创新导向型财政理论与政策选择

【作者】 戴毅；

【导师】 张志超；

【作者基本信息】 南开大学 ， 世界经济， 2009， 博士

【摘要】 技术创新具有公共性、外溢性和不确定性等,因而存在“市场失灵”。通过市场引致的技术创新,并不能达到全社会创新活动的最优水平。这就需要政府的介入和干预。但政府对技术创新活动的支持作为一种非市场力量,其本身又存在“选择失灵”的可能性。因此,如何弥补技术创新的“市场失灵”,同时又避免政府支持的“选择失灵”,是解决公共财政支持技术创新问题的关键和焦点所在。本文从技术创新的特性入手,运用公共财政理论及其相关经济学说,分别从经济和政治两个市场,分析了具有公共产品属性的技术创新供给效率缺失问题并得出结论:技术创新不仅需要依靠市场来配置资源,而且需要政府财政的参与和相关制度安排的改进,才能实现技术生产的社会最优供给规模和结构。基于上述分析,本文提出了“创新导向型财政”的概念并尝试建构其理论框架和绩效评价体系,继而从国家、城市层面对创新导向型财政政策实践进行国际比较,提出我国实施创新导向型财政的制度安排和政策建议。本文主要研究创新型经济体(国家、区域、城市等)建设过程中公共财政的地位、作用及其实现路径,以期丰富当代公共财政理论并为推进当前创新型经济体建设提供决策参考和依据。围绕创新导向型财政的主题,遵循什么是创新导向型财政、为什么需要创新导向型财政、如何实现创新导向型财政,亦即“what—why—how”的主线。全文在形式上由导论、主体(5章)和结论组成,在内容上大致分为三个单元:第一单元侧重“立题”,涉及导论和第一章,主要是基于全球科技与经济竞合态势、国内建设创新型经济体(国家、区域、城市等)的现实需要提出问(命)题,同时阐明研究此问题的理论和实践意义,总结与回顾此问题的国内外研究成果和现状,厘清进一步研究此问题的空间、可能的创新点及难点,并据此提出研究此问题的基本思路、框架和方法等。第二单元侧重“立论”,包括第二、第三章但也涉及第一章,为全文的主干部分和理论基础,主要是尝试廓清人类创新活动的相关特质及其与公共财政的关系、给出与自主创新总体战略相匹配的公共财政的功能定位、建构该类型财政的理论与政策框架及其绩效评价体系等。第三单元侧重“立策”,包括第四、第五章及全文结语,主要是基于前述理论分析并运用实证研究方法,探讨创新导向型财政与创新型国家、城市等创新型经济体建设的关系,选择若干样本国家、城市进行不同层面相关财政实践的国际比较,提出加快创新型国家、城市建设的若干财政政策建议等。结语则在总结全文的基础上,概括本题研究的结论并对创新导向型财政理论的研究和实践进行展望。更多还原

【Abstract】 Publicity, externality, and uncertainty of technological innovation lead to its market failure. As one of the results, technological innovation conduced by the market is unable to reach the optimal level of innovation of the entire society. Thus interference and support of the government is demanded. However, support of the government itself, as a non-market power, usually produces choice failure. Therefore, how to avoid both of the market failure of technique innovation and the choice failure of governmental support is the key point to resolve problems with public finance supporting technique innovation. Starting from the characteristics of technique innovation and applying public finance and other relative economic theories, this thesis points out scarcity of supply efficiency of technique innovation and its causes through analyzing economic and political market, and concludes: Technological innovation needs not only the market to distribute resources, but also the fiscal support of the government and the improvement on relative institutional arrangements. Based on the above analysis, the concept of "innovation-oriented public finance"(IPF) is brought forward, and its theoretical frame and evaluation system tried to set up. Furthermore, some implementary ways and policies are suggested in the article after comparing IPF practices among different countries and cities.The thesis mainly researches the fiscal function, status, and the working way of innovating economic bodies(countries, districts, cities), aiming to enrich public finance theories of the contemporary era and give references and gist to construct innovating economic bodies. Surrounding the subject matter, it explains what IPF is, why IPF is demanded, and how to implement IPF. Its contents can be divided approximately into three parts:Firstly, introduction and chapter one brings out the problem and also reviews concerned theories and practices, based on the current global competition-cooperation situations of science and technology and economy. The space of the problem, possible creation, difficulties concerned, and basic frame and research methods are also discussed here.Secondly, chapter two, chapter three , and part of chapter one are the main trunk of thesis, and also the theoretic base, trying to explain characteristics of innovative activities of human being, relationship between the human being innovation and public finance. This section aims to make clear about the status and function of public finance which matches with the total independent innovation strategy, and to set up theoretical frame and evaluation system of IPF.Thirdly, chapter four, chapter five, and the conclusion try to give suggestions about how to execute innovation-oriented finance in China, through comparison of practices of "innovation-oriented finance" among different countries and cities. The conclusion sums up power points of the entire thesis and prospects research and practice of IPF theory in future.更多还原