【作者】 夏喜全；

【导师】 张建华；

【作者基本信息】 华中科技大学 ， 西方经济学， 2009， 博士

【摘要】 20世纪80年代以来,发达国家将高新技术产业做为重点推动的关键性产业,取得了不菲的成果。对发展中国家而言,高新技术产业是实现新型工业化、产业结构升级和有限赶超的有效路径。不过,高新技术产业的高投入、高风险和外部性等特征,常常导致高新技术产业研发私人投入水平低于社会最优水平,存在市场失灵,由此,政府介入,特别是公共财政介入高新技术产业发展是一种必然的、合理的选择。对于中国而言,特别是在当前世界金融危机背景下,研究公共财政支持高新技术产业发展的方法、政策工具、力度、规模和政策绩效,具有较强的理论和现实意义。本文将在探讨公共财政支持高新技术产业发展理论依据的基础上,研究公共财政支持高新技术产业发展的政策工具,为加速我国高新技术产业健康发展提供科学依据。文章主要从三个方面展开分析。文章第一部分从理论的角度研究公共财政支持高新技术产业发展的依据和方法。文章首先探讨了高新技术产业的特征和发展过程;接着论述高新技术产业在经济增长中的重要作用,以及高新技术产业改造传统产业的机制与路径;最后,文章重点讨论了公共财政支持高新技术产业发展的政策工具,特别是各种政策工具的作用与特征。通过这些分析我们认为,公共财政支持高新技术产业发展可以有效矫正高新技术产业私人投入不足等市场失灵,并且,财政补贴、税收优惠、金融支持和政府购买等政策工具是解决这些问题的有效手段。文章第二部分从历史经验的视角研究了世界主要发达国家公共财政支持高新技术产业发展的经验,以及公共财政支持高新技术产业在中国的发展历程与政策绩效。世界主要发达国家在高新技术产业发展方面具有领先优势,我们首先分析了世界主要发达国家在财政补贴、税收优惠、金融支持和政府购买等支持高新技术产业发展的具体方法、手段、力度和范围,总结其成功经验。高新技术产业具有区域集聚的特征,由此,我们还分析了这些国家支持高新技术产业的区域发展政策;接着,文章总结了发达国家政策实践对中国公共财政政策制定方面的借鉴与启示。为了探寻中国高新技术产业的发展特征,文章运用随机前沿生产函数测算了中国高新技术产业五大行业的技术进步效率。最后,文章在分析公共财政支持高新技术产业发展的主要政策工具及其政策绩效的基础上,运用面板数据模型,分别测算了1991～2006年、1991～1995年、1996～2001年和2001～2006年公共财政在高新技术产业发展中的作用。实证结果表明,在1991～2006年的16年间,公共财政对高新技术产业研发投入每增加一个百分点,可以使高新技术产业产出增加1.577%,其中1996～2000年的财政支持贡献最大。结果还发现,公共财政在高新技术产业发展中的作用仅次于企业研发投入。可见,加大公共财政对高新技术产业的研发投入意义重大。经济学研究的目的在于为现实政策制定提供指南。文章第三部分重点探讨了完善我国公共财政支持高新技术产业发展的政策建议。文章首先分析了我国公共财政支持高新技术产业发展方面存在的问题,主要体现在:①相关法律体系不健全,致使财政支持政策缺乏连续性和规范性;②公共财政激励政策大多以区域瞄准为主,产业瞄准相对较弱;③税收优惠政策以直接优惠为主;④各种政策激励措施缺乏灵活性,没有针对经济发展不同阶段做出快捷的适用性调整。接着,文章提出了今后政策调整的具体建议:①完善公共财政投入机制,转变支持方式。不断拓宽研发资金渠道,积极建立与完善以政府投入为主导、企业投入为主体的全社会研发投入体系,根据高新技术的特点,摸索新的支持方式,形成层次分明、重点突出、整体协调的多元化财政支持政策体系;②集中力量,重点支持。改变过去点多面广、分散支持的作法,集中资金支持企业技术创新的薄弱环节;③继续加大财政投资的规模,增加政府对科研开发的专项要素投入,提高高新技术产业的要素生产率;④注重产业优惠和区域优惠的综合应用,营造良好的高科技行业发展环境,提高政策激励的瞄准效率;⑤税收优惠政策逐步实现间接优惠为主。通过上述研究,本文的贡献在于:①从政策实践的角度,提出了改善我国公共财政支持高新技术产业发展的政策建议和具体操作工具;②文章分析和比较了财政补贴、税收优惠、金融支持和政府采购等政策工具支持高新技术产业发展的理论依据,以及四种政策作用效果和作用方式上的差异;③文章测算了我国高新技术产业五大行业的全要素生产率、前沿技术进步与技术变化效率,以及各行业之间存在差异的原因,为财政支持方向提供了依据。更多还原

