非研发投入、知识积累与中国制造业绿色创新增长
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摘要
基于最新发展的SBM-DDF模型,测度2008～2014年中国制造业绿色创新增长指数,并将制造业行业的知识积累异质门槛纳入非研发投入驱动绿色创新增长机理框架,运用改进的动态门槛回归方法,构建非线性动态门槛模型,考察行业不同知识积累门槛下非研发投入对绿色创新的异质影响。研究发现:当前制造业绿色创新增长整体水平较低,存在较大发展空间,且行业异质性显著;大多数制造业行业绿色创新水平在样本考察期内变化没有较大增长,甚至呈现一定幅度下降趋势;总体上,制造业非研发对绿色创新增长具有显著有利的促进效应。随着知识积累水平加强,非研发创新路径驱动机制存在差异,非研发投入对制造业绿色创新增长呈现出明显的门槛效应特征。当制造业知识积累水平位于7.736和9.313"临界规模"时,最有利于非研发路径进行绿色创新。研究为探索促进制造业绿色创新增长的动力来源、路径选择与政策设计提供了有效参考。
Based on the latest development model of SBM-DDF, this paper calculated the green innovation growth index of China's manufacturing industry in 2008-2014. It took the knowledge accumulation of manufacturing industry into the mechanism framework of green innovation growth driven by non-research and development(R&D) investment, used the improved dynamic threshold regression to construct a nonlinear dynamic threshold model, and investigated the heterogeneous effect of non-R&D investment on green innovation growth under different thresholds of knowledge accumulation of the industry. The results show that the overall level of the current manufacturing green innovation growth is low, which has a large space for development, and the industry has a significant heterogeneity. The growth of green innovation in most manufacturing industries does not increase significantly, and even shows a certain downward trend in the sample survey period. In general, the non-R&D of the manufacturing industry has a significant positive effect on the growth of green innovation. With knowledge accumulation strengthened, there appear differences between the driven mechanisms of non-R&D innovation path. The non-R&D investment in manufacturing green innovation growth has the characteristics of a threshold effect. When knowledge accumulation in manufacturing industry is at the critical scale between 7.736 and 9.313, it is the most conducive to green innovation for non-R&D. This paper provides an effective reference for exploring the driving force, path selection and policy design of green innovation in manufacturing industry.
Based on the latest development model of SBM-DDF, this paper calculated the green innovation growth index of China's manufacturing industry in 2008-2014. It took the knowledge accumulation of manufacturing industry into the mechanism framework of green innovation growth driven by non-research and development(R&D) investment, used the improved dynamic threshold regression to construct a nonlinear dynamic threshold model, and investigated the heterogeneous effect of non-R&D investment on green innovation growth under different thresholds of knowledge accumulation of the industry. The results show that the overall level of the current manufacturing green innovation growth is low, which has a large space for development, and the industry has a significant heterogeneity. The growth of green innovation in most manufacturing industries does not increase significantly, and even shows a certain downward trend in the sample survey period. In general, the non-R&D of the manufacturing industry has a significant positive effect on the growth of green innovation. With knowledge accumulation strengthened, there appear differences between the driven mechanisms of non-R&D innovation path. The non-R&D investment in manufacturing green innovation growth has the characteristics of a threshold effect. When knowledge accumulation in manufacturing industry is at the critical scale between 7.736 and 9.313, it is the most conducive to green innovation for non-R&D. This paper provides an effective reference for exploring the driving force, path selection and policy design of green innovation in manufacturing industry.
引文
[1] Santamaría L, Nieto M J, Barge-Gil A. Beyond formal R&D: Taking advantage of other sources of innovation in low and medium technology industries[J]. Research Policy, 2009, 38(3):507-517.
[2] 郑刚,刘仿,徐峰,等.非研发创新:被忽视的中小企业创新另一面[J].科学学与科学技术管理, 2014, 35(1): 140-146.
[3] 付帼,卢小丽,武春友.中国省域绿色创新空间格局演化研究[J].中国软科学, 2016(7): 89-99.
