發(fā)布時間：2018-04-24 11:50

  本文選題：公共科技創(chuàng)新投入 + 出口貿(mào)易　； 參考：《華東師范大學(xué)》2013年博士論文

【摘要】：熊彼特在1912年提出創(chuàng)新這一經(jīng)濟學(xué)概念,但是在他提出后的前七十年間在中國只有學(xué)界對他和創(chuàng)新一詞有所了解。雖然,在改革開放之初,小平同志提出“科學(xué)技術(shù)是第一生產(chǎn)力”,但是長期以來中國一直將投資、消費和出口作為拉動經(jīng)濟增長的“三架馬車”。直到2008年的全球金融危機殃及中國經(jīng)濟,政府方深切意識到把科技創(chuàng)新作為經(jīng)濟增長的內(nèi)生動力才是真正的可持續(xù)發(fā)展之道。在這一背景下,2012年召開了全國科技創(chuàng)新大會,提出到2020年把我國建設(shè)成為創(chuàng)新型國家的目標(biāo)。但在現(xiàn)實中,政府和企業(yè)界仍然沒有充分認(rèn)識科技創(chuàng)新的重要作用,沒有理清科技創(chuàng)新對于企業(yè)發(fā)展、出口貿(mào)易以及經(jīng)濟增長之間的深層次邏輯關(guān)系。仍存在兩種矛盾現(xiàn)象,一方面各級政府將“創(chuàng)新驅(qū)動轉(zhuǎn)型發(fā)展”反復(fù)宣講,另一方面卻很少深入研究如何創(chuàng)新如何轉(zhuǎn)型；一方面都說科技創(chuàng)新很重要,另一方面政府和企業(yè)卻并不積極主動加大科技創(chuàng)新投入力度。 20世紀(jì)80年代以來歐美學(xué)者密切關(guān)注科技創(chuàng)新與經(jīng)濟增長,建立了比較完整的現(xiàn)代增長理論。但是在已有的理論研究中,重點集中于討論政府資助解決研發(fā)市場失靈的有效性上,較少涉及公共科技創(chuàng)新資金對經(jīng)濟增長直接作用的機制研究,也較少研究公共科技創(chuàng)新支出對出口貿(mào)易增長的機制和影響效果。我國學(xué)者對科技創(chuàng)新與經(jīng)濟增長的理論研究基本上是對國外理論研究的改進以及借鑒國外實證研究經(jīng)驗的檢驗,總體上不夠系統(tǒng),這也許是導(dǎo)致我國對科技創(chuàng)新重視不夠、理解不透和推進不快的原因之一。 當(dāng)前,我國正處于轉(zhuǎn)型發(fā)展的重要戰(zhàn)略機遇期,建設(shè)創(chuàng)新型國家己成為國家戰(zhàn)略之一。所以,從理論角度揭示公共科技創(chuàng)新投入與出口貿(mào)易和經(jīng)濟增長內(nèi)在的聯(lián)系機制,分析公共科技創(chuàng)新投入促進產(chǎn)出增長的實際作用效果,提出優(yōu)化我國公共科技創(chuàng)新資金配置和管理的政策建議,緊迫而富有現(xiàn)實意義。 因此,本文以公共科技創(chuàng)新投入與出口貿(mào)易和經(jīng)濟增長的內(nèi)在聯(lián)系機制為研究主題,繼承AghionHowitt所建立的新熊彼特主義內(nèi)生增長模型的主要思想,構(gòu)建包括公共科技創(chuàng)新投入的內(nèi)生增長模型,刻畫公共科技創(chuàng)新投入對出口貿(mào)易和經(jīng)濟增長的作用機制。以我國和上海市的部分投入產(chǎn)出數(shù)據(jù)做計量分析,研究公共科技創(chuàng)新投入中不同投向、不同來源以及資助企業(yè)的不同方式對產(chǎn)出增長的具體影響效果,分析存在的問題,為調(diào)整科技創(chuàng)新投入政策提供參考。 本文首先構(gòu)建一個公共科技創(chuàng)新投入促進出口貿(mào)易和經(jīng)濟增長的作用機制概念模型,揭示出公共科技創(chuàng)新資金通過降低企業(yè)科技創(chuàng)新成本激勵企業(yè)加大科技創(chuàng)新投入,科技創(chuàng)新成果通過“創(chuàng)造性破壞”發(fā)生作用,再通過科技創(chuàng)新及產(chǎn)業(yè)化的規(guī)模效應(yīng)、聯(lián)結(jié)效應(yīng)和網(wǎng)絡(luò)效應(yīng)逐級放大最終表現(xiàn)為促進出口貿(mào)易和經(jīng)濟增長的乘數(shù)作用的全過程作用機理。 然后在概念模型的基礎(chǔ)上,構(gòu)建公共科技創(chuàng)新投入內(nèi)生增長數(shù)學(xué)模型。