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研发投入分布特征与研发投资强度影响因素的分析——基于我国30万个工业企业面板数据

ISSN号：1002-9753
期刊名称：《中国软科学》
时间：0
分类：F270[经济管理—企业管理;经济管理—国民经济]
作者机构：[1]大连理工大学管理与经济学部,辽宁大连116024
相关基金：教育部人文社会科学基金项目（11YJA790016）;国家自然科学基金重点项目（71033002）;国家自然科学基金项目（71172136）;大连理工大学人才引进基金项目（DUT11RC（3）43）.

关键词：企业研发投入, 分布特征, 财政的科技支出, 银行贷款, R＆D investment, distribution features, fiscal support for S＆T, bank loans to S＆T

中文摘要：

利用我国2005-2007年30万家工业企业数据,对工业企业研发投入分布特征进行描述性统计得到：我国仅10%左右的企业有研发活动,在从事研发活动的企业中49.25%的企业研发活动不稳定;年销售收入大于3亿元的特大型企业,其研究开发经费占销售收入的比重也只有0.52%;研发投入产业分布具有明显重型化工业结构特征、地区分布不均衡;政府引导企业研发投入的特征明显;大规模、寿命期长的企业从事研发活动的比例高、研发投入总量大,但研发投入强度反而更低;研发投入集中度较高,约1/4的研发投入集中在有研发投资活动的3%的企业里,研发投资还没有成为一般企业的自主行为。对企业研发强度的影响因素分析得到：第一,企业规模、年龄等内部因素显著正向影响研发投入总量,但显著负向影响研发投资强度,企业规模与＂研发投资/总资产＂表示的研发投入强度之间存在＂倒U＂型关系。企业利润显著正向影响私营企业和外资企业的研发投资强度,但对国有企业影响不显著;第二,地区财政的科技支持、银行信贷资金支持显著提高了不同经济类型企业的研发投入强度,但对国有企业的作用大大超过私营企业和外资企业。中国本土企业的创新投入存在两难：国有企业的研发投入规模大、强度高,主要来源于财政和信贷支持,企业缺乏内生的激励与资金来源;私营企业创新投入有内生激励,但缺乏政府财政支持、尤其信贷大力支持。

英文摘要：

Using 300 thousand industrial enterprises’ panel data from 2005 to 2007 in China,this paper analyzed the distribution of R＆D investment and influences of R＆D intensity.The descriptive statistics brought the following conclusions.Only 10% of enterprises take R＆D investment and 45.25% of firms’ R＆D activity isn’t stable.For Large enterprises whose annual revenue of sales is more than 30 million yuan,R＆D intensity measured by the ration of R＆D investment to gross sales is only 0.52%.Industrial distribution of firms’ R＆D investment reflects the features of heavy-industrialization in China.R＆D investment varies from provinces.R＆D investment taken by state-owned enterprises（SOEs） makes up 45.6% of the total R＆D investment.Bigger and older Firms are more likely to be involved in R＆D activity and take a larger amount of R＆D investment,but a lower R＆D intensity.The concentration of R＆D investment is very high.About a quarter of R＆D investment is taken by 3% of firms,general firms have not taken R＆D investment initiatively.By the analysis of R＆D investment’s influences,we got the following conclusions.First,firm’s size and age are positive correlated with the amount of R＆D investment,but negative with R＆D intensity.R＆D intensity measured by the ration of R＆D investment to total asset shows a reverse-U relationship with firm’s scale.R＆D intensity is positively influenced by profit for privately-owned enterprises and foreign-owned enterprises.But this influence is not significant for SOEs.Second,bank loans and fiscal support to science ＆ technology greatly improved R＆D intensity.However,the effect on SOEs is higher than privately-owned enterprises.China’s innovation investment is trapped in a dilemma.On one hand,SOEs lack intrinsic motivations to take R＆D investment and its high R＆D intensity mainly benefits from financial support.On the other hand,privately-owned firms have incentives to take R＆D investment,but lack financial support.

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