基于R & D经费筹集来源的工业企业技术创新效率评价
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摘要
从效率的角度出发,采用基于串联的两阶段DEA模型测算2011-2015年30个地区规模以上工业企业整体效率及其子阶段(技术研发阶段和成果转化阶段)效率,并进一步分析了不同R&D经费筹集来源对工业企业创新不同阶段效率的影响。研究结果发现:规模以上工业企业整体效率2011-2014年呈上升趋势,并在2014年达到峰值,其中,转化效率起到很大推动作用;按区域划分,东部地区平均研发效率明显高于中西部地区,而中部地区工业企业成果转化效率明显高于其它地区;从R&D经费筹集来源看,政府以税收补助的方式更能促进企业技术研发效率提高,而在技术成果转化阶段则企业自有资金能显著促进转化效率提高,政府直接补助对企业总体效率和各阶段子效率都起到负向作用。
Based on a series of two-stage DEA model,this article selects industrial enterprises in 30 regions from 2011 to2015 and assesses the system efficiency and two-stages' efficiencies,and further measures the effect of the different R & D expenditure on technology research stage and achievements transformation stage.The results show as follow:the overall efficiency of the industrial enterprises increased from 2011 to 2014,and reached a peak in 2014,which largely promoted by the transfer efficiency;the average R&D efficiency in the eastern region is significantly higher than that in the central and western regions,while the transfer efficiency of industrial enterprises in the central region is significantly higher than that of other regions;According to the different sources of R&D funding,we find government tax subsidies can promote the research and development efficiency while in the technology transfer stage,enterprise's own capital can significantly promote the transformation of technological achievements.The results also indicate that the government direct subsidies have negative effects on the system efficiency and divisional efficiencies.
Based on a series of two-stage DEA model,this article selects industrial enterprises in 30 regions from 2011 to2015 and assesses the system efficiency and two-stages' efficiencies,and further measures the effect of the different R & D expenditure on technology research stage and achievements transformation stage.The results show as follow:the overall efficiency of the industrial enterprises increased from 2011 to 2014,and reached a peak in 2014,which largely promoted by the transfer efficiency;the average R&D efficiency in the eastern region is significantly higher than that in the central and western regions,while the transfer efficiency of industrial enterprises in the central region is significantly higher than that of other regions;According to the different sources of R&D funding,we find government tax subsidies can promote the research and development efficiency while in the technology transfer stage,enterprise's own capital can significantly promote the transformation of technological achievements.The results also indicate that the government direct subsidies have negative effects on the system efficiency and divisional efficiencies.
引文
[1]李新功.政府R&D资助、金融信贷与企业技术创新[J].管理评论,2016,28(12):54-62.
[2]CARBONI O A.The effect of public support on investment and R&D:an empirical evaluation on European manufacturing firms[J].Technological Forecasting&Social Change,2017,117.
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[11]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.
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[13]王俊.政府R&D资助与企业R&D投入的产出效率比较[J].数量经济技术经济研究,2011(6):93-106.
[14]白俊红.中国的政府R&D资助有效吗?来自大中型工业企业的经验证据[J].经济学:季刊,2011,10(4):1375-1400.
[15]CHEN Y,COOK W D,LI N,et al.Additive efficiency decomposition in two-stage DEA[J].European Journal of Operational Research,2009,196(3):1170-1176.
[16]SEIFORD L M,ZHU J.Profitability and marketability of the top 55U.S.commercial banks[M].INFORMS,1999.
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[18]LIANG L,COOK W D,ZHU J.DEA models for two﹕tage processes:game approach and efficiency decomposition[J].Naval Research Logistics,2010,55(7):643-653.
[19]MEI H C H,LIU J S,LU W M,et al.A new perspective to explore the technology transfer efficiencies in US universities[J].Journal of Technology Transfer,2014,39(2):247-275.
[20]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.
[21]冯志军,陈伟.中国高技术产业研发创新效率研究---基于资源约束型两阶段DEA模型的新视角[J].系统工程理论与实践,2014(5):1202-1212.
[22]李阳.基于网络DEA的地区工业企业技术创新效率研究[J].统计与决策,2015(23):85-89.
[23]孙丝雨,安增龙.两阶段视角下国有工业企业绿色技术创新效率评价---基于网络EBM模型的分析[J].财会月刊,2016(35):20-25.
[24]KOELLER C T.Innovation,market structure and firm size:a simultaneous equations model[J].Managerial&Decision Economics,1995,16(3):259-269.
[25]HOTTENROTT H,LOPES-BENTO C.(International)R&D collaboration and SMEs:the effectiveness of targeted public R&D support schemes[J].Research Policy,2014,43(6):1055-1066.
[26]刘德胜,张玉明.政府研发资助驱动SME研发及其效果研究[J].软科学,2010,24(7):27-31.
