【作者】 陈莉；

【导师】 李太平；

【作者基本信息】 南京农业大学 ， 产业经济学， 2023， 硕士

【摘要】 当前中国经济追求高质量发展,驱动经济增长的传统动能不足,提高全要素生产率对于中国经济转型升级具有重要意义。制造业作为国民经济的支柱产业,是实体经济的核心,也正面临着转型升级的双重挑战,向着高质量方向发展。一方面从国内环境来看,随着社会老龄化程度加深以及要素价格上涨,加之环境资源等约束,使得制造业生产成本增加;另一方面从国际环境来看,全球产业链布局在不断调整,发达国家纷纷加快再工业化进程,号召制造业回流至本土,或是将工厂转移至成本相对低廉的东南亚国家,导致中国制造业在国际上发展的压力增大。因此中国制造业转型升级迫在眉睫,亟需从粗放式发展向着高质量发展转变。提高全要素生产率是制造业实现高质量发展的关键。创新是实现经济高质量发展的必经之路。R&D投入是创新的基础和源泉,也是TFP提升的重要动力。随着创新上升为国家战略核心地位,在一系列鼓励创新的政策引导下,制造业作为承载创新资源最多的部门,其研发经费在近十年内快速增加。然而制造业研发投入的高速增长,并没有使得代表技术进步和效率改善的全要素生产率呈现出与之相匹配的增速,即出现了学界所谓的“研发悖论”现象。针对这一悖反现象,本文从研发资源错配的视角切入,来对此现象进行解释,旨在确保我国制造业高质量发展顺利进行。为深入探讨现象背后的原因,本文考虑了研发资源错配的诱因,基于政府研发补贴会加剧研发资源错配,进而间接抑制制造业TFP增长的逻辑思路来开展研究。本文首先通过构建的研发资源错配指数模型,利用2006-2020年的制造业行业面板数据,测算出制造业相应的研发资源错配指数,进而对制造业整体以及内部研发资源错配现状进行分析,结果显示近年来制造业整体的研发资源错配状况有所改善,在制造业整体以及装备制造业行业中,研发人员资源错配较研发资金资源错配程度深。随后本文利用了2016-2020年892家A股上市制造业企业数据,借助固定效应模型分别验证了研发资金和研发人员资源错配对制造业TFP增长的抑制作用。本文接下来探讨了政府研发补贴与研发资源错配的作用关系。政府研发补贴作为解决研发资源市场失灵,干预研发资源配置的主要的政府干预工具,同样基于微观企业数据的固定效应模型的回归结果表明政府研发补贴规模的扩大加剧了制造业研发资金和研发人员资源的错配,且企业所有制性质在二者作用过程中起正向调节作用。相比民企,政府研发补贴大量流入了研发资源错配更严重的国企,对国企部门研发资金和研发人员资源错配的促进作用更大。最后本文按制造业企业规模和地区分类进行异质性分析,结果发现政府研发补贴会加剧大型和中小型制造业企业研发资金资源错配,且对于中小型制造业企业的促进作用更大。就地区而言,政府研发补贴也加剧了各地区制造业研发资金资源错配,其中对西部地区的促进作用最大,对东部地区的促进作用最小。政府研发补贴还会加剧东部、中部地区研发人员资源错配,对东部地区的促进作用更大。对于不同规模、不同地区的制造业企业,相较研发人员资源错配,政府研发补贴对研发资金资源错配的促进作用更大。为保障中国制造业高质量发展顺利,基于本文结论提出了相应的政策建议。一是政企间需加强信息披露,可利用大数据等新兴信息技术克服信息不对称的负面影响,不断提高政府甄别研发需求信息的能力;二是加快深化国企改革的进程。国企所获的政府研发补贴,需积极持续跟进记录,努力完善研发补贴的事前、事中以及事后全流程的监管机制,对滥用研发补贴的企业除了给予处罚外,还应将其列入企业征信黑名单;三是对于中小型、西部和东北地区的制造业企业,政府应更关注其研发资源错配问题,更要解决好企业创新约束困境,尤其是对中小型企业;四是进一步完善科技激励体制,提高研发人员的薪酬待遇,充分释放科研人才的创新活力,重视研发人员的科研诉求;五是鼓励企业产能升级,扩大规模,增强市场竞争力,可改善研发资源错配。更多还原

