非研发创新与地区生产率——基于空间面板计量模型的分析
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摘要
非研发创新的作用在现有研究中很少涉及,但对于发展中经济体来说,其作用是至关重要的,是企业提升竞争力的重要手段。基于2006-2015年的地区数据,利用空间面板计量模型对非研发创新之于中国地区生产率影响的经验研究发现,不同支出用途的非研发创新所起到的作用是不同的:技术改造和技术吸收能力对地区生产率的提升是至关重要的,甚至超过了研发创新所起到的作用;国外技术引进也起到正向作用,但这种作用不是很大,国内的技术引进与地区生产率变化不相关。从研发创新和非研发创新交乘项估计结果来看,在东、中部地区,研发投入对技术改造促进生产率的增长起到了明显提升作用,但在西部地区,却起到了相反的作用。此外,研发投入在东部地区加强了技术引进对生产率的促进作用,但在西部地区却由于对技术引进产生了挤出,阻碍了技术引进作用的发挥。对于消化吸收来说,在三个地区,研发投入都加强了消化吸收对地区生产率的促进作用。因此,对于我国政府来说,要积极重视非研发创新的作用,把对非研发创新活动纳入到政府监测范围内,针对非研发创新活动的支持,要有所侧重,要特别重视技术改造和消化吸收的作用,同时在研发创新投入和非研发创新投入的资金支持政策上,不同地区要采取不同的措施,避免一刀切的做法。
As one of the most important means to enhance enterprise competitiveness, Non-R&D(research and development) innovation is crucial for economic development, but it is rarely concerned in present studies. Based on the regional data from 2006 to 2015 in China, this paper studies its impact on regional productivity by applying the spatial panel econometric model, and the results show that different types of non-R&D innovation play different roles in regional productivity. Technological upgrading and absorptive capacities are proved to be more crucial for improving regional productivity than R&D innovation. Foreign technology import also plays a positive role, though with insignificant effect, while domestic technology import is irrelevant with the changing regional productivity. According to the results of the intersection of R&D and non-R&D innovation, the R&D input accelerates the productivity growth in the eastern and central regions, but decelerates in the western region. In addition, R&D investment has strengthened the productivity growth by means of technology introduction in the eastern region, but this introduction faces crowding-out in the western region, which hinders productivity improvement. R&D investments in these three regions have all enhanced the positive influence of technology absorption on regional productivity. Therefore, the government should attach importance to non-R&D innovation, monitor the scope, support it, and stress on the functions of technological transformation and absorption. At the same time, it also should take different measures on the R&D and non-R&D innovation investments in different regions in avoid of the one-size-fits-all approach.
As one of the most important means to enhance enterprise competitiveness, Non-R&D(research and development) innovation is crucial for economic development, but it is rarely concerned in present studies. Based on the regional data from 2006 to 2015 in China, this paper studies its impact on regional productivity by applying the spatial panel econometric model, and the results show that different types of non-R&D innovation play different roles in regional productivity. Technological upgrading and absorptive capacities are proved to be more crucial for improving regional productivity than R&D innovation. Foreign technology import also plays a positive role, though with insignificant effect, while domestic technology import is irrelevant with the changing regional productivity. According to the results of the intersection of R&D and non-R&D innovation, the R&D input accelerates the productivity growth in the eastern and central regions, but decelerates in the western region. In addition, R&D investment has strengthened the productivity growth by means of technology introduction in the eastern region, but this introduction faces crowding-out in the western region, which hinders productivity improvement. R&D investments in these three regions have all enhanced the positive influence of technology absorption on regional productivity. Therefore, the government should attach importance to non-R&D innovation, monitor the scope, support it, and stress on the functions of technological transformation and absorption. At the same time, it also should take different measures on the R&D and non-R&D innovation investments in different regions in avoid of the one-size-fits-all approach.
