【作者】 郑绪涛；

【导师】 夏振坤； 徐长生；

【作者基本信息】 华中科技大学 ， 西方经济学， 2009， 博士

【摘要】 现代经济增长理论表明，如果社会最优的技术创新水平能够较好地通过市场机制实现的话，人类社会将可实现快速的经济增长。大量地理论分析和经验研究却证实了市场经济体制很难引导私人企业实现社会所期望的技术创新水平，社会最优水平的技术创新活动是无法通过市场机制自我实现的。因此必须设计出若干政策措施来修正市场机制对R&D活动的刺激失灵，以实现社会最优的技术创新水平。在市场机制很难引导企业实现社会所期望的最优技术创新水平的情况下，主流经济学者主要从两个方面来分析如何提高企业技术创新水平：一是通过增强吸收能力提高企业技术创新的效率；二是通过有效的公共研发政策激励企业从事更多的技术创新活动。本文将从这两方面对已有的技术创新的文献进行回顾，在分析吸收能力和公共研发政策最大化R&D活动方面所具有的正面和负面作用的基础上，为吸收能力与公共研发政策建立一个统一的理论模型。传统的公共研发政策是对企业R&D活动给予补贴或税收优惠，这种激励方式是产生挤出或替代效应根本原因。最有效的公共研发政策应该是对影响吸收能力的因子给予补贴或者税收优惠，这样既刺激企业提高自身的吸收能力，而吸收能力的增强不仅导致更低的产出成本，而且还降低了有效的溢出水平。事实上，由于补贴力度不仅与R&D活动的溢出水平正相关，更与技术吸收能力正相关，与补贴溢出水平带来的损失相比，对吸收能力进行补贴更能提高补贴措施的激励功效，这种措施减少公共研发政策支持所产生的挤出或替代效应。因为挤出或替代效应之所以产生，其主要原因在于企业更倾向于从事税收更优惠的R&D活动，而大量公共研发政策支持的投入必定会导致R&D活动的投入成本增加，R&D活动的投入成本增加又必然导致R&D活动的收益率下降，最终抑制企业从事R&D的热情。如果对影响吸收能力的因子给予补贴或税收优惠的话，企业的吸收能力会得到增强，而吸收能力的增强可以减少公共研发政策支持所产生的挤出或替代效应。在理论上揭示吸收能力与公共研发政策之间的互补关系的同时，本文还要从经验上证明这种相互促进的关系也是存在的，具体的思路是在选择一些指标(如专利水平、现有R&D存量、人力资本、经济开放度、FDI流入量等等)衡量吸收能力的基础上，为吸收能力与公共研发政策建立计量模型，不仅考察吸收能力在促进R&D活动方面的功效，还考察它们在促进R&D活动方面的共同作用，最终从经验上证明了公共研发政策与吸收能力在促进R&D活动方面可以相互补充，形成提高企业技术创新能力的合力。作为发展中国家，我国不可能无限度地加大对R&D活动的公共研发政策支持力度，而且企业由于自身的赢利能力所限，R&D活动的投入也是有限的，这在一定程度表明我国在一段相当长的时间内需要引进国外的先进技术，通过增强吸收能力来强化企业技术创新能力，但这又在一定程度上形成了对国外技术的依赖。本文在综合这两种观点的基础上寻找增强吸收能力与公共研发政策支持之间的互补作用，最大限度地发挥它们对技术创新的促进作用，从而形成一种新的技术创新路径：公共研发政策有必要从对R&D活动的投入进行补贴转变为对R&D活动的吸收能力进行补贴，即公共研发政策应尽可能地偏向吸收能力较强的产业，使政策“有所为，有所不为”，更好地发挥公共研发政策支持R&D活动的功效，以便快速提高我国企业的技术创新能力。更多还原

【Abstract】 The modern theories of economic growth effectively explaining for economic growth in real world indicates, if the level of social optimal innovation can be well realized by the market system, the people will realize the rapid economic growth, while a large of theoretical analysis and empirical research proves that market system is hard to lead the private firms fulfill the socially expecting innovation activities, the level of social optimal innovation activities can not be self-realized by the market system. To realize the social optimal innovation activities, we should design some policies to modify the stimulating failure of market system for research and development activities.On the condition of much theoretic and empirical analysis all demonstrate the market system can hardly lead the firms realize the socially expecting innovation level, the popular economists mainly analyze how to improve the firm’s innovation from two ways: one the hand it is improving the absorptive capability to increase the firms innovation, another hand it is the effective public research policies to encourage the firm do much more innovation activities. This paper will review the old research paper about innovation on the two ways, and we construct an integrated model for absorptive capability and public research policies on the base of analyzing the positive and negative effect of absorptive capability and public research policies on maximizing the innovation activities, the traditional public research policies are to carry some subsidy or tax preference on the firms’ innovation activities, this kind of encouraging way is the basic reason of resulting in crowding or displacing effect, the most effective public research policies should carry some subsidy or tax preference on the factors which have some effect on the absorptive capability, this measure can stimulate the firms to improve own absorptive capability, and the improved absorptive capability will not only result in more lower output cost, but also bring more lower the effective spillovers. In fact, on the reasons of the subsidy strengthen is not positive relationship with the effective spillovers, but positive relationship with absorptive capability, the policy to subside absorptive capability will more improve the encouraging effect of the subsidy measure than to subside the spillover for its damage, this measure can ease the crowding or displacing effect resulted by the public research policies, the main reason of the crowding or displacing effect is that the firm will do more R&D activities for tax preference, while large government expenditure increase the cost of R&D activities and decrease the return of it, which will restrain the firm from engaging in R&D activities. If subsiding or giving tax preference for the absorptive capability, the absorptive capability will be strengthened, then the strength of the absorptive capability will reduce the crowding or displacing effect resulted by public research policies.Revealing the complement between the absorptive capability and public research policies on the theory, this paper will demonstrate empirically this complement is existed, the specific thought is constructing econometric model for the absorptive capability and public research policies on the base of choosing some factors (such as patent level, R&D expenditure, human resources, economic openness, FDI inflow) to measure the absorptive capability, which not only exams the effect of the absorptive capability on promoting R&D activities, but also exams their whole effect on R&D activities, and end up empirically demonstrating there is complement between absorptive capability and public research policies on encouraging R&D activities, and be the common force on improving the firms’ innovation. As a developing country, China cannot unlimitedly increase the strength of public research policies on R&D activities, meanwhile because of own return is limited, the R&D expenditure of the firm is also limited, which on some degree shows China will introduce foreign advanced technology during some period to enhance absorptive capability for strengthening the firms innovation, while will be dependent on foreign technology on some degree. On the base of synthesizing two kinds of idea, this paper search to strengthen the complement between absorptive capability and public research policies, maximally perform their effect on improving innovation, and then form a new innovating road: public research policies should change to subside the absorptive capability from the R&D activities, which is public research policies should be bias on the strong absorptive capability of industries, make the policies must be done and must not be done, best perform the encouraging effect of public research policies on R&D activities, so as to fast improve the firms innovation of China.更多还原