河南省科技创新能力评价研究
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摘要
在区域经济面临激烈竞争与角逐的形势下,区域创新系统成为提高区域经济增长、提升产业整体竞争力的关键,区域科技创新能力作为区域技术创新系统功能发挥程度的反映,是支撑区域经济增长和竞争的决定性因素,区域科技创新能力的评价是监测地区科技创新工作实施效果的工具,科学、客观地评价区域科技创新能力,分析其发展变化规律,是政府制定区域发展战略的重要前提,也是对区域进行宏观调控与管理的重要依据。本文从河南实现向农业强省和工业强省跨越及中原崛起的区域发展战略目标对科技创新能力的需求出发,在对区域创新能力研究现状进行综述的基础上,针对现有研究的不足,运用科技创新系统相关理论构建了双向动态可循环评价模型,采用非线性加权、主成分分析、聚类分析等方法,对河南科技创新综合能力、大中型工业企业、省辖市科技创新能力展开多层次、动态评价,既有评价模型及指标的构建,又有实证研究。
本文首先对创新理论、区域科技创新理论及科技创新能力评价进行了回顾与综述。国内外学者从系统论、要素主体论、网络论三个角度对区域科技创新系统的概念和内涵进行了研究,界定了区域科技创新能力的内涵与组成,并从国家、区域和企业三个层面对区域科技创新能力进行评价,建立了多种不同的评价指标体系。本论文从区域科技创新的系统论和要素主体论出发,认为区域科技创新能力是区域创新环境、创新投入、创新绩效三要素相互作用、相互促进的系统,通过构建反映创新能力三要素及其相互关系的区域科技创新能力评价系统,以政府(省、市两级)和企业两个主体为对象来研究区域科技创新能力的评价与提升。
国内学者正在尝试了采用不同的评价体系和评价方法对不同区域(省市)的科技创新能力进行评价。但从已建立的各种评价体系来看,主要以反映某一时点区域科技创新能力的静态现状为主,缺乏动态、可持续反映区域科技创新能力变化状况的指标体系,且评价指标间相互孤立,不能很好的反映创新能力要素间的互动关系。本文基于区域科技创新能力评价的可拓展性特点,在反映区域创新主体和要素关联性基础上,从投入产出视角,构建了反映创新环境、创新投入和创新绩效三要素动态双向可循环关系的评价模型,以动态、可持续的对区域科技创新能力进行评价,生动体现创新要素推动区域科技创新能力动态提升。
依据区域科技创新能力动态评价模型,结合以往研究的成果及河南的实际情况,遵循科学性与现实性、系统性、可操作性、可比性和动态连续性的原则,设计了评价指标体系,整理和加工最近9年相关科技统计数据,运用非线性加权综合评价方法,对河南科技创新综合能力进行了实证分析。河南科技创新综合能力总体趋势是上升的,其非线性动态提升是科技创新投入和科技创新绩效与科技创新环境相互作用,共同促进的结果。其中,信息环境及创新绩效对河南科技创新贡献较大,但科技环境和教育环境较差,政府投入严重不足,企业投入不稳定,对河南科技创新能力的提升有很大的制约作用。
企业是科学技术创新的主体,本论文在评价河南科技创新综合能力之后,依据区域科技创新能力动态评价模型,构建了大中型工业企业科技创新能力评价指标体系,实证分析了河南大中型工业企业的科技创新能力。自2002年以来,大中型工业企业的发展经历了一个较为稳定的增长期,也是企业科技创新能力提升的黄金时期,但与发达地区相比仍有差距,企业创新的突出问题主要表现在三个方面,一是企业研发人员不足且流失严重；二是企业设备投资增长缓慢,创新主体地位不突出；三是企业研发筹资额中财政资金与贷款比例不断下降,筹资渠道较为单一
对河南省辖18地市的科技创新能力进定量评估、定性分析,为河南制定科技创新的地市推进次序和优先发展区域提供参考依据。本文根据区域科技创新能力动态评价模型,结合相关文献及专家咨询意见,构建评价指标体系,搜集地市相关科技统计数据,运用主成分分析和SPSS统计软件计算18地市科技创新能力评价值,并运用聚类分析方法,对18地市科技创新能力进行排名。省辖市科技创新能力呈现明显差异性且科技创新整体实力较弱。科技创新能力较强的郑州、洛阳与信阳、驻马店和周口等豫东和豫南地市科技创新能力差距较大,省辖市科技创新能力综合评价值普遍较低,科技创新能力提升之路较长。
根据实证研究结果,分别就提升河南省及其大中型工业企业、18地市科技创新能力提出对策。针对河南省科技创新存在的环境与投入问题,提出了搭建创新平台,实施重大专项,发展高等教育,建立创新投入新体系等建议,以优化政策环境和教育环境,保障创新投入。针对大中型工业企业科技创新存在的问题,提出了建立有效的科技人才机制、科技创新机制、科技投融资体制,以解决企业研发人员不足、主体地位不突出与筹资渠道单一等问题,针对18地市科技创新出现的差异性及整体实力弱的问题,提出了重视科技创新、服务科技创新、发展科技创新的建议,助推地市科技创新能力整体提升,协调发展。
At the situation of regional economy is facing more and more fierce competition, the regional innovation system is a key factor of enhancing the growth of the regional economic and improving the overall competitiveness of the industries. The regional scientific and technological innovation capability is a decisive factor of supporting regional economic growth and competitiveness, which is also reflecting the development level of the regional technology innovation systems. Evaluating regional scientific and technological innovation capability is a tool of monitoring the implementation effects on the regional scientific and technological innovation. Scientificly and objectivly evaluates the regional scientific and technological innovation capability and analyses the law of the development is an important basis for the government to develop regional development strategy, and also is an important basis for government to regulate and manage the regions.The paper firstly reviews the existing researches on the regional scientific and technological innovation capability, based on the defects of the existing researches, the paper secondly builds a model of two-way dynamic evaluation which can be recycled, using the methods of non-linear weighted, principal component analysis, clustering and other methods to evaluate the science and technology Innovation comprehensive capabilities of Henan province and the capabilities of medium-sized industrial enterprises, the scientific and technological innovation in the provincial cities. Evaluation models and empirical studies all have been included in this paper.