引文
陈纪平,2012:《直辖市以来重庆市物质资本存量分产业测算》,《重庆工商大学学报(社会科学版)》第3期。
韩先锋、董明放,2018:《研发投入对企业绩效影响的门槛效应》,《北京理工大学学报(社会科学版)》第3期。
李宾,2010:《国内研发阻碍了我国全要素生产率的提高吗?》,《科学学研究》第7期。
李小胜,2007:《中国R&D资本存量的估计与经济增长》,《中国统计》第11期。
李小平、朱钟棣,2006:《国际贸易、R&D溢出和生产率增长》,《经济研究》第5期。
彭国华,2007:《我国地区全要素生产率与人力资本构成》,《中国工业经济》第2期。
陶锋、张会勤、李红,2018:《外部知识溢出、研发双重效应与企业创新绩效》,《财经问题研究》第5期。
王旭超、许多、闫永芳,2018:《东北地区制造业非研发创新对产业绩效的影响》,《中国科技论坛》第5期。
邹洋、谭萱、叶金珍,2015:《中国R&D投入与就业结构——基于存量数据的实证研究》,《山西财经大学学报》第9期。
蒋殿春、王晓娆,2015:《中国R&D结构对生产率影响的比较分析》,《南开经济研究》第2期。
肖利平、谢丹阳,2016:《国外技术引进与本土创新增长:互补还是替代——基于异质吸收能力的视角》,《中国工业经济》第9期。
谢子远、黄文军,2015:《非研发创新支出对高技术产业创新绩效的影响研究》,《科研管理》第10期。
张海洋,2005:《R&D两面性、外资活动与中国工业生产率增长》,《经济研究》第5期。
张军、吴桂英、张吉鹏,2004:《中国省际物质资本存量估算:1952—2000》,《经济研究》第10期。
郑刚、刘仿、彭新敏,2014:《非研发创新:被忽视的中小企业创新另一面》,《科学学与科学技术管理》第1期。
Acemoglu,D.,2009,Introduction to Modern Economic Growth,Princeton and Oxford:Princeton University Press.
Aghion,P.and P.Howitt,2007,“Capital,Innovation and Growth Accounting”,Oxford Review of Economic Policy,23(1):79-93.
Boeing,P.,E.Mueller and P.Sandner,2016,“China’s R&D Explosion—Analyzing Productivity Effects across Ownership Types and Over Time”,Research Policy,45(1):159-176.
Brouwer,E.and A.Kleinknecht,1997,“Measuring the Unmeasurable:A Country’s Non-R&D Expenditure on Product and Service Innovation”,Research Policy,25(8):1235-1242.
Castellani,D.,et al.,2017,“Multinationality,R&D and Productivity:Evidence from the Top R&D Investors Worldwide”,International Business Review,13(26):405-416.
Christensen,C.M,1997,The Innovator’s Dilemma:When New Technologies Cause Great Firms to Fail,Boston,Massachusetts:Harvard Business Review Press.
Cohen,W.M.and D.A.Levinthal,1989,“Innovation and Learning:The Two Faces of R&D”,Economic Journal,99(397):569-596.
Doraszelski,U.and J.Jaumandreu,2013,“R&D and Productivity:Estimating Endogenous Productivity”,Review of Economic Studies,80(4):1338-1383.
Evangelista,R.and V.Mastrostefano,2006,“Firms Size,Sectors and Countries as Sources of Variety in Innovation”,Economics of Innovation and New Technologies,15(3):247-270.
Garcia Pires,A.J.,2015,“Multinationals,R&D and Endogenous Productivity Asymmetries”,International Economic Journal,29(1):95-119.
Jefferson,G.and A.HU,2004,“Returns to Research and Development in Chinese Industry:Evidence from State-owned Enterprises in Beijing”,China Economic Review,15(4):86—107.
Jefferson,G.,et al.,2006,“R&D Performance in Chinese Industry”,Economics of Innovation and New Technology,15(4-5):345-366.
Kelejian,H.H.and I.R.Prucha,2007,“The Relative Efficiencies of Various Predictors in Spatial Econometric Models Containing Spatial Lags”,Regional Science and Urban Economics,37(3):363-374.
Lopez-Rodriguez,J.and D.Martinez-Lopez,2017,“Looking beyond the R&D Effects on Innovation:The Contribution of Non-R&D Activities to Total Factor Productivity Growth in the EU”,Structural Change and Economic Dynamics,40(2):37-45.
Nonnemen,W.and P.Vanhoudt,1996,“A Further Augmentation of the Solow Model and the Empirics of Economics for OECD Countries”,Quarterly Journal of Economic,111(3):943-953.
Santamaria,L.,M.J.Nieto and A.Barge-Gil,2009,“Beyond Formal R&D:Taking Advantage of Other Sources of Innovation in Low-and medium-technology Industries”,Research Policy,38(3):507-517.