通過模型求解和模擬分析發(fā)現(xiàn),高等院校和公共研發(fā)部門的人力資本積累和公共研發(fā)活動通過影響社會創(chuàng)新而間接影響經(jīng)濟增長；公共科技創(chuàng)新資金支出不同方式或不同來源都對提高經(jīng)濟增長率有正向影響,但正效應(yīng)存在區(qū)別；當(dāng)公共科技創(chuàng)新資金資助應(yīng)用研究時,會對企業(yè)的科技創(chuàng)新投資產(chǎn)生擠出效應(yīng)；增加公共科技創(chuàng)新資金總量,或提高其財政支出占比,都有助于經(jīng)濟增長,但由于會擠占社會用于資本積累的資金,這種正效應(yīng)會隨著社會資本積累的減少而不斷抵消。 經(jīng)過數(shù)學(xué)模型推導(dǎo)分析后,本文運用協(xié)整理論對數(shù)學(xué)模型進行檢驗,使用VAR模型、脈沖響應(yīng)函數(shù)等分析一系列具體的公共科技創(chuàng)新投入產(chǎn)出乘數(shù)和影響趨勢,研究我國公共科技創(chuàng)新投入對出口貿(mào)易和經(jīng)濟增長的實際影響。計量分析分三部分進行,第一部分使用國家公共科技創(chuàng)新投入的不同投向和總量數(shù)據(jù)對產(chǎn)出增長影響做計量分析,第二部分使用公共科技創(chuàng)新投入的不同級別財政來源數(shù)據(jù)對產(chǎn)出增長影響做計量分析,第三部分以上海市為例使用公共科技創(chuàng)新投入的不同方式數(shù)據(jù)對區(qū)域產(chǎn)出增長影響做計量分析。 計量分析的第一部分證明我國公共科技創(chuàng)新投入總量和不同投向?qū)θ鐣萍紕?chuàng)新的投入都有激勵引導(dǎo)作用,對科技創(chuàng)新的產(chǎn)出特別是出口貿(mào)易和經(jīng)濟增長有明顯乘數(shù)作用,并且表現(xiàn)出從局部到整體的乘數(shù)放大作用；具體的不同乘數(shù)有很大差別,說明對出口貿(mào)易和經(jīng)濟增長影響效應(yīng)不同；公共科技創(chuàng)新資金資助公共研發(fā)部門應(yīng)用研究的乘數(shù)作用最大,資助高等院校作用效果次之。 計量分析的第二部分證明我國公共科技創(chuàng)新投入不同級別財政來源對全社會科技創(chuàng)新的投入均有激勵引導(dǎo)作用,對科技創(chuàng)新的產(chǎn)出特別是出口貿(mào)易和經(jīng)濟增長有明顯乘數(shù)作用,但是具體的不同乘數(shù)有很大差別,說明影響效應(yīng)不同；地方財政科技撥款對產(chǎn)出增長的乘數(shù)作用及長期趨勢影響不及中央財政科技撥款。 計量分析的第三部分證明上海市公共科技創(chuàng)新投入不同方式對全社會科技創(chuàng)新的投入均有激勵引導(dǎo)作用,對科技創(chuàng)新的產(chǎn)出特別是出口貿(mào)易和經(jīng)濟增長有明顯乘數(shù)作用,但是具體的不同乘數(shù)有很大差別,說明影響效應(yīng)不同；研發(fā)費加計扣除折算補貼額和高新技術(shù)企業(yè)減免稅對出口貿(mào)易和經(jīng)濟增長的乘數(shù)作用都明顯大于財政科技撥款的影響乘數(shù)；高新技術(shù)企業(yè)減免稅比研發(fā)費加計扣除折算補貼額的影響作用大；三類方式的影響乘數(shù)具有局部到整體的逐級放大特點。 在國際比較研究部分研究了美國、日本、韓國以公共科技創(chuàng)新投入促進經(jīng)濟增長的歷程及經(jīng)驗,分析了部分發(fā)達國家以公共科技創(chuàng)新投入促進經(jīng)濟增長的新趨勢。研究發(fā)現(xiàn)發(fā)達國家科技創(chuàng)新具有明顯階段性特征,我國目前還處于起飛階段,應(yīng)盡快突破這一階段；發(fā)達國家科技創(chuàng)新投入強度高,我國應(yīng)不斷加大公共科技創(chuàng)新投入水平；發(fā)達國家的科技創(chuàng)新投入結(jié)構(gòu)普遍經(jīng)歷了從政府投入占主導(dǎo)到企業(yè)投資占主導(dǎo)的轉(zhuǎn)換過程,我國應(yīng)加快推動相應(yīng)轉(zhuǎn)變；當(dāng)前階段發(fā)達國家公共科技創(chuàng)新投入資助重點為基礎(chǔ)研究和高等院校,我國應(yīng)進一步提高資助基礎(chǔ)研究和高等院校水平。 最后,根據(jù)概念模型研究、數(shù)學(xué)模型模擬、計量分析和國際比較研究的18條研究結(jié)論以及帶給我們的啟示給出綜合性的政策建議：優(yōu)化制度設(shè)計,為提高我國公共科技創(chuàng)新投入水平及績效提供保障；拓寬投入渠道,切實加大我國公共科技創(chuàng)新投入并以之引導(dǎo)提升全社會科技創(chuàng)新投入水平；嚴(yán)格公共科技創(chuàng)新投入資金管理,提升公共科技創(chuàng)新資金促進出口貿(mào)易和經(jīng)濟增長績效水平。 