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本文基于创新价值链等理论背景,结合国内外学者对高技术产业的研巧,
探讨不同创新阶段高技术产业技术创新效率及其影响因素。运用随机前沿分析
模型和SFA的方法,通过分析技术研发阶段和技术转化阶段对技术创新效率的
影响因素,深入研究了我国高技术产业整体创新效率,同时将我国高技术产业
按照不同行业类型和不同企业类型两个层面进行深入探讨。然后根据效率分析
的结果明确技术创新政策导向,最后围绕筛选后的政策导向提出具体政策建
议,W优化和完善我国现有技术创新政策。通过本文的研究,可W得到下几
个主要结论:
1.从高技术产业整体创新能力分析:在高技术产业创新活动中,政府研发
资金会对企业研发资金投入存在部分挤出效应,主要体现在政府补助和企业
研发在医药制造业和航空航天器制造业中都能够积极促进技术创新效率。但是
在相对成熟的电子制造等行业中,会对企业研发产生一定的挤出效应
2.从技术开发阶段的不同行业特性而言。由于行业创新特性和不同的行业
背景带来的差异,导致政府补助在不同行业中对创新效率的作用有所不同。其
次,企业研发投入和金融机构贷款投入都能够提升全行业的创新效率。表明企
业在创新过程中,要不断重视自身创新投入,提高产出转化效率,并通过积极
筹集金融机构的研发资金,用于自身的创新活动。第H,研发资本存量、研发
人员全时当量对五大行业的创新效率存在显著的正向影响
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3.从技术转化阶段的不同路径而言。技术引进、国内技术购买、技术改造
对于促进高技术产业技术创新效率的影响各有不同。首先,在技术获取模式选
择的倾向性上,在整个高技术产业中用于技术改造的费用高于技术引和技术
购买费用的支出。对内资企业而言,更加侧重购买国内技术和投入大量资
金进行技术改造提升自身的创新能力。对外资企业而言,更倾向于购买国外技
术,而用于国内技术购买和技术改造费用相对较少;其次,不同的技术获取模
式对高技术产业技术创新效率的影响不同。技术引进对内资企业和外资企业的
创新效率都有着正向的作用,而国内技术购买对创新效率有着负向的影响。此
夕h由于我国正处于高技术产业技术升级的过程,技术改造对高技术产业技术
创新的效果还需要深入研究
4.从提升高技术产业技术创新效率的路径而言。通过本文的实证结果,能
够得到促进创新效率提升的政策建议:首先建立健全人才激励机制,发挥科研
人员的主观能动性和创造性;其次,要提升技术引进和技术购买的转化和吸收
效率,通过学习国内外先进技术,转化为自身的创新优势;此外,加大对专
利、新产品等创新产出的保护力度,形成一套完善的知识产权保障体系,降低
行业知识泄露的风险
关键词:创新价值链;高技术产业;技术创新效率 Abstract
A日STRACT
Technological innovation i＊efers to the application of innovative knowledge, new
t;echnologies,processes and t;ools,implementation of new production methods and
manageme凸t models 也at improve firm’s products and services, occupy 化e market and
realize market value finally. In order t;o improve en1;erprise,s innovation ability,
govemme打ts often increase enterprise’s 民&D investme打t, reduce 化e cost and risk of
民&D activities by R&D subsidies, tax incentives, financial support and other policy
t;ools. According to previous re化arch o打 innovation efficiency,we fbund that R&D
investments i打 different stages have important i打打uence on innovation efficiency in
enterprise&39;s innovation process. However, in today^s highly competitive global market,
化 gain competitive advantage,enterprise does not only require higher levels of internal
R&D capabilities,but has the ability to integrate internal and exl;emal resources, which
in turn maintain e打krprise’s competitive advantage. Give打 the context of the
development of high-tech industries has widely bee打 one of 化e 打ew economies’ major
schemes, it is urge 化 use transition eco打omy’s data !;〇 explore t:he relationships between
1;echnology development, 1;echnology 仔ansformation and innovation efficiency.
Using relevant data on Chinese high-tech industry, we examined t;he influence
factors of innovation efficiency from multiple perspectives, such as heterogeneity in
high-t;ech industry and types of enterprises. Specifically, based on t;he previous study,
we empirically analyzed the influence factors of innovation efficie打cy in different
innovation stages. In this paper, we selected the different in打uence factors of innovation
efficiency in technology development stage and technology transformation stage, and
the s1:ochastic frontier model and method are applied !;〇 explo化 how these faUor affect
1;he innovation performance of China’s high-t;ech industry. Furthermore,we deeply
explored the above relationships among 17 high-t;ech industries and in different types
of enterprises. Based on the results, we put forward feasible suggestions to improve the
innovatio打 efficiency of China’s liigh-1:ech industry. In this study,we have gotte打 some
conclusions,which is lishd as following:
Firstly, our results indicate that the innovation efficiency of high-tech industries
rapidly improved in the past decade. However, government grants partly crowd out
private R&D,it is found that government grants exert a negative influence on
innovation efficie 打 cy of highJech industries. However, the impact of private R&D
III Abstract
fUndi打g is significant and positive. Furthermore,when 化e high-tech industries are
grouped into five sub-industries, the results show that government grants had different
effects on the innovation in each sub-i打dustry. Specifically,the analytical results
suggest that government grants have a positive effect on 化e innovation of the medicine
and aircraft space craft sub-industries,and cast negative effeas on the electro打ic and
communication equipment, computer and office equipment, and medical equipment
and measuring instrument sub-industries.
Secondly, due to the difference in industries’ characteristic and contexts,
government grants have different roles o打 innovatio口 efficiency among industries.
Morcover,enterprise,s R&D investment and financial institutio打 loans have positive
and significant effect on innovation efficiency in each sub-sector. It indicates that
enterprises, as the main body of innovatio打,have paid more attention to their own
innovation investment, and use outside funds from financial institutions to improve
1:heir innovatio打 ability. Furthermore,也e 民&D capital stock and 民&D personnel full
time equivalent have signi打cant and positive impact on the five sub-industries,
innovation efficiency.
Thirdly, from 也e perspeUive of differe打t stages of 化e bchnology 化ansformation
phase. The impact of foreign t:echnology transfer,domestic bchnology transfer, and
technical renovation for the promotion innovation efficiency of high-tech industry are
different. First,化e cost of technical renovation in 化e entire high-化ch i打dustry is higher
than the cost of foreign technology transfer, domestic 1:echnology transfer in the
1;endency of bchnology acquisitio打 mode. For domestic e打t;erprises,more emphasis on
the purchase of domestic t;echnology and kchnical renovation in order t;o promo化
innovatio打 capability. For foreign-funded enterprises,they tend t;o purchase foreign
化chnology rather 化an domestic kchnology and 化chnical renovation; Second, different
t;echnology acquisition modes have 也任￡化111; impact of high-tech innovation efficiency.
Foreign l;echnology transfer has a positive effect on the innovatio打 efficiency of
domestic and foreign enkrprises,while the purchase of domestic 化chnology has a
negative impact on innovation efficiency. I打 additio打,due to the process of industrial
upgradi打g o
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