Abstract: The independent innovation effect of industrial upgrading is an new topic among the economics research，and is also the critical one of national strategical prospects during China industrial upgrading. Based on the domestic and abroad literature research, This paper deeply analyses the influence mechanism between industrial upgrading and independent innovation. For this, an empirical test is carried out by using proper model and Chinese provinces data related during 1998 and 2012. It is shown that the spillover effect on independent innovation of industrial upgrading is exist, the more obvious it is, the more strong Chinese independent innovation is. However, the effects on eastern、middle and western China are the larger different. It is suggested that in order to improve independent innovation ability through industrial upgrading, The key is to increase investment in research, enhance the absorb ability and independent R&D ability, and create a favorable policy environment for independent innovation.

Key words: industrial upgrading, independent innovation, technology spillover, R&D ability

摘要： 产业升级的自主创新效应是当前经济学研究的一个较为新颖的论题，自主创新效应也是中国产业升级过程中国家战略预期的关键之一。本文在国内外现有文献研究的基础上，深入地研究了产业升级与自主创新之间的影响机理，并在此基础上，就产业升级对自主创新的影响，运用适当模型和1998—2012年中国省际层面的相关数据进行了经验性检验。实证结果表明，产业升级对中国整体自主创新存在显著正面的溢出效应，产业升级的创新溢出效应越明显，中国自主创新能力越强，而对东部、中部和西部的自主创新效应则存在较大差异。充分利用产业升级实现自主创新能力的提升，关键是要加大研发投入，提升自身的消化吸收能力和自主研发能力，营造有利于自主创新的政策环境。

关键词: 产业升级, 自主创新, 技术溢出, 研发能力