政策组合视角下政府研发补贴政策评估——基于40个国家的模糊集定性比较分析

Evaluation of Government R&D Subsidy from the Perspective of Policy Mix:Fuzzy-set Qualitative Comparative Analysis Based on 40 Countries

笔者采用40个经合组织成员国和合作伙伴经济体2013—2017年的数据,运用模糊集定性比较分析方法,评估了不同国家政府研发补贴政策组合对本国企业研发投入的影响,并对5种实现高企业研发强度的政策“配方”进行了横向案例比较分析。研究结果表明:虽然多半高企业研发强度国家实行的是“高直接资助、高税收优惠”策略,但一些实施低直接资助或低税收优惠政策的国家同样能够实现高企业研发强度,表明没有最优的政策组合,只有最适合的政策组合。政府根据本国创新战略或科技政策,适当地资助高等教育研发或政府研发,也有助于激励企业提高研发强度,表明公共部门研发和私人研发是互补的。人均GDP相对较低的国家,企业研发投入强度通常也较低;企业研发投入强度相对较高的国家,人均GDP通常也较高。以上结果显示,中国应当加强科技制度供给侧结构性改革,完善政府研发补贴政策体系,通过综合施策、靶向治疗,支持产学研等各类主体融通创新,切实把我国科技制度优势转化为治理效能。

Based on the data of 40 OECD member countries and partner economies from 2013 to 2017,this paper uses the method of fuzzy-set qualitative comparative analysis to evaluate the impact of different government R&D subsidy policy mix on the R&D investment of domestic enterprises,and makes a horizontal case comparative analysis of five policy“formulas”to achieve high R&D intensity of enterprises.The results show that although most countries with high R&D intensity implement the strategy of“high direct subsidy and tax incentives”,some other countries with low direct subsidy or low tax incentives can also achieve high R&D intensity,which indicates that there is no optimal policy mix but suitable policy mix.According to the innovation strategy or science and technology policy,the government s appropriate funding for Higher Education R&D or government R&D will also help to encourage enterprises to improve the R&D intensity,which shows that public sector R&D and private R&D are complementary.In countries with relatively low per capita GDP,the R&D investment intensity of enterprises is generally low;in countries with relatively high R&D investment intensity,the per capita GDP is generally high.The above results indicate that China should strengthen supply-side structural reform of the science and technology system,improve the R&D subsidy policy of the government,and promote collaborative innovation by various subjects such as industries,universities and research institutions through comprehensive and special policy implementation,in order to effectively transform the advantages of Chinese science and technology system into governance efficiency.