区域知识溢出、产权性质与企业自主创新绩效——基于创新价值链的视角
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摘要
引入创新价值链分析框架,利用2008—2014年A股上市公司的数据,分析了区域知识溢出对不同产权性质企业自主创新绩效的影响。通过归纳区域知识溢出特征设计区域知识溢出指数,采用有中介的调节效应模型进行实证分析。研究发现,区域知识溢出对企业创新绩效有显著的促进作用,其中,由经济发达地区向经济欠发达地区的知识溢出效应作用最明显。将创新价值链区分为两个阶段后,发现区域知识溢出对自主创新的正向推动作用主要集中在创新研发阶段;而在创新应用阶段,由于受到企业运营能力等因素的影响,区域知识溢出对企业自主创新绩效的影响并不显著。同时,非国有企业受区域知识溢出的影响更大。
By introducing the analytical framework for innovation value chain and making use of the data of A share listed companies from 2008 to 2014, this paper tries to analyze the impact of regional knowledge spillover on the independent innovation performance of enterprises with different nature of property rights. Through summarizing the characteristics of regional knowledge spillovers,this paper designs the index of the regional knowledge spillover. Then it adopts the mediating effect model to conduct an empirical analysis. The results show that regional knowledge spillovers can play a significant role in promoting the performance of corporate independent innovation, of which the knowledge spillover effect from the economically developed areas to under-developed areas is mostly significant. When the innovation value chain is divided into two stages, it is found that the positive driving effect on independent innovation from regional knowledge spillovers mainly exist in the period of innovation R&D. However, at the stage of innovation application, due to the influence of such factors as the ability of enterprise operation, etc., the impact of regional knowledge spillover on the performance of corporate independent innovation is not significant. Meanwhile, the non-state-owned enterprises are greatly affected by regional knowledge spillover.
By introducing the analytical framework for innovation value chain and making use of the data of A share listed companies from 2008 to 2014, this paper tries to analyze the impact of regional knowledge spillover on the independent innovation performance of enterprises with different nature of property rights. Through summarizing the characteristics of regional knowledge spillovers,this paper designs the index of the regional knowledge spillover. Then it adopts the mediating effect model to conduct an empirical analysis. The results show that regional knowledge spillovers can play a significant role in promoting the performance of corporate independent innovation, of which the knowledge spillover effect from the economically developed areas to under-developed areas is mostly significant. When the innovation value chain is divided into two stages, it is found that the positive driving effect on independent innovation from regional knowledge spillovers mainly exist in the period of innovation R&D. However, at the stage of innovation application, due to the influence of such factors as the ability of enterprise operation, etc., the impact of regional knowledge spillover on the performance of corporate independent innovation is not significant. Meanwhile, the non-state-owned enterprises are greatly affected by regional knowledge spillover.
引文
[1]Luca B.. Towards an Open R&D System:Internal R&D Investment, External Knowledge Acquisition and Innovative Performance[J]. Research Policy, 2013, 42(1):117-127.
[2]Agarwal R., Gort M.. First-Mover Advantage and the Speed of Competitive Entry, 1887-1986[J]. Journal of Law and Economics, 2001, 44(1):161-177.
[3]Wang Y., Ning L., Li J., Prevezer M.. Foreign Direct Investment Spillovers and the Geography of Innovation in Chinese Regions:The Role of Regional Industrial Specialization and Diversity[J]. Regional Studies, 2016, 50(5):805-822.
[4]余泳泽,刘大勇.我国区域创新效率的空间外溢效应与价值链外溢效应——创新价值链视角下的多维空间面板模型研究[J].管理世界,2013,(7):6-20+70.
[5]王伟光,冯荣凯,尹博.产业创新网络中核心企业控制力能够促进知识溢出吗[J].管理世界, 2015,(6):99-109.
[6]Audretsch D. B., Feldman M. P.. R&D Spillovers and the Geography of Innovation and Production[J]. American Economic Review, 1996, 86(3):630-640.
[7]Krugman P.. Increasing Returns and Economic Geography[J]. Journal of Political Economy, 1991, 99(2):483-499.
[8]Verspagen B., Schoenmakers W.. The Spatial Dimension of Patenting by Multinational Firms in Europe[J]. Journal of Economic Geography, 2004, 4(1):23-42.
[9]Keller W.. Geographic Localization of International Technology Diffusion[J]. American Economic Review, 2002, 92(1):120-14.
[10]Bottazzia L., Peri G.. Innovation and Spillovers in Regions:Evidence from European Patent Data European[J]. European Economic Review, 2003, 47(4):687-710.
[11]Rodriguez-Pose A., Crescenzi R.. Research and Development, Spillovers, Innovation Systems, and the Genesis of Regional Growth in Europe[J]. Regional Studies, 2008, 42(1):51-67.