【Abstract】 Since 1980s, new high-tech industry has become the key industry emphasized in most developed economies. For developing countries, building new high-tech industry is a short cut to industrialization, upgrade of industrial structure, and catch-up to developed economies. High investment, high risk, externality, and so forth are the characteristics of new high-tech industry and notwithstanding, more often than not, private sector’s R&D investment in new high-tech industry are less than that of social optimum, and thus the intervention of government, especially the infusion of public spending is an inevitable and sound choice. In this paper, I aim to provide a scientific foundation to the acceleration of development of high tech industry in China, by exploring effectiveness of public finance policies to high tech industry; investigate the impact of various policy tools, including combination of policy and its scale, on the R&D behavior of high tech industries. This kind of research is crucial for the development of China, especially under the current international financial crisis.This study is composed of three parts: The first part is a description of the theoretical foundation of public finance supports toward the development of new high-tech industry. First, I explore the characteristics and developing stages of new high-tech industry; second, I compare the role that high-tech industry plays in economic growth with that of traditional industry, and how the high-tech industry can help in improving the development of traditional industry. Finally, an in depth analysis is made to discusses the mechanism that public spending can do to enhance the improvement of new high-tech industry, especially highlights the characteristics of effects of all kinds of policy instruments. By the analysis, we conclude that aiding the development of new high-tech industry through public finance can at least partially correct market failure, resulted from underinvestment of private sector, in new high-tech industry. Moreover, sophisticated application of such policy tools, such as grant-in-aid, tax preference, financial supports, and governmental purchases, can be an effective remedy.In the second part of the paper, in addition to the review of the past efforts of China aimed to the development of high-tech industry, I examine the experiences of the main developed countries on their support of development of new high-tech industry. With developed countries’ leading position in the development of new high-tech industry, we investigate their secretes of success in terms of public finance policies. Since regional agglomeration also plays an important part in the success of development of high-tech industry, we analyze the development policies in encouraging agglomeration in these countries. Subsequently, I summarize the lessons from these countries as a guide to our public finance policy-making.To keep track of development of new high-tech industry in China, and its main factors affecting the chance of success, I calculate technical progress efficiency of the five largest industries in new high-tech industry in China through the stochastic frontier production function. Finally, by using panel data, I analyze the impacts of public finance policies on the high-tech industry for the 4 main periods since "reform and opening": 1991 to 2006, 1991 to 1995, 1996 to 2001, and 2001 to 2006 respectively. The empirical results show that output of new high-tech industry would rise by 1.577% if a 1% increase in investment in new high-tech industry by public spending in the sixteen years period from 1991 to 2006, while contribution from public finance to the development of new high-tech industry is the largest from 1996 to 2000. The empirical results also suggest that the role that public finance policies plays in the in the development of new high-tech industry is only second to firms’ own R&D investment. Therefore, it is of great importance to increase the public investments to R&D in new high-tech industry.The pivotal aim of economics research lies in providing guidance for policy-making. The third part of the paper puts forth public finance policy suggestions in the development of new high-tech industry of China. Currently, there are some problems lies in the policy support of new high-tech industry remains to be solved: first, the incomplete law system regarding industry development cause the stimulating polices not continual or its effect not measurable. Second, most policies are aiming at development of geographical regions not industries. Third, tax preference gives priority to direct favor. Fourth, inflexible policies aiming to stimulate the development of policies are in their nature unable to adapt to the quick changing economic environment. Due to these concerns I propose the following suggestions to the public fiance policies making in the future: First, improve the infusion mechanism of public finance policies, widen R&D fund channels with the same emphasis of private and governmental sectors, and identify the characteristics of high-tech industry and design finance policy accordingly. Second, choose the right industry to support, and thus concentrate the resource to make the supports most effective. Third, expand the scale of governmental investment and invest in the focused industry project and thus promote the productivity of the new high-tech industry. Fourth, focus on both regional and industrial development, and utilize the complementarities among them to create an ideal development environment for new high-tech industry.By the former analysis, the contribution of the paper lies in the following: first, from the perspective of policy application, it has provided a operational suggestion to improve the public finance policy that aims to support the progress of high-tech industry. Second, A theoretical analysis and comparison of policy effectiveness is made between public expenditure, tax benefit, financial subsidy, and government purchase. Third, To provide a foundation for future direction of public spending, this paper has provided a measure, for the five largest sub-industry categories of high-tech industry, of the full factor production rate, the frontier technical progress, the efficiency of technological change, and also the reason why there is a variance for each measure among different industries.更多还原