研发投入产出国际比较研究
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摘要
21世纪,研发国际化已经成为继贸易全球化、生产全球化、金融资本化之后,世界经济一体化发展的新趋势。研发在推动国家综合实力提升上起着重要的作用,并已成为政府部门和学术界关注的热点问题。
本论文以科技部科技基础性工作专项课题“我国R&D相关指标国际比较跟踪研究(2007FY240800-08)”为依托,从国内外研发投入产出的文献综述出发,通过对已有研究成果的评析,确定了以研发投入与产出国际比较作为本文的研究对象,并具体做了以下研究工作:
首先,以灰色关联度模型为基础,结合各国研发经费和科研人员的投入情况,从企业、高等院校和科研机构三大研发经费执行部门的角度,对比分析了我国与其它国家研发经费及科研人员投入与经济发展间的关系。研究结果表明,研发经费投入及科研人员投入与经济发展间存在着较大的相关关系,并且,科研人员投入与经济发展的关联性更高。此外,按执行部门看,高等院校和企业部门的科研人员投入、企业部门的研发经费投入与经济发展呈现出较高的关联性,而科研机构的科研人员、高等院校的研发经费投入与经济发展的关联性不高。
其次,以协同学理论为基础,利用复合系统协调度评价模型和相关评价指标,分别建立了研发投入和经济发展的子系统,研究测算了1992-2006年我国研发整体投入以及企业、高等院校和科研机构三大部分的研发投入与经济发展间的协调度,并与世界主要发达国家进行了比较。研究结果表明,我国企业研发投入中的研发经费和科研人员均落后于经济发展水平;我国高等院校研发经费投入的协调度明显要低于科研人员投入的协调度,也明显落后于经济发展水平。我国科研机构研发投入与经济的协调性在所对比的国家中较高,但这种提高主要依靠研发经费的增长,科研人员的投入数量略显不足。
最后,在以上研发投入分析的基础上,建立了统一的投入产出指标体系,利用数据包络分析和随机前沿分析方法,对不同国家1998-2005年的研发创新投入活动进行了产出效率评价,并运用聚类分析方法对各国的研发创新类型进行了划分。然后,按照相邻两年和7年跨度的思路,计算Malmquist指数,分析了各国的技术进步、技术效率及规模效率的变动情况。研究结果表明,大多数国家研发效率的提高主要依靠规模效率推动,我国的研发总体效率不高,仍属于综合型国家,与德日韩等发明型国家仍有一定的差距。我国的技术进步效率不高,应重点加强研发活动中的技术进步,并逐步提高研发投入的规模。细分产出看,研发投入在提高我国高技术产品增加值及出口方面的效率水平较好;我国三方专利研发的全要素生产率排名较高,技术效率提升明显,且纯技术效率的提升幅度远高于规模效率,而技术进步不明显,我国三方专利产出的整体效率水平依然偏低。
R&D internationalization has become the new trend in the world economic integration after the globalization of trade and production as well as the financial capitalization in the 20th century. R&D plays an important role in enhancing a country’s comprehensive strength. It has also become a hot issue among government bodies and academia.
On the basis of International comparative and tracking study on related indicators of R&D in China (NO. 2007FY240800-08), the fundamental project initiated by Ministry of Science and Technology of the People’s Republic of China, this paper starts from the domestic and foreign literature and reviews of R&D input and output, analyzes the existing research results and identifies the international comparison of R&D inputs and outputs as the object of this paper. The following specific studies are conducted:
First of all, on the basis of the grey incidence theory, this paper compares and analyzes the relationship between R&D expenditure, scientific researcher and economic development between China and other countries in combination from the angle of three major R&D investment implementing organizations: business enterprise, higher learning institution and research institute. The research result indicates that there is significant relationship between the R&D, scientific researcher investment and economic development. The scientific researcher is even more closely related to the economic development. In addition, there are higher degree of relevance between the scientific researcher in higher learning institutions and enterprises, and between the enterprise’s R&D expenditure and economic development, while lower relevance with the scientific researcher in research institutes, the R&D expenditure in higher learning institutions.
Secondly, based on the composite system model of coordination degree of compound system as well as related indicators, two sub-systems of R&D investment and economic development have been respectively established to study and measure the coordination between the overall Chinese R&D investment from 1992 to 2006, the R&D investment from enterprises, higher learning institutions and research institutes and economic development, with comparison with these of major developed countries. The research result indicates a good coordinated development between R&D investment and economic development and a higher degree of coordination than that of developed countries. But the coordination of R&D investment in China’s higher learning institutions is remarkably lower than that of scientist and engineer and greatly falls behind the GDP growth. The degree of coordination between R&D investment and economic development in China is comparatively higher among all the comparing countries and shows a growing trend on an annual basis. The growth is driven by increase of R&D investment while the investment on scientist and engineer is insufficient.
Finally, on the basis of above R&D investment analysis, this paper analyzes the efficiency of output from the R&D and innovation investment from 1998 to 2005 among different countries using the Data Envelopment Analysis and Stochastic Frontier Analysis through establishment of a consistent indicator system of input and output. Cluster analysis is used to categorize the R&D and innovation investments in different countries. The Malmquist indexes are calculated to analyze the changes in technical progress, technical efficiency and scale efficiency in different countries with a perspective of adjacent two years and a seven-year span. The results indicate that the R&D and innovation in most countries are mainly driven by scale efficiency; the overall R&D efficiency in China is low which makes China a synthesizing country lagging behind invention-driven countries such as Germany, Japan and Korea. China shall emphasize the technical progress in R&D and expand the scale of R&D investment as china has low technical progress efficiency. The third party output efficiency is very low although R&D investment plays a positive role in the added value and export of high-tech products in China. The total factor productivity of third party patent and R&D of China ranks high with distinct technical efficiency growth. The scope of pure technical efficiency growth is much higher than that of scale efficiency while technical progress is not quite visible.
