国有企业研发投入对民营企业创新行为的影响

科研管理 ›› 2015, Vol. 36 ›› Issue (4): 82-90.

国有企业研发投入对民营企业创新行为的影响

杨治^1,2, 闫泽斌¹, 余林徽³, 徐骏辉⁴

1. 华中科技大学管理学院, 湖北武汉 430074;
2. 华中科技大学国家治理研究院, 湖北武汉 430074;
3. 浙江大学经济学院, 浙江杭州 310027;
4. 中山大学岭南学院, 广东广州 510275

收稿日期:2013-06-20 修回日期:2014-10-23 出版日期:2015-04-25 发布日期:2015-04-18
作者简介:杨治(1978-),男(汉),辽宁锦州人,华中科技大学管理学院(副教授),华中科技大学国家治理研究院(研究员),研究方向:战略管理,创新管理,制度理论。
闫泽斌(1987-),男(汉),河北邯郸人,华中科技大学管理学院(博士研究生),研究方向:创新战略,组织关系管理。
余林徽(1979-),男(汉),陕西汉中人,浙江大学经济学院(讲师),研究方向:战略管理,企业经济学。
徐骏辉(1975-),男(汉),江西玉山人,中山大学岭南学院(博士研究生),研究方向:战略管理,公司创业。
基金资助:
国家自然科学基金(企业研发外包的控制机制研究[70902010]起止时间2010-2012);2014年度教育部哲学社会科学研究重大课题攻关项目(推进国家治理体系和治理能力现代化若干重大理论问题研究[14JZD002]起止时间:2014-2017)。

The impact of R&D investments in state-owned enterprises on the innovative behavior of private-owned enterprises

Yang Zhi^1,2, Yan Zebin¹, Yu Linhui³, Xu Junhui⁴

1. School of Management, Huazhong University of Science and Technology, Wuhan 430074, Hubei, China;
2. Institute of State Governance, Huazhong University of Science and Technology, Wuhan 430074, Hubei, China;
3. School of Economics, Zhejiang University, Hangzhou 310027, Zhejiang, China;
4. School of Lingnan, SunYat-sen University, Guangzhou 510275, Guangdong, China

Received:2013-06-20 Revised:2014-10-23 Online:2015-04-25 Published:2015-04-18

摘要/Abstract

摘要： 本文使用2005-2007年中国工业企业数据,用Tobit模型实证检验了国有企业研发投入对民营企业创新行为的影响,以及地区行业内产业集聚和竞争状况对上述影响关系的调节效应。本文研究发现:(1)随着地区行业内国有企业研发投入比例的升高,民营企业的创新投入显著减少,即,国有企业研发投入对民营企业创新投入具有挤出效应;(2)在产业集聚程度较高的地区和行业内,国有企业研发投入的挤出效应会显著加强;(3)在竞争程度较高的地区和行业内,国有企业研发投入的挤出效应则会显著减弱。本文为政府提高创新资源配置效率,推进企业主导的自主创新战略有效实施提供了有益的政策建议。

关键词: 国有企业, 民营企业, 研发投入, 产业集聚, 行业竞争

Abstract: Using the sample of Chinese Manufacturing firms from 2005 to 2007, this paper investigateswith Tobit regression model the impact of state-owned enterprises (SOEs)'s R&D input on innovative behavior of private-owned enterprises (POEs), and how this impact is moderated by different extent of regional agglomeration and industrial competition. We find that: (1) POEs' innovation input decreases significantly as the regional and industrial SOEs' R&D input increases, namely SOEs' R&D input has a crowding-out effect on POEs' innovation input; (2) the crowding-out effect will be strengthened significantly in the regions and industries with high agglomeration; and (3) the crowding-out effect will be weakened significantly in the regions and industries with high competition. This paper aims to provide favorable policy suggestions for the government to efficiently allocate government R&D resources and transform the innovation strategy from government-led innovation to enterprise-led innovation.

Key words: state-owned enterprises, private-owned enterprises, R&D investment, regional agglomeration, industrial competition

中图分类号:

F124.15

杨治, 闫泽斌, 余林徽, 徐骏辉. 国有企业研发投入对民营企业创新行为的影响[J]. 科研管理, 2015, 36(4): 82-90.

Yang Zhi, Yan Zebin, Yu Linhui, Xu Junhui. The impact of R&D investments in state-owned enterprises on the innovative behavior of private-owned enterprises[J]. Science Research Management, 2015, 36(4): 82-90.

