中国与世界主要国家研发效率的测度与比较
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摘要
为测度中国及世界主要国家研发效率,明确中国整体研发效率发展现状。运用中国与世界主要国家1996—2014年国家层面面板数据,构建研发效率测度的数量指标体系和质量指标体系,使用超效率DEA模型和Malmquist指数方法测度并比较中国与世界主要国家研发效率。研究发现,无论是数量指标体系还是质量指标体系,中国的研发效率进步都较为明显,但仍然有较大的改进空间。同时,数量指标体系下中国的研发效率排名要高于质量指标体系下的排名,但中国的研发产出正逐步从只注重数量上的提升转变为数量和质量并重的发展趋势。
This paper measures the R&D efficiency of China and the major countries in the world,and clarifies the status of China's R&D efficiency.We use the panel data of China and the world's major countries from 1996 to 2014 to construct the quantitative index system and quality index system.Then,DEA model and Malmquist method are applied to measure the major countries' R&D Efficiency from the aspects of quantity and quality of technology output.The research find that China's R&D efficiency is more obvious in terms of quantity index system and quality indicator system.At the same time,the rank of China's R&D efficiency under the quantitative index system is higher than under the quality index system,but China's R&D efficiency is gradually changing from the quantitative promotion to quality improvement.
This paper measures the R&D efficiency of China and the major countries in the world,and clarifies the status of China's R&D efficiency.We use the panel data of China and the world's major countries from 1996 to 2014 to construct the quantitative index system and quality index system.Then,DEA model and Malmquist method are applied to measure the major countries' R&D Efficiency from the aspects of quantity and quality of technology output.The research find that China's R&D efficiency is more obvious in terms of quantity index system and quality indicator system.At the same time,the rank of China's R&D efficiency under the quantitative index system is higher than under the quality index system,but China's R&D efficiency is gradually changing from the quantitative promotion to quality improvement.
引文
[1] Griliches Z.Issues in Assessing the Contribution of Research and Development to Productivity Growth[J].Bell Journal of Economics,1979.
[2] Thomas V J,Sharma S,Jain S K.Using Patents and Publications to Assess R&D Efficiency in the States of the USA[J].World Patent Information,2011,33(1).
[3] Rousseau S,Rousseau R.Data Envelopment Analysis as A Tool for Constructing Scientometric Indicators[J].Scientometrics,1997,40(1).
[4] Wang E C,Huang W.Relative Efficiency of R&D Activities:A Cross-country Study Accounting for Environmental Factors in the DEA Approach[J].Research Policy,2007,36(2).
[5] 吴延兵.自主研发、技术引进与生产率——基于中国地区工业的实证研究[J].经济研究,2008(8).
[6] 尹伟华.中国区域高技术产业技术创新效率评价研究——基于客观加权的网络SBM模型[J].统计与信息论坛,2012,27(8).
[7] 罗亚非,王海峰,范小阳.研发创新绩效评价的国际比较研究[J].数量经济技术经济研究,2010(3).
[8] 钟祖昌.研发创新SBM效率的国际比较研究——基于OECD国家和中国的实证分析[J].财经研究,2011(9).
[9] Farrell M J.The Measurement of Productive Efficiency[J].Journal of the Royal Statistical Society,1957,120(3).
[10] Andersen P,Petersen N C.A Procedure for Ranking Efficient Units in Data Envelopment Analysis[J].Management Science,1993,39(10).
[11] Mehrabian S,Alirezaee M R,Jahanshahloo G R.A Complete Efficiency Ranking of Decision Making Units in Data Envelopment Analysis[J].Computational Optimization & Applications,1999,14(2).
[12] Li S,Jahanshahloo G R,Khodabakhshi M.ASuper-efficiency Model for Ranking Efficient Units in Data Envelopment Analysis[J].Applied Mathematics & Computation,2007,184(2).
[13] Pakes A,Griliches Z.Patents and R&D at the Firm Level:A First Report[J].Economics Letters,1980,5(4).
[14] Griliches Z.Patent Statistics as Economic Indicators:A Survey[J].Journal of Economic Literature,1990,28(4).
[15] 吴延兵.R&D与生产率——基于中国制造业的实证研究[J].经济研究,2006(11).
[16] 朱有为,徐康宁.中国高技术产业研发效率的实证研究[J].中国工业经济,2006(11).
