区域创新网络与共性技术研发对产业创新能力的影响研究

重庆大学博士学位论文区域创新网络与共性技术研发对产业创新能力的影响研究姓名：易将能申请学位级别：博士专业：技术经济及管理指导教师：杨秀苔;孟卫东20050601中文摘要I摘要政府提高产业创新能力，可以通过营造良好的创新环境和运用高效创新工具来实现。本文以区域创新网络（RIN）和共性技术为对象研究了产业的创新环境和创新工具方面的几个问题。在创新环境方面，RIN既是政府要营造和面临的创新环境，也是研究创新环境的方法。RIN具有不断进化演化的特性，文章研究了RIN演化的阶段及其内涵。结果表明，将RIN的演化分为三个阶段，能够比较合理地整合理论界在RIN演化上的研究成果，也比较符合RIN发展的实际情况。共性技术可以作为政府的一种重要创新工具，其主要合作研发方式是研发联合体（RJV）。本文将研发经费投入、信息共享、RJV的稳定性三个方面联系起来分析RJV的研发机制，所建四阶段博弈模型改变了信息共享水平是外生变量的通用假设，还考虑了RIN对RJV的影响。认为在共性技术研发领域，比较宽松的专利政策，会促进公司的合作研发，有利于区域创新能力和社会福利的增强。作为一种环境的RIN对区域产业的创新模式有相当影响。本文从技术平台、创新资金、产业群聚、创新文化四个方面提炼出了RIN影响区域产业创新的10项关键要素，然后从创新途径的角度将产业创新模式分为创造新能力和创造新产业两类，研究了RIN每一种关键因素对每一类产业创新模式的影响。RIN的现有研究主要以定性研究为主，一个重要原因是缺乏能够刻画RIN根本特性的指标体系。本文从RIN创新主体间资金流的强度和协调性两个维度，设计了刻画RIN内交流强度和交流结构特征的指标体系，可以作为对RIN进行横向或纵向比较分析的一个技术平台。在创新环境对创新工具的影响方面，研究了RIN的外溢性对共性技术投入的影响，结果表明RIN会加剧共性技术研发的市场失灵。从产业创新环境和创新工具两方面研究了重庆市生物制药产业的现状，并根据调研结果和研究结论提出了优化创新环境、增强产业创新能力的政策建议。论文主要创新有：从RIN功能和结构、产业集聚、RIN边界形成等三个方面研究了RIN演化的阶段性及其内涵；从一个新的视角研究了共性技术RJV的研发机制，还考虑了RIN对RJV的影响；研究了RIN对区域产业的创新模式的影响。此外，在RIN本质属性的刻画方面、在RIN的外溢性对共性技术投入的影响方面也都做出了一些新的工作。关键词：区域创新网络，研发联合体，共性技术，产业创新英文摘要IIIABSTRACTInordertoincreasetheindustrialcreativeability,thegovernmentcanmakeeffortsfromthetwoaspects:providinggoodenvironmentforinnovationandutilizingcreativeimplementsefficiently.Intheaspectofprovidinggoodenvironmentforinnovation,theRegionalInnovationNetwork(RIN)isnotonlytheenvironmentforinnovationthatthegovernmentmustsupplyandface,butalsoanewmethodtostudytheenvironmentforinnovation.TheRINischaracterizedascontinuousevolution.Therefore,thisdissertationstudiestheevolvingstagesofRINandtheirconnotationssystematically.Theresultsshowthat,dividingtheevolutionofRINintothreestagesenablesustoneatentheresearchresultsofthetheoreticalcircleonRINevolutionreasonably,accordswiththerealsituationofRINdevelopmentandprovidesresultsforthefurtherstudyoftheevolutionofRIN.Thegeneraltechniquecanbeusedasthecreativetoolforthegovernment,anditsmaincooperationdevelopmentmethodistheResearchJointVenture(RJV).ThisdissertationstudiestheR&DmechanismofRJVfromtherelationshipofthethreeaspects,namely,theinputofresearchexpenses,informationsharesandRJVstability,andthecommonassumptionthattheinformationsharelevelchangedbytheestablishedfour-stagegametheoryistheexogenousvariable.TheinfluencesofRINonRJVarealsotakenintoconsideration.Therefore,itisthoughtthattherelativelyslackpatentpoliciescanpromotethecooperativedevelopmentofthecompanyandarebeneficialtotheimprovementoftheregionalcreativeabilityandsocialwelfare.Asakindofenvironment,RINalsoexertsgreatinfluencesonthecreativemodeoftheregionalindustry.ThisdissertationextractstenkeyelementsofRINthatinfluencetheleadingtechniqueabilityofregionalindustrycreation,fromtheaspectsoftechniqueterrace,creativefunds,industrymultitudinousnessandcreativeculture.Thenitdividesthecreativemodeoftheregionalindustryintothatofcreatingnewabilityandthatofcreatingnewindustriesfromtheangleofcreativepaths,andstudiestheinfluencesofeverykeyfactorofRINoneachindustrycreativemode.OneofthemostimportantreasonsforlimitingthecurrentstudyofRINtoqualitativeaspectisthelackofindexsystemwhichcandepicttheessentialcharacteristicsofRIN.Thispaper,fromthedimensionalityofthefundsflowingintensityandharmonybetweenRINcreativebodies,designsanindexsystemwhichcandepict重庆大学博士学位论文IVtheexchangeintensitywithinRINanditsstructuralfeaturesandcanbeusedasatechnicalterraceforanalyzingtheRINhorizontallyorlengthways.Intheaspectoftheinfluencesofcreativeenvironmentsonthecreativetools,itstudiestheeffectsofRINoverflowontheinputofgeneraltechniquesandanalyzesthereasonsfortheinadequateinputofgeneraltechniquesunderthecompletemarketenvironment.TheresultsshowthattheRINwillsaggravatethelacknessofthedevelopmentinputofgeneraltechniques.Studyingtheactualityofthebiology’sindustryinchongqingbytheinnovationenvironmentandtheinnovationtool.Putforwardthesuggestofimprovinginnovativeenvironmentandincreasingtheindustrycreativeabilityaccordingtotheresultofsurveyandconclusionofresearch.Generallyspeaking,thisdissertationshowsinnovationinthefollowingaspects:ThisdissertationstudiestheevolvingstagesofRINandtheirconnotationssystematically,fromthethreeaspectsoffunctionsandconfigurationofRIN,industrialconvergenceandtheformationofRINboundaries,andprovidesresultsforthefurtherstudyoftheevolutionofRIN.StudyingtheR&DmechanismofRJV,fromtherelationshipoftheinputofresearchexpenses,informationsharesandRJVstabilityandthecommonassumptionthattheinformationsharelevelchangedbytheestablishedfour-stagegamemodelistheexogenousvariable,andtakingtheinfluencesofRINonRJVintoconsideration,fromwhichsomenewconclusionaregot.AndstudyingtheinfluencesofRINonthecreativemodelofregionalindustryInaddition,somepioneeringworkisalsomadeintheaspectsofdepictingthecharacteristicsofRIN,theeffectsofRINoverflowontheinputofgeneraltechniques.Keywords:RegionalInnovationNetwork(RIN),ResearchJointVenture(RJV),GeneralTechniques,Industrycreation1绪论11绪论1.1研究背景及研究意义联合国认定的21世纪面临的四大问题中的第一个就是以技术创新代替资源的投入和环境的消耗来推动经济和社会的发展，创新已经是决定一个企业或者一个地区生存发展的第一问题。现在的国家与国家、地区与地区、企业与企业的竞争归根到底是创新能力的竞争。产业是国民经济中以社会分工为基础，在产品和劳务的生产经营上具有某些相同特征或同