企业基础研究的知识溢出效应研究  

A study on the knowledge spillover effect of enterprise basic research

作　　者：孟巧爽 李乐逸 王艺萌 MENG Qiao-shuang;LI Le-yi;WANG Yi-meng(School of Economics and Management,Dalian University of Technology,Dalian 116024,China;Research Center for S&T Innovation and Entrepreneurship and Industrial Transformation,Dalian University of Technology,Dalian 116024,China)

机构地区：[1]大连理工大学经济管理学院,辽宁大连116024 [2]大连理工大学科技创新创业与产业转型研究中心,辽宁大连116024

出　　处：《科学学研究》2025年第1期91-102,共12页Studies in Science of Science

基　　金：国家自然科学基金青年项目(72204036);辽宁省哲学社会科学青年人才培养对象委托课题(20221s1qnrcwtkt-17);中央高校基本科研业务费项目(DUT20RC(3)084)。

摘　　要：企业基础研究是科技强国建设的重要基石,有助于推动科学研究与产业的深度融合。基于知识溢出视角,构建2000-2022年中国制造业上市公司科技文献与专利科技引文关联数据,探究企业科技文献对焦点企业专利的知识内溢机制和对竞争企业专利的知识外溢机制。研究发现:(1)知识内溢促进焦点企业开展基础研究、知识外溢抑制焦点企业开展基础研究。(2)竞争企业专利对焦点企业科技文献的引用,有助于提升焦点企业专利数量。(3)与知识内溢相比,基础研究的知识外溢显著地抑制了焦点企业的财务绩效。异质性检验表明,知识溢出对非国有企业基础研究影响更明显。基础研究知识内溢促进高技术行业、低规模企业的应用研究,基础研究知识外溢促进非国有企业、高规模企业的应用研究。研究揭示企业基础研究的投入动机、溢出机制及市场效应,研究结论为夯实企业创新主体地位,引导基础研究、应用研究深度融合提供政策参考。Enterprise basic research on enterprises is an important cornerstone of the construction of a technological country,which helps to promote the deep integration of scientific research and industrial development.Compared with developed countries,there exist a lack of basic research investment in Chinese enterprise.To improve enterprise's investment in basic research is vital for indigenous innovation in China.Based on the perspective of knowledge spillover,this study constructs the correlation data between science publication and patent science citations of Chinese manufacturing listed companies from 2000 to 2022,exploring the knowledge spillover mechanism of enterprise technology literature on focal enterprise patents and on competitive enterprise patents.We suggest that basic research can be viewed as the input of applied research and development.However,knowledge spillover may result in incentive distortion of enterprise's basic research investment.By distinguishing knowledge internal use and knowledge spill-out,we study the incentives,mechanisms and market effect of Chinese enterprise's basic research.The sample of the research is listed manufacturing enterprises in China's A share stock market.We use the enterprises which has at least one year of positive R&D investment and at least one patent application.This gives us a non-balanced panel of 29247 firm-year observations with 2902 unique firms.Patent data is from Incopat database.Publication data is from CNKI database.Financial data is from CSMAR database.We match data from different databases.To identify the relationship between patent citations in enterprise basic research publications,first,186148 patents with scientific citations were obtained after cleaning the original 1.8 million patents.Considering the situation where multiple patents refer to the same scientific literature,the original information of cited scientific literature was ultimately cleaned out.Secondly,considering that there may be some errors in the titles of scientific papers in CNKI and

关 键 词：企业基础研究 知识内溢 知识外溢 创新表现 财务绩效 

分 类 号：F204[经济管理—国民经济] G306[文化科学]