【作者】 林建明；

【导师】 琚春华；

【作者基本信息】 浙江工商大学 ， 企业管理， 2011， 博士

【摘要】 技术创新是企业的生存之道,也是一国经济发展的关键,主流文献在很大程度上解释了技术创新是经济增长的主要动力之一。目前,我国正处于产业结构优化升级、经济增长方式转变、国际竞争力提升的转型时期,企业作为重要的微观经济主体,其R&D行为和技术创新显得非常重要。由于技术创新过程中的溢出效应容易产生外部性,从而造就市场失灵和制度失灵问题,企业无法独占R&D的收益,企业自主创新的积极性容易受到抑制,此时政府扶持企业创新便具有一定的合理性。在企业创新过程中,政府从政策和制度方面进行积极干预,发挥重要的激励作用,以弥补市场激励的不足。但是,政府行为在产生激励作用的同时,也可能对企业研发产生挤出效应,而且,中国正处于转型时期,地方政府之间竞争与合作关系并存,进一步增加了扶持效果的不确定性。因此,立足微观层面分析地方政府扶持对企业研发行为的影响,对于政府有效投入以及企业积极制定研发策略都具有很强的指导意义。在上述认识的基础上,围绕中国转型的微观情境,通过回顾和比较国内外政府扶持企业研发的具体策略,概括出了政府参与企业研发行为的一般表现形式,并通过对我国政府政策的分析,总结出转型经济环境下的政府行为特征。通过借助面板数据,基于科技研发转化的三阶段微观机理,对省级之间科技投入进行了实证分析,结果表明省级之间的科技投入产出效率不仅存在差异,而且还存在较为明显的短板。通过对东、中、西典型省份的科技扶持政策进行比较,发现梯度区域经济发展战略确实对省级研发投入效率产生了比较显著的影响。而且,通过对东部区域内部不同省份之间进行比较,发现其效率差异也比较明显,在区位因素差异不大的情况下,我们推断政府扶持因素是形成这一现象的主要原因。进一步思考的方向是政府科技投入如何影响企业研发行为决策。本文结合产业集群背景下企业研发行为的基本类型,从最符合现实情况的累积创新视角入手,构建了企业研发投入的微观博弈模型,借助模型分析了地方政府如何通过科技投入改变企业研发行为的内在机理,并通过对具体变量的文献梳理,最终确立了地方政府研发投入影响企业研发行为的逻辑模型,提出了研究假设：地方政府会通过一系列的手段直接或间接地对企业研发行为产生影响,这种影响既包括正方向的激励效应,也包括反方向的抑制效应,还包括不同政策之间的协同效应。理论假设有待实证方法检验,由于政府扶持企业研发行为难以采用公开数据进行计量模型研究,本文采用大样本的行为量表和小样本的案例进行分析。通过对浙江省典型产业集群区进行问卷调查,并使用Stata软件进行定量分析,基本验证了本研究前期的基本结论,对政府扶持企业研发投入的具体措施和最终绩效进行有效的关联,得出了预期的研究结果。与此同时,本研究还采用历史解析的方法,对浙江省慈溪市的家电产业进行了典型的问卷调查,通过对慈溪家电产业背景和政府扶持行为的详细分析,解析了典型龙头企业的研发行为,从小样本的维度对本研究的基本结论进行了再次验证,加强了本文实证研究的信度和效度。通过实证研究发现,目前我国政府直接扶持企业研发的事前事后政策均体现出较为明显的激励效应,挤出效应主要来自间接扶持中的融资支持和信息平台共享两个方面,他们对企业研发的投入和产出都有挤出效应。信息共享平台建设只对企业专利产出存在激励作用,在企业研发投入和最终创新产品的产出上存在明显的抑制作用。另外,政府扶持企业间开展合作研发与政府事后的税收优惠政策二者之间存在一定的协同作用。实证结果表明,政府的间接扶持工作,特别是在融资支持和信息平台建设两个方面,可能还存在许多不够完善的地方。而政府扶持企业间开展合作研发与政府事后税收优惠政策之间的协同作用表明,为提升和巩固企业间的合作研发效果,政府事后的税收优惠是必不可少的,要注重两种扶持手段共同发挥激励诱导作用。本文研究在以下方面提出了现实建议：1.地方政府采购尚未得到相关产业主体的有效重视,政府采购机制需要进一步完善,政府扶持企业研发的方式方法也需不断完善。2.目前政府的科技扶持政策在融资支持和信息平台共享这两个方面对企业的研发产生挤出效应,这需要政府各部门合理的开展企业研发资本融资活动,建立公平有序的融资平台,对企业要一视同仁,甚至要向中小企业重点倾斜。产业集群公共信息平台的建设需要优化考核机制,要深入了解公共信息平台给企业带来的好处和优势,切忌把信息平台建设当做一项形象工程来做。3.政府扶持企业研发要尽量使用“组合拳”,单一扶持政策不一定能发挥很好的扶持效果,要尽量从时间维度,空间维度将各政策组合运用,提升政府科技政策的激励诱导作用,减少负面的挤出效应。作为一项尝试性的研究,本文在以下方面有待完善和拓展：1.在地方政府行为的解析过程中,对地方政府的效用函数未能进行定量化的解析,特别是对于转型期的中国地方政府行为还有待深入研究。2.在企业创新策略的分析过程中,还缺乏一个系统的集合思路,特别是对每个集合缺乏一个对应的典型案例。更多还原