本文的創(chuàng)新主要體現(xiàn)在四個方面。一是詳盡界定了科技創(chuàng)新、科技創(chuàng)新投入、公共科技創(chuàng)新投入的概念,并與出口貿(mào)易和經(jīng)濟增長關(guān)聯(lián)起來。二是構(gòu)建了一個公共科技創(chuàng)新投入促進出口貿(mào)易和經(jīng)濟增長的作用機制概念模型。三是構(gòu)建了一個包括公共創(chuàng)新投入多變量的四研發(fā)部門內(nèi)生增長模型。四是使用協(xié)整理論和脈沖響應(yīng)分析等檢驗數(shù)學(xué)模型,分別計量公共科技創(chuàng)新投入的不同投向、不同來源以及不同方式對產(chǎn)出增長的影響,通過綜合比較影響乘數(shù)來研究作用效果,分析改進方向。本文在目前階段就我國公共科技創(chuàng)新投入對出口貿(mào)易和經(jīng)濟增長的計量分析是比較完整的,其中以上海市為例將高新技術(shù)企業(yè)減免稅和研發(fā)費加計扣除折算補貼額作為公共科技創(chuàng)新投入的不同方式進行計量是首創(chuàng)。
[Abstract]:Inpet put forward the economic concept of innovation in 1912, but in the first seventy years after his proposal, there was only a certain understanding of him and the word innovation in China. Although at the beginning of the reform and opening up, comrade Xiaoping proposed that "science and technology are the first productive forces", but for a long time, investment, consumption and export have been driven in China as a pull. The "three carriage" of economic growth. Until the global financial crisis of 2008 affected the Chinese economy, the government was deeply aware of the real sustainable development of the technological innovation as the endogenous driving force of economic growth. In this context, the National Conference on science and technology innovation was held in 2012, and the construction of China was made an innovation by 2020. In reality, in reality, the government and the business community still do not fully understand the important role of scientific and technological innovation. There are still two contradictions in the deep logical relationship between technological innovation and the development of enterprises, export trade and economic growth. On the one hand, governments at all levels have repeated "innovation driven transformation and development". On the other hand, on the other hand, there is little research on how to innovate. On the one hand, scientific and technological innovation is important, on the other hand, the government and enterprises do not actively increase the investment in scientific and technological innovation.
