区域科技创新与科技金融协同发展模式与机制研究
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摘要
党的十七大确立了“提高自主创新能力，建设创新型国家”的国家发展战略核心，我国《国民经济和社会发展第十二五规划纲要》中明确提出，要把科技进步和创新作为加快经济发展方式转变的重要支撑。在我国科技创新的进程中科技金融的作用日益凸显，已引起各级政府、专家学者、企业以及高校与科研院所等各方的高度重视。近年来科技部会同中国人民银行、财政部、银监会、证监会等部门先后颁布的科技金融政策文件中,大多是以促进科技创新为中心，将科技金融发展定位于为科技创新提供金融服务，着重解决科技创新成果转化与产业化环节的资金需求问题，而忽略了科技金融自身发展的需要以及科技创新与科技金融间的协同发展要求。科技创新与科技金融作为推动知识经济腾飞的“两翼”，二者协同发展则有利于知识经济持续快速增长，反之将严重制约知识经济的发展。为此揭示区域科技创新与科技金融协同发展机理，研究其协同发展模式与机制，对国家与地方推进科技创新与科技金融协同发展具有重要的理论和现实意义。
本文在对国内外科技创新与科技金融关系的相关研究进行总结归纳与评述的基础上，分析区域科技创新与科技金融相互作用机理，阐述其系统构成，并分系统的自组织特征。给出区域科技创新与科技金融系统协同发展的内涵，分析其协同发展的动力与阻力，运用系统动力学分析方法，建立其协同发展的系统动力学模型，揭示系统要素间的复杂动态关系。确定区域科技创新与科技金融系统序参量，提出其协同发展模型，建立系统协同效应的概念模型。并提出区域科技创新与科技金融协同发展核心思想与管理思路。
分析区域科技创新与科技金融发展状态，通过构建区域科技创新与科技金融协同度测度模型判断二者协同发展程度，进而判断其协同发展的主要驱动力。从协同发展驱动力与正反馈回路形成的视角，设计政府主导型、过渡型与市场主导型的区域科技创新与科技金融协同发展模式，并对三种协同发展模式进行比较。给出不同协同发展模式的选择条件和选择方法，并提出协同发展模式的转换路径。
建立区域科技创新与科技金融协同发展机制的结构模型，结合三种协同发展模式，从政府协调机制、交叉学习机制、信息共享机制和环境保障机制四个方面构建区域科技创新与科技金融协同发展机制。针对不同区域的发展状态与需要，基于有效性最大化的原则，通过对区域内科技创新主体与科技金融主体的问卷调查，运用粗糙集分析方法确定区域科技创新与科技金融各协同发展机制的优先权，为机制的建立与完善提供科学依据。
从区域科技创新与科技金融协同反馈效果以及协同发展绩效两个维度进行综合评价。利用格兰杰因果检验评价区域科技创新与科技金融协同反馈效果，采用小样本可靠的Bootstrap仿真方法，为检验提供更为精确、可靠的推断临界值。利用DEA改进方法评价区域科技创新与科技金融的协同发展绩效，通过引入决策单元的交叉评价机制，实现多个决策单元的有效排序。评价目的是为区域科技创新与科技金融协同发展模式设计与机制构建提供科学依据。
在上述研究的基础上，以黑龙江省为实证对象，从黑龙江省科技创新与科技金融的现状、科技创新与科技金融协同度测度、协同反馈效果检验、协同发展绩效评价全面分析黑龙江省科技创新与科技金融协同发展状况，进而选择并细化设计黑龙江省科技创新与科技金融协同发展模式。通过对相关主体的问卷调查，采用粗糙集分析方法确定黑龙江省科技创新与科技金融协同发展机制的构建思路与重点。并提出黑龙江省科技创新与科技金融协同发展的对策建议。
本文对区域科技创新与科技金融协同发展机理、协同发展模式、协同发展机制及评价模型的理论与实证研究，可为我国各省市科技创新与科技金融持续快速发展提供理论指导与方法支持。
The17th National Congress of the Communist Party of China hasestablished self-innovation ability improvement and innovative state constructionas the core of national development strategies. The Outline of the Twelfth FiveYear Plan for China Economic and Social Development has pointed out thatshould take scientific progression and scientific technique innovation as thesupport of the transformation of economic development modes. The role ofscience and technology (sci-tech) finance has been increasingly obvious in thesci-tech innovation process in China, and attracted high attention of governmentsat all levels, scholars, enterprises, universities, research institutes etc. TheMinistry of Science and Technology cooperated with the People’s Bank of China,the Ministry of Finance, China Banking Regulatory Commission and ChinaSecurities Regulatory Commission has issued policy papers about sci-techfinance. However, the policies of promoting sci-tech innovation and sci-techfinance usually take sci-tech innovation as center and locate sci-tech finance asthe financial service tool for innovation, and aim to resolve the fund needs ofsci-tech achievements transformation and industrialization, while ignore thedemand of sci-tech finance self-development and the need of coordinateddevelopment between sci-tech innovation and sci-tech finance. Sci-techinnovation and sci-tech finance as the joint promoting forces of knowledgeeconomy, their coordinated development is benefit for the sustainable and rapidgrowth of knowledge economy, and vice versa. Therefore, this dissertationreveals the coordinated development principle between regional sci-techinnovation and sci-tech finance, studies the coordinated development models and mechanisms. The research has great theoretical and practical significance for ourcountry and regions to promote the coordinated development of sci-techinnovation and sci-tech finance.