[4] Arundel A, Bordoy C, Kanerva M. Neglected innovators: How do innovative firms that do not perform R&D innovate? [R]. INNO-Metrics Thematic Paper, 2008.
[5] Hemmert M. The influence of institutional factors on the technology acquisition performance of high-tech firms: survey results from Germany and Japan[J]. Research Policy, 2004, 33(6-7): 1019-1039.
[6] Barge-Gil A, Jesús-Nieto M, Santamaría L. Hidden innovators: The role of non-R&D activities[J]. Technology Analysis and Strategic Management, 2011, 23(4): 415-432.
[7] Hervas-Oliver J L, Albors Garrigos J, Gil-Pechuan I. Making sense of innovation by R&D and Non-R&D innovators in low technology contexts: A forgotten lesson for policymakers[J]. Technovation, 2011, 31(9): 427-446.
[8] Hervas-Oliver J, Sempere-Ripoll F, Boronat-Moll C, et al. Technological innovation without R&D: Unfolding the extra gains of management innovations on technological performance[J]. Technology Analysis and Strategic Management, 2015, 27 (1): 19-38.
[9] Hervas-Oliver J L, Albors-Garrigos J, Baixauli J J. Beyond R&D activities: The determinants of firms' absorptive capacity explaining the access to scientific institutes in low-medium-tech contexts [J]. Economics of Innovation and New Technology, 2012, 21(1): 55-81.
[10] 谢子远,黄文军.非研发创新支出对高技术产业创新绩效的影响研究[J].科研管理, 2015, 36(10): 1-10.
[11] Blomstrom M, Sjoholm F. Technology transfer and spillovers: Does local participation with multination is matter?[J]. European Economic Review, 1999, 43(4-6): 915-923.
[12] Glass S. Intellectual property right and foreign direct investment[J]. Journal of International Economics, 2002, (56): 387-410.
[13] Putranto K, Stewart D, Moore G. International technology transfer and distribution of technology capabilities: The case of railway development in indonesia[J]. Technology in Society, 2003, 121(25): 43-53.
[14] Becker W, Dietz J. R&D cooperation and innovation activities of firms-evidence for the German manufacturing industry[J]. Research Policy, 2004, 33(2): 209-223.
[15] 张军,许庆瑞.企业知识积累与创新能力演化间动态关系研究——基于系统动力学仿真方法[J].科学学与科学技术管理, 2015, 36(1): 128-138.
[16] 严太华,刘焕鹏.自主研发与知识积累:基于金融发展视角的门限模型研究[J].中国管理科学, 2015, 23(5): 73-81.
[17] 陈恒,侯建.自主研发创新、知识积累与科技绩效——基于高技术产业数据的动态门槛机理研究[J].科学学研究, 2016, 34(9): 1301-1309.
[18] Chung Y H, Fare R, Grosskopf S. Productivity and undesirable outputs: A directional distance function approach[J]. Journal of Environmental Management, 1997, 51: 229-240.
[19] 张江雪,蔡宁,毛建素,等.自主创新、技术引进与中国工业绿色增长——基于行业异质性的实证研究[J].科学学研究, 2015, 33(2): 185-194.
[20] Tone K. Dealing with undesirable outputs in DEA: A slacks based measure (SBM) approach[R]. GRIPS Research Report Series, 1-2003-0005.
[21] Fukuyama H, Weber W L. A directional slacks-based measure of technical inefficiency[J]. Socio-Economic Planning Sciences, 2009, 43(4): 274-287.
[22] 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.
[23] 王惠,王树乔,苗壮,等.研发投入对绿色创新效率的异质门槛效应——基于中国高技术产业的经验研究[J].科研管理, 2016, 37(2): 63-71.
[24] 屈小娥.中国工业行业环境技术效率研究[J].经济学家, 2014(7): 55-65.
