政府科技激励政策对企业R&D投入的影响研究
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摘要
技术进步是经济增长的动力,是经济发展的源泉。技术进步来源于研发活动,因此对研发新技术或者新知识的投入在经济生活中就显得格外重要,尤其对于正处于社会转型关键时期的中国,解决各方面问题的关键就在于整个国家的创新能力和技术水平的提升。同时,由于研发产品具有的公共产品等属性,单纯依靠市场力量,往往激励不足,需要政府科技激励政策介入研发市场解决市场失灵,激励企业增加R&D投入。因此在新形势下,对政府科技激励政策影响企业R&D投入的机制以及对各政策激励效果的研究就显得十分必要。
本文在绪论部分首先分析了研究的背景和选题的意义,然后从宏观和微观两个层面对国内外相关研究文献做了梳理,并对研究所涉及的概念作了详细定义。在理论分析部分,首先对政府介入研发市场的必要性进行了分析,阐述了R&D行为的五个特性:公共产品属性;溢出效应;不确定性;信息不对称性;路径依赖于锁定。然后以Grossman& Helpman的质量阶梯模型为基础,着重分析了该模型推导的前一阶段,得到企业均衡研发密度的决定式。再将政府科技激励政策变量引入该决定式,进一步分析政府各科技激励政策影响企业R&D投入的机制,归纳出政府科技激励政策对企业R&D投入作用的四种效应:刺激效应、杠杆效应、溢出效应、挤出效应。实证研究部分从宏观层面对理论部分中提出的政府科技激励政策的四种效应进行了检验。建立了以我国大中型工业企业为研究对象的面板数据模型,采用随机效应模型的方法,对政府科技激励各政策的激励效果、相互作用效果以及政策稳定性作用效果均进行了研究,并得出主要结论:政府科技激励政策对企业R&D投入产生的影响主要为正向促进作用;各政策工具间存在相互作用;政策的稳定性会影响相应政策对企业R&D投入的作用效果。最后在总结全文研究结果的基础上,对我国政府科技激励政策的制定提出建议。
The improvement of Technology is the engine of economics growth and the power of economy development. As the source of the technical progress, Research and Development (R&D) is also important in business, especially for china, which is in a critical period of social transition now. The key to solve all aspects of problems lies in the improvement of country's innovation capability and upgrading the level of technology. However, market power can not fully encourage enterprises to increase R&D input all by itself because of the market failure in R&D field, such as the attribute of public goods,etc. Government need to intervene the R&D field to solve the market failure and encourage enterprises to increase R&D investment. So under the new situation, it is very necessary to make a detailed research on the mechanism and the incentive effectiveness of the impact of Government's S&T incentive policy on enterprises' R&D input.
The introduction part of the thesis expounded the research background and the significance of the topic, then unscrambled the foreign and domestic literature from the macro and micro levels, and made a definition to the conceptions concerned to the paper. The theoretical research part firstly discussed the necessity for the government to intervene the R&D field, and expounded the five characteristics of R&D products: public goods attributes; spillover effect; uncertainties; asymmetric information; path dependence and lock-in, then analyzed the forepart of grossman & helpman's quality ladder model and got enterprises' balanced R&D density equation. We introduced the government policy variables into the equation, and based on that we successfully analyzed the mechanism of the impact of government S&T incentive polices on enterprises' R&D input, and concluded it into four effects: stimulating effect; leverage effects; the spillover effect; the crowding-out effect. The empirical research part made an experimental analysis to the four effects based on the panel data of large-middle enterprises in China. Using random effects model as the method, the empirical research analyzed each S&T incentive policy's incentive effect, the interaction between every two polices and the effect of policy stability. The empirical research got three main conclusion: the impact of S&T incentive policy on the enterprises' R&D input is mainly positive; The impact of one policy on another apparently existed; the stability of a policy would affect its incentive effect. The final part proposed several suggestions to government's S&T incentive policy making, based on the conclusion of the thesis.