On the basis of analysis and review of foreign and domestic related researchon the relationship between sci-tech innovation and sci-tech finance, thisdissertation analyzes the interaction principle between regional sci-techinnovation and sci-tech finance system, then describes their composition andanalyzes self-organization characteristics of regional sci-tech innovation andsci-tech finance system. Meanwhile, it gives the connotation of coordinateddevelopment, analyzes the motility and resistance of their coordinateddevelopment, establishes the coordinated development system dynamics modelbetween sci-tech innovation and sci-tech finance, and reveals the complexdynamic relationship among the elements of regional sci-tech innovation andsci-tech finance system. It determines the order parameters of the system,proposes the coordinated development model, and then constructs the coordinatedeffect concept model. After that, it puts forward the core ideas and managementthought of coordinated development between regional sci-tech innovation andsci-tech finance.
The dissertation analyzes the developing state of regional sci-techinnovation and sci-tech finance, and judges the coordinated development degreeby coordinated degree measuring model constructed in this dissertation, andfurther determines the main driving forces for coordinated development betweenregional sci-tech innovation and sci-tech finance. It designs coordinateddevelopment models including government-oriented type and transitional type aswell as market-oriented type from the perspective of driving forces and positivefeedback loops, and then compares the three different coordinated developmentmodels. The dissertation gives the selecting conditions and methods forcoordinated development models, and puts forward its transforming path betweenthe different models.
This dissertation establishes the structure model for coordinateddevelopment mechanisms between regional sci-tech innovation and sci-techfinance. Combined with three coordinated development models, it constructs thecoordinated development mechanisms between regional sci-tech innovation and sci-tech finance, which includes government coordinating mechanism and crosslearning mechanism as well as information sharing mechanism andenvironmental guarantee mechanism. According to the developing states anddemands of different regions, based on effectiveness maximization principle, ituses rough set method to determine the priorities of coordinating mechanisms byquestionnaire investigation for sci-tech innovation subjects and sci-tech financesubjects. The method can provide scientific basis for establishment and perfectionof coordinated development mechanisms.
From the two dimensions of coordinated feedback effects and coordinateddevelopment performance between regional sci-tech innovation and sci-techfinance, this dissertation makes comprehensive evaluation. Firstly, it usesGranger causality analysis method to test the coordinated feedback effectsbetween regional sci-tech innovation and sci-tech finance, and uses the bootstrapsimulation technique with high reliability of small sample size to provideaccurate and reliable inference critical values. Secondly, it uses DEAimprovement method to evaluate the coordinated development performance ofsci-tech innovation and sci-tech finance in different regions, and introducescross-evaluation mechanism to realize effective sorting of decision making units.The evaluation purpose is to provide scientific basis for the design of coordinateddevelopment model and construction of coordinated development mechanisms.
