创新是企业与地区经济可持续发展的动力。我国企业无论是在研发投入、 专利申请数量等可量化的指标数据，都跃居世界前列水平。但是面对市场的不 确定性与研发的高投入高风险，为激发企业创新的热情，政府往往采取R&D 资助对其创新外部性进行补贴。 政府R&D资助对企业创新的影响是国内外学者广泛研究的对象。学者通常 将创新效率作为衡量政府R&D资助效果的重要评价指标，或者根据企业专利等 创新结果，分析政府资助对创新绩效的影响。多数学者认为，政府R&D资助对 企业创新产生积极作用。但缺乏在企业创新的动态过程视角下对政府资助作用的 讨论。本文在前人研究基础之上，将企业创新过程分为创新投入、专利申请、业 绩增长三个环节；根据政府资助形式的不同将政府的R&D资助以直接资助与间 接资助区分，分类讨论这两者对企业创新环节的作用效果。基于创新产业集聚理 论，本文基于产业集聚的视角，探究不同地区在产业发展水平不同的条件下，政 府资助对企业创新影响是否会因产业的集聚度不同而产业影响？直接与间接资 助的资助方式作用在不同地区的效果是否有差异？不同资助方式对不同创新环 节的影响效果是怎样？带着这些问题展开理论梳理和检验模型的构建，探讨这些 问题具有一定的理论和实践意义，一方面为不同地区产业创新资助提出应采取因 地制宜的理念；另一方面通过检验产业集聚对政府R&D资助影响企业创新的作 用，丰富产业集聚概念在微观企业层面的研究探讨。 本研究的研究对象限定于ICT行业上市企业，观测数据使用2011-2015年间 企业面板数据，实证分析过程采用多元统计回归分析。得出以下研究结论（1） 政府R&D直接资助与间接资助对企业创新投入与企业绩效提升都具有激励作用； 但是在没有引入调节变量的情境下，政府两种形式的R&D资助在对企业的专利 申请均没有显著相关性。（2）引入区域产业密集度这一调节变量以后，观察政 府R&D资助在区域产业集聚的情境下对企业创新的影响。发现，在产业集聚度 较高的区域，政府的减税资助比直接资助更能激发企业研发投入的支出，而政府 的直接资助对企业的业绩增长更有促进作用。与此同时在产业集聚度较低的区域， 政府以退税形式的间接资助更能提高企业业绩增长，促进企业发展，而直接资助 对企业的研发投入促进作用更强。根据研究结论提出以下建议：各级政府对于不 江苏大学硕士学位论文 同区域的产业资助政策需要因地制宜，应结合不同地区不同产业所处的发展阶段， 特别是不同产业集聚程度，采取侧重直接资助或间接资助的不同产业资助政策。 对企业经营者而言，应充分利用好政府R&D资助的优惠政策，为企业创新发展 赢得更好的环境，提高区域的创新能力。 关键词：政府资助；企业创新；产业集聚；区域 江苏大学硕士学位论文 Abstract Innovation is the driving force of sustainable development of enterprises and regional economy. China's enterprises, whether in R&D investment, patent application quantity and other quantifiable index data, have leaped to the forefront of the world. However, in the face of market uncertainty and high risk of R&D investment, in order to stimulate the enthusiasm of enterprise innovation, the government often adopts R&D funding to subsidize its innovation externalities. The impact of Government R&D subsidy on enterprise innovation is the object of extensive research by scholars at home and abroad. Scholars usually regard innovation efficiency as an important evaluation index to measure the effect of Government R&D fundings, or analyze the impact of government funding on innovation performance according to innovation results such as enterprise patents. Most scholars believe that government R&D funding has a positive effect on enterprise innovation. However, there is no discussion on the role of government funding from the perspective of the dynamic process of enterprise innovation. On the basis of previous studies, this paper divides the innovation process of enterprises into three parts: innovation investment, patent application and performance growth, and divides the government's R&D funding into two forms: direct funding and indirect funding, and discusses the effects of the two on different innovation links of enterprises. Based on the theory of innovation industry agglomeration, this paper, from the perspective of industry agglomeration, explores whether the impact of government funding on enterprise innovation will be affected by the different degree of industry agglomeration in different regions under different conditions of industrial development level? Is there any difference in the effect of direct and indirect funding in different regions? What is the effect of different financing methods on different innovation links? With these problems, it has a certain theoretical and practical significance to carry out theoretical carding and test model construction. On the one hand, it puts forward the idea of taking measures