产权差异视角下我国区域高技术企业创新效率研究
|
摘要
基于产权差异视角下的并联创新网络理论,将企业创新活动分解为内资、港澳台资和外资企业等子单元并行研发的网络过程,构建并联网络DEA模型测算2008-2014年中国各省份高技术企业创新效率,进而对无效率值进行三维度分解,并检验三种类型企业效率的影响因素。研究表明:(1)中国高技术企业创新整体效率为0.471,明显低于传统DEA效率值,河北、辽宁、湖北省企业整体效率偏低,仅15%的省份为高内资高港澳台资高外资型。(2)北京、辽宁等地区企业整体无效率因内资企业管理不当所致,天津效率损失则源于外资企业,福建省无效率归因于非内资企业效率损失,而山西、上海等因内资和非内资企业无效所造成的效率损失均占有一定比例。从全国来看,内资企业无效所造成的损失约占52.4%,是制约整体效率提升的关键因素。(3)创新氛围仅与非内资企业效率负相关,而企业规模对非内资企业效率具有积极影响;消化吸收能力和政府资助仅与内资企业效率负相关,知识产权保护对外资企业效率起阻滞作用。
Measuring and analyzing regional high-tech enterprise innovation efficiency & influencing mechanism are helpful for finding out the concrete place of innovation efficiency loss and countermeasures and achieving the efficient allocating of innovation resources. Based on the theory of parallel innovation network in the perspective of ownership, the enterprise innovation activity is decomposed into the parallel development process of the network by the domestic,Hong Kong, Macao, and Taiwan investment and foreign capital enterprises. The parallel network DEA model is constructed to compute the high-tech enterprises' innovation efficiency in different properties during the years of 2008 and 2014. The inefficient value is decomposed into three parts. Finally, the influencing factors of enterprise efficiency have been examined. The results show that the total innovation efficiency value of China's high-tech enterprise is0.471, which is lower than the traditional DEA efficiency value significantly. In some provinces, such as Hebei, Liaoning, and Hubei, the enterprises' overall efficiency is low because only 15% of the provinces are "three high" model.Furthermore, in Beijing, Liaoning and other regions, they are due to the inefficiency of domestic enterprises' management. The foreign investment enterprise efficiency loss caused Tianjin's inefficiency. Fujian inefficiency is due to the non-domestic enterprise in the provinces, such as Shanxi and Shanghai.The domestic and non-domestic enterprise inefficiency both occupy a certain proportion. Nationally, the efficiency loss ratio caused by domestic enterprises is about 52.4%, which is the key factor of the overall efficiency loss. Lastly, innovation climate is negatively related to the efficiency of the non-domestic enterprise, and firm size has a positive influence on the efficiency of the non-domestic enterprise. Digestion, absorption capacity, and government funding are negatively related to the efficiency of the domestic enterprise. Intellectual property protection is negatively related to the foreign capital enterprise.Finally, we propose some suggestions. For example:(i) Different policies must be designed according to the regional endowment and ownership characteristics, and focus on the provinces of low efficiencies, such as Hebei, Liaoning, and others. Effective policies need to support the enterprises by project and technical personnel training. Enterprises should get process from a weak link relatively, achieve the "three high" development model, give full play to the advantages of different enterprises in our country, and continue to deepen the market-oriented reform of state-owned enterprises.(ii) Beijing, Liaoning, Hubei and other regions should make full use of the "Internet +" innovation platform and basic research ability from colleges and universities, research institutes and others. Policies need to promote communication and interaction between the enterprise, university scientists, and entrepreneurs, and improve technology development and commercialization of scientific & technological achievements in the domestic enterprise. Tianjin and Fujian should direct more innovation resources to the domestic enterprises of high efficiency, and make the domestic enterprises bigger and stronger. In Shanxi, Shanghai, Jiangsu, etc., the domestic and non-domestic are both needed to strengthen and improve the regional high-tech enterprise innovation ability.(iii) To strengthen the construction of regional high-tech enterprises' innovation environment, the government needs to create a good atmosphere of innovation, and give effective guidance, support, reward and security to enterprise innovation activities. The government needs to further improve the technology trading market environment, develop a more rigorous intellectual property system, develop intellectual property marketing, and maximize the value of the patent and intellectual property rights. To increase investment in basic research and management, the government needs to lead venture capital investment for the enterprises' original innovation, and develop more high and new technology. Governments should make overall arrangement, form the focus of research and development, pay attention to the research and development layout of domestic enterprises, and build a complete industrial chain of independent innovation.
