政府R&D资助的非线性创新溢出效应——基于环境规制新视角的再考察
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摘要
新时代背景下提升政府R&D资助效果是推动经济高质量发展和打造"有为政府"的重要内容。与以往研究不同,基于环境规制的新视角再考察了政府R&D资助对企业创新效率的非线性影响。结果发现:(1)政府R&D资助有利于企业创新效率提升,但资助效果的有效实现具有一定的环境规制约束;(2)在环境规制门槛下,政府R&D资助效果表现出明显的"U"型非线性特征,只有当环境规制水平超过一定限度时,政府R&D资助才会有效,也只有在更为严厉的环境规制强度下,才能最大限度地提升资助效果;(3)环境规制约束下的政府R&D资助效果存在显著的空间异质性:一是环境规制对东部地区资助效果的约束性最强,只有在相对更高的环境规制水平下才能最大限度地发挥资助的创新溢出。二是过低的环境规制水平会负向调节中部地区的政府R&D资助效果,较高的环境规制水平则能在一定程度上克服这种负面影响。三是西部地区环境规制正向调节政府R&D资助效果,但只有当环境规制水平超越一定限度时,资助效果才能实现最优。因此,充分注重环境规制的约束,推动政府资助政策和环境规制政策在更高水平上实现有机融合,可能是新时代有效提升政府R&D资助效果的重要着力点。
In the New Era,improving the government R&D funding has been a key item for promoting the economic development and building Efficient Government. Unlike the previous studies this paper based on a new perspective of environmental regulation,studies the non-linear effects of government R&D funding on enterprise innovation efficiency. The results are as follows:(1) The government R&D funding is conducive to improve the efficiency of enterprise innovation,however,the effective implementation of support effect is constrained by certain environmental regulation;(2) Under the threshold of environmental regulation,the effects of government R&D funding show obvious nonlinear characteristics of U-shaped curve. Government R&D funding will only be effective when the environmental regulation level exceeds a certain limit,and only there is the more stringent environmental regulation intensity as well,would the funding effect be maximized;(3) There is a significant spatial heterogeneity in the government R&D funding effect under the environmental regulation. First,environmental regulation is the most restrictive for the effectiveness of funding in the eastern regions of China,only under the relatively higherlevel environmental regulation,can the spillover of funding innovation be maximized. Second,excessively low environmental regulation will negatively affect the government 's R&D funding effectiveness in the central regions of China,and higher environmental regulations can overcome this negative impact to some extent. Third,environmental regulation in western China positively regulates the effect of government R&D funding. Only when the environmental regulation level exceeds a certain level,can the subsidy effect be optimized. Therefore,paying full attention to the constraints of environmental regulation and promoting the organic integration of government subsidy policy as well as the environmental regulatory policy at a higher level will be an important focal point for effectively enforcing on of the government R&D funding effect in the New Era.
In the New Era,improving the government R&D funding has been a key item for promoting the economic development and building Efficient Government. Unlike the previous studies this paper based on a new perspective of environmental regulation,studies the non-linear effects of government R&D funding on enterprise innovation efficiency. The results are as follows:(1) The government R&D funding is conducive to improve the efficiency of enterprise innovation,however,the effective implementation of support effect is constrained by certain environmental regulation;(2) Under the threshold of environmental regulation,the effects of government R&D funding show obvious nonlinear characteristics of U-shaped curve. Government R&D funding will only be effective when the environmental regulation level exceeds a certain limit,and only there is the more stringent environmental regulation intensity as well,would the funding effect be maximized;(3) There is a significant spatial heterogeneity in the government R&D funding effect under the environmental regulation. First,environmental regulation is the most restrictive for the effectiveness of funding in the eastern regions of China,only under the relatively higherlevel environmental regulation,can the spillover of funding innovation be maximized. Second,excessively low environmental regulation will negatively affect the government 's R&D funding effectiveness in the central regions of China,and higher environmental regulations can overcome this negative impact to some extent. Third,environmental regulation in western China positively regulates the effect of government R&D funding. Only when the environmental regulation level exceeds a certain level,can the subsidy effect be optimized. Therefore,paying full attention to the constraints of environmental regulation and promoting the organic integration of government subsidy policy as well as the environmental regulatory policy at a higher level will be an important focal point for effectively enforcing on of the government R&D funding effect in the New Era.
引文
[1]CLAUSEN T H.Do subsidies have positive impacts on R&D and innovation activities at the firm level?[J].Structural change and economic dynamics,2009,20(4):239-253.
[2]BRUBC,MOHNEN P.Are firms that receive R&D subsidies more innovative?[J].Canadian journal of economics,2009,42(1):206-225.
