R&D Efficiencies, Technical Spillovers and R&D Subsidies

在一个三阶段博弈模型的基础上,本文研究了存在技术溢出情况下政府的创新激励政策与企业的研发策略.结果表明,无论是实行竞争型创新补贴政策还是合作型创新补贴政策,政府都应该优先补贴那些低成本、高效率的创新行为.贸易自由化提高了国家的创新补贴水平,但是技术溢出本身对创新补贴的影响却具有不确定性.文章的结果同时显示,贸易便利化的实施与高技术溢出提高了消费者剩余与国民福利水平.贸易壁垒虽然强化了企业对本国市场的垄断,但是,在考虑了政府的创新补贴政策后,具有创新激励的企业实际上更倾向于自由贸易结果,因此,相对于严格的专利保护制度,创新补贴政策可能更容易促进国民福利水平的提高.     

基于Stackelberg模型的出口补贴政策对经济的影响分析

出口补贴政策一直是各国政府重点研究的战略性贸易政策之一。本文在Stackelberg寡头垄断模型的基础上，分析了当两国企业共同竞争海外市场时，追随者企业所在国的补贴政策对各国经济活动的影响效果。结果显示，补贴政策会增加本国企业的产量，提高本国企业的利润和净福利，甚至会在产品价格下降的情况下提高本国总体福利水平。     

中国汽车产业战略性贸易政策效果的实证研究——R&D补贴政策与出口补贴政策之比较

本文采用了战略性贸易政策实证研究中的“校正模型”及经修正的R&D补贴模型, 以中国的汽车产业为研究对象,对运用于汽车产业的R&D补贴政策和出口补贴(即出口退税)政策的效果进行了实证研究。结果表明,R&D补贴政策能以更小的补贴成本产生更大的国民福利,是优于出口补贴的更为有效的政策工具。因此,我国政府应加大对战略性贸易产业的R&D补贴力度,促进战略性贸易产业的成长。     

中国汽车产业战略性贸易政策效果的实证研究--R&D补贴政策与出口补贴政策之比较

本文采用了战略性贸易政策实证研究中的"校正模型"及经修正的R&D补贴模型,以中国的汽车产业为研究对象,对运用于汽车产业的R&D补贴政策和出口补贴(即出口退税)政策的效果进行了实证研究.结果表明,R&D补贴政策能以更小的补贴成本产生更大的国民福利,是优于出口补贴的更为有效的政策工具.因此,我国政府应加大对战略性贸易产业的R&D补贴力度,促进战略性贸易产业的成长.     

从领先到辐射——高新技术企业的创新成效与溢出效应

高新技术企业是我国研发创新的主力军以及创新溢出的重要源泉。本文利用中国工业企业数据、专利数据和产品贸易数据，从专利质量视角考察了高新技术企业的创新成效和溢出效应。本文研究发现，在获得资质认定和减税等配套优惠政策的激励下，高新技术企业以专利质量为代表的创新成效显著提升，而且高新技术企业创新会同时产生两类溢出效应，一方面能够对与其“地理距离”和“技术距离”相近的企业产生知识溢出，带动这些企业提高创新质量；另一方面又会对与其“产品距离”相近的企业在市场竞争中形成挤压，阻碍这些企业提高创新质量，即产品市场的负向溢出；总体而言，前者超过后者，高新技术企业的创新溢出效应仍然是积极的。本文丰富了产业政策的创新效应研究及创新溢出效应研究，为我国完善创新激励政策和深入实施创新驱动发展战略提供了政策启示。     

WTO框架下战略性补贴政策的制约因素与因应策略

本文从影响战略性补贴政策实施效果的微观机制和考虑别国报复时该政策所引发的各国福利变化两个角度,具体分析了WTO框架下战略性补贴政策在一国的应用问题。研究表明:作为战略性出口贸易政策替代品的战略性研发补贴,在提升本国企业竞争力和提高国民福利的应用过程中,其政策效果一方面严重依赖于企业产品成本和产品间替代弹性等微观因素;另一方面也受各国政府反应策略的极大制约。     

