政府研发补贴对国有企业和非国有企业不同效应的研究

发布时间：2018-03-16 11:29

本文选题：政府研发补贴　切入点：高新技术产业　出处：《上海社会科学院》2017年硕士论文　论文类型：学位论文

【摘要】：创新是经济增长和生产率提高的动力和源泉,研发活动是提高创新能力和增强国际竞争力不可缺少的工具。随着科学技术的快速发展,只有不断开展研发活动,追求创新的企业才能一直在市场上保持优势地位。然而,由于研发活动存在溢出效应,企业往往无法独享创新研发活动所带来的全部好处,这会导致私人收益率低于社会收益率,企业会因此减少和推迟对研发活动的投资。为了解决这个市场失灵的问题,降低企业研发活动的成本和风险,提高企业开展研发活动的动力和积极性,许多国家的政府都给企业提供了大量的研发补贴,中国政府对企业的研发补贴也是不断增加的。我国企业包括国有企业和非国有企业,这两类企业在研发活动的行为和特征等方面都存在较大差异。本文就引入了这两类不同性质的企业,讨论政府研发补贴对企业自身研发投入以及企业研发产出的影响,更一步地分析,当等额的政府研发补贴分别提供给国有企业和非国有企业时,这两类企业在这两个效应方面是否存在差异。这里的政府研发补贴仅考虑政府直接研发补贴,不包括税收优惠等间接补贴。本文引入两个实证模型,分别为企业研发投入模型和研发产出模型,采用了高新技术产业2009-2015年7年间17个细分行业的数据,将高新技术产业的数据集分为两个组,即国有企业组和非国有企业组,分析和比较国有企业组和非国有企业组在这两个模型中的差异。就政府研发补贴对企业研发投入的影响模型,回归结果表明,政府研发补贴对国有企业的研发投入有正向的激励作用,但对非国有企业研发投入的影响是不显著的。这主要因为国企的行为常常会受到政府政策的影响,政府研发补贴传递了国家重点产业发展的方向、政策倾向等信息,对企业研发重点规划起到提示作用,所以国企经理人在接受这个信号之后,将会投入更多的研发资金开展研发活动以获取政治好处;其次,非国有企业在进行研发决策时,其研发投入是以市场为导向直接为新产品和新技术而服务的,更多的是满足市场化的需求以及基于企业自身发展的需要,所以政府研发补贴的提示作用较弱。再者,长期以来非国有企业获得的政府研发补贴比较少,使得非国有企业研发投入的增加并不依赖于政府研发补贴而是其他因素,例如企业人力资本的投入和上一年的留存收益等。就研发产出模型而言,本文用新产品销售收入来很衡量企业的研发产出,实证结果表明,政府研发补贴对这两类企业的新产品销售收入都有积极的促进作用,但对新产品销售收入的促进作用在非国有企业中表现的更强,这是因为我国非国有企业研发补贴的获得依靠的是其研发实力和创新能力,研发行为更加市场化,因此其研发效率更高;而国有企业与政府之间存在密切的政治联系,因此更容易获得政府研发补贴,同时复杂的委托代理关系,都会使得国企的研发效率相对较低。基于这些理论和实证分析,本文提出了一些具有实际意义的建议来推动企业开展研发活动,从而提高研发产出水平。
[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.

【学位授予单位】：上海社会科学院
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F812.45;F279.2

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