(1)全国科技经费投入统计公报
(1)全时当量指全时人员数加非全时人员按工作量折算为全时人员数的总和。例如:有两个全时人员和三个非全时人员(工作时间分别为20%、30%和70%),则全时当量为2+0.2+0.3+0.7=3.2人年。全时人员数比直接采用人员数能更好的反映人员投入,如在每天工作8小时的国家和每天工作7小时的国家即便人员投入数目一样,但是人员的实际投入工作时间并不一样。
(2)如果申请人并不想寻求在日本、美国、欧盟之内的任何一个国家(地区)寻求专利保护,三方专利就为0。
(3)第四部分的稳健性分析验证了这一点。
(1)Scopus是全世界最大的摘要和引文数据库,涵盖了15 000种科学、技术及医学方面的期刊。
(1)由于篇幅限制,仅报告研发效率排名前五位以及后五位的国家。
(1)金砖五国为俄罗斯、中国、巴西、印度、南非;八国集团为英国、美国、德国、法国、日本、意大利、加拿大、俄罗斯。
(1)由于篇幅限制,仅报告部分国家。
[2] Thomas V J,Sharma S,Jain S K.Using Patents and Publications to Assess R&D Efficiency in the States of the USA[J].World Patent Information,2011,33(1).
[3] Rousseau S,Rousseau R.Data Envelopment Analysis as A Tool for Constructing Scientometric Indicators[J].Scientometrics,1997,40(1).
[4] Wang E C,Huang W.Relative Efficiency of R&D Activities:A Cross-country Study Accounting for Environmental Factors in the DEA Approach[J].Research Policy,2007,36(2).
[5] 吴延兵.自主研发、技术引进与生产率——基于中国地区工业的实证研究[J].经济研究,2008(8).
[6] 尹伟华.中国区域高技术产业技术创新效率评价研究——基于客观加权的网络SBM模型[J].统计与信息论坛,2012,27(8).
[7] 罗亚非,王海峰,范小阳.研发创新绩效评价的国际比较研究[J].数量经济技术经济研究,2010(3).
[8] 钟祖昌.研发创新SBM效率的国际比较研究——基于OECD国家和中国的实证分析[J].财经研究,2011(9).
[9] Farrell M J.The Measurement of Productive Efficiency[J].Journal of the Royal Statistical Society,1957,120(3).
[10] Andersen P,Petersen N C.A Procedure for Ranking Efficient Units in Data Envelopment Analysis[J].Management Science,1993,39(10).
[11] Mehrabian S,Alirezaee M R,Jahanshahloo G R.A Complete Efficiency Ranking of Decision Making Units in Data Envelopment Analysis[J].Computational Optimization & Applications,1999,14(2).
[12] Li S,Jahanshahloo G R,Khodabakhshi M.ASuper-efficiency Model for Ranking Efficient Units in Data Envelopment Analysis[J].Applied Mathematics & Computation,2007,184(2).
[13] Pakes A,Griliches Z.Patents and R&D at the Firm Level:A First Report[J].Economics Letters,1980,5(4).
[14] Griliches Z.Patent Statistics as Economic Indicators:A Survey[J].Journal of Economic Literature,1990,28(4).
[15] 吴延兵.R&D与生产率——基于中国制造业的实证研究[J].经济研究,2006(11).
[16] 朱有为,徐康宁.中国高技术产业研发效率的实证研究[J].中国工业经济,2006(11).
(1)全国科技经费投入统计公报
(1)全时当量指全时人员数加非全时人员按工作量折算为全时人员数的总和。例如:有两个全时人员和三个非全时人员(工作时间分别为20%、30%和70%),则全时当量为2+0.2+0.3+0.7=3.2人年。全时人员数比直接采用人员数能更好的反映人员投入,如在每天工作8小时的国家和每天工作7小时的国家即便人员投入数目一样,但是人员的实际投入工作时间并不一样。
(2)如果申请人并不想寻求在日本、美国、欧盟之内的任何一个国家(地区)寻求专利保护,三方专利就为0。
(3)第四部分的稳健性分析验证了这一点。
(1)Scopus是全世界最大的摘要和引文数据库,涵盖了15 000种科学、技术及医学方面的期刊。
(1)由于篇幅限制,仅报告研发效率排名前五位以及后五位的国家。
(1)金砖五国为俄罗斯、中国、巴西、印度、南非;八国集团为英国、美国、德国、法国、日本、意大利、加拿大、俄罗斯。
(1)由于篇幅限制,仅报告部分国家。