国家创新系统的效率评价研究

数据包络分析是一种评价决策单元相对效率的有效工具,已经被广泛运用于对国家或者区域创新系统的效率评价之中。然而,之前的研究都将国家创新系统视为一种简单系统,因此无法得到科学的评价结果。本文将国家创新系统视为一种链形系统,运用链形系统DEA方法对其进行效率评价,评价结果显示了该方法的合理性。     

中国不同类型企业技术创新效率的趋势与比较

本文基于我国大中型工业企业2001-2015的面板数据,对不同类型的大中型工业企业技术创新效率进行比较研究。VRS径向的DEA模型的年度分析表明,从2001年-2015年期间,中国大中型企业的综合技术效率在不断提高,不同类型企业之间的差距在不断缩小。中外合资经营企业和外资企业的综合技术效率长期处于优势地位,内资企业的综合技术效率、纯技术效率和规模效率在绝大多数时间均处于追赶地位。内资企业的纯技术效率的均值在2014年超过了港澳台商投资企业和外商投资企业,呈现全面赶超的态势。全局前沿Malmquist指数的跨期研究显示,内资企业的全局前沿Malmquist指数均值远高于1,始终保持快速赶超的状态;港澳台商投资企业的全局前沿Malmquist指数均值也高于1,保持一定的增幅;外商投资企业的领导地位正在面临内资企业以及港澳台商投资企业的有力挑战。     

广东专业镇技术创新效率评价——基于DEA和问卷实证的双重视角

借鉴区域和企业技术创新效率评价研究的范式,有针对性地选取了评价指标,并运用数据包络分析模型和问卷调研的方式对广东省19个地市专业镇的科技创新效率进行了研究。通过对2009-2012年广东专业镇科技投入与产出数据的DEA有效性分析,可以看出广东专业镇整体的技术创新效率偏低,科技资源分配和投入方式较为粗放,存在一定程度的冗余和浪费现象。为了进一步研究影响广东省专业镇创新效率和能力的关键因素,设计和发放了针对专业镇创新平台科技管理一线人员的调查问卷。问卷调研的实证分析结果也基本验证了基于DEA模型的专业镇创新效率分析,同时也部分揭示了影响广东专业镇创新效率的关键影响因素,以及当前专业镇科技创新管理政策方面潜在的问题和未来改进的科技政策建议。     

The evolving nature of Taiwan's national innovation system: The case of biotechnology innovation networks

The dynamics of national innovation systems (NISs) are a source of considerable academic and policy interest, especially when to address new competitive challenges they involve changing institutions and relationships within successful systems. This paper examines the case of Taiwan which is embarking on a new phase in its approach to building its national innovative capacity through creating the infrastructure for a biotechnology industry. By examining the process and mechanisms by which new biotechnology innovation networks are being created, and contrasting their development with existing networks, we analyse the dynamics of Taiwan's NIS. The paper reviews the prospects for this new phase in Taiwan's transition from ‘imitation’ to ‘innovation’. The paper aims to add to the understanding of how innovation systems evolve. It is concerned with the contributors, processes and challenges of NIS evolution and the form and meaning of its dynamic changes.     

创新主体的创新效率区域比较研究

通过构建旨在评价中国三大创新主体(企业、高校和科研院所)的创新效率及其影响因素的随机前沿模型,对1999-2008年中国30个省份的面板数据进行实证研究,发现三大主体的创新活动均对创新资源的依赖较大,创新效率值均小于1,其中企业的创新效率值最低。技术非效率因素显著存在,其中政府资助和创新主体间的联系对创新主体的作用截然不同。同时,在以创新效率的聚类分区中,企业创新高效区的省份相当少,高校创新高效区和科研院所创新高效区的省份较多,但又有所差异。区域创新主体间的效率差异,以及区域之间的差别,显示出了区域创新的动力源泉和发展特点。     