[3]CARBONI O A.R&D subsidies and private R&D expenditures:evidence from Italian manufacturing data[J].International review of applied economics,2011,25(4):419-439.
[4]AKINWALE Y O,DADA A D,OLUWADARE A J,et al.Understanding the nexus of R&D,innovation and economic growth in Nigeria[J].International business research,2012,5(11):187-196.
[5]ALECKE B,MITZE T,REINKOWSKI J,et al.Does firm size make a difference?Analysing the effectiveness of R&D subsidies in East Germany[J].German economic review,2012,13(2):174-195.
[6]ZUIGA-VICENTE J,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):36-67.
[7]白俊红.中国的政府R&D资助有效吗?来自大中型工业企业的经验证据[J].经济学(季刊),2011(4):1375-1400.
[8]卢馨,何小华,戴歆婷,等.金融发展、政府补贴与企业研发投入——来自战略性新兴产业上市公司的经验证据[J].首都经济贸易大学学报,2018,20(1):49-58.
[9]GOOLSBEE A.Does government R&D policy mainly benefit scientists and engineers[J].American economic review,1998,88(2):298-302.
[10]DAVID P,HALL B.Heart of darkness:public-private interactions inside the R&D black box[J].Research policy,2000,29(9):1165-1183.
[11]WALLSTEN S 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):82-100.
[12]GRG H,STROBL E.The effect of R&D subsidies on private R&D[J].Economica,2007,74(294):215-234.
[13]张杰,周晓艳,郑文平.要素市场扭曲是否激发了中国企业出口[J].世界经济,2011(8):134-160.
[14]李永,王砚萍,马宇.制度约束下政府R&D资助挤出效应与创新效率[J].科研管理,2015,36(10):58-65.
[15]李平,刘利利.政府研发资助、企业研发投入与中国创新效率[J].科研管理,2017,38(1):21-29.
[16]GONZLEZ X,JAUMANDREU J,PAZC.Barriers to innovation and subsidy effectiveness[J].RAND journal of economics,2005,36(4):930-950.
[17]KLETTE T J,MEN J.R&D investment responses to R&D subsidies:a theoretical analysis and a micro econometric study[J].World review of science technology and sustainable development,2012,9(2):169-203.
[18]ROMERO-JORDAN D,DELGADO-RODRíGUEZ M,LVAREZ I,et al.Assessment of the public tools used to promote R&D investment in Spanish SMEs[J].Small business economics,2014,43(4):959-976.
[19]DIMOS C,PUGH G.The effectiveness of R&D subsidies:a meta-regression analysis of the evaluation literature[J].Research policy,2016,45(4):797-815.
[20]巫强,刘蓓.政府研发补贴方式对战略性新兴产业创新的影响机制研究[J].产业经济研究,2014(6):41-49.
[21]GUELLEC D,VAN POTTELSBERGHE B.Does government support simulate private R&D?[J].OECD economic studies,1997,29(2):95-122.
[22]BECKER B.Public R&D policies and private R&D investment:a survey of the empirical evidence[J].Journal of economic surveys,2015,29(5):917-942.
[23]DAI X Y,CHENG L W.The effect of public subsidies on corporate R&D investment:an application of the generalized propensity score[J].Technological forecasting and social change,2015,90(B):410-419.
[24]胡永健,周寄中.政府直接资助强度与企业技术创新投入的关系研究[J].中国软科学,2008(11):141-148.
[25]毛其淋.政府补贴对企业新产品创新的影响[J].中国工业经济,2015(6):94-107.
[26]许治,何悦,王晗.政府R&D资助与企业R&D行为的影响因素——基于系统动力学研究[J].管理评论,2012(4):67-75.
[27]康志勇.资助不足抑或过度?中国政府科技创新资助对企业新产品创新影响的非线性检验[J].研究与发展管理,2017(2):127-135.
[28]张杰,陈志远,杨连星.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.
[29]HANSEN B E.Threshold effects in non-dynamic panels:estimation,testing,and inference[J].Journal of econometrics,1999,93(2):345-368.
[30]TONE K.A slacks-based measure of efficiency in data envelopment analysis[J].European journal of operational research,2001,130(3):498-509.
[31]廖信林,顾炜宇,王立勇.政府R&D资助效果、影响因素与资助对象选择——基于促进企业R&D投入的视角[J].中国工业经济,2013(11):148-160.
[32]李勃昕,韩先锋,宋文飞.环境规制影响清洁生产型产业技术创新效率吗?[J].中国科技论坛,2013(5):68.
[33]肖文,殷宝庆.垂直专业化的技术进步效应——基于27个制造行业面板数据的实证分析[J].科学学研究,2011(3):382-389.
[2]BRUBC,MOHNEN P.Are firms that receive R&D subsidies more innovative?[J].Canadian journal of economics,2009,42(1):206-225.
