【作者】 左勇；

【导师】 刘凤朝；

【作者基本信息】 大连理工大学 ， 经济系统分析与管理， 2009， 硕士

【摘要】 技术进步是经济增长的动力,是经济发展的源泉。技术进步来源于研发活动,因此对研发新技术或者新知识的投入在经济生活中就显得格外重要,尤其对于正处于社会转型关键时期的中国,解决各方面问题的关键就在于整个国家的创新能力和技术水平的提升。同时,由于研发产品具有的公共产品等属性,单纯依靠市场力量,往往激励不足,需要政府科技激励政策介入研发市场解决市场失灵,激励企业增加R&D投入。因此在新形势下,对政府科技激励政策影响企业R&D投入的机制以及对各政策激励效果的研究就显得十分必要。本文在绪论部分首先分析了研究的背景和选题的意义,然后从宏观和微观两个层面对国内外相关研究文献做了梳理,并对研究所涉及的概念作了详细定义。在理论分析部分,首先对政府介入研发市场的必要性进行了分析,阐述了R&D行为的五个特性:公共产品属性;溢出效应;不确定性;信息不对称性;路径依赖于锁定。然后以Grossman& Helpman的质量阶梯模型为基础,着重分析了该模型推导的前一阶段,得到企业均衡研发密度的决定式。再将政府科技激励政策变量引入该决定式,进一步分析政府各科技激励政策影响企业R&D投入的机制,归纳出政府科技激励政策对企业R&D投入作用的四种效应:刺激效应、杠杆效应、溢出效应、挤出效应。实证研究部分从宏观层面对理论部分中提出的政府科技激励政策的四种效应进行了检验。建立了以我国大中型工业企业为研究对象的面板数据模型,采用随机效应模型的方法,对政府科技激励各政策的激励效果、相互作用效果以及政策稳定性作用效果均进行了研究,并得出主要结论:政府科技激励政策对企业R&D投入产生的影响主要为正向促进作用;各政策工具间存在相互作用;政策的稳定性会影响相应政策对企业R&D投入的作用效果。最后在总结全文研究结果的基础上,对我国政府科技激励政策的制定提出建议。更多还原

【Abstract】 The improvement of Technology is the engine of economics growth and the power of economy development. As the source of the technical progress, Research and Development (R&D) is also important in business, especially for china, which is in a critical period of social transition now. The key to solve all aspects of problems lies in the improvement of country’s innovation capability and upgrading the level of technology. However, market power can not fully encourage enterprises to increase R&D input all by itself because of the market failure in R&D field, such as the attribute of public goods,etc. Government need to intervene the R&D field to solve the market failure and encourage enterprises to increase R&D investment. So under the new situation, it is very necessary to make a detailed research on the mechanism and the incentive effectiveness of the impact of Government’s S&T incentive policy on enterprises’ R&D input.The introduction part of the thesis expounded the research background and the significance of the topic, then unscrambled the foreign and domestic literature from the macro and micro levels, and made a definition to the conceptions concerned to the paper. The theoretical research part firstly discussed the necessity for the government to intervene the R&D field, and expounded the five characteristics of R&D products: public goods attributes; spillover effect; uncertainties; asymmetric information; path dependence and lock-in, then analyzed the forepart of grossman & helpman’s quality ladder model and got enterprises’ balanced R&D density equation. We introduced the government policy variables into the equation, and based on that we successfully analyzed the mechanism of the impact of government S&T incentive polices on enterprises’ R&D input, and concluded it into four effects: stimulating effect; leverage effects; the spillover effect; the crowding-out effect. The empirical research part made an experimental analysis to the four effects based on the panel data of large-middle enterprises in China. Using random effects model as the method, the empirical research analyzed each S&T incentive policy’s incentive effect, the interaction between every two polices and the effect of policy stability. The empirical research got three main conclusion: the impact of S&T incentive policy on the enterprises’ R&D input is mainly positive; The impact of one policy on another apparently existed; the stability of a policy would affect its incentive effect. The final part proposed several suggestions to government’s S&T incentive policy making, based on the conclusion of the thesis.更多还原