Abstract: Under the framework of heterogeneous trade model, this paper establishes a theoretical model to analyze how different government subsidies(including industry subsidies, production subsidies, salvage subsidies, research and development subsidies, and export subsidies)affect firms' technology upgrading, and then clarify the mechanism by which different types of government subsidies affect firms' technology upgrading. Theoretical analysis shows that industry(entry)subsidies and export subsidies have a negative impact on firms' technology upgrading. R&D subsidies and production subsidies have positive incentives for firms' technology upgrading, whereas salvage subsidies do not affect firms' technology upgrading. Based on the micro-data of Chinese firms, this paper also empirically examines the impact of government subsidies on Chinese firms' technology upgrading. The empirical results show that, overall, higher government subsidies promote Chinese firms' technology upgrading, but the effect of government subsidies on firms' technology upgrading varies in different industries, different regions, and firms with different types of ownership. Therefore, in order to give full play to the positive effects of government subsidies on firms' technology upgrading, the government should promote the diversification of subsidies and adopt different subsidy policies for different types of firms.

Key words: Government Subsidies, Firm Heterogeneity, Technology Upgrading

摘要： 在异质性企业贸易模型框架下,通过引入不同类型的政府补贴(包括行业补贴、生产补贴、救助性补贴、研发补贴和出口补贴),本文建立一个同时包含不同类型政府补贴和技术升级的异质性企业模型,从理论上厘清不同类型的政府补贴对企业技术升级的影响机理。理论分析表明,行业(进入)补贴和出口补贴对企业技术升级具有负面影响,研发补贴和生产补贴对企业技术升级有着正向的激励作用,而救助性补贴并不会影响企业的技术升级。进一步利用中国企业层面的微观数据,从整体上实证检验政府补贴对中国企业技术升级的综合影响,发现整体而言较高的政府补贴促进中国企业的技术升级,但政府补贴对不同行业、不同地区和不同所有制类型的企业技术升级的影响并不一样。因此,为更好地发挥政府补贴对企业技术升级的正效应,政府应推进补贴方式的多样化,并针对不同类型企业差别化地使用补贴政策。

关键词: 政府补贴, 企业异质性, 技术升级