according to local conditions for industrial innovation funding in different regions; on the other hand, it enriches the research on the concept of industrial agglomeration at the micro enterprise 江苏大学硕士学位论文 level by testing the role of industrial agglomeration on the impact of Government R&D funding on enterprise innovation. This study focuses on the listed companies of ICT. The research data is based on the panel data of 2011-2015, and empirical analysis is carried out by multivariate statistical regression of panel data. The results show that: (1) direct and indirect government R&D funding has a positive effect on innovation investment and enterprise performance improvement, but there is no significant correlation between patent applications. (2) After introducing the regulatory variable of regional industrial density, we observe the impact of Government R&D funding on enterprise innovation in the context of regional industrial agglomeration. It is found that in the regions with high industrial agglomeration, the government's tax relief funding can stimulate the R&D expenditure of enterprises more than the direct funding, and the government's direct funding can promote the performance growth of enterprises more. At the same time, in regions with low industrial agglomeration, the indirect government subsidy in the form of tax rebate can improve the performance growth of enterprises and promote the development of enterprises, while the direct subsidy has a stronger role in promoting the R&D investment of enterprises. According to the conclusion of the study, the following suggestions are put forward: governments at all levels should adopt different industrial subsidy policies, which focus on direct or indirect subsidy, according to the development stages of different industries in different regions, especially the degree of industrial agglomeration. For business operators, they should make full use of the preferential policies funded by government R&D to win a better environment for enterprise innovation and development and improve regional innovation ability. Key words: Government Funding; Enterprise Innovation; Industrial Agglomeration; Region 江苏大学硕士学位论文 目录 1 绪论 ........................... 1 1.1研究背景 ................. 1 1.2.研究意义 ................. 3 1.2.1 理论意义 ..................... 3 1.2.2 现实意义 ..................... 3 1.3 研究思路及方法 .... 4 1.3.1 研究思路 ..................... 4 1.3.2 研究方法 ..................... 5 1.4 研究难点与创新点 6 1.4.1 研究难点 ..................... 6 1.4.2 研究创新点 ................. 7 1.5 本章小节 ................ 7 2 理论基础和文献综述 ... 8 2.1 相关概念界定 ........ 8 2.1.1政府R&D资助 ... 8 2.1.2 企业创新 ..................... 9 2.1.3 产业集聚 ................... 10 2.2 理论基础 .............. 10 2.2.1 创新增长理论 .......... 10 2.2.2研发外部性理论 ....... 11 2.2.3 创新产业集聚理论 . 11 2.3国内外研究综述 ... 12 2.3.1政府R&D资助对企业创新的影响 ... 12 2.3.2 政府不同资助形式对企业创新影响的差异化比较研究 ......................... 12 2.3.3 产业集聚对企业创新的影响 .............. 13 2.4 研究述评 .............. 14 3 概念模型与假设提出 . 16 3.1概念模型 ............... 16 3.1.1政府R&D资助对企业创新影响的概念模型 ............... 16 3.1.2 产业聚集对企业创新作用 .................. 19 3.2 研究假设的提出 .. 20 3.2.1政府R&D资助对企业创新的影响 ... 20 3.2.2产业聚集度对政府R&D资助与企业创新的调节效应 ............................ 24 3.3影响政府R&D资助效果的其他重要因素讨论 .............. 24 3.4 本章小结 .............. 26 4 研究设计 ...................... 27 4.1 样本企业选取和实