中国创新两阶段效率及影响因素——基于社会资本理论视角
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摘要
基于社会资本理论视角,运用2001—2016年中国30个省份的面板数据,采用随机前沿生产法考察社会资本对中国创新两阶段效率的影响机制,借助面板门槛模型检验社会资本对技术开发效率和成果转化效率的门槛效应。研究发现:(1)中国的创新两阶段效率整体呈上升趋势,但仍处于较低水平且呈现显著的区域差异。(2)社会资本对技术开发效率的影响呈U型关系,当社会资本跨越一定的门槛值时才能促进技术开发效率提升;鉴于尚未触及门槛值,目前社会资本对成果转化效率具有一定的抑制作用。除直接影响外,社会资本还可加快人力资本积累、提升创新效率。(3)社会资本对创新两阶段效率的影响均存在门槛效应。随着社会资本水平的不断提高,其对技术开发效率的影响效应由负转正且正向效应不断增强,其对成果转化效率的负效应也将降为最小。(4)其他影响因素中,除对外开放能显著地促进创新效率提升之外,政府研发资助具有负向作用,企业自主研发的正向效应并不显著。
Based on the perspective of social capital theory,using the panel data of 30 provinces in China from 2001 to2016,this paper uses the stochastic frontier production method to examine the impact mechanism of social capital on the efficiency of China's two-stage innovation,and uses the panel threshold model to test the threshold effect of social capital on technology development efficiency and efficiency of results transformation.The study finds that:(1)Despite the overall upward trend,China's two-stage efficiency of innovation is still at a low level and presents significant regional differences.(2)The influence of social capital on the efficiency of technology development is U-shaped.When social capital crosses a certain threshold,it can promote the efficiency of technology development.In view of the fact that the threshold has not yet been touched,social capital currently has a certain inhibitory effect on the efficiency of the transformation of results.In addition to direct impact,social capital can also accelerate the accumulation of human capital and enhance innovation efficiency.(3)There are threshold effects on the impact of social capital on the two-stage efficiency of innovation.As the level of social capital continues to increase,its effect on the efficiency of technology development transfers from negative to positive and the positive effect is continuously enhanced,and its negative effect on the efficiency of the transformation of results is minimized.(4)Among other influencing factors,in addition to opening up which can significantly promote innovation efficiency,government R&D funding has a negative effect,and the positive effects of independent research and development are not significant.
Based on the perspective of social capital theory,using the panel data of 30 provinces in China from 2001 to2016,this paper uses the stochastic frontier production method to examine the impact mechanism of social capital on the efficiency of China's two-stage innovation,and uses the panel threshold model to test the threshold effect of social capital on technology development efficiency and efficiency of results transformation.The study finds that:(1)Despite the overall upward trend,China's two-stage efficiency of innovation is still at a low level and presents significant regional differences.(2)The influence of social capital on the efficiency of technology development is U-shaped.When social capital crosses a certain threshold,it can promote the efficiency of technology development.In view of the fact that the threshold has not yet been touched,social capital currently has a certain inhibitory effect on the efficiency of the transformation of results.In addition to direct impact,social capital can also accelerate the accumulation of human capital and enhance innovation efficiency.(3)There are threshold effects on the impact of social capital on the two-stage efficiency of innovation.As the level of social capital continues to increase,its effect on the efficiency of technology development transfers from negative to positive and the positive effect is continuously enhanced,and its negative effect on the efficiency of the transformation of results is minimized.(4)Among other influencing factors,in addition to opening up which can significantly promote innovation efficiency,government R&D funding has a negative effect,and the positive effects of independent research and development are not significant.
引文
[1]PECE A M,SIMONA O E,SALISTEANU F.Innovation and economic growth:An empirical analysis for CEE countries[J].Procedia Economics and Finance,2015,(26):461-467.
[2]BLANCO L R,GU J,PRIEGER J E.The Impact of Research and Development on Economic Growth and Productivity in the U.S.States[J].Southern Economic Journal,2015,82(3):914-934.
[3]ROMER P.Endogenous Technological Change[J].Journal of Political Economy,1990,98(5):71-102.
[4]刘和东.中国区域研发效率及其影响因素研究:基于随机前沿函数的实证分析[J].科学学研究,2011,(4):548-556.
[5]白俊红,江可申,李婧.中国地区研发创新的技术效率与技术进步[J].科研管理,2010,(6):7-18.
[6]杨青峰.高技术产业地区研发创新效率的决定因素[J].管理评论,2013,(6):47-58.