Measuring and analyzing regional high-tech enterprise innovation efficiency & influencing mechanism are helpful for finding out the concrete place of innovation efficiency loss and countermeasures and achieving the efficient allocating of innovation resources. Based on the theory of parallel innovation network in the perspective of ownership, the enterprise innovation activity is decomposed into the parallel development process of the network by the domestic,Hong Kong, Macao, and Taiwan investment and foreign capital enterprises. The parallel network DEA model is constructed to compute the high-tech enterprises' innovation efficiency in different properties during the years of 2008 and 2014. The inefficient value is decomposed into three parts. Finally, the influencing factors of enterprise efficiency have been examined. The results show that the total innovation efficiency value of China's high-tech enterprise is0.471, which is lower than the traditional DEA efficiency value significantly. In some provinces, such as Hebei, Liaoning, and Hubei, the enterprises' overall efficiency is low because only 15% of the provinces are "three high" model.Furthermore, in Beijing, Liaoning and other regions, they are due to the inefficiency of domestic enterprises' management. The foreign investment enterprise efficiency loss caused Tianjin's inefficiency. Fujian inefficiency is due to the non-domestic enterprise in the provinces, such as Shanxi and Shanghai.The domestic and non-domestic enterprise inefficiency both occupy a certain proportion. Nationally, the efficiency loss ratio caused by domestic enterprises is about 52.4%, which is the key factor of the overall efficiency loss. Lastly, innovation climate is negatively related to the efficiency of the non-domestic enterprise, and firm size has a positive influence on the efficiency of the non-domestic enterprise. Digestion, absorption capacity, and government funding are negatively related to the efficiency of the domestic enterprise. Intellectual property protection is negatively related to the foreign capital enterprise.Finally, we propose some suggestions. For example:(i) Different policies must be designed according to the regional endowment and ownership characteristics, and focus on the provinces of low efficiencies, such as Hebei, Liaoning, and others. Effective policies need to support the enterprises by project and technical personnel training. Enterprises should get process from a weak link relatively, achieve the "three high" development model, give full play to the advantages of different enterprises in our country, and continue to deepen the market-oriented reform of state-owned enterprises.(ii) Beijing, Liaoning, Hubei and other regions should make full use of the "Internet +" innovation platform and basic research ability from colleges and universities, research institutes and others. Policies need to promote communication and interaction between the enterprise, university scientists, and entrepreneurs, and improve technology development and commercialization of scientific & technological achievements in the domestic enterprise. Tianjin and Fujian should direct more innovation resources to the domestic enterprises of high efficiency, and make the domestic enterprises bigger and stronger. In Shanxi, Shanghai, Jiangsu, etc., the domestic and non-domestic are both needed to strengthen and improve the regional high-tech enterprise innovation ability.(iii) To strengthen the construction of regional high-tech enterprises' innovation environment, the government needs to create a good atmosphere of innovation, and give effective guidance, support, reward and security to enterprise innovation activities. The government needs to further improve the technology trading market environment, develop a more rigorous intellectual property system, develop intellectual property marketing, and maximize the value of the patent and intellectual property rights. To increase investment in basic research and management, the government needs to lead venture capital investment for the enterprises' original innovation, and develop more high and new technology. Governments should make overall arrangement, form the focus of research and development, pay attention to the research and development layout of domestic enterprises, and build a complete industrial chain of independent innovation.
引文
[1]吴晓波,马如飞,毛茜敏.基于二次创新动态过程的组织学习模式演进-杭氧1996-2008纵向案例研究[J].管理世界,2009,(2):152-164.
[2]Rabb R L,Kotamraju P.The efficiency of the high-tech economy:Conventional development indexes versus a performance index[J].Journal of Regional Science,2006,46(3):545-562.
[3]Lu Y H,Shen C C,Ting C T,et al.Research and development in productivity measurement:An empirical investigation of the high technology industry[J].African Journal of Business Management,2010,4(13):2871-2884.
[4]Wang S,Fan J,Zhao D T,et al.Regional innovation environment and innovation efficiency:the Chinese case[J].Technology Analysis&Strategic Management,2016,28(4):396-410.
[5]Guan J C,Chen K H.Measuring the innovation production process:Across-region empirical study of China’s high-tech innovations[J].Technovation,2010,30(5/6):348-358.
[6]Liu J S,Lu W M,Ho M H.National characteristics:innovation systems from the process efficiency perspective[J].R&DManagement,2015,45(4):317-338.
[7]桂黄宝.我国高技术产业创新效率及其影响因素空间计量分析[J].经济地理,2014,34(6):100-107.
[8]赵树宽,余海晴,巩顺龙.基于DEA方法的吉林省高技术企业创新效率研究[J].科研管理,2013,34(2):36-43.