[12]李敬,陈澍,万广华,付陈梅.中国区域经济增长的空间关联及其解释——基于网络分析方法[J].经济研究,2014,(11):4-16.
[13]白俊红,蒋伏心.协同创新、空间关联与区域创新绩效[J].经济研究,2015,(7):174-187.
[14]陶长琪,彭永樟.制度邻近下知识势能对区域技术创新效率的空间溢出效应[J].当代财经,2018,(2):15-25.
[15]D’Agostino L. M., Laursen K., Santagelo G. D.. The Impact of R&D Offshoring on the Home Knowledge Production of OECD Investing Regions[J]. Journal of Economic Geography, 2010, 13(10-19):145-175.
[16]Kalapouti K., Varsakelis N. C.. Intra and Inter:Regional Knowledge Spillovers in European Union[J]. The Journal of Technology Transfer, 2015, 40(5):760-781.
[17]Blazsek S., Escribano A.. Patent Propensity, R&D and Market Competition:Dynamic Spillovers of Innovation Leaders and Followers[J]. Journal of Econometrics, 2016, 191(1):145-163.
[18]Audretsch D. B., Fritsch M.. Growth Regimes over Time and Space[J]. Regional Studies, 2002, 36(2):113-124.
[19]王庆喜.多维邻近与我国高技术产业区域知识溢出——项空间面板数据分析[J].科学学研究,2013,31(7):1068-1076.
[20]郭景先,苑泽明.生命周期、财政政策与创新能力——基于科技型中小企业的经验证据[J].当代财经,2018,(3):23-34.
[21]Bottazzi G., Dindo P.. Globalizing Knowledge:How Technological Openness Affects Output, Spatial Inequality, and Welfare Levels[J]. Journal of Regional Science, 2013, 53(4):631-655.
[22]刘学元,丁雯婧,赵先德.企业创新网络中关系强度、吸收能力与创新绩效的关系研究[J].南开管理评论,2016,19(1):30-42.
[23]Escribano A., Fosfuri A., Tribo J. A.. Managing External Knowledge Flows:The Moderating Role of Absorptive Capacity[J]. Research Policy, 2009, 38(1):96-105.
[24]Miguélez E., Moreno R.. Knowledge Flows and the Absorptive Capacity of Regions[J]. Research Policy, 2015, 44(4):833-848.
[25]Guan J. C., Chen K. H.. Measuring the Innovation Production Process:A Cross-Region Empirical Study of China’s High-Tech Innovations[J]. Technovation, 2010, 30(5):348-358.
[26]De Faria P., Lima F.. Interdependence and Spillovers:Is Firm Performance Affected by Others’Innovation Activities?[J].Applied Economics, 2012, 44(36):4765-4775.
[27]Zhang A., Zhang Y., Ronald Z.. A Study of the R&D Efficiency and Productivity of Chinese Firms[J]. Journal of Comparative Economics, 2003, 31(3):444-464.
[28]Ding S., Guariglia A., Knight J. B.. Negative Investment in China:Financing Constraints and Restructuring versus Growth[J]. Journal of Banking&Finance, 2013, 37(2):1490-1507.
[29]Muller D., Judd C. M., Yzerbyt V. Y.. When Moderation Is Mediated and Mediation Is Moderated[J]. Journal of Per sonality and Social Psychology, 2005, 89(6):852-863.
[30]孙早,宋炜.企业R&D投入对产业创新绩效的影响[J].数量经济技术经济研究,2012,(4):49-63.
(1)根据相关调查,在中国有75%的非金融上市企业选择将融资约束列为企业发展的主要障碍。来源:邓可斌,曾海舰.中国企业的融资约束:特征现象与成因检验.经济研究,2014,(2):47-60+140.
(2)本文实证分析的生产效率及效率变动测算部分的检验结果表明,技术改进是2008年以来中国企业生产效率提升的主要因素。
(1)在这里采用功效系数法对主营业务利润进行了无量纲化处理。
[2]Agarwal R., Gort M.. First-Mover Advantage and the Speed of Competitive Entry, 1887-1986[J]. Journal of Law and Economics, 2001, 44(1):161-177.
[3]Wang Y., Ning L., Li J., Prevezer M.. Foreign Direct Investment Spillovers and the Geography of Innovation in Chinese Regions:The Role of Regional Industrial Specialization and Diversity[J]. Regional Studies, 2016, 50(5):805-822.
[4]余泳泽,刘大勇.我国区域创新效率的空间外溢效应与价值链外溢效应——创新价值链视角下的多维空间面板模型研究[J].管理世界,2013,(7):6-20+70.
[5]王伟光,冯荣凯,尹博.产业创新网络中核心企业控制力能够促进知识溢出吗[J].管理世界, 2015,(6):99-109.
[6]Audretsch D. B., Feldman M. P.. R&D Spillovers and the Geography of Innovation and Production[J]. American Economic Review, 1996, 86(3):630-640.