[7]赵峥,姜欣.中国省际创新效率及其影响因素的实证研究[J].北京理工大学学报(社会科学版),2014,(2):61-66.
[8]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):38-45.
[9]GONG B H,SICKLES R C.Finite sample evidence on the performance of stochastic frontiers and data envelopment analysis using panel data[J].Journal of Econometrics,1992,51(1):259-284.
[10]朱承亮,师萍,岳宏志.FDI、人力资本及其结构与研发创新效率[J].科学学与科学技术管理,2011,(9):37-42.
[11]陈修德,梁彤缨.中国高新技术产业研发效率及其影响因素[J].科学学研究,2010,(8):1198-1205.
[12]CULLMANN A,ZLOCZYSTI P.R&D efficiency and heterogeneity-a latent class application for the OECD[J].Applied Economics,2014,46(30):3750-3762.
[13]李平,刘利利.政府研发资助、企业研发投入与中国创新效率[J].科研管理,2017,(1):21-29.
[14]PUTNAM R D.Making Democracy Work:Civic Traditions in Modern Italy[M].New Jersey:Princeton University Press,1993.
[15]DURLAUF S,FAFCHAMPS M.Social Capital[M].Handbook of Economic Growth,2005.
[16]CHOU Y K.Three simple models of social capital and economic growth[J].Journal of Socio-Economics,2006,35(5):889-912.
[17]MIGUELEZ E,MORENO R,ARTIS M.Does Social Capital Reinforce Technological Inputs in the Creation of Knowledge?Evidence from the Spanish Regions[J].Regional Studies,2011,45(8):1019-1038.
[18]万建香,汪寿阳.社会资本与技术创新能否打破“资源诅咒”[J].经济研究,2016,(12):76-89.
[19]STIGLITZ J E.Formal and informal institutions[R].The World Bank,2000.
[20]陆铭,李爽.社会资本、非正式制度与经济发展[J].管理世界,2008,(9):161-166.
[21]杨宇,沈坤荣.社会资本对技术创新的影响[J].当代财经,2010,(8):5-13.
[22]严成樑.社会资本、创新与长期经济增长[J].经济研究,2012,(11):48-60.
[23]ROMER P.New goods,old theory,and the welfare costs of trade restrictions[J].Journal of Development Economics,1994,43(1):5-38.
[24]刘俊,白永秀,韩先锋.城市化对中国创新效率的影响[J].管理学报,2017,(14)5:704-712.
[25]张克中,郭熙保.社会资本与经济发展:理论及展望[J].当代财经,2004,(9):5-9.
[26]TSAI W,GHOSGAL S.New goods,old theory,and the welfare costs of trade restrictions[J].Journal of Development Economics,1994,43(1):5-38.
[27]卢燕平.社会资本与我国经济和谐发展[J].统计研究,2007,(10):9-14.
[28]宋丹.政府研发投入规模的国际比较研究[J].财政研究,2006,(6):76-77.
[29]FUKUYAMA F.Trust:the social virtues and the creation of prosperity[M].New York:Free Press,1995.
[30]崔巍.社会资本、政府绩效与经济增长[J].当代财经,2018,(3):3-11.
[31]肖文,林高榜.政府支持、研发管理与技术创新效率[J].管理世界,2014,(4):71-80.
[32]GOLDIN C,KATZ L F.Human Capital and Social Capital:The Rise of Secondary Schooling in America[J].Journal of Interdisciplinary History,1999,(4):683-723.
[33]周瑾,景光正,随洪光.社会资本如何提升了中国经济增长的质量[J].经济科学,2018,(4):33-46.
[34]BARR A.Social Capital and Technical Information Flows in the Ghanaian Manufacturing Sector[J].Oxford Economic Papers,2000,52(3):539-559.
[35]BATTESE G E,COELLI T J.A Model for Technical Inefficiency Effects in a Stochastic Frontier Production Function for Panel Data[J].Empirical Economics,1995,(2):325-332.
[36]刘凤朝,沈能.基于专利结构视角的中国区域创新能力差异研究[J].管理评论,2006,(11):43-47.
[37]FORTE A,PALOMINO J,AUSINA E.Does social capital matter for European regional growth?[J].European Economic Review,2015,(77):47-64.
[38]ISHISE H,SAWADA Y.Aggregate returns to social capital:Estimates based on the augmented augmented-Solow model[J].Journal of Macroeconomics,2009,(3):376-393.
[39]吴延兵.R&D存量、知识函数与生产效率[J].经济学(季刊),2006,(3):1130-1154.
