导　　师： 金雪军

学科专业： B0101

授予学位： 博士

作　　者： ;

机构地区： 浙江大学

摘　　要： 本论文以物质资本理论、人力资本理论、经济增长理论与技术创新理论作为研究的理论基础，研究的内容融合了资本理论、经济增长理论与技术创新理论，主要包括：①引入包括物质资本、r&d资本及人力资本在内的广义资本的概念，通过理论分析，揭示广义资本投入与技术创新能力之间的内在联系和传导机制；②对中国广义资本的投入水平进行测度与分析比较；③构建技术创新能力的评价模型，对中国技术创新能力进行测算；④对中国的技术创新能力及构成进行分析，拟合中国技术创新能力的增长函数，计算技术创新的因素贡献率，并将中国的技术创新能力进行国际比较；⑤运用经济计量与数理统计理论及计量统计软件，对中国广义资本投入与技术创新能力之间存在的相关关系与因果关系进行分析与检验，得出分析结论。 本文认为，资本与技术之间存在内在的联系，广义资本投入在推动经济增长的同时，通过相应的传导机制促进了技术创新能力的增强。广义资本中的物质资本投入促进技术创新能力增强的基本传导途径是：①物质资本通过发挥对技术创新的“共生效应”，直接提升技术创新能力；②物质资本通过发挥“匹配效应”，与其它资本一起推动技术创新能力的提高。广义资本中的r&d资本投入促进技术创新的传导机制可用r&d对技术创新的“种子效应”、r&d对技术创新的“生长效应”、r&d对技术创新的“引致效应”和r&d对技术创新的“自我增强效应”来阐释。广义资本中的人力资本投资促进技术创新的传导机制是通过下述效应来完成的：①人力资本的创造力对技术创新发挥着“孵化效应”；②人力资本的学习力对技术创新发挥着“正强化效应”；③人力资本的协作力对技术创新发挥着“聚合效应”；④人力资本的外在� Many experts and scholars, in the field of economic theories home and abroad, have carried out comprehensive and in-depth research on capital and technological factors, which play important role in the economic growth process. However, their research usually focus on the relationship between factor input /(such as capital, technology and so on/) and economic increase, or consummating the capital and technological innovation theories through discussing capital and technological innovation itself; thus the research on the correlativity of generalized capital /(material capital, R/&D capital and manpower capital/) input and technological innovation ability belongs to the weak domain of existing economic theories.The theoretical basis of this dissertation covers the following related theories: material capital, manpower capital, economic growth, and technological innovation, and its content also unites capital theory, economic growth theory and technological theory, mainly as follows: first, introducing the concept of generalized capital involving material capital, R/&D capital and manpower capital, and revealing the interrelationship and transmission mechanism between generalized capital input and technological innovation; secondly, measuring and analyzing the investment level of generalized capital in China; thirdly, establishing a model to evaluate technological innovation ability and estimating that of China; fourthly, analyzing China' technological innovation ability and its composition, imitating its growth function, calculating its factor contribution rate, and comparing this ability internationally; fifthly, employing the theories and software of econometrics and mathematical statistics, analyzing and testing the above-mentioned correlativity and causality, and then drawing the conclusion.This paper holds that there is interrelationship between capital and technology: generalized capital input strengthens technological innovation ability through corresponding transmission mechanism while promoting economic gr

关 键 词： 技术创新 传导机制 因果关系 资本投入 创新能力

领　　域： [经济管理] [经济管理]