政府科技投入对企业技术创新影响研究
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摘要
当前,中国已经把提升企业技术创新能力作为调整经济结构、转变增长方式、提高国家竞争力的中心环节。由于创新活动的不确定性、溢出效应以及外部性,抑制了企业技术创新活动开展,迫切需要政府加大科技投入激励企业开展技术创新活动。近几年,高技术产业已成为国与国之间的主要竞争手段,中国政府投入大型高技术企业的政府科技资金比重呈递增趋势,而中型高技术企业呈下降态势。因此,在这种条件下,深入而系统地研究政府科技投入对不同规模企业技术创新的效应及影响机理问题具有现实意义,为企业优化资源配置提供依据的同时提高政府对科技活动的引导和调控能力,从而提高企业技术创新能力,增强企业技术竞争力和核心竞争力。
本文通过对D'Aspremont C和Jacquemin A模型进行改进,对政府科技投入影响企业技术创新进行理论论证；在研究企业技术创新影响因素的基础上,提出了政府科技投入对企业技术创新的三条影响路径,并分别对不同规模企业进行影响机理分析；本文选取高技术产业相关数据,采用常规面板数据回归方法对理论分析进行实证检验,然后利用分位数回归法将不同创新能力行业进行等级划分,分析高技术产业不同创新能力的企业政府科技投入对其技术创新的作用效果。
通过研究分析,本文得到以下结论：
(1)政府科技投入对企业技术创新产生杠杆效应；
(2)政府科技投入对大型和中型高技术企业技术创新的影响效应均为正,且中型高技术企业政府科技投入的杠杆效应更为明显：
(3)政府科技投入的杠杆效应随着企业技术创新能力的提高而增强；对于大型高技术企业,政府科技投入杠杆效应随着其技术创新能力的升高呈现U型特征,对于中型高技术企业,政府科技投入的杠杆效应随着其技术创新能力的提高而增强。
At present, enhancing technology innovation has been the center of multiple activities which include adjustment of economic structure, transformation of economic growth pattern and improvement of national competitiveness. To encourage technological and innovative activities of enterprises, it urgently needs to increase governmental S&T investment. Recently, High-tech industry has become the principal means of competition between nations. The Chinese government invested a large high-tech enterprises the proportion of governmental S&T investment showed an increasing trend, decreasing trend of medium-sized high-tech enterprises. Therefore, under the condition, the governmental S&T investment is needed to improve the conditions of scientific and technological input. So it is great practical significance to make the in-depth and systematic study on the effects of technological innovation, because it can not only provide foundation for enterprises to optimize resources configurations but also improve the government's guidance and control capabilities of the technological innovation, which enhances the technological competitiveness and core competitiveness.
Through the improvement on D'Aspremont C and Jacquemin A models, the paper shows theoretical and mechanism analysis on how technology import of high-tech industry and governmental S&T investment have impact on company's technological innovation. Secondly, this paper intensively studies the factors of technology innovation, finds the three paths of impacting of governmental S&T Investment on technological innovation, and research the affected mechanism of different sizes firms; Finally, based on company's technological innovation system mode in the mechanism analysis, structuring company's technological innovation two parts regression mode and selecting high-tech industries related data, analysis of impact on technological innovation from governmental S&T investment among different industries with different abilities of innovation has been obtained by adopting conventional panel data regression method to process empirical study and quantile regression method to grade levels of different industries with different innovation abilities.
Through study, research and analysis, following conclusions have been acknowledged:
(1)Governmental S&T investment have positive impact on technological innovation.
(2)Depends on the sizes of companies, governmental S&T investment has positive impact on technological innovation in the different size firms. And in comparison, the leverage effect of governmental S&T investment in Medium-sized enterprises is much more obvious.
(3) Among industries with different abilities of innovation, leverage impact from governmental S&T investment will be increased if the industry has higher abilities of innovation. It's a similar effect of governmental S&T investment to the Medium-sized enterprises. The positive effect of governmental S&T investment presents U shape characteristics in large size firms.