参考文献

[1] Zhang C., Zeng D. Z., Mako W. P., Seward J. Promoting enterprise-led innovation in China [M]. 2009, Washington, DC: The World Bank. [2] Arrow K. J. Economic welfare and the allocation of resources for invention [M]. 1962, Princeton: Princeton University Press. [3] Hussinger K. R&D and subsidies at the firm level:An application of parametric and semiparametric two-step selection models [J]. Journal of Applied Econometrics, 2008, 23:729-747. [4] Lach S. Do R&D subsidies stimulate or displace private R&D? Evidence from Israel [J]. Journal of Industrial Economics, 2002, 50:369-390. [5] 朱平芳,徐伟民.政府的科技激励政策对大中型工业企业R&D投入及其专利产出的影响——上海市的实证研究 [J].经济研究, 2003(6):45-53. Zhu Pingfang, Xu Weimin. On the impact of government's S&T incentive policy on the R&D input and its patent output of large and medium-sized industrial enterprises in Shanghai[J]. Economic Research Journal, 2003, (06): 45-53. [6] Jaffe A. B. Building program evaluation into the design of public research-support programs [J]. Oxford Review of Economic Policy, 2002, 18:22-34. [7] Blanes J. V.,Busom I. Who participates in R&D subsidy programs? The case of Spanish manufacturing firms [J]. Research Policy, 2004, 33(10):1459-1476. [8] David P. A., Hall B. H., Toole A. A. Is public R&Da complement or substitute for private R&D? A review of the econometric evidence [J]. Research Policy, 2000, 29(4-5):497-529. [9] Lichtenberg F. R. The effect of government funding on private industrial research and development: A re-assessment [J]. The Journal of Industrial Economics, 1987, 36:97-104. [10] Wallsten S. J. The effects of government-industry R&D programs on private R&D: The case of the small business innovation research program [J]. The Rand Journal of Economics, 2000, 31:82-100. [11] Bai C. E., Li D. D., Tao Z., Wang Y. J. A multitask theory of state enterprise reform [J]. Journal of Comparative Economics, 2000, 28(4):716-738. [12] Shaver J. M.,Flyer F. Agglomeration economies, firm heterogeneity, and foreign direct investment in the United States [J]. Strategic Management Journal, 2000, 21:1175-1193. [13] Cassiman B.,Veugelers R. R&D cooperation and spillovers: Some empirical evidence from Belgium [J]. American Economic Review, 2002, 92(4):1169-1184. [14] Kogut B.,Zander U. Knowledge of the firm,combinative capabilities, and the replication of technology [J]. Organization Science, 1992, 3:383-397. [15] Aitken B.,Harrison A. Do domestic firm benefit from direct foreign investment? Evidence from Venezuela [J]. The American Economic Review, 1999, 89:605-618. [16] Hagedoorn J.,Schankenraad J. The effect of strategic technology alliances on company performance [J]. Strategic Management Journel, 1994, 15:291-309. [17] Owen-Smith J.,Powell W. W. Knowledge networks as channels and conduits: The effects of spillovers in the Boston biotechnology community [J]. Organization Science, 2004, 15:5-21. [18] Javorcik B. Does foreign direct investment increase the productivity of domestic firms? In search of spillovers through backward linkages [J]. American Economic Review, 2004, 94:605-627. [19] Kokko A. Technology, market characteristics, and spillovers [J]. Journal of Development Economics, 1994, 43:279-293. [20] Song J., Almeida P., Wu G. Learning-by-hiring: When is mobility more likely to facilitate interfirm knowledge transfer? [J]. Management Science, 2003, 49:351-365. [21] Mishkin F. S. The economics of money, banking, and financial markets [M]. 1998, Upper Saddle River: Prentice Hall. [22] 孙玮,王九云,成力为.FDI质量对高技术产业自主创新效率的溢出效应-基于企业所有制结构视角的中国数据实证研究 [J].