Sterlacchini,A.,1999,“Do Innovative Activities Matter to Small Firms in Non-R&D Intensive Industries?An Application to Export Performance”,Research Policy,28(8):819-832.
Uchida,Y.and P.Cook,2007,“Innovation and Market Structure in the Manufacturing Sector:An Application of Linear Feedback Models”,Oxford Bulletin of Economic and Statistics,69(4):557-572.
Todo,Y.and S.Shimizutani,2009,“R&D Intensity for Innovative and Adaptive Purposes in Overseas Subsidiaries:Evidence from Japanese Multinational Enterprises”,Research in International Business and Finance,23(4):31-45.
① Guo,D.,J.Guo and K.Jiang,2014,“Government Subsidized R&D and Innovation Outputs:An Empirical Analysis of China’s Innofund Program”,Working Paper,Stanford:Stanford Center for International Development.
(1)Som,O.,2012,“Innovation without R&D:Heterogeneous Innovation Patterns of Non-R&D Performing Firms in the German Manufacturing Industry”,Working Paper ,Wiesbaden:Gabler Verlag.
(2)OECD,2005,Oslo Manual:Guidelines for Collecting and Interpreting Innovation Data(3rd edition),Paris:OECD Publishing.
(3)参见Arundel,A.,C.Bordoy and M.Kanerva,2008,“ Neglected Innovators:How do Innovative Firms that do not Perform R&D Innovate?Results of an Analysis of the Innobarometer”,INNO-Metrics Thematic Paper,41-49;Huang,C.,A.Arundel and H.Hollanders,2010,“How Firms Innovate:R&D,Non-R&D,and Technology Adoption”,Working Paper,Maastricht:United Nations University。
(4)Som,O.,2012,“Innovation without R&D:Heterogeneous Innovation Patterns of Non-R&D Performing Firms in the German Manufacturing Industry”,Working Paper ,Wiesbaden:Gabler Verlag.
韩先锋、董明放,2018:《研发投入对企业绩效影响的门槛效应》,《北京理工大学学报(社会科学版)》第3期。
李宾,2010:《国内研发阻碍了我国全要素生产率的提高吗?》,《科学学研究》第7期。
李小胜,2007:《中国R&D资本存量的估计与经济增长》,《中国统计》第11期。
李小平、朱钟棣,2006:《国际贸易、R&D溢出和生产率增长》,《经济研究》第5期。
彭国华,2007:《我国地区全要素生产率与人力资本构成》,《中国工业经济》第2期。
陶锋、张会勤、李红,2018:《外部知识溢出、研发双重效应与企业创新绩效》,《财经问题研究》第5期。
王旭超、许多、闫永芳,2018:《东北地区制造业非研发创新对产业绩效的影响》,《中国科技论坛》第5期。
邹洋、谭萱、叶金珍,2015:《中国R&D投入与就业结构——基于存量数据的实证研究》,《山西财经大学学报》第9期。
蒋殿春、王晓娆,2015:《中国R&D结构对生产率影响的比较分析》,《南开经济研究》第2期。
肖利平、谢丹阳,2016:《国外技术引进与本土创新增长:互补还是替代——基于异质吸收能力的视角》,《中国工业经济》第9期。
谢子远、黄文军,2015:《非研发创新支出对高技术产业创新绩效的影响研究》,《科研管理》第10期。
张海洋,2005:《R&D两面性、外资活动与中国工业生产率增长》,《经济研究》第5期。
张军、吴桂英、张吉鹏,2004:《中国省际物质资本存量估算:1952—2000》,《经济研究》第10期。
郑刚、刘仿、彭新敏,2014:《非研发创新:被忽视的中小企业创新另一面》,《科学学与科学技术管理》第1期。
Acemoglu,D.,2009,Introduction to Modern Economic Growth,Princeton and Oxford:Princeton University Press.
Aghion,P.and P.Howitt,2007,“Capital,Innovation and Growth Accounting”,Oxford Review of Economic Policy,23(1):79-93.
Boeing,P.,E.Mueller and P.Sandner,2016,“China’s R&D Explosion—Analyzing Productivity Effects across Ownership Types and Over Time”,Research Policy,45(1):159-176.