本文通过对D'Aspremont C和Jacquemin A模型进行改进,对政府科技投入影响企业技术创新进行理论论证；在研究企业技术创新影响因素的基础上,提出了政府科技投入对企业技术创新的三条影响路径,并分别对不同规模企业进行影响机理分析；本文选取高技术产业相关数据,采用常规面板数据回归方法对理论分析进行实证检验,然后利用分位数回归法将不同创新能力行业进行等级划分,分析高技术产业不同创新能力的企业政府科技投入对其技术创新的作用效果。
通过研究分析,本文得到以下结论：
(1)政府科技投入对企业技术创新产生杠杆效应；
(2)政府科技投入对大型和中型高技术企业技术创新的影响效应均为正,且中型高技术企业政府科技投入的杠杆效应更为明显：
(3)政府科技投入的杠杆效应随着企业技术创新能力的提高而增强；对于大型高技术企业,政府科技投入杠杆效应随着其技术创新能力的升高呈现U型特征,对于中型高技术企业,政府科技投入的杠杆效应随着其技术创新能力的提高而增强。
At present, enhancing technology innovation has been the center of multiple activities which include adjustment of economic structure, transformation of economic growth pattern and improvement of national competitiveness. To encourage technological and innovative activities of enterprises, it urgently needs to increase governmental S&T investment. Recently, High-tech industry has become the principal means of competition between nations. The Chinese government invested a large high-tech enterprises the proportion of governmental S&T investment showed an increasing trend, decreasing trend of medium-sized high-tech enterprises. Therefore, under the condition, the governmental S&T investment is needed to improve the conditions of scientific and technological input. So it is great practical significance to make the in-depth and systematic study on the effects of technological innovation, because it can not only provide foundation for enterprises to optimize resources configurations but also improve the government's guidance and control capabilities of the technological innovation, which enhances the technological competitiveness and core competitiveness.
Through the improvement on D'Aspremont C and Jacquemin A models, the paper shows theoretical and mechanism analysis on how technology import of high-tech industry and governmental S&T investment have impact on company's technological innovation. Secondly, this paper intensively studies the factors of technology innovation, finds the three paths of impacting of governmental S&T Investment on technological innovation, and research the affected mechanism of different sizes firms; Finally, based on company's technological innovation system mode in the mechanism analysis, structuring company's technological innovation two parts regression mode and selecting high-tech industries related data, analysis of impact on technological innovation from governmental S&T investment among different industries with different abilities of innovation has been obtained by adopting conventional panel data regression method to process empirical study and quantile regression method to grade levels of different industries with different innovation abilities.
Through study, research and analysis, following conclusions have been acknowledged:
(1)Governmental S&T investment have positive impact on technological innovation.
(2)Depends on the sizes of companies, governmental S&T investment has positive impact on technological innovation in the different size firms. And in comparison, the leverage effect of governmental S&T investment in Medium-sized enterprises is much more obvious.
(3) Among industries with different abilities of innovation, leverage impact from governmental S&T investment will be increased if the industry has higher abilities of innovation. It's a similar effect of governmental S&T investment to the Medium-sized enterprises. The positive effect of governmental S&T investment presents U shape characteristics in large size firms.
引文
1 资料来源：程华.政府科技投入与企业R&D——实证研究与政策选择[M].北京：科学出版社,2009:9.
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[1]施定国.基于过程分析的政府R&D支出绩效研究[D].大连：大连理工大学,2009.
[2]傅家骥.技术创新学[M].北京：清华大学出版社,2001.
[3]Christophe Freeman. Technology Policy and Economic Performance:Lessons From Japan [M]. London:Pinter Pub Ltd,1986.
[4]Kenneth J. Arrow. The economic implications of learning by doing[J]. The Review of Economic Studies,1962,29(3):155-173.
[5]Hans Loof. The Impact of Public Funding on Private R&D investment:New Evidence from a Firm Level Innovation Study [J]. Nova Science Publisher,2004,6.
[6]李文鹣.政府对中小企业创新的资助模式的中外比较分析[J].科技管理研究,2005,1：94-98.
[7]赵付民,苏盛安,邹珊刚.我国政府科技投入对大中型工业企业R&D投入的影响分析.研究与发展管理,2006,18(2)：78-84.
[8]Goolsbee, A. Does Government R&D Policy Mainly Benefit Scientists and Engineers? [J]. American Economic Review,1998, (88):298-302.
