研发资本、劳资关系、市场制度与区域技术创新
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摘要
影响区域技术创新的因素繁多复杂，学术界对其中部分要素已进行了深入研究，但对研发资本、劳资关系和市场制度三个变量与技术创新的作用机理尚未系统探讨。为更全面科学地考察区域技术创新影响因素问题，本文基于时间序列首次把技术创新能力区分为潜在、流动、凝结和实现四种存在形态，以及基于效率角度的四形态间三种转化率；并基于作用方式把影响技术创新的众多因素区分为直接因素和间接因素；基于产出阶段性把技术创新的绩效区为分初始绩效和最终绩效。在此基础上，分别考察了研发资本、劳资关系和市场制度对区域技术创新能力四形态间转化率的影响。①
研发资本是技术创新罪直接的投入因素，研发资本的配置、投入的质和量都会影响技术创新的产出与效率；技术创新是以人为本的高智力活动，具有社会群体特性的人的活动必然受制于人际关系，因此，劳资关系必然影响技术创新。劳资关系主要通过影响内外偏好型员工的衍生性好合组织创新气氛来影响创新主体的技术创新行为和创新绩效；在市场经济中，市场制度作用于技术创新的全过程，技术创新的资源必然通过市场来配置，技术创新初始成果必然通过市场来交易，技术创新最终价值必然通过市场来实现。市场制度主要是通过生产要素市场和产品市场中是竞争机制、价格机制、供求机制、反馈机制以及市场中介组织和法律制度来影响技术创新主体的创新绩效进而对区域技术创新发挥作用。当然,这三种因素并非独立发挥作用,而是通过相互组合、相互影响、相互衔接,共同作用于区域技术创新。
本文在阐明三大因素对区域技术创新作用机理的基础上,对这一影响机理进行实证分析。为区别间接因素(市场制度、劳资关系等)与直接因素(研发资本)对技术创新作用方式的不同,笔者在实证分析时,将间接影响因素量化并按一定的要求设为虚拟变量D,以乘法形式(D×α1、D×αz)引入到杰菲知识生产函数模型中,分别与函数中K(研发资金)和L(研发人员)的原有指数相加,α1、α2分别表示间接因素对直接因素(研发资金和研发人员)创新效率的影响系数。这样,在模型上就区别了间接因素与直接因素对技术创新作用方式的不同,构建出本文的实证模型。运用该模型,采用省级层面面板数据(技术创新直接投入产出面板数据)分别实证分析了研发资本、劳资关系、市场制度三因素对区域技术创新的影响,并运用实证结论进一步分析三因素对各省技术创新影响的差异。其中,劳资关系、市场制度分别被设为虚拟变量引入经过改进的模型。
分析结果表明：企业R&D投入的增加对区域技术创新产出的贡献最大；劳资关系恶化对R&D人员技术创新初始绩效的负反应机制较劳资关系改善对其正反应机制更加灵敏；市场制度的完善主要是通过提高企业的技术创新绩效进而影响整个区域的技术创新绩效。三因素对各省技术创新的影响存在多样化差异：上海、天津、广东、山东、浙江、江苏、重庆、福建的技术创新最终绩效较高。山东、江苏等省主要是由于企业的R&D投入较多、劳资关系的相对改善以及较完善的市场制度的共同作用；而浙江等省主要是由于企业的R&D投入相对较多、较完善的市场制度的共同作用。北京、四川、湖北、陕西、黑龙江、新疆、海南、宁夏、青海的技术创新最终绩效偏低,北京、四川主要是由于三大创新主体间研发投入配置不合理、企业的R＆D投入偏少造成的；而海南、云南、贵州等省是由于三大创新主体的研发投入均较少、劳资关系的相对恶化以及市场制度相对不健全共同造成的。最后,根据三因素对技术创新影响影响的作用机理和实证结论,引申出提高我国区域技术创新能力的政策思路。
There are many complex factors affect the regional technological innovation,some of them have been carried out in-depth study by academic circles, but R&D capital, labor relations and market system on the mechanism of technological innovation system deep exploration yet.For a more comprehensive scientific study the factors of regional technological innovation.This paper first time based on time series divided technological innovation capability into four existing form:potential, flow, condensation, implementation, and three conversion which based on the angle of the efficiency among four forms; and divided many factors that affect technological innovation into indirect factors and direct factors which based on the mode of action.On this basis,this paper investigated affection that R&D capital, labor relations and the market system on regional technological innovation capability.
