基于共同前沿函数法的区域创新体系效率的评估 摘 要 虽然已存有大量的有关应用参数方法与非参数方法来评估中国区域创新体系效率的研究，但是目前发展的随机前沿函数法还存在缺点。其缺点在于随机前沿函数法尚未考虑到不同区域或地区之间存在的技术差距。然而，各区域之技术差异的存在都符合于随机共同前沿生产函数法。 本研究可以说是第一个使用随机共同前沿生产函数法以评估中国大陆地区的区域创新体系效率与技术差距的研究。共同前沿函数法包括整体技术生产前沿或共同前沿的建设，后把被观察的地区分成同性组并估算每组的前沿。与传统的前沿函数法不同，共同前沿函数法把所衡量的技术效率分为两种，即(1)由与子组相对的无效率造成的；(2)由与子组之间及总体相对的技术差距造成的。其特点在于，它能用于估算生产在不同技术之下，技术效率以及技术差距的可比较性，即相对于经济整体的潜在技术。 不同程度的经济发展会导致信息传输、技术采取、以及组织机构方面的差异。技术扩散也会根据地理位置的接近性而进行梯度扩散。可以说，经济发展的不同会导致区域之间的技术水平的差异。由此，驱动了本研究对评估中国大陆地区有关区域创新体系的差异，即是否区域之间否存在着不同的生产前沿，并且如何中国大陆的四大区域之间存在的创新体系效率以及技术差距。 本论文首先阐述有关区域创新体系以及评估区域创新绩效与效率的概念，然后对评估中国大陆区域创新体系效率做出实证研究。接着，利用共同前沿函数法和超级对数生产函数模型，并使用中国大陆四大区域三十一个省市 2000-2005 年期间的面板数据，对区域创新体系效率进行了评估。研究结果表明，2000-2005 年期间，中国东部平均拥有最高的区域创新体系效率；之后连续分别为：中国东北部、西部和中部。 除了对创新效率的评估，本研究也提供了区域技术差距比重的评估，即相对于经济整体的潜在技术。技术差距比重的越大表示该区域或地区的技术越接近于全国技术。实证结果表明，中国东部的创新体系是全国最有效率的，而且它的技术水平也接近于全国技术的共同前沿。这表明，中国东部，尤其是上海地区，拥有更先进的技术并成为其它区域的最佳方案。其它区域都能依据东部的创新体系策略为改善各区域的创新体系并追赶全国的技术水平。 关键词： 区域创新体系，效率，随机前沿函数法（SFA），共同前沿函数法（MFA），技术差距比重 MEASURING THE EFFICIENCY OF REGIONAL INNOVATION SYSTEM BASED ON METAFRONTIER FUNCTION APPROACH ABSTRACT Although a considerable amount of literature exists on the determinants of efficiency of regional innovation system in China, with particular emphasis on the role of parametric and non-parametric approach, current developments in stochastic frontier estimation techniques points to flaw. Specifically, these stochastic frontier models did not accommodate the possibility of heterogeneity in technology across sub-regions in a region, which may necessitate fitting the data with stochastic metafrontier production function. This research is therefore the first attempt at the use of stochastic metafrontier production function to measure the efficiency of regional innovation system and the technology gap of regions in China. Metafrontier function approach includes of building a global technology production frontier or a metafrontier and then separating the counties in the sample into relatively homogenous groups and estimating group specific frontiers. Apart from the traditional frontier approach, the metafrontier approach separates the production efficiency into two parts: one caused by the inefficiency relative to the subgroup, and one caused by the technology gap between the subgroup and the full sample. Thus, besides the estimation of technical efficiency, the stochastic metafrontier function approach also enables the estimation of technology gap ratios relative to the best practice in the global world. Different level of economic development has induced the differences in information transmission, technology adoption and diffusion. All of these may follow a geographic ambiguous pattern. Hence, disparity in economic development will lead to the disparity in technological level across the regions. All these have been motivating the research in evaluating the difference within Chinas regional innovation system, whether they have distinctive production frontier from each other as well as the differences in the innovation system efficiency and technological gap of the four grand regions recently formed and defined. This thesis begins with a comprehensive literature investigation on regional innovation system and performance (efficiency) measurement theory, then it focuses on empirical measurements on the efficiency of Chinas regional innovation system. Using the panel data during the period of 2000-2005 for 31 provinces within China mainland which are grouped into four regions, the analysis is then conducted using the trans-log production function and the metafrontier function approach. The analysis indicates that during the period of 2000-2005, the east region has had the highest efficiency in terms of regional innovation system; and consecutively followed by the northeast region, west region and central region. Apart from the efficiency measurement, the analysis has also provided the technology gap ratio measurement, which is measured relative to the metatechnology (the global technology). The higher value of technology gap ratio indicates that the regions technology is closer to the countrywide technology. The empirical result indicates that having the highest efficiency, the east region has also led in terms of its technology, which is verified by its closest technology to the global frontier. Furthermore, the research indicates that having the highest efficiency, the china east region, and particularly the shanghai region, could be observed as the best practice for other regions in enhancing the efficiency of their regional innovation system and catching up with the global technology. KEY WORDS: Regional Innovation System, Efficiency, Stochastic Frontier Approach, Metafrontier Function Approach, Technology Gap Ratio 上海交通大学上海交通大学 学位论文原创性声明学位论文原创性声明 本人郑重声明：所呈交的学位论文，是本人在导师的指导下，独立进行研究工作所取得的成果。除文中已经注明引用的内容外，本论文不包含任何其他个人或集体已经发表或撰写过的作品成果。对本文的研究做出重要贡献的个人和集体，均已在文中以明确方式标明。本人完全意识到本声明的法律结果由本人承担。 学位论文作者签名： 白敏怡白敏怡 日期： 2007 年 12 月 19 日 上海交通大学上海交通大学 学位