产业集聚对区域技术创新的影响：理论、机理与实证研究
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摘要
技术创新很大程度上是工业文明的产物。随着工业空间集聚趋势的不断显现,工业空间结构模式的变化可能对一个地区的创新能力具有重要影响作用。本文将利用现代经济分析方法,分别从需求与供给的视角研究产业集聚对区域创新可能施加的影响机制与模式,并分别以技术效率、专利申请指标以及Malmquist指数衡量技术创新,系统检验产业集聚对区域创新的影响机制。在此基础上,为我国的工业与创新布局、国家及地区创新战略等当前紧迫的问题提出若干对策与建议。
论文基本内容安排如下。
第一部分提出问题与文献回顾,包括论文中第1、2章。第1章主要介绍论文研究的背景、目的与意义;论文研究的基本思路与研究框架设计;论文主要内容、结论,创新与不足之处。第2章对产业集聚的两个研究范式的相关研究、区域创新以及产业集聚对区域技术创新影响方面研究进行简要的梳理,寻找论文研究的切入点。
第二部分是理论模块,包括论文的第3、4章。第3章将从需求视角出发,运用垄断竞争模型,在一个三部门框架下研究不同产业布局下创新的集聚形成,以及不同参数变化对创新空间集聚特征的影响。第4章将从供给视角出发,着重研究集聚的三种模式:专业化、多样化以及城市对区域创新的影响机理。
第三部分为实证研究部分,包括论文的第5、6、7章。第5章以浙江省甬台温大部分低压电器类企业为研究对象,利用随机前沿分析法检验集群对企业技术效率的影响。第6章是基于专利指标的实证研究。将分别做专利申请总量以及所包括的发明、实用新型与外观设计三类型专利申请对专业化、多样化、城市发展水平以及城市发展与二者的交互项的回归,具体检验产业集聚各要素对区域创新的影响。第7章是基于Malmquist指数的实证研究。利用DEA方法测算我国19个二位数行业30个省区的Malmquist指数,将其分解为技术效率与技术进步两方面,反映技术创新。分别将各二位数行业的全要素生产率、技术效率与技术进步指数对该行业的专业化程度、多样化程度以及波特的竞争效应进行回归,分析不同行业条件下,专业化、多样化与竞争效应对行业全要素生产率、技术效率与技术进步的影响差异及其原因。
第四部分是论文的第8章,结论及其启示。对全文研究结论进行概括提炼,针对我国的工业与创新空间布局,区域创新战略等提出相应思路与建议。
论文的主要结论是:(1)无论制造业处于集聚状态还是分散状态,当创新的交易费用满足一定条件时,创新均可能集聚在一个地区。(2)总体看,专业化对技术创新显示出一定的积极影响。随机前沿回归分析表明,集群内企业的确表现出了较高的技术效率;以专利指标为被解释变量的研究表明,我国各省区专业化对总的专利申请量、发明、实用新型以及外观设计都有显著的积极影响;基于分行业Malmquist指数回归结果虽总体表明专业化对生产率提高有一定积极作用,但并未发现专业化对所有二位数行业的全要素生产率具有显著积极影响。而且论文发现,专业化更有利于促进行业技术效率提高,而不太有利于促进行业技术进步。(3)多样化对总专利申请量、发明与实用新型专利申请量均有积极意义,但对外观设计影响不显著。分行业的Malmquist指数回归表明多样化对不少行业生产率有正影响,但没有发现传统行业或是高新技术行业的多样化对全要素生产率、技术效率与技术进步有显著一致的影响模式。(4)专利申请的一系列回归表明,城市发展对区域创新也有比较积极的促进作用,但不同的城市发展考量方法导致分析结果有一定差异。以城镇就业占总就业的比例衡量的城市发展水平对总专利申请量、发明与实用新型类专利申请量都有显著促进作用,但对外观设计影响不显著。从分类规模城市来看,大规模城市对区域创新有显著影响,但中等规模城市影响不显著;另外,专业化与城市发展交互性对区域专利申请没有肯定的促进效应,而多样化与城市发展的交互作用对区域专利申请有比较显著的积极作用。
主要有以下几点启示:(1)新形势下应着力打造以沿海地区为创新集聚中心与龙头,普通制造业适度分散的区域工业布局与创新格局。将地区间协调发展与实现领先地区的优势功能统一起来。(2)地方政府有必要构建一套高效的区域创新系统。在专业化集聚产业区发展基础上,充分利用城市的轴心功能,构建多样化产业协同发展的区域创新模式,充分发挥专业化、多样化与城市协同作用,提高区域创新能力。(3)应重新审视我国工业布局与区域创新关系。虽然集聚一定,程度能带来创新方面的优势,但集聚本身并非一定导致相对更高的区域创新能力或生产率,而是受诸多因素影响。
Technological Innovation is to a large extent the derivations of industry civilization.With the emerging spatial agglomeration of industries,the change of spatial pattern of industries will probably influence the regional innovating capability. This dissertation would analyze the effects of industry agglomeration on regional innovation from the perspective of demand and supply by using modern economic methodology.Then Technical Efficiency,patent application and Malmquist Index will be employed to measure innovation followed by systematic tests of effects of industry agglomeration on regional innovation.On these bases,some illuminations and countermeasures will be put up toward the pressing topic such as distribution of industry and innovation,the strategies of national and regional innovation,etc.
