考虑目标差异的政府R&D资助对企业技术创新的影响研究：基于吸收能力的视角

In the process of building an innovative country, it is a very important and significant subject on how to achieve funding effect matching with the ever-increasing government R&D subsidies, and enhance the ability of technological innovation of enterprises in China. In reality, government R&D subsidies have different objectives, such as attracting enterprise's R&D investment, supporting for enterprise's knowledge production, promoting the commercialization of scientific and technological findings, and strengthening cooperation among production, learning, and research. This project aims to analyze the internal mechanism of enterprise's technological innovation sponsored by government R&D subsidies with different objectives, and to investigate key factors affecting funding effect using an absorptive capacity perspective. On this basis, taking funded enterprises and unfunded enterprises as study samples simultaneously, using econometric methods such as Natural Experiment (NE), Difference in Difference (DID), Propensity Score Matching (PSM) and Knowledge Production Function (KPF), the project will study funding effects on enterprise's technological innovation sponsored by government R&D subsidies with different objects in order to clarify the issue of "how are the funding effects". For the purpose of solving the problem of "how to improve the effects", the project will examine the impact of enterprise' absorptive capacity on the funding effects of government R&D subsidies, using methods like DID, Principal Components Analysis (PCA), Instrumental Variables (IV), and System GMM. This project not only contributes to the studies on enterprise' technological innovation supported by government R&D subsides with new contents and perspectives, but also provides a useful reference to promote funding effects of government R&D subsidies in China.

在我国建设创新型国家的进程中，如何取得与不断加大的政府R&D资助相匹配的资助功效，增强企业技术创新能力，是一项非常重要且有意义的课题。现实中，政府R&D资助具有吸引企业研发投资，支持企业知识生产，促进科技成果转化及增进产学研合作等不同目标。本课题致力于分析不同目标下政府R&D资助企业技术创新的内在机理，考察其资助效果，并基于吸收能力视角剖析影响资助效果的关键性因素。在此基础上，同时以获得与未获得资助的企业为研究样本，采用计量经济学自然实验、双重差分、倾向评分匹配、知识生产函数等方法，评估不同目标下我国政府R&D资助企业技术创新的效果，以澄清"资助效果如何"；利用双重差分、主成分分析、工具变量及系统矩估计等方法，分析企业吸收能力对政府R&D资助效果的影响，以探究"如何提升效果"。本课题不仅拓展了政府R&D资助企业技术创新的研究视角与内容，而且可为我国政府R&D资助政策的科学制定提供有益参考。

落实创新驱动战略、建立创新型国家是当前我国加快转变经济发展方式、促进经济社会持续健康发展的重要战略举措，由此也推动了我国政府对科技创新的大力支持与投入。在此背景下，探究如何科学合理地利用政府R&D资助，促进企业技术创新能力提升，便成为一项具有重要研究意义的课题。政府R&D资助虽然有助于弥补企业创新资金的不足，吸引企业自身更多的研发投入，但也可能会对企业的研发投资产生“替代作用”，并抬高创新资源的价格，增加企业研发成本等。基于此，本课题紧密围绕中国政府R&D资助效果评估这一核心问题，应用内生经济增长理论、R&D创新理论、技术经济学等理论知识，结合我国企业技术创新和政府R&D资助的具体实践，着力探究了政府R&D资助的不同目标维度，从理论和实证两个方面考察不同目标导向下政府R&D资助对企业技术创新的影响效果。通过纳入企业吸收能力，考察了企业吸收能力因素对政府R&D资助效果的影响及其“门槛”特征。在此基础上，本课题还从行业性质、企业生产率和区域创新环境差异等角度，考察了不同情形下政府R&D资助对企业技术创新的影响。最后，本课题就如何提升我国政府R&D资助效果，促进企业技术创新能力提升提出了相关的政策建议。