【作者】 彭建平；

【导师】 张建华；

【作者基本信息】 华中科技大学 ， 西方经济学， 2008， 博士

【摘要】 本文首先探讨专有技术自主创新促进工业结构升级的机理;其次,探讨共性技术自主创新,产学研结合作为自主创新的一个重要组织形式等促进工业结构升级的机理;再次,探讨技术标准创新促进工业结构升级的机理;最后,探讨装备制造业这一关键产业促进工业结构升级的机理。并对我国在这五个方面的现状进行分析,以及提出相应的对策建议。专有技术创新主要通过开发新产品、完善工艺流程等改造传统产业或导致传统产业衰退,逐渐形成主导产业,开辟新兴行业,促进一国工业结构升级。文章进一步对我国自主创新现状并从投入与产出两个方面进行纵向和横向比较,运用各地区发明专利授权数累计存量作为自主创新指标对各地区第二产业中工业总产值做综列协整分析,实证结果显示二者之间存在长期均衡关系。就专有技术创新而言,政府主要是如何维护公平、公正的市场经济环境,文章中提出从产权制度、市场制度、企业制度和政府政策等四个方面加强创新激励。共性技术作为企业专有技术开发平台,具有很强的外部性、前瞻性、风险性、多学科融合性,是企业开发专有技术的创新源。共性技术供给不足已经成为制约我国工业结构升级的瓶颈。文章探讨共性技术促进工业结构升级的微观、中观、宏观机理,将共性技术区分为行业间共性技术、行业内共性技术,并从博弈论视角探讨共性技术供给不足的原因,分析我国共性技术供给现状,提出政府应针对不同类别的共性技术以及市场结构特点采取相应措施增强其有效供给。产学研结合作为整合企业内部智力资源和外部智力的一种重要组织形式,对企业技术创新具有突出作用。文章阐述产学研这一组织模式通过孵化新兴企业或产业,生产新产品或对原有产业链进行延伸等直接方式促进工业结构升级;通过各种正式渠道和非正式渠道产生知识溢出进而促进企业技术创新的间接方式促进工业结构升级。文章进一步分析我国产学研结合现状以及存在的问题,并就如何促进产学研结合,分别从企业、高等学校或科研院所、政府等方面提出相应对策建议。在经济全球化不断深化情况下,技术标准对一国产业在国际分工中的地位产生重大影响。技术标准通过阈值效应、创新分工、先行者优势、锁定效应等影响一国产业在全球产业链中的地位。我国作为后发国家要想通过技术标准创新谋求在全球竞争中的有利地位,面临比技术创新更加严峻的局面,文章针对我国实际情况提出企业和政府探索技术标准创新的政策建议。装备制造业作为关键产业在工业结构升级中具有特殊作用。文章实证分析了装备制造业的影响力程度及影响力系数,从回顾效应、前向效应和旁侧效应等产业关联效应分析装备制造业自主创新促进工业结构升级的机理,并分析我国装备制造业自主创新现状,提出政府应从税收、政府采购、战略性招标、首台套保险制度和激励联合创新等方面扶持装备制造业自主创新。文章主要创新之处:(1)探讨共性技术自主创新促进工业结构升级的机理,并将共性技术按照其影响宽度进行细分,分析不同类别共性技术供给不足的原因以及如何促进其供给;(2)探讨产学研结合促进工业结构升级的机理;(2)探讨技术标准创新促进工业结构升级的机理,以及如何促进我国标准创新。更多还原

【Abstract】 Firstly, the dissertation discusses the mechanism which the properitary technology self-innovation accelerate the upgrading of industrial structure; Secondly, we analyze the mechanism which generic technology self-innovation and firm-university-institute linkage that is an important organization of self-innovation how to hasten the upgrading of industrial structure; Thirdly, we study the mechanism from technical standard innovation; Finally, the author discusses mechanism that the equipment manufacturing industry that is a key industry how to promote the upgrading of industrial structure. The dissertation analyzes present situation respectively, and puts forward to countermeasures and suggestion correspondingly.By developing new products and technological process, properitary technology innovation transforms or weakens traditional industries, forms leading industries, opens up new industries and so on, those will upgrade a country’s industrial structure. The dissertation analyzes the status quo of our country’s self-innovation in terms of input and output by comparing vertically and horizontally. The cumulative numbers of patents in each area are used as an index of self- innovation against the gross value of industrial output of the second industry to carry out panel co-integration analysis, and a long-term equilibrium relationship is revealed in the empirical results. As for properitary technology innovation, the main duties for government are to maintain the equity and fairness of the market economy, and thus the suggestions that we should enhance the innovation incentives from property right system, market system, enterprise system and government policies.Generic technology as a platform of competitive technolgy development for enterprises, having its strong characteristics of being external, forward-looking, risk-taking, and multi-disciplinarily integrative, and the innovation source of enterprises for developing competitive technology, and its insufficient supply has now become the bottleneck of the upgrading of China’s industrial structure. The dissertation studies the mechanisms which gerenric technology promotes the upgrading of industrial structure, classifies generic technology into inter-industry generic technology and intra-industry generic technology, and then explores the causes of its insufficient supply from the view of game theory. The suggestions are made after an analysis of the current supply condition in China that government increase the supply of generic technology according to different categories and the characteristics of its market structure.Firm-university-institute linkage, as an important organizational form in integrating intellectual resources inside and outside enterprises, plays an outstanding role in technological innovation. The author describes that this model directly promotes the upgrading of industrial structure through incubating new enterprises or industries, producing new products or extending the existing industry chain, and indirectly promotes the upgrading by enhancing technological innovation by means of various formal and informal channels. The status quo and existing problems of firm-university-institute linkage in China are investigated furtherly. Then the dissertation proposes corresponding countermeasures and suggestions for enterprises, colleges and universities, institutes and government on how to promote firm-university-institute linkage.With the deepening of economic globalization, technical standards influence significantly the position of a country’s industry in the international division via threshold effect, innovational division, first-mover advantage, and lock-in effect. China as a developing country faces rather severe situation in its attempt to seek for the advantageous position in the global competition through technical standard innovation. The paper puts forward countermeasures and suggestions based on China’s practical situation for enterprises and government exploring technical standard innovation.Equipment manufacturing industries as a pivotal industry play an important role in the industrial structure upgrading. The paper analyzes empirically its influence degree and influence coefficient, and investigates in terms of retrospect effect, forward effect and bystander effect, the mechanisms through which self- innovation of equipment manufacturing industries promotes the industrial structure upgrading. Then the status quo of the self-innovation of equipment manufacturing industry in China is investigated and corresponding suggestions are made such as tax revenue, government procurement, strategic tender, first-set insurance system and incentive union innovation.The innovations of the dissertation are as follows: (1) We analyze the mechanism which generic technology self-innovation promote industrial structure, and which are divided into different groups according to its influence width. We analysis the reason which supplies are insufficient, and we how to promote its supplies;(2) We probe into the mechanism which the firm-university-institute speed the upgrading of industrial structure; (3) The author discusses the technical standard innovation how to upgrade industrial structure, as well as how to promote innovation of technical standard in our country.更多还原