区域创新系统绩效评价研究
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摘要
在经济全球化加速推进的当代社会，以行政地区为划分依据的区域经济表现逐渐受到人们的高度重视，世界生产活动的分工逐渐从国家转向了区域。一个地区经济发展状况在很大程度上取决于该区域科技发展水平，而创新是体现科技最重要的指标。创新是经济发展、民族进步的重要途径，在知识经济时代，创新能力与竞争力已经画上了等号，区域创新能力强的地区国际竞争优势就相对明显。因此，可以认为区域发展最重要的能力指标是区域创新能力。区域的创新能力主要体现在区域内部企业的创新能力。同时，企业创新力还受到其所在国家和区域环境等各种因素的影响。但是，我国现阶段的科技创新与发达国家相比，总体水平低下，成为制约我国竞争力提高的重要因素。2012年9月，中共中央、国务院印发了《关于深化科技体制改革加快国家创新体系建设的意见》，以进一步加快国家创新系统的建设。
本文从区域创新系统的理论渊源出发，重点介绍国家创新系统理论、区域经济理论和技术扩散理论对区域创新系统理论的思想支撑和理论支持。在总结前人研究成果的基础上重新界定了区域创新系统，分析区域创新系统在新形势下的特征、结构和功能，明确了区域创新系统绩效评价直接关系到区域创新系统核心竞争力的形成、保持，对区域竞争优势甚至国家的未来发展有着重要的意义。本文区域创新系统绩效评价分为技术效率评价和经济效率评价两个方面，运用二阶段DEA模型评价法实证分析我国30个省、自治区、直辖市（西藏自治区除外）2003-2006年的区域创新系统的绩效，结果发现：我国整体水平在这四年内，无论是技术综合效率还是经济综合效率都呈现逐年下降的趋势，全国大部分地区的区域创新系统经济效率处在较低的水平，创新效率亟需提高。
造成我国区域创新系统绩效不高的原因分别是：创新资源投入不充分、资源利用效率不高、企业创新主体地位不明显、创新环境有待改善以及科技中介服务机构作用不明显。针对以上五点原因，本文相对应的提出了政策建议：构建多渠道、高效率的投入创新体系，以加强创新资源的投入；强化企业创新主体地位，促进创新资源成为科技成果后向经济效益的快速转化；促进创新主体间的协同合作，优化创新资源配置，提高创新效率；完善创新资源科技产出到成果的转化机制，推进科技成果产业化进程；提升软环境建设质量，保障各项创新活动顺利进行；加强科技中介服务机构建设，不断发展和完善中介服务机构体系。
本文的创新点体现在三个层面：在理论层面的创新，是从区域创新系统的理论基础出发，将各主体要素的相关特性纳入到区域层面进行分析和研究；在方法层面的创新，是运用二阶段DEA模型分析法评价区域创新系统绩效，更加科学、客观；在政策层面的创新，是分别从政府、企业和科研院所等创新主体的角度，对提高我国区域创新系统绩效水平给出了合理可行的政策建议。
Contemporary society is the society which economic globalization accelerates.The regional economic performance which divided based on administrative areagradually attaches great importance from all the world, and the world productionactivities of the division of labor gradually shifts from country to the area. To a greatextent, a regional economic development depends on the regional science andtechnology development level, while innovation is the most important indicator ofembodied science and technology. Innovation is an important way to achieve economicdevelopment and national progress. In the era of knowledge economy, innovationability and competitiveness has been painting on the equal sign. If a region has a strongregional innovation capability, it has a comparatively obvious international competitiveadvantage. Therefore, it can be argued that the most important ability of regionaldevelopment index is regional innovation ability. The regional innovation capability isembodied in the innovative capability of enterprises within the region. At the sametime, enterprise innovation is influenced by their own national or regionalenvironmental factors. However, compared to developed countries, the overall level ofour current scientific innovation was extremely low, and this became the importantconstraint in our country to improve competitiveness. In the third plenary session ofthe16th clearly put forward: speeding up the construction of the national, regionalinnovation system, realizing the efficient allocation and comprehensive utilization ofsocial science and technology and resources.
