中图分类号：F061.5
硕士学位论文
首台（套）重大技术装备政策的
区域创新效应研究
学科、专业区域与产业经济管理
专业代码1201Z 1
学位类别学术学位硕士
中图分类号:F061.5学校代码:10406
学号:20091201Z1101
南昌航空大学
硕士学位论文
（学术学位研究生）
首台（套）重大技术装备政策的
区域创新效应研究
硕士研究生:徐盼
导师:黄蕾
申请学位级别:硕士
学科、专业:区域与产业经济管理
所在单位:经济管理学院
学位申请日期:2023年05月
授予学位单位:南昌航空大学
Research on Regional Innovation Effect of the
First Major Technology Equipment Policy
A Dissertation
Submitted for the Degree of Master
regional and industrial economic management
By Xu Pan
Under the Supervision of
Prof Huang Lei
School of Economics and Management
Nanchang Hang Kong University,Nanchang,China
May,2023
摘要
重大技术装备是制造业的脊梁，也是国家安全、国民经济的命脉所在，具有
新技术集合程度高、系统组合成套复杂、辐射范围广、虹吸效应大、附加值高等
特点，成为衡量一个国家制造业核心竞争力和经济社会发展水平的重要标志。随
着二十大的召开，面对蓬勃兴起的新一轮科技革命和产业变革，关键核心技术被
提到了战略发展高度，而首台（套）重大技术装备（以下简称首台套）作为关键
核心技术的显性产品，更是增强创新引领作用的重要抓手。但在世纪疫情、逆全
球化、全球新变局的冲击影响下，首台套装备产业作为制造业领域的“皇冠”，
更是重新成为各国产业竞争的制高点，各国都投入了大量的政策扶持。近年来我
国和地方政府也陆续出台了一系列首台套相关政策文件，并实行了保险补偿试点
工作。
本文首先梳理了区域创新系统理论和产业政策理论等相关理论基础；从首台
套政策历史演变出发，分析首台套政策影响区域创新的现实考察；在理论分析基
础上进一步探讨首台套政策影响区域创新发展的机理；最后，创新性地应用倾向
得分匹配和双重差分法（PSM-DID）分步检验了首台套政策对区域创新发展的
直接效应，并进一步应用中介效应模型，分析财政补贴、需求引导、人才集聚和
产业结构在其中的中介作用。本文得出以下结论:第一，从直接效应上看，首台
套政策能够有效促进区域创新发展。在经过倾向匹配得分处理后，首台套政策变
量（did）的系数仍能保持显著为正，并成功通过平行趋势检验和安慰剂检验。
具体来说，首台套政策能够显著影响知识创造、企业创新和创新环境，对区域创
新绩效的影响尚不明显。第二，进一步分析首台套政策影响区域创新发展的间接
作用机制。从财政补贴、需求引导、人才集聚和产业结构四个角度进行首台套政
策影响区域创新发展的中介效应检验。根据中介效应检验结果，财政补贴、需求
引导、人才集聚和产业结构在首台套政策对区域创新的影响中均存在中介效应。
由此，本文全面系统地考察首台套政策对区域创新发展的影响，不仅能够揭
示首台套政策与区域创新之间的作用机理，为首台套的创新发展提供理论基础，
同时能够进一步改进和完善我国区域首台套政策制定，促进区域创新发展，推动
制造业由加工、制造向创新、创造转变，实现我国装备制造业自主化。
关键词:首台（套）重大技术装备政策；区域创新；双重差分法
I
ABSTRACT
Major technological equipment is the backbone of the manufacturing industry
and the lifeblood of national security and the national economy.It is characterized by
a high degree of new technology collection,a complex set of systems,a wide range of
radiation,a large siphon effect and high added value,and has become an important
symbol to measure the core competitiveness of a country's manufacturing industry
and the level of economic and social development.With the convening of the 20th
National Congress,in the face of a new round of scientific and technological
revolution and industrial transformation,key core technologies have been mentioned
to the height of strategic development,and the first (set)of major technology
equipment (hereinafter referred to as the first set),as the dominant product of key core
technologies,is an important starting point to enhance the leading role of innovation.
However,under the impact of the century epidemic,anti-globalization and global
changes,the first set of equipment industry,as the "crown"of the manufacturing
industry,has become the commanding height of industrial competition in various
countries again,and all countries have invested a lot of policy support.In recent years,
Chinese and local governments have also issued a series of first set of relevant policy
documents,and carried out the insurance compensation pilot work.
Firstly,this paper reviews the regional innovation system theory and industrial
policy theory.Starting from the historical evolution of the first set of policies,this
paper analyzes the practical investigation of the impact of the first set of policies on
regional innovation.On the basis of theoretical analysis,the mechanism of the first set
of policies affecting regional innovation development is further discussed.Finally,
propensity score matching and difference of difference (PSM-DID)were innovatively
applied to test the direct effect of the first set of policies on regional innovation
development step by step,and the mediating effect model was further applied to
analyze the mediating role of financial subsidies,demand guidance,talent
agglomeration and industrial structure.This paper draws the following conclusions:
First,from the direct effect,the first set of policies can effectively promote regional
innovation development.After the propensity matching score treatment,the
coefficient of the first set of policy variables (did)remained significantly positive,and
successfully passed the parallel trend test and placebo test.Specifically,the first set of
policies can significantly affect knowledge creation,firm innovation and innovation
II