[3]CARBONI O A.R&D subsidies and private R&D expenditures:evidence from Italian manufacturing data[J].International review of applied economics,2011,25(4):419-439.
[4]AKINWALE Y O,DADA A D,OLUWADARE A J,et al.Understanding the nexus of R&D,innovation and economic growth in Nigeria[J].International business research,2012,5(11):187-196.
[5]ALECKE B,MITZE T,REINKOWSKI J,et al.Does firm size make a difference?Analysing the effectiveness of R&D subsidies in East Germany[J].German economic review,2012,13(2):174-195.
[6]ZUIGA-VICENTE J,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):36-67.
[7]白俊红.中国的政府R&D资助有效吗?来自大中型工业企业的经验证据[J].经济学(季刊),2011(4):1375-1400.
[8]卢馨,何小华,戴歆婷,等.金融发展、政府补贴与企业研发投入——来自战略性新兴产业上市公司的经验证据[J].首都经济贸易大学学报,2018,20(1):49-58.
[9]GOOLSBEE A.Does government R&D policy mainly benefit scientists and engineers[J].American economic review,1998,88(2):298-302.
[10]DAVID P,HALL B.Heart of darkness:public-private interactions inside the R&D black box[J].Research policy,2000,29(9):1165-1183.
[11]WALLSTEN S 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):82-100.
[12]GRG H,STROBL E.The effect of R&D subsidies on private R&D[J].Economica,2007,74(294):215-234.
[13]张杰,周晓艳,郑文平.要素市场扭曲是否激发了中国企业出口[J].世界经济,2011(8):134-160.
[14]李永,王砚萍,马宇.制度约束下政府R&D资助挤出效应与创新效率[J].科研管理,2015,36(10):58-65.
[15]李平,刘利利.政府研发资助、企业研发投入与中国创新效率[J].科研管理,2017,38(1):21-29.
[16]GONZLEZ X,JAUMANDREU J,PAZC.Barriers to innovation and subsidy effectiveness[J].RAND journal of economics,2005,36(4):930-950.
[17]KLETTE T J,MEN J.R&D investment responses to R&D subsidies:a theoretical analysis and a micro econometric study[J].World review of science technology and sustainable development,2012,9(2):169-203.
[18]ROMERO-JORDAN D,DELGADO-RODRíGUEZ M,LVAREZ I,et al.Assessment of the public tools used to promote R&D investment in Spanish SMEs[J].Small business economics,2014,43(4):959-976.
[19]DIMOS C,PUGH G.The effectiveness of R&D subsidies:a meta-regression analysis of the evaluation literature[J].Research policy,2016,45(4):797-815.
[20]巫强,刘蓓.政府研发补贴方式对战略性新兴产业创新的影响机制研究[J].产业经济研究,2014(6):41-49.
[21]GUELLEC D,VAN POTTELSBERGHE B.Does government support simulate private R&D?[J].OECD economic studies,1997,29(2):95-122.
[22]BECKER B.Public R&D policies and private R&D investment:a survey of the empirical evidence[J].Journal of economic surveys,2015,29(5):917-942.
[23]DAI X Y,CHENG L W.The effect of public subsidies on corporate R&D investment:an application of the generalized propensity score[J].Technological forecasting and social change,2015,90(B):410-419.
[24]胡永健,周寄中.政府直接资助强度与企业技术创新投入的关系研究[J].中国软科学,2008(11):141-148.
[25]毛其淋.政府补贴对企业新产品创新的影响[J].中国工业经济,2015(6):94-107.
[26]许治,何悦,王晗.政府R&D资助与企业R&D行为的影响因素——基于系统动力学研究[J].管理评论,2012(4):67-75.
[27]康志勇.资助不足抑或过度?中国政府科技创新资助对企业新产品创新影响的非线性检验[J].研究与发展管理,2017(2):127-135.
[28]张杰,陈志远,杨连星.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.
[29]HANSEN B E.Threshold effects in non-dynamic panels:estimation,testing,and inference[J].Journal of econometrics,1999,93(2):345-368.
[30]TONE K.A slacks-based measure of efficiency in data envelopment analysis[J].European journal of operational research,2001,130(3):498-509.
[31]廖信林,顾炜宇,王立勇.政府R&D资助效果、影响因素与资助对象选择——基于促进企业R&D投入的视角[J].中国工业经济,2013(11):148-160.
[32]李勃昕,韩先锋,宋文飞.环境规制影响清洁生产型产业技术创新效率吗?[J].中国科技论坛,2013(5):68.
[33]肖文,殷宝庆.垂直专业化的技术进步效应——基于27个制造行业面板数据的实证分析[J].科学学研究,2011(3):382-389.
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