中国战略性新兴产业供给侧创新效率研究
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摘要
基于沪深A股296家战略性新兴产业上市公司的数据,运用BCC模型、超效率模型和回归模型对2013-2015年中国战略性新兴产业供给侧创新效率进行了评价和投入产出改进分析。结果表明:中国战略性新兴产业供给侧创新总效率、纯技术效率呈缓慢增长趋势,但整体水平较低,规模效率整体水平较高,但呈缓慢下降趋势;按产业分类来看,在供给侧创新总效率和纯技术效率方面,新一代信息技术、新材料、新能源、节能环保、数字创意产业呈上升趋势,生物、新能源汽车产业呈倒V型结构,高端装备制造产业呈V型结构,各产业规模效率较高,但创新总效率差异较大;政府补贴、全时研发人员人数投入冗余率较高,当年专利授予数量、市场需求增长率产出不足率较高,政府补贴、研发投入强度、全时研发人员人数对战略性新兴产业创新产出具有显著的正向影响。
Strategic emerging industries are the key areas for China to cultivate and develop new momentum and gain new competitive advantages in the future under new normal. They are also important breakthroughs for China to implement innovation-driven strategy and promote supply-side reform. In the process of supply-side reform and innovation of China's strategic emerging industries,the key is the integration of supply-side innovation factor resources,and the core goal is to improve innovation efficiency. Therefore,how to scientifically evaluate the innovation efficiency of strategic emerging industries is highly concerned by academics and government departments. Especially in the context of China's supply-side reform,what is the supply-side innovation efficiency and changing trend of China 's strategic emerging industries? Does the innovation input bring about the corresponding output? How to further improve innovation inputs and outputs? The answers to the above questions are of great theoretical value and practical significance for insisting on the problem-oriented in the new era,improving the quality and efficiency of China's strategic emerging industries supply-side innovation,and promoting high-quality economic development.Based on the data of 296 listed companies of strategic emerging industries in China's Shanghai and Shenzhen A-shares from 2013 to 2015,this paper selects government subsidies,the number of full-time R&D personnel,the intensity of R&D investment,the number of patents available in the current year,the number of patents applied in the current year as indicators of innovation input,and selects market demand growth rate,the number of patents granted in the current year,accounting performance,and market performance as indicators of innovation output. This paper evaluates and analyzes the supply-side innovation efficiency of China's strategic emerging industries using BCC model and super-efficiency model of the DEA method. And this paper makes the input-output improvement analysis of the supply-side innovation efficiency of China's strategic emerging industries using the regression model.The results show that: (1) The average of supply-side innovation total efficiency of China's strategic emerging industries is 0. 638 in the sample period,and its overall level is not high but it shows an increasing trend. The average of pure technical efficiency of China's strategic emerging industries is 0. 665 in the sample period,and its overall level is lower but trend of slow growth is maintained. The average of the scale efficiency of China's strategic emerging industries is 0. 961 in the sample period,and its overall level is higher and its fluctuation range is smaller. It can be seen that the total efficiency of supply-side innovation in China's strategic emerging industries is mainly constrained by the low pure technical efficiency; (2) According to industry classification,in terms of the total efficiency and pure technical efficiency on the China's strategic emerging industries supply-side innovation,the new generations of information technology,new materials,new energy,energy conservation and environmental protection,and digital creativity are on the rise,the bioindustry and new-energy automotive industry are inverted V-shaped structures,the high-end equipment manufacturing industry is V-shaped. Scale efficiency of each industry is relatively high,but the supply-side innovation total efficiency among different industries is quite different; (3) The government subsidies and the number of full-time R&D personnel have a higher input redundancy rate. The number of patents granted in the current year and market demand growth rate has a higher output deficiency rate. Government subsidies are significantly positively correlated with market demand growth rate,the number of patents granted in the current year,and accounting performance. The number of full-time R&D personnel is significantly positively correlated with each of the innovation output indicators. The intensity of R&D investment is significantly positively correlated with market demand growth rate and the number of patents granted in the current year,but it is significantly negatively correlated with accounting performance and market performance. The number of patents applied in the current year is significantly negatively correlated with market demand growth rate,accounting performance and market performance. In general,government subsidies,the intensity of R&D investment and the number of full-time R&D personnel have a significant positive impact on the supply-side innovation output of China's strategic emerging industries.According to the above analysis,the policy implications of this paper are as follows: (1) China's strategic emerging industries should focus on the improvement of pure technology efficiency and supply-side innovation total efficiency,and review improving total factor productivity as the core,strengthen enterprise innovation investment guarantee mechanism,establish enterprise R&D risk compensation mechanism,improve inter-enterprise cooperation and innovation mechanism,build industrial innovation system,enhance innovation capability,and achieve high-quality development of China's strategic emerging industries; (2) Implement separate support policies,and make special support policies formulate for different strategic emerging industries to improve their innovation efficiency by classification optimization; (3) The government should strengthen the innovation management of government subsidies,moderately control the amount of subsidies and introduce a benigncompetition mechanism. Enterprises should improve the using quality and efficiency of government subsidies,strengthen incentives and management of R&D personnel,and enhance innovation efficiency. (4) Improve China's strategic emerging industries innovation policies,increase government subsidies and policy support,allocate innovation resources reviewing enterprise as a core,highlight the main position of enterprise technology innovation,guide and encourage enterprises to increase R&D funds and personnel input,strengthen supply-side innovation management,and improve the quality and efficiency of China's strategic emerging industries supply-side innovation.