The paper firstly reviewed and summarized the existing researches of innovative theory, regional science and technology innovation theory, scientific and technological innovation capabilities. The domestic and foreign scholars studied the concept of regional technology innovation system from the perspectives of system theory, the main elements theory and network theory, defined the content and the composition of the regional scientific and technological innovation capability, evaluated the regional scientific and technological innovation capability from the point of the national level, the regional level and the enterprise level, built a variety of evaluation index system. The paper thinks that, the regional scientific and technological innovation capability is a interactive and mutual promotive system of innovative environment, innovative input and innovative performance, by building the system to evaluate and promote the regional scientific and technological innovation capability from the point of government (provincial and municipal) and business.
At present, the domestic scholars are trying to use different evaluation systems and evaluation methods to evaluate the scientific and technological innovation capability of different regions (provinces). But from the various existing evaluation systems, we can see the existing evaluation system use the method of static analysis, the dynamic and sustainable analysis is lack, the various evaluation index are isolation, so it is not well reflected the interaction between the elements. The paper built a dynamic evaluation model which can be recycled of innovation environment, innovation inputs and innovation performance, based on the scalability features on the evaluation of regional technological innovation abilities in order to evaluate it dynamicly and sustainably, and at last reflected the improvement of the regional scientific and technological innovation capability from the perspective of input-output.
The paper designed the index system, sorted and processed recent statistical data related to9years, used the method of comprehensive evaluation of nonlinear weighted to analyse the regional scientific and technological innovation capability empirically, which based on the dynamic evaluation model, the previous studies and the actual situation in Henan, followed by the principles of science, reality, systematic, operational, and the dynamic continuity. The results show that general trend of comprehensive scientific and technological innovation capacity is upward, the nonlinear dynamic increase is a result of interaction among the scientific and technological innovation input, the scientific and technological innovation performance and the environment. Among them, the information environment and innovation performance contributed greatly to the science and technology innovation in Henan, But the technology environment and the educational environment is poor, government has a serious shortage of inputs, corporate investment is instability, which is restrict to the improvement of the scientific and technological innovation capability.