[9]钱丽,肖仁桥,陈忠卫.环境约束、技术差距与企业创新效率-基于中国省际工业企业的实证研究[J].科学学研究,2015,33(3):378-389.
[10]Lin C,Lin P,Song F.Property rights protection and corporate R&D:Evidence from China[J].Journal of Development Economics,2010,93:49-62.
[11]Chen V Z,Zhang X,Li J,et al.Ownership structure and innovation performance:An emerging market perspective,2012.Available at SSRN 1299737.
[12]刘小玄.中国工业企业的所有制结构对效率差异的影响[J].经济研究,2000(2):42-51.
[13]池仁勇.企业技术创新效率及其影响因素研究[J].数量经济技术经济研究,2003,(6):105-108.
[14]吴延兵.中国哪种所有制类型企业最具创新性?[J].世界经济,2012,(6):3-29.
[15]王华,赖明勇,柒江艺.国际技术转移、异质性与中国企业技术创新研究[J].管理世界,2010(12):131-142.
[16]李政,陆寅宏.国有企业真的缺乏创新能力吗--基于上市公司所有权性质与创新绩效的实证分析与比较[J].经济理论与经济管理,2014(2):27-38.
[17]肖仁桥,王宗军,钱丽.我国不同性质企业技术创新效率及其影响因素研究:基于两阶段价值链的视角[J].管理工程学报,2015,29(2):190-201.
[18]孙晓华,王昀.企业所有制与技术创新效率[J].管理学报,2013,10(7):1041-1047.
[19]赵萌.中国制造业生产效率评价:基于并联决策单元的动态DEA方法[J].系统工程理论与实践,2012,32(6):1251-1260.
[20]Bi G B,Ding J J,Luo Y.Resource allocation and target setting for parallel production system based on DEA[J].Applied Mathematical Modeling,2011,35(9):4270-4280.
[21]刘凤朝,姜滨滨.美国1995-2007年R&D经费效率评价研究-基于来源结构-执行主体的视角[J].科学学与科学技术管理,2013,34(8):18-24.
[22]陈凯华,官建成.非同质平衡子系统整体效率的DEA测度与分解[J].系统工程,2010,28(1):58-63.
[23]Guan J C,Chen K H.Modeling the relative efficiency of national innovation systems[J].Research Policy,2012,41(1):102-115.
[24]Salerno M S,Gomes L,Silva D,et al.Innovation process:which process for which project?[J].Technovation,2015,35:59-70.
[25]Demerjian P,Lev B,McVay S.Quantifying managerial ability:Anew measure and validity tests[J].Management Science,2012,58(7):1229-1248.
[26]Charnes A,Cooper W W,Rhodes E.Measuring the efficiency of decision-making units[J].European Journal of Operational Research,1978,2(6):429-444.
[27]Yang Y S,Ma B J,Koike M.Efficiency measuring DEA model for production system with k independent subsystems[J].Journal of the Operations Research Society of Japan,2000,43(3):343-354.
[28]段永瑞,田澎,张卫平.具有独立子系统的DEA模型及其应用[J].管理工程学报,2006,20(1):27-31.
[29]Kao C.Efficiency measurement for parallel production systems[J].European Journal of Operational Research,2009,196(8):1107-1112.
[30]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.
[31]孙国锋,张婵,姚德文.大中型高技术企业创新效率测度与分解-基于DEA模型的实证分析[J].审计与经济研究,2016,(3):111-119.
[32]Spanos Y E,Vonortas N S,Voudouris I.Antecedents of innovation impacts in publicly funded collaborative R&D projects[J].Technovation,2015,36/37:53-64.
[33]李向东,李南,白俊红,谢忠秋.高技术产业研发创新效率分析[J].中国软科学,2011,(2):52-61.
[34]Shu C L,Zhou K Z,Xiao Y Z,et al.How green management influences product innovation in China:The role of institutional benefits[J].Journal of Business Ethics,2016,133:471-485.
[35]Anderson N,West M A.The team climate inventory:Development of the TCI and its applications in team building for innovativeness[J].European Journal of Work&Organizational Psychology,1996,5(1):53-66.
[36]解学梅,徐茂元.协同创新机制、协同创新氛围与创新绩效-以协同网络为中介变量[J].科研管理,2014,35(12):9-16.
[37]余泳泽.我国高技术产业技术创新效率及其影响因素研究-基于价值链视角下的两阶段分析[J].经济科学,2009,(4):62-74.
[38]Scherer F M,Ross D.Industrial market structure and economic performance[M].Boston:Houghton Mifflin Company,1990:125-134.
