中国研发投入及其产出效率省际比较研究

发布时间：2018-04-27 23:58

本文选题：RD经费 + RD人员　；参考：《吉林大学》2014年博士论文

【摘要】：随着全球化和知识经济的迅猛发展，科学技术日益成为经济社会发展的主要驱动力，区域竞争力比任何时候都更加依赖于区域内的科技发明、模仿创新、引进与消化吸收再创新、以及科技的转化应用扩散。科技创新已经成为决定一个区域经济增长实力和产业发展水平的关键因素。RD投入是科技进步的物质基础和重要前提，是直接推动科技进步的主要动力，是经济增长不可或缺的重要因素之一。增加RD投入有助于企业获得规模收益，有助于整个行业和产业形成集聚经济，有助于转变经济增长方式和优化产业结构，进而促进经济增长。我国幅员辽阔，人口众多，各区域自然资源、要素禀赋、基础设施建设以及产业政策不同，使得各地区RD投入相差较大，对经济增长的影响也各不相同。基于此，笔者以“我国研发投入及其产出效率的省际比较研究”为论文题目，在系统梳理相关理论和研究文献的基础上，，从不同角度对RD投入产出进行了全面的分析，并运用计量分析方法深入研究了RD投入产出效率的差异及其影响因素，探讨了RD投入对经济增长的贡献，进而提出了符合我国实际的具体建议。第一，回顾我国RD投入的演变历程，掌握我国RD投入整体状况和RD经费的发展演变。研究发现，我国RD投入规模不断扩大，越来越接近创新型国家的水平。我国RD经费主要来自于企业资金和政府资金，以试验发展研究为主。RD活动各执行主体中，企业的RD经费主要来自于企业资金，以进行试验发展为主。研发机构的RD经费主要来自于政府，试验发展和应用研究并重。高等学校则以政府资金和企业资金为主，主要进行应用研究和基础研究。各执行主体的RD经费支出用途具有较高的相似性，均以日常性支出为主。RD人员分布与RD经费分布基本保持一致。第二，基于我国RD投入演变的分析视角，对不同省市RD经费投入和RD人员投入变化进行比较研究，分析不同省市在RD投入方面的差异。研究发现，我国RD经费投入分布极其不均衡，省际差异巨大。RD经费投入规模和RD经费投入强度呈现从东到西梯度分布。RD经费投入与各地区经济发展水平、经济结构、主导产业规模以及产权结构、地理位置、RD活动执行主体数量等因素密切相关。具体来说，各地区RD经费主要来源于企业和政府，第二产业较为发达的地区和自然资源禀赋较高的地区企业资金投入较多；科研机构高等院校较为集中的地区政府资金投入较多；对外开放程度较高的沿海地区国外资金所占比重非常高。第三，运用面板数据计量分析方法，对我国RD投入差距以及不同省市RD投入差距的主要影响因素展开研究。研究发现，我国RD经费投入强度受到多种因素影响，不同因素的作用差异较大。通过测算可知，我国RD经费投入主要是受到政府作用的正向影响，产业结构次之。经济发展水平、经济开放程度、RD人力资本投入等均具有正向影响作用，但作用效果相对较弱。省际回归结果显示，各影响因素对东中西部地区的影响逐级递减，主要作用于东部各省市。第四，对我国RD投入产出的演变及其省际之间的差异进行对比分析。研究发现，我国RD投入产出成果不断增长，省际差异较大。随着RD投入的增长，专利产出逐年递增，以实用新型专利为主，外观设计专利次之，发明专利最少，绝大多数来自工业企业。专利产出较高的地区主要分布在东部地区，特别是工业企业分布较为集中的地区。从技术性收入类型来看，我国RD投入产出的直接经济效益主要分布在技术开发和技术服务两个领域；从知识产权构成来看，主要分布在技术秘密领域和未涉及知识产权领域；从技术领域来看，以电子信息技术和先进制造技术为主；从社会经济目标来看，主要用于促进工业的发展。值得注意的是，我国RD投入产出的直接经济效益即各省市技术市场成交合同额差异较大，以北京和上海为主。第五，对我国RD投入产出效率的演变以及省际之间的差异进行比较研究。研究发现，我国RD投入的产出效率波动较大，省际之间差别迥异。从RD经费投入的论文产出效率看，研发机构和高等学校较为集中的省市和以基础研究和应用研究为主的省市，产出效率相对较高。从RD经费的专利产出效率看，经济发展水平较高的省市和工业企业RD经费投入以进行试验发展为主的东部沿海省市，产出效率较高。从RD人员投入的论文产出效率看，研发机构和高等学校集聚的北京和上海等省市，产出效率较高。从RD人员投入的专利产出效率来看，经济发展水平较高、工业企业规模较大和产业集聚水平较高的东部省市，产出效率较高。从RD经费投入的直接经济效益看，受RD经费投入来源、RD经费投入主体、RD经费支出结构、RD人力资本投入、地区经济发展水平和经济结构等因素的影响，产出效率波动频繁，省际差异较大。第六，从理论的角度分析不同区域和不同省市RD投入对地区经济增长的作用，并进行实证检验。研究发现，我国东中西部RD投入与经济增长呈现显著正向变动关系，由此可知，我国RD投入区域差异明显。即东部地区的RD投入较高，对经济增长的影响也较大；中西部地区各省市RD投入相对较为集中，远不及东部地区各省市的投入力度，对经济增长的影响程度也相对较小，但随着时间的推移，东中西部各省市RD投入均呈现不同程度的扩大，对经济增长的影响也愈发显著。全国及东中西三大区域RD投入对经济增长均具有积极的推动作用，说明实施促进技术创新的政策对经济增长是有利的。值得注意的是，从RD投入的回归系数来看，目前我国RD投入所表征的科技创新对经济增长的推动作用，在空间维度上主要表现为由东到西成梯度递减的特征。综上所述，在我国RD经费投入强度越来越接近创新型国家水平时，省际RD投入表现出明显的差别，不同省份受到诸多因素影响，产出效率也并不尽如人意。在促进RD经费投入，建设创新型国家的过程中，政府的作用不可小觑。在此过程中，政府应当明确其在RD活动中的定位，在保障RD投入产出外部环境的同时，充分发挥地区主导产业的优势作用，建立以科技含量较高的工业企业为主体的科技创新体系引领地区科技发展，进而引导发挥科技进步和科技创新对经济增长的促进作用。
[Abstract]:With the rapid development of globalization and knowledge economy, science and technology have become the main driving force of economic and social development. Regional competitiveness is more dependent on scientific and technological inventions in the region than at any time, imitating innovation, introducing and assimilating, absorbing and re innovating, as well as the transformation and application of Science and technology. The key factor of the strength of economic growth and the level of industrial development.RD input is the material basis and important premise of the progress of science and technology. It is the main motive force to promote the progress of science and technology, and is one of the indispensable factors of economic growth. Increasing the input of RD helps enterprises to gain the income of scale and contribute to the formation of the whole industry and industry. It helps transform the mode of economic growth and optimize the industrial structure, thereby promoting economic growth.
China has a vast territory, a large population, natural resources, factor endowment, infrastructure construction and different industrial policies in each region, which makes the RD input in various regions differ greatly, and the impact on economic growth is different. Based on this, the author takes "the inter provincial comparative study of R & D investment and its output efficiency in China" as the thesis topic and systematically combs. On the basis of relevant theories and research literature, this paper makes a comprehensive analysis of RD input-output from different angles, and studies the difference of RD input-output efficiency and its influencing factors by means of econometric analysis, probes into the contribution of RD input to economic growth, and then puts forward specific suggestions to conform to China's actual practice.