虚拟科技创新团队科研合作效率的实证研究

 虚拟科技创新团队的科研合作效率是团队管理者普遍关注的问题。运用DEA模型的视窗分析和相关分析,将经费设施、人力资本、制度保障作为投入指标,合作深度、合作广度、合作提高为产出指标,以16个虚拟科技创新团队2004-2009年的调研数据为样本,对团队科研合作效率变化趋势、稳定性和影响因素进行研究。结果表明,随着合作时间的延长,团队科研合作的总体效率（TE）、纯技术效率（PE）具有波动上升的趋势,规模效率（SE）不存在明显的规律性,各团队效率稳定性存在较大差异;要提高SE应该从提高经费设施的相对产出入手,要提高PE应该从提高人力资本的相对产出入手,制度保障对TE、PE和SE都有影响,团队应在完善制度的基础上进行“有序扩张”。     

Role of public research institutes in national innovation systems in industrialized countries: The cases of Fraunhofer,NIST, CSIRO,AIST, and ITRI

Public Research Institutes (PRIs) were established for many reasons, such as to promote defence related research and health related research. Helping domestic industries remains one of the important missions for public research institutes even when the countries have industrialized and firms’ technological capabilities are high. PRIs aim to upgrade existing industries, especially SMEs, as well as spearheading new ones. They can conduct research to solve today’s problems of existing industries and those of next generation technologies which might lead to creation of new industries. Moreover, relationship between PRIs and firms and non-firm actors like universities became more intense, open, horizontal, international, and longer term. To reduce risk and uncertainty inherent in research mentioned above, intermediary roles of PRIs are increasingly important. The emphasis and the ways PRIs help industry change over time and vary across countries as they are integral part of national innovation systems. This makes generalization difficult, but the experiences of five leading PRIs in Germany, Taiwan, Japan, Australia, and the US shows that, the balances between contract research vs. longer term research with own initiative, mobility of researchers vs. retaining core researchers, and competitive grants and funds from industry vs. block grants from government are important to keep PRIs relevant to industry needs and maintain research standards. The governance of PRIs is of particular importance to maintain proper balances.     

Internationalization of innovation systems: A survey of the literature

While there is a large literature on the internationalization of economic activity (including R&D) at the corporate level, there are not many studies of the degree of internationalization of innovation systems. The few studies that exist show that national innovation systems are becoming internationalized, even if the institutions that support them remain country-specific. To the extent that the far more numerous studies of internationalization of corporate R&D discuss innovation systems at all, they point to the continued importance of national institutions to support innovative activity, even though that activity is itself becoming increasingly internationalized.     

National innovation system in less successful developing countries: the case of Thailand

This paper, using Thailand as a case study, aims at understanding the national innovation system (NIS) in developing countries which are less successful in technological catching-up. In contrast to developed countries, the development level of Thailand’s NIS does not link to its economic structural development level. As Thailand moves from agricultural to an increasingly industrial economy, its NIS remains weak and fragmented. The mismatch between the two affected Thailand’s competitiveness and partially contributed to the recent economic crisis. Studies of NIS in countries like Thailand should focus on factors contributing to the long-running perpetuation of weak and fragmented NIS.     

Political instability, pro-business market reforms and their impacts on national systems of innovation

We investigate the impacts of political instability and pro-business market reforms on national systems of innovation (NSI) across a range of developing and developed countries. Evidence suggests that national systems of innovation are most likely to flourish in developed, politically stable countries and less likely to prosper in historically unstable countries. While research has shown that pro-business market reforms can be a valuable policy instrument to boost economic development in less developed countries, the extent to which these reforms affect a country's innovativeness has been neglected in the literature. In particular, the degree to which pro-business market reforms may compensate for political instability when it comes to fostering national systems of innovation remains under-researched. Our findings support established arguments concerning the strong influence of political instability on inputs to national innovation systems. We find, however, mixed effects for pro-business market reforms. While results indicate a negative direct influence on NSI, they consistently show a strong moderating effect that counterbalances the negative impact of political instability, especially in those developing country environments where science and technology are lagging. These results provide important implications for policymakers as well as for our understanding of emerging and transition economies and national technological capability.     

