政府科技资助、企业异质性对企业研发投入的影响研究
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摘要
根据我国30个省域2011～2015年工业企业面板数据,构建空间计量模型,实证考察政府科技资助对企业研发投入的影响,并分析影响政府科技资助效果的企业异质性因素。研究表明:我国各地区企业研发投入存在着显著的空间自相关性,在模型形式上表现为内生交互效应;政府直接科技资助和间接科技资助对企业研发投入均有显著的激励效应,但间接科技资助的激励效果要优于直接科技资助效果;企业规模、企业绩效和市场竞争均对企业研发投入具有显著的正向影响,而且企业规模越大,技术水平越高,越有利于通过其对政府科技资助的吸收利用来提高研发投入水平,但国有产权比重高不仅不利于直接激发企业研发投入,也不利于政府科技资助效果的发挥。
According to the panel data of industrial enterprises in 30 provinces of China from 2011 to 2015,the spatial econometric model is constructed to empirically examine the impact of government science and technolo-gy funding on enterprise R&D investment and analyze the heterogeneity factors of enterprises that affect the effec-tiveness of government science and technology funding. The results show that: there are significant spatial autocorre-lation in R&D investment of enterprises in various regions of China and the model form mainly shows endogenous in-teraction effects; Government direct science and technology funding, indirect science and technology funding havesignificant incentive effects on enterprise R&D investment, but the incentive effect of indirect science and technolo-gy funding is better than that of direct science and technology funding; Enterprise scale, enterprise performance andmarket competition have a significant positive impact on its R&D investment and the larger the enterprise scale andthe higher the technical level, the better it is to improve the level of R & D investment by the absorption of govern-ment science and technology funding, but the higher the proportion of state-owned property rights is not only uncon-ducive to directly stimulate R&D investment, but also not conducive to the effectiveness of government technologyfunding.
According to the panel data of industrial enterprises in 30 provinces of China from 2011 to 2015,the spatial econometric model is constructed to empirically examine the impact of government science and technolo-gy funding on enterprise R&D investment and analyze the heterogeneity factors of enterprises that affect the effec-tiveness of government science and technology funding. The results show that: there are significant spatial autocorre-lation in R&D investment of enterprises in various regions of China and the model form mainly shows endogenous in-teraction effects; Government direct science and technology funding, indirect science and technology funding havesignificant incentive effects on enterprise R&D investment, but the incentive effect of indirect science and technolo-gy funding is better than that of direct science and technology funding; Enterprise scale, enterprise performance andmarket competition have a significant positive impact on its R&D investment and the larger the enterprise scale andthe higher the technical level, the better it is to improve the level of R & D investment by the absorption of govern-ment science and technology funding, but the higher the proportion of state-owned property rights is not only uncon-ducive to directly stimulate R&D investment, but also not conducive to the effectiveness of government technologyfunding.
引文
[1]郑延冰.民营科技企业研发投入、研发效率与政府资助[J].科学学研究,2016,34(7):1036-1043.
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[11]KRIS AERTSA A,TOBIAS SCHMIDT.Two for the price of one?Additionality effects of R&D subsidies:a comparison between Flanders and Germany[J].Research Policy,2008(37):806-822.
[12]王霞,顾琪虹,郭兵等.政府R&D资助对企业R&D投入的作用——基于2008-2012年上海1480家民营企业数据的实证分析[J].技术经济,2014,33(4):1-7.
[13]陈钰芬,周昇,黄梦娴.政府科技资助对引导企业R&D投入的杠杆效应分析——基于浙江省规模以上工业企业R&D投入面板数据的实证分析[J].科技进步与对策,2012,29(1):21-22.
[14]Arque-castells P.Persistence in R&D performance and its implications for the granting of subsidies[J].Review of Industrial Organization,2013,43(3):193-220.
[15]翟海燕,董静,汪江平.政府科技资助对企业研发投入的影响——基于Heckman样本选择模型的研究[J].研究与发展管理,2015,27(5):34-42.
[16]王刚刚,谢富纪,贾友.R&D补贴政策激励机制的重新审视——基于外部融资激励机制的考察[J].中国工业经济,2017(02):60-78.