The dissertation can be divided into four sections.
Section 1,including chapter 1 and chapter 2,puts forward the base of this research.Chapter 1 mainly introduces the background,objectives and purport of this thesis,delineates the clues and research framework,and present the main contents and conclusions,innovating points and defects of the whole work chapter 2 will make a summarizing retrospect on the relevant researches of industry agglomeration,regional innovation,and especially the effect of industry agglomeration on regional technological innovation,and then we will find the interesting points of this paper.
Section 2 is theoretical module which includes chapter 3 and 4.Chapter 3 will use S-D-S model to explore the formation of spatial agglomeration of innovation under different industry distribution through a three-sector framework,and analyze the influences of change in parameters on the spatial agglomeration of innovation. Chapter 4 will be devoted to studying,from the perspective of innovation supply,the three main forces of agglomeration like specialization,diversification and urban developments and their roles on regional innovating capabilities.
Section 3,including chapter 5,6,7,endeavor to make empirical analysis.The fifth chapter will use stochastic frontier analysis to test the influences of clusters on firm,s Technical Efficiency based on the sample extracted from Yong-Tai-Wen region of Zhejiang Province.The sixth chapter will use patent application data to regress total patent applications,inventions,utility models and designs on specialization, diversity and urban development and their interactive terms to examine their effects on regional innovation.The seventh chapter will use Malmquist index to make empirical studies.DEA will be used to compute the productivities of 19 two digit industries in 30 provincial regions to reflect technological innovation level indirectly. The regressions of them on specialization,diversity and competitive effects for every industry will also be carried out to examine and explain the influences of them on differences in productivity across provinces.
The fourth section,chapter 8,is directed for conclusions and illuminations.We will refine the conclusions of the whole dissertation and bring forward countermeasures toward Chinese optimum spatial distribution of industries and innovation,regional innovation strategies.