Three frames for innovation policy: R&D,systems of innovation and transformative change

Science, technology and innovation (STI) policy is shaped by persistent framings that arise from historical context. Two established frames are identified as co-existing and dominant in contemporary innovation policy discussions. The first frame is identified as beginning with a Post-World War II institutionalisation of government support for science and R&D with the presumption that this would contribute to growth and address market failure in private provision of new knowledge. The second frame emerged in the 1980s globalising world and its emphasis on competitiveness which is shaped by the national systems of innovation for knowledge creation and commercialisation. STI policy focuses on building links, clusters and networks, and on stimulating learning between elements in the systems, and enabling entrepreneurship. A third frame linked to contemporary social and environmental challenges such as the Sustainable Development Goals and calling for transformative change is identified and distinguished from the two earlier frames. Transformation refers to socio-technical system change as conceptualised in the sustainability transitions literature. The nature of this third framing is examined with the aim of identifying its key features and its potential for provoking a re-examination of the earlier two frames. One key feature is its focus on experimentation, and the argument that the Global South does not need to play catch-up to follow the transformation model of the Global North. It is argued that all three frames are relevant for policymaking, but exploring options for transformative innovation policy should be a priority.     

National health innovation systems: Clustering the OECD countries by innovative output in healthcare using a multi indicator approach

The importance of innovation in healthcare has increased within the last decades as challenges, like rising costs and an aging demographic, have to be solved. The degree of innovativeness in healthcare is strongly influenced by the National Health Innovation System, which as a sectoral innovation system encompasses a wide variety of actors and related knowledge. Despite the highly practical relevance of the topic, there are only a few studies that analyze innovation in healthcare on a national level. Thus, this study is a starting point and, building on the theoretical framework of national innovation systems, answers the following questions: “Can countries be grouped by their innovation output in healthcare and do those groups differ in factors describing the healthcare system? Do countries with strong national innovation systems also have strong national health innovation systems and vice versa?” We compare the healthcare innovation output of 30 OECD countries using a multi-indicator approach and categorize them into four distinct groups using cluster analysis. The cluster consisting of the Scandinavian countries, the Netherlands and Switzerland shows the highest innovation output measured in knowledge production and knowledge commercialization. Surprisingly, these countries, with the exception of Switzerland, only rank in the medium group when considering the entire national innovation system. Policymakers and researchers might be particularly interested in studying the healthcare systems of these countries.     

国家创业系统相对效率评价模型与实证研究——基于网络DEA

基于国家创业系统现有研究成果,对创业既是一种现象又是一个过程的认识,构建基于创业过程的国家创业系统概念框架及评价模型,从GEM-2012、DEDI-2012/2013和GCI-2012/2013中选取43个国家为样本及相关数据,运用可变规模收益条件下的非径向链式网络DEA方法,对国家创业系统效率进行综合评价。研究发现,对于效率驱动型样本和全部样本,我国国家创业系统及其节点都是无效的,其中非正式社会网络、商务环境、市场规模、胜任的人力资源和社会对创业态度五个投入要素需改进空间最大。因此,要提升我国国家创业系统综合效率,极为重要的是改进社会对创业的态度以提升创业意向形成效率,大幅度改进非正式网络、商务环境、市场规模和胜任的人力资源等要素,令更多具有创业意向的潜在创业者做出创业决策,开展创业活动。     

中国中低技术产业创新效率分析

 本文使用DEA方法和技术创新的两阶段模型来测度我国LMT产业技术创新活动的相对效率并分析影响我国LMT产业创新绩效提高的关键因素。研究结果表明: (1) 我国中技术产业的创新效率最低,而低技术产业却拥有比高技术产业更高的创新效率; (2) 提高将技术成果转化为经济收益的效率是我国LMT产业创新发展的关键问题;（3）我国LMT产业在创新活动的各阶段主要表现为显著的规模报酬递增,因此加大LMT产业的创新投入更有经济价值。     