【Abstract】 As the Chinese economy pursues high-quality development and lacks traditional drivers of economic growth,improving total factor productivity is of great significance for China’s economic transformation and upgrading.Manufacturing industry is the pillar and core industry of a country’s economy,which is also facing the dual challenges of transformation and upgrading.On one hand,for the domestic environment,with the deepening of the aging society and the rising factor prices,coupled with environmental resources and other constraints,manufacturing production costs increase.On the other hand,from the perspective of the international environment,the layout of the world industrial chain is constantly adjusted,and developed countries are accelerating the process of reindustrialization,calling for the return of manufacturing to their own countries,or transferring factories to Southeast Asian countries with relatively low cost,which increases the pressure on the international development of China’s manufacturing industry.Therefore,it is urgent for China’s manufacturing industry to transform and upgrade from extensive development to high-quality development.Improving total factor productivity is the key to achieving high quality development in manufacturing industry.Innovation is the only way to achieve high-quality economic development.R&D investment is the foundation and source of innovation,and also an important driving force of TFP promotion.With innovation rising to the core position of national strategy,under the guidance of a series of policies to encourage innovation,the R&D expenditure of manufacturing industry,as the sector bearing the most innovation resources,has increased rapidly in the past decade.However,the rapid growth of R&D input in manufacturing industry does not make the total factor productivity,which represents technological progress and efficiency improvement,show a matching growth rate,which is the so-called"R&D paradox"phenomenon in the academic circle.In view of this paradox,this paper tries to explain this phenomenon from the perspective of misallocation of R&D resources,in order to ensure the smooth development of high-quality manufacturing industry.In order to further explore the reasons behind this phenomenon,this paper considers the causes of R&D resource misallocation,based on the logic that government R&D subsidies will aggravate R&D resource misallocation,and then indirectly inhibit the growth of TFP in manufacturing industry.This paper first calculates the corresponding R&D resource misallocation index of the manufacturing industry by using the panel data of the manufacturing industry from 2006 to 2020through the constructed R&D resource misallocation index model,and then analyzes the status quo of the overall and internal R&D resource misallocation of the manufacturing industry.The results show that the overall R&D resource misallocation of the manufacturing industry has been improved in recent years.In the manufacturing industry as a whole and equipment manufacturing industry,the misallocation of R&D personnel resources is deeper than that of R&D capital resources.Then,using the data of 892 A-share listed manufacturing enterprises from2016 to 2020,this paper verifies the inhibitory effect of misallocating of R&D capital and R&D personnel resources on the growth of TFP in manufacturing by using the fixed-effect model.Next,this paper discusses the relationship between government R&D subsidies and R&D resource misallocation.Government R&D subsidies are the main government intervention tool to solve the market failure of R&D resources and intervene in the allocation of R&D resources.The fixed-effect regression results based on micro enterprise data also show that the expansion of the scale of government R&D subsidies intensifies the misallocation between R&D funds and R&D personnel resources in the manufacturing industry,and the nature of enterprise ownership plays a positive moderating role in the two processes.Compared with private enterprises,a large amount of government R&D subsidies flow into state-owned enterprises with more serious misallocation of R&D resources,which plays a greater role in promoting the misallocation of R&D funds and R&D personnel resources in state-owned enterprises.Finally,this paper conducts a heterogeneity analysis according to the size and region classification of manufacturing enterprises.The results show that government R&D subsidies will exacerbate the misallocation of R&D capital resources between large and small and medium-sized manufacturing enterprises,and have a greater promoting effect on small and medium-sized manufacturing enterprises.In terms of regions,government R&D subsidies also aggravate the misallocation of manufacturing R&D capital resources in different regions,among which the promotion effect of the western region is the largest,and that of the eastern region is the least.Government R&D subsidies will also exacerbate the misallocation of R&D personnel resources in the eastern and central regions,and play a greater role in promoting the eastern region.For manufacturing enterprises of different sizes and regions,government R&D subsidies play a greater role in promoting the misallocation of R&D capital resources than the misallocation of R&D personnel resources.In order to ensure the smooth development of Chinese manufacturing industry with high quality,the corresponding policy suggestions are put forward based on the conclusions of this paper.First,it is necessary to strengthen information disclosure between the government and enterprises,make use of emerging information technologies such as big data to overcome the negative impact of information asymmetry,and constantly improve the government’s ability to screen research and development information;Second,accelerate the process of deepening the reform of state-owned enterprises.Government R&D subsidies received by state-owned enterprises should be actively kept on record,and efforts should be made to improve the supervision mechanism before,during and after R&D subsidies.Enterprises that abuse R&D subsidies should not only be punished,but also be put on the enterprise credit blacklist.Third,the government should pay more attention to the misallocation of R&D resources for the small and medium-sized,western and northeastern manufacturing enterprises,and solve the dilemma of innovation constraints,especially for small and medium-sized enterprises.Fourth,we should further improve the reform of science and technology system,increase the remuneration of R&D personnel,fully release the innovation vitality of research personnel,and attach importance to the research demands of R&D personnel;Fifth,encourage enterprises to upgrade their production capacity,expand their scale and enhance their market competitiveness,which can improve the misallocation of R&D resources.更多还原