财政分权、政府研发补贴与企业研发投入

财经论丛 ›› 2018, Vol. 34 ›› Issue (9): 32-42.

财政分权、政府研发补贴与企业研发投入

邹洋¹, 王茹婷²

1.南开大学经济学院,天津 300071;
2.南开大学中国特色社会主义经济建设协同创新中心,天津 300071

收稿日期:2017-08-15 出版日期:2018-09-10 发布日期:2018-09-11
作者简介:邹洋(1968-),男,安徽肥东人,南开大学经济学院副教授,南开大学中国特色社会主义经济建设协同创新中心副教授;王茹婷(1993-),女,浙江舟山人,南开大学中国特色社会主义经济建设协同创新中心研究人员。
基金资助:
天津市哲学社会科学规划项目(TJYY17-002)

Fiscal Decentralization,Government R&D Subsidy and Private R&D Input

ZOU Yang¹, WANG Ruting²

1.School of Economics, Nankai University, Tianjin, 300071;
2.Collaborative Innovation Center for China Economy, Nankai University, Tianjin, 300071

Received:2017-08-15 Online:2018-09-10 Published:2018-09-11

摘要/Abstract

摘要： 本文主要基于财政分权的视角,利用省级面板数据模型实证分析政府研发补贴对企业研发投入的影响,发现政府研发补贴对企业研发投入有显著的激励作用,但是财政支出分权度的提高削弱了政府研发补贴的激励作用,两者综合作用的结果仍为正。本文还发现企业主营业务收入越多,企业研发投入增加越多;国有控股企业资产占比越低,越有利于促进企业研发投入。政府研发补贴、企业主营业务收入和国有控股企业资产占比在各省存在较大差异,三者对企业研发投入的影响大小和方向不同,其综合作用的结果导致各省企业研发投入大幅增加,同时使之产生较大差异。

关键词: 财政分权, 政府研发补贴, 企业研发投入, 企业主营业务收入, 国有控股企业资产占比

Abstract: Utilizing the provincial panel data model, this paper analyzes the relationship between the governmental R&D subsidy and the private R&D input from the perspective of fiscal decentralization. It is shown that the governmental R&D subsidy has an incentive effect on the private R&D input. Though fiscal decentralization will weaken the incentive effect, the comprehensive effect is still positive. In addition, we find that the more the main business income, the more the private R&D input; and the lower the shares of state-owned holding enterprise assets, the more the private R&D input. At the provincial level, the above three factors are quite different, which leads to significant and different changes in the private R&D input.

Key words: Fiscal Decentralization, Governmental R&D Subsidy, Private R&D Input, Firm Main Business Income, Shares of State-owned Holding Enterprise Assets

中图分类号:

F812.2

邹洋, 王茹婷. 财政分权、政府研发补贴与企业研发投入[J]. 财经论丛, 2018, 34(9): 32-42.

ZOU Yang, WANG Ruting. Fiscal Decentralization,Government R&D Subsidy and Private R&D Input[J]. , 2018, 34(9): 32-42.