Enterprise is the main power of innovation, after evaluating the comprehensive scientific and technological innovation capacity in Henan, the paper build a evaluation index system and analyse the scientific and technological innovation capability epirically according to the dynamic regional capacity assessment model. Since2002, the development of large and medium industrial enterprises experienced a relatively stable period of growth, but there is still a gap compared with the developed areas, the outstanding problems are as follows:the first is the serious drain of R&D personnel, the second is the slow growth of business investment in equipment, the third is the financial capital and proportion of loans in the amount of R&D funding is declining, the financing channels is too single.
This article uses the methods of quantitative and qualitative analysis to evaluate the scientific and technological innovation capabilities and provides references for government to develop the scientific and technological innovation to promote the development of regional policies and priorities of cities to for the development of the region. According to the dynamic evaluation model of the regional scientific and technological innovation capability combined with relevant literature and expert advice, the paper build a evaluation index system, collect statistical data of18cities in Henan, in order to rank the scientific and technological innovation capability of18cities in Henan using the method of principal component analysis and cluster analysis. The results show that, scientific and technological innovation capability in different cities showed significant differences, the scientific and technological innovation capability of Zhengzhou and Luoyang are very strong, but the scientific and technological innovation capability of Xinyang, Zhumadian and Zhoukou are very weak, the value of comprehensive evaluation of the provincial cities are generally low. And there is still a long way to enhance the scientific and technological innovation capability.
According to the empirical results, the paper proposes the solutions to enhance the scientific and technological innovation capability of18cities in Henan province, such as: builds a platform for innovation, carries out the major projects, develops higher education, creates a new innovative system and so on, in order to optimize the policy environment and educational environment and ensure innovation input.According to the problems appearing in the process of technological innovation, the paper proposed the suggests as follows: establish an effective mechanism for technology professionals, technological innovation and high-tech investment and financing system in order to solve the problems as follows: the R&D personnel is short, the subject status is not highlight, the sources of financing is too single. According to the difference of innovation among18cities in Henan province and the fact of the overall strength is too weak, this paper proposes some solutions, such as: the enterprise should attach importance to technological innovation and service innovation, develop science and technology innovation in order to improve the science and technology innovation capabilities of18cities in Henan and promote a coordinated development.
