technologies needed for innovation . In the open innovation paradigm , innovation is not based on the traditional self - sufficiency . It is assumed that the innovation behavior is carried out on the point of filtering the space . The paper studies the international flow space - time process , pattern and influence of the elements of innovative resources , with a view to providing beneficial reference for the relevant research field .

On the basis of systemizing and evaluating the international flow of innovative resources at home and abroad , this paper first reviews the history track of the international flow of innovative resources at home and abroad , and summarizes the experiences and revelations . The transfer of industrial revolution is accompanied by the large - scale transnational flow of innovative resources .

In general , the growth of innovation resources in developed countries has slowed down , while the developing countries , especially the emerging economies , have grown rapidly , which has led to the gradual transformation of the traditional " big triangle " pattern of the United States , the European Union and Japan into a more multi - polarized pattern . Specifically , the international flow of global innovation resources has the following characteristics :

The global patent application has grown steadily over the past decade . In recent years , China is the world ' s largest exporter of high - tech products . In recent years , China is the world ' s largest exporter of high - tech products . In recent years , the world ' s RD investment has become an important source of global patent application . In recent years , the world ' s RD investment has grown steadily over the past decade . In recent years , the world ' s RD investment has become an important source of global patent application . From the country scale , the three countries with the largest R & D spending are still US $ 398.2 billion , China $ 41.1 billion , Japan $ 137.1 billion ( PPP ) .

On the basis of this , the index evaluation method is used to quantitatively measure the level of international innovative resource flows in 56 countries and analyze its pattern change . In terms of time dimension , the overall innovation resource flow level of sample countries has steadily increased . Global innovation resource flows have a high correlation with the global financial crisis . Global innovation resource flows are mainly concentrated in Western Europe , North America and East Asia . The level of global innovation resource flows is higher than that of developing countries .

Based on the case study of China , this paper studies the trend of international innovation resource flow , spatial diversity and its influence on the output of 30 provincial administrative units in China , and finds out that :

First , China ' s international innovation resources are rapidly growing , the spatial difference in the provincial scale is obvious . The growth rate of international innovation resources in the early 21st century is generally faster than the end of the last century .

The innovation of this study lies in :

First , from the perspective of the international flow of innovative resources , the relevant theories of the international flow of innovative resources are systematically summarized , and the historical process , current situation and spatial pattern of the international flow of innovative resources are studied from three aspects of innovative talents , technology and innovation capital .

Secondly , taking China as the sample country , using the technique of spatial statistics analysis , this paper analyzes the spatial pattern of international innovation resources in our country and its spatial and temporal evolution characteristics from three aspects of innovative talents , technology and innovation capital , and confirms that globalization of science and technology activities is also a dynamic process through multiple spatial scales .

Thirdly , using the model of spatial econometrics , the paper empirically studies the impact of international innovative resources on the output of independent innovation in our province , and finds that international innovative resource flows have a positive impact on the output of independent innovation , and there is positive evidence of spatial spillover and spatial heterogeneity in our country ' s regional innovation activities .

【学位授予单位】：华东师范大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：F124.3;F113

【参考文献】