Strategic emerging industries are the key areas for China to cultivate and develop new momentum and gain new competitive advantages in the future under new normal. They are also important breakthroughs for China to implement innovation-driven strategy and promote supply-side reform. In the process of supply-side reform and innovation of China's strategic emerging industries,the key is the integration of supply-side innovation factor resources,and the core goal is to improve innovation efficiency. Therefore,how to scientifically evaluate the innovation efficiency of strategic emerging industries is highly concerned by academics and government departments. Especially in the context of China's supply-side reform,what is the supply-side innovation efficiency and changing trend of China 's strategic emerging industries? Does the innovation input bring about the corresponding output? How to further improve innovation inputs and outputs? The answers to the above questions are of great theoretical value and practical significance for insisting on the problem-oriented in the new era,improving the quality and efficiency of China's strategic emerging industries supply-side innovation,and promoting high-quality economic development.Based on the data of 296 listed companies of strategic emerging industries in China's Shanghai and Shenzhen A-shares from 2013 to 2015,this paper selects government subsidies,the number of full-time R&D personnel,the intensity of R&D investment,the number of patents available in the current year,the number of patents applied in the current year as indicators of innovation input,and selects market demand growth rate,the number of patents granted in the current year,accounting performance,and market performance as indicators of innovation output. This paper evaluates and analyzes the supply-side innovation efficiency of China's strategic emerging industries using BCC model and super-efficiency model of the DEA method. And this paper makes the input-output improvement analysis of the supply-side innovation efficiency of China's strategic emerging industries using the regression model.The results show that: (1) The average of supply-side innovation total efficiency of China's strategic emerging industries is 0. 638 in the sample period,and its overall level is not high but it shows an increasing trend. The average of pure technical efficiency of China's strategic emerging industries is 0. 665 in the sample period,and its overall level is lower but trend of slow growth is maintained. The average of the scale efficiency of China's strategic emerging industries is 0. 961 in the sample period,and its overall level is higher and its fluctuation range is smaller. It can be seen that the total efficiency of supply-side innovation in China's strategic emerging industries is mainly constrained by the low pure technical efficiency; (2) According to industry classification,in terms of the total efficiency and pure technical efficiency on the China's strategic emerging industries supply-side innovation,the new generations of information technology,new materials,new energy,energy conservation and environmental protection,and digital creativity are on the rise,the bioindustry and new-energy automotive industry are inverted V-shaped structures,the high-end equipment manufacturing industry is V-shaped. Scale efficiency of each industry is relatively high,but the supply-side innovation total efficiency among different industries is quite different; (3) The government subsidies and the number of full-time R&D personnel have a higher input redundancy rate. The number of patents granted in the current year and market demand growth rate has a higher output deficiency rate. Government subsidies are significantly positively correlated with market demand growth rate,the number of patents granted in the current year,and accounting performance. The number of full-time R&D personnel is significantly positively correlated with each of the innovation output indicators. The intensity of R&D investment is significantly positively correlated with market demand growth rate and the number of patents granted in the current year,but it is significantly negatively correlated with accounting performance and market performance. The number of patents applied in the current year is significantly negatively correlated with market demand growth rate,accounting performance and market performance. In general,government subsidies,the intensity of R&D investment and the number of full-time R&D personnel have a significant positive impact on the supply-side innovation output of China's strategic emerging industries.According to the above analysis,the policy implications of this paper are as follows: (1) China's strategic emerging industries should focus on the improvement of pure technology efficiency and supply-side innovation total efficiency,and review improving total factor productivity as the core,strengthen enterprise innovation investment guarantee mechanism,establish enterprise R&D risk compensation mechanism,improve inter-enterprise cooperation and innovation mechanism,build industrial innovation system,enhance innovation capability,and achieve high-quality development of China's strategic emerging industries; (2) Implement separate support policies,and make special support policies formulate for different strategic emerging industries to improve their innovation efficiency by classification optimization; (3) The government should strengthen the innovation management of government subsidies,moderately control the amount of subsidies and introduce a benigncompetition mechanism. Enterprises should improve the using quality and efficiency of government subsidies,strengthen incentives and management of R&D personnel,and enhance innovation efficiency. (4) Improve China's strategic emerging industries innovation policies,increase government subsidies and policy support,allocate innovation resources reviewing enterprise as a core,highlight the main position of enterprise technology innovation,guide and encourage enterprises to increase R&D funds and personnel input,strengthen supply-side innovation management,and improve the quality and efficiency of China's strategic emerging industries supply-side innovation.