[25] 周颖,王洪志,迟国泰.基于因子分析的绿色产业评价指标体系构建模型及实证[J].系统管理学报, 2016, 25(2): 338-352.
[26] Hou J, Chen H, Xu J. External knowledge sourcing and green innovation growth with environmental and energy regulations: Evidence from manufacturing in China[J]. Sustainability, 2017(9): 342.
[27] Hansen B E. Sample splitting and threshold estimation[J]. Econometrica, 2000, 68(3): 575-603.
[28] 彭星,李斌.贸易开放、FDI与中国工业绿色转型——基于动态面板门限模型的实证研究[J].国际贸易问题, 2015 (1): 166-176.
[29] Arellano M, Bond S R. Some tests of specification for panel data: Monte carlo evidence and an application to employment equations[J]. Review of Economic Studies, 1991, 58(2): 277-297.
[30] 张芊芊,余菜花,李廉水.中国制造业资源环境保护能力驱动因素研究[J].中国软科学, 2015(6): 158-166.
[31] Ang J B. Financial development, liberalization and technological deepening [J]. European Economic Review, 2011, 55(5): 688-701.
[32] Tang C F, Tan B W. The Impact of energy consumption, income and foreign direct investment on carbon dioxide emissions in vietnam[J]. Energy, 2015(79): 447-454.
[33] Zahra S A, Nielsen A P. Sources of capabilities, integration and technology commercialization[J]. Strategic Management Journal, 2002, 23(5): 377-398.
[34] Thornhill S. Knowledge, innovation and firm performance in high-and low-technology regimes[J]. Journal of Business Venturing, 2006, 21(5): 687-703.
[35] 杨仕辉,魏守道.气候政策的经济环境效应分析——基于碳税政策、碳排放配额与碳排放权交易的政策视角[J].系统管理学报, 2015, 24(6): 864-873.
1) 限于篇幅,熵值法拟合计算发展的比较成熟,此处不再累述
[2] 郑刚,刘仿,徐峰,等.非研发创新:被忽视的中小企业创新另一面[J].科学学与科学技术管理, 2014, 35(1): 140-146.
[3] 付帼,卢小丽,武春友.中国省域绿色创新空间格局演化研究[J].中国软科学, 2016(7): 89-99.
[4] Arundel A, Bordoy C, Kanerva M. Neglected innovators: How do innovative firms that do not perform R&D innovate? [R]. INNO-Metrics Thematic Paper, 2008.
[5] Hemmert M. The influence of institutional factors on the technology acquisition performance of high-tech firms: survey results from Germany and Japan[J]. Research Policy, 2004, 33(6-7): 1019-1039.
[6] Barge-Gil A, Jesús-Nieto M, Santamaría L. Hidden innovators: The role of non-R&D activities[J]. Technology Analysis and Strategic Management, 2011, 23(4): 415-432.
[7] Hervas-Oliver J L, Albors Garrigos J, Gil-Pechuan I. Making sense of innovation by R&D and Non-R&D innovators in low technology contexts: A forgotten lesson for policymakers[J]. Technovation, 2011, 31(9): 427-446.
[8] Hervas-Oliver J, Sempere-Ripoll F, Boronat-Moll C, et al. Technological innovation without R&D: Unfolding the extra gains of management innovations on technological performance[J]. Technology Analysis and Strategic Management, 2015, 27 (1): 19-38.
[9] Hervas-Oliver J L, Albors-Garrigos J, Baixauli J J. Beyond R&D activities: The determinants of firms' absorptive capacity explaining the access to scientific institutes in low-medium-tech contexts [J]. Economics of Innovation and New Technology, 2012, 21(1): 55-81.
[10] 谢子远,黄文军.非研发创新支出对高技术产业创新绩效的影响研究[J].科研管理, 2015, 36(10): 1-10.
[11] Blomstrom M, Sjoholm F. Technology transfer and spillovers: Does local participation with multination is matter?[J]. European Economic Review, 1999, 43(4-6): 915-923.