[40]朱平芳,徐伟民.政府的科技激励政策对大中型工业企业R&D投入及专利产出的影响[J].经济研究,2003,(6):45-53.
[41]张梁梁,杨俊,张华.社会资本的经济增长效应[J].财经研究,2017,(5):31-43.
(1)隐性知识(Tacit Knowledge)是迈克尔·波兰尼(Michael Polanyi)于1958年提出的概念。他认为,人类的知识可分为显性知识和隐性知识两类,其中显性知识是能够被人类以一定符码系统(最典型的是语言,也包括数学公式、各类图表、盲文、手势语、旗语等诸种符号形式)加以完整表述的知识;隐性知识与显性知识相对,是指那种我们知道但难以言述的知识。
(1)永续盘存法的计算公式为RDK~(it)=(1-θ~(it))RDK~(it)-1+I~(it)。其中,RDK~(it)为i地区t时期的R&D资本存量、θ~(it)为R&D资本折旧率、I~(it)为i地区t时期的R&D内部经费支出。具体测算时,参照吴延兵(2006)~([39])的做法,将R&D资本折旧率取为15%。考虑到我国目前尚未编制R&D经费支出价格指数,参照朱平芳和徐伟民(2003)~([40])的做法,由消费物价指数和固定资产投资价格指数加权合成,其权重设为55%和45%。基期R&D资本存量的估算公式为RDK~0=I~0(g+θ),RDK~0为基期的R&D资本存量,I0为基期的R&D经费支出,g为样本期内R&D经费支出的年均增长率。
(1)限于篇幅,表1仅列示了2001-2016年间全国及30个省份创新两阶段效率的平均值,尚未列示每一年度的创新两阶段效率值,感兴趣的读者可向作者索取。
(1)限于篇幅,本文尚未列示四种稳健性检验的估计结果,感兴趣的读者可向作者索取。
[2]BLANCO L R,GU J,PRIEGER J E.The Impact of Research and Development on Economic Growth and Productivity in the U.S.States[J].Southern Economic Journal,2015,82(3):914-934.
[3]ROMER P.Endogenous Technological Change[J].Journal of Political Economy,1990,98(5):71-102.
[4]刘和东.中国区域研发效率及其影响因素研究:基于随机前沿函数的实证分析[J].科学学研究,2011,(4):548-556.
[5]白俊红,江可申,李婧.中国地区研发创新的技术效率与技术进步[J].科研管理,2010,(6):7-18.
[6]杨青峰.高技术产业地区研发创新效率的决定因素[J].管理评论,2013,(6):47-58.
[7]赵峥,姜欣.中国省际创新效率及其影响因素的实证研究[J].北京理工大学学报(社会科学版),2014,(2):61-66.
[8]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):38-45.
[9]GONG B H,SICKLES R C.Finite sample evidence on the performance of stochastic frontiers and data envelopment analysis using panel data[J].Journal of Econometrics,1992,51(1):259-284.
[10]朱承亮,师萍,岳宏志.FDI、人力资本及其结构与研发创新效率[J].科学学与科学技术管理,2011,(9):37-42.
[11]陈修德,梁彤缨.中国高新技术产业研发效率及其影响因素[J].科学学研究,2010,(8):1198-1205.
[12]CULLMANN A,ZLOCZYSTI P.R&D efficiency and heterogeneity-a latent class application for the OECD[J].Applied Economics,2014,46(30):3750-3762.
[13]李平,刘利利.政府研发资助、企业研发投入与中国创新效率[J].科研管理,2017,(1):21-29.
[14]PUTNAM R D.Making Democracy Work:Civic Traditions in Modern Italy[M].New Jersey:Princeton University Press,1993.
[15]DURLAUF S,FAFCHAMPS M.Social Capital[M].Handbook of Economic Growth,2005.
[16]CHOU Y K.Three simple models of social capital and economic growth[J].Journal of Socio-Economics,2006,35(5):889-912.
[17]MIGUELEZ E,MORENO R,ARTIS M.Does Social Capital Reinforce Technological Inputs in the Creation of Knowledge?Evidence from the Spanish Regions[J].Regional Studies,2011,45(8):1019-1038.
[18]万建香,汪寿阳.社会资本与技术创新能否打破“资源诅咒”[J].经济研究,2016,(12):76-89.
[19]STIGLITZ J E.Formal and informal institutions[R].The World Bank,2000.
[20]陆铭,李爽.社会资本、非正式制度与经济发展[J].管理世界,2008,(9):161-166.