国际R&D竞争、溢出效应与战略贸易政策

本文在Spencer和Brander(1983)以及d’Aspremont和Jacquemin(1988)的研究基础上构建了一个三阶段的博弈模型,对战略贸易政策下的R&D活动补贴措施进行了分析。本文认为,当R&D活动的国际溢出处于较高水平时,各国政府有必要对本国企业从事的R&D活动采取事前补贴措施;而当R&D活动的国际溢出处于很高水平时,各国政府有必要对本国企业从事的R&D活动采取事前补贴和事后征税搭配的措施,本文还针对目前高新技术产业R&D活动国际溢出水平较高的情况,提出了政策建议。     

自主创新博弈:由政府与企业边界生发

政府和企业作为两个不同层面的行为主体,在自主创新的利益诉求和选择逻辑上存在差异性。对创新的博弈均衡分析表明,企业在创新活动中存在行为偏好,而政府通过政策扶持对创新进行激励可以提高社会的整体福利水平。原始创新、集成创新和引进吸收再创新的难度、风险环节及其战略意义都不相同,因此政府在多种政策工具的制定和实施上,应该通过不同的政策组合提供有针对性的激励。     

WTO框架下政府战略性补贴政策应用研究

本文研究表明：作为战略性出口贸易政策替代品的战略性研发补贴，在提升本国企业竞争力和提高国民福利的应用过程中，其政策效果一方面严重依赖于企业产品成本和产品间替代弹性等微观因素；另一方面也受各国政府反应策略的极大制约。     

政府补贴方式对企业技术创新影响的博弈分析

本文从政府与企业的博弈视角出发,针对企业技术创新与社会效益的问题,分析政府激励企业技术创新的补贴机制。研究表明,事前补贴是一个价值极其有限的政策工具,补贴效果易受企业信誉影响;事后补贴可以把研发外溢效应内生化,政府根据企业努力程度和研发成果发放补贴,能更有效的鼓励企业进行技术研发创新活动。     

R&;D,trade, and productivity growth in korean manufacturing

This paper investigates the effects of both R&D spillovers and trade patterns on productivity in Korean manufacturing, using industry-level data. The results show that domestic and foreign R&D capital stocks played an important R&D in improving the total factor productivity of Korean manufacturing. Moreover, productivity is higher in export industries and the more open industries, and the effects of foreign R&D capital are stronger in the industries with large import shares or large intra-industry trade shares. JEL no. F10, O32, O47.     

R&D Tournaments with Spillovers

This paper studies the influence of uncertainty and spillovers on a contestant's R&D spending. The relationship between market structure and R&D spending is shown to be sensitive to the form of uncertainty that characterizes the R&D process. When reward to the winner is endogenously determined by R&D spending, a contestant's R&D spending may increase with the degree of spillovers.     

International R&D Rivalry with Spillovers and Tariff Policies

This paper investigates the effects of R&D spillovers on the R&D choices of foreign exporters when the importing country adopts either uniform or discriminatory alternative tariff regimes. We show that the importing country should optimally choose a uniform tariff regime. A uniform tariff regime is also advantageous for foreign exporters if the R&D spillovers are sufficiently large. A comparison of free trade with the two tariff regimes reveals that there are some situations in which both the importing country and foreign exporters are better off under free trade, which supports trade liberalization.

Strategic R&D Location in European Manufacturing Industries

We empirically test a model of foreign research and development (R&D) investments that takes into account strategic interaction in R&D location decisions by multinational firms in the context of R&D cross-investments, R&D spillovers and foreign technology sourcing strategies. We find support for most of the predictions of the model in an empirical analysis of the location of patented innovations by the largest European manufacturing firms in 22 ISIC industries during 1996–1997. For technology leaders in Europe, foreign R&D ratios respond positively to host country product market competition, while technology laggards avoid these locations. Foreign R&D by technology laggards increases more strongly with the efficiency of (reverse) international technology transfer while leaders are attracted more strongly to countries with better intellectual property rights (IPRs) protection. Foreign R&D of both technology leaders and technology laggards increases with the size of the local knowledge pool and the size of manufacturing operations in the host country. JEL no.  D21, F23, L16     

