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題名：國家研發效率與生產力之分析
作者：陳疆平
作者(外文)：Chiang-Ping Chen
校院名稱：國立中央大學
系所名稱：經濟學研究所
指導教授：楊志海
胡均立
學位類別：博士
出版日期：2011
主題關鍵詞：國家研發效率；國家研發生產力；National R&；D Efficiency；National R&；D Productivity
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內生成長理論指出研發被廣泛認為是主要帶動持續經濟成長的驅使動力。許多國家因而致力於研發以促進經濟發展。然而，研發是否真能視為主要成長的來源，必須仰賴具效率且具生產力之研發過程。因此，衡量各國研發效率和生產力與了解其影響因素，對於制定相關研發政策與改善資源配置則為首要事務。基於此觀點之下，本論文包含了三種國家研發效率與生產力之跨國分析的議題。
議題一主要建立在多產出與多投入之隨機邊界法的架構之下，利用距離函數法來估計各國家整體研發效率，同時，探討國家創新系統與國家研發效率之關係。實證結果初步確認國家創新系統的確對於改善國家研發效率扮演著重要的角色，其中亦發現智慧財產權的保護、產業界之間技術合作、產學間知識移轉、研發設施的聚集與政府參與研發活動的程度將有明顯改善整體國家研發效率的效果。
議題二主要利用資料包絡分析法，建立各國不同產出項之研發效率指標，並加以進行跨國分析與評比，後續並探討國家創新系統對於各項產出研發效率之影響。實證結果發現，多數國家專利與技術授權金之研發效率的走勢較為相似，反觀學術期刊之研發效率的走勢，相較於前兩指標較為不同。此外，亦發現除了智慧財產權保護、知識資本與人力資本累積對於整體研發效率有影響之外，更重要地發現，產業界研發資金來源來自於國外與自行籌措，對於改善專利與技術授權金之研發效率，扮演重要的角色。然而，提升各國高等教育之研發密度，對於改善各國之學術期刊之研發效率則有明顯之效果。
由於研發效率指標屬於一種靜態指標，只能了解當期之下，各國研發投入轉換成研發產出之相對效率。因此，議題三利用方向距離函數的概念與Luenberger生產力指標，建立Luenberger研發生產力指標，進行國家整體研發生產力變動之跨國分析，並可將研發生產力變動拆解為研發效率之變動(追趕效果)與研發技術之變動(創新效果)兩部分之貢獻。實證結果主要發現，多數國家整體研發生產力成長主要來自創新效果之貢獻。同時，非OECD國家相對於OECD國家，不論在效率變動與技術變動皆有較佳的表現。其中亦發現，專利的研發生產力變動相對於學術期刊之研發生產力變動，可被視為國家研發生產力成長主要來源。此外，亦發現智慧財產權之保護與人力資本，主要是透過追趕效果影響國家整體研發生產力成長。產業界之間相互技術合作與政府參與研發活動的程度，則是透過創新效果影響國家整體研發生產力成長。
Endogenous growth theory indicates that research and development (R&D) is widely recognized as the primary driving force of sustainable economic growth. Most nations, therefore, have gradually devoted more efforts to R&D so as to foster economic development. Therefore, evaluating the R&D efficiency and productivity across nations and understanding its determinants are the prerequisites for designing R&D policies that intend to improve resources allocation. Based on this viewpoint, this dissertation includes three issues of R&D efficiency and productivity across nations.
In the first issue, we estimate national R&D efficiency score by using the distance function approach at the multiple inputs-outputs framework of stochastic frontier analysis (SFA). Simultaneously, this approach can also investigate the relationship between national R&D efficiency and national innovation system (NIS). Empirical results confirm that NIS indeed plays an essential role in improving the national R&D efficiency. Intellectual property rights protection, technological cooperation among business sectors, and knowledge transfer between business sectors and higher education institutions, the agglomeration of R&D facilities, and government sector involving in R&D activities significantly improve national R&D efficiency.
In the second issue, we compare R&D efficiency across nations based on various output-oriented R&D efficiency indexes that are developed by data envelopment analysis (DEA) approach. Moreover, we further examine the relationship between national innovation system and output-oriented R&D efficiency indexes. Empirical results show that nations have similar R&D efficiency in terms of patents and royalties, while their performance on journal publications is quite different. Intellectual property rights protection, knowledge stock, and human capital accumulation have significantly positive effects on overall output-oriented R&D efficiency. Importantly, private sector R&D funded by either foreign sources or funded and performed by private businesses plays an important role in improving the output-oriented R&D efficiency index for patents and for royalties and licensing fees. The R&D intensity performed by higher education institutions has a positive effect on the journal-oriented R&D efficiency index.
Finally, since R&D efficiency index belongs to a static measurement, it only enables us to understand the relative efficiency of transforming R&D inputs to outputs in the current period. Based on the concept of directional distance function and Luenberger productivity index, the third issue develops a Luenberger R&D productivity change (LRC) index and then decomposes it into R&D efficiency change (catch-up effect) and R&D technical change (innovation effect). Empirical results show that the R&D productivity growth is mainly attributed to the innovation effect; meanwhile, non-OECD nations have better performance on both efficiency change and technical change than their OECD counterparts. Also, patent-oriented R&D productivity growth can serve as the main source of national R&D productivity growth than the journal article-oriented one. Furthermore, human capital and intellectual property rights (IPR) protection improve national R&D productivity growth by the catch-up effect. Technological cooperation among business sectors and government sector involving in R&D activities promote national R&D productivity by enhancing the innovation effect.
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