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产业技术政策、技术学习成本与创新产出的关系研究_MBA毕业论文

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技术创新是经济发展的重要推动力。然而技术创新具有高投入、高风险的特 点,技术成果的外溢性往往导致其他企业产生免费搭便车的行为,以致企业收益 远远低于社会收益,造成一定程度的市场失灵。为弥补企业损失的部分创新利益 和解决这种潜在的市场失灵,政府部门有必要制定和使用各种产业技术政策。 技术学习是对知识消化、吸收、再创新的一个过程,学习成本是这一过程所 产生的成本,已有的社会积累是未来技术学习的基础和条件。此外,技术创新中 企业投入和社会投入间的关系在一定程度上呈现出此起彼伏的态势。当政府和社 会为企业技术学习创造的外部条件有限时,企业仅能利用内部投资来进行创新, 这样的技术学习成本极高。而技术学习能否不断推进,技术创新能否成功主要依 靠技术学习成本的高低来决定。因此,如何减少技术学习成本,提高技术创新能 力成为学者和企业管理者关注的焦点。 产业技术政策的实施有利于区域创新的产出,通过降低创新风险、增加资本 投入、分摊技术学习成本鼓励各地区进行研发创新。本文在现有研究的基础上, 以技术学习成本为中介变量,对产业技术政策(研发补贴、税收优惠和政府采购) 作用于区域创新产出的内部传导路径进行相应的理论推导与分析,并基于 2007-2016 年中国高新技术企业区域层面的数据检验其作用效果。此外,引入市 场竞争强度这一变量,探讨了其在产业技术政策与区域创新产出之间的调节作用。 研究发现,研发补贴、税收优惠和政府采购这三种产业政策工具对区域创新 产出存在显著的促进作用。并且研发补贴、税收优惠、政府采购均能显著地为企 业降低技术学习成本,同时产业政策通过分担企业的技术学习成本激励其创新产 出,技术学习成本在产业技术政策与创新产出间起中介作用。而市场竞争强度对 产业技术政策与创新产出的调节作用显著性较小甚至不显著。市场竞争强度显著 地调节研发补贴、税收优惠与创新产出之间的关系。即当市场竞争强度较强时, 研发补贴、税收优惠对区域创新产出的作用更加明显。而市场竞争强度对政府采 购与创新产出关系的调节作用不显著。我们的研究结果扩展了现有关于产业技术 政策与技术创新、技术学习成本的研究,同时也提出了政策建议、局限性以及未 来研究方向。 关键词:产业技术政策;技术创新;技术学习成本;市场竞争强度II Abstract Technological innovation is an important driving force for economic development. However, technological innovation has the characteristics of high investment and high risk. The spillover of technological achievements often leads to the free free rider behavior of other enterprises, so that the enterprise income is far lower than the social income, causing a certain degree of market failure. To compensate for some of the innovation benefits of corporate losses and to address this potential market failure, it is necessary for government agencies to develop and use various industrial technology policies. Technology learning is a process of digestion, absorption and re-innovation of knowledge. The cost of learning is the cost of this process. The existing social accumulation is the basis and condition for future technology learning. In addition, to a certain extent, the relationship between corporate costs and social costs of technology learning presents a trade-off relationship. When the external conditions created by the government and society for enterprise technology learning are limited, enterprises can only use internal investment to innovate, and such technology learning costs are extremely high. Whether technology learning can continue, the success of technological innovation is largely determined by the cost of technology learning. Therefore, how to reduce the cost of technology learning and improve the ability of technological innovation has become the focus of scholar and corporate managers. The implementation of industrial technology policies is conducive to the output of regional innovation, and encourages R&D and innovation in various regions by reducing innovation risks, increasing capital investment, and apportioning technology learning costs. Based on the existing research, this paper uses the technology learning cost as a mediator to conduct theoretical deduction and analysis of the internal conduction path of industrial innovation policy (R&D subsidies, tax incentives and government procurement) on regional innovation output. Based on the 2007-2016 China high-tech industry regional level data to test its effects. In addition, the variable of market competition intensity is introduced to explore its adjustment role between industrial technology policy and regional innovation output. The study found that the three industrial policy tools of research andIII development subsidies, tax incentives and government procurement have a significant role in promoting regional innovation output. And research and development subsidies, tax incentives, and government procurement can significantly reduce the cost of technology learning for enterprises. At the same time, industrial policies encourage their innovation output by sharing the cost of technology learning. The cost of technology learning is inter mediated between industrial technology policies and innovation output. effect. The adjustment effect of market competition intensity on industrial technology policy and innovation output is significantly less or even insignificant. The intensity of market competition has a regulatory effect on the relationship between research and development subsidies, tax incentives and innovation output. When the market competition intensity is strong, the role of R&D subsidies and tax incentives on regional innovation output is more obvious. However, the intensity of market competition has no significant effect on the regulation of government procurement and innovation output. Our research results expand the existing research on industrial technology policy and technological innovation, technology learning costs, and also propose recommendations, limitations and future research directions. Key words: industrial technology policy; technological innovation; technology learning cost;market competition intensityIV 目录 摘要.................................................................................................................................I Abstract..........................................................................................................................II 