市场化改革对企业创新投入和创新效率的影响研究  

Research on the impact of pro-market reforms on innovation input and innovation efficiency of enterprises

作　　者：潘珂 江旭[1,2,3] Pan Ke;Jiang Xu(School of Management,Xi'an Jiaotong University,Xi'an 710049,Shaanxi,China;Key Laboratory of the Ministry of Education for Process Management and Efficiency Engineering,Xi'an 710049,Shaanxi,China;State Key Laboratory of Electrical Insulation and Power Equipment,Xi'an 710049,Shaanxi,China)

机构地区：[1]西安交通大学管理学院,陕西西安710049 [2]过程管理与效率工程教育部重点实验室,陕西西安710049 [3]电工材料电气绝缘全国重点实验室,陕西西安710049

出　　处：《科研管理》2024年第2期127-136,共10页Science Research Management

基　　金：国家社会科学基金重大项目:“人脑智能和新一代人工智能协同推动管理创新研究”(23&ZD135,2023—2027);国家自然科学基金面上项目:“国际冲突下的企业‘创新困境’:跨国联盟组合的响应机制研究”(72272121,2023—2026);电工材料电气绝缘全国重点实验室GFJG培育-面上项目:“企业碳中和技术创新机制与实现路径研究”(EIPE23120,2023—2025)。

摘　　要：市场化改革一直被视为解决我国企业创新问题的一剂“良药”,然而越来越多的证据表明市场化改革对创新的积极效应并非一成不变,既有研究亦对此莫衷一是。基于此,本文从双重竞争逻辑入手,运用制度理论,研究市场化改革如何影响企业创新投入与创新效率。采用2008—2019年中国省级创新数据的实证结果表明:(1)市场化改革对创新投入产生正向影响,即市场化改革能够借助制度的革新与完善,加速市场竞争与政府竞争,促使企业投入更多的创新资源;(2)市场化改革对创新效率产生倒U型影响,即过度的市场化改革会阻碍企业创新投入转化为创新产出,致使企业创新效率因双重竞争的负面影响而受到抑制;(3)市场化改革对创新投入与创新效率产生差异化效应,其根源在于制度变革对创新与竞争的桥接作用。本文的研究结论有助于进一步理解市场化改革对企业创新的深层次影响机理,为企业合理配置创新投入、有效提升创新效率提供经验证据,也为政府把控市场化改革进程、理顺政企关系提供理论参考。As the largest transition economy,China has observed significant changes in its institutional environment with the adoption of pro-market reforms whereby its regulatory framework is rearranged to improve market functioning.Pro-market reforms have always been regarded as an"elixir"to solve the innovation problem of China.However,more and more evidence indicate that the positive effect of pro-market reforms on innovation is not unchanged,while excessive pro-market reforms tend to have a negative impact on corporate innovation through the mechanisms of market competition and government competition.On the one hand,excessive pro-market reforms exacerbate market competition intensity,trigger vicious competition,and force firms to invest more resources and energy to solve the problem of survival,which will defeat corporate innovation enthusiasm.On the other hand,excessive pro-market reforms make competition among local governments out of control,change the investment tendency of local governments,exacerbate the agency problems between government and firms,distort market mechanisms,and cause"double failure"of government and market,which curbs corporate innovation enthusiasm.Therefore,pro-market reforms can be viewed as a"double-edged sword"for corporate innovation.It is necessary to examine the specific effect of pro-market reforms on corporate innovation within the logic of dual competition.On this basis,this paper used the logic of dual competition and the institutional theory to investigate how pro-market reforms affect corporate innovation investment and the subsequent innovation efficiency.We tested our hypotheses using a dataset of 30 provincial-level regions in China from 2008 to 2019.We took the total marketization index of China's provincial-level regions as the pro-market reforms degree.Then we used the regional R&D capital stock and the total number of patents as the innovation input and output respectively,and calculated the ratio as innovation efficiency.Our empirical results indicated three main conclusions

关 键 词：市场化改革 创新投入 创新效率 市场竞争 政府竞争 

分 类 号：F207[经济管理—国民经济]