本论文以科技部科技基础性工作专项课题“我国R&D相关指标国际比较跟踪研究(2007FY240800-08)”为依托,从国内外研发投入产出的文献综述出发,通过对已有研究成果的评析,确定了以研发投入与产出国际比较作为本文的研究对象,并具体做了以下研究工作:
首先,以灰色关联度模型为基础,结合各国研发经费和科研人员的投入情况,从企业、高等院校和科研机构三大研发经费执行部门的角度,对比分析了我国与其它国家研发经费及科研人员投入与经济发展间的关系。研究结果表明,研发经费投入及科研人员投入与经济发展间存在着较大的相关关系,并且,科研人员投入与经济发展的关联性更高。此外,按执行部门看,高等院校和企业部门的科研人员投入、企业部门的研发经费投入与经济发展呈现出较高的关联性,而科研机构的科研人员、高等院校的研发经费投入与经济发展的关联性不高。
其次,以协同学理论为基础,利用复合系统协调度评价模型和相关评价指标,分别建立了研发投入和经济发展的子系统,研究测算了1992-2006年我国研发整体投入以及企业、高等院校和科研机构三大部分的研发投入与经济发展间的协调度,并与世界主要发达国家进行了比较。研究结果表明,我国企业研发投入中的研发经费和科研人员均落后于经济发展水平;我国高等院校研发经费投入的协调度明显要低于科研人员投入的协调度,也明显落后于经济发展水平。我国科研机构研发投入与经济的协调性在所对比的国家中较高,但这种提高主要依靠研发经费的增长,科研人员的投入数量略显不足。
最后,在以上研发投入分析的基础上,建立了统一的投入产出指标体系,利用数据包络分析和随机前沿分析方法,对不同国家1998-2005年的研发创新投入活动进行了产出效率评价,并运用聚类分析方法对各国的研发创新类型进行了划分。然后,按照相邻两年和7年跨度的思路,计算Malmquist指数,分析了各国的技术进步、技术效率及规模效率的变动情况。研究结果表明,大多数国家研发效率的提高主要依靠规模效率推动,我国的研发总体效率不高,仍属于综合型国家,与德日韩等发明型国家仍有一定的差距。我国的技术进步效率不高,应重点加强研发活动中的技术进步,并逐步提高研发投入的规模。细分产出看,研发投入在提高我国高技术产品增加值及出口方面的效率水平较好;我国三方专利研发的全要素生产率排名较高,技术效率提升明显,且纯技术效率的提升幅度远高于规模效率,而技术进步不明显,我国三方专利产出的整体效率水平依然偏低。
R&D internationalization has become the new trend in the world economic integration after the globalization of trade and production as well as the financial capitalization in the 20th century. R&D plays an important role in enhancing a country’s comprehensive strength. It has also become a hot issue among government bodies and academia.
On the basis of International comparative and tracking study on related indicators of R&D in China (NO. 2007FY240800-08), the fundamental project initiated by Ministry of Science and Technology of the People’s Republic of China, this paper starts from the domestic and foreign literature and reviews of R&D input and output, analyzes the existing research results and identifies the international comparison of R&D inputs and outputs as the object of this paper. The following specific studies are conducted:
First of all, on the basis of the grey incidence theory, this paper compares and analyzes the relationship between R&D expenditure, scientific researcher and economic development between China and other countries in combination from the angle of three major R&D investment implementing organizations: business enterprise, higher learning institution and research institute. The research result indicates that there is significant relationship between the R&D, scientific researcher investment and economic development. The scientific researcher is even more closely related to the economic development. In addition, there are higher degree of relevance between the scientific researcher in higher learning institutions and enterprises, and between the enterprise’s R&D expenditure and economic development, while lower relevance with the scientific researcher in research institutes, the R&D expenditure in higher learning institutions.
Secondly, based on the composite system model of coordination degree of compound system as well as related indicators, two sub-systems of R&D investment and economic development have been respectively established to study and measure the coordination between the overall Chinese R&D investment from 1992 to 2006, the R&D investment from enterprises, higher learning institutions and research institutes and economic development, with comparison with these of major developed countries. The research result indicates a good coordinated development between R&D investment and economic development and a higher degree of coordination than that of developed countries. But the coordination of R&D investment in China’s higher learning institutions is remarkably lower than that of scientist and engineer and greatly falls behind the GDP growth. The degree of coordination between R&D investment and economic development in China is comparatively higher among all the comparing countries and shows a growing trend on an annual basis. The growth is driven by increase of R&D investment while the investment on scientist and engineer is insufficient.
Finally, on the basis of above R&D investment analysis, this paper analyzes the efficiency of output from the R&D and innovation investment from 1998 to 2005 among different countries using the Data Envelopment Analysis and Stochastic Frontier Analysis through establishment of a consistent indicator system of input and output. Cluster analysis is used to categorize the R&D and innovation investments in different countries. The Malmquist indexes are calculated to analyze the changes in technical progress, technical efficiency and scale efficiency in different countries with a perspective of adjacent two years and a seven-year span. The results indicate that the R&D and innovation in most countries are mainly driven by scale efficiency; the overall R&D efficiency in China is low which makes China a synthesizing country lagging behind invention-driven countries such as Germany, Japan and Korea. China shall emphasize the technical progress in R&D and expand the scale of R&D investment as china has low technical progress efficiency. The third party output efficiency is very low although R&D investment plays a positive role in the added value and export of high-tech products in China. The total factor productivity of third party patent and R&D of China ranks high with distinct technical efficiency growth. The scope of pure technical efficiency growth is much higher than that of scale efficiency while technical progress is not quite visible.
引文
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