【摘要】：技術(shù)創(chuàng)新活動(dòng)存在知識(shí)積累過程中的技術(shù)外部性和協(xié)調(diào)創(chuàng)新過程中的金錢外部性,使得競爭性市場環(huán)境下的技術(shù)創(chuàng)新難以達(dá)到最優(yōu)水平,技術(shù)創(chuàng)新過程存在市場失靈,從而為技術(shù)創(chuàng)新需要政府干預(yù)提供了依據(jù)。鑒于財(cái)政支出相較于其他公共政策能夠更加有效地彌補(bǔ)因正外部性而帶來的供給量不足(Rosen,1995),所以財(cái)政科技支出是政府干預(yù)技術(shù)創(chuàng)新市場的重要手段之一。對(duì)比其他國家,現(xiàn)階段中國的技術(shù)創(chuàng)新能力還比較落后,促進(jìn)中國技術(shù)創(chuàng)新水平的提高很有必要。因此,本文的研究目的是考察通過財(cái)政科技支出這一干預(yù)手段能否有效糾正技術(shù)創(chuàng)新活動(dòng)中的技術(shù)外部性和金錢外部性,克服技術(shù)創(chuàng)新活動(dòng)中的市場失靈,從而促進(jìn)技術(shù)創(chuàng)新。 本文的研究思路如下：首先,交代選題背景和意義,并對(duì)相關(guān)研究進(jìn)行總結(jié)；其次,立足于以往的研究,通過理論分析歸納出了財(cái)政科技支出對(duì)技術(shù)創(chuàng)新可能存在的三方面的促進(jìn)作用；最后,選取1998-2006年中國30個(gè)省級(jí)區(qū)域的財(cái)政科技支出數(shù)據(jù)和技術(shù)創(chuàng)新數(shù)據(jù),利用面板數(shù)據(jù)模型進(jìn)行實(shí)證檢驗(yàn),最終得出研究結(jié)論。具體研究框架如下： 第一章為引言。引言部分介紹了本文的選題背景和意義、研究方法、研究內(nèi)容和框架以及創(chuàng)新和不足。 第二章為文獻(xiàn)綜述。內(nèi)容安排上,首先就技術(shù)創(chuàng)新影響因素的相關(guān)研究進(jìn)行了總結(jié),其次就政府在技術(shù)創(chuàng)新中的職能研究進(jìn)行了總結(jié),最后就財(cái)政科技支出影響技術(shù)創(chuàng)新的研究進(jìn)行了總結(jié)；結(jié)構(gòu)安排上,首先歸納理論研究文獻(xiàn),其次歸納實(shí)證研究文獻(xiàn)。 第三章為財(cái)政科技支出促進(jìn)技術(shù)創(chuàng)新的理論研究。首先,通過總結(jié)和歸納劉窮志(2007)建立的政府公共支出對(duì)創(chuàng)新的激勵(lì)模型,推導(dǎo)出政府在研發(fā)過程中的財(cái)政性物質(zhì)資本投入能夠?qū)?chuàng)新產(chǎn)生激勵(lì)作用；其次,將財(cái)政科技支出引入Romer(1990)等建立的知識(shí)生產(chǎn)函數(shù),構(gòu)造出新的知識(shí)生產(chǎn)函數(shù),此外,通過假設(shè)經(jīng)濟(jì)中存在一個(gè)專門的人力資本積累部門,構(gòu)造出人力資本生產(chǎn)函數(shù),分析得出財(cái)政科技支出可以通過促進(jìn)人力資本積累而間接促進(jìn)技術(shù)創(chuàng)新；最后,通過介紹協(xié)調(diào)失靈理論分析得出政府有必要通過財(cái)政科技支出支持技術(shù)創(chuàng)新體系的建設(shè),從而糾正技術(shù)創(chuàng)新活動(dòng)中存在的金錢外部性。至此,本文通過理論分析歸納得出了財(cái)政科技支出促進(jìn)技術(shù)創(chuàng)新的三個(gè)可能方面：作用于技術(shù)創(chuàng)新研發(fā)過程的財(cái)政性物質(zhì)資本投入、有助于技術(shù)創(chuàng)新人力資本積累的財(cái)政性人力資本投入和有利于糾正技術(shù)創(chuàng)新金錢外部性的財(cái)政性技術(shù)創(chuàng)新體系建設(shè)投入。 第四章為基于面板數(shù)據(jù)模型的實(shí)證分析。該部分主要包括模型設(shè)定、變量選取和數(shù)據(jù)說明、實(shí)證檢驗(yàn)結(jié)果與分析。為了能夠明確考慮到不同地區(qū)的異質(zhì)性、削弱變量之間的共線性并降低估計(jì)結(jié)果的偏差,本文采用面板數(shù)據(jù)模型,選取我國1998-2006年30個(gè)省域的區(qū)域創(chuàng)新數(shù)據(jù)和財(cái)政科技支出數(shù)據(jù),實(shí)證檢驗(yàn)了三方面財(cái)政科技支出(財(cái)政性物質(zhì)資本投入、財(cái)政性人力資本投入、財(cái)政性技術(shù)創(chuàng)新體系建設(shè)投入)對(duì)我國技術(shù)創(chuàng)新(用專利數(shù)量衡量)的影響,研究發(fā)現(xiàn)：財(cái)政性物質(zhì)資本投入和財(cái)政性人力資本投入對(duì)我國的技術(shù)創(chuàng)新具有明顯的促進(jìn)作用,財(cái)政性技術(shù)創(chuàng)新體系建設(shè)投入對(duì)我國的技術(shù)創(chuàng)新沒有產(chǎn)生理論上應(yīng)有的促進(jìn)作用。 第五章為研究結(jié)論與政策建議。通過研究得出財(cái)政科技支出中的財(cái)政性物質(zhì)資本投入和財(cái)政性人力資本投入能夠促進(jìn)我國的技術(shù)創(chuàng)新,但財(cái)政性技術(shù)創(chuàng)新體系建設(shè)投入對(duì)我國的技術(shù)創(chuàng)新并沒有產(chǎn)生理論上應(yīng)有的促進(jìn)作用。因此,提高財(cái)政性技術(shù)創(chuàng)新體系建設(shè)經(jīng)費(fèi)的使用效率是財(cái)政科技支出發(fā)揮促進(jìn)作用的關(guān)鍵。 本文的主要貢獻(xiàn)是從財(cái)政性物質(zhì)資本投入、財(cái)政性人力資本投入和財(cái)政性技術(shù)創(chuàng)新體系建設(shè)投入三方面入手,利用理論闡釋和實(shí)證檢驗(yàn)兩種方法研究財(cái)政科技支出對(duì)技術(shù)創(chuàng)新的促進(jìn)作用。最終得出的結(jié)論是：財(cái)政性物質(zhì)資本投入和財(cái)政性人力資本投入能夠促進(jìn)技術(shù)創(chuàng)新,但財(cái)政性技術(shù)創(chuàng)新體系建設(shè)投入對(duì)技術(shù)創(chuàng)新并沒有產(chǎn)生理論上應(yīng)有的促進(jìn)作用。因此,提高財(cái)政性技術(shù)創(chuàng)新體系建設(shè)經(jīng)費(fèi)的使用效率是財(cái)政科技支出發(fā)揮促進(jìn)作用的關(guān)鍵。
[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.
【學(xué)位授予單位】：東北財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：F812.45;F124.3

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