Since 1980s, European and American scholars have paid close attention to scientific and technological innovation and economic growth, and have established a relatively complete theory of modern growth. However, in the existing theoretical research, the emphasis is focused on the effectiveness of government funding to solve the failure of R & D market, and less on the mechanism of the direct effect of public scientific and technological innovation funds on economic growth. After all, there is little research on the mechanism and effect of public science and technology innovation expenditure on export growth. The theoretical research on scientific and technological innovation and economic growth of Chinese scholars is basically the improvement of foreign theoretical research and the inspection of foreign empirical research experience, which is generally not systematic. This may lead to the heavy innovation of science and technology in China. One of the reasons why we do not understand enough is that we can not understand and advance unhappily.
At present, China is in an important period of strategic opportunity for the transformation and development, and the construction of an innovative country has become one of the national strategies. Therefore, from the theoretical point of view, it reveals the internal mechanism of the investment in public science and technology innovation and the export trade and economic growth, and analyzes the practical effect of the public scientific and technological innovation input to promote the growth of output. The policy recommendations on the allocation and management of public science and technology innovation funds are urgent and practical.
Therefore, this paper, taking the internal linkage mechanism of public science and technology innovation investment and export trade and economic growth as the research theme, inherits the main thought of the endogenous growth model of the Pete doctrine of new bear established by AghionHowitt, constructs an endogenous growth model including the investment of public scientific and technological innovation, and portrays the investment of public scientific and technological innovation to export trade and classics. The mechanism of the action of economic growth. Based on the input-output data of China and Shanghai, this paper makes a quantitative analysis of the input and output data of China and the city, and studies the effects of different ways of investment, different sources and the different ways of financing on the growth of output in the innovation investment of public science and technology, and analyses the existing problems, and provides reference for the policy of adjusting and adjusting the investment policy of scientific and technological innovation.
This paper first constructs a conceptual model of the role mechanism of public science and technology innovation to promote export trade and economic growth. It reveals that the public science and technology innovation funds encourage the enterprises to increase the investment in scientific and technological innovation by reducing the cost of scientific and technological innovation, and the achievements of scientific and technological innovation through "creative destruction", and then through technological innovation and innovation. The scale effect of industrialization, the coupling effect and the gradual enlargement of the network effect are finally shown as the whole process mechanism of promoting the multiplier effect of export trade and economic growth.
Then, on the basis of the conceptual model, a mathematical model of endogenous growth of public scientific and technological innovation is constructed. Through model solving and simulation analysis, it is found that the accumulation of human capital and public research and development activities in Institutions of higher learning and public research and development indirectly affect the economic growth by affecting social innovation; the expenditure of public scientific and technological innovation is different. There is a positive effect on increasing the economic growth rate, but there is a difference between the positive effect and the positive effect. When the public science and technology innovation funding is applied, it will bring out the crowding out effect on the investment in scientific and technological innovation of the enterprise; increase the total amount of innovation funds in public science and technology or increase the ratio of its fiscal expenditure, which will contribute to the economic growth, but because it will be squeezed out This positive effect will be offset by the decrease in social capital accumulation, which accounts for the capital used by society for capital accumulation.
After the mathematical model derivation and analysis, this paper uses the cointegration theory to test the mathematical model, uses the VAR model, the impulse response function to analyze a series of specific public scientific and technological innovation Input-Output Multipliers and the influence trend, and studies the actual influence of the public scientific and technological innovation input on the export trade and the economic growth in China. The econometric analysis is divided into three. Part one, the first part uses the different investment of national public scientific and technological innovation investment and the total volume data to measure the impact of output growth. The second part uses the data of different levels of public science and technology innovation investment to measure the impact of output growth, and the third part takes Shanghai as an example to use public science and technology innovation. The impact of different ways of data on regional output growth is quantitatively analyzed.