科研管理, 2011, 32 (8):57-66. Sun Wei,Wang Jiuyun,Cheng Liwei. Spillover effect of FDI quality on high-tech indigenous innovation efficiency——Based on the perspective of ownership structure[J]. Science Research Management, 2011, 32(8): 57-66. [23] Hu A. G. Z. Ownership, government R&D, private R&D, and productivity in Chinese industry [J]. Journal of Comparative Economics, 2001, 29:136-157. [24] 卢峰,姚洋.金融压抑下的法治、金融发展和经济增长 [J].中国社会科学, 2004(1):42-55. Lu Feng,Yao Yang. Legality, financial development and economic growth under financial repression [J]. Social Sciences In China, 2004, (01): 42-55. [25] 刘瑞明.金融压抑、所有制歧视与增长拖累——国有企业效率损失再考察 [J].经济学(季刊), 2011(2):603-618. Liu Ruiming. Financial repression, ownershiap discrimainatiaon, and negative spillovers: SOE efficiency losses revisited[J]. China Economic Quarterly, 2011, (02): 603-618. [26] 民营科技企业发展报告研究课题组.中国民营科技企业发展报告(2006-2010年) [M].2011, 北京: 中国经济出版社. Study team of report about the development of Chinese private-owned enterprise. Report about the development of Chinese private-owned enterprise(2006-2010) [M].2011,Beijing: China Economic Press. [27] Huang H.,Xu C. Soft budget constraint and the optimal choice of research and development projects financing [J]. Journal of Comparative Economics, 1998, 26:62-79. [28] Zhang A., Zhang Y., Zhao R.A study of the R&D efficiency and productivity of Chinese firms [J]. Journal of Comparative Economics, 2003, 31:444-464. [29] 刘小玄.中国转轨经济中的产权结构和市场结构——产业绩效水平的决定因素 [J].经济研究, 2003(1):21-29. Liu Xiaoxuan. The structure of property rights in the Chinese transition economy[J]. Economic Research Journal, 2003, (01): 21-29. [30] 罗党论,刘晓龙.政治关系、进入壁垒与企业绩效——来自中国民营上市公司的经验证据 [J].管理世界, 2009(5):97-106. Lu Danglun,Liu Xiaolong. Political relationship, barrier to entry and enterprise performance——Empirical evidences from POE in China[J]. Management World, 2009, (05): 97-106. [31] Alcacer J.,Chung W. Location strategies and knowledge spillovers [J]. Mangaement Science, 2007, 53(5):760-776. [32] 陆克斌,郭伟.产业集群技术创新与知识市场的协同关系研究 [J].科研管理, 2010, 31(3):35-43. Lu Kebin,Guo Wei. A study of synergistic relationship between industry clusters' technical innovation and the knowledge market[J]. Sciense Research Management, 2010, 31(3): 35-43. [33] 吴梅,龙志和,林光平.产业结构对知识溢出效应的影响分析-来自广东工业产业的证据 [J].科研管理, 2011, 32(7):18-24. Wu Mei, Long Zhihe,Lin Guangping. The impact of industrial structure on knowledge spillovers——the evidence form Guangdong industry[J]. Science Research Management, 2011, 32(07): 18-24. [34] Saxenian A. Regional advantage: Culture and competition in Silicon Valley and Route 128 [M]. 1994, Cambridge: Harvard University Press. [35] Boone J. Intensity of competition and the incentive to innovate [J]. International Journal of Industrial Organization, 2001, 19(5):705-726. [36] Denicolo V.,Zanchettin P. Competition, market selection and growth [J]. Economic Journal, 2010, 120(545):761-785. [37] Feldman M. P.,Audretsch D. B. Innovation in cities: Science-based diversity, specialization and localized competition [J]. European Economic Review, 1999, 43:409-429. [38] 伊志宏,姜付秀,秦义虎.产品市场竞争、公司治理与信息披露质量 [J].管理世界, 2010(1):133-141. Yi Zhihong,Jiang Fuxiu,Qin Yihu. The market competition in products, the corporate governance and the quality of information disclosure[J]. Management World, 2010, (01): 133-141. [39] 聂辉华,江艇,杨汝岱.中国工业企业数据库的使用现状和潜在问题 [J].世界经济, 2012(5):142-158. Nie Huiha,Jiang Ting,Yang Rudai. The use state and potential problems of China industrial enterprisce data library[J]. The Journal of World Economy, 2012, (05): 142-158. [40] 赵树宽,胡彩梅.知识溢出对中国省域知识生产影响的实证研究 [J].科研管理, 2012, 33(9):54-62. Zhao Shukuan,Hu Caimei. The impact of knowledge spillovers on Chinese provincial knowledge production[J]. Science Research Management, 2012, 33(9): 54-62.