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Doctoral Thesis
DOI
10.11606/T.18.2016.tde-11052016-165908
Document
Author
Full name
Paulo Cesar Brigante
Institute/School/College
Knowledge Area
Date of Defense
Published
São Carlos, 2016
Supervisor
Committee
Kalatzis, Aquiles Elie Guimarães (President)
Castro, Luiz Ricardo Kabbach de
Corder, Solange Maria
Corrêa, André Luiz
Paulillo, Luiz Fernando de Oriani e
Title in Portuguese
Efetividade dos instrumentos de políticas públicas nos gastos privados de P&D no Brasil
Keywords in Portuguese
Avaliação de políticas
Efeito adicionalidade (Crowd in)
Efeito substituição(Crowd Out)
Financiamento à P&D
Incentivos fiscais à P&D
Método de diferenças em diferenças
Políticas de inovação
Políticas industriais e tecnológicas
Abstract in Portuguese
Esse trabalho teve como objetivo contribuir para o debate sobre a importância das políticas de incentivo à inovação no Brasil. Os resultados esperados do uso que as empresas fizeram dos diferentes tipos de instrumentos sobre os gastos em pesquisa e desenvolvimento (P&D) foram avaliados pelo método de diferenças em diferenças. O método permitiu obter as diferenças de gastos entre empresas beneficiárias de instrumentos e as não-beneficiárias em três períodos consecutivos: 2005 em relação à 2003; 2008 em relação à 2005 e de 2011 em relação à 2008. Ao fazer isso, foi possível identificar se tais diferenças foram positivas e significativas, podendo ser atribuídas às influências dos instrumentos. Os instrumentos utilizados foram: incentivos fiscais, Lei de Informática, financiamentos em parcerias, financiamentos sem parcerias e subvenção. E a utilização dos mesmos pelas empresas teve maior relevância no âmbito de diversos programas de apoio à inovação vigentes no país a partir da retomada das políticas industriais e tecnológicas, nos anos 2000. O estudo concluiu que os efeitos positivos e significativos são limitados à determinados grupos tecnológicos e à poucos instrumentos, em geral, de caráter fiscal. Além disso, esses efeitos positivos surgem em apenas um período, sendo que para cada grupo tecnológico foram efetuadas estimativas para três períodos. Também não houve evidências de que os instrumentos financeiros exerçam efeitos significativos sobre as decisões de gastos em pesquisa e desenvolvimento, apesar da maior ênfase dada aos mesmos no período estudado. Os resultados sugerem fraca influência dos mecanismos de apoio à P&D no Brasil sobre o aumento dos gastos privados, apesar dos avanços recentes.
Title in English
Effectiveness of instruments of public policy in private spending on R&D in Brazil
Keywords in English
Additionality effect (Crowd in)
Difference method for differences
Financing R&D
Industrial policy and technology
Innovation policy
Policy evaluation
Substitution effect (Crowd Out)
Tax incentives for R&D
Abstract in English
This study aimed to contribute to the debate about the importance of encouraging innovation policies in Brazil. Understanding the role played by public support instruments to research and development activities in relation to private business spending has become fundamental to achieving this end. The expected results of the use that companies made of different types of instruments on spending were evaluated by the method of difference in differences. This allows you to compare, over a certain period of time, the differences in expenses between the companies that made use of any type of instrument and the companies that did not. Thus, the method yielded differences in spending between the beneficiary and nonbeneficiary firms of those instruments of three consecutive periods: 2005 compared to 2003; 2008 compared to 2005 and 2011 compared to 2008. In doing so, it was possible to identify whether these differences were positive and significant and can be attributed to the influence of the instruments. The instruments used were: tax incentives, Information Technology Law, financing partnerships, financing and grants. And their use by companies had most relevance within various programs to support innovation in force in the country from the resumption of industry and technology policy in the 2000s. The study concluded that the positive and significant effects are limited to certain technological groups and the few instruments in general tax character. In addition, these positive effects arise in one period, and for each technology group estimates were made for three periods. There was also no evidence that the financial instruments carry significant effects on spending decisions on research and development, despite the greater emphasis given to them during the study period. The results suggest weak influence of mechanisms to support R&D in Brazil on the rise in private spending, despite progress in recent years.
 
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Publishing Date
2016-05-16
 
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