人力资本及其结构与研发创新效率——基于SFA模型的检验

Human Capital,its Structure and R&D Innovation Efficiency Based on the Test of SFA Model

本文采用随机前沿模型,分别以发明专利授权量和新产品产值为产出变量,在对中国研发创新效率进行估算的基础上,考察了人力资本及其结构因素对研发创新效率的影响。研究发现:中国研发创新效率整体较低,有较大的创新潜力;中国研发创新效率区域差异明显,且呈现发散趋势;研发创新专利成果在市场化过程中存在较大的效率损失;研发投入是促使中国研发创新效率提升的重要因素;中国研发创新活动不具有规模效应特征;人力资本对研发创新效率的改善作用极小且不显著,应当提高人力资本水平;在人力资本结构中,接受过大专及以上教育的人力资本能显著促进研发创新效率的改善,应当加强人力资本结构的优化与升级。

Chinese government has been strategically transforming China into an innovative country by enhancing the ability of independent innovation. In order to enhance the ability of independent innovation, China has increased its investment in R＆D innovation. However, increasing R＆D innovation investment is not sufficient to enhance the ability of independent innovation because China lacks innovative human and financial resources. It is particularly important to study R＆D innovation efficiency by taking the background information into consideration. In addition to the independent innovation, China also engages in other ways of national innovations, such as the acquisition of foreign technology, in order tO stimulate economic growth. Human capital affects economic growth not only through technology innovation, but also technology absorption rate. Therefore, it is important to investigate the relationship between human capital and China＇s R＆D innovation. Most of the existing papers consider human capital as a whole. The heterogeneity of human capital is often neglected. As a result, the possible influence of innovation by different parts of human capital is not considered. The scientific measure of R＆D innovation efficiency is beneficial in recognizing the gap and the shortcomings of China＇s R＆D innovation activities. Further research may want to study the relationship between human capital, its structure and China＇s R＆D innovation efficiency. This paper uses the stochastic frontier analysis model by considering patent authorization and output value of new products as the output variables to estimate China＇s R＆D innovation efficiency. Meanwhile, the paper researches human capital and its structure＇s impact on R＆D innovation efficiency. Our findings show that China＇s R＆D innovation efficiency is still relatively low and has great potential for innovation. R＆D investment plays an important factor to promote R＆D innovation efficiency. Human capital as a whole has little effect on the efficiency improvement. Thus, it is essentia~ to improve human capital ~evel. People who receive college or higher education can significantly promote R＆D innovation efficiency. Therefore, we should strengthen the optimization and upgrading of human capital structure.