First, review the evolution process of RD investment in China, grasp the overall situation of RD investment in China and the development and evolution of RD funds. It is found that the scale of RD investment in our country is expanding and approaching the level of the innovative country. The funds of RD in China mainly come from the enterprise funds and the government funds, and the experimental development research is the main body of the.RD activities. The RD funds of the enterprise mainly come from the capital of the enterprise to carry out the test development mainly. The RD funds of the R & D institutions are mainly from the government, the experimental development and the application research are equal. The higher schools mainly use the government funds and the enterprise funds, mainly carry out the application research and basic research. The RD expenditure of each executive body has a higher use. Similarity is mainly based on daily expenditure, and the distribution of.RD personnel is basically consistent with the distribution of RD funds.
Second, based on the analysis angle of RD input evolution in China, this paper makes a comparative study on the investment of RD funds and the input changes of RD personnel in different provinces and cities, and analyzes the differences between different provinces and cities on the input of RD. The research finds that the distribution of RD funds in China is extremely uneven, and the inter provincial difference of.RD is from the east to the east to the investment intensity of RD, and the investment intensity of RD is from the east to the East. The.RD funds of the Western gradient distribution are closely related to the economic development level, the economic structure, the dominant industry scale, the property right structure, the geographical position, the number of RD activities, and other factors. In particular, the RD funds in each region are mainly from the enterprises and the government, the second production is more developed and the natural resource endowments are higher. The capital investment of regional enterprises is more; the more centralized regional government funds are invested in the institutions of higher learning of scientific research institutions, and the proportion of foreign capital in the coastal areas with higher openness is very high.
Third, using the method of panel data measurement, this paper studies the difference of RD input and the main influence factors of RD input gap in different provinces and cities. It is found that the investment intensity of RD in China is influenced by many factors, and the difference of the role of different factors is great. Through calculation, it is known that the investment of our country's RD funds is mainly influenced by the government. The positive impact of the industrial structure. The level of economic development, the degree of economic openness, and the human capital input of RD all have a positive effect, but the effect is relatively weak. The results of the inter provincial regression show that the influence factors on the eastern and western regions are decreasing step by step, mainly in the eastern and western provinces and cities.
Fourth, a comparative analysis of the evolution of RD input-output in China and the differences between provinces and its inter provincial. It is found that the RD input-output results in China are increasing and the inter provincial difference is great. With the increase of RD input, the output of patent is increasing year by year, the utility model patents are the main, the appearance of the patent is second, the invention patent is the least, the overwhelming majority comes from the workers. The areas with higher patent output are mainly distributed in the eastern region, especially in the areas where industrial enterprises are more concentrated. From the view of technical income, the direct economic benefits of RD input-output in China are mainly distributed in two fields of technical development and technical service. From the view of intellectual property rights, the main distribution is technology secrets. In the field of technology, the field of intellectual property rights is not involved; in the field of technology, electronic information technology and advanced manufacturing technology are the main factors; from the socioeconomic goal, it is mainly used to promote the development of industry. It is worth noting that the direct economic benefit of RD input-output in our country is that the market transaction contracts of each province and city are different, and Beijing and Shanghai is the dominant.
