R&D资金投入结构对技术创新效率的影响研究——基于中国工业行业的实证分析
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摘要
文章基于2011-2016年我国工业行业的数据,采用随机前沿分析法实证检验了R&D资金投入结构对技术创新效率的影响,实证结果表明:来自政府的资金占研发经费比重上升不利于技术创新效率的提升,并对企业自有资金的技术创新效率具有负向影响;企业自有资金比重、国外研发资金比重和其他资金比重对技术创新效率均有正向影响,研发经费中国外资金占比的提升能够促进企业自有资金的技术创新效率提高;技术引进和购买及行业竞争程度的提高不利于技术创新效率的提升,行业利润水平上升和国有企业占比升高有利于技术创新效率的提升。
Different sources of R&D funds have different effects on technological innovation efficiency. This paper uses the data of China's industrial industry from 2011 to 2016 and stochastic frontier analysis to empirically test the impact of R&D capital input structure on technological innovation efficiency. The empirical results show that:The increase in the proportion of government R&D funds is not conducive to the improvement of the efficiency of technological innovation,and it has a negative impact on technological innovation efficiency of the enterprise's own R&D funds;The proportion of the enterprise's own R&D funds,the proportion of foreign R&D funds,and the proportion of other funds all have a positive impact on the efficiency of technological innovation. The increase in the proportion of foreign R&D funds in China can promote the efficiency of technological innovation of the enterprise's own R&D funds;The increase in technology introduction and purchase and the increase in the degree of competition in the industry are not conducive to the improvement of the efficiency of technological innovation.The rise in industry profits and the increase in the proportion of state-owned enterprises are conducive to the improvement of technological innovation efficiency.
Different sources of R&D funds have different effects on technological innovation efficiency. This paper uses the data of China's industrial industry from 2011 to 2016 and stochastic frontier analysis to empirically test the impact of R&D capital input structure on technological innovation efficiency. The empirical results show that:The increase in the proportion of government R&D funds is not conducive to the improvement of the efficiency of technological innovation,and it has a negative impact on technological innovation efficiency of the enterprise's own R&D funds;The proportion of the enterprise's own R&D funds,the proportion of foreign R&D funds,and the proportion of other funds all have a positive impact on the efficiency of technological innovation. The increase in the proportion of foreign R&D funds in China can promote the efficiency of technological innovation of the enterprise's own R&D funds;The increase in technology introduction and purchase and the increase in the degree of competition in the industry are not conducive to the improvement of the efficiency of technological innovation.The rise in industry profits and the increase in the proportion of state-owned enterprises are conducive to the improvement of technological innovation efficiency.
引文
[1]陈庆江,李启航.社会研发资本积累提高了企业技术创新效率吗?[J].管理世界,2017(1):62-75.
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[3]HUANG H,XU C.Soft budget constraint and the optimal choices of research and development projects financing[J].Journal of Comparative Economics,1998,26(1):62-79.
[4]唐清泉,卢博科.创新效率、行业间差异及其影响因素[J].中山大学学报:社会科学版,2009(6):187-196.
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[6]白俊红,李婧.政府R&D资助与企业技术创新——基于效率视角的实证分析[J].金融研究,2011(6):181-193.
[7]KANG K N,PARK H.Influence of government R&D support and inter-firm collaborations on innovation in Korean biotechnology SMEs[J].Technovation,2012,32(1):68-78.
[8]CZAMITZKI D,HUSSINGER K.The link between R&Dsubsidies,R&D spending and technological performance[R].ZEW Discussion Paper,2004.
[9]CZAMITZKI D,LICHT G.Additionality of public R&Dgrants in a transition economy[J].Economics of Transition,2006,14(1):101-131.
[10]朱平芳,徐伟民.政府的科技激励政策对大中型工业企业R&D投入及其专利产出的影响——上海市的实证研究[J].经济研究,2003(6):45-53.
[11]解维敏,唐清泉,陆姗姗.政府R&D资助,企业R&D支出与自主创新——来自中国上市公司的经验证据[J].金融研究,2009(6):86-99.
[12]刘小元,林嵩.地方政府行为对创业企业技术创新的影响——基于技术创新资源配置与创新产出的双重视角[J].研究与发展管理,2013(10):12-24.
[13]谢伟,胡玮,夏绍模.中国高新技术产业研发效率及其影响因素分析[J].科学学与科学技术管理,2008(3):144-149.
[14]白俊红,江可申,李婧.应用随机前沿模型评测中国区域研发创新效率[J].管理世界,2009(10):51-61.
