【作者】 徐涵蕾；

【导师】 李柏洲；

【作者基本信息】 哈尔滨工程大学 ， 管理科学与工程， 2007， 博士

【摘要】 近年来，区域创新系统已经成为被广泛认可的一种为制定创新政策提供重要基础的分析框架，因此，在建设区域创新系统时，各区域需要结合自身的条件，充分发挥自身独特优势。地方政府作为推动区域经济发展的重要力量，是区域公共政策选择和制度创新的第一行动集团。但由于种种原因，地方政府在区域公共政策选择和制度创新过程中往往存在偏差，导致变异行为，如地方主义、短期行为等。所以地方政府要科学实施区域公共政策选择和制度创新，着力为区域创新活动提供创新的环境，营造创新的氛围，通过激励性政策、引导性政策、保护性政策、协调性政策等，从宏观上为区域创新创造制度上的条件，从而促进区域经济的发展。本文在查阅了大量国内外关于区域创新系统和政府行为文献的基础上，围绕选题对有关区域创新系统现有的研究成果进行总结与评述，重点关注了区域创新系统和政府行为的含义及其相关概念的界定和最新的研究成果，从理论上把握区域创新系统的运行规律与特征。结合具有区域创新系统运行不同典型特征的地区实际对比验证这些区域地方政府的行为侧重，表明由于区域创新系统所依托地区的经济发展成熟程度等要素的不同，地方政府的行为及其定位就应有所不同，为后文的研究提供了实证依据。通过分析区域创新系统绩效的内涵与特点、构成要素，提出了区域创新系统绩效评价指标遴选的原则，构建起区域创新系统绩效评价体系，指明区域创新系统绩效影响要素中涉及地方政府的指标，并对区域创新系统绩效评价体系进行测试和确定。实际验证我国的31个省市和地方的创新系统绩效，分析其创新系统各自的特点。在此基础上，结合区域创新系统分类，总结出各种区域创新系统绩效的主要制约因素：欠发达地区创新网络关系断裂，老工业基地组织机构欠缺，大城市区域创新能力锁定等，并据此找到地方政府相应的行为定位及可以采取的行为，从地方政府的角度寻找克服这些障碍的有效途径，将欠发达地区地方政府行为定位为创新主体参与创新，老工业基地地方政府作为创新支持引导创新，大城市地方政府作为创新后备支持创新等。并对这些行为的实施效果提出评估办法，为促进地方政府有效的提高区域创新系统绩效提供借鉴。在此基础上，分析区域创新系统的系统动力学性质，提出了构建区域创新系统系统动力学模型的步骤，并逐步实施。结合前文的研究和实际情况，提炼精简出三类地方政府行为(参与创新、引导创新、支持创新)的系统动力学模型，即行为机理，通过计算机模拟政策的运行，试图找到合理的地方政府行为空间、方式和程度。利用博弈论相关方法研究减少地方政府负外部性的有效途径，对前面的地方政府行为机理研究做出有益补充。基于委托—代理问题模型分别研究地方政府和企业的委托—代理关系、地方政府R＆D的激励机制设计与代理成本分析，基于不完全信息下的静态博弈分析中央政府与地方政府间的政策倾斜应对策略，以及同一区域创新系统中的同级地方政府间的行为应对，找到区域创新系统中地方政府行为效益最大化的有效途径，地方政府和中央政府都要实施对政策实施对象的实施过程和实施效果的监控。最后，基于全文的研究提出提高我国区域创新系统中地方政府行为的效率有关建议，借以促进我国区域创新系统的良性发展。更多还原

【Abstract】 In recent years, the concept of regional innovation system (RIS) has evolved into a widely used analytical framework that generates the empirical foundation for innovation policy making. So when building it, any region should unify its own conditions and display its own unique superiority fully. As the important power to drive regional economy developing, the local government is the first action group for region public policy choice and system innovation. While as a result of any sort of reasons, the deviation often appears when the local government does these which may cause variance behaviors such as localism, short-term behaviors and so on. Therefore, the local government should do region public policy choice and system innovation scientifically and exert itself to provide innovation milieu for regional innovation and construct innovation atmosphere. Also by providing stimulant policy, introductory policy, protect policy, concerted policy and so on, the local government offers the conditions for regional innovation in system macroscopically to promote the regional economy development.On the base of referring to volumes of domestic and foreign literature on RIS and government behavior, the paper carries on some summary and review of exiting fruits about RIS surrounding the topic and has paid attention to the signification and correlating concepts and the up-to-date study fruit of RIS and government behavior to grasp the running law and characters of RIS in theory. Linking to the regions being of different representative characters during the running of RIS, the paper validates these regional governments emphasize particularly on different aspects. It indicates the local government’ s action and the action localization should be different according to different factors, such as the economical development mature degree and so on, which comes from the regions and provides the facts for the following study. By analyzing the meaning and points and made-up factors of RIS performance, the paper proposes the principle of choosing RIS performance indexes, set up the value system of RIS performance, indicates the indexes impacting the RIS performance especially those dealing with local government and tests and confirms the RIS performance evaluation system. It analyzes the characters of different RIS with the test of our 31 provinces or regions. According to these and the classification of RIS, the paper summarizes the main restriction factors of RIS performance such as the fragmentation of peripheral regions, the organizational thinness of old industrial areas and the lock-in of metropolitan regions and by this it discovers the corresponding action localization and adopted deeds of local governments. In the perspective of local government, the paper seeks seek the effective ways to overcome these obstacles: the localization of peripheral regions is the main innovation body to take part in innovation, the localization of old industrial areas is the innovation sustainment to induct innovation and the localization of metropolitan regions is innovation supporting to help innovation. Moreover, this paper puts forward the evaluating methods for the practice of the local governments to provide suggestion for the local governments to promote the RIS performance validly.Based on these, the paper analyzes the system dynamics quality of RIS, brings forward the steps to found the RIS system dynamics models and put it into practice gradually. Follow the study before and the facts, the paper abstracts and simplifies 3 kinds of local government behaviors, such as taking part in innovation, inducting innovation and sustaining innovation. In the other words, it studies the local government action function mechanism. Through simulating the policy function by the computer, this paper tries to find out reasonable space, way and degree of local government behaviors.The paper studies on the effective way to reduce the local government negative outness by the game theory to makeup the front study of local government action function mechanism helpfully. Based on the principal-agent model, the paper studies on the principal-agent relationship between local governments and enterprises and the local government driving mechanism design and agency cost analyses. Based on incomplete information static game model, it analyzes the strategy for the policy incline between the center government and the local ones and the local governments in the same level in the RIS to find the effective ways to win the greatest benefits of local governments’ actions in the RIS which says the center government and the local ones should pay attention to the practice course and effect of the policy objects.Finally, according to the study before, the paper propose the suggestion of improving the local governments’ efficiency in our RISs to accelerate our RIS to develop healthily.更多还原