【摘要】：隨著資源緊缺、環(huán)境狀況日益惡劣,中國(guó)經(jīng)濟(jì)正面臨從依賴(lài)于投資和人口紅利的粗放型經(jīng)濟(jì)增長(zhǎng)模式向依賴(lài)于技術(shù)創(chuàng)新和生產(chǎn)率拉動(dòng)的集約型經(jīng)濟(jì)增長(zhǎng)模式轉(zhuǎn)變。在中國(guó)經(jīng)濟(jì)轉(zhuǎn)型升級(jí)的過(guò)程中,企業(yè)作為創(chuàng)新的微觀主體,如何促進(jìn)企業(yè)的技術(shù)創(chuàng)新活動(dòng)、提高研發(fā)投資成為了提高企業(yè)產(chǎn)品質(zhì)量和市場(chǎng)競(jìng)爭(zhēng)力的關(guān)鍵。在創(chuàng)新戰(zhàn)略的引導(dǎo)下,政府補(bǔ)貼對(duì)于企業(yè)的研發(fā)活動(dòng)具有何種影響是本文討論的核心問(wèn)題。通過(guò)對(duì)現(xiàn)有文獻(xiàn)的梳理發(fā)現(xiàn)關(guān)于企業(yè)研發(fā)決策的理論研究較多,而關(guān)于政府補(bǔ)貼和研發(fā)決策之間的關(guān)系缺乏相關(guān)的實(shí)證研究,并且忽略了研發(fā)決策包含兩個(gè)階段。在現(xiàn)實(shí)中,很多企業(yè)并沒(méi)有研發(fā)活動(dòng)；只有有研發(fā)的企業(yè)需要考慮研發(fā)投資多少的問(wèn)題。因此,企業(yè)的研發(fā)決策包括兩個(gè)階段,即“是否研發(fā)”和“研發(fā)投資多少”。 本文基于Gonzalez模型進(jìn)行擴(kuò)展,得到了基于政府補(bǔ)貼的企業(yè)研發(fā)投資兩階段決策模型,對(duì)政府補(bǔ)貼影響企業(yè)研發(fā)投資的機(jī)理進(jìn)行分析,發(fā)現(xiàn)政府補(bǔ)貼對(duì)企業(yè)的兩階段研發(fā)決策均具有正向作用。然后,基于中國(guó)工業(yè)企業(yè)2007年數(shù)據(jù),并采用Heckman兩步法處理樣本的選擇性偏誤問(wèn)題,實(shí)證檢驗(yàn)結(jié)果表明政府補(bǔ)貼對(duì)于企業(yè)的兩階段研發(fā)決策均具有顯著的促進(jìn)作用。采用工具變量法對(duì)內(nèi)生性進(jìn)行處理,政府補(bǔ)貼對(duì)于企業(yè)研發(fā)的兩階段決策仍然具有顯著的促進(jìn)作用。關(guān)于所有制性質(zhì)對(duì)企業(yè)研發(fā)決策的影響,在研發(fā)決策的第一階段,國(guó)有企業(yè)性質(zhì)比外資企業(yè)和私營(yíng)企業(yè)所有制更愿意開(kāi)展研發(fā)活動(dòng)；在研發(fā)決策的第二階段,所有制性質(zhì)對(duì)于研發(fā)投入的影響為負(fù)或者并不顯著。其他控制變量對(duì)企業(yè)研發(fā)兩階段的影響存在差異,說(shuō)明企業(yè)研發(fā)的兩個(gè)階段影響因素存在不同。按照國(guó)有企業(yè)、外資企業(yè)和私營(yíng)企業(yè)的企業(yè)所有制劃分,三個(gè)子樣本的實(shí)證研究結(jié)果也驗(yàn)證了政府補(bǔ)貼對(duì)于企業(yè)兩階段研發(fā)的積極作用。通過(guò)對(duì)各個(gè)變量偏效應(yīng)的估計(jì)系數(shù)進(jìn)行比較,發(fā)現(xiàn)政府補(bǔ)貼對(duì)于外資企業(yè)和私營(yíng)企業(yè)的研發(fā)激勵(lì)效應(yīng)明顯大于對(duì)國(guó)有企業(yè)的研發(fā)激勵(lì)。
[Abstract]:With the shortage of resources and the worsening of environmental conditions, China's economy is facing a shift from an extensive economic growth model that relies on investment and demographic dividends to an intensive economic growth model based on technological innovation and productivity. In the process of economic transformation and upgrading in China, how to promote technological innovation and increase R & D investment has become the key to improve the product quality and market competitiveness. Under the guidance of innovation strategy, how does government subsidy affect R & D activities is the core issue discussed in this paper. By combing the existing literature, we find that there are more theoretical studies on R & D decisions of enterprises, but there is no empirical research on the relationship between government subsidies and R & D decisions, and it ignores that R & D decision-making includes two stages. In reality, many companies do not have R & D activities; only R & D firms need to consider how much R & D they invest. Therefore, R & D decision includes two stages: whether R D and R D investment. Based on the expansion of Gonzalez model, a two-stage decision-making model of enterprise R & D investment based on government subsidy is obtained, and the mechanism of government subsidy influencing enterprise R & D investment is analyzed. It is found that government subsidies play a positive role in two-stage R & D decisions. Then, based on the data of Chinese industrial enterprises in 2007, and using Heckman two-step method to deal with the selective bias of samples, the empirical results show that government subsidies can significantly promote the two-stage R & D decision of enterprises. Using the tool variable method to deal with the endogenesis, the government subsidy still plays a significant role in promoting the two-stage decision-making of enterprise's R & D. In the first stage of R & D decision, state-owned enterprises are more willing to carry out R & D activities than foreign enterprises and private enterprises. In the second stage of R & D decision, the effect of ownership on R D input is negative or not significant. The influence of other control variables on the two stages of enterprise R & D is different, which indicates that the influencing factors of the two stages of R & D are different. According to the division of enterprise ownership among state-owned enterprises, foreign-funded enterprises and private enterprises, the empirical results of three sub-samples also verify the positive effect of government subsidies on the two-stage R & D of enterprises. By comparing the estimated coefficients of each variable bias effect, it is found that the R & D incentive effect of government subsidies to foreign and private enterprises is obviously greater than that of state-owned enterprises.
【學(xué)位授予單位】：大連理工大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類(lèi)號(hào)】：F406.7;F425;F812.45

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