中关村科技园区技术创新效率及影响因素实证研究

发布时间：2018-03-25 02:37

本文选题：中关村　切入点：技术创新效率　出处：《中国矿业大学(北京)》2016年博士论文

【摘要】：党的十八大报告指出“创新驱动战略”是国家发展战略的核心,“着力构建以企业为主体、市场为导向、产学研相结合的技术创新体系”,这是继党的十七大会议强调“提高自主创新能力,建设创新型国家”之后对我国创新发展的再次战略部署。中关村示范区作为我国技术创新的标志,其企业的技术创新能力、技术创新的环境影响因素及创新生产的收益特点等问题均具有很强的研究意义。本文围绕“中关村国家自主创新示范区技术创新效率实证研究”的选题,论文首先确立了“效率研究”的切入点,即生产前沿面理论的“技术效率”;基于对传统企业技术创新过程模型的理解,论文提出了示范区企业二阶段技术创新过程划分方式,技术研发与技术转化,从而企业技术创新效率被分解为技术研发效率和技术转化效率;基于动态的角度,从示范区企业空间载体和产业载体两个维度,应用Windows-DEA方法,测算了示范区园区/产业层面的企业技术研发/转化效率,结合示范区园区/产业的实际情况,对园区/产业内的企业技术创新活动进行了定位;考察了政府资助、金融机构支持、国际贸易、外商投资、产业集聚、地理区位等六个环境因素对示范区企业技术创新效率影响的方向及程度,包括因素指标的构建测度以及效率环境影响因素Panel Data-Tobit模型的建立和参数估计;最后,通过PCA方法,构建了园区层面的单投入单产出技术研发/转化投入产出指数,并基于园区的纯技术效率值,绘制了示范区企业技术研发生产前沿面和技术转化生产前沿面的二维形态,研发和转化的生产前沿面表现出不同的边际收益特性。最后,归纳论文的主要研究结论,为示范区企业的技术创新发展提供了相应的建议。论文的主要研究内容及成果包括:(1)对国内外“技术创新效率”及“中关村国家自主创新示范区”相关研究领域内的研究文献进行综述,并做出简要评述。明确了论文的研究内容及研究思路,描述了本文的技术路线;按照问题的解决,列出论文的主要研究方法,并对本文的创新点进行了简单的概括。(2)对“技术创新”、“高技术产业”、“效率和技术效率”等基本概念进行了界定,明确技术创新“效率”为基于生产前沿面理论的“技术效率”。对传统企业技术创新过程模型进行了分析,基于模型对示范区内企业适用性的原则,从生产逻辑的角度,将企业技术创新过程划分为6个环节,并根据每个环节产出成果的商业价值特点,按照投入产出的角度,将6个环节分为两个阶段,即技术研发阶段与技术转化阶段,从而示范区内企业技术创新效率被分解为技术研发效率与技术转化效率。研发效率与转化效率的分解,为本文研究两阶段技术创新效率提供了理论支撑。对生产前沿面理论进行了简单的回顾,生产前沿面理论是本文进行效率测度的理论基石,数据包络分析(DEA)和随机前沿面分析(SFA)均是基于此理论而产生的效率测度方法,本文主要是通过Windows-DEA模型对效率进行测度的。(3)论文构建了示范区企业多投入——多产出的技术研发效率指标体系和技术转化效率指标体系,通过Windwos-DEA模型,从园区和产业两个层面,分别测度了2007年~2012年示范区海淀园、亦庄园等十个园区和电子信息产业、新能源产业等六个高技术产业的纯技术研发/转化效率、研发/转化规模效率和综合技术研发/转化效率。在此基础上,以2010年~2012年的效率均值为样本数据,构建园区层面和产业层面的纯技术创新效率分布图和规模效率分布图,从研发和转化的角度,分别对园区和产业层面企业的技术创新活动进行定位。(4)论文选取地方政府资助、金融机构支持、国际贸易、外商直接投资、产业集聚度、地理区位等六个因素作为示范区企业技术创新效率的环境影响因素,构建了每个因素的表征数据指标。运用Panel Data-Tobit回归模型,构建了园区/产业层面的企业技术研发/转化效率环境影响因素的个体单向固定效应-Tobit模型,并通过参数估计,分析了上述六个因素对技术研发和技术转化效率的影响程度及原因。(5)论文以2007年~2012年园区层面的企业技术研发/转化的投入产出指标数据为数据样本,通过主成分分析法,构建了2007年~2012年园区的技术研发投入/产出指数和技术转化投入/产出指数,从而将每个园区企业的多投入多产出创新生产变为单投入单产出的创新生产。根据生产前沿面理论的单投入单产出的生产前沿面描述方法,首先画出2007~2012年园区技术研发/转化的投入产出分布图,再根据每个园区的纯技术研发/转化效率值得有效性(效率值为1),得到技术研发/转化生产前沿面上的点,每个点依次连接而形成的曲线,便是研发/转化生产前沿面的二维形态。最后,根据研发/转化前沿面的规模收益特性(对于单投入单产出的生产活动,也可称为边际收益特性),分析示范区园区层面的企业技术研发特点和技术转化特点。最后,归纳了论文研究的基本结论,在这些结论的基础上,给出了中关村国家自主创新示范区园区层面和产业层面的企业技术创新生产的政策建议,总结了本文研究的局限性以及未来研究的展望。
[Abstract]:The eighteen Party Congress report pointed out that the core of "innovation driven strategy" is the national development strategy, strive to build the enterprise as the main body, the market as the guidance, the combination of technical innovation system ", which is the second party Congress meeting stressed that improving the ability of independent innovation, innovation and development of China's strategic plan of building again an innovative country". The Zhongguancun demonstration zone as a symbol of China's technology innovation, the enterprise technology innovation ability, innovation factors and production yield characteristic of the environmental impact of technological innovation has strong research significance. This paper focuses on the "Zhongguancun National Innovation Demonstration Zone Technology Innovation efficiency empirical research" topic. This paper firstly established the "starting point of efficiency", namely the production frontier theory of "technical efficiency"; the process of technological innovation of traditional business model and solutions based on the theory of This paper presents the demonstration zone of the two phase of the enterprise technology innovation process division, technology research and development and technological transformation, thus the efficiency of enterprise technology innovation is decomposed into technical efficiency of research and development and technological transformation efficiency; dynamic perspective from two dimensions of enterprise and industry demonstration zone space carrier carrier, using the Windows-DEA method, calculates the park / demonstration area R & D / industry level conversion efficiency, combined with the actual situation of Industrial Park / demonstration area, the park / technological innovation activities of enterprises in the industry are located; examines government funded institutions, financial support, international trade, foreign investment, industrial agglomeration, demonstration area on the efficiency of enterprise technology innovation influence the direction of geography the location and extent of six environmental factors, including the construction of factor measure and efficiency of environmental impact factors to estimate Panel and Data-Tobit model parameters; finally And through the PCA method, constructed the single input single output Park level R & D / transformation of input and output index, and based on the pure technical efficiency value of the park demonstration area, drawing the enterprise technology R & D and production frontier technology into production frontier research and development and production of two-dimensional shape, frontier of showing characteristics of different marginal revenue at last, summed up the main research conclusions, provides some suggestions for the development of enterprise technology innovation demonstration zone. The main research contents and achievements of this thesis include: (1) the domestic and foreign research