本文在绪论部分首先分析了研究的背景和选题的意义,然后从宏观和微观两个层面对国内外相关研究文献做了梳理,并对研究所涉及的概念作了详细定义。在理论分析部分,首先对政府介入研发市场的必要性进行了分析,阐述了R&D行为的五个特性:公共产品属性;溢出效应;不确定性;信息不对称性;路径依赖于锁定。然后以Grossman& Helpman的质量阶梯模型为基础,着重分析了该模型推导的前一阶段,得到企业均衡研发密度的决定式。再将政府科技激励政策变量引入该决定式,进一步分析政府各科技激励政策影响企业R&D投入的机制,归纳出政府科技激励政策对企业R&D投入作用的四种效应:刺激效应、杠杆效应、溢出效应、挤出效应。实证研究部分从宏观层面对理论部分中提出的政府科技激励政策的四种效应进行了检验。建立了以我国大中型工业企业为研究对象的面板数据模型,采用随机效应模型的方法,对政府科技激励各政策的激励效果、相互作用效果以及政策稳定性作用效果均进行了研究,并得出主要结论:政府科技激励政策对企业R&D投入产生的影响主要为正向促进作用;各政策工具间存在相互作用;政策的稳定性会影响相应政策对企业R&D投入的作用效果。最后在总结全文研究结果的基础上,对我国政府科技激励政策的制定提出建议。
The improvement of Technology is the engine of economics growth and the power of economy development. As the source of the technical progress, Research and Development (R&D) is also important in business, especially for china, which is in a critical period of social transition now. The key to solve all aspects of problems lies in the improvement of country's innovation capability and upgrading the level of technology. However, market power can not fully encourage enterprises to increase R&D input all by itself because of the market failure in R&D field, such as the attribute of public goods,etc. Government need to intervene the R&D field to solve the market failure and encourage enterprises to increase R&D investment. So under the new situation, it is very necessary to make a detailed research on the mechanism and the incentive effectiveness of the impact of Government's S&T incentive policy on enterprises' R&D input.
The introduction part of the thesis expounded the research background and the significance of the topic, then unscrambled the foreign and domestic literature from the macro and micro levels, and made a definition to the conceptions concerned to the paper. The theoretical research part firstly discussed the necessity for the government to intervene the R&D field, and expounded the five characteristics of R&D products: public goods attributes; spillover effect; uncertainties; asymmetric information; path dependence and lock-in, then analyzed the forepart of grossman & helpman's quality ladder model and got enterprises' balanced R&D density equation. We introduced the government policy variables into the equation, and based on that we successfully analyzed the mechanism of the impact of government S&T incentive polices on enterprises' R&D input, and concluded it into four effects: stimulating effect; leverage effects; the spillover effect; the crowding-out effect. The empirical research part made an experimental analysis to the four effects based on the panel data of large-middle enterprises in China. Using random effects model as the method, the empirical research analyzed each S&T incentive policy's incentive effect, the interaction between every two polices and the effect of policy stability. The empirical research got three main conclusion: the impact of S&T incentive policy on the enterprises' R&D input is mainly positive; The impact of one policy on another apparently existed; the stability of a policy would affect its incentive effect. The final part proposed several suggestions to government's S&T incentive policy making, based on the conclusion of the thesis.
引文
[1]赵筱媛,苏竣.基于政策工具的公共科技政策分析框架研究.科学学研究,2007(1):52-56.
[2]左大培,杨春学等.经济增长理论模型的内生化历程.北京:中国经济出版社,2007.
[3]Kremer.M.Population Growth and Technological Change:One Million B.C.to 1990,Quarterly Journal of Economics,1993(108):681-711,
[4]许治.政府公共R&D与内生经济增长:(博士学位论文).西安.西北大学,2006.
[5]Jose.Do public subsidies complement business R&D? meta-analysis of the econometric evidence.Blackwell Publishing,2004(02):87-102.
[6]Paul.A.David,Brounwyn.H.Hall &Andrew.A.Toole.Is Public R&D a Complement or Substitute for Private R&D? A Review of the Econometric Evidence.Research Policy,2000(3):497-529.
[7]Tor Jakob Klette,Jarle Men&ZviGriliches.Do subsidies to commercial R&D reduce market failures? Micro-econometric evaluation studies.ResearchPolicy,2000(29):471-495.
[8]Matthia Salmus & Dirkczar Nitzki.The Effects of Public R&D Subsidies on Firms Innovation Activities:The Case of Eastern Germany.Journal of Business and Economic Statistics,2003(2):226-236.
