【作者】 刘萍；

【导师】 湛泳；

【作者基本信息】 湘潭大学 ， 应用经济学， 2019， 硕士

【摘要】 伴随着科技进步与经济全球化进程的加快,各国军事变革的浪潮也日趋激烈,国防科技工业开始在竞争日益激烈的高科技领域实现战略转型。国防军工企业作为一个国家的战略性产业,是一个国家军事工业的基础,更是一个国家国防现代化的主要标志和根本保障。其创新水平是体现一国综合国力与核心竞争力的重要标志,企业作为创新的主体,政府有必要为其提供有利的创新环境。由于国家产业政策倾向的影响,军工企业的获补贴数额在各大行业中位居榜首,但是如此巨大的资金支持是否能够推动军工企业的技术进步,这是一个值得探讨的话题。本文通过文献梳理和相关基础理论研究而提出相关假设并构建回归模型,再以手工整理的三线建设时期的军工企业发展历史沿革资料与中国工业企业数据库进行匹配,最终得到774家军工企业的非平衡面板数据,使用OP法和LP法测算了1998-2007年微观层面的军工企业全要素生产率,关于政府补贴对军工企业全要素生产率的影响效果及微观作用机理进行了系统探讨和理论分析,并进一步应用中介效应模型揭示了政府补贴抑制军工企业效率提升的重要途径。实证研究方面,运用面板固定效应、系统GMM估计法以及Heckman两阶段法进行检验,对总效应的实证结果表明:整体而言,政府补贴阻碍了军工企业全要素生产率的提升。对机理的实证检验发现,政府补贴会通过加剧企业的寻租活动和市场集中程度使得获补贴企业缺乏技术进步的动力从而阻碍军工企业全要素生产率水平的提升。虽然创新绩效能够显著促进军工企业全要素生产率的提升,但它并未在政府补贴与军工企业生产率之间起到中介作用;原因是政府补贴力度的增大容易使军工企业形成政策依赖,抑制其参与市场竞争的积极性,从而不利于军工企业创新能力的提升。异质性分析表明:随着军工企业全要素生产率水平的提高,政府补贴对军工企业全要素生产率的阻碍作用会逐渐降低。通过分地区回归发现,政府补贴对各个地区企业全要素生产率水平存在显著差异,西部地区的政府补贴抑制作用更强,中部地区次之,东部地区最弱。因此,政府补贴的负面效应该得到充分的重视。基于上述结论本文提出如下政策建议:第一,审慎实施大额补贴政策,健全补贴对象的筛选机制;第二,改革科技评估和评审机制,保障补贴资金的有效利用;第三,探索建立政府补贴的退出机制以及企业科技创新的信用机制;第四,完善军工企业的信息披露制度,关注企业的“寻补贴”行为。更多还原

【Abstract】 Along with the advancement of science and technology and the acceleration of economic globalization,the wave of military transformation in various countries has become increasingly fierce.The national defense science and technology industry has begun to achieve strategic transformation in the increasingly competitive high-tech field.As a country’s strategic industry,the national defense military enterprise is the foundation of a country’s military industry,and it is also the main symbol and fundamental guarantee for a country’s national defense modernization.Its level of innovation is an important indicator of a country’s comprehensive national strength and core competitiveness.As a mainstay of innovation,enterprises must provide a favorable environment for innovation.Due to the influence of national industrial policy trends,the amount of subsidies for military enterprises ranks first in all major industries,but whether such huge financial support can promote the technological progress of military enterprises is a topic worth exploring.In this paper,we use the literature inductive analysis method and the empirical research method to propose relevant hypotheses and construct regression models through literature combing and related basic theoretical research,and then match the historical evolution data of the military enterprises in the three-line construction period with the Chinese industrial enterprise database.Finally,the unbalanced panel data of 774 military industrial enterprises were obtained.The OP method and the LP method were used to calculate the total factor productivity of the military enterprises at the micro level in 1998-2007,and the effect of government subsidies on the total factor productivity of military enterprises and microcosmics.The mechanism of action has been systematically discussed and theoretically analyzed,and the mediation effect model has been further applied to reveal the important ways for government subsidies to curb the efficiency improvement of military enterprises.In empirical research,using the panel fixed effect,the systematic GMM estimation method and the Heckman two-stage method to test,the empirical results of the total effect show that: overall,government subsidies hinder the improvement of the total factor productivity of military enterprises.The empirical test of the mechanism found that government subsidies would make the subsidized enterprises lack the motivation for technological progress by increasing the rent-seeking activities and market concentration of enterprises,thus hindering the improvement of the total factor productivity level of military enterprises.Although innovation performance can significantly promote the improvement of total factor productivity of military enterprises,it does not play a mediating role in the productivity of government subsidized monthly military enterprises.The reason is that the increase of government subsidies tends to make military enterprises form policy dependence and restrain them.The enthusiasm for participating in market competition is not conducive to the improvement of the innovation capability of military enterprises.Therefore,the negative effects of government subsidies should be given full attention.Based on the above conclusions,this paper puts forward the following policy recommendations: first,prudently implement large-scale subsidy policy,improve the screening mechanism of subsidized objects;second,reform the evaluation and evaluation mechanism of science and technology to ensure the effective use of subsidized funds;third,explore the establishment of the withdrawal mechanism of government subsidies and the credit mechanism of enterprise scientific and technological innovation.Fourthly,we should improve the information disclosure system of military enterprises and pay attention to the "subsidy seeking" behavior of enterprises.更多还原