引文
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[10]邬龙,张永安.基于SFA的区域战略性新兴产业创新效率分析---以北京医药和信息技术产业为例[J].科学学与科学技术管理,2013(10):95-102.Wu Long,Zhang Yongan.The analysis on innovation efficiency of regional strategic emerging industry based on SFA:Acase of Beijing pharmaceutical and IT industry[J].Science of Science and Management of S.&T.,2013(10):95-102.
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[12]黄海霞,张治河.中国战略性新兴产业的技术创新效率---基于DEA-Malmquist指数模型[J].技术经济,2015(1):21-27.Huang Haixia,Zhang Zhihe.Technological innovation efficiency of strategic emerging industry in China:Based on DEAmalmquist index model[J].Technology Economics,2015(1):21-27.
[13]Anderson P.,Petersen N C.Aprocedure for ranking efficient unit in data envelopment analysis[J].Management Science,1993,39(10):1261-1264.
[14]贾康,苏京春.“三驾马车”认知框架对接供给侧的结构性动力机制构建[J].全球化,2015(3):63-70.Jia Kang Su Jingchun.The troika cognitive framework shall be integrated with construction of the structural dynamic mechanism in the supply side[J].Globalization,2015(3):63-70.
[15]王红建,李青原,刘放.政府补贴:救急还是救穷[J].南开管理评论,2015(8):42-53.Wang Hongjian Li Qingyuan Liu Fang.Government subsidies:Relief for the emergency or the poor?[J].Nankai Business Review,2015(8):42-53.
[16]冯宗宪,王青,侯晓辉.政府投入、市场化程度与中国工业企业的技术创新效率[J].数量经济技术经济研究,2011(4):03-18.Feng Zongxian,Wang Qing,Hou Xiaohui.Government investment,degree of marketization and technological innovation efficiency of China’s industrial enterprises[J].The Journal of Quantitative&Technical Economics,2011(4):03-18.
[17]罗小芳,李柏洲.市场新产品需求对大型企业原始创新的拉动机制[J].科技进步与对策,2013(4):73-76.Luo Xiaofang,Li Baizhou.The driving mechanism of new product demand in the market for the original innovation of large enterprises[J].Science&Technology Progress and Policy,2013(4):73-76.
[18]王新,毛慧贞,李彦霖.经理人权利、薪酬结构与企业业绩[J].南开管理评论,2015(1):130-140.Wang Xin,Mao Huizhen,Li Yanlin.Executive power,compensation structure and enterprise performance[J].Nankai Business Review,2015(1):130-140.
[19]郭泽光,敖小波,吴秋生.内部治理、内部控制与债务契约治理[J].南开管理评论,2015(1):45-51.Guo Zeguang,Ao Xiaobo,Wu Qiusheng.Internal governance,internal control and debt contract governance[J].Nankai Business Review,2015(1):45-51.
[20]李小平,周记顺,王树柏.中国制造业出口复杂度的提升和制造业增长[J].世界经济,2015(2):31-57.Li Xiaoping,Zhou Jishun,Wang Shubai.China's manufacturing export complexity and manufacturing growth[J].The Journal of World Economy,2015(2):31-57.
[2]Samarra A,Biggiero L.Heterogeneity and specificity of inter-firm knowledge flows in innovation networks[J].Journal of Management Studies,2009.45(4):800-828.
[3]Lin Jiang,Justin Tan.Incumbent firm invention in emerging fields:Evidence from the semi conductor industry[J].Strategic Management Journal,2012,32(1):55-75.
[4]Ellison G,Glaseser E L.Geographic concentration in U.S.manufacturing industries:A dartboard approach[J].Journal of Political Economy,2010(5):23-28.
[5]Alegre J,Segupta K,Lapiedra R.Knowledge management and innovation performance in a high-tech SMEs industry[J].International Small Business Journal.2011(43):251-261.
