基于过程分析的政府R&D支出绩效研究
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摘要
研究与开发(Research and Development,缩写为R&D)作为科学技术活动的核心内容,是国家创新能力提升和经济社会发展的关键驱动因素。为提升国家创新能力,建设创新型国家,各国政府不仅通过实施政府科技计划、技术采购等直接支出形式参与研发活动,还采取R&D税收减免、R&D融资贴息与担保等间接支出手段激励企业、高校和科研机构等创新主体积极开展R&D活动。为揭示政府R&D支出所产生的效果,以及这些效果的形成过程,本文按照“理论准备—模型构建—实证检验—模型深化”的研究思路,通过分析政府R&D支出功能的实现路径,建立过程导向的政府R&D支出绩效分析模型,揭示政府R&D支出绩效形成机理。主要研究内容包括:
第一,对国家创新体系、公共支出及其绩效、政府R&D支出绩效等领域的理论研究和实践进展进行述评,旨在通过对相关理论发展历程、现状及前沿动态的有效把握,梳理该领域现有理论观点,阐明本文与这些观点的继承和拓展关系,进而为本文构建过程导向的政府R&D支出绩效分析模型奠定理论基础。
第二,针对当前关于政府R&D支出绩效分析理论和方法的不足,以国家创新体系理论为基点,分析政府在国家创新体系中的职能,提出基于公共R&D政策视角的国家创新体系运行模型;在此基础上,突破传统绩效研究的黑箱式分析框架,通过揭示政府R&D支出功能的实现路径,构建基于过程的政府R&D支出绩效分析模型,并通过R&D政策、创新主体R&D行为、政府R&D支出绩效三者相互关系的分析,提出了本研究的理论假设。
第三,采用结构方程模型,以14个OECD国家为研究样本,利用1985-2004年的历史数据对构建的理论模型进行估计、检验与修正,确定整体模型。在此基础上,分析R&D政策、创新主体R&D行为和政府R&D支出绩效之间的作用关系。
第四,根据整体模型的结果,将其分解为R&D政策、企业R&D行为及其绩效;R&D政策、产学研合作R&D行为及其绩效;以及R&D政策、创新主体行为与国家经济增长三条路径进行深入研究,分别构建了R&D政策与企业R&D行为选择模型、内含R&D政策的产学研合作投入选择模型,以及内含R&D政策的经济增长模型。在此基础上,采用回归分析方法和案例研究方法对上述三条路径作了实证检验,从而实现了对整体模型的深化研究。
Research and Development(R&D),the kernel of S&T activities,is one of the most important factors that upgrade the National innovation ability and accelerate society and economy development.To inspirit whole social R&D activities,Government not only participates in R&D activities directly by S&T planning and technical stocking,but support private R&D activities by such policy as tax credit and financing assuring.The aim of this paper was to analyze what the effect is and how the effect come into being that resulted by government expend on R&D activities.In the paper,according to the logical route,"Theory Preparation-Model Construction-Empirical Research-Model Analysis",the author unclosed the "investment-production black box" by studying the targets realization routes of governmental expenditure,then constructed an process-oriented analysis model for performance of governmental R&D expenditure.The main contents are listed as fellows:
Firstly,the author mainly launched the review around NIS theory,public expenditure and its performance theory,and relevant views of governmental R&D expenditure theory,aimed at clearing the connection of inherit,perfect and extend between this study and the existing theories through the analysis of the development course,actuality and the development direction of the relevant theory,which build the base of constructing the process-oriented analysis model for performance of governmental R&D expenditure.
Secondly,aiming at the limitation in research theory and method of the governmental R&D expenditure performance at present,the author analyzed the government functions in NIS which was supposed being the research starting point,and raised a NIS operation model based on public R&D policy.Then the process-oriented analysis model for performance of governmental R&D expenditure was constructed through revealing the routes of functions implemented of governmental R&D expenditure,and theoretical hypotheses is proposed based on the analysis of interactive relationship among R&D policy,innovator R&D activities and governmental R&D expenditure performance(PCP Model).
Thirdly,the method of structural equation model is adopted to estimate,examine,revise and adjust the theoretical model constructed by collecting data of 14 OECD countries from 1985 to 2004.The function mechanism among R&D policy,innovator R&D behavior and governmental R&D expenditure performance is explained after the establishment of final theoretical model.
