政府研发补贴的异质性与政策协同:基础研究的视角

Heterogeneity of Government R&D Subsidies and Policy Synergy:A Perspective from Basic Research

健全科技领域的新型举国体制,发挥整个科技链条上政策组合的协同效应,是面向国家重大战略需求、突破关键技术瓶颈的核心问题。为此,本文构建了基础研究投入和企业研发决策的局部均衡模型,设计科技创新链条上的政策组合,探究政府研发补贴如何精准发力和提质增效。基于校企联合申请专利信息,识别出2014—2020年上市公司与高等学校形成的校企创新联合体,利用“双一流”高校建设作为基础研究投入变动的外生冲击,通过上市公司披露的政府补助明细构造政府研发补贴变量,评估基础研究投入变化对政府研发补贴政策效果的影响差异。理论研究发现,基础研究投入和政府研发补贴的政策组合能够产生更高的创新效能,基础研究投入对研发补贴政策效果具有正向的调节作用。实证结果支持了理论发现,并在科技成果转化率的不同情景下解释了政策组合的效能差异,这对于优化创新资源配置和提升政府研发补贴的政策效能具有重要价值,为尽早实现高水平科技自立自强提供了理论依据与实践路径。

The synergy between innovation policy tools is central for breaking the bottleneck of key technologies serving national strategic demands as China stresses improving the new system for mobilizing national resources,and promoting the deep integration of innovation chain and industrial chain.This paper establishes a partial equilibrium model including basic research investment and firms'R&D decision-making,designs a policy mix of basic research investment and government R&D subsidies,and explores how to achieve targeted and efficient R&D subsidies.Based on the patents jointly applied by universities and enterprises at IncoPat,the paper identifies the university-enterprise innovation consortia formed by Chinese listed companies and higher education institutions from 2014 to 2020.Then with universities being included in the“Double First-Class Project”list representing the basic research investment change and the manually-sorted government subsidies received by listed companies representing R&D subsidies,the paper evaluates the impacts of basic research investment change on the effects of R&D subsidies.The theoretical study finds that the policy mix of basic research investment and R&D subsidies significantly promotes innovation efficiency,and basic research investment has a positive mediating impact on the effects of R&D subsidies.The empirical study proves the theoretical findings,and explains the heterogenous effects of R&D subsidies from the perspective of different rates of technology transfer.The above findings provide theoretical support and strategic roadmap for optimizing the allocation of R&D subsidies and for improving the policy efficiency,to achieve sci-tech self-reliance and self-sufficiency at higher levels.