發(fā)布時(shí)間：2018-03-16 11:29

  本文選題：政府研發(fā)補(bǔ)貼　切入點(diǎn)：高新技術(shù)產(chǎn)業(yè)　出處：《上海社會(huì)科學(xué)院》2017年碩士論文　論文類型：學(xué)位論文

【摘要】：創(chuàng)新是經(jīng)濟(jì)增長(zhǎng)和生產(chǎn)率提高的動(dòng)力和源泉,研發(fā)活動(dòng)是提高創(chuàng)新能力和增強(qiáng)國(guó)際競(jìng)爭(zhēng)力不可缺少的工具。隨著科學(xué)技術(shù)的快速發(fā)展,只有不斷開展研發(fā)活動(dòng),追求創(chuàng)新的企業(yè)才能一直在市場(chǎng)上保持優(yōu)勢(shì)地位。然而,由于研發(fā)活動(dòng)存在溢出效應(yīng),企業(yè)往往無法獨(dú)享創(chuàng)新研發(fā)活動(dòng)所帶來的全部好處,這會(huì)導(dǎo)致私人收益率低于社會(huì)收益率,企業(yè)會(huì)因此減少和推遲對(duì)研發(fā)活動(dòng)的投資。為了解決這個(gè)市場(chǎng)失靈的問題,降低企業(yè)研發(fā)活動(dòng)的成本和風(fēng)險(xiǎn),提高企業(yè)開展研發(fā)活動(dòng)的動(dòng)力和積極性,許多國(guó)家的政府都給企業(yè)提供了大量的研發(fā)補(bǔ)貼,中國(guó)政府對(duì)企業(yè)的研發(fā)補(bǔ)貼也是不斷增加的。我國(guó)企業(yè)包括國(guó)有企業(yè)和非國(guó)有企業(yè),這兩類企業(yè)在研發(fā)活動(dòng)的行為和特征等方面都存在較大差異。本文就引入了這兩類不同性質(zhì)的企業(yè),討論政府研發(fā)補(bǔ)貼對(duì)企業(yè)自身研發(fā)投入以及企業(yè)研發(fā)產(chǎn)出的影響,更一步地分析,當(dāng)?shù)阮~的政府研發(fā)補(bǔ)貼分別提供給國(guó)有企業(yè)和非國(guó)有企業(yè)時(shí),這兩類企業(yè)在這兩個(gè)效應(yīng)方面是否存在差異。這里的政府研發(fā)補(bǔ)貼僅考慮政府直接研發(fā)補(bǔ)貼,不包括稅收優(yōu)惠等間接補(bǔ)貼。本文引入兩個(gè)實(shí)證模型,分別為企業(yè)研發(fā)投入模型和研發(fā)產(chǎn)出模型,采用了高新技術(shù)產(chǎn)業(yè)2009-2015年7年間17個(gè)細(xì)分行業(yè)的數(shù)據(jù),將高新技術(shù)產(chǎn)業(yè)的數(shù)據(jù)集分為兩個(gè)組,即國(guó)有企業(yè)組和非國(guó)有企業(yè)組,分析和比較國(guó)有企業(yè)組和非國(guó)有企業(yè)組在這兩個(gè)模型中的差異。就政府研發(fā)補(bǔ)貼對(duì)企業(yè)研發(fā)投入的影響模型,回歸結(jié)果表明,政府研發(fā)補(bǔ)貼對(duì)國(guó)有企業(yè)的研發(fā)投入有正向的激勵(lì)作用,但對(duì)非國(guó)有企業(yè)研發(fā)投入的影響是不顯著的。這主要因?yàn)閲?guó)企的行為常常會(huì)受到政府政策的影響,政府研發(fā)補(bǔ)貼傳遞了國(guó)家重點(diǎn)產(chǎn)業(yè)發(fā)展的方向、政策傾向等信息,對(duì)企業(yè)研發(fā)重點(diǎn)規(guī)劃起到提示作用,所以國(guó)企經(jīng)理人在接受這個(gè)信號(hào)之后,將會(huì)投入更多的研發(fā)資金開展研發(fā)活動(dòng)以獲取政治好處;其次,非國(guó)有企業(yè)在進(jìn)行研發(fā)決策時(shí),其研發(fā)投入是以市場(chǎng)為導(dǎo)向直接為新產(chǎn)品和新技術(shù)而服務(wù)的,更多的是滿足市場(chǎng)化的需求以及基于企業(yè)自身發(fā)展的需要,所以政府研發(fā)補(bǔ)貼的提示作用較弱。再者,長(zhǎng)期以來非國(guó)有企業(yè)獲得的政府研發(fā)補(bǔ)貼比較少,使得非國(guó)有企業(yè)研發(fā)投入的增加并不依賴于政府研發(fā)補(bǔ)貼而是其他因素,例如企業(yè)人力資本的投入和上一年的留存收益等。就研發(fā)產(chǎn)出模型而言,本文用新產(chǎn)品銷售收入來很衡量企業(yè)的研發(fā)產(chǎn)出,實(shí)證結(jié)果表明,政府研發(fā)補(bǔ)貼對(duì)這兩類企業(yè)的新產(chǎn)品銷售收入都有積極的促進(jìn)作用,但對(duì)新產(chǎn)品銷售收入的促進(jìn)作用在非國(guó)有企業(yè)中表現(xiàn)的更強(qiáng),這是因?yàn)槲覈?guó)非國(guó)有企業(yè)研發(fā)補(bǔ)貼的獲得依靠的是其研發(fā)實(shí)力和創(chuàng)新能力,研發(fā)行為更加市場(chǎng)化,因此其研發(fā)效率更高;而國(guó)有企業(yè)與政府之間存在密切的政治聯(lián)系,因此更容易獲得政府研發(fā)補(bǔ)貼,同時(shí)復(fù)雜的委托代理關(guān)系,都會(huì)使得國(guó)企的研發(fā)效率相對(duì)較低�；谶@些理論和實(shí)證分析,本文提出了一些具有實(shí)際意義的建議來推動(dòng)企業(yè)開展研發(fā)活動(dòng),從而提高研發(fā)產(chǎn)出水平。
[Abstract]:Innovation is the driving force and source of economic growth and productivity, research and development activities is to improve innovation ability and enhance the international competitiveness of an indispensable tool. With the rapid development of science and technology, continue to carry out research activities only, the pursuit of innovation and enterprise to keep the advantage position in the market. However, the R & D activities there are spillover effects, the full benefits of enterprises often not exclusive R & D activities brought, which will lead to the private rate of return is lower than the social rate of return, companies will therefore reduce and delay of R & D investment. In order to solve the problem of market failure, reduce the cost and risk of corporate R & D activities, improve the motivation and enthusiasm of enterprises to carry out research activities in many countries. The government provides companies with a large number of R & D subsidies, China Government R & D subsidies to enterprises is increasing. Our enterprises Industry including state-owned enterprises and non