[6]Soto-Acosta P,Popa S,Palacios-Marques D.Socialweb knowledge sharing and innovation performance in knowledge-intensive manufacturing SMEs[J].Journal of Technology Transfer,2016(4):426-440.
[7]刘晖,乔晗,胡毅,刘秩芳.我国战略性新兴产业技术创新效率研究[J].系统工程理论与实践,2015(9):2296-2303.Liu Hui,Qiao Han,Hu Yi,Liu Yifang.Research on technological innovation efficiency of strategic emerging industries in China[J].Systems Engineering-Theory&Practice,2015(9):2296-2303.
[8]Raab R A,Kotamraju P.The efficiency of the high-tech economy:Conventional development indexes versus a performance index[J].Journal of Regional Science,2006,46(03):545-562.
[9]喻登科,陈华,涂国平.江西省战略性新兴产业科技资源投入产出效率评价[J].情报杂志,2013(2):178-185.Yu Dengke,Chen Hua,Tu Guoping.Sci-tech resources input-output efficiency evaluation of strategic emerging industries of Jiangxi Province[J].Journal of Intelligence,2013(2):178-185.
[10]邬龙,张永安.基于SFA的区域战略性新兴产业创新效率分析---以北京医药和信息技术产业为例[J].科学学与科学技术管理,2013(10):95-102.Wu Long,Zhang Yongan.The analysis on innovation efficiency of regional strategic emerging industry based on SFA:Acase of Beijing pharmaceutical and IT industry[J].Science of Science and Management of S.&T.,2013(10):95-102.
[11]李红锦,李胜会.战略性新兴产业技术创新效率评价研究-LED产业的实证分析[J].中央财经大学学报,2013(4):75-80.Li Hongjin,Li Shenghui.The evaluation of innovation efficiency to strategic emerging industries:The evidence from LEDindustry[J].Journal of Central University of Finance&Economics,2013(4):75-80.
[12]黄海霞,张治河.中国战略性新兴产业的技术创新效率---基于DEA-Malmquist指数模型[J].技术经济,2015(1):21-27.Huang Haixia,Zhang Zhihe.Technological innovation efficiency of strategic emerging industry in China:Based on DEAmalmquist index model[J].Technology Economics,2015(1):21-27.
[13]Anderson P.,Petersen N C.Aprocedure for ranking efficient unit in data envelopment analysis[J].Management Science,1993,39(10):1261-1264.
[14]贾康,苏京春.“三驾马车”认知框架对接供给侧的结构性动力机制构建[J].全球化,2015(3):63-70.Jia Kang Su Jingchun.The troika cognitive framework shall be integrated with construction of the structural dynamic mechanism in the supply side[J].Globalization,2015(3):63-70.
[15]王红建,李青原,刘放.政府补贴:救急还是救穷[J].南开管理评论,2015(8):42-53.Wang Hongjian Li Qingyuan Liu Fang.Government subsidies:Relief for the emergency or the poor?[J].Nankai Business Review,2015(8):42-53.
[16]冯宗宪,王青,侯晓辉.政府投入、市场化程度与中国工业企业的技术创新效率[J].数量经济技术经济研究,2011(4):03-18.Feng Zongxian,Wang Qing,Hou Xiaohui.Government investment,degree of marketization and technological innovation efficiency of China’s industrial enterprises[J].The Journal of Quantitative&Technical Economics,2011(4):03-18.
[17]罗小芳,李柏洲.市场新产品需求对大型企业原始创新的拉动机制[J].科技进步与对策,2013(4):73-76.Luo Xiaofang,Li Baizhou.The driving mechanism of new product demand in the market for the original innovation of large enterprises[J].Science&Technology Progress and Policy,2013(4):73-76.
[18]王新,毛慧贞,李彦霖.经理人权利、薪酬结构与企业业绩[J].南开管理评论,2015(1):130-140.Wang Xin,Mao Huizhen,Li Yanlin.Executive power,compensation structure and enterprise performance[J].Nankai Business Review,2015(1):130-140.
[19]郭泽光,敖小波,吴秋生.内部治理、内部控制与债务契约治理[J].南开管理评论,2015(1):45-51.Guo Zeguang,Ao Xiaobo,Wu Qiusheng.Internal governance,internal control and debt contract governance[J].Nankai Business Review,2015(1):45-51.
[20]李小平,周记顺,王树柏.中国制造业出口复杂度的提升和制造业增长[J].世界经济,2015(2):31-57.Li Xiaoping,Zhou Jishun,Wang Shubai.China's manufacturing export complexity and manufacturing growth[J].The Journal of World Economy,2015(2):31-57.