财政科技支出能否促进技术创新：理论阐释和实证检验

发布时间：2018-07-15 20:50

【摘要】：技术创新活动存在知识积累过程中的技术外部性和协调创新过程中的金钱外部性,使得竞争性市场环境下的技术创新难以达到最优水平,技术创新过程存在市场失灵,从而为技术创新需要政府干预提供了依据。鉴于财政支出相较于其他公共政策能够更加有效地弥补因正外部性而带来的供给量不足(Rosen,1995),所以财政科技支出是政府干预技术创新市场的重要手段之一。对比其他国家,现阶段中国的技术创新能力还比较落后,促进中国技术创新水平的提高很有必要。因此,本文的研究目的是考察通过财政科技支出这一干预手段能否有效纠正技术创新活动中的技术外部性和金钱外部性,克服技术创新活动中的市场失灵,从而促进技术创新。本文的研究思路如下：首先,交代选题背景和意义,并对相关研究进行总结；其次,立足于以往的研究,通过理论分析归纳出了财政科技支出对技术创新可能存在的三方面的促进作用；最后,选取1998-2006年中国30个省级区域的财政科技支出数据和技术创新数据,利用面板数据模型进行实证检验,最终得出研究结论。具体研究框架如下：第一章为引言。引言部分介绍了本文的选题背景和意义、研究方法、研究内容和框架以及创新和不足。第二章为文献综述。内容安排上,首先就技术创新影响因素的相关研究进行了总结,其次就政府在技术创新中的职能研究进行了总结,最后就财政科技支出影响技术创新的研究进行了总结；结构安排上,首先归纳理论研究文献,其次归纳实证研究文献。第三章为财政科技支出促进技术创新的理论研究。首先,通过总结和归纳刘穷志(2007)建立的政府公共支出对创新的激励模型,推导出政府在研发过程中的财政性物质资本投入能够对创新产生激励作用；其次,将财政科技支出引入Romer(1990)等建立的知识生产函数,构造出新的知识生产函数,此外,通过假设经济中存在一个专门的人力资本积累部门,构造出人力资本生产函数,分析得出财政科技支出可以通过促进人力资本积累而间接促进技术创新；最后,通过介绍协调失灵理论分析得出政府有必要通过财政科技支出支持技术创新体系的建设,从而纠正技术创新活动中存在的金钱外部性。至此,本文通过理论分析归纳得出了财政科技支出促进技术创新的三个可能方面：作用于技术创新研发过程的财政性物质资本投入、有助于技术创新人力资本积累的财政性人力资本投入和有利于纠正技术创新金钱外部性的财政性技术创新体系建设投入。第四章为基于面板数据模型的实证分析。该部分主要包括模型设定、变量选取和数据说明、实证检验结果与分析。为了能够明确考虑到不同地区的异质性、削弱变量之间的共线性并降低估计结果的偏差,本文采用面板数据模型,选取我国1998-2006年30个省域的区域创新数据和财政科技支出数据,实证检验了三方面财政科技支出(财政性物质资本投入、财政性人力资本投入、财政性技术创新体系建设投入)对我国技术创新(用专利数量衡量)的影响,研究发现：财政性物质资本投入和财政性人力资本投入对我国的技术创新具有明显的促进作用,财政性技术创新体系建设投入对我国的技术创新没有产生理论上应有的促进作用。第五章为研究结论与政策建议。通过研究得出财政科技支出中的财政性物质资本投入和财政性人力资本投入能够促进我国的技术创新,但财政性技术创新体系建设投入对我国的技术创新并没有产生理论上应有的促进作用。因此,提高财政性技术创新体系建设经费的使用效率是财政科技支出发挥促进作用的关键。本文的主要贡献是从财政性物质资本投入、财政性人力资本投入和财政性技术创新体系建设投入三方面入手,利用理论阐释和实证检验两种方法研究财政科技支出对技术创新的促进作用。最终得出的结论是：财政性物质资本投入和财政性人力资本投入能够促进技术创新,但财政性技术创新体系建设投入对技术创新并没有产生理论上应有的促进作用。因此,提高财政性技术创新体系建设经费的使用效率是财政科技支出发挥促进作用的关键。
[Abstract]:The technological innovation activities exist in the process of knowledge accumulation and the externality of money in the process of coordination and innovation, which makes the technological innovation in the competitive market environment difficult to reach the optimal level, and the process of technological innovation has a market failure, which provides the basis for the government to do the technological innovation. His public policy can more effectively make up for the insufficient supply caused by the positive externality (Rosen, 1995), so the financial science and technology expenditure is one of the important means for the government to intervene in the technological innovation market. Compared with other countries, the technological innovation ability of China is still more and more necessary at the present stage. Therefore, the purpose of this study is to investigate whether the financial technology expenditure can effectively correct the externality and externality of technology in technological innovation activities, overcome the market failure in technological innovation activities, and thus promote technological innovation.
The research ideas of this paper are as follows: firstly, the background and significance of the topic are explained, and the related research is summarized. Secondly, based on the previous research, the three aspects of the financial science and technology expenditure on technological innovation can be promoted by the theoretical analysis. Finally, the Fiscal Science and technology of the 30 provinces in China for 1998-2006 years are selected. The expenditure data and technological innovation data are tested by the panel data model. Finally, the conclusions are drawn. The specific research framework is as follows:
The first chapter is the introduction. The introduction introduces the background and significance, research methods, research contents and framework, as well as innovations and deficiencies of this paper.
The second chapter is the literature review. First, it summarizes the related research on the influencing factors of technological innovation. Secondly, it summarizes the function research of the government in technological innovation. Finally, it summarizes the research on the influence of financial science and technology expenditure on technological innovation. Literature on empirical research.