Cournot–Bertrand comparisons under R&D competition: Output versus R&D subsidies

We compare Cournot and Bertrand competitions with R&D investment under output versus R&D subsidy policies. We demonstrate that Cournot firms invest more (less) in R&D and the government grants more (less) subsidies than for Bertrand firms with output (R&D) subsidies. We also find that both competition modes yield the same welfare with output subsidy, while Bertrand yields higher welfare than Cournot with R&D subsidy. Finally, firms' profits and welfare in Cournot are higher under output subsidies, while they can be higher in Bertrand under R&D subsidies if the product substitutability is high and the firm's R&D investment is efficient.     

Technology policies,technology transfer by multinational enterprises and R&D activities in LDCs

A simple game theoretic model is developed to study the interaction between the multinational enterprise's (MNE's) technology transfer and the domestic firm's R&D intensity in an LDC. The implications of two technology policies are studied. Two results are derived under certain plausible conditions. First, the subsidy on the MNE's technology transfer may decrease the domestic firm's R&D. Second, the subsidy on the domestic firm's R&D may decrease the technology level transferred by the MNE to the host country. Welfare implications on domestic consumers and producers are also derived.     

Strategic R&D policy in a quality-differentiated industry with three exporting countries

We examine strategic research and development (R&D) policy for quality-differentiated products in a third-market trade model. We extend the previous work by adding a third exporting country, so that the market structure is international triopoly. We show that the presence of the third exporting country affects strategic R&D policies. With three exporting countries, the lowest-quality exporting country gains from taxing domestic R&D and the middle-quality exporting country gains from subsidizing domestic R&D under both Bertrand and Cournot competition. As in the duopoly case, however, the optimal unilateral policy for the highest-quality exporting country depends on the mode of competition. Various cases of policy coordination by exporting countries are also examined.     

医药制造业上市企业研发投入强度对企业绩效的影响

研发投入被认为是提升企业竞争力的重要因素。基于2012-2021年92家医药制造业上市企业数据,构建企业绩效评价指标体系,运用主成分分析法测算企业绩效综合得分,并通过回归分析研究研发投入强度对企业绩效的影响。结果表明：医药制造业上市企业研发投入强度与当期企业绩效存在显著的负相关;但滞后3年与滞后4年的企业研发投入对企业绩效提升有显著积极作用。研究结果可为医药制造业企业改善研发投入结构、政府进一步调整或制定研发和创新政策提供支撑。     

基于技术风险的研发联盟政府补贴政策研究

文章考虑研发存在技术风险,建立了合作研发博弈模型,研究了政府不同财政补贴方式（研发投入补贴和产品补贴）下的企业研发和生产策略。通过理论和数值仿真分析找出了不同补贴政策下的企业最优策略和相应的社会福利,并就政府的研发补贴政策提出了相应建议。研究表明,两种补贴政策均无法实现社会福利的最优解,研发难度较小的情况下宜采用研发投入补贴,研发难度较大的情况下应采用产品补贴,以此提高企业研发投入和社会福利。     

International capital market integration: Implications for convergence, growth, and welfare

This paper studies the effects of international capital market integration on welfare and the speed of adjustment in a two-region endogenous growth model. Monopolistic firms undertake research and development (R&D) to improve their productivity level. National and international knowledge spillovers affect the returns to R&D. The two countries differ with respect to the initial productivity level and R&D capability (which is a proxy for human capital and structural policies). Long-run productivity gaps are determined by the difference in R&D capability. Over time, there is conditional convergence in productivity levels. The speed of convergence is larger with integrated international capital markets than without. Long-run gaps in consumption levels are larger in the former situation than in the latter. Capital market integration harms (benefits) the leading (lagging) region if domestic spillovers are more important than international spillovers and differences in R&D capabilities are small.The authors research is supported by the Royal Netherlands Academy of Arts and Sciences. He thanks Lucas Bretschger, Theo van de Klundert, and Richard Nahuis, Thomas Steger, and Helmut Wagner for comments on an earlier version.