R&D capital is the most direct input factors of innovation, configuration of R&D capital, the quality and quantity of R&D capital investment will affect output and efficiency of technological innovation.Technical innovation is the main man of high intellectual activity,the human activity with characteristics of social groups must be subject to relationships, therefore, labor relations inevitably affect technological innovatio Labour Relations influences knowledge workers R&D employees'technological innovation behavior,and then influences Enterprises' technological innovation performance,mainly by use of influencing knoelege workers and employees'four types descendable preference R&D employees' perception level from organizational climate. In a market economy, the market system is bound to act on the whole process of technological innovation. the resources of technological innovation must be configured through the market, The initial results of technological innovation through the market to trade,the final value of technological innovation must be achieved through the market. The market system is mainly through competition mechanism, the product price mechanism, supply-demand mechanism, feedback mechanism and incentive mechanism and market intermediary organizations and legal system production factors market and the product marketmarket have an important impact on regional technology innovation function. Of course, these three factors play a role is not independent, but through the combination with each other, mutual influence, mutual convergence, together in the regional technology innovation.
This paper set out the mechanism of which three factors on the regional technological innovation, and empirical analysis the mechanism. For the difference between indirect factors (the market system, labor relations, etc.) and direct factor (R&D capital) on the role of technological innovation in different ways, the author in the empirical analysis, will quantify the indirect effects of factors and according to certain requirements set dummy variable D, to multiplication in the form (D×α1、D×α2) is introduced into the knowledge production function model, respectively, added to the original index of K (R & D funding) and L (R & D personnel),α1、α2 respectively, efficiency coefficient of which indirect factors on the innovation efficiency direct factors (R&D funding and R&D personnel). Thus, distinction between indirect and direct factors in the role of factors in different ways,build empirical models. Using this model, empirical analysis affect of R&D capital, labor relations, the market system on regional technological innovation. Based on the synthesis of different combination of three factors for regional technology innovation, further analysis the difference and reason of area technological innovation ability.
Empirical results show that:the contribution of enterprise is the biggest, the negative interaction of deterioration of labor relations to R&D personnel is strongger than the positive interaction of improvement of labor relations to R&D personnel initial performance;the market system is mainly through influences technology innovation of enterprises to improve technology innovation performance of the whole area。The final performance of tianjin、Shanghai、Guangdong、Shandong、Zhejiang、Jiangsu、Fujian、Chongqing are higher than Beijing、Sichuan、Hubei、Shaanxi、Heilongjiang、Xinjiang、Ningxia、Qinghai、Hainan. But its effect factors exist differences.Finally, according to the aforesaid technology innovation mechanism and empirical conclusions put forward countermeasures.
研发资本是技术创新罪直接的投入因素，研发资本的配置、投入的质和量都会影响技术创新的产出与效率；技术创新是以人为本的高智力活动，具有社会群体特性的人的活动必然受制于人际关系，因此，劳资关系必然影响技术创新。劳资关系主要通过影响内外偏好型员工的衍生性好合组织创新气氛来影响创新主体的技术创新行为和创新绩效；在市场经济中，市场制度作用于技术创新的全过程，技术创新的资源必然通过市场来配置，技术创新初始成果必然通过市场来交易，技术创新最终价值必然通过市场来实现。市场制度主要是通过生产要素市场和产品市场中是竞争机制、价格机制、供求机制、反馈机制以及市场中介组织和法律制度来影响技术创新主体的创新绩效进而对区域技术创新发挥作用。当然,这三种因素并非独立发挥作用,而是通过相互组合、相互影响、相互衔接,共同作用于区域技术创新。
本文在阐明三大因素对区域技术创新作用机理的基础上,对这一影响机理进行实证分析。为区别间接因素(市场制度、劳资关系等)与直接因素(研发资本)对技术创新作用方式的不同,笔者在实证分析时,将间接影响因素量化并按一定的要求设为虚拟变量D,以乘法形式(D×α1、D×αz)引入到杰菲知识生产函数模型中,分别与函数中K(研发资金)和L(研发人员)的原有指数相加,α1、α2分别表示间接因素对直接因素(研发资金和研发人员)创新效率的影响系数。这样,在模型上就区别了间接因素与直接因素对技术创新作用方式的不同,构建出本文的实证模型。运用该模型,采用省级层面面板数据(技术创新直接投入产出面板数据)分别实证分析了研发资本、劳资关系、市场制度三因素对区域技术创新的影响,并运用实证结论进一步分析三因素对各省技术创新影响的差异。其中,劳资关系、市场制度分别被设为虚拟变量引入经过改进的模型。
分析结果表明：企业R&D投入的增加对区域技术创新产出的贡献最大；劳资关系恶化对R&D人员技术创新初始绩效的负反应机制较劳资关系改善对其正反应机制更加灵敏；市场制度的完善主要是通过提高企业的技术创新绩效进而影响整个区域的技术创新绩效。三因素对各省技术创新的影响存在多样化差异：上海、天津、广东、山东、浙江、江苏、重庆、福建的技术创新最终绩效较高。山东、江苏等省主要是由于企业的R&D投入较多、劳资关系的相对改善以及较完善的市场制度的共同作用；而浙江等省主要是由于企业的R&D投入相对较多、较完善的市场制度的共同作用。北京、四川、湖北、陕西、黑龙江、新疆、海南、宁夏、青海的技术创新最终绩效偏低,北京、四川主要是由于三大创新主体间研发投入配置不合理、企业的R＆D投入偏少造成的；而海南、云南、贵州等省是由于三大创新主体的研发投入均较少、劳资关系的相对恶化以及市场制度相对不健全共同造成的。最后,根据三因素对技术创新影响影响的作用机理和实证结论,引申出提高我国区域技术创新能力的政策思路。
There are many complex factors affect the regional technological innovation,some of them have been carried out in-depth study by academic circles, but R&D capital, labor relations and market system on the mechanism of technological innovation system deep exploration yet.For a more comprehensive scientific study the factors of regional technological innovation.This paper first time based on time series divided technological innovation capability into four existing form:potential, flow, condensation, implementation, and three conversion which based on the angle of the efficiency among four forms; and divided many factors that affect technological innovation into indirect factors and direct factors which based on the mode of action.On this basis,this paper investigated affection that R&D capital, labor relations and the market system on regional technological innovation capability.