[7]Krugman P.. Increasing Returns and Economic Geography[J]. Journal of Political Economy, 1991, 99(2):483-499.
[8]Verspagen B., Schoenmakers W.. The Spatial Dimension of Patenting by Multinational Firms in Europe[J]. Journal of Economic Geography, 2004, 4(1):23-42.
[9]Keller W.. Geographic Localization of International Technology Diffusion[J]. American Economic Review, 2002, 92(1):120-14.
[10]Bottazzia L., Peri G.. Innovation and Spillovers in Regions:Evidence from European Patent Data European[J]. European Economic Review, 2003, 47(4):687-710.
[11]Rodriguez-Pose A., Crescenzi R.. Research and Development, Spillovers, Innovation Systems, and the Genesis of Regional Growth in Europe[J]. Regional Studies, 2008, 42(1):51-67.
[12]李敬,陈澍,万广华,付陈梅.中国区域经济增长的空间关联及其解释——基于网络分析方法[J].经济研究,2014,(11):4-16.
[13]白俊红,蒋伏心.协同创新、空间关联与区域创新绩效[J].经济研究,2015,(7):174-187.
[14]陶长琪,彭永樟.制度邻近下知识势能对区域技术创新效率的空间溢出效应[J].当代财经,2018,(2):15-25.
[15]D’Agostino L. M., Laursen K., Santagelo G. D.. The Impact of R&D Offshoring on the Home Knowledge Production of OECD Investing Regions[J]. Journal of Economic Geography, 2010, 13(10-19):145-175.
[16]Kalapouti K., Varsakelis N. C.. Intra and Inter:Regional Knowledge Spillovers in European Union[J]. The Journal of Technology Transfer, 2015, 40(5):760-781.
[17]Blazsek S., Escribano A.. Patent Propensity, R&D and Market Competition:Dynamic Spillovers of Innovation Leaders and Followers[J]. Journal of Econometrics, 2016, 191(1):145-163.
[18]Audretsch D. B., Fritsch M.. Growth Regimes over Time and Space[J]. Regional Studies, 2002, 36(2):113-124.
[19]王庆喜.多维邻近与我国高技术产业区域知识溢出——项空间面板数据分析[J].科学学研究,2013,31(7):1068-1076.
[20]郭景先,苑泽明.生命周期、财政政策与创新能力——基于科技型中小企业的经验证据[J].当代财经,2018,(3):23-34.
[21]Bottazzi G., Dindo P.. Globalizing Knowledge:How Technological Openness Affects Output, Spatial Inequality, and Welfare Levels[J]. Journal of Regional Science, 2013, 53(4):631-655.
[22]刘学元,丁雯婧,赵先德.企业创新网络中关系强度、吸收能力与创新绩效的关系研究[J].南开管理评论,2016,19(1):30-42.
[23]Escribano A., Fosfuri A., Tribo J. A.. Managing External Knowledge Flows:The Moderating Role of Absorptive Capacity[J]. Research Policy, 2009, 38(1):96-105.
[24]Miguélez E., Moreno R.. Knowledge Flows and the Absorptive Capacity of Regions[J]. Research Policy, 2015, 44(4):833-848.
[25]Guan J. C., Chen K. H.. Measuring the Innovation Production Process:A Cross-Region Empirical Study of China’s High-Tech Innovations[J]. Technovation, 2010, 30(5):348-358.
[26]De Faria P., Lima F.. Interdependence and Spillovers:Is Firm Performance Affected by Others’Innovation Activities?[J].Applied Economics, 2012, 44(36):4765-4775.
[27]Zhang A., Zhang Y., Ronald Z.. A Study of the R&D Efficiency and Productivity of Chinese Firms[J]. Journal of Comparative Economics, 2003, 31(3):444-464.
[28]Ding S., Guariglia A., Knight J. B.. Negative Investment in China:Financing Constraints and Restructuring versus Growth[J]. Journal of Banking&Finance, 2013, 37(2):1490-1507.
[29]Muller D., Judd C. M., Yzerbyt V. Y.. When Moderation Is Mediated and Mediation Is Moderated[J]. Journal of Per sonality and Social Psychology, 2005, 89(6):852-863.
[30]孙早,宋炜.企业R&D投入对产业创新绩效的影响[J].数量经济技术经济研究,2012,(4):49-63.
(1)根据相关调查,在中国有75%的非金融上市企业选择将融资约束列为企业发展的主要障碍。来源:邓可斌,曾海舰.中国企业的融资约束:特征现象与成因检验.经济研究,2014,(2):47-60+140.
(2)本文实证分析的生产效率及效率变动测算部分的检验结果表明,技术改进是2008年以来中国企业生产效率提升的主要因素。
(1)在这里采用功效系数法对主营业务利润进行了无量纲化处理。