literature of "technology innovation efficiency" and "Zhongguancun national innovation demonstration zone" in the research field are reviewed. And make brief comments. The research contents and research ideas of this paper, describes the technical route of this paper; according to the problems, the main research papers listed in this paper and the method. The innovation points are discussed briefly. (2) of "technological innovation", "high tech industry", "basic concepts of efficiency and technical efficiency" are defined, clear technological innovation efficiency "based on production frontier theory of" technical efficiency ". In the process of technological innovation model of the traditional enterprise analysis of the principle of model to the enterprise in the demonstration area of applicability based on production from the perspective of logic, the enterprise technology innovation process is divided into 6 parts, and according to the characteristics of the commercial value of each link output, according to the input-output angle, the 6 part is divided into two stages, namely the stage of technology development and technology a stage of transformation, thus the efficiency of technological innovation demonstration zone enterprises is decomposed into technical efficiency and technical R & D conversion efficiency. The decomposition research efficiency and conversion efficiency, provides the theory for the research of technological innovation efficiency of two stage Support. Reviews the production frontier theory, production frontier theory is the theoretical foundation for the evaluation of efficiency, data envelopment analysis (DEA) and stochastic frontier analysis (SFA) is the efficiency measure which based on this theory, this paper is mainly through the Windows-DEA model to measure the efficiency. (3) the construction of the enterprise demonstration area of multi input multi output - R & D efficiency index system and technological transformation efficiency index system, through the Windwos-DEA model, from two aspects of park and industry, 2007 ~2012 demonstration area of Haidian park were also measure, manor ten parks and the electronic information industry, pure technology research and development six / high technology industry of new energy industry, conversion efficiency, scale efficiency and comprehensive transformation of the R / R & D / conversion efficiency. On this basis, the average efficiency of 2010 ~2012 as samples This data, the park level and industry level of pure technical innovation efficiency distribution and scale efficiency distribution of construction, development and transformation from the point of view, respectively, to locate the park and industrial level enterprise technological innovation activities. (4) the paper selected by local governments, financial institutions, international trade, foreign direct investment. Industrial agglomeration, location six factors such as environmental factors affecting the efficiency of technological innovation demonstration enterprise, constructs the index characterization data for each factor. By using the Panel Data-Tobit regression model, constructed Park / R & D / industry level conversion of individual one-way fixed effects model of -Tobit factors of the efficiency of environmental impact, and through parameter estimation, analysis of the above six factors of technology development and technology transfer efficiency of the influence and reason. (5) based on the 2007 ~2012 level enterprise technology park Operation research / transformation of input and output index data as the sample data, through principal component analysis, Construction Technology Development Park 2007 ~2012 input / output index and technological transformation input / output index, and each of the enterprises in the park with multiple inputs and outputs into a single input production innovation product innovation. The description method of production according to the production frontier theory into a single unit of production frontier, first draw 2007~2012 Technology Development Park / transformation of the input and output distribution, according to the pure technical R & D / each park worth the effectiveness of conversion efficiency (efficiency = 1), get the R & D / transformation production frontier point each point in turn formed by connecting the curve, is the R & D / transformation productionfrontier two-dimensional shape. Finally, according to the research and development / transformation frontier returns to scale characteristics (for single input single output Activities, also known as the marginal return characteristics), analysis demonstration zone level enterprise technology characteristics and technical transformation characteristics. Finally, the basic conclusion summarizes the thesis, based on these conclusions, gives the park of Zhongguancun national innovation demonstration zone level and industry level production enterprise technology innovation policy recommendations, summarized the limitations of this study and future research prospects.

【学位授予单位】：中国矿业大学(北京)
【学位级别】：博士
【学位授予年份】：2016
【分类号】：F276.44;F273.1

【参考文献】