中国经济转型中的腐败与民营企业创新：理论与实证研究

发布时间：2018-08-03 06:50

【摘要】：改革开放以来,虽然中国经济取得了举世瞩目的成就,但是由于驱动中国经济增长的主要因素是高投资与高储蓄,而非资源的有效利用和技术创新。这使得不少学者对中国经济增长的持续性感到担忧。为了实现经济发展方式从“要素驱动”向“创新驱动”的转变,中国在企业创新方面投入了大量资源,政府也出台了不少鼓励和支持企业创新的政策。然而,从微观企业层面的数据看,虽然近年来中国企业创新投入不断增加,但是企业整体的创新效率仍然不高。那么,是什么原因导致了中国创新领域的低效率呢?一个值得关注的现象是,在中国从传统计划经济向市场经济转型的过程中,民营企业作为中国企业创新的重要力量,往往拥有比国有企业更高的创新效率。然而,在国有经济占据主体的所有制结构下,民营企业在创新过程中常常面临基于“所有制”的政策歧视,难以获取创新中所需的政策资源(例如政府的创新补贴和税收优惠)和创新成果的保护。不少研究发现,政府与企业的关系在中国创新资源的分配中发挥着十分重要的作用,拥有良好政府关系的民营企业可以获得更多的创新资源和政策支持。同时,在中国经济转型过程中,由于各类制度建设尚不完善,公平的市场竞争环境和产权保护机制还较为缺乏,导致各种腐败与寻租行为盛行。在这种背景下,腐败可能作为“润滑剂”和“保护费”成为一种非正式的资源配置机制和产权保护机制,帮助民营企业获取创新所需的稀缺资源并保护创新成果免遭侵占,进而能够促进企业的创新;但是,腐败同样也可能会因为降低了创新活动的边际生产率和生产性企业家精神的相对报酬,而抑制企业的创新。那么,在中国经济转型的过程中,腐败对民营企业的创新究竟产生了何种影响?为了对这一问题进行深入的探讨,本文结合中国经济转型的特殊制度背景,进行了深入的理论分析和实证检验,并得出了如下结论:(1)基于2007-2014年民营上市公司的数据,以超额招待差旅费作为企业腐败支出的替代变量,实证研究发现:对于进行创新的民营企业,腐败对企业创新投入的影响呈倒U型关系;同时,腐败对民营企业创新投入的影响会随着企业所在地制度环境的变化而表现出显著差异,腐败与民营企业创新投入的倒U型关系主要出现在制度环境相对较差的内陆地区;进一步考察腐败影响民营企业创新投入的机制发现,腐败对民营企业创新投入的影响主要出现在资源约束较为严重和产权保护较弱的小规模民营企业中。这一结果说明腐败对民营企业创新投入的正向影响机制主要来自于腐败带来的资源效应和产权保护效应;(2)基于中国工业企业数据库2005-2007年的民营企业数据,以超额管理费用作为企业腐败支出的替代变量,采用Tobit估计方法,实证考察了腐败对不同行业民营企业创新投入的影响。实证结果显示:腐败对28个行业民营企业创新投入的影响分别呈现出显著的倒U型、正相关和不相关三种情况。以上结果表明,腐败对不同行业民营企业创新投入的影响是不同的。同时,腐败与民营企业创新投入的关系会受企业所在行业进入壁垒的影响。具体地,腐败对多数高进入壁垒行业民营企业的创新投入的影响并不显著;在多数中等进入壁垒行业中,腐败对民营企业创新投入的影响呈倒U型关系;而在低进入壁垒行业中,腐败对民营企业创新投入的影响则表现出多样化的特征。(3)基于2007-2014年民营上市公司的数据,以超额招待差旅费作为企业腐败支出的替代变量,使用Tobit和Logit的估计方法,进一步考察了腐败驱动下的创新投入对民营企业创新绩效的影响。研究结果发现:虽然腐败在一定程度上有助于民营企业创新投入和产出的增加,但是腐败同时也弱化了民营企业的创新投入转化为创新产出的效率,即腐败是民营企业创新效率的“沙子”;这一结果表明,腐败对创新产出的促进作用主要是源于腐败可以帮助企业获得了更多的和更低价的创新资源,进而使企业增加创新投入所导致的创新产出的增加,而非企业创新效率的提升;进一步考察腐败影响民营企业创新效率的机制发现,腐败增加了民营企业的过度创新投资,这些过度的创新投资不仅不能促进发明专利的形成,并且对三种专利的形成有显著的消极影响。即腐败所引致的过度创新投资是造成民营企业创新效率降低的重要原因。最后,本文对全文研究的结论进行了总结,并根据研究结论提出了反腐败和促进民营企业创新的政策启示。此外,文章还分析了本研究中的不足,并在此基础上对未来进一步的研究进行了展望。
[Abstract]:Since the reform and opening up, China's economy has made remarkable achievements, but the main factors that drive China's economic growth are high investment and high savings, not the effective utilization of resources and technological innovation. This makes many scholars worried about the sustainable sex of China's economic growth. China has invested a lot of resources in enterprise innovation, and the government has also issued a lot of policies to encourage and support enterprise innovation. However, from the data of micro enterprise level, although the innovation investment of Chinese enterprises is increasing in recent years, the innovation efficiency of the whole enterprise is still not high. What is the cause of the inefficiency in the field of innovation in China? A phenomenon worthy of concern is that in the process of China's transformation from the traditional planned economy to the market economy, the private enterprise, as an important force in the innovation of Chinese enterprises, often has higher innovation efficiency than the state owned enterprise. In the process of innovation, private enterprises are often confronted with policy discrimination based on "ownership". It is difficult to obtain the policy resources needed in innovation (such as the government's innovation subsidies and tax incentives) and the protection of innovative results. Many studies have found that the relationship between government and enterprises plays a very important role in the distribution of Chinese innovative resources. The private enterprises with good government relations can obtain more innovative resources and policy support. At the same time, in the process of China's economic transformation, due to the imperfect system construction, fair market competition environment and the lack of property rights protection mechanism, all kinds of corruption and rent-seeking behavior prevail. In this context, corruption is corrupt. As a "lubricant" and "protection fee", it may become an informal resource allocation mechanism and a property protection mechanism to help private enterprises obtain scarce resources needed for innovation and protect innovation results from encroachment, which can promote innovation of enterprises, but corruption may also reduce the marginal birth of innovation activities. In the process of China's economic transformation, what effect does corruption have on the innovation of private enterprises in the process of China's economic transformation? In