参考文献

[1] David, P. A., Hall B. H. & Toole A. A. Is Public R&D a Complement or Substitute for Private R&D? A Review of the Econometric Evidence[J]. Research Policy, 2000, 29 (4), pp.497-529.
[2] Busom, I. An Empirical Evaluation of the Effects of R&D Subsidies [J]. Economics of Innovation and New Technology, 2000, 9 (2), pp.111-148.
[3] Wallsten, Scott J. The Effects of Government-industry R&D Programs on Private R&D: the Case of the Small Business Innovation Research program [J]. RAND Journal of Economics, 2000, 31 (1), pp.82-100.
[4] 姚洋,章奇.中国工业企业技术效率分析[J]. 经济研究,2001,(10):13-28.
[5] 解维敏,唐清泉,陆姗姗.政府R&D资助、企业R&D支出与自主创新——来自中国上市公司的经验证据[J]. 金融研究,2009,(6):86-99.
[6] Czarnitzki, D., Licht G. Additionality of Public R&D Grants in a Transition Economy: The Case of Eastern Germany [J]. Economics of Transition, 2006, 1, pp.101-131.
[7] González,X., Jaumandreu J. & Pazó C. Barriers to Innovation and Subsidy Effectiveness [J]. RAND Journal of Economics, 2005, 36 (4), pp.930-950.
[8] Hussinger, K. R&D and Subsidies at the Firm Level: An Application of Parametric and Semiparametric Two-step Selection Models [J]. Journal of Applied Econometrics, 2008, 23 (6), pp.729-747.
[9] Klette, T. J. & Møen J. R&D Investment Rresponses to R&D Subsidies: A Theoretical Analysis and a Microeconometric Study [J]. World Review of Science, Technology and Sustainable Development, 2012, 9 (2), pp.169-203.
[10] Guerzoni, Marco, and E. Raiteri. Demand-side vs. Supply-side Technology Policies [J]. Research Policy, 2015: 726-747.
[11] 王俊.政府R&D资助与企业R&D投入的产出效率比较[J]. 数量经济技术经济研究,2011,(6):93-106.
[12] 邹洋,聂明明,郭玲,闫浩. 财税政策对企业研发投入的影响分析[J]. 税务研究,2016,(8):42-46.
[13] 邹洋,徐长媛,郭玲,闫浩. 高校中政府研发补贴对企业研发投入的影响分析[J]. 经济问题, 2016,(4):55-62.
[14] Lach, S. Do R&D Subsidies Stimulate or Displace Private R&D? Evidence from Israel [J]. The Journal of Industrial Economics, 2002, 50 (4), pp.369-390.
[15] Görg H., Strobl E. The Effect of R&D Subsidies on Private R&D [J]. Economica, 2007, 74 (294), pp.215-234.
[16] Aschhoff, B. The Effect of Subsidies on R&D Investment and Success: Do Subsidy History and Size Matter? [Z] ZEW Discussion Paper, 2009, No. 9-32.
[17] 朱平芳,徐伟民.政府的科技激励政策对大中型工业企业R&D投入及其专利产出的影响——上海市的实证研究[J]. 经济研究,2003,(6) :45-53.
[18] 安同良,周绍东,皮建才. R&D补贴对中国企业自主创新的激励效应[J]. 经济研究,2009,(10):87-98.
[19] 张杰,陈志远,杨连星,新夫.中国创新补贴政策的绩效评估:理论与证据[J]. 经济研究, 2015,(10):4-17.
[20] Zúñiga‐Vicente J. Á., Alonso-Borrego C. & Forcadell F. J., et al. Assessing the Effect of Public Subsidies on Firm R&D Investment: a Survey [J]. Journal of Economic Surveys, 2014, 28 (1), pp.36-67.
[21] 赵文哲. 财政分权与前沿技术进步、技术效率关系研究[J]. 管理世界,2008,(7):34-45.
[22] 傅勇,张晏.中国式分权与财政支出结构偏向:为增长而竞争的代价[J]. 管理世界,2007,(3): 4-22.
[23] 周业安.地方政府竞争与经济增长[J]. 中国人民大学学报,2003,(1):97-103.
[24] 顾元媛,沈坤荣. 地方政府行为与企业研发投入——基于中国省际面板数据的实证分析[J]. 中国工业经济,2012,(10):77-88.
[25] 潘镇,金中坤,徐伟. 财政分权背景下地方政府科技支出行为研究[J]. 上海经济研究. 2013,(1):34-45.
[26] 许罡, 朱卫东,张子余.财政分权、企业寻租与地方政府补助——来自中国资本市场的经验数据[J]. 财经研究,2012,(12):120-127.
[27] Howe, J.D. and D.G. Mcfetridge:The Determinants of R&D Expenditures [J]. Canadian Journal of Economics, 1976, 9, pp. 57-61.
[28] 龚锋,雷欣.中国式财政分权的数量测度[J]. 统计研究,2010,(10):47-55.
[29] Himmelberg, C. P., Petersen, B. C. R&D and Internal Finance:A Panel Study of Small Firms in High-Tech Industries[J]. The Review of Economics and Statistics, 1994, 76(1), pp.38-51.
[30] Hall, B. H. The Financing of Research and Development [J]. Oxford Review of Economic Policy, 2002, 18(1), pp.35-51.
[31] Beck N., Katz J. N. What To Do (and Not To Do) with Time-Series Cross-Section Data [J]. American Political Science Review, 1995, 89(9), pp.634-647.
[32] Lichtenberg, F. The Relationship between Federal Contract R&D and Company R&D [J]. American Economic Review, 1984, 74: 73-78.
[33] 解维敏. 财政分权、晋升竞争与企业研发投入[J]. 财政研究, 2012,(6):30-32.