研发联盟、开放式创新与企业全要素生产率提升  

R&D Alliance, Open Innovation and Enterprise Total Factor Productivity Growth

作　　者：杜传忠[1] 薛宇择 DU Chuanzhong;XUE Yuze(Institute of Economic and Social Development,Nankai University;School of Economics,Nankai University)

机构地区：[1]南开大学经济与社会发展研究院 [2]南开大学经济学院

出　　处：《数量经济技术经济研究》2024年第12期111-132,共22页Journal of Quantitative & Technological Economics

基　　金：国家社会科学基金重大项目(20&ZD067);国家社会科学基金重点项目(19AZD015)的资助。

摘　　要：研发联盟、开放式创新作为企业研发创新的重要组织与模式,对促进企业全要素生产率提升、实现企业高质量发展具有重要意义。本文从企业研发联盟“关系建立—联合创新—价值获取”的开放式创新阶段出发,实证检验了以企业作为研发主体的研发联盟对企业全要素生产率的提升作用及其机制。研究结果表明,研发联盟对企业全要素生产率具有明显的提升作用,该作用主要通过促进信息流通、缓解资源错配、提升创新能力三重机制得以实现,企业提高自主创新意识也有助于强化该作用影响。异质性分析表明,仅有以共同研发作为契约机制的研发联盟对企业全要素生产率存在提升效应,且提升效应在国有企业、大型企业、不易被反向工程行业企业、东部地区、强知识产权保护地区以及中心城市更为显著。进一步研究发现,企业持续提升在研发联盟中实现的开放式创新广度和深度有助于规避联盟机会主义行为、提升联盟创新协同效应,从而对企业全要素生产率产生正向影响。本文研究不仅为研发联盟促进企业全要素生产率提升提供了新的理论框架,也为打造以企业作为研发主体的研发联盟与创新联合体、实现企业高质量发展提供了有益对策启示。A research and development(R&D) alliance is a cooperative mode in which enterprises and other organizations or individuals cooperate in technology or product project R&D through contracts and other ways to achieve common R&D goals. Thus it is one of the effective ways for enterprises to achieve open innovation and is of great significance for improving the total factor productivity(TFP) of enterprises. Compared with urgent problems such as R&D failure caused by cultural differences in the industry-university-research cooperation, low partner matching, difficult-to-play synergies, and low industrialization efficiency of R&D achievements, R&D alliance with enterprises as the main body of R&D is more conducive to enterprises promoting open innovation under the leadership of independent innovation concepts to strengthen their innovation strength. This study attempts to separate enterprises from the diversified cooperation mechanism, explore the impact of R&D alliance with enterprises as the main body of R&D on the TFP of enterprises, clarify the influence mechanism of different stages of enterprises to achieve open innovation through R&D alliance, and provide a new understanding for enterprises to choose R&D mode based on their own innovation factor endowment and development goals.This study selects the R&D patent data of enterprises from 2010 to 2021 and matches the data of Ashare listed enterprises. Combined with the propensity score matching difference-in-differences method, this study empirically tests the effect of R&D alliance on enterprise TFP and its mechanism. The results reveal that R&D alliance has a significant effect on the TFP of enterprises, which is mainly achieved through the three mechanisms of promoting information flow, alleviating resource mismatch, and improving innovation capacity. The improvement of independent innovation awareness of enterprises can also strengthen the effect. Heterogeneity analysis reveals that only an R&D alliance with joint R&D as the contract mechanism has an improvement

关 键 词：研发联盟 开放式创新 全要素生产率 机会主义行为 

分 类 号：F273.1[经济管理—企业管理]