[15]郑琼洁.政府科技激励与技术创新效率研究——基于行业要素禀赋的分析视角[J].南方经济,2014(9):32-36.
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[17]WALLSTEN S.The effects of government-industry R&Dprograms on private R&D:The case of the small business innovation research program[J].Rand Journal of Economics,2000,30(1):82-100.
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[19]安同良,周绍东,皮建才.R&D补贴对中国企业自主创新的激励效应[J].经济研究,2009(11):87-98.
[20]冯宗宪,王青,候晓辉.政府投入、市场化程度与中国工业企业的技术创新效率[J].数量经济技术经济研究,2011(4):3-17,33.
[21]CHANG S J,CHUNG C N.MAHMOOD I P.When and how does business group affiliation promote firm innovation?A tale of two emerging economies[J].Organization Science,2006,17(5):637-656.
[22]梁莱歆,马如飞,田元飞.R&D资金筹集来源与企业技术创新——基于我国大中型工业企业的实证研究[J].科学学与科学技术管理,2009(7):89-93.
[23]邱兆林.政府干预、企业自主研发与高技术产业创新——基于中国省级面板数据的实证分析[J].经济问题探索,2015(4):43-48.
[24]洪嵩.政府R&D资助、企业R&D投入与高技术产业创新效率的关系研究[D].合肥:中国科学技术大学,2015.
[25]李平,刘利利.政府研发资助、企业研发投入与中国创新效率[J].科研管理,2017(1):22-28.
[26]JONES C I,WILLIAMS J C.Measuring the social return to R&D[J].Quarterly Journal of Economics,1998,113(4):1119-1136.
[27]盛垒.跨国公司在华R&D投资的溢出效应研究——基于随机前沿分析方法(SFA)的检验[J].世界经济研究,2010(6):68-74.
[28]WERSCHING K.Innovation and knowledge spillover with geographical and technological distance in an agentbased simulation model[R].University Bielefeld Discussion Paper No.535,2005.
[29]李钩.跨国公司在华研发对本土企业技术创新的溢出效应与挤出效应[J].社会科学研,2009(5):34-38.
[30]AITKEN B J,HARRISON A E.Do domestic firms benefit from direct foreign investment?Evidence from Venezuela[J].The American Economic Review,1999,89(3):605-618.
[31]FU X L,GONG Y D.Indigenous and foreign innovation efforts and drivers of technological upgrading:Evidence from China[J].World Development,2011,39(7):1213-1225.
[32]张诚、张瑜.跨国企业在华研发活动对我国高科技行业创新的影响——基于面板VAR的分析[J].世界经济研究,2012(2):57-63.
[33]李小平、朱钟棣.国际贸易、R&D溢出和生产率增长[J].经济研究,2006(2):31-43.
[34]盛垒.外资在华研发空间集聚及知识溢出研究[D].上海:华东师范大学,2009.
[35]宋娜.跨国公司在华研发投资对我国本土企业技术创新效应影响的分析[D].上海:上海师范大学,2013.
[36]孙晓云.跨国公司在华研发投资的技术溢出效应——面向通信设备、计算机及其他电子设备制造业的研究[D].大连:大连理工大学,2014.
[37]董书礼.跨国公司在华设立研发机构与我国产业技术进步[J].中国科技论坛,2004(2):62-66.
[2]肖文,林高榜.政府支持、研发管理与技术创新效率——基于中国工业行业的实证分析[J].管理世界,2014(4):71-80.
[3]HUANG H,XU C.Soft budget constraint and the optimal choices of research and development projects financing[J].Journal of Comparative Economics,1998,26(1):62-79.
[4]唐清泉,卢博科.创新效率、行业间差异及其影响因素[J].中山大学学报:社会科学版,2009(6):187-196.
[5]CHOI S B,LEE S H,WILLIAMS C.Ownership and firm innovation in a transition economy:Evidence from China[J].Research Policy,2011,40(3):441-452.
[6]白俊红,李婧.政府R&D资助与企业技术创新——基于效率视角的实证分析[J].金融研究,2011(6):181-193.
[7]KANG K N,PARK H.Influence of government R&D support and inter-firm collaborations on innovation in Korean biotechnology SMEs[J].Technovation,2012,32(1):68-78.
[8]CZAMITZKI D,HUSSINGER K.The link between R&Dsubsidies,R&D spending and technological performance[R].ZEW Discussion Paper,2004.
[9]CZAMITZKI D,LICHT G.Additionality of public R&Dgrants in a transition economy[J].Economics of Transition,2006,14(1):101-131.