The first part of the econometric analysis shows that the total amount of investment and the different investment in the public science and technology innovation have an incentive and guidance effect on the investment in the innovation of the whole society. It has an obvious multiplier for the output of scientific and technological innovation, especially the export trade and economic growth, and shows the multiplier amplification from the local to the whole, and the specific multiplicative multiplication. There are significant differences in the number of different effects on export trade and economic growth; public science and technology innovation funds have the greatest contribution to the application of research in public research and development departments, and the effect of funding for institutions of higher learning is the second.
The second part of the econometric analysis shows that the various financial sources of public science and technology innovation in China have an incentive and guidance effect on the investment in scientific and technological innovation of the whole society, and have a significant multiplier effect on the output of scientific and technological innovation, especially the export trade and economic growth, but the specific multiplicative number has a great difference, which shows that the influence effect is different. The effect of local financial technology appropriation on the multiplier effect and long-term trend of output growth is not as good as that of the central government.
The third part of the econometric analysis proves that the different ways of public scientific and technological innovation investment in Shanghai have the incentive and guidance effect on the investment in scientific and technological innovation of the whole society, and there is a significant multiplier for the output of scientific and technological innovation, especially the export trade and economic growth, but the specific multipliers differ greatly, indicating the difference of influence effect and the R & D fee. The multiplier effect on export trade and economic growth is obviously greater than the influence multiplier of the financial scientific and technological allocations; the effect of the tax reduction tax on the high-tech enterprise is larger than that of the R & D allowance, and the three type of influence multiplier has the local to the whole level. Magnification.
In the international comparative study, the course and experience of the United States, Japan and South Korea to promote economic growth with the investment of public science and technology are studied, and the new trend of promoting economic growth by the investment of public science and technology in some developed countries is analyzed. The research finds that the scientific and technological innovation in the developed countries has a distinct stage characteristic, and our country is still at the take-off stage. We should break through this stage as soon as possible; the investment in scientific and technological innovation in developed countries is high and our country should continue to increase the level of investment in public science and technology; the investment structure of scientific and technological innovation in developed countries generally experienced the conversion process leading from government input to enterprise investment, and China should accelerate the corresponding transformation; the current stage will be issued. The national public science and technology innovation investment will be funded by basic research and institutions of higher learning. China should further improve the level of funding for basic research and higher education.
Finally, according to the research of conceptual model, mathematical model simulation, econometric analysis and international comparative research, 18 conclusions and suggestions to us are given comprehensive policy suggestions: optimizing system design to provide protection for improving the level and performance of public scientific and technological innovation in China, widening the investment channels and increasing the public section of our country Technical innovation is invested and guided to improve the level of investment in science and technology innovation in the whole society; the management of public science and technology innovation is strictly invested and the innovation funds of public science and technology are promoted to promote the performance level of export trade and economic growth.
The innovation of this article is mainly embodied in four aspects. First, it defines the concept of scientific and technological innovation, scientific and technological innovation input, and the concept of public scientific and technological innovation input, and is related to export trade and economic growth. Two is a conceptual model of building a mechanism for promoting export trade and economic growth by a public scientific and technological innovation investment. Three is the construction of the model. An endogenous growth model of four R & D department, which includes public innovation input multivariable. Four is the use of cointegration theory and impulse response analysis and other test mathematical models, respectively, to measure the different investment of innovation investment in public science and technology, the influence of different sources and different ways on the growth of output, and study the effect effect through the comprehensive comparison of the multiplier. In this paper, the quantitative analysis of China's public science and technology innovation investment on export trade and economic growth is relatively complete at the present stage. In the case of Shanghai, it is the first to measure the high and new technology enterprises' tax relief and the R & D fee plus deducted allowance amount as the different ways of the public science and technology innovation investment. Create.

【學(xué)位授予單位】：華東師范大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2013
【分類號】：F204;F752.62;F124.1

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