【作者】 余冬筠；

【导师】 金祥荣； 汪斌；

【作者基本信息】 浙江大学 ， 西方经济学， 2011， 博士

【副题名】基于中国省际面板数据的随机前沿分析

【摘要】 本文主要从创新效率角度探讨了区域创新发展差异的内在机制。具体而言,本文首先运用基于创新的内生增长模型,通过分析创新对区域经济增长的作用机制,创造性地将创新效率分解为创新生产效率和创新经济效率,构建起关于区域创新效率研究的两层次综合分析框架,并运用大样本的面板数据,采用随机前沿分析方法对区域创新效率进行测算、对比和分类,全面展现中国各区域创新发展的特点及其影响因素,最终提出一套系统的区域创新模式。在理论研究部分,本文构建了基于技术创新的内生增长模型,并在模型中增加了开放条件下,技术模仿对创新生产的影响,以及中间产品部门与最终产品部门之间存在的磨合程度,使模型结果更符合现实。模型研究表明,创新对区域经济增长的作用效果可分解为两个层面,一是区域创新生产本身的水平,二是区域创新成果的经济效益实现水平。这为全文的研究脉络提供了理论佐证,后续的实证研究以此展开。在对中国区域创新效率的第一层面实证研究中,本文选用中国30个省级行政区作为创新生产的决策单元,以1999-2008年的面板数据,根据知识生产函数,采用随机前沿方法(SFA)测算各地区的创新生产效率,并运用Battese & COelli(1995)模型对影响创新生产效率的因素进行估计。为了深入挖掘不同创新主体的创新生产效率,文中进一步将这一层面的效率测算细分为区域企业、高校和科研机构创新生产效率三类主体,从而全面测算了30个地区创新生产的综合创新生产效率和三大创新主体的创新生产效率。最后,利用统计学的聚类方法和变异系数,对这四种创新生产效率进行了归类、比较和变异分析。在对中国区域创新效率的第二层面实证研究中,本文立足于经济生产活动,将创新作为一种经济活动的重要生产要素,测算这一投入要素的生产效率,以此反映创新成果的经济转化能力,即文中定义的创新经济效率。本部分仍采用随机前沿分析法,运用了基于投入测算的生产效率模型,具体测算了我国29个省级行政区①的创新经济效率。同样利用统计学中的聚类分析和变异系数,对中国各个地区的创新经济效率进行了分类和变异分析,将其与地区创新生产效率的分类和变异情况进行对比。最后,对中国各地区的创新生产效率和创新经济效率做了4类趋同检验,得出多个有关创新生产效率和创新经济效率地区差异变化趋势的结论。区域创新模式是区域经济发展方式的重要选择,是区域创新的实践途径。针对不同地区的创新发展特点,应构建差异化的区域创新模式。本文根据理论研究的思路和两层面实证研究的丰富结论,提出了一套适合中国不同地区、不同发展阶段的区域创新模式体系。为我国不同发展阶段和创新禀赋的地区,确立有针对性的区域创新发展政策,为实现各区域经济的可持续增长和发展方式转变提供政策依据。本文最关键的创新之处在于创造性地将创新效率分解为创新生产效率和创新经济效率,理清了长期困扰创新效率研究的思路,为创新效率的实证研究提供了新的理论框架。本文据此思路,研究得到了许多有价值的结论,核心的结论是,中国各个区域的创新效率,包括创新生产效率、创新经济效率、三大创新主体的创新生产效率,其效率值均显著低于1,技术非效率因素显著存在。我国大部分地区的创新生产能力已远超过经济生产活动对创新产品的需求,出现了创新生产能力过剩的独特现象和问题。大部分地区的经济增长仍然是一种粗放型、低层次的资源消耗型方式,技术和知识在这些地区远未成为一种有效的生产要素,对经济发展的促进作用相当弱,这又与“创新生产能力过剩”问题形成“悖论”。而地区间的创新效率差异非常大,创新经济效率的地区差异有扩大趋势,而创新生产效率表现出较强的俱乐部趋同。更多还原