Fourthly,based on the study of the theoretical model,the author studied orderly the relationship among R&D policy,enterprise R&D conduct and its performance of R&D activities,the relationship among R&D policy,cooperation R&D conduct between enterprises and research institutes and their performance of R&D activities,and the relationship between R&D policy and economics development.In these researches,two models were constructed respectively,one was about R&D policy and enterprise choosing R&D conduct,and another was about choosing cooperation pattern between enterprise and research institute based on R&D policy.
第一,对国家创新体系、公共支出及其绩效、政府R&D支出绩效等领域的理论研究和实践进展进行述评,旨在通过对相关理论发展历程、现状及前沿动态的有效把握,梳理该领域现有理论观点,阐明本文与这些观点的继承和拓展关系,进而为本文构建过程导向的政府R&D支出绩效分析模型奠定理论基础。
第二,针对当前关于政府R&D支出绩效分析理论和方法的不足,以国家创新体系理论为基点,分析政府在国家创新体系中的职能,提出基于公共R&D政策视角的国家创新体系运行模型;在此基础上,突破传统绩效研究的黑箱式分析框架,通过揭示政府R&D支出功能的实现路径,构建基于过程的政府R&D支出绩效分析模型,并通过R&D政策、创新主体R&D行为、政府R&D支出绩效三者相互关系的分析,提出了本研究的理论假设。
第三,采用结构方程模型,以14个OECD国家为研究样本,利用1985-2004年的历史数据对构建的理论模型进行估计、检验与修正,确定整体模型。在此基础上,分析R&D政策、创新主体R&D行为和政府R&D支出绩效之间的作用关系。
第四,根据整体模型的结果,将其分解为R&D政策、企业R&D行为及其绩效;R&D政策、产学研合作R&D行为及其绩效;以及R&D政策、创新主体行为与国家经济增长三条路径进行深入研究,分别构建了R&D政策与企业R&D行为选择模型、内含R&D政策的产学研合作投入选择模型,以及内含R&D政策的经济增长模型。在此基础上,采用回归分析方法和案例研究方法对上述三条路径作了实证检验,从而实现了对整体模型的深化研究。
Research and Development(R&D),the kernel of S&T activities,is one of the most important factors that upgrade the National innovation ability and accelerate society and economy development.To inspirit whole social R&D activities,Government not only participates in R&D activities directly by S&T planning and technical stocking,but support private R&D activities by such policy as tax credit and financing assuring.The aim of this paper was to analyze what the effect is and how the effect come into being that resulted by government expend on R&D activities.In the paper,according to the logical route,"Theory Preparation-Model Construction-Empirical Research-Model Analysis",the author unclosed the "investment-production black box" by studying the targets realization routes of governmental expenditure,then constructed an process-oriented analysis model for performance of governmental R&D expenditure.The main contents are listed as fellows:
Firstly,the author mainly launched the review around NIS theory,public expenditure and its performance theory,and relevant views of governmental R&D expenditure theory,aimed at clearing the connection of inherit,perfect and extend between this study and the existing theories through the analysis of the development course,actuality and the development direction of the relevant theory,which build the base of constructing the process-oriented analysis model for performance of governmental R&D expenditure.
Secondly,aiming at the limitation in research theory and method of the governmental R&D expenditure performance at present,the author analyzed the government functions in NIS which was supposed being the research starting point,and raised a NIS operation model based on public R&D policy.Then the process-oriented analysis model for performance of governmental R&D expenditure was constructed through revealing the routes of functions implemented of governmental R&D expenditure,and theoretical hypotheses is proposed based on the analysis of interactive relationship among R&D policy,innovator R&D activities and governmental R&D expenditure performance(PCP Model).
Thirdly,the method of structural equation model is adopted to estimate,examine,revise and adjust the theoretical model constructed by collecting data of 14 OECD countries from 1985 to 2004.The function mechanism among R&D policy,innovator R&D behavior and governmental R&D expenditure performance is explained after the establishment of final theoretical model.
Fourthly,based on the study of the theoretical model,the author studied orderly the relationship among R&D policy,enterprise R&D conduct and its performance of R&D activities,the relationship among R&D policy,cooperation R&D conduct between enterprises and research institutes and their performance of R&D activities,and the relationship between R&D policy and economics development.In these researches,two models were constructed respectively,one was about R&D policy and enterprise choosing R&D conduct,and another was about choosing cooperation pattern between enterprise and research institute based on R&D policy.
引文
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