[39]Pavitt K,Robson M,Townsend J.The size distribution of innovating firms in the UK:1945-1983[J].Journal of Industrial Economics,1987,35(3):297-316.
[40]Zahra S A,George G.Absorptive capacity:A review,reconceptualization,and extension[J].The Academy of Management Review,2002,27(2):185-203.
[41]Ihsen K,Sofka W,Grimpe C.The Role of internal capabilities and firms’environment for sustainable innovation:Evidence for Germany[J].R&D Management,2015,45(1):60-75.
[42]Duguet E.Are subsidies a substitute or a complement to privately funded R&D?Evidence from France using propensity score methods for non-experiment data[C].Working Paper,75,University de Pair I,2003.
[43]Gorg H,Greenaway D.Much ado about nothing?Do domestic firms really benefit from foreign direct investment?[J].World Bank Research Observer,2004,19(2):171-198.
[44]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.
[45]Maskus K.The role of intellectual property rights in encouraging foreign direct investment and technology transfer[J].Duke Journal of Comparative and International Law,1998,109(9):109-161.
[46]Krammer S.Drivers of national innovation in transition:Evidence from a panel of eastern European countries[J].Research Policy,2009,38(5):845-860.
[47]刘思明,侯鹏,赵彦云.知识产权保护与中国工业创新能力-来自省级大中型工业企业面板数据的实证研究[J].数量经济技术经济研究,2015,(3):40-57.
[48]胡凯,吴清,胡毓敏.知识产权保护的技术创新效应-基于技术交易市场视角和省级面板数据的实证分析[J].财经研究,2012,38(8):15-25.
[49]李习保.中国区域创新能力变迁的实证分析:基于创新系统的观点[J].管理世界,2007,(12):18-31.
[2]Rabb R L,Kotamraju P.The efficiency of the high-tech economy:Conventional development indexes versus a performance index[J].Journal of Regional Science,2006,46(3):545-562.
[3]Lu Y H,Shen C C,Ting C T,et al.Research and development in productivity measurement:An empirical investigation of the high technology industry[J].African Journal of Business Management,2010,4(13):2871-2884.
[4]Wang S,Fan J,Zhao D T,et al.Regional innovation environment and innovation efficiency:the Chinese case[J].Technology Analysis&Strategic Management,2016,28(4):396-410.
[5]Guan J C,Chen K H.Measuring the innovation production process:Across-region empirical study of China’s high-tech innovations[J].Technovation,2010,30(5/6):348-358.
[6]Liu J S,Lu W M,Ho M H.National characteristics:innovation systems from the process efficiency perspective[J].R&DManagement,2015,45(4):317-338.
[7]桂黄宝.我国高技术产业创新效率及其影响因素空间计量分析[J].经济地理,2014,34(6):100-107.
[8]赵树宽,余海晴,巩顺龙.基于DEA方法的吉林省高技术企业创新效率研究[J].科研管理,2013,34(2):36-43.
[9]钱丽,肖仁桥,陈忠卫.环境约束、技术差距与企业创新效率-基于中国省际工业企业的实证研究[J].科学学研究,2015,33(3):378-389.
[10]Lin C,Lin P,Song F.Property rights protection and corporate R&D:Evidence from China[J].Journal of Development Economics,2010,93:49-62.
[11]Chen V Z,Zhang X,Li J,et al.Ownership structure and innovation performance:An emerging market perspective,2012.Available at SSRN 1299737.
[12]刘小玄.中国工业企业的所有制结构对效率差异的影响[J].经济研究,2000(2):42-51.
[13]池仁勇.企业技术创新效率及其影响因素研究[J].数量经济技术经济研究,2003,(6):105-108.
[14]吴延兵.中国哪种所有制类型企业最具创新性?[J].世界经济,2012,(6):3-29.
[15]王华,赖明勇,柒江艺.国际技术转移、异质性与中国企业技术创新研究[J].管理世界,2010(12):131-142.
[16]李政,陆寅宏.国有企业真的缺乏创新能力吗--基于上市公司所有权性质与创新绩效的实证分析与比较[J].经济理论与经济管理,2014(2):27-38.
[17]肖仁桥,王宗军,钱丽.我国不同性质企业技术创新效率及其影响因素研究:基于两阶段价值链的视角[J].管理工程学报,2015,29(2):190-201.
[18]孙晓华,王昀.企业所有制与技术创新效率[J].管理学报,2013,10(7):1041-1047.
[19]赵萌.中国制造业生产效率评价:基于并联决策单元的动态DEA方法[J].系统工程理论与实践,2012,32(6):1251-1260.
