产权性质、技术差距与高技术企业创新效率
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摘要
基于两阶段价值链视角,将产权性质纳入企业创新研究框架,利用共同前沿理论和DEA模型测度分析2007-2016年两种前沿下中国区域不同性质企业创新效率差异,探索不同性质企业两阶段技术差距及其影响因素,结果表明:①中国各省份不同性质企业效率差异明显,国有企业研发和成果转化效率最低,而外资企业效率较高,各企业成果转化效率递减趋势明显,共同前沿下效率值均不超过群组前沿下效率值;②国有、民营等四大群组间在两阶段均存在明显的技术落差,成果转化阶段国有-港澳台、国有-外资之间的技术差距均值分别为0.124和0.110,且技术差距值在不断增大,2016年接近于0.300;③所有制结构加剧了国企与其它企业间技术差距,政府支持、劳动者素质对国有-民营、国有-外资企业两阶段技术差距起阻滞作用,产学研合作、知识产权保护、金融环境和外商投资对3种技术差距分别产生不同程度的影响。
Based on the angle of value chain in two stage,and incorporating the nature of property rights into the research framework of enterprise innovation,meta-frontier theory and DEA model were used to measure the innovation efficiency of different types of enterprises in China under the two frontiers from 2007 to 2016,and then,it explored the technology gap and its influencing factors in different nature of enterprises in two stages.The results show that:the enterprises' efficiency of different natures is obviously different in China's provinces,the efficiency of R&D and achievement transformation of state-owned enterprises is the lowest,while the efficiency of foreign-funded enterprises is relatively high,the transformation efficiency of various enterprises is decreasing obviously,and the efficiency under meta-frontier is less than the efficiency under the group frontier;there are obvious technical gaps between state-owned and privately-owned groups in the two stages,in the transformation stage,the technical gap between state-owned,Hong Kong,Macao,and Taiwanowned and foreign-funded countries was 0.124 and 0.110 respectively,and the technical gap was increasing,the value is close to 0.300 in 2016;ownership structure has aggravated the technological gap between state-owned enterprises and other enterprises.The government support and the quality of labor have hindered the two-stage technological gap between state-private and state-foreign enterprises.Industry-university-research cooperation,intellectual property protection,financial environment and foreign investment have different influences on the technology gaps.
Based on the angle of value chain in two stage,and incorporating the nature of property rights into the research framework of enterprise innovation,meta-frontier theory and DEA model were used to measure the innovation efficiency of different types of enterprises in China under the two frontiers from 2007 to 2016,and then,it explored the technology gap and its influencing factors in different nature of enterprises in two stages.The results show that:the enterprises' efficiency of different natures is obviously different in China's provinces,the efficiency of R&D and achievement transformation of state-owned enterprises is the lowest,while the efficiency of foreign-funded enterprises is relatively high,the transformation efficiency of various enterprises is decreasing obviously,and the efficiency under meta-frontier is less than the efficiency under the group frontier;there are obvious technical gaps between state-owned and privately-owned groups in the two stages,in the transformation stage,the technical gap between state-owned,Hong Kong,Macao,and Taiwanowned and foreign-funded countries was 0.124 and 0.110 respectively,and the technical gap was increasing,the value is close to 0.300 in 2016;ownership structure has aggravated the technological gap between state-owned enterprises and other enterprises.The government support and the quality of labor have hindered the two-stage technological gap between state-private and state-foreign enterprises.Industry-university-research cooperation,intellectual property protection,financial environment and foreign investment have different influences on the technology gaps.
引文
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[22]陈元志,陈劲,吉超.中国不同类型企业技术创新效率的趋势与比较[J].科研管理,2018,39(5):1-10.
[23]CHIO 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.
[24]钱雪松,方胜.担保物权制度改革影响了民营企业负债融资吗?---来自中国《物权法》自然实验的经验证据[J].经济研究,2017(5):146-160.
[25]陈晓玲,郭斌,郭京京,等.技术梯度、市场梯度与制造业产业追赶绩效[J].科学学研究,2017,35(7):982-994.
[26]O’DONNEL C,RAO D,BATTESE G E.Meta-frontier frameworks for the study of firm-level efficiency and technology ratios[J].Empirical Economics,2008,34(2):231-255.
[27]余泳泽.中国区域创新活动的“协同效应”与“挤占效应”---基于创新价值链视角的研究[J].中国工业经济,2015(10):37-52.