Based on the above research, this dissertation takes Heilongjiang province asempirical research object, analyzes the operation state of sci-tech innovation andsci-tech finance in Heilongjiang including the state of sci-tech innovation andsci-tech finance, coordinated degree, coordinated feedback effects, coordinateddevelopment performance, and then it selects and designs in detail thecoordinated development model for Heilongjiang. Through questionnaireinvestigation for related subjects, it determines the construction approaches andemphasis of coordinated development mechanisms for Heilongjiang using roughset method, and puts forward countermeasures of coordinated developmentbetween sci-tech innovation and sci-tech finance for Heilongjiang.
The theoretical and empirical research on the coordinated developmentprinciple, model, mechanism and evaluation models can offer advantageoustheory guidance and scientific method support for sustainable and rapid growth of sci-tech innovation and sci-tech finance in provinces and cities.
本文在对国内外科技创新与科技金融关系的相关研究进行总结归纳与评述的基础上，分析区域科技创新与科技金融相互作用机理，阐述其系统构成，并分系统的自组织特征。给出区域科技创新与科技金融系统协同发展的内涵，分析其协同发展的动力与阻力，运用系统动力学分析方法，建立其协同发展的系统动力学模型，揭示系统要素间的复杂动态关系。确定区域科技创新与科技金融系统序参量，提出其协同发展模型，建立系统协同效应的概念模型。并提出区域科技创新与科技金融协同发展核心思想与管理思路。
分析区域科技创新与科技金融发展状态，通过构建区域科技创新与科技金融协同度测度模型判断二者协同发展程度，进而判断其协同发展的主要驱动力。从协同发展驱动力与正反馈回路形成的视角，设计政府主导型、过渡型与市场主导型的区域科技创新与科技金融协同发展模式，并对三种协同发展模式进行比较。给出不同协同发展模式的选择条件和选择方法，并提出协同发展模式的转换路径。
建立区域科技创新与科技金融协同发展机制的结构模型，结合三种协同发展模式，从政府协调机制、交叉学习机制、信息共享机制和环境保障机制四个方面构建区域科技创新与科技金融协同发展机制。针对不同区域的发展状态与需要，基于有效性最大化的原则，通过对区域内科技创新主体与科技金融主体的问卷调查，运用粗糙集分析方法确定区域科技创新与科技金融各协同发展机制的优先权，为机制的建立与完善提供科学依据。
从区域科技创新与科技金融协同反馈效果以及协同发展绩效两个维度进行综合评价。利用格兰杰因果检验评价区域科技创新与科技金融协同反馈效果，采用小样本可靠的Bootstrap仿真方法，为检验提供更为精确、可靠的推断临界值。利用DEA改进方法评价区域科技创新与科技金融的协同发展绩效，通过引入决策单元的交叉评价机制，实现多个决策单元的有效排序。评价目的是为区域科技创新与科技金融协同发展模式设计与机制构建提供科学依据。
在上述研究的基础上，以黑龙江省为实证对象，从黑龙江省科技创新与科技金融的现状、科技创新与科技金融协同度测度、协同反馈效果检验、协同发展绩效评价全面分析黑龙江省科技创新与科技金融协同发展状况，进而选择并细化设计黑龙江省科技创新与科技金融协同发展模式。通过对相关主体的问卷调查，采用粗糙集分析方法确定黑龙江省科技创新与科技金融协同发展机制的构建思路与重点。并提出黑龙江省科技创新与科技金融协同发展的对策建议。
本文对区域科技创新与科技金融协同发展机理、协同发展模式、协同发展机制及评价模型的理论与实证研究，可为我国各省市科技创新与科技金融持续快速发展提供理论指导与方法支持。
The17th National Congress of the Communist Party of China hasestablished self-innovation ability improvement and innovative state constructionas the core of national development strategies. The Outline of the Twelfth FiveYear Plan for China Economic and Social Development has pointed out thatshould take scientific progression and scientific technique innovation as thesupport of the transformation of economic development modes. The role ofscience and technology (sci-tech) finance has been increasingly obvious in thesci-tech innovation process in China, and attracted high attention of governmentsat all levels, scholars, enterprises, universities, research institutes etc. TheMinistry of Science and Technology cooperated with the People’s Bank of China,the Ministry of Finance, China Banking Regulatory Commission and ChinaSecurities Regulatory Commission has issued policy papers about sci-techfinance. However, the policies of promoting sci-tech innovation and sci-techfinance usually take sci-tech innovation as center and locate sci-tech finance asthe financial service tool for innovation, and aim to resolve the fund needs ofsci-tech achievements transformation and industrialization, while ignore thedemand of sci-tech finance self-development and the need of coordinateddevelopment between sci-tech innovation and sci-tech finance. Sci-techinnovation and sci-tech finance as the joint promoting forces of knowledgeeconomy, their coordinated development is benefit for the sustainable and rapidgrowth of knowledge economy, and vice versa. Therefore, this dissertationreveals the coordinated development principle between regional sci-techinnovation and sci-tech finance, studies the coordinated development models and mechanisms. The research has great theoretical and practical significance for ourcountry and regions to promote the coordinated development of sci-techinnovation and sci-tech finance.
