开放式创新驱动西部资源型产业升级的机制与路径——基于全球价值链视角

Resource-based industry has been the foundation and competitive industry in western region of China.Because the resource-based industry had been locked in the bottom of the global value chain for a long time, enhancing the technical capabilities and pushing up the value chain would been become the inevitable direction of the resource-based industrial upgrading. The key of it’s upgrading is clarifying the innovation emphasis, influencing factors, mechanism and realization path of the different segments upgrading in the value chain of resource-based industry.Open Innovation provides a new thinking mode for innovation driving the upgrading of the resource -based industry. .Focusing on the unique attributes of industrial growth from western region which possess the rich energy and mineral resources, based on the theories of global value chain and open innovation, etc., from the vertical distribution of industrial technology chain, starting around the processes, products, features and value chain of the industrial upgrading and the front-end, process and the back-end of innovation-driven, using the case study method, mathematical analysis method, factor analysis method and analytic hierarchy process, etc., firstly, the project will analyse the innovation emphasis of the different segments upgrading in the value chain of resource-based industry; Secondly, it will identify the key influencing factors of open innovation driving the different segments upgrading in the value chain of resource-based industry from western region, measure the innovation openness, and focuses mainly on the influence mechanism of the innovation openness to the technological innovation of the different segments upgrading in the value chain of resource-based industry from western region; Finally, it will generalize the viable strategies path and corresponding policies. The purposes of this project are exploring the internal relationship between the thoery of global value chain and the thoery of open innovation ,and providing the informations and references for the government to develop policies and strategic decision making .

资源型产业是我国西部的基础优势产业。由于长期被“锁定”于全球价值链的底端，提高技术能力和推动价值链攀升已成为西部资源型产业升级的必然方向。其关键是厘清资源型产业升级的创新重点、影响因素、作用机制与战略路径。开放式创新为驱动产业升级提供了新思维模式。.本项目旨在结合能源矿产资源富集的西部地区与产业成长特有属性，立足全球价值链和开放式创新等理论，从产业技术链的纵向分布出发，围绕产业升级的流程、产品、功能、链条四方面和创新驱动的前端、过程、后端三阶段，运用案例研究、数理分析、因子分析和层次分析等方法，首先辨析资源型产业价值链不同区段升级的创新重点；然后识别开放式创新驱动不同区段升级的关键因素，测度创新开放度，侧重分析创新开放度对不同区段技术创新的影响机制；最后归纳出可行的战略路径和相应的政策措施建议。以期探索全球价值链与开放式创新理论之间的内在关系，并为政府制定政策和企业战略决策提供参考与借鉴。

依托蕴藏富集的能源与矿产资源而成长起来的资源型产业，为西部乃至国家经济发展做出了不可磨灭贡献。但受其资源依赖性和地理根植性约束，资源型产业长期被“锁定”于全球价值链底端，加之自主创新基础薄弱，立足全球价值链视角研究开放式创新驱动资源型产业升级已势在必行。本研究主要通过文献梳理与调研访谈，首先确定了专注能源与矿产等资源开采洗选和初级加工的12类资源型产业；然后选取来自《中国工业经济统计年鉴》、《中国能源统计年鉴》与《投入产出表（2014）》等和沪深A股资源型或污染密集型上市公司相关数据，运用理论分析、文献计量、数理统计、因子分析、典型案例及Stata软件等方法工具，围绕全球价值链、制度环境、政府质量、董事会治理、政治关联等视角，重点探究了开放式创新驱动资源型产业技术创新能力提升和转型升级问题，以期为政府部门制订政策和资源型产业战略决策提供借鉴和参考。. 重要研究结果：1）低成本战略是资源型产业成长的主要选择，差异化战略只能通过产品创新提升绩效；2）绿色技术创新均能显著改善资源型产业的经济与环境绩效，而且董事会治理、地方政府质量和环境规制均能促进资源型产业绿色技术创新；3）开放式创新能够驱动资源型产业工艺创新能力得到显著提升，但对产品创新能力的驱动效应不显著；4）良好的制度环境能够促进资源型产业开放式创新，且能协同开放式创新驱动资源型产业实现行业内转型，但对跨行业转型的作用不明显；5）受特有属性约束，资源型企业强政治关联严重抑制了其开放式创新，且弱化了制度环境对资源型产业开放式创新的促进作用；6）全球价值链嵌入对资源型产业升级呈“∩”影响，但开放式创新是驱动资源型产业升级的有效途径，而且正向调节全球价值链嵌入对资源型产业升级的影响作用。. 截止2019年底，本研究共发表10篇标注论文，其中CSSCI（CSCD）8篇；有3篇CSSCI录用待刊（已标注）；另有4篇工作论文和1份关于“开放式创新驱动资源型产业升级的政策建议”咨询报告。