制度约束下政府R&D资助挤出效应与创新效率

科研管理 ›› 2015, Vol. 36 ›› Issue (10): 58-65.

制度约束下政府R&D资助挤出效应与创新效率

李永, 王砚萍, 马宇

同济大学经济与管理学院, 上海 200092

收稿日期:2013-05-13 修回日期:2015-04-23 出版日期:2015-10-25 发布日期:2015-10-21
通讯作者: 马宇
作者简介:李永(1975-),男(回),河南平顶山人,同济大学经济与管理学院副教授、硕导,研究方向:技术创新与科技政策管理,金融风险管理.
王砚萍(1991-),女(汉),山东德州人,同济大学经济与管理学院硕士研究生,研究方向:技术创新与科技政策管理.
马宇(1989-),女(汉),山东菏泽人,同济大学经济与管理学院硕士研究生,研究方向:金融风险管理.
基金资助:
上海市2015年度"科技创新行动计划"软科学研究计划重点项目(批准号:15692103100).

The crowding-out effect and innovation efficiency of government R&D subsidy under institutional constraints

Li Yong, Wang Yanping, Ma Yu

School of Economics and Management, Tongji University, Shanghai 200092, China

Received:2013-05-13 Revised:2015-04-23 Online:2015-10-25 Published:2015-10-21

摘要/Abstract

摘要： 政府对企业R&D资助可能产生挤出效应影响资助效果,现有研究在理论解释上存在不足,且较缺乏定量依据.以中国2000-2010年省际面板数据为样本,结合制度约束变量,采取两阶段计量方法完成实证检验:第一阶段,以随机前沿模型为基础,发现政府R&D资助由于制度约束挤出了企业投资,制度约束构成挤出效应的重要来源,地区间挤出水平呈现明显阶梯型差异;第二阶段,采用Malmquist DEA方法对创新效率分解,发现制度约束通过挤出效应抑制了规模效率的提高,主要受到资源在研发人员和研发资本间分配方式的影响,通过资源配置机制改进能够降低抑制程度.

关键词: 制度约束, 挤出效应, R&D, 创新效率

Abstract: The crowding-out effect possibly influence the effectiveness of government financial support on firms' R&D activity. So far, the related research lack theoretical explanation and quantitative evidence. This paper applies the two-stage econometric model on China's provincial data within 2000-2010. Firstly, based on the SFA model, it finds the crowding-out effect of government R&D subsidy exists because of institutional constraints, and also shows significantly ladder-shaped differences among regions. Secondly, it decomposes innovation efficiency based on the Malmquist DEA approach, and finds out that because of the resource allocation mechanism problem between capital and personnel in R&D, institutional constraints hamper scale efficiency rise via crowing-out effects, andthe restraining result could be weakened by improving it.

Key words: institutional constraint, crowding-out effect, R&D, innovation efficiency

中图分类号:

F270.3

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.

Li Yong, Wang Yanping, Ma Yu. The crowding-out effect and innovation efficiency of government R&D subsidy under institutional constraints[J]. Science Research Management, 2015, 36(10): 58-65.

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