[17]David P A,Hall B H,Toole A A.Is public R&D a complement or substitute for private R&D?A review of the econometric evidence[J].Research Policy,2000,29(4):497 529.
[18]GUELLEC penditure D,BRUNO V P.The impact of public R&D expenditure on Business R&D[J]Economics Innovation New Technology,2003(12):225-243.
[19]李婧.政府R&D资助对企业技术创新的影响——一个基于国有与非国有企业的比较研究[J].研究与发展管理,2013,25(3):18-23.
[20]刘虹,肖美凤,唐清泉.R&D补贴对企业R&D支出的激励与挤出效应——基于中国上市公司数据的实证分析[J].经济管理,2012,(4):19-28.
[21]解维敏,唐清泉,陆姗姗.政府R&D资助,企业R&D支出与自主创新——来自中国上市公司的经验证据[J].金融研究,2009,(6):87-99.
[22]Montmartin B,Herrera M.Internal and external effects of R&D subsidies and fiscal incentives:Empiricaldente using spatial dynamic panel models[J].Research Policy,2015,44(5):1065-1079.
[23]Bloom N,Criffith R,Van Reenen J M.Do R&D Tax Credits Work?Evidence from a Panel of Countries 1979-1997[J].Journal of Public Economics,2002,85(1):1-31.
[24]肖丁丁,朱桂龙,王静.政府科技投入对企业R&D支出影响的再审视——基于分位数回归的实证研究[J].研究与发展管理,2013,25(3):25-32.
[25]吴晓晓,苏朝晖.政府资助与企业研发投入——基于面板数据门槛模型的实证研究[J].软科学,2015,29(9):38-42.
[26]张辉,刘佳颖,何宗辉.政府补贴对企业研发投入的影响——基于中国工业企业数据库的门槛分析[J].经济学动态,2016,(12):28-38.
[27]宋林,乔小乐.政府补贴对企业研发投入的影响研究——以装备制造业为例[J].经济问题,2017(11):20-26.
[28]Feifei Yua,Yue Guo,Khuong Le-Nguyen,etc.The impact of government subsidies and enterprises’R&D investment:A panel data study from renewable energy in China[J].Energy Policy,2016(89):106-113.
[29]余伟婷,蒋伏心.公共研发投资对企业研发投入杠杆作用的研究[J].科学学研究,2017,35,(01):85-92.
[30]马文聪,李小转,廖建聪等.不同政府科技资助方式对企业研发投入的影响[J].科学学研究,2017,35,(5):689-699.
[31]苏屹,林周周.区域创新活动的空间效应及影响因素研究[J].数量经济技术经济研究,2017,(11):63-78.
[32]李婧,何宜丽.基于空间相关视角的知识溢出对区域创新绩效的影响研究——以省际数据为样本[J].研究与发展管理,2017,29(1):42-50.
[33]张继良,李琳琳.R&D资助差异与企业技术创新阶段的关系研究[J].科学学研究,2014,32(11):1740-1746.
[2]张琴,朱少英.政府补贴、创新投入与民营高科技企业创新能力-基于市场竞争的调节作用[J].会计之友,2018,(12):39-40.
[3]Arrow K.The economic implication of learning by doing[J].Review of Economic Studies,1962,29(2):155-173.
[4]王晓珍,叶靖雅,王玉珠等.政府补贴对企业R&D投入影响的研究评述与展望[J].研究与发展管理,2017,29(1):13-147.
[5]宋来胜,苏楠.政府研发资助、企业研发投入与技术创新效率[J].经济与管理,2017,31(6):45-51.
[6]Kleer R.Government R&D subsidies as a signal for private investors[J].Research Policy,2010 39(10):1361-374.
[7]Czarnitzki D,Toole A.Business R&D and the interplay of R&D subsidies and product market uncertainty[J].Review of Industrial Organization,2007,(31):169-181.
[8]王俊.R&D补贴对企业R&D投入及创新产出影响的实证研究[J].科学学研究,2010,28(9):1368-1374.
[9]Klette T J,Moen J.R&D investment responses to R&D subsidies:A theoretical analysis and a study[J].World Review of Science,2012,9(2):169-203.
[10]李平,刘利利,李蕾蕾.政府研发资助是否促进了技术进步-来自66个国家和地区的证据[J].科学学研究,2016,34(11):1625-1629.