The third chapter is the theoretical research on the technological innovation of financial science and technology expenditure. First, by summarizing and summarizing the incentive model of government public expenditure on the innovation established by Liu Qiongzhi (2007), the financial material capital input of the government in the process of R & D can stimulate innovation. Secondly, the financial scientific and technological expenditure is introduced to Romer (1). 990) the knowledge production function is established, and a new knowledge production function is constructed. In addition, the human capital production function is constructed by assuming a special human capital accumulation department in the economy. It is concluded that the expenditure of financial science and technology can promote the technological innovation indirectly by promoting the accumulation of human capital; finally, the coordination is introduced through the introduction of coordination. The analysis of failure theory concludes that it is necessary for the government to support the construction of technological innovation system through financial scientific and technological expenditure to correct the externality of money in technological innovation activities. At this point, this paper concludes three possible aspects of financial technology expenditure to promote technological innovation through theoretical analysis: the process of technological innovation research and development. The investment of financial material capital contributes to the financial manpower capital input from the accumulation of technological innovation human capital and the investment of financial technology innovation system which is beneficial to correct the externality of technological innovation.
The fourth chapter is an empirical analysis based on the panel data model. This part mainly includes model setting, variable selection and data description, empirical test results and analysis. In order to clearly consider the heterogeneity of different regions, weaken the collinearity between variables and reduce the deviation of the estimated results, this paper uses panel data model to select 1 of China. 998-2006 years of 30 provincial regional innovation data and financial science and technology expenditure data, the empirical test of three aspects of financial science and technology expenditure (financial material capital input, financial human capital input, financial technology innovation system construction input) on China's technological innovation (with the measurement of the number of patents), the study found that financial material capital investment. The input and financial investment of human capital have an obvious effect on the technological innovation of our country, and the investment of the financial technology innovation system has not produced the theoretical promotion effect on the technological innovation of our country.
The fifth chapter is the research conclusion and policy suggestion. Through the study, the financial material capital input and the financial human capital input can promote the technological innovation of our country, but the investment of the financial technology innovation system construction does not promote the technological innovation of our country. The efficiency of financial technology innovation system construction is the key to the promotion of fiscal expenditure on science and technology.
The main contribution of this paper is from three aspects: financial material capital input, financial human capital input and financial technology innovation system construction investment, and two methods of theoretical interpretation and empirical test are used to study the role of financial science and technology expenditure on technological innovation. The investment of financial human capital can promote technological innovation, but the investment in the construction of financial technology innovation system does not play a theoretical role in promoting the technological innovation. Therefore, improving the use efficiency of the financial technology innovation system construction funds is the key to the promotion of the financial science and technology expenditure.
【学位授予单位】：东北财经大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F812.45;F124.3

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