The main conclusions includes:(1) The equilibrium of innovation agglomeration will exist regardless of the distribution of industry if transaction costs of innovation meet some conditions.(2) The specialization has basically positive influences on regional technological innovation.The stochastic frontier analysis shows that firms in clusters really perform better in technical efficiency than other firms which locates outside clusters.Regressions based on patent applications show that the specialization level in each province influence positively the total patent applications,inventions, utility model and designs significantly.However,the empirical results based on Malmquist Index don't find the specialization imposes positive effects on all two-digit industries although it really has some active roles as a whole.Furthermore,the author finds that specialization makes more contribution to improvement of Technique Efficiency than that of Technology Change for some industries.(3) Diversity plays a significant active role in the amount of total patent applications,inventions,utility model except designs.The empirical results based on Malmquist index indicate that diversity can promote productivities of some industries significantly,but the author doesn't find the diversity has systematic pattern in terms of the influences on Total Factor Productivity,Technical Efficiency and Technology Progress for either traditional industry or high-tech industries.(4) Regressions based on patent applications show that urban development can also promote regional innovation,but the two different measures may lead to differences in regression outcomes.When measuring urban development by the ratio of amount of urban employment to total number,the urban development will enhance the level of total patent application, inventions and utility model significantly except patent applications of design.When measuring urban development by number of different scale cities,the results indicate that large scale cities have positive effects on regional innovation while the number of medium-sized cities seems to play an insignificant role.In addition,the interactive term between specialization and urban development doesn't have positive influences on regional patent application,but the interactive term between diversity and urban development shows significant positive influences on regional patent applications.
The main illuminations include:(1)The spatial pattern that innovation agglomerates in coastal regions while general manufacturing industries scatter around all regions might be a reasonable distribution model.This could reconcile the balanced cross-regional development to realization of advantage of leading regions.(2) The local government should be committed to forging a highly effective regional innovation system comprising specialized industrial districts,diversified industries and developed cities,enhance regional innovating capabilities by exerting the collaborating functions of specialization,diversity and cities.(3) It is recommended that we should reconsider the relationship between industry distribution and regional innovation.Although industry agglomeration can bring some advantages for regional innovation,it doesn't mean that agglomeration will definitely lead to higher regional innovating capabilities or productivities because its role is contingent on other conditions.
论文基本内容安排如下。
第一部分提出问题与文献回顾,包括论文中第1、2章。第1章主要介绍论文研究的背景、目的与意义;论文研究的基本思路与研究框架设计;论文主要内容、结论,创新与不足之处。第2章对产业集聚的两个研究范式的相关研究、区域创新以及产业集聚对区域技术创新影响方面研究进行简要的梳理,寻找论文研究的切入点。
第二部分是理论模块,包括论文的第3、4章。第3章将从需求视角出发,运用垄断竞争模型,在一个三部门框架下研究不同产业布局下创新的集聚形成,以及不同参数变化对创新空间集聚特征的影响。第4章将从供给视角出发,着重研究集聚的三种模式:专业化、多样化以及城市对区域创新的影响机理。
第三部分为实证研究部分,包括论文的第5、6、7章。第5章以浙江省甬台温大部分低压电器类企业为研究对象,利用随机前沿分析法检验集群对企业技术效率的影响。第6章是基于专利指标的实证研究。将分别做专利申请总量以及所包括的发明、实用新型与外观设计三类型专利申请对专业化、多样化、城市发展水平以及城市发展与二者的交互项的回归,具体检验产业集聚各要素对区域创新的影响。第7章是基于Malmquist指数的实证研究。利用DEA方法测算我国19个二位数行业30个省区的Malmquist指数,将其分解为技术效率与技术进步两方面,反映技术创新。分别将各二位数行业的全要素生产率、技术效率与技术进步指数对该行业的专业化程度、多样化程度以及波特的竞争效应进行回归,分析不同行业条件下,专业化、多样化与竞争效应对行业全要素生产率、技术效率与技术进步的影响差异及其原因。
