中国工业行业技术创新和创新效率差异研究

【作者】 王伟光；

【导师】 周叔莲；

【作者基本信息】 中国社会科学院研究生院 ， 产业经济学， 2002， 博士

【摘要】 本文研究的问题是，中国38个工业行业技术刨新和创新效率在1990—1999年期间的差异、差异的影响、变化及其形成原因。对这些问题的探索，有助于从“行业结构”的角度，来客观评价20世纪90年代中国工业技术进步特点，制定合理的创新政策，促进技术创新，提高技术创新效率，推动中国工业发展，提升其国际竞争力，进而为国民经济持续发展提供坚实的物质技术基础；也有助于从新的角度来研究工业技术进步问题，丰富技术创新研究的相关内容。 本文主要采用理论与实证分析相结合的方法，综合运用创新经济学、产业经济学和统计学的相关理论，分别从技术创新投入、产出，以及“工业行业技术比较创新指数(IRCIE)”角度分析了中国38个工业行业技术创新水平和创新效率的差异。在本文中，技术刨新投入主要使用R&D经费和R&D人员来衡量，技术创新产出用新产品销售收入来代表。技术创新效率是指技术创新产出除以创新投入，这样就可以计算出两种技术创新效率：第1类技术创新效率(新产品销售收入／R&D经费)和第2类技术创新效率(新产品销售收入／R&D人员)。为了直观地反映出38个行业在技术创新效率方面的差异情况，本文提出了一种新的创新效率指标IRCIE。IRCIE是指某个行业的技术创新效率与工业平均技术创新效率的比值，用以反映某个工业行业技术刨新效率超出或低于工业平均创新效率的程度，即IRCIE大于1或小于1分别代表该行业的创新资源配置效率高于或低于工业平均水平。与技术创新效率相对应，IRCIE也可以分为两种：第1类IRCIE和第2类IRCIE。 论文数据来源于国家统计局和科技部编纂的《中国科技统计年鉴》(1991—2000)，扣除数据缺失的其他矿采选业和武器弹药业，研究样本包括煤炭采选业、石油和天然气采选业等6个采掘行业，食品加工业、食品制造业等29个制造行业，以及电力蒸汽热水的生产及供应业等3个公用事业行业，共计38个工业行业。 通过统计分析和理论研究，本文结论如下： (1)20世纪90年代，中国工业行业技术创新之间存在着明显差异。使用不同的衡量指标，对这种差异状况及其变化趋势的揭示程度也是不相同的。与技术创新投入指标相比，工业行业在技术创新产出方面的差异程度更大；与R&D人员指标相比，工业行业在R&D经费方面的差异也要更大一些。例如，在1990—1999年，交通运输设备制造业、电气机械及器材制造业、电子及通信设备制造业、专用设备制造业等10个行业，集中了全部工业行业创新产出(新产品销售收入)总量的82.249％，全部工业R&D人员总量的67.685％和R&D经费总量的74.288％。就工业行业技术创新方面的差异变化而言，38个工业行业创新投入方面的差异在缩小，而创新产出方面的差异却在扩大。综合技术创新投入和产出两个方面的指标，制造业的技术创新水平明显高于采掘行业和公用事业行业。 (2)中国工业行业的技术创新效率(IRCIE)也存在着差异，这种差异在10年间早现出缩小的趋势。技术创新效率比较高的行业，包括烟草加工、交通运输设备、电子及通信设备、普通机械等15个制造行业；煤炭采选业、造纸及纸制品业、化学原料及化学制品制造业、电力蒸汽热水的生产及供应业等23个行业的技术创新效率比较低。在整个20世纪90年代，第1、2类IRCIE总体上呈增长态势的行业基本上是两类IRCIE均小于1的那些行业，而两类IRCIE均大于1的行业基本上没有发生变化或有所下降。这两个方面的综合作用使得工业行业间的技术创新效率差异呈现出缩小趋势。 (3)总体而言，中国工业行业技术创新(投入和产出)方面的差异程度高于创新效率 （IRCI巳）方面的差异程度。中国38个工业行业技术创新和创新效率的关系可以分为4种类型：第一种类型的技术创新水平和创新效率都很高，包括交通运输设备制造业、电于及通信设备制造业、普通机械制造业、橡胶制品业等门个行业：第二种类型的技术创新水平和创新效率都很低，包括木材加工及竹藤棕草制品业、有色金属冶炼及压延加工业、造纸及纸制品业、印刷业记录媒介复制等7个制造业，以及全部6个采掘行业和3个公用事业，共计16个工业行业；第三种类型的技术创新效率较高，技术创新水平较低，包括饮料制造业。烟草加工业、服装及其他纤维制品制造业、皮革毛皮羽绒及其制造业等4个行业：而石油加工及炼焦业、化学原料及化学制品制造业、非金属矿物制品业等7个行业则属于第四种类型；技术创新水平较高，但技术创新效率却较低。 （4）中国工业行业的技术创新能力对其产值结构和就业结构具有显著影响。行业的技术创新能力越强，那么，它在整个工业中的产值比重和就业比重就越大。但是工业行业技术创新效率的影响却非常有限。在全部38个工业行业中，技术创新效率对产值结构和就业结构变化具有明显影响的行业仅占 23．68％（9／38），其余近 80％的工业行业，其创新效率与工业结构的变化没有明显的关系。也就是说，20世纪90年代的中国工业技术进步只不过在“数量规模”上影响着工业结构变化，对工业结构“质量改善”的作用尚不明显。这说明，中国工业结构正处于转换阶段，还没有进入“知识密集型”的工业化阶更多还原

