不同所有制企业创新主体地位评价——规模与效率双重视角的研究

推动企业成为创新决策、研发投入、科研组织和成果应用的主体，是实施创新驱动发展战略的关键。针对企业创新主体地位较难衡量且缺乏考虑企业创新效率的问题，从规模视角入手，基于创新价值链分析，通过区分企业所有制性质，研究企业创新主体地位评价指标体系和评价方法。同时，结合BCC-DEA模型和DEA-Malmquist指数，从创新效率角度系统探讨企业创新主体地位。以上海为例的实证结果表明，上海企业在研发投入端的创新主体地位相对突出，但呈不断弱化趋势，尤其是R&D经费增长显著落后于科研机构和高等院校；在以发明专利为代表的产出端，企业创新主体地位尚不明显，且同样存在比重下滑迹象。外资企业年度创新效率表现最优，内资企业处于明显劣势，但得益于技术效率增长，科技创新全要素生产率保持年均微幅增长，而港澳台商投资企业创新效率存在递减态势。最后提出加强科技资源配置、挖掘科技产出、加大科技成果转化力度等建议。

Evaluation of the Dominant Position of Enterprise Innovation with Different Ownerships：Based on the Dual Perspective of Scale and Efficiency

With the deepening of reform and opening up and China's economic development entering the new normal, it's an urgent requirement for national transformation and upgrading to promote enterprises to become the main body of innovation decision-making, R&D investment, research organization and application of R&D achievements. It is also the key to the implementation of innovation-driven development strategy.#br#At present, the proportion of R&D investment by enterprises in total R&D investment of the whole society is constantly increasing. Relying on different forms such as key laboratories, platforms for collaborative innovation among universities, scientific research institutes and enterprises have been established. The technological innovation system of deep integration of Industry-Academia-Research has also been continuously improved. However, has the innovation dominant position of enterprises been formed? To what extent do enterprises play the role? The existing research mainly focuses on its conceptual connotation, analytical framework and evaluation system, and there is not a unified understanding on the innovation dominant position of enterprises, and there are also mixed use of multiple index scales. In addition, the quality of the innovation dominant position of enterprises has not been fully concerned and studied.#br#Based on the analysis of innovation value chain, this paper divides the innovation process into R&D investment, R&D investment, research organization and application of R&D achievements. Index system and evaluation method of the innovation dominant position of enterprise are proposed from the perspective of scale. By distinguishing domestic-funded, Hong Kong, Macao and Taiwan-funded and foreign-funded enterprise, this paper evaluated the innovation dominant position of enterprises with different ownership properties. On this basis, from the perspective of innovation efficiency, this paper used BCC-DEA model and DEA Malmquist index to further study the quality of innovation dominant position of enterprises with different ownership properties from both static and dynamic aspect. It further analyzed the ways to improve efficiency of regional scientific and technological innovation, and explored the optimal allocation of scientific and technological resources.#br#The empirical results of Shanghai show that, from the perspective of scale, the dominant position of Shanghai enterprises in R&D investment is relatively obvious. However, it shows a weakening trend, especially the proportion of R&D funds decreases significantly. The proportion of R&D funds provided by enterprises to universities and scientific research institutes also declines. At the output end mainly represented by invention patents and scientific papers, the innovation dominant position of enterprise is not obvious, and there are signs of decline. But the transformation of scientific and technological achievements of enterprises is more active. On the other hand, from the perspective of innovation efficiency, the innovation efficiency of foreign-funded enterprises in Shanghai is the best in a single year, which is the benchmark among the three types of enterprises with different ownership. The reason for the low innovation efficiency of domestic-funded enterprises lies in the poor allocation of resources and the decreasing return on scale of technological innovation. The innovation efficiency of Hong Kong, Macao and Taiwan-funded enterprises has a decreasing trend, but the return to scale has increased in recent years. Among domestic-funded enterprises, the innovation efficiency of state-owned enterprises and companies with limited liability is better. The return to scale of companies limited by shares decreases, while other enterprises increases. From the dynamic changes of consecutive years, only domestic-funded enterprises maintain an average annual slight growth of total factor productivity of scientific and technological innovation. This is mainly due to its growth of technical efficiency. The decline in technical efficiency of foreign-funded and Hong Kong, Macao and Taiwan-funded enterprises has led to an average annual decline in total factor productivity, resulting in ups and downs and decline in the overall innovation efficiency.#br#According to the research results, it is suggested that Shanghai promote domestic-funded enterprises to strengthen the allocation of scientific and technological resources. Hong Kong, Macao and Taiwan-funded enterprises are encouraged to increase investment in scientific and technological resources and improve their innovation efficiency. At the same time, we suggest that the Shanghai municipal government guide foreign-funded companies to further play the role of global resource allocation by establishing Asia Pacific headquarters, global headquarters and global R&D center in Shanghai. In addition, it is also suggested to further tap the scientific and technological achievements of Hong Kong, Macao and Taiwan-funded enterprises and domestic-funded enterprises. The professional technology transfer ability of these enterprises should be cultivated. Through incentive policies, the government should guide foreign R&D centers to strengthen the local transformation and application of their R&D achievements.#br#