[11]KRIS AERTSA A,TOBIAS SCHMIDT.Two for the price of one?Additionality effects of R&D subsidies:a comparison between Flanders and Germany[J].Research Policy,2008(37):806-822.
[12]王霞,顾琪虹,郭兵等.政府R&D资助对企业R&D投入的作用——基于2008-2012年上海1480家民营企业数据的实证分析[J].技术经济,2014,33(4):1-7.
[13]陈钰芬,周昇,黄梦娴.政府科技资助对引导企业R&D投入的杠杆效应分析——基于浙江省规模以上工业企业R&D投入面板数据的实证分析[J].科技进步与对策,2012,29(1):21-22.
[14]Arque-castells P.Persistence in R&D performance and its implications for the granting of subsidies[J].Review of Industrial Organization,2013,43(3):193-220.
[15]翟海燕,董静,汪江平.政府科技资助对企业研发投入的影响——基于Heckman样本选择模型的研究[J].研究与发展管理,2015,27(5):34-42.
[16]王刚刚,谢富纪,贾友.R&D补贴政策激励机制的重新审视——基于外部融资激励机制的考察[J].中国工业经济,2017(02):60-78.
[17]David P A,Hall B H,Toole A A.Is public R&D a complement or substitute for private R&D?A review of the econometric evidence[J].Research Policy,2000,29(4):497 529.
[18]GUELLEC penditure D,BRUNO V P.The impact of public R&D expenditure on Business R&D[J]Economics Innovation New Technology,2003(12):225-243.
[19]李婧.政府R&D资助对企业技术创新的影响——一个基于国有与非国有企业的比较研究[J].研究与发展管理,2013,25(3):18-23.
[20]刘虹,肖美凤,唐清泉.R&D补贴对企业R&D支出的激励与挤出效应——基于中国上市公司数据的实证分析[J].经济管理,2012,(4):19-28.
[21]解维敏,唐清泉,陆姗姗.政府R&D资助,企业R&D支出与自主创新——来自中国上市公司的经验证据[J].金融研究,2009,(6):87-99.
[22]Montmartin B,Herrera M.Internal and external effects of R&D subsidies and fiscal incentives:Empiricaldente using spatial dynamic panel models[J].Research Policy,2015,44(5):1065-1079.
[23]Bloom N,Criffith R,Van Reenen J M.Do R&D Tax Credits Work?Evidence from a Panel of Countries 1979-1997[J].Journal of Public Economics,2002,85(1):1-31.
[24]肖丁丁,朱桂龙,王静.政府科技投入对企业R&D支出影响的再审视——基于分位数回归的实证研究[J].研究与发展管理,2013,25(3):25-32.
[25]吴晓晓,苏朝晖.政府资助与企业研发投入——基于面板数据门槛模型的实证研究[J].软科学,2015,29(9):38-42.
[26]张辉,刘佳颖,何宗辉.政府补贴对企业研发投入的影响——基于中国工业企业数据库的门槛分析[J].经济学动态,2016,(12):28-38.
[27]宋林,乔小乐.政府补贴对企业研发投入的影响研究——以装备制造业为例[J].经济问题,2017(11):20-26.
[28]Feifei Yua,Yue Guo,Khuong Le-Nguyen,etc.The impact of government subsidies and enterprises’R&D investment:A panel data study from renewable energy in China[J].Energy Policy,2016(89):106-113.
[29]余伟婷,蒋伏心.公共研发投资对企业研发投入杠杆作用的研究[J].科学学研究,2017,35,(01):85-92.
[30]马文聪,李小转,廖建聪等.不同政府科技资助方式对企业研发投入的影响[J].科学学研究,2017,35,(5):689-699.
[31]苏屹,林周周.区域创新活动的空间效应及影响因素研究[J].数量经济技术经济研究,2017,(11):63-78.
[32]李婧,何宜丽.基于空间相关视角的知识溢出对区域创新绩效的影响研究——以省际数据为样本[J].研究与发展管理,2017,29(1):42-50.
[33]张继良,李琳琳.R&D资助差异与企业技术创新阶段的关系研究[J].科学学研究,2014,32(11):1740-1746.