state-owned enterprises, the two enterprises in R & D activities and characteristics are quite different. This paper introduces the two different types of enterprises, government subsidies for enterprises to discuss development of R & D investment and enterprise R & D output influence, further analysis, when matching the government subsidies were provided to the state-owned enterprises and non state-owned enterprises, whether in the two aspects of the effect of two types of enterprises. The difference here only consider the direct government subsidy of government subsidies, not including tax incentives and other indirect subsidies. This paper introduces two empirical models, respectively model research and output model of enterprises R & D investment, the high tech industry between 7 and 2009-2015 years in 17 segments of the industry data, high-tech industry data sets were divided into two groups, namely group of state-owned enterprises and non state-owned enterprises Industry groups, differences in the two models are analyzed and compared in the group of state-owned enterprises and non state-owned enterprises. The government subsidies for R & D model of the impact of corporate R & D investment, the regression results show that the government subsidies to state-owned enterprises R & D investment have a positive incentive, but it is not significant effect on R & D investment non the state-owned enterprises. This is mainly because the behavior is often influenced by government policies, government subsidy passed the national industrial development direction, policy information, tips on R & D plan, so the managers of state-owned enterprises after receiving the signal, will put more development funds to carry out research and development activities to to gain political benefits; secondly, the non state-owned enterprises in R & D, R & D investment is guided by the market for new products and new technologies and services, more Is the need to meet the market demand, based on the development of the enterprise itself, so that the role of the government is weak R & D subsidies. Moreover, long-term non state-owned enterprises to obtain the government subsidy is relatively small, the non state-owned enterprises to increase R & D investment does not depend on the government subsidy but other factors, such as enterprise human capital investment and last year's retained earnings etc. R & D output model, the sales revenue of new products is to measure the enterprise's R & D output, the empirical results show that there is a positive role in promoting the sales of new products for the two types of enterprises and the government subsidies, but the sales revenue of new products in the promotion non state owned enterprises in the stronger, this is because the subsidy of China's non-state-owned enterprises have relied on its R & D strength and innovation ability, more market research, Therefore, the development efficiency is high; and there is a close political ties between state-owned enterprises and the government, which makes it easier to obtain a government subsidy, the principal-agent relationship and complex, which makes the development efficiency of state-owned enterprises is relatively low. Based on these theoretical and empirical analysis, this paper puts forward some practical suggestions to promote enterprises to carry out research activities, so as to improve the development level of output.

【學(xué)位授予單位】：上海社會(huì)科學(xué)院
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：F812.45;F279.2

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