【Abstract】 This paper discusses the decision mechanism for the regional innovation differences from the perspective of innovation efficiency. Specifically, endogenous growth model is adopted for innovation and two-level theoretical framework of regional innovation mechanism is established in this paper. Then innovational production efficiency and innovational economic efficiency as well as their impacts are estimated from the two levels of regional innovation efficiency. Regional differences of innovational production efficiency and innovational economic efficiency in China are analyzed respectively. In the final section, this paper proposes a system of innovation development patterns that are suitable for different regions in China on the basis of rich empirical researches.In the theoretical research section, this paper establishes an endogenous growth model with knowledge-driven R&D, and adds the impact of technology imitation to the innovational production as well as the interaction between intermediate product department and final product department, under the open conditions, which makes the model closer to the reality. The result of the model indicates that innovation’s effect on regional economics can be divided into two levels:one is the regional innovational production level itself; the other is the realization level of economic efficiency for regional innovation achievement. It provides theoretical evidence for the whole paper and is also the basis of the empirical research later on.On the first level empirical research of regional innovation efficiency in China, this paper selects 30 provincial administrative regions in China as the decision-making unit of innovational production and data ranging from year 1999 to 2008. Innovational production is estimated based on knowledge production function via stochastic frontier analysis (SFA). Battese and Coelli’s model (1995) is employed to estimate the elements that effect innovational production efficiency. In order to find out the different innovational production efficiency of various innovational subjects, this paper divides this level of innovational production efficiency into three categories of enterprises, universities and scientific research institutions, covering the comprehensive innovational production efficiency of 30 regions and of 3 innovation subjects. Finally, clustering method and coefficient of variation are used to conduct summarization, comparison and analysis of variance on these four kinds of innovational production efficiency.On the second level empirical research of regional innovation efficiency in China, from the perspective of economic activities, this paper considers innovation as an important production factor and estimate its production efficiency, so as to reflect the economic conversion capability of innovation achievements, that is, the innovational economic efficiency. In this section, this paper again adopts stochastic frontier analysis and a model based on estimating production efficiency. The innovational economic efficiency of 29 provincial administrative regions is estimated. Again, clustering method and coefficient of variation are used to conduct classification and analysis of variance on the innovational economic efficiency of various Chinese regions, with comparison to the classification and variation of regional innovational production efficiency. Finally, four kinds of convergence inspection are conducted on the innovational production efficiency and innovational economic efficiency of various Chinese regions with several conclusions made on the regional differences trends of innovational production efficiency and innovational economic efficiency.Regional innovation development pattern is an important choice for regional economic development and is a practical way of regional innovation. Differentiated regional innovation development patterns should be established according to various features of innovation development in different regions. This paper proposes a regional innovation development pattern system suitable for different regions and different development stages in China, so as to establish regional innovation development strategies accordingly for different development stages of our country and innovation-endowed regions, which ultimately offers policy foundations for the development of regional economics and the transform of development patterns.The key point in this paper is that it creatively divides innovation efficiency into innovational production efficiency and innovational economic efficiency, which clears the thoughts in innovation effect research and offers new theoretical framework for the empirical research on innovation efficiency. Based on this idea, this paper attains fruitful conclusions, among which include the core finding that the innovation efficiency in all the Chinese regions is significantly lower than 1 on average, no matter whether it is innovational production efficiency, or innovational economic efficiency, or the three innovation subjects of the innovational production efficiency. Technology inefficiency obviously exists. Especially, the innovation production capabilities of most Chinese regions well exceed the demand for innovation products from economic activities. The economic growth patterns in most Chinese regions are still extensive, low-level and resource-consuming. Technology and knowledge has not yet become an effective production factor, which only has rather weak effect on the economic development. The differences of innovation efficiency between regions are large, with regional differences of innovational economic efficiency increasing and that of innovation production efficiency converging.更多还原