[9]Levy,David.M & Nestor E.Terleckyj.Effects of government R&D on private R&D investment and productivity:a macroeconomic analysis.Bell journal of Economics,1983(14):551-561.
[10]Meeusen W & Janssens W.Substitution versus additionality.Econometric evaluation by means of microeconomic data of the efficacy and efficiency of R&D subsidies to firms in the Flemish Regio n.CESIT-paper,2001(O1).
[11]Lichtenberg.The Effect of Government Funding on Private Industrial Research and Development:A Reassessment.Journal of Industrial Economics,Blackwell Publishing,1987 vol.36(1):97-104.
[12]Hans Loof & Almas Heshmati.The Impact of Public Funds on Private R&D Investment:New Evidence from a Firm Level Innovation Study[discussion],Centre of Excellence for Science and Innovation Studies,Royal Institute of Technology,SE-100 44 Stockholm,Sweden,01 Mar 2005.
[13]Holger Gorg & Eric Strobl.The Effect of R&D Subsidies on Private R&D.Economica 2007(74):215-234.
[14]Busom.I.An empirical evaluation of R&D subsidies.Economics of innovation and new technology,2000(9):111-148.
[15]Dirk Czar Nitzki,The Link between R&D Subsidies,R&D Spending and Technological Performance.ZEW Discussion Paper(2004):04-56.
[16]Capron.H.Van Pottelsbergue B.Public support to business R&D:a survey and some new quantitative evidence.OECD Working Paper(1998).
[17]童光荣,高杰.中国政府R&D支出对企业R&D支出诱导效应及其时滞分析.中国科技论坛,2004(7):97-99.
[18]Seung-Hoon Yoo.Public R&D expenditure and private R&D expenditure:a causality analysis.Applied Economics Letters,2004(11):711-714.
[19]Wallsten.Do government-industry RED programs increase private R&D? The Case of the Small Business Innovation Research Program.Department of Economics Working Paper,Stanford University(1999).
[20]苏盛安,赵付民政府科技投入政策工具对我国大中型工业企业科技投入的影响.科技管理研究,2005(8):28-32.
[21]许治,师萍.政府科技投入对企业R&D支出影响的实证分析.研究与发展管理,2005(3):22-26.
[22]蔡虹,贾玉健,张小惠.政府研究开发投资对企业R&D投资的影响效果.宏观管理.2006(6):57-59.
[23]Guellec,D.and Van Pottelsberghe.The impact of Public RED Expenditure on Business R&D.OECD Directorate for Science,Technology and Industry Working paper,Paris,2002:12-13.
[24]Hall,B Van Reenen,J.How Effective are Fiscal Incentives for R&D,A Review of the Evidence,Research Policy,2002,29(4-5):449-469.
[25]吴秀波.税收激励对R&D投资的影响:实证分析与政策工具选拔.研究与发展管理,2003(1):9-14.
[26]陈晓,方保荣.对增值税转型的几点逆向思考.税务研究.2001(5):18-24.
[27]Dominique Guellec & Bruno Van Pottlesberghe.The Impact of Public R&D Expenditure on Business R&D.OECD Working Paper(2000).
[28]朱平芳,徐伟民.政府的科技激励政策对大中型工业企业R&D投入及其专利产出的影响.经济研究,2003(6):49-52.
[29]萨缪尔森,威廉·诺德豪斯.微观经济学.萧琛译.北京:人民邮电出版社,2008.
[30]程华.直接资助与税收优惠促进企业R&D比较研究.中国科技论坛,2006(3):56-59.
[31]OECD.Main Science and Technology Indicators.Paris,2003.
[32]刘楠,杜跃平.政府补贴方式选择对企业研发创新的激励效应研究.科技进步与对策,2005(11):18-19.
[33]李丽青.我国现行税收政策对企业R&D投入的激励效应分析.科学管理研究,2007(9):69-71.
[34]倪红日.鼓励自主创新的税收政策与制度完善分析.税务研究,2007(01):6-9.
[35]许雄奇,杜鹃.税收优惠激励高新技术产业发展的经济学分析.商业研究,2003(09):20-23.
[36]Paul M.Romer.Endogenous Technological Change.Journal of Political Economy,1990,98(5):S71-S102.