[12] Glass S. Intellectual property right and foreign direct investment[J]. Journal of International Economics, 2002, (56): 387-410.
[13] Putranto K, Stewart D, Moore G. International technology transfer and distribution of technology capabilities: The case of railway development in indonesia[J]. Technology in Society, 2003, 121(25): 43-53.
[14] Becker W, Dietz J. R&D cooperation and innovation activities of firms-evidence for the German manufacturing industry[J]. Research Policy, 2004, 33(2): 209-223.
[15] 张军,许庆瑞.企业知识积累与创新能力演化间动态关系研究——基于系统动力学仿真方法[J].科学学与科学技术管理, 2015, 36(1): 128-138.
[16] 严太华,刘焕鹏.自主研发与知识积累:基于金融发展视角的门限模型研究[J].中国管理科学, 2015, 23(5): 73-81.
[17] 陈恒,侯建.自主研发创新、知识积累与科技绩效——基于高技术产业数据的动态门槛机理研究[J].科学学研究, 2016, 34(9): 1301-1309.
[18] Chung Y H, Fare R, Grosskopf S. Productivity and undesirable outputs: A directional distance function approach[J]. Journal of Environmental Management, 1997, 51: 229-240.
[19] 张江雪,蔡宁,毛建素,等.自主创新、技术引进与中国工业绿色增长——基于行业异质性的实证研究[J].科学学研究, 2015, 33(2): 185-194.
[20] Tone K. Dealing with undesirable outputs in DEA: A slacks based measure (SBM) approach[R]. GRIPS Research Report Series, 1-2003-0005.
[21] Fukuyama H, Weber W L. A directional slacks-based measure of technical inefficiency[J]. Socio-Economic Planning Sciences, 2009, 43(4): 274-287.
[22] 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.
[23] 王惠,王树乔,苗壮,等.研发投入对绿色创新效率的异质门槛效应——基于中国高技术产业的经验研究[J].科研管理, 2016, 37(2): 63-71.
[24] 屈小娥.中国工业行业环境技术效率研究[J].经济学家, 2014(7): 55-65.
[25] 周颖,王洪志,迟国泰.基于因子分析的绿色产业评价指标体系构建模型及实证[J].系统管理学报, 2016, 25(2): 338-352.
[26] Hou J, Chen H, Xu J. External knowledge sourcing and green innovation growth with environmental and energy regulations: Evidence from manufacturing in China[J]. Sustainability, 2017(9): 342.
[27] Hansen B E. Sample splitting and threshold estimation[J]. Econometrica, 2000, 68(3): 575-603.
[28] 彭星,李斌.贸易开放、FDI与中国工业绿色转型——基于动态面板门限模型的实证研究[J].国际贸易问题, 2015 (1): 166-176.
[29] Arellano M, Bond S R. Some tests of specification for panel data: Monte carlo evidence and an application to employment equations[J]. Review of Economic Studies, 1991, 58(2): 277-297.
[30] 张芊芊,余菜花,李廉水.中国制造业资源环境保护能力驱动因素研究[J].中国软科学, 2015(6): 158-166.
[31] Ang J B. Financial development, liberalization and technological deepening [J]. European Economic Review, 2011, 55(5): 688-701.
[32] Tang C F, Tan B W. The Impact of energy consumption, income and foreign direct investment on carbon dioxide emissions in vietnam[J]. Energy, 2015(79): 447-454.
[33] Zahra S A, Nielsen A P. Sources of capabilities, integration and technology commercialization[J]. Strategic Management Journal, 2002, 23(5): 377-398.
[34] Thornhill S. Knowledge, innovation and firm performance in high-and low-technology regimes[J]. Journal of Business Venturing, 2006, 21(5): 687-703.
[35] 杨仕辉,魏守道.气候政策的经济环境效应分析——基于碳税政策、碳排放配额与碳排放权交易的政策视角[J].系统管理学报, 2015, 24(6): 864-873.
1) 限于篇幅,熵值法拟合计算发展的比较成熟,此处不再累述