On the basis of analysis and review of foreign and domestic related researchon the relationship between sci-tech innovation and sci-tech finance, thisdissertation analyzes the interaction principle between regional sci-techinnovation and sci-tech finance system, then describes their composition andanalyzes self-organization characteristics of regional sci-tech innovation andsci-tech finance system. Meanwhile, it gives the connotation of coordinateddevelopment, analyzes the motility and resistance of their coordinateddevelopment, establishes the coordinated development system dynamics modelbetween sci-tech innovation and sci-tech finance, and reveals the complexdynamic relationship among the elements of regional sci-tech innovation andsci-tech finance system. It determines the order parameters of the system,proposes the coordinated development model, and then constructs the coordinatedeffect concept model. After that, it puts forward the core ideas and managementthought of coordinated development between regional sci-tech innovation andsci-tech finance.
The dissertation analyzes the developing state of regional sci-techinnovation and sci-tech finance, and judges the coordinated development degreeby coordinated degree measuring model constructed in this dissertation, andfurther determines the main driving forces for coordinated development betweenregional sci-tech innovation and sci-tech finance. It designs coordinateddevelopment models including government-oriented type and transitional type aswell as market-oriented type from the perspective of driving forces and positivefeedback loops, and then compares the three different coordinated developmentmodels. The dissertation gives the selecting conditions and methods forcoordinated development models, and puts forward its transforming path betweenthe different models.
This dissertation establishes the structure model for coordinateddevelopment mechanisms between regional sci-tech innovation and sci-techfinance. Combined with three coordinated development models, it constructs thecoordinated development mechanisms between regional sci-tech innovation and sci-tech finance, which includes government coordinating mechanism and crosslearning mechanism as well as information sharing mechanism andenvironmental guarantee mechanism. According to the developing states anddemands of different regions, based on effectiveness maximization principle, ituses rough set method to determine the priorities of coordinating mechanisms byquestionnaire investigation for sci-tech innovation subjects and sci-tech financesubjects. The method can provide scientific basis for establishment and perfectionof coordinated development mechanisms.
From the two dimensions of coordinated feedback effects and coordinateddevelopment performance between regional sci-tech innovation and sci-techfinance, this dissertation makes comprehensive evaluation. Firstly, it usesGranger causality analysis method to test the coordinated feedback effectsbetween regional sci-tech innovation and sci-tech finance, and uses the bootstrapsimulation technique with high reliability of small sample size to provideaccurate and reliable inference critical values. Secondly, it uses DEAimprovement method to evaluate the coordinated development performance ofsci-tech innovation and sci-tech finance in different regions, and introducescross-evaluation mechanism to realize effective sorting of decision making units.The evaluation purpose is to provide scientific basis for the design of coordinateddevelopment model and construction of coordinated development mechanisms.
Based on the above research, this dissertation takes Heilongjiang province asempirical research object, analyzes the operation state of sci-tech innovation andsci-tech finance in Heilongjiang including the state of sci-tech innovation andsci-tech finance, coordinated degree, coordinated feedback effects, coordinateddevelopment performance, and then it selects and designs in detail thecoordinated development model for Heilongjiang. Through questionnaireinvestigation for related subjects, it determines the construction approaches andemphasis of coordinated development mechanisms for Heilongjiang using roughset method, and puts forward countermeasures of coordinated developmentbetween sci-tech innovation and sci-tech finance for Heilongjiang.
The theoretical and empirical research on the coordinated developmentprinciple, model, mechanism and evaluation models can offer advantageoustheory guidance and scientific method support for sustainable and rapid growth of sci-tech innovation and sci-tech finance in provinces and cities.
引文
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