中国自主创新中研发资本投入产出绩效分析——兼论人力资本和知识产权保护的影响

Performance Analysis of R&D Capital Input and Output in Chinese Independent Innovation: with Discussion of the Effects of Human Capital and Intellectual Property Rights Protection

改革开放以来,中国经济保持持续高速增长,但是由于国内自主创新能力的匮乏,国际竞争优势的升级、经济增长的持久性及增长方式的转变不容乐观。基于投入产出绩效视角,本文分析了国内外不同的研发资本以及人力资本和知识产权保护对中国自主创新的影响,并运用中国1985—2004年的数据对其进行了实证检验。研究结果表明:中国自主创新能力的提升主要依靠国内自主研发的投入,但国外研发对中国自主创新能力的贡献度也不容忽视;三大国际技术扩散路径溢出的国外研发对自主创新的影响存在较大差异,并且每条路径溢出的国外研发对不同层次自主创新的贡献度也显著不同;人力资本和知识产权保护对不同研发资本投入产出绩效的影响具有明显的差异,其降低了国内研发投入和FDI溢出的国外研发对自主创新的贡献度,却提升了进口和国外专利申请溢出的国外研发对自主创新的贡献度。

China has maintained high-speed economic growth since reform and opening-up. However, China's lack of an independent innovation capacity means that one cannot be optimistic about the ratcheting up of international competitive advantage, the sustainability of economic growth and the transformation of the economic model. From the perspective of the effectiveness of R&D input and output, this paper analyzes the effects on independent innovation of variations in R&D capital, human capital and intellectual property rights protection, testing it with empirical analysis of Chinese data from 1985 to 2004. The results show that China's independent innovation capacity mainly depends on domestic input into independent R&D, but foreign R&D input cannot be overlooked. Foreign R&D input from three different channels of international technology diffusion has different effects on independent innovation, with each channel making a different contribution to different levels of independent innovation. Moreover, there are also marked differences in the output effects of human capital and protection of intellectual property rights in relation to different R&D capital inputs, reducing the effect of domestic R&D input and foreign R&D input from FDI on independent innovation and increasing that of foreign R&D input from imports and foreign patent applications respectively.