【论文速递】中国企业基础研究偏好异质性的影响因素分析

摘要：中国企业的基础研究投入与发达经济体的企业存在较大差距，被认为是制约产业核心技术能力发展与突破性创新的重要原因，因此探究中国企业开展基础研究的影响因素具有重要的理论与政策意义。本文通过分析北京中关村科技园区2005—2015年的企业调查数据，发现从事基础研究的企业在劳动生产率、规模、成立时间、资本密度等特征方面系统性区别于不从事基础研究的企业；企业人力资本水平对从事基础研究倾向性和基础研究强度具有显著的正向影响；研发补贴能够有效促进企业从事基础研究，同时国有企业更倾向于开展基础研究。企业基础研究偏好的异质性反映出，处于不同技术能力阶段的企业具有差异化的研发战略和吸收能力。

关键词: 基础研究,企业特征, 异质性企业, 科技型企业

Abstract: It is acknowledged that the deficiency in basic research by Chinese business sectors results in inferior innovation performance in China. Understanding the motive and determinants of basic research in business sectors has important implications for both scholars and policy-makers. By analyzing the survey firms in Beijing Zhongguancun Science Park for the period of 2005 to 2015, we discover a systematic difference in firms′ characteristics between firms that conduct basic research and their counterparts in terms of productivity, capital intensity, size and age. The skill and quality of human capital, e.g. the overseas Ph.D. training and ratio of employees possessing graduate degrees, have prominent impacts on firms′ decision to conduct basic research and their publication intensity. In particular, subsidies recipients and state-owned firms are more likely to conduct basic research. Firm heterogeneity in conducting basic research reflects their different R&D strategy and absorptive capabilities along various stages of technological capabilities.

The Panel Probit model and random-effects Tobit regression are adopted to estimate the determinants of firm decision to conduct basic research and the determinants of publication intensity separately. Results show that firms conducting basic research are significantly more capital-intensive, more productive in terms of labor productivity, larger, older, and have higher R&D intensity. Quality of human capital presents a prominent connection with firm decision to conduct basic research and their outputs, imply the high dependency of knowledge creation and integration on the skill of employees. In science-based sectors, academic training and skill play a more important role in realizing technological innovation. R&D subsidies are positively correlated with firm decision to conduct basic research, highlighting its importance in guiding firms to invest in long-term R&D activities, but there is no significant effect on publication intensity. The causality of R&D subsidies and corporate basic research should be explored further. Firms with different levels of technological capabilities present various tendencies to conduct basic research due to their diversified R&D strategy. Firms with overseas R&D expenditure are more likely to conduct basic research and have a higher level of publication intensity. Meanwhile, using foreign licenses is positively correlated with firm decision to conduct R&D but has no significant impacts on their publication intensity.

These research findings have two policy implications. First, policies addressing the improvement of business basic research should put training and attracting of high-skilled talents as the first priority of agenda because conducting basic research relies heavily on high-quality human resources. Second, innovation policy should orient towards firms competing in or close to the global technology frontier as well as aim to long-term impacts of R&D investment and adjust the performance index accordingly.

Key words: basic research, firm characteristics, heterogeneous firms, high-tech firms

文章作者：王芳,赵兰香,戴小勇

作者单位：中国科学院科技战略咨询研究院

中国科学院大学公共政策与管理学院

西安交通大学

全文已刊发在《科研管理》2021年第3期

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【论文速递】中国企业基础研究偏好异质性的影响因素分析

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