本文首先对创新理论、区域科技创新理论及科技创新能力评价进行了回顾与综述。国内外学者从系统论、要素主体论、网络论三个角度对区域科技创新系统的概念和内涵进行了研究,界定了区域科技创新能力的内涵与组成,并从国家、区域和企业三个层面对区域科技创新能力进行评价,建立了多种不同的评价指标体系。本论文从区域科技创新的系统论和要素主体论出发,认为区域科技创新能力是区域创新环境、创新投入、创新绩效三要素相互作用、相互促进的系统,通过构建反映创新能力三要素及其相互关系的区域科技创新能力评价系统,以政府(省、市两级)和企业两个主体为对象来研究区域科技创新能力的评价与提升。
国内学者正在尝试了采用不同的评价体系和评价方法对不同区域(省市)的科技创新能力进行评价。但从已建立的各种评价体系来看,主要以反映某一时点区域科技创新能力的静态现状为主,缺乏动态、可持续反映区域科技创新能力变化状况的指标体系,且评价指标间相互孤立,不能很好的反映创新能力要素间的互动关系。本文基于区域科技创新能力评价的可拓展性特点,在反映区域创新主体和要素关联性基础上,从投入产出视角,构建了反映创新环境、创新投入和创新绩效三要素动态双向可循环关系的评价模型,以动态、可持续的对区域科技创新能力进行评价,生动体现创新要素推动区域科技创新能力动态提升。
依据区域科技创新能力动态评价模型,结合以往研究的成果及河南的实际情况,遵循科学性与现实性、系统性、可操作性、可比性和动态连续性的原则,设计了评价指标体系,整理和加工最近9年相关科技统计数据,运用非线性加权综合评价方法,对河南科技创新综合能力进行了实证分析。河南科技创新综合能力总体趋势是上升的,其非线性动态提升是科技创新投入和科技创新绩效与科技创新环境相互作用,共同促进的结果。其中,信息环境及创新绩效对河南科技创新贡献较大,但科技环境和教育环境较差,政府投入严重不足,企业投入不稳定,对河南科技创新能力的提升有很大的制约作用。
企业是科学技术创新的主体,本论文在评价河南科技创新综合能力之后,依据区域科技创新能力动态评价模型,构建了大中型工业企业科技创新能力评价指标体系,实证分析了河南大中型工业企业的科技创新能力。自2002年以来,大中型工业企业的发展经历了一个较为稳定的增长期,也是企业科技创新能力提升的黄金时期,但与发达地区相比仍有差距,企业创新的突出问题主要表现在三个方面,一是企业研发人员不足且流失严重；二是企业设备投资增长缓慢,创新主体地位不突出；三是企业研发筹资额中财政资金与贷款比例不断下降,筹资渠道较为单一
对河南省辖18地市的科技创新能力进定量评估、定性分析,为河南制定科技创新的地市推进次序和优先发展区域提供参考依据。本文根据区域科技创新能力动态评价模型,结合相关文献及专家咨询意见,构建评价指标体系,搜集地市相关科技统计数据,运用主成分分析和SPSS统计软件计算18地市科技创新能力评价值,并运用聚类分析方法,对18地市科技创新能力进行排名。省辖市科技创新能力呈现明显差异性且科技创新整体实力较弱。科技创新能力较强的郑州、洛阳与信阳、驻马店和周口等豫东和豫南地市科技创新能力差距较大,省辖市科技创新能力综合评价值普遍较低,科技创新能力提升之路较长。
根据实证研究结果,分别就提升河南省及其大中型工业企业、18地市科技创新能力提出对策。针对河南省科技创新存在的环境与投入问题,提出了搭建创新平台,实施重大专项,发展高等教育,建立创新投入新体系等建议,以优化政策环境和教育环境,保障创新投入。针对大中型工业企业科技创新存在的问题,提出了建立有效的科技人才机制、科技创新机制、科技投融资体制,以解决企业研发人员不足、主体地位不突出与筹资渠道单一等问题,针对18地市科技创新出现的差异性及整体实力弱的问题,提出了重视科技创新、服务科技创新、发展科技创新的建议,助推地市科技创新能力整体提升,协调发展。
At the situation of regional economy is facing more and more fierce competition, the regional innovation system is a key factor of enhancing the growth of the regional economic and improving the overall competitiveness of the industries. The regional scientific and technological innovation capability is a decisive factor of supporting regional economic growth and competitiveness, which is also reflecting the development level of the regional technology innovation systems. Evaluating regional scientific and technological innovation capability is a tool of monitoring the implementation effects on the regional scientific and technological innovation. Scientificly and objectivly evaluates the regional scientific and technological innovation capability and analyses the law of the development is an important basis for the government to develop regional development strategy, and also is an important basis for government to regulate and manage the regions.The paper firstly reviews the existing researches on the regional scientific and technological innovation capability, based on the defects of the existing researches, the paper secondly builds a model of two-way dynamic evaluation which can be recycled, using the methods of non-linear weighted, principal component analysis, clustering and other methods to evaluate the science and technology Innovation comprehensive capabilities of Henan province and the capabilities of medium-sized industrial enterprises, the scientific and technological innovation in the provincial cities. Evaluation models and empirical studies all have been included in this paper.