This thesis begins with the origin of the theory of the regional innovation system, andthen it highlights the ideological and theoretical support of national innovation systemtheory, regional economic theory and technology diffusion theory. In the summary ofprevious studies, it redefines the regional innovation system, and analyzes thecharacteristics, structure and function of the regional innovation system in the newsituation, then clearly about the regional innovation system performance evaluation isdirectly related to the formation of the core competitiveness of the regional innovationsystem. And it is also key point of a regional competitive advantage and even the future development of the country. This thesis divides regional innovation system performanceevaluation into two aspects: technical efficiency evaluation and economic efficiencyevaluation, using the two stage DEA model to evaluate the empirical analysis of China's30provinces, autonomous regions and municipalities directly under the CentralGovernment （except Tibet Autonomous Region） the2003-2006regional innovationsystem performance. The results showed that: China's overall level in four years, both thetechnology efficiency or economic efficiency are showing a declining trend year by year,and in most parts of the country's regional innovation system, the economic efficiency is ata relatively low level, which needs to be improve innovation efficiency.
The reasons of our country regional innovation system's lower performance are theinadequate innovation resource input, lower resource utilization efficiency, no obviousdominant position of enterprise innovation, innovative environment needs to improve andas the science and technology intermediary service organization does not play a significantrole. In view of the above five reasons, this thesis put forward corresponding to severalpolicy suggestions: constructing multi-channel and high-efficiency in the innovationsystem, in order to strengthen the innovation resources investment; strengthening theenterprise innovation main body status, promoting the rapid transformation of innovationresources to become scientific and technological achievements to economic benefits;promoting the cooperation between the main innovation, optimizing the innovationresource allocation, improving the innovation efficiency; perfecting the transformation ofachievements mechanism of the innovation resources to output, promoting science andtechnology achievements in industrialization process; improving the quality of softenvironment construction to ensure the smooth progress of the innovation activities;strengthening construction of science and technology intermediary service agencies,developing and perfecting intermediary service organization system.
The innovation point is embodied in three aspects: innovation in theoretical level isstarting from the theoretical basis of the regional innovation system, taking the relevantcharacteristics of each of the main elements into the regional level analysis and research;the innovation in the method is of use two-stage DEA model to evaluate regionalinnovation system performance, more scientific and objective; innovation at the policy level, to enhance our country's regional innovation system performance, giving thereasonable and feasible policy suggestions from the government, enterprises and researchinstitutes respectively.
本文从区域创新系统的理论渊源出发，重点介绍国家创新系统理论、区域经济理论和技术扩散理论对区域创新系统理论的思想支撑和理论支持。在总结前人研究成果的基础上重新界定了区域创新系统，分析区域创新系统在新形势下的特征、结构和功能，明确了区域创新系统绩效评价直接关系到区域创新系统核心竞争力的形成、保持，对区域竞争优势甚至国家的未来发展有着重要的意义。本文区域创新系统绩效评价分为技术效率评价和经济效率评价两个方面，运用二阶段DEA模型评价法实证分析我国30个省、自治区、直辖市（西藏自治区除外）2003-2006年的区域创新系统的绩效，结果发现：我国整体水平在这四年内，无论是技术综合效率还是经济综合效率都呈现逐年下降的趋势，全国大部分地区的区域创新系统经济效率处在较低的水平，创新效率亟需提高。
造成我国区域创新系统绩效不高的原因分别是：创新资源投入不充分、资源利用效率不高、企业创新主体地位不明显、创新环境有待改善以及科技中介服务机构作用不明显。针对以上五点原因，本文相对应的提出了政策建议：构建多渠道、高效率的投入创新体系，以加强创新资源的投入；强化企业创新主体地位，促进创新资源成为科技成果后向经济效益的快速转化；促进创新主体间的协同合作，优化创新资源配置，提高创新效率；完善创新资源科技产出到成果的转化机制，推进科技成果产业化进程；提升软环境建设质量，保障各项创新活动顺利进行；加强科技中介服务机构建设，不断发展和完善中介服务机构体系。
本文的创新点体现在三个层面：在理论层面的创新，是从区域创新系统的理论基础出发，将各主体要素的相关特性纳入到区域层面进行分析和研究；在方法层面的创新，是运用二阶段DEA模型分析法评价区域创新系统绩效，更加科学、客观；在政策层面的创新，是分别从政府、企业和科研院所等创新主体的角度，对提高我国区域创新系统绩效水平给出了合理可行的政策建议。