order to make an in-depth discussion on this issue, this paper has carried out an in-depth theoretical analysis in connection with the special institutional background of China's economic transformation. And empirical test, and draw the following conclusions: (1) based on the data of private listed companies in 2007-2014 years, taking excess travel travel as an alternative variable of corporate corruption expenditure, empirical research shows that the effect of corruption on enterprise innovation investment is inverted U relationship for innovative private enterprises; meanwhile, corruption will invest in the innovation of private enterprises. The impact of the entry will show significant difference with the change of the institutional environment of the enterprise. The inverted U relationship between corruption and the innovation investment of private enterprises is mainly in the inland areas with relatively poor institutional environment; further investigation of the mechanism of corruption affecting the innovation input of private enterprises, and the influence of corruption on the innovation investment of private enterprises. The result shows that the positive influence mechanism of corruption on private enterprise innovation input is mainly from the resource effect and property protection effect caused by corruption; (2) the private enterprise data based on China's industrial enterprise database for 2005-2007 years, As an alternative variable of the enterprise corruption expenditure, the amount management cost is used to examine the effect of corruption on the innovation input of private enterprises in different industries by using the Tobit estimation method. The empirical results show that the effect of corruption on the innovation input of private enterprises in 28 industries shows a significant inverted U, positive correlation and unrelated three cases. It shows that the influence of corruption on the innovation input of private enterprises in different industries is different. At the same time, the relationship between corruption and private enterprise innovation input will be influenced by the barriers to entry in the industry. In particular, the impact of corruption on the innovation input of private enterprises in most high barriers industry is not significant; in most middle barriers to barriers industry Corruption has an inverted U relationship with the impact of corruption on the innovation investment of private enterprises, while in the low entry barrier industry, the influence of corruption on the innovation input of private enterprises shows a variety of characteristics. (3) based on the data of the private listed companies in 2007-2014 years, the excess travel cost is used as an alternative variable for the enterprise corruption expenditure, and the use of Tobit and Logit is used. The results show that corruption is helpful to the increase of innovation input and output of private enterprises, but corruption also weakens the efficiency of the transformation of innovation input into innovative output, that is, corruption. It is the "sand" of the innovation efficiency of private enterprises. The result shows that corruption promotes the innovation output mainly because corruption can help enterprises obtain more and more low price innovation resources, and then increase the innovation output resulting from the increase of innovation investment, and not improve the efficiency of enterprise innovation. The mechanism of corruption that affects the innovation efficiency of private enterprises has found that corruption increases the excessive innovation investment of private enterprises. These excessive innovation investment not only can not promote the formation of the invention patents, but also have a significant negative impact on the formation of the three kinds of patents. In the end, this paper summarizes the conclusion of the full text research, and puts forward the policy enlightenment of anti-corruption and promoting the innovation of private enterprises according to the conclusions of the research. In addition, the article also analyzes the shortcomings of this study, and on this basis, the future further research is prospected.
【学位授予单位】：重庆大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：F276.5

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