[28]钱丽,王文平,肖仁桥.共享投入关联视角下中国区域工业企业绿色创新效率差异研究[J].中国人口·资源与环境,2018,28(5):27-39.
[29]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.
[30]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.
[2]WOJCIK P.Exploring links between dynamic capabilities perspective and resource-based view:a literature overview[J].International Journal of Management and Economics,2015,45:83-107.
[3]CHEN X F,LIU Z Y,ZHU Q Y.Performance evaluation of China's high-tech innovation process:analysis based on the innovation value chain[J].Technovation,2018,74/75:42-53.
[4]NAMAZI M,MOHAMMADI E.Natural resource dependence and economic growth:a TOPSIS/DEA analysis of innovation efficiency[J].Resource Policy,2018,59:544-552.
[5]刁秀华,李姣姣,李宇.高技术产业的企业规模质量、技术创新效率及区域差异的门槛效应[J].中国软科学,2018(11):184-192.
[6]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.
[7]孙早,肖利平,刘李华.产业所有制结构变化与产业创新绩效改善---国有企业为主的产业所有制结构就一定不利于产业创新吗[J].南开经济研究,2017(6):3-19.
[8]HART O,SHLEIFER A,VISHNY R W.The proper scope of government:theory and an application to prisons[J].Quarterly Journal of Economics,1997,112(4):1127-1161.
[9]LEE P M,O’NEILL H M.Ownership structure and R&Dinvestment of U.S.and Japanese firms:agency and stewardship perspective[J].Academy of Management Journal,2003,46(2):212-259.
[10]ERSOY H,KOY A.The relationship between corporate performance and ownership structure:evidence from Turkey[J].Emerging Markets Journal,2015,5(2):9-18.
[11]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.
[12]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.
[13]张秀峰,陈光华,杨国梁.基于DEA模型的产学研合作研发效率研究[J].研究与发展管理,2016,28(5):82-90.
[14]ZHANG A,ZHANG Y,RONALD Z.A study of the R&D efficiency and productivity of Chinese firms[J].Journal of Comparative Economics,2003,31(3):444-464.
[15]GUAN J C,CHEN K H.Measuring the innovation production process:a cross-region empirical study of China’s high-tech innovations[J].Technovation,2010,30(5/6):348-358.
[16]吴延兵.不同所有制企业技术创新能力考察[J].产业经济研究,2014(2):53-64.
[17]李新春,李胜文,张书军.高技术与非高技术产业创新的单要素效率[J].中国工业经济,2010,28(5):68-77.
[18]BATTESE G E,RAO D S P,O’DONNEL C.A metafrontier production function for estimation of technical efficiencies and technology gaps for operating under different technologies[J].Journal of Productivity Analysis,2004,121:91-103.
[19]姚炯,沈能.技术异质性与区域低碳创新效率评价[J].科技进步与对策,2018,35(22):45-54.
[20]PARK J H,SHIN K.Efficiency of government-sponsored R&D projects:a meta-frontier DEA approach[J].Sustainability,2018(10):1-17.
[21]肖仁桥,王宗军,钱丽.技术差距视角下我国不同性质企业创新效率研究[J].数量经济技术经济研究,2015(10):38-55.
[22]陈元志,陈劲,吉超.中国不同类型企业技术创新效率的趋势与比较[J].科研管理,2018,39(5):1-10.
[23]CHIO 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.
[24]钱雪松,方胜.担保物权制度改革影响了民营企业负债融资吗?---来自中国《物权法》自然实验的经验证据[J].经济研究,2017(5):146-160.
[25]陈晓玲,郭斌,郭京京,等.技术梯度、市场梯度与制造业产业追赶绩效[J].科学学研究,2017,35(7):982-994.
[26]O’DONNEL C,RAO D,BATTESE G E.Meta-frontier frameworks for the study of firm-level efficiency and technology ratios[J].Empirical Economics,2008,34(2):231-255.
[27]余泳泽.中国区域创新活动的“协同效应”与“挤占效应”---基于创新价值链视角的研究[J].中国工业经济,2015(10):37-52.
[28]钱丽,王文平,肖仁桥.共享投入关联视角下中国区域工业企业绿色创新效率差异研究[J].中国人口·资源与环境,2018,28(5):27-39.
[29]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.
[30]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.