R&D capital is the most direct input factors of innovation, configuration of R&D capital, the quality and quantity of R&D capital investment will affect output and efficiency of technological innovation.Technical innovation is the main man of high intellectual activity,the human activity with characteristics of social groups must be subject to relationships, therefore, labor relations inevitably affect technological innovatio Labour Relations influences knowledge workers R&D employees'technological innovation behavior,and then influences Enterprises' technological innovation performance,mainly by use of influencing knoelege workers and employees'four types descendable preference R&D employees' perception level from organizational climate. In a market economy, the market system is bound to act on the whole process of technological innovation. the resources of technological innovation must be configured through the market, The initial results of technological innovation through the market to trade,the final value of technological innovation must be achieved through the market. The market system is mainly through competition mechanism, the product price mechanism, supply-demand mechanism, feedback mechanism and incentive mechanism and market intermediary organizations and legal system production factors market and the product marketmarket have an important impact on regional technology innovation function. Of course, these three factors play a role is not independent, but through the combination with each other, mutual influence, mutual convergence, together in the regional technology innovation.
This paper set out the mechanism of which three factors on the regional technological innovation, and empirical analysis the mechanism. For the difference between indirect factors (the market system, labor relations, etc.) and direct factor (R&D capital) on the role of technological innovation in different ways, the author in the empirical analysis, will quantify the indirect effects of factors and according to certain requirements set dummy variable D, to multiplication in the form (D×α1、D×α2) is introduced into the knowledge production function model, respectively, added to the original index of K (R & D funding) and L (R & D personnel),α1、α2 respectively, efficiency coefficient of which indirect factors on the innovation efficiency direct factors (R&D funding and R&D personnel). Thus, distinction between indirect and direct factors in the role of factors in different ways,build empirical models. Using this model, empirical analysis affect of R&D capital, labor relations, the market system on regional technological innovation. Based on the synthesis of different combination of three factors for regional technology innovation, further analysis the difference and reason of area technological innovation ability.
Empirical results show that:the contribution of enterprise is the biggest, the negative interaction of deterioration of labor relations to R&D personnel is strongger than the positive interaction of improvement of labor relations to R&D personnel initial performance;the market system is mainly through influences technology innovation of enterprises to improve technology innovation performance of the whole area。The final performance of tianjin、Shanghai、Guangdong、Shandong、Zhejiang、Jiangsu、Fujian、Chongqing are higher than Beijing、Sichuan、Hubei、Shaanxi、Heilongjiang、Xinjiang、Ningxia、Qinghai、Hainan. But its effect factors exist differences.Finally, according to the aforesaid technology innovation mechanism and empirical conclusions put forward countermeasures.
引文
①见徐小洪：《冲突与协调——当代中国私营企业的劳资关系研究》,中国劳动社会保障出版社,2003年。
②见张宗和：中国民营企业的群体性劳资冲突,第三章,中国社会科学出版社,2009年12月。
③Scott和3ruce (1994)认为,员工创新行为由个体对问题的认知及观念形成起始,经历创新个体就其创意寻求援助,尝试建立支持者联盟,将创新想法进行实践,建立创新原型或模型,最后形成商品化产品或服务的多个阶段。
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②见张宗和：中国民营企业的群体性劳资冲突,第三章,中国社会科学出版社,2009年12月。
③Scott和3ruce (1994)认为,员工创新行为由个体对问题的认知及观念形成起始,经历创新个体就其创意寻求援助,尝试建立支持者联盟,将创新想法进行实践,建立创新原型或模型,最后形成商品化产品或服务的多个阶段。
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