R&D投资、知识存量与专利产出——基于专利产出类型和企业最终控制人视角的分析  

R&D Investments,Stock of Knowledge and Patents Output: Based on Types of Patents Output and Ultimate Controlling Shareholder of Firm

作　　者：徐欣[1] 唐清泉[2] 

机构地区：[1]中南财经政法大学会计学院,湖北武汉430073 [2]中山大学管理学院,广东广州510275

出　　处：《经济管理》2012年第7期49-59,共11页Business and Management Journal ( BMJ )

基　　金：国家自然科学基金项目"我国企业R&D创新投入的风险与有效性研究"(70772084);广东省普通高校人文社会科学重点研究基地重大项目"企业研发创新的激励机制研究--技术进步与产业提升的实现途径"(09JDXM79001);中央高校(中南财经政法大学)基本科研业务费青年教师资助项目"企业创新投资的动因及其经济后果研究"(2012074)

摘　　要：本文基于中国专利类型和企业最终控制人的视角,以2002～2006年中国制造业上市公司为对象,考察了R&D投资、知识存量与专利产出之间的关系。研究发现,自2000年以来,制造业上市公司的专利数量呈现逐年上升的良好趋势,但是,专利的行业分布不均匀,这种偏态分布从侧面反映出我国技术创新能力的不均衡发展;企业R&D投资和过去所积累的知识存量是专利创造的重要基础,R&D投资强度越大,知识存量越多,各种类型专利的产出就越多;我国企业专利产出倾向更多的是外观设计和实用新型专利,发明专利产出的效率相对较低;国有控股和非国有控股企业在创新资源配置方面存在明显差异,国有控股企业对于三种不同类型专利的研发都配置了相应R&D资金,三种专利齐头并进,而非国有控股企业进行R&D投资的目标较为明确,更多的是将R&D资金投入到创新含金量最高的发明专利的创造中。本文结论对于深入认识R&D投资、知识存量与专利产出的理论提供了有力的补充和拓展,并为国家深化自主创新和企业合理配置创新资源提供了决策依据和政策建议。Based on the perspective of types of patents and ultimate controlling shareholder, this paper has an empirical analysis on the relationship between corporate R＆D investments, stock of knowledge and patents output using the Chinese manufacturing listed companies from 2002 - 2006 as research samples. We find out that the number of patents of manufacturing listed companies have a rapid growth since 2000. However, the number of patents distribute unevenly in every industry. The number of patent are mainly concentrated in a few industries, such as electronic industry, pharmaceutical and bio-products industry, chemical and plastic industry. This indicates that the ability of technology innovation of Chinese listed companies have an unbalanced development. R＆D investments and stock of knowledge cumulated in past have significantly impact on creation of patents. The greater R＆D investment intensity, the more stock of knowledge, the more output of various types of patents. Moreover, the tendency to patents output of Chinese companies are design and utility model patent. The efficiency of invention patent output is relatively low. There is a significant difference in innovation resource allocation between state-controlled and nonstate-controlled companies. The state-controlled companies allocate appropriate R＆D funds for three different types of patents. However, the non-state-controlled companies have much more clear investment objectives and input more R＆D funds to create invention patent. The conclusions of this paper provide a powerful complement and expand to understand the relationship between corporate R＆D investments, stock of knowledge and patents output. The empirical results from the paper show that R＆D investment and past stock of knowledge accumulated in enterprise is very important basis of the patent creation. Therefore, China＇s enterprises need to continue to increase R＆D investment, and pay attention to the accumulation of innovation knowledge assets to obtain more and more high quality

关 键 词：R&D投资 知识存量 专利类型 最终控制人 

分 类 号：F062.4[经济管理—政治经济学] F223