[37]菲利普·阿吉翁,彼得·霍依特.内生增长理论.陶然,倪彬华,汪柏林等译.北京:北京大学出版社,2004.
[38]范方志,张耿庆.中国技术创新政府干预的理论依据.统计研究,2004(11):60-61.
[39]陶爱萍,张海鹏,郎春雷.高新技术产业的外部经济性与激励性规制.中国科技论坛,2003(03):52-55.
[40]闻媛.政府介入高新技术产业发展的经济学分析.财贸研究,2004(06):01-06.
[41]曲顺兰,路春城.自主创新与财税政策效应.税务研究,2007(01):17-20.
[42]李平.技术扩散中的溢出效应分析.南开学报,1999(02):28-33.
[43]孙兆刚,徐雨森,刘则渊.知识溢出效应及其经济学解释.科学学与科学技术管理,2005(01):87-89.
[44]李丽青.企业R&D投入与国家税收政策研究:(博士学位论文).西安.西北大学,2006.
[45]Stiglitz,E.J.Economics of Public Sector,3rd edition.New Youk:w.w.norton and company,2000:584-585.
[46]Grossman,G.and Helpman,E.Quality ladders in the theory of growth.Review of Economic Studies 1991(58):43-61.
[47]罗伟.科技政策研究初探.北京:知识产权出版社,2007.
[48]Lee Branstetter & Yoshiaki Nakamura.Is Japan's Innovative Capacity in Decline?.NBER Working Paper No9438,2003.
[49]胡明勇,周寄中.政府资助对技术创新的作用理论分析与政策工具选择.科研管理,2001(1):31-35.
[50]David T.Coe & Elhanan Helpman.International R~I) Spillovers.European Economic Review,1995,39:859-887.
[51]Andreas Fier.The Impact of Government Funded R&D Activities in German Industry.Blackwell Publishing,2005.
[2]左大培,杨春学等.经济增长理论模型的内生化历程.北京:中国经济出版社,2007.
[3]Kremer.M.Population Growth and Technological Change:One Million B.C.to 1990,Quarterly Journal of Economics,1993(108):681-711,
[4]许治.政府公共R&D与内生经济增长:(博士学位论文).西安.西北大学,2006.
[5]Jose.Do public subsidies complement business R&D? meta-analysis of the econometric evidence.Blackwell Publishing,2004(02):87-102.
[6]Paul.A.David,Brounwyn.H.Hall &Andrew.A.Toole.Is Public R&D a Complement or Substitute for Private R&D? A Review of the Econometric Evidence.Research Policy,2000(3):497-529.
[7]Tor Jakob Klette,Jarle Men&ZviGriliches.Do subsidies to commercial R&D reduce market failures? Micro-econometric evaluation studies.ResearchPolicy,2000(29):471-495.
[8]Matthia Salmus & Dirkczar Nitzki.The Effects of Public R&D Subsidies on Firms Innovation Activities:The Case of Eastern Germany.Journal of Business and Economic Statistics,2003(2):226-236.
[9]Levy,David.M & Nestor E.Terleckyj.Effects of government R&D on private R&D investment and productivity:a macroeconomic analysis.Bell journal of Economics,1983(14):551-561.
[10]Meeusen W & Janssens W.Substitution versus additionality.Econometric evaluation by means of microeconomic data of the efficacy and efficiency of R&D subsidies to firms in the Flemish Regio n.CESIT-paper,2001(O1).
[11]Lichtenberg.The Effect of Government Funding on Private Industrial Research and Development:A Reassessment.Journal of Industrial Economics,Blackwell Publishing,1987 vol.36(1):97-104.
[12]Hans Loof & Almas Heshmati.The Impact of Public Funds on Private R&D Investment:New Evidence from a Firm Level Innovation Study[discussion],Centre of Excellence for Science and Innovation Studies,Royal Institute of Technology,SE-100 44 Stockholm,Sweden,01 Mar 2005.
[13]Holger Gorg & Eric Strobl.The Effect of R&D Subsidies on Private R&D.Economica 2007(74):215-234.
[14]Busom.I.An empirical evaluation of R&D subsidies.Economics of innovation and new technology,2000(9):111-148.