[20]Bi G B,Ding J J,Luo Y.Resource allocation and target setting for parallel production system based on DEA[J].Applied Mathematical Modeling,2011,35(9):4270-4280.
[21]刘凤朝,姜滨滨.美国1995-2007年R&D经费效率评价研究-基于来源结构-执行主体的视角[J].科学学与科学技术管理,2013,34(8):18-24.
[22]陈凯华,官建成.非同质平衡子系统整体效率的DEA测度与分解[J].系统工程,2010,28(1):58-63.
[23]Guan J C,Chen K H.Modeling the relative efficiency of national innovation systems[J].Research Policy,2012,41(1):102-115.
[24]Salerno M S,Gomes L,Silva D,et al.Innovation process:which process for which project?[J].Technovation,2015,35:59-70.
[25]Demerjian P,Lev B,McVay S.Quantifying managerial ability:Anew measure and validity tests[J].Management Science,2012,58(7):1229-1248.
[26]Charnes A,Cooper W W,Rhodes E.Measuring the efficiency of decision-making units[J].European Journal of Operational Research,1978,2(6):429-444.
[27]Yang Y S,Ma B J,Koike M.Efficiency measuring DEA model for production system with k independent subsystems[J].Journal of the Operations Research Society of Japan,2000,43(3):343-354.
[28]段永瑞,田澎,张卫平.具有独立子系统的DEA模型及其应用[J].管理工程学报,2006,20(1):27-31.
[29]Kao C.Efficiency measurement for parallel production systems[J].European Journal of Operational Research,2009,196(8):1107-1112.
[30]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.
[31]孙国锋,张婵,姚德文.大中型高技术企业创新效率测度与分解-基于DEA模型的实证分析[J].审计与经济研究,2016,(3):111-119.
[32]Spanos Y E,Vonortas N S,Voudouris I.Antecedents of innovation impacts in publicly funded collaborative R&D projects[J].Technovation,2015,36/37:53-64.
[33]李向东,李南,白俊红,谢忠秋.高技术产业研发创新效率分析[J].中国软科学,2011,(2):52-61.
[34]Shu C L,Zhou K Z,Xiao Y Z,et al.How green management influences product innovation in China:The role of institutional benefits[J].Journal of Business Ethics,2016,133:471-485.
[35]Anderson N,West M A.The team climate inventory:Development of the TCI and its applications in team building for innovativeness[J].European Journal of Work&Organizational Psychology,1996,5(1):53-66.
[36]解学梅,徐茂元.协同创新机制、协同创新氛围与创新绩效-以协同网络为中介变量[J].科研管理,2014,35(12):9-16.
[37]余泳泽.我国高技术产业技术创新效率及其影响因素研究-基于价值链视角下的两阶段分析[J].经济科学,2009,(4):62-74.
[38]Scherer F M,Ross D.Industrial market structure and economic performance[M].Boston:Houghton Mifflin Company,1990:125-134.
[39]Pavitt K,Robson M,Townsend J.The size distribution of innovating firms in the UK:1945-1983[J].Journal of Industrial Economics,1987,35(3):297-316.
[40]Zahra S A,George G.Absorptive capacity:A review,reconceptualization,and extension[J].The Academy of Management Review,2002,27(2):185-203.
[41]Ihsen K,Sofka W,Grimpe C.The Role of internal capabilities and firms’environment for sustainable innovation:Evidence for Germany[J].R&D Management,2015,45(1):60-75.
[42]Duguet E.Are subsidies a substitute or a complement to privately funded R&D?Evidence from France using propensity score methods for non-experiment data[C].Working Paper,75,University de Pair I,2003.
[43]Gorg H,Greenaway D.Much ado about nothing?Do domestic firms really benefit from foreign direct investment?[J].World Bank Research Observer,2004,19(2):171-198.
[44]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.
[45]Maskus K.The role of intellectual property rights in encouraging foreign direct investment and technology transfer[J].Duke Journal of Comparative and International Law,1998,109(9):109-161.
[46]Krammer S.Drivers of national innovation in transition:Evidence from a panel of eastern European countries[J].Research Policy,2009,38(5):845-860.
[47]刘思明,侯鹏,赵彦云.知识产权保护与中国工业创新能力-来自省级大中型工业企业面板数据的实证研究[J].数量经济技术经济研究,2015,(3):40-57.
[48]胡凯,吴清,胡毓敏.知识产权保护的技术创新效应-基于技术交易市场视角和省级面板数据的实证分析[J].财经研究,2012,38(8):15-25.
[49]李习保.中国区域创新能力变迁的实证分析:基于创新系统的观点[J].管理世界,2007,(12):18-31.