第四部分是论文的第8章,结论及其启示。对全文研究结论进行概括提炼,针对我国的工业与创新空间布局,区域创新战略等提出相应思路与建议。
论文的主要结论是:(1)无论制造业处于集聚状态还是分散状态,当创新的交易费用满足一定条件时,创新均可能集聚在一个地区。(2)总体看,专业化对技术创新显示出一定的积极影响。随机前沿回归分析表明,集群内企业的确表现出了较高的技术效率;以专利指标为被解释变量的研究表明,我国各省区专业化对总的专利申请量、发明、实用新型以及外观设计都有显著的积极影响;基于分行业Malmquist指数回归结果虽总体表明专业化对生产率提高有一定积极作用,但并未发现专业化对所有二位数行业的全要素生产率具有显著积极影响。而且论文发现,专业化更有利于促进行业技术效率提高,而不太有利于促进行业技术进步。(3)多样化对总专利申请量、发明与实用新型专利申请量均有积极意义,但对外观设计影响不显著。分行业的Malmquist指数回归表明多样化对不少行业生产率有正影响,但没有发现传统行业或是高新技术行业的多样化对全要素生产率、技术效率与技术进步有显著一致的影响模式。(4)专利申请的一系列回归表明,城市发展对区域创新也有比较积极的促进作用,但不同的城市发展考量方法导致分析结果有一定差异。以城镇就业占总就业的比例衡量的城市发展水平对总专利申请量、发明与实用新型类专利申请量都有显著促进作用,但对外观设计影响不显著。从分类规模城市来看,大规模城市对区域创新有显著影响,但中等规模城市影响不显著;另外,专业化与城市发展交互性对区域专利申请没有肯定的促进效应,而多样化与城市发展的交互作用对区域专利申请有比较显著的积极作用。
主要有以下几点启示:(1)新形势下应着力打造以沿海地区为创新集聚中心与龙头,普通制造业适度分散的区域工业布局与创新格局。将地区间协调发展与实现领先地区的优势功能统一起来。(2)地方政府有必要构建一套高效的区域创新系统。在专业化集聚产业区发展基础上,充分利用城市的轴心功能,构建多样化产业协同发展的区域创新模式,充分发挥专业化、多样化与城市协同作用,提高区域创新能力。(3)应重新审视我国工业布局与区域创新关系。虽然集聚一定,程度能带来创新方面的优势,但集聚本身并非一定导致相对更高的区域创新能力或生产率,而是受诸多因素影响。
Technological Innovation is to a large extent the derivations of industry civilization.With the emerging spatial agglomeration of industries,the change of spatial pattern of industries will probably influence the regional innovating capability. This dissertation would analyze the effects of industry agglomeration on regional innovation from the perspective of demand and supply by using modern economic methodology.Then Technical Efficiency,patent application and Malmquist Index will be employed to measure innovation followed by systematic tests of effects of industry agglomeration on regional innovation.On these bases,some illuminations and countermeasures will be put up toward the pressing topic such as distribution of industry and innovation,the strategies of national and regional innovation,etc.
The dissertation can be divided into four sections.
Section 1,including chapter 1 and chapter 2,puts forward the base of this research.Chapter 1 mainly introduces the background,objectives and purport of this thesis,delineates the clues and research framework,and present the main contents and conclusions,innovating points and defects of the whole work chapter 2 will make a summarizing retrospect on the relevant researches of industry agglomeration,regional innovation,and especially the effect of industry agglomeration on regional technological innovation,and then we will find the interesting points of this paper.
Section 2 is theoretical module which includes chapter 3 and 4.Chapter 3 will use S-D-S model to explore the formation of spatial agglomeration of innovation under different industry distribution through a three-sector framework,and analyze the influences of change in parameters on the spatial agglomeration of innovation. Chapter 4 will be devoted to studying,from the perspective of innovation supply,the three main forces of agglomeration like specialization,diversification and urban developments and their roles on regional innovating capabilities.
Section 3,including chapter 5,6,7,endeavor to make empirical analysis.The fifth chapter will use stochastic frontier analysis to test the influences of clusters on firm,s Technical Efficiency based on the sample extracted from Yong-Tai-Wen region of Zhejiang Province.The sixth chapter will use patent application data to regress total patent applications,inventions,utility models and designs on specialization, diversity and urban development and their interactive terms to examine their effects on regional innovation.The seventh chapter will use Malmquist index to make empirical studies.DEA will be used to compute the productivities of 19 two digit industries in 30 provincial regions to reflect technological innovation level indirectly. The regressions of them on specialization,diversity and competitive effects for every industry will also be carried out to examine and explain the influences of them on differences in productivity across provinces.