The paper firstly reviewed and summarized the existing researches of innovative theory, regional science and technology innovation theory, scientific and technological innovation capabilities. The domestic and foreign scholars studied the concept of regional technology innovation system from the perspectives of system theory, the main elements theory and network theory, defined the content and the composition of the regional scientific and technological innovation capability, evaluated the regional scientific and technological innovation capability from the point of the national level, the regional level and the enterprise level, built a variety of evaluation index system. The paper thinks that, the regional scientific and technological innovation capability is a interactive and mutual promotive system of innovative environment, innovative input and innovative performance, by building the system to evaluate and promote the regional scientific and technological innovation capability from the point of government (provincial and municipal) and business.
At present, the domestic scholars are trying to use different evaluation systems and evaluation methods to evaluate the scientific and technological innovation capability of different regions (provinces). But from the various existing evaluation systems, we can see the existing evaluation system use the method of static analysis, the dynamic and sustainable analysis is lack, the various evaluation index are isolation, so it is not well reflected the interaction between the elements. The paper built a dynamic evaluation model which can be recycled of innovation environment, innovation inputs and innovation performance, based on the scalability features on the evaluation of regional technological innovation abilities in order to evaluate it dynamicly and sustainably, and at last reflected the improvement of the regional scientific and technological innovation capability from the perspective of input-output.
The paper designed the index system, sorted and processed recent statistical data related to9years, used the method of comprehensive evaluation of nonlinear weighted to analyse the regional scientific and technological innovation capability empirically, which based on the dynamic evaluation model, the previous studies and the actual situation in Henan, followed by the principles of science, reality, systematic, operational, and the dynamic continuity. The results show that general trend of comprehensive scientific and technological innovation capacity is upward, the nonlinear dynamic increase is a result of interaction among the scientific and technological innovation input, the scientific and technological innovation performance and the environment. Among them, the information environment and innovation performance contributed greatly to the science and technology innovation in Henan, But the technology environment and the educational environment is poor, government has a serious shortage of inputs, corporate investment is instability, which is restrict to the improvement of the scientific and technological innovation capability.
Enterprise is the main power of innovation, after evaluating the comprehensive scientific and technological innovation capacity in Henan, the paper build a evaluation index system and analyse the scientific and technological innovation capability epirically according to the dynamic regional capacity assessment model. Since2002, the development of large and medium industrial enterprises experienced a relatively stable period of growth, but there is still a gap compared with the developed areas, the outstanding problems are as follows:the first is the serious drain of R&D personnel, the second is the slow growth of business investment in equipment, the third is the financial capital and proportion of loans in the amount of R&D funding is declining, the financing channels is too single.
This article uses the methods of quantitative and qualitative analysis to evaluate the scientific and technological innovation capabilities and provides references for government to develop the scientific and technological innovation to promote the development of regional policies and priorities of cities to for the development of the region. According to the dynamic evaluation model of the regional scientific and technological innovation capability combined with relevant literature and expert advice, the paper build a evaluation index system, collect statistical data of18cities in Henan, in order to rank the scientific and technological innovation capability of18cities in Henan using the method of principal component analysis and cluster analysis. The results show that, scientific and technological innovation capability in different cities showed significant differences, the scientific and technological innovation capability of Zhengzhou and Luoyang are very strong, but the scientific and technological innovation capability of Xinyang, Zhumadian and Zhoukou are very weak, the value of comprehensive evaluation of the provincial cities are generally low. And there is still a long way to enhance the scientific and technological innovation capability.
According to the empirical results, the paper proposes the solutions to enhance the scientific and technological innovation capability of18cities in Henan province, such as: builds a platform for innovation, carries out the major projects, develops higher education, creates a new innovative system and so on, in order to optimize the policy environment and educational environment and ensure innovation input.According to the problems appearing in the process of technological innovation, the paper proposed the suggests as follows: establish an effective mechanism for technology professionals, technological innovation and high-tech investment and financing system in order to solve the problems as follows: the R&D personnel is short, the subject status is not highlight, the sources of financing is too single. According to the difference of innovation among18cities in Henan province and the fact of the overall strength is too weak, this paper proposes some solutions, such as: the enterprise should attach importance to technological innovation and service innovation, develop science and technology innovation in order to improve the science and technology innovation capabilities of18cities in Henan and promote a coordinated development.
引文
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