产业成长阶段视角的企业规模与技术创新关系争议解析

——中、美制造业的比较

【原文出处】经济管理

【原刊地名】京

【原刊期号】20102

【原刊页号】30～37

【英文标题】On the Disputes over the Relationship between Enterprise Scale and Technological

    Innovation from the Perspective of Industrial Growth: A Comparison

    between the Manufacturing Industries in China and the U.S.

【标题注释】基金项目：科技部国家软科学研究项目“基于辅助创新的不同规模企业技术创新优势共享的实现机理研究”（2009GXQ6D157）；辽宁省高等学校优秀人才支持计划（2009R18）。

【作 者】李宇

【作者简介】李宇，东北财经大学工商管理学院，辽宁　大连　116025

李宇，（1979－），男，辽宁阜新人。讲师，管理学博士，研究领域是技术创新管理与科技政策。E-mail:liyu417@gmail.com。

【内容提要】本文在分析引起企业规模与技术创新关系争议的传统因素及改进方法基础上，以行业分组的非参数回归方法避免行业差异性和实证模型误差，仍然得到中、美制造业企业规模与技术创新关系的争议性结论。由此表明，行业适用性问题仅是对不同行业差异性的静态比较，未涉及产业演进导致行业本身动态变化对技术创新与企业规模关系的影响。基于此，本文对中、美制造业产业演进的驱动力量进行对比分析，研究发现，中、美制造业处于不同成长阶段，我国制造业是以传统投入要素和R&d投入为主要驱动要素，客观上要求企业规模不断扩张，因此，企业规模与技术创新呈现“熊彼特假设”的关系；而美国制造业则是R&D投入和非R＆D投入共同驱动模式，在保持甚至收缩企业规模的情况下仍然能够持续创新，因此，企业规模与技术创新呈“倒U”型关系。

【摘 要 题】产业组织

【英文摘要】On the basis of analyzing the traditional factors which lead controversies on the relationship between firm size and technology innovation and improved method, using an industry grouping of non-parametric regression method to avoid differences and empirical model error, while is still to be controversial conclusions between the U. S. and China's manufacturing. The improved empirical research shows that the applicability of the industry is the only difference between different sectors of the static comparison, not covered by the industry evolution leading to affect the relationship between innovation and firm size by industry itself dynamic. Based on this, we work comparative analysis on the driving forces of industry evolution between the U. S. and Chinese manufacturing industry, the study found, the United States at different stages of the manufacturing sector, China's manufacturing industry is based on the traditional inputs and R&D investment as the main driving factors, which calls for business the continuous expansion of the scale, firm size and technology innovation presented "Schumpeterian hypothesis" relationship; while the U. S. manufacturing sector is the R&D investment and non-R&D to the common driver model, while maintaining or even contraction in firm size, still be able to continue to innovate, Therefore, firm size and technology innovation inverted "U" -type relationship.

【关 键 词】产业成长阶段/企业规模/技术创新/制造业

    industrial growth stage/firm size/technology innovation/manufacturing

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