Contemporary society is the society which economic globalization accelerates.The regional economic performance which divided based on administrative areagradually attaches great importance from all the world, and the world productionactivities of the division of labor gradually shifts from country to the area. To a greatextent, a regional economic development depends on the regional science andtechnology development level, while innovation is the most important indicator ofembodied science and technology. Innovation is an important way to achieve economicdevelopment and national progress. In the era of knowledge economy, innovationability and competitiveness has been painting on the equal sign. If a region has a strongregional innovation capability, it has a comparatively obvious international competitiveadvantage. Therefore, it can be argued that the most important ability of regionaldevelopment index is regional innovation ability. The regional innovation capability isembodied in the innovative capability of enterprises within the region. At the sametime, enterprise innovation is influenced by their own national or regionalenvironmental factors. However, compared to developed countries, the overall level ofour current scientific innovation was extremely low, and this became the importantconstraint in our country to improve competitiveness. In the third plenary session ofthe16th clearly put forward: speeding up the construction of the national, regionalinnovation system, realizing the efficient allocation and comprehensive utilization ofsocial science and technology and resources.
This thesis begins with the origin of the theory of the regional innovation system, andthen it highlights the ideological and theoretical support of national innovation systemtheory, regional economic theory and technology diffusion theory. In the summary ofprevious studies, it redefines the regional innovation system, and analyzes thecharacteristics, structure and function of the regional innovation system in the newsituation, then clearly about the regional innovation system performance evaluation isdirectly related to the formation of the core competitiveness of the regional innovationsystem. And it is also key point of a regional competitive advantage and even the future development of the country. This thesis divides regional innovation system performanceevaluation into two aspects: technical efficiency evaluation and economic efficiencyevaluation, using the two stage DEA model to evaluate the empirical analysis of China's30provinces, autonomous regions and municipalities directly under the CentralGovernment （except Tibet Autonomous Region） the2003-2006regional innovationsystem performance. The results showed that: China's overall level in four years, both thetechnology efficiency or economic efficiency are showing a declining trend year by year,and in most parts of the country's regional innovation system, the economic efficiency is ata relatively low level, which needs to be improve innovation efficiency.
The reasons of our country regional innovation system's lower performance are theinadequate innovation resource input, lower resource utilization efficiency, no obviousdominant position of enterprise innovation, innovative environment needs to improve andas the science and technology intermediary service organization does not play a significantrole. In view of the above five reasons, this thesis put forward corresponding to severalpolicy suggestions: constructing multi-channel and high-efficiency in the innovationsystem, in order to strengthen the innovation resources investment; strengthening theenterprise innovation main body status, promoting the rapid transformation of innovationresources to become scientific and technological achievements to economic benefits;promoting the cooperation between the main innovation, optimizing the innovationresource allocation, improving the innovation efficiency; perfecting the transformation ofachievements mechanism of the innovation resources to output, promoting science andtechnology achievements in industrialization process; improving the quality of softenvironment construction to ensure the smooth progress of the innovation activities;strengthening construction of science and technology intermediary service agencies,developing and perfecting intermediary service organization system.
The innovation point is embodied in three aspects: innovation in theoretical level isstarting from the theoretical basis of the regional innovation system, taking the relevantcharacteristics of each of the main elements into the regional level analysis and research;the innovation in the method is of use two-stage DEA model to evaluate regionalinnovation system performance, more scientific and objective; innovation at the policy level, to enhance our country's regional innovation system performance, giving thereasonable and feasible policy suggestions from the government, enterprises and researchinstitutes respectively.
引文
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