[9]程华.科技资助促进企业R&D研究[J].科研管理,2005,26(4)：68-71.
[10]解维敏,唐清泉,陆姗姗.政府R&D资助、企业R&D支出与自主创新——来自中国上市公司的经验证据[J].金融研究,2009,6：86-99.
[11]胡明勇,周寄中.政府资助对技术创新的作用：理论分析与政策工具选择[J].科研管理,2001,22(1)：30-36.
[12]Lichtenberg, Frank R. The effect of government funding on private industrial research and development:a reassessment [J]. The Journal of Industrial Economics, 1987,36:97-104.
[13]Hu, Albert, G..Z. Ownership, Gvernment R&D, Private R&D, and Productivity in Chinese Industry [J]. Journal of Comparative Economics,2001,29(1):136-157.
[14]胡永健,周寄中.政府直接资助强度与企业技术创新绩投入的关系研究[J].中国软科学,2008,11：141-148.
[15]程华,赵祥.企业规模、研发强度、资助强度与政府科技资助的绩效关系研究——基于浙江民营科技企[J].科研管理,2008,29(2)：37-43.
[16]Guellec D, Bruno Van Pottlesberghe. The Impact of Public R&D Expenditure on Business R&D[R]. OECD Working Paper,2000.
[17]朱平芳,徐伟民.政府的科技激励政策对大中型工业企业R&D投入及其专利产出的影响：上海市的实证研究[J].经济研究,2003,6：45-53.
[18]Wallsten, Scott J. The R&D Boondoggle [J]. Regulation,2000,23(4):12-16.
[19]姚洋,章奇.中国工业企业技术效益分析[J].经济研究,2001(10)：13—19.
[20]连燕华,郑奕荣,于浩.我国企业技术创新与政府资助分析[J].科研管理,2005,26(6)：18-25.
[21]许治,师萍.政府科技投入对企业R&D支出影响的实证分析[J].研究与发展管理,2005,17(3)：22-26.
[22]唐清泉,卢珊珊,李懿东.企业成为创新主体与R&D补贴的政府角色定位[J].中国软科学,2008.6：88-98.
[23]Soete, L. L. G. Firm size and inventive activity:The evidence reconsidered[J]. European Economic Review,1979,12(3):19-340.
[24]Pavitt. K, M. Robson and J. Townsend. The size distribution of innovating firms in the UK:1945-1983[J]. Journal of Industrial Economics,1987,35:297-316.
[25]Gayle. P. G. Market Concentration and Innovation:New Empirical Evidence on the Schumpeterian Hypothesis[R]. Kansas State University, Department of Economics, working paper,2003.
[26]周黎安,罗凯.企业规模与创新——来自中国省级水平的经验证据[J].经济学(季刊),2005,4(3)：623-638.
[27]于君博,舒志彪.企业规模与创新产出关系的实证研究[J].科学学研究,2007,25(2)：373-380.
[28]Freeman, C. The Economics of Industrial,2nd edition[M]. London:Frances Pinter, 1982.
[29]Cohen, W. M. Levin, R. C. and Mowery, David C. Firm Size and R&D Intensity:A Re-Examination[J]. Journal of Industrial Economics,1987,35(4):543-565.
[30]Tether, B. S. Small and Large Firms:Sources of Unequal Innovations? [J] Research Policy,1998,27:725-745.
[31]Howe, J. D. and McFetridge, D. G.. The Determinants of R&D Expenditures [J]. Canadian Journal of Economics,1976,9(1):57-71.
[32]Kamien, M. I. and Schwartz, N. L.. Market Structure and Innovation[M]. Cambridge University Press,1982.
[33]朱恒鹏.企业规模、市场力量与民营企业创新行为[J].世界经济,2006,12：41-52.
[34]聂辉华等.创新、企业规模和市场竞争——基于中国企业层面的面板数据分析[J].世界经济,2008,7：57-66.
[35]高良谋,李宇.技术创新与企业规模关系的形成与转化[J].中国软科学,2008,12：96-104.
[36]Bound, J., Cummins, C., Griliches, Z., Hall, B. H. and Jaffe, A. Who Does R&D and Who Patents? [M] Chicago:University of Chicago Press,1984.
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