第 1 章 绪论..................................................................................................................6 1.1 研究背景及意义..............................................................................................6 1.1.1 研究背景................................................................................................6 1.1.2 研究意义................................................................................................7 1.2 文献综述..........................................................................................................8 1.2.1 产业技术政策的文献综述....................................................................8 1.2.2 技术学习成本的文献综述..................................................................10 1.2.3 市场竞争强度的文献综述..................................................................11 1.2.4 文献评述..............................................................................................12 1.3研究目的及方法.............................................................................................13 1.3.1 研究目的..............................................................................................13 1.3.2 研究方法..............................................................................................13 1.4 研究内容和框架...........................................................................................13 1.5 研究的创新点...............................................................................................14 1.6 本章小结.......................................................................................................15 第 2 章 理论基础........................................................................................................16 2.1 基本概念与测量...........................................................................................16 2.1.1 产业技术政策的概念..........................................................................16 2.1.2 产业技术政策的测量..........................................................................16 2.1.3 技术学习成本的概念..........................................................................17 2.1.4 技术学习成本的测量..........................................................................17 2.1.5 市场竞争强度的概念..........................................................................17 2.1.6 市场竞争强度的测量..........................................................................18 2.2 相关理论基础...............................................................................................18 2.2.1 技术创新理论......................................................................................18 2.2.2 交易成本理论......................................................................................19 2.2.3 可竞争市场理论..................................................................................20 2.3 本章小结.......................................................................................................21 第 3 章 理论假设........................................................................................................22 3.1 研究假设.......................................................................................................22V 3.1.1 产业技术政策与创新产出..................................................................22 3.1.2 产业技术政策与技术学习成本..........................................................23 3.1.3 技术学习成本的中介作用..................................................................24 3.1.4 市场竞争强度的调节作用..................................................................25 3.2 研究模型.......................................................................................................26 3.3 本章小结.......................................................................................................26 第 4 章 实证研究........................................................................................................27 4.1 样本选择和数据来源...................................................................................27 4.2 变量测量.......................................................................................................27 4.3 模型构建.......................................................................................................28 4.4 实证结果分析...............................................................................................29 4.4.1 描述性统计与相关性分析..................................................................29 4.4.2 回归结果分析......................................................................................31 4.4.3 假设的验证..........................................................................................34 4.5 稳健性检验...................................................................................................35 4.6 本章小结.......................................................................................................38 第 5 章 结论及展望....................................................................................................39 5.1 研究结论.......................................................................................................39 5.2 研究局限性与展望.......................................................................................41 5.3 本章小结.......................................................................................................42