[15]Dirk Czar Nitzki,The Link between R&D Subsidies,R&D Spending and Technological Performance.ZEW Discussion Paper(2004):04-56.
[16]Capron.H.Van Pottelsbergue B.Public support to business R&D:a survey and some new quantitative evidence.OECD Working Paper(1998).
[17]童光荣,高杰.中国政府R&D支出对企业R&D支出诱导效应及其时滞分析.中国科技论坛,2004(7):97-99.
[18]Seung-Hoon Yoo.Public R&D expenditure and private R&D expenditure:a causality analysis.Applied Economics Letters,2004(11):711-714.
[19]Wallsten.Do government-industry RED programs increase private R&D? The Case of the Small Business Innovation Research Program.Department of Economics Working Paper,Stanford University(1999).
[20]苏盛安,赵付民政府科技投入政策工具对我国大中型工业企业科技投入的影响.科技管理研究,2005(8):28-32.
[21]许治,师萍.政府科技投入对企业R&D支出影响的实证分析.研究与发展管理,2005(3):22-26.
[22]蔡虹,贾玉健,张小惠.政府研究开发投资对企业R&D投资的影响效果.宏观管理.2006(6):57-59.
[23]Guellec,D.and Van Pottelsberghe.The impact of Public RED Expenditure on Business R&D.OECD Directorate for Science,Technology and Industry Working paper,Paris,2002:12-13.
[24]Hall,B Van Reenen,J.How Effective are Fiscal Incentives for R&D,A Review of the Evidence,Research Policy,2002,29(4-5):449-469.
[25]吴秀波.税收激励对R&D投资的影响:实证分析与政策工具选拔.研究与发展管理,2003(1):9-14.
[26]陈晓,方保荣.对增值税转型的几点逆向思考.税务研究.2001(5):18-24.
[27]Dominique Guellec & Bruno Van Pottlesberghe.The Impact of Public R&D Expenditure on Business R&D.OECD Working Paper(2000).
[28]朱平芳,徐伟民.政府的科技激励政策对大中型工业企业R&D投入及其专利产出的影响.经济研究,2003(6):49-52.
[29]萨缪尔森,威廉·诺德豪斯.微观经济学.萧琛译.北京:人民邮电出版社,2008.
[30]程华.直接资助与税收优惠促进企业R&D比较研究.中国科技论坛,2006(3):56-59.
[31]OECD.Main Science and Technology Indicators.Paris,2003.
[32]刘楠,杜跃平.政府补贴方式选择对企业研发创新的激励效应研究.科技进步与对策,2005(11):18-19.
[33]李丽青.我国现行税收政策对企业R&D投入的激励效应分析.科学管理研究,2007(9):69-71.
[34]倪红日.鼓励自主创新的税收政策与制度完善分析.税务研究,2007(01):6-9.
[35]许雄奇,杜鹃.税收优惠激励高新技术产业发展的经济学分析.商业研究,2003(09):20-23.
[36]Paul M.Romer.Endogenous Technological Change.Journal of Political Economy,1990,98(5):S71-S102.
[37]菲利普·阿吉翁,彼得·霍依特.内生增长理论.陶然,倪彬华,汪柏林等译.北京:北京大学出版社,2004.
[38]范方志,张耿庆.中国技术创新政府干预的理论依据.统计研究,2004(11):60-61.
[39]陶爱萍,张海鹏,郎春雷.高新技术产业的外部经济性与激励性规制.中国科技论坛,2003(03):52-55.
[40]闻媛.政府介入高新技术产业发展的经济学分析.财贸研究,2004(06):01-06.
[41]曲顺兰,路春城.自主创新与财税政策效应.税务研究,2007(01):17-20.
[42]李平.技术扩散中的溢出效应分析.南开学报,1999(02):28-33.
[43]孙兆刚,徐雨森,刘则渊.知识溢出效应及其经济学解释.科学学与科学技术管理,2005(01):87-89.
[44]李丽青.企业R&D投入与国家税收政策研究:(博士学位论文).西安.西北大学,2006.
[45]Stiglitz,E.J.Economics of Public Sector,3rd edition.New Youk:w.w.norton and company,2000:584-585.
[46]Grossman,G.and Helpman,E.Quality ladders in the theory of growth.Review of Economic Studies 1991(58):43-61.
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