Brouwer,E.and A.Kleinknecht,1997,“Measuring the Unmeasurable:A Country’s Non-R&D Expenditure on Product and Service Innovation”,Research Policy,25(8):1235-1242.
Castellani,D.,et al.,2017,“Multinationality,R&D and Productivity:Evidence from the Top R&D Investors Worldwide”,International Business Review,13(26):405-416.
Christensen,C.M,1997,The Innovator’s Dilemma:When New Technologies Cause Great Firms to Fail,Boston,Massachusetts:Harvard Business Review Press.
Cohen,W.M.and D.A.Levinthal,1989,“Innovation and Learning:The Two Faces of R&D”,Economic Journal,99(397):569-596.
Doraszelski,U.and J.Jaumandreu,2013,“R&D and Productivity:Estimating Endogenous Productivity”,Review of Economic Studies,80(4):1338-1383.
Evangelista,R.and V.Mastrostefano,2006,“Firms Size,Sectors and Countries as Sources of Variety in Innovation”,Economics of Innovation and New Technologies,15(3):247-270.
Garcia Pires,A.J.,2015,“Multinationals,R&D and Endogenous Productivity Asymmetries”,International Economic Journal,29(1):95-119.
Jefferson,G.and A.HU,2004,“Returns to Research and Development in Chinese Industry:Evidence from State-owned Enterprises in Beijing”,China Economic Review,15(4):86—107.
Jefferson,G.,et al.,2006,“R&D Performance in Chinese Industry”,Economics of Innovation and New Technology,15(4-5):345-366.
Kelejian,H.H.and I.R.Prucha,2007,“The Relative Efficiencies of Various Predictors in Spatial Econometric Models Containing Spatial Lags”,Regional Science and Urban Economics,37(3):363-374.
Lopez-Rodriguez,J.and D.Martinez-Lopez,2017,“Looking beyond the R&D Effects on Innovation:The Contribution of Non-R&D Activities to Total Factor Productivity Growth in the EU”,Structural Change and Economic Dynamics,40(2):37-45.
Nonnemen,W.and P.Vanhoudt,1996,“A Further Augmentation of the Solow Model and the Empirics of Economics for OECD Countries”,Quarterly Journal of Economic,111(3):943-953.
Santamaria,L.,M.J.Nieto and A.Barge-Gil,2009,“Beyond Formal R&D:Taking Advantage of Other Sources of Innovation in Low-and medium-technology Industries”,Research Policy,38(3):507-517.
Sterlacchini,A.,1999,“Do Innovative Activities Matter to Small Firms in Non-R&D Intensive Industries?An Application to Export Performance”,Research Policy,28(8):819-832.
Uchida,Y.and P.Cook,2007,“Innovation and Market Structure in the Manufacturing Sector:An Application of Linear Feedback Models”,Oxford Bulletin of Economic and Statistics,69(4):557-572.
Todo,Y.and S.Shimizutani,2009,“R&D Intensity for Innovative and Adaptive Purposes in Overseas Subsidiaries:Evidence from Japanese Multinational Enterprises”,Research in International Business and Finance,23(4):31-45.
① Guo,D.,J.Guo and K.Jiang,2014,“Government Subsidized R&D and Innovation Outputs:An Empirical Analysis of China’s Innofund Program”,Working Paper,Stanford:Stanford Center for International Development.
(1)Som,O.,2012,“Innovation without R&D:Heterogeneous Innovation Patterns of Non-R&D Performing Firms in the German Manufacturing Industry”,Working Paper ,Wiesbaden:Gabler Verlag.
(2)OECD,2005,Oslo Manual:Guidelines for Collecting and Interpreting Innovation Data(3rd edition),Paris:OECD Publishing.
(3)参见Arundel,A.,C.Bordoy and M.Kanerva,2008,“ Neglected Innovators:How do Innovative Firms that do not Perform R&D Innovate?Results of an Analysis of the Innobarometer”,INNO-Metrics Thematic Paper,41-49;Huang,C.,A.Arundel and H.Hollanders,2010,“How Firms Innovate:R&D,Non-R&D,and Technology Adoption”,Working Paper,Maastricht:United Nations University。
(4)Som,O.,2012,“Innovation without R&D:Heterogeneous Innovation Patterns of Non-R&D Performing Firms in the German Manufacturing Industry”,Working Paper ,Wiesbaden:Gabler Verlag.