[21]杨宇,沈坤荣.社会资本对技术创新的影响[J].当代财经,2010,(8):5-13.
[22]严成樑.社会资本、创新与长期经济增长[J].经济研究,2012,(11):48-60.
[23]ROMER P.New goods,old theory,and the welfare costs of trade restrictions[J].Journal of Development Economics,1994,43(1):5-38.
[24]刘俊,白永秀,韩先锋.城市化对中国创新效率的影响[J].管理学报,2017,(14)5:704-712.
[25]张克中,郭熙保.社会资本与经济发展:理论及展望[J].当代财经,2004,(9):5-9.
[26]TSAI W,GHOSGAL S.New goods,old theory,and the welfare costs of trade restrictions[J].Journal of Development Economics,1994,43(1):5-38.
[27]卢燕平.社会资本与我国经济和谐发展[J].统计研究,2007,(10):9-14.
[28]宋丹.政府研发投入规模的国际比较研究[J].财政研究,2006,(6):76-77.
[29]FUKUYAMA F.Trust:the social virtues and the creation of prosperity[M].New York:Free Press,1995.
[30]崔巍.社会资本、政府绩效与经济增长[J].当代财经,2018,(3):3-11.
[31]肖文,林高榜.政府支持、研发管理与技术创新效率[J].管理世界,2014,(4):71-80.
[32]GOLDIN C,KATZ L F.Human Capital and Social Capital:The Rise of Secondary Schooling in America[J].Journal of Interdisciplinary History,1999,(4):683-723.
[33]周瑾,景光正,随洪光.社会资本如何提升了中国经济增长的质量[J].经济科学,2018,(4):33-46.
[34]BARR A.Social Capital and Technical Information Flows in the Ghanaian Manufacturing Sector[J].Oxford Economic Papers,2000,52(3):539-559.
[35]BATTESE G E,COELLI T J.A Model for Technical Inefficiency Effects in a Stochastic Frontier Production Function for Panel Data[J].Empirical Economics,1995,(2):325-332.
[36]刘凤朝,沈能.基于专利结构视角的中国区域创新能力差异研究[J].管理评论,2006,(11):43-47.
[37]FORTE A,PALOMINO J,AUSINA E.Does social capital matter for European regional growth?[J].European Economic Review,2015,(77):47-64.
[38]ISHISE H,SAWADA Y.Aggregate returns to social capital:Estimates based on the augmented augmented-Solow model[J].Journal of Macroeconomics,2009,(3):376-393.
[39]吴延兵.R&D存量、知识函数与生产效率[J].经济学(季刊),2006,(3):1130-1154.
[40]朱平芳,徐伟民.政府的科技激励政策对大中型工业企业R&D投入及专利产出的影响[J].经济研究,2003,(6):45-53.
[41]张梁梁,杨俊,张华.社会资本的经济增长效应[J].财经研究,2017,(5):31-43.
(1)隐性知识(Tacit Knowledge)是迈克尔·波兰尼(Michael Polanyi)于1958年提出的概念。他认为,人类的知识可分为显性知识和隐性知识两类,其中显性知识是能够被人类以一定符码系统(最典型的是语言,也包括数学公式、各类图表、盲文、手势语、旗语等诸种符号形式)加以完整表述的知识;隐性知识与显性知识相对,是指那种我们知道但难以言述的知识。
(1)永续盘存法的计算公式为RDK~(it)=(1-θ~(it))RDK~(it)-1+I~(it)。其中,RDK~(it)为i地区t时期的R&D资本存量、θ~(it)为R&D资本折旧率、I~(it)为i地区t时期的R&D内部经费支出。具体测算时,参照吴延兵(2006)~([39])的做法,将R&D资本折旧率取为15%。考虑到我国目前尚未编制R&D经费支出价格指数,参照朱平芳和徐伟民(2003)~([40])的做法,由消费物价指数和固定资产投资价格指数加权合成,其权重设为55%和45%。基期R&D资本存量的估算公式为RDK~0=I~0(g+θ),RDK~0为基期的R&D资本存量,I0为基期的R&D经费支出,g为样本期内R&D经费支出的年均增长率。
(1)限于篇幅,表1仅列示了2001-2016年间全国及30个省份创新两阶段效率的平均值,尚未列示每一年度的创新两阶段效率值,感兴趣的读者可向作者索取。
(1)限于篇幅,本文尚未列示四种稳健性检验的估计结果,感兴趣的读者可向作者索取。