[27]王遂昆,郝继伟.政府补贴、税收与企业研发创新绩效关系研究---基于深圳中小板上市企业的经验证据[J].科技进步与对策,2014(9):92-96.
[28]KLETTE T J,MOEN J,GRILICHES Z.Do subsidies to commercial R&D reduce market failures?microeconometric evaluation studies[J].Research Policy,1999,29(4):471-495.
[29]MEULEMAN M,MAESENEIRE W D.Do R&D subsidies affect SMEs’access to external financing[J].Research Policy,2012,41(3):580-591.
[2]CARBONI O A.The effect of public support on investment and R&D:an empirical evaluation on European manufacturing firms[J].Technological Forecasting&Social Change,2017,117.
[3]GONZALEZ X,PAZO C.Do public subsidies stimulate private R&D spending[J].Research Policy,2008,37(3):371-389.
[4]肖丁丁,朱桂龙,王静.政府科技投入对企业R&D支出影响的再审视---基于分位数回归的实证研究[J].研究与发展管理,2013,25(3):25-32.
[5]WALLSTEN S J.The effects of government-industry R&D programs on private R&D:the case of the small business innovation research program[J].Rand Journal of Economics,2000,31(1):82-100.
[6]任毅,丁黄艳.我国不同所有制工业企业经济效率的比较研究---基于规模效率、管理水平和技术创新视角[J].产业经济研究,2014(1):103-110.
[7]冯志军,陈伟.技术来源与研发创新全要素生产率增长---基于中国区域大中型工业企业的实证研究[J].科学学与科学技术管理,2013,34(3):33-41.
[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]方福前,张平.我国高技术产业的投入产出效率分析[J].中国软科学,2009(7):48-55.
[10]晏蒙,孟令杰.基于DEA方法的中国工业科技创新效率分析[J].中国管理科学,2015(s1):77-82.
[11]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.
[12]肖仁桥,钱丽,陈忠卫.中国高技术产业创新效率及其影响因素研究[J].管理科学,2012,25(5):85-98.
[13]王俊.政府R&D资助与企业R&D投入的产出效率比较[J].数量经济技术经济研究,2011(6):93-106.
[14]白俊红.中国的政府R&D资助有效吗?来自大中型工业企业的经验证据[J].经济学:季刊,2011,10(4):1375-1400.
[15]CHEN Y,COOK W D,LI N,et al.Additive efficiency decomposition in two-stage DEA[J].European Journal of Operational Research,2009,196(3):1170-1176.
[16]SEIFORD L M,ZHU J.Profitability and marketability of the top 55U.S.commercial banks[M].INFORMS,1999.
[17]KAO C,HWANG S N.Efficiency decomposition in twostage data envelopment analysis:an application to non-life insurance companies in Taiwan[J].European Journal of Operational Research,2008,185(1):418-429.
[18]LIANG L,COOK W D,ZHU J.DEA models for two﹕tage processes:game approach and efficiency decomposition[J].Naval Research Logistics,2010,55(7):643-653.
[19]MEI H C H,LIU J S,LU W M,et al.A new perspective to explore the technology transfer efficiencies in US universities[J].Journal of Technology Transfer,2014,39(2):247-275.
[20]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.
[21]冯志军,陈伟.中国高技术产业研发创新效率研究---基于资源约束型两阶段DEA模型的新视角[J].系统工程理论与实践,2014(5):1202-1212.
[22]李阳.基于网络DEA的地区工业企业技术创新效率研究[J].统计与决策,2015(23):85-89.
[23]孙丝雨,安增龙.两阶段视角下国有工业企业绿色技术创新效率评价---基于网络EBM模型的分析[J].财会月刊,2016(35):20-25.
[24]KOELLER C T.Innovation,market structure and firm size:a simultaneous equations model[J].Managerial&Decision Economics,1995,16(3):259-269.
[25]HOTTENROTT H,LOPES-BENTO C.(International)R&D collaboration and SMEs:the effectiveness of targeted public R&D support schemes[J].Research Policy,2014,43(6):1055-1066.
[26]刘德胜,张玉明.政府研发资助驱动SME研发及其效果研究[J].软科学,2010,24(7):27-31.
[27]王遂昆,郝继伟.政府补贴、税收与企业研发创新绩效关系研究---基于深圳中小板上市企业的经验证据[J].科技进步与对策,2014(9):92-96.
[28]KLETTE T J,MOEN J,GRILICHES Z.Do subsidies to commercial R&D reduce market failures?microeconometric evaluation studies[J].Research Policy,1999,29(4):471-495.
[29]MEULEMAN M,MAESENEIRE W D.Do R&D subsidies affect SMEs’access to external financing[J].Research Policy,2012,41(3):580-591.