企业与公共研究机构研发产出比较研究  

R&D Performance Comparison between Private Firms and Public Research Institutes

作　　者：赵尚梅[1] 胡飞[1] 杨海军[1] 

机构地区：[1]北京航空航天大学经济管理学院

出　　处：《财贸经济》2016年第12期144-157,共14页Finance & Trade Economics

基　　金：国家自然科学基金(项目编号:71373017;71171010)的资助

摘　　要：近年来中国专利和论文产出均呈爆炸式增长,企业和公共研究机构作为研发创新主力,其创新行为有何特点?是否发挥了各自的比较优势?本文使用2008-2014年国家工程技术研究中心调研数据,采用泊松准极大似然估计等方法,对企业和公共研究机构的研发产出进行比较研究。本文使用论文发表数和专利申请数度量研发产出数量,使用SCI论文发表数和专利授权数度量研发产出质量。研究表明,公共研究机构在论文产出数量和质量两方面都表现出色,而企业研究机构在专利产出的数量和质量两方面都未能表现出显著优势。为研究企业没能发挥在专利产出方面优势的原因,本文使用子样本进行深入分析后发现:公共研究机构充分发挥了人力资源的作用;而企业研究机构更多地依赖于研发资金投入,人力资源的作用基本缺失,且表现为外部环境驱动下的被动创新。研究结论揭示出企业和公共研究机构研发创新行为的深层逻辑,为政府科研决策提供了理论和实证支持。During the rapid increase of R＆D outputs in China, how do two main innovators, private firms and public research institutes, actually behave？ This paper uses the novel research-center-level data （the National Engineering Research Centers） from 2008 to 2014, to investigate and compare R＆D activities of these two innovators. To evaluate the R＆D performance more comprehensively, this paper considers both scientific and technological outputs, and emphasize both their quantities and quality. The study finds that, public research institutes perform better in scientific outputs, as expected, while private firms fail to show their advantage in technological outputs. Further sub-sample research identifies that, the main reason of outperform of public research institute is the fully exploitation of its human resources. For private firms, however, their innovations are mainly driven by the outside environment, and the role of human resource is almost lost. The findings offer deep insights for R＆D activities in China, which surely contributes to the literature.

关 键 词：研发产出 企业研究机构 公共研究机构 比较优势 

分 类 号：G322.2[文化科学] F812.45[经济管理—财政学]