Fifth, a comparative study is made on the evolution of RD input-output efficiency and the difference between provinces in China. It is found that the output efficiency of RD input in China fluctuates greatly, and the difference is very different between the provinces. From the efficiency of the paper output of RD funds, the more concentrated provinces and cities of R & D institutions and institutions of higher learning and basic research and Application Research The output efficiency of the provinces and cities of the main province is relatively high. From the efficiency of the patent output of RD, the provinces and cities and industrial enterprises with high level of economic development are invested in the eastern coastal provinces and cities with high experimental development, and the output efficiency is high. From the output efficiency of the RD personnel, the research and development institutions and the Beijing and Shanghai gathered by the universities and colleges. And other provinces and cities have higher output efficiency. From the efficiency of RD personnel, the efficiency of the eastern provinces and cities with higher economic development, larger industrial enterprises and higher industrial agglomeration level is higher. From the direct economic benefits of the investment of RD, the sources of RD funds, the main body of RD funds, the expenditure structure of RD, RD people With the influence of factors such as capital investment, regional economic development level and economic structure, output efficiency fluctuates frequently and inter provincial differences are large.
Sixth, analyze the role of RD input on regional economic growth in different regions and provinces and cities from the theoretical point of view, and carry out an empirical test. It is found that the RD input and economic growth in the eastern and western regions of our country have a significant positive change relationship. Therefore, it can be seen that the regional difference of RD input in China is obvious. That is, the RD input in the eastern region is higher and the economic growth is higher. The impact of RD on the central and western provinces and cities is relatively concentrated, far less than the investment in the eastern and western provinces and municipalities, and the degree of impact on economic growth is relatively small. However, with the passage of time, the input of RD in all provinces and cities in East and West has been enlarged, and the impact on economic growth is becoming more and more significant. The RD investment in the three East and west regions has an active role in promoting economic growth. It is pointed out that the policy of promoting technological innovation is beneficial to economic growth. It is worth noting that, from the regression coefficient of the input of RD, the role of scientific and technological innovation characterized by RD investment in China is mainly manifested in the spatial dimension. From the east to the west, the gradient is diminishing.
To sum up, when the investment intensity of RD is closer to the level of the innovative country, the inter provincial RD input shows obvious differences, the provinces are affected by many factors and the output efficiency is not satisfactory. In the process of promoting the investment of RD and building an innovative country, the role of the government can not be underestimated. The government should make clear its positioning in the RD activities, give full play to the dominant role of the regional leading industry while guaranteeing the external environment of RD input and output, and set up a scientific and technological innovation system with high technological content as the main body of industry leading the development of regional science and technology, and then guide the advancement of science and technology and the promotion of scientific and technological innovation to the economic growth. Effect.

【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：F124.3;F124.1

【参考文献】