The fourth section,chapter 8,is directed for conclusions and illuminations.We will refine the conclusions of the whole dissertation and bring forward countermeasures toward Chinese optimum spatial distribution of industries and innovation,regional innovation strategies.
The main conclusions includes:(1) The equilibrium of innovation agglomeration will exist regardless of the distribution of industry if transaction costs of innovation meet some conditions.(2) The specialization has basically positive influences on regional technological innovation.The stochastic frontier analysis shows that firms in clusters really perform better in technical efficiency than other firms which locates outside clusters.Regressions based on patent applications show that the specialization level in each province influence positively the total patent applications,inventions, utility model and designs significantly.However,the empirical results based on Malmquist Index don't find the specialization imposes positive effects on all two-digit industries although it really has some active roles as a whole.Furthermore,the author finds that specialization makes more contribution to improvement of Technique Efficiency than that of Technology Change for some industries.(3) Diversity plays a significant active role in the amount of total patent applications,inventions,utility model except designs.The empirical results based on Malmquist index indicate that diversity can promote productivities of some industries significantly,but the author doesn't find the diversity has systematic pattern in terms of the influences on Total Factor Productivity,Technical Efficiency and Technology Progress for either traditional industry or high-tech industries.(4) Regressions based on patent applications show that urban development can also promote regional innovation,but the two different measures may lead to differences in regression outcomes.When measuring urban development by the ratio of amount of urban employment to total number,the urban development will enhance the level of total patent application, inventions and utility model significantly except patent applications of design.When measuring urban development by number of different scale cities,the results indicate that large scale cities have positive effects on regional innovation while the number of medium-sized cities seems to play an insignificant role.In addition,the interactive term between specialization and urban development doesn't have positive influences on regional patent application,but the interactive term between diversity and urban development shows significant positive influences on regional patent applications.
The main illuminations include:(1)The spatial pattern that innovation agglomerates in coastal regions while general manufacturing industries scatter around all regions might be a reasonable distribution model.This could reconcile the balanced cross-regional development to realization of advantage of leading regions.(2) The local government should be committed to forging a highly effective regional innovation system comprising specialized industrial districts,diversified industries and developed cities,enhance regional innovating capabilities by exerting the collaborating functions of specialization,diversity and cities.(3) It is recommended that we should reconsider the relationship between industry distribution and regional innovation.Although industry agglomeration can bring some advantages for regional innovation,it doesn't mean that agglomeration will definitely lead to higher regional innovating capabilities or productivities because its role is contingent on other conditions.
引文
[1]本部分内容的主要部分发表于《经济评论》2006年第1期。
[1]为表述简便,下文将制造业生产者、制造业生产者生产的制造业产品、创新产品生产者、创新产品分别表述为“生产者”、“制造品”、“创新者”、“创新”。
[2]威廉姆森,资本主义经济制度--论企业签约与市场签约(中译本)[M],北京:商务印书馆,2002,p10-11.
[1]M.Porter.Location,competition and economic development:Local clusters in a global economy.Economic Development Quarterly,2000,vol 14,pp 15-20.
[2]魏江,小企业集群创新网络的知识溢出效应分析,科研管理,2003年第四期。
[1]Imai K.and Baba Y.,(1989),Systemic Innovation and Cross -Border Networks:TranscendingMarkets and Hierarchies to create a new techno - economic system,OECD,Conference on Science technology and Economic Growth[C],Paris
[1]盖文启,创新网络--区域经济发展新思维,北京大学出版社,2002。
[1]朱华晟,浙江产业群:产业网络、成长轨迹与发展动力,浙江大学出版社,2003。
[1]M.Porter.Location,competition and economic development:Local clusters in a global economy.Economic Development Quarterly,2000,vol 14,pp15-20.
[2]Dietzenbacher,Spillovers of Innovation Effects,Journal of Policy Modeling,2000,22(1):27-42.
21 本部分主要内容发表于数量经济技术经济研究2008年11期。
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