【Abstract】 Technology innovation is not only a way of life for enterprises but also a key factor influencing a country’s economic development. The mainstream has largely explained that technology innovation is one of the main forces promoting economic growth. The enterprise serves as the main body of microcosmic economy, so its R&D are very important, especially during the time when our country upgrades and optimizes the industrial structure, changes the way economy grows and enhances international competition ability. However, in the process of technology innovation, spillover effects generate externality which results market failure and system failure, then enterprises can’t gain all the benefits from the R&D, so it is appropriate for the government to encourage and support enterprise innovation. The government should actively intervene in the innovation policy and system to compensate the shortage of market stimulation. Nevertheless, the government may crowd out enterprise’s R&D, so the key lies in how to grasp the right degree. Now China is in the period of social transition, competition and collaboration are in together among local governments, therefore, analysing the impact generated when local governments encourage and support enterprise innovation has very strong theoretical and practical significance, which can guide the government invest effectively and make sure the enterprise generates R&D strategies positively.This article reviews and compares how governments home and abroad support enterprise innovation specifically, then summarizes the general form governments involve in enterprises’R&D. Meanwhile, according to the analysis of our country’s policy, we generalize governments’behavioral characteristics under the context of the transitional economics in China, in which the regional distribution imbalance is a serious problem. This kind of imbalance lies not only between East China and West China but more among each province. Based on the mechanism of the three stages scientific research and transformation, we use the panel data to analyze each province’s scientific input empirically. Results show that the efficiency of scientific input and output among each province are different. Besides, there are some obvious short boards which almost caused by local government’s scientific input behaviors. The most outstanding performance of these short boards is enterprise changes its R&D strategy when local government changes scientific input and policy direction. According to the comparison of scientific encourage policy among East China, Central China and West China, we confirm that gradient regional economy strategy influences the efficiency of the province’s R&D input remarkably, we also find that when there is no significant difference among locational factors, even if the internal efficiencies of East China are quite different, the government support is likely to influence the enterprise’s R&D.How the government scientific input influences enterprise’s R&D strategy and behavior becomes the further research. Based on the condition of industrial cluster, we start with accumulative total innovation which fits the current status and has practical significance the most, construct the microcosmic games model of enterprise R&D input, and use the model to analyze intrinsic motivation how the government change enterprise’s R&D by scientific input. Then we refine the literatures about concrete variables, and finally establish logical model of local government’s R&D input influencing enterprise’s R&D behavior. Here’s the research hypothesis:local government influences enterprise’s R&D behavior directly or indirectly by a series of means, these influence has both positive and negative excitation effects. And different policies can produce synergies.Hypothesis needs to be tested by empirical methods, corporate’s research and development behavior supported by government is difficult to be measured using open data econometric models, it can only be measured by behavior rating scale of large samples and case studies of small samples. By questionnaire survey to typical industrial clusters area in Zhejiang Province and using Stata software to conduct quantitative analysis, the basic conclusions of the earlier stage of this study have been mainly verified. Effective association of final performance and specific measures of government support of corporate’s research and development investment eventually arrive at the expected results. At the same time, this study also used the historical method of analysis to conduct a survey analysis about the typical home appliances industry of Cixi City in Zhejiang Province. By detailed analysis of Cixi household appliance industry background and government support behavior, we have dissected the typical R&D behavior of leading enterprises and proved the basic conclusion of this study once again from the dimension of small samples and thus enhanced the reliability and validity of the empirical study of this research.We have found that the ex-ante and ex-post policies of current direct government support for R&D in China have reflected the incentive effect. Crowding-out effect is mainly appear in the financing support of indirect support and information sharing platform as the two aspects have crowding-out effect to corporate’s R&D inputs and outputs. The construction of information sharing platform only have incentives in the enterprises’output of patent, and have obvious inhibiting effect to the investment in R&D and final output of innovative products. In addition, our empirical study found that government support cooperation between enterprises and government R&D tax incentives afterwards have a certain synergy.Undoubtedly the empirical results strongly show that the work of the government’s indirect support needs improvement in many aspects, particularly in the government financial support and information platform, which are two areas supported by the government indirectly. The synergy between government support cooperation between enterprises and government R&D tax incentives afterwards shows that to encourage and strengthen cooperation between enterprises R&D results, it’s necessary for the government’s tax incentives afterward and also needs to emphasis the two support ways to play the role of motivation together. This paper’s study is of practical significance under the background of China’s reform and transformation and industrial cluster restructuring and upgrading:First, the local government’s procurement of government technology-related industries have not been taken serious by the subjects of related industries, government procurement mechanism needs further improvement; the government’s ways and means of supporting R&D remains to be improved effectively. Second,the current government policy in support of science and technology have crowding-out effect to both research and development of enterprise in the aspects of financial support and sharing of information platform. It requires every government department to carry out a reasonable R&D capital financing activities, establish a fair and orderly financing platform and the enterprises should be treated equally, and even give greater priority to the SMEs. The construction of public information platform of industry cluster needs the government to optimize assessing mechanisms and not only take the construction of information platform as an image projects, they should deeply understand the benefits and advantages that public information platform bring about to the enterprises.Third, Government support for R&D should try to use the "combined way", the single support policies do not necessarily have a very good effect of supporting. Thus should combined the policies as far as possible from the time dimension and space dimension to enhance the motivation function of government’s technology policy and reduce the negative crowding-out effect.As a trial study, this study also exists space to be further expanded:First, in the analytical process of the behavior of local government, the local government’s utility function still haven’t carry out quantitative analysis, especially the behavior of Chinese local government in transition yet needs to be further studied.Second, in the analysis process of innovation strategy, still lacks a systematic collection of ideas, in particular the lack of a typical case corresponding to each set, so that it will be of more practical significance to the local governments and enterprises.更多还原