研发约束、不确定性与全要素生产率  

R&D constraints,uncertainties and total factor productivity

作　　者：杨灵[1] 于洋[1] 蔡冬冬[1] 冯荣凯 YANG Ling;YU Yang;CAI Dong-dong;Feng Rong-kai(School of Economics, Shenyang University of Technology, Shenyang 110870, China;School of Economics, Liaoning University, Shenyang 110136, China)

机构地区：[1]沈阳工业大学经济学院,沈阳110870 [2]辽宁大学经济学院,沈阳110136

出　　处：《沈阳工业大学学报（社会科学版）》2022年第3期250-256,共7页Journal of Shenyang University of Technology(Social Sciences)

基　　金：教育部人文社会科学青年基金项目(16YJC790017);辽宁省自然科学基金计划项目(20180550015);辽宁省科技厅软科学研究计划项目(2021JH4/10100032)。

摘　　要：以异质性随机边界模型为基础,以省级面板数据为根据,定量测算国家整体及省级层面的全要素生产率(TFP)。结果表明:研发(R&D)约束的存在使得中国整体TFP比最优水平降低10%~20%,平均TFP为0.846。三项专利授权数量提升、产业结构升级、研发资本投入和外商直接投资的增加不但能缓解R&D水平对TFP和经济发展的约束,还可以降低后续研发结果的不确定性;技术市场成交额的增加不能降低R&D对TFP和经济发展的约束,但可以降低R&D产出的不确定性。东部地区面临的R&D约束和R&D不确定性较低,西部地区面临较高的R&D约束和R&D产出的不确定性。Based on the heterogeneous stochastic frontier model and the provincial panel data,the total factor productivity(TFP)of China as a whole and at the provincial level are quantitatively measured.The results show that:the existence of R&D constraints lowers the overall TFP of China between 10 and 20 percent than the optimal level,with an average TFP of 0.846.The increase in the number of the three patents authorizations,the upgrading of industrial structure,the increase in R&D capital investment and in foreign direct investment can not only ease the constraints of R&D levels on TFP and economic development,but also reduce the uncertainty of subsequent R&D results.The enlargement in technology market transactions cannot reduce the R&D constraints on TFP and economic development,but it can reduce the uncertainties of the R&D production.The R&D constraints and R&D uncertainties faced by the eastern region are lower,while the western regions are faced with higher R&D constraints and uncertainties of R&D production.

关 键 词：研发约束 随机边界模型 全要素生产率 不确定性 异质性 产业结构 

分 类 号：F062.9[经济管理—政治经济学]