[10]朱平芳,徐伟民.政府的科技激励政策对大中型工业企业R&D投入及其专利产出的影响——上海市的实证研究[J].经济研究,2003(6):45-53.
[11]解维敏,唐清泉,陆姗姗.政府R&D资助,企业R&D支出与自主创新——来自中国上市公司的经验证据[J].金融研究,2009(6):86-99.
[12]刘小元,林嵩.地方政府行为对创业企业技术创新的影响——基于技术创新资源配置与创新产出的双重视角[J].研究与发展管理,2013(10):12-24.
[13]谢伟,胡玮,夏绍模.中国高新技术产业研发效率及其影响因素分析[J].科学学与科学技术管理,2008(3):144-149.
[14]白俊红,江可申,李婧.应用随机前沿模型评测中国区域研发创新效率[J].管理世界,2009(10):51-61.
[15]郑琼洁.政府科技激励与技术创新效率研究——基于行业要素禀赋的分析视角[J].南方经济,2014(9):32-36.
[16]宋来胜,苏楠.政府研发资助、企业研发投入与技术创新效率[J].经济与管理,2017(6):45-51.
[17]WALLSTEN S.The effects of government-industry R&Dprograms on private R&D:The case of the small business innovation research program[J].Rand Journal of Economics,2000,30(1):82-100.
[18]吕久琴,郁丹丹.政府科研创新补助与企业研发投入:挤出,替代还是激励?[J].中国科技论坛,2011(8):21-28.
[19]安同良,周绍东,皮建才.R&D补贴对中国企业自主创新的激励效应[J].经济研究,2009(11):87-98.
[20]冯宗宪,王青,候晓辉.政府投入、市场化程度与中国工业企业的技术创新效率[J].数量经济技术经济研究,2011(4):3-17,33.
[21]CHANG S J,CHUNG C N.MAHMOOD I P.When and how does business group affiliation promote firm innovation?A tale of two emerging economies[J].Organization Science,2006,17(5):637-656.
[22]梁莱歆,马如飞,田元飞.R&D资金筹集来源与企业技术创新——基于我国大中型工业企业的实证研究[J].科学学与科学技术管理,2009(7):89-93.
[23]邱兆林.政府干预、企业自主研发与高技术产业创新——基于中国省级面板数据的实证分析[J].经济问题探索,2015(4):43-48.
[24]洪嵩.政府R&D资助、企业R&D投入与高技术产业创新效率的关系研究[D].合肥:中国科学技术大学,2015.
[25]李平,刘利利.政府研发资助、企业研发投入与中国创新效率[J].科研管理,2017(1):22-28.
[26]JONES C I,WILLIAMS J C.Measuring the social return to R&D[J].Quarterly Journal of Economics,1998,113(4):1119-1136.
[27]盛垒.跨国公司在华R&D投资的溢出效应研究——基于随机前沿分析方法(SFA)的检验[J].世界经济研究,2010(6):68-74.
[28]WERSCHING K.Innovation and knowledge spillover with geographical and technological distance in an agentbased simulation model[R].University Bielefeld Discussion Paper No.535,2005.
[29]李钩.跨国公司在华研发对本土企业技术创新的溢出效应与挤出效应[J].社会科学研,2009(5):34-38.
[30]AITKEN B J,HARRISON A E.Do domestic firms benefit from direct foreign investment?Evidence from Venezuela[J].The American Economic Review,1999,89(3):605-618.
[31]FU X L,GONG Y D.Indigenous and foreign innovation efforts and drivers of technological upgrading:Evidence from China[J].World Development,2011,39(7):1213-1225.
[32]张诚、张瑜.跨国企业在华研发活动对我国高科技行业创新的影响——基于面板VAR的分析[J].世界经济研究,2012(2):57-63.
[33]李小平、朱钟棣.国际贸易、R&D溢出和生产率增长[J].经济研究,2006(2):31-43.
[34]盛垒.外资在华研发空间集聚及知识溢出研究[D].上海:华东师范大学,2009.
[35]宋娜.跨国公司在华研发投资对我国本土企业技术创新效应影响的分析[D].上海:上海师范大学,2013.
[36]孙晓云.跨国公司在华研发投资的技术溢出效应——面向通信设备、计算机及其他电子设备制造业的研究[D].大连:大连理工大学,2014.
[37]董书礼.跨国公司在华设立研发机构与我国产业技术进步[J].中国科技论坛,2004(2):62-66.