【Abstract】 Drawing on China Statistical Yearbook on Science and Technology (1990-1999),this dissertation,from the view of differences among industries in technical innovation and its efficiency,probes into the characteristics of technical progress in China industry 1990s,and makes some suggestions to promote technical progress,enhance innovation efficiency and finally to upgrade industrial structure.The paper is made up of three parts. Part one,including introduction,chapter 1,2 and 3,is concerned with basic theory and approach. Chapter 1 discusses definition and nature of innovation,and reviews literatures about technical innovation and its efficiency. How to comment and choose index to measure technical innovation was the main content of chapter 2. Moreover,chapter 2 also reveals what kinds of industries are more robust in technical actions. Based on revealed comparative advantage index,chapter 3 puts forward a new index to evaluate differences among industries in innovation efficiency:revealed comparative innovation efficiency index of industry (IRCIE),with which we examine the differences of China industry in innovation efficiency. As a result,we find a tendency that difference of innovation efficiency among industries 1990s has been reducing.Part two consists of chapters 4 to 7,which mostly emphasize empirical analysis on technical innovation and its efficiency. Chapter 4 researches the relationships between technical innovation and its efficiency,and considers what impacts technical innovation has on industry development. The factors to change technical innovation and its efficiency are discussed from chapter 5 to 7. Chapter 5 discusses two kinds of learning in both knowledge creation and technical innovation:learning inward and learning outward of firm,and concludes there is a large gap between China and foreign countries in knowledge density of industries. For Chinese industries,learning outward of firms have more significant effects on IRCIE than learning inward of ones. To a great extent,those industries which IRCIE are high depend on technical knowledge outside of firms,on the other hand,ones based on learning inward are low in IRCIE. Chapter 6,from the view of industry evolution,discusses what kinds ofmarket structure could be beneficial to IRC IE,and tests whether it is effective on Schumpeterian Hypothesis in Chinese industries. We draw a conclusion that competitive market structure measured by concentration ratio of four or eight firms tends to enhance IRCIE of industries during China 1990s. Because market structure of industry in China is determined by many factors besides concentration,it is not easy to judge the relationships between structure and innovation. Institutional conditions,as one of important factors,could not directly reflect how they affect technological innovation and its efficiency. Chapter 7 provides a method to analyze the influences of institutional factors on innovation and IRCIE,and chooses financing structure of innovation,openness and firm system,etc. as representative system conditions. In China there are three main sorts of sources of financing for innovation of large and medium-sized enterprises:government funds,enterprises funds and bank funds. Our findings show that sources of financing for innovation run differently,though both government funds and bank funds have negative effects on IRCIE,it is only bank funds that significantly influence on IRCIE. On the other hand,enterprise funds have not significantly positive effect on IRCIE. In the term of openness,the higher gross output value of joint ventures as a percent of total in industry is,the higher IRCIE of industry is. As a whole,the IRCIE of joint ventures is much higher than one of state-owned enterprise. As approach of innovation systems has been advocating,if institutional environments were perfect,it should be beneficial to technical innovation and IRCIEPart there,namely chapter 8,the last of the dissertation,discusses how to promote technical innovation,how to enhance innovation efficiency in order to upg更多还原