区域创新政策对企业创新效率影响的实证研究

创新政策是激发企业创新活力的重要驱动力,已有文献中鲜有企业层面政策影响创新效率的研究。本文运用随机前沿模型分析了北京市创新政策对中关村企业创新效率的影响作用。研究结果表明:区域创新政策对企业创新效率的平均影响程度在0.31左右,其中政府项目和资金补助,以及创新人才资助和研发软硬件扶持都对企业创新的专利产出效率起到了积极作用,税收优惠和资金补助,以及高端人才税收补贴都对企业创新产品收益取得了良好效果;特别是,政策资金补助的影响程度随着时间推移逐渐减弱;此外,电子信息和生物医药企业创新效率的政策影响程度较高,而装备制造业较低且呈现库兹涅茨曲线特征;微小企业对区域创新政策的依赖程度高于大型企业,政策作用于中小企业创新效率的效果好于大型企业。     

Technological innovation systems and the multi-level perspective: Towards an integrated framework

Technological innovation systems and the multi-level framework are closely related concepts for the study of far-reaching technological change. They draw on common theoretical roots and analyze similar empirical phenomena. However, they have developed rather independent research strands over the past few years. The paper reviews the state of the art of both concepts and explores commonalities as well as differences. Against this background, we outline first elements of a path towards an integrated framework that combines the strengths of the two approaches and allows providing a better understanding of radical innovation processes and socio-technical transformations.     

中国港口生产效率再评价

鉴于已有的主成分分析法在效率改进方面体现出的不足,提出了一种改进的主成分分析法。该方法用于定量地选取评价指标,避免了主观选取的不确定性。通过输入与输出向量投影实现了对非DEA有效的决策单元的效率改进。给出了应用该方法的具体步骤,通过对8个港口进行指标选取和效率得分的计算与排序,验证了该方法的可行性并体现其相对于已有方法的优势。     

基于DEA方法的农村商业银行运营效率评价

农村商业银行作为农村金融改革的产物,被认为是农村金融机构今后发展的模板。农村商业银行在为‘三农’和地方经济发展提供金融服务、推动农村金融的发展等方面意义深远。因此,对其运营效率值得关注。通过数据包络分析方法（DEA）对国内几家农村商业银行进行效率评测,得出的主要结论有：除了上海农村商业银行,农村商业银行在总体上的运营效率普遍有效;农村商业银行在现有的条件下的管理水平也很有效;上海农村商业银行运营效率的低效是主要是由其规模效率低而引起的。     

Differential empirical innovation factors for Spain and the UK

This study considers the role of national differences, derived from structural characteristics in each country, and how they impact on companies’ innovation. To do this we include in a firm-level empirical model of innovation traditional factors impacting on innovation, and measure any differences in these determinants between two countries: the UK (comprising more advanced regions) and Spain (which belongs to the “follower” groups of countries in Europe). Using the European Community Innovation Surveys (CIS4), we select two samples comprising private manufacturing firms and estimate a two-step Heckman model to explain firms’ innovation. Our results suggest that Spanish firms are at a different stage, with Spain lagging behind the UK in terms of being able to benefit from R&D. Thus in Spain, we find that public support is more important in promoting innovation activities; whereas linkages with international markets are more important for companies in the UK. Based on our results, we would argue that in order to reduce the technological gap between these two countries regional policies to promote innovation in Spain should concentrate more on the promotion of market relationships between co-located firms; while a greater exposure to internationalisation would benefit both countries.     

中国工业行业技术创新效率研究/FONT

    摘要：本文使用中国1996-2007年31个两位数行业的面板数据,应用随机前沿分析方法,基于内生增长模型的知识生产函数理论构建超越对数生产函数,实现对中国工业行业知识生产函数的估计与技术创新效率的实证测度。研究发现：中国工业行业技术创新中存在无效率;各工业行业研发创新效率存在较大的不平衡;中国工业行业技术创新的效率并没有表现出随时间提升的趋势。基于实证研究结果,提出了促进中国自主创新战略的相关政策建议。