【作者】 关勇军；

【导师】 洪开荣；

【作者基本信息】 中南大学 ， 工商管理， 2012， 博士

【摘要】 近年来,在创建创新型国家的过程中,我国的研发投入大幅提高。2006年,研发投入总量已经跃居世界第二位；2010年,研发投入占GDP的比重达到了1.76%；企业也逐步成为R&D投入的主体。但我们也看到,我国企业,特别是高新技术企业的R&D投入绩效却并不理想,无论是PCT专利的申请,还是取得的财务利润,与发达国家相比仍有较大差距。此外,从R&D投资理论研究来看,经历了从研发投入不足问题的探讨到研发投入绩效的评价,目前,有关研发投入和绩效之间”黑箱”的探索代表了一个潜力较大的研究方向。本文依据科斯和诺斯有关制度决定长期经济绩效的基本理论,从技术创新政策的视角探讨我国企业R&D投资绩效不理想的原因,解答我国技术创新政策的有效性问题,为我国未来研发资源的配置和技术创新政策的制定提供参考。本文主要包括四部分内容：其一,本文研究的理论分析及制度背景,主要阐述了技术创新政策产生的理论及现实基础、本文的概念模型以及我国研发补贴、研发合作及知识产权保护的制度背景；其二,以深圳中小板上市企业为样本,实证分析研发补贴在R&D投资及R&D投资绩效之间的调节作用,特别分析R&D直接补贴和税收优惠的调节效应差异,实证结果表明R&D补贴在企业R&D投入和创新绩效之间起到了正向调节作用,并且R&D直接补贴比R&D税收优惠的调节作用要强；其三,以深圳中小板上市企业为样本,实证分析研发合作在R&D投资及R&D投资绩效之间的调节作用,特别分析了竞争性研发合作和非竞争性研发合作的调节效应差异,实证结果表明非竞争性R&D合作(尤其是高校合作)和企业创新绩效是正相关关系,而竞争性R&D合作在企业创新投入和创新绩效之间也起到了正向调节作用。这表明,竞争性R&D合作通过与企业内部创新投入的相互之间的交互影响,对企业创新绩效产生积极的影响；其四,以深圳中小板上市企业为样本,实证分析知识产权保护在R&D投资及R&D投资绩效之间的调节作用,实证结果表明,知识产权保护提高了企业R&D投资强度,并且强知识产权保护在企业R&D投资与R&D投资技术绩效和财务绩效之间起到了正向调节作用,而弱知识产权保护在企业R&D投资与R&D投资财务绩效之间的负向调节作用明显,但在企业R&D投资与R&D投资技术绩效方面的负向调节作用并不明显。本文存在三个创新点：其一,引入调节变量的构建思路和方法,致力于揭开我国企业R&D投资与其绩效之间的”黑箱”。在思路和方法上拓展了未来研发投资绩效研究的空间,具有一定的创新性；其二,从技术创新政策视角及研发投资特征出发,探索研发投资绩效的制约因素和修正机制,构建研发补贴、研发合作及知识产权保护的调节效应模型,并结合中国的制度背景展开实证分析,在研发投资绩效研究的视角和内容上有一定的创新和突破；其三,拓展了R&D投资绩效的内涵,并探索了R&D投资内涵之间的内在联系。本论文将R&D投资的绩效划分为技术绩效、财务绩效和价值绩效等三个维度,这三个维度并不是孤立的,而是存在着一种相互耦合的关系。更多还原

【Abstract】 In recent years, during the process of creating an innovation-oriented country, the total amount of investment in research and development has been raised quickly, In2006, the total amount of investment in research and development has been the second largest in the world; In2010, the R&D investment share of GDP reached1.76%; Enterprises have gradually become the main ones in R&D investment. But we also see that R&D investment performance of Chinese enterprises, especially high-tech enterprise, is not ideal, for PCT patent application and financial profit; there is still a wide gap, compared with developed countries. In addition, from the view of R&D investment theory, It has experienced from the inadequate investment in R&D to the performance evaluation of R&D investment, at present, the "black box" between R&D investment and performance represents a potential research direction. On the basis of coarse and North’s theory that system determines the long-term economic performance, we explored the reason that R&D investment performance is not ideal for our country enterprise from the technology innovation policy, answer the effectiveness of policy of technology innovation in our country, provide reference for resource configuration of R&D investment and technical innovation policy in our country.This paper mainly includes four parts:Firstly, we studies the theoretical basis and the system background in the introduction, mainly elaborate the theory and practical basis of technical innovation policy, the conceptual model of this paper and the system background of R&D subsidy, R&D cooperation and the protection of intellectual property rights; secondly, take small-medium listed companies in Shenzhen Stock market as samples, We conduct a empirical analysis of R&D subsidy’ moderating effect between R&D investment and R&D investment performance, especially the difference of moderating effect between R&D direct subsidies and preferential tax, Results shows that R&D subsidies played a positive role between R&D investment and innovation performance, in addition, the R&D direct subsidies is stronger than preferential tax. Thirdly, take small-medium listed companies in Shenzhen Stock market as samples, We conduct a empirical analysis of R&D cooperation’moderating effect between R&D investment and R&D investment performance, especially the difference of moderating effect between Competitive R&D Cooperation and non-competitive R&D Cooperation, Results shows that non-competitive R&D Cooperation (especially university bases) played a positive role between R&D investment and innovation performance, The same as competitive R&D Cooperation, It shows that competitive R&D Cooperation could played a positive role between R&D investment and innovation performance via interaction effect between competitive R&D Cooperation and inner R&D investment of corporation. Fourthly, take small-medium listed companies in Shenzhen Stock market as samples, We conduct a empirical analysis of Intellectual Property Protection Rights’moderating effect between R&D investment and R&D investment performance, Results shows that Intellectual Property Protection Rights could raise the intensity of R&D investment for corporation, In addition, we find that Strong Intellectual Property Protection Rights play a positive role between R&D investment and Technical and Financial Performance of R&D investment, Weak Intellectual Property Protection Rights play a Negative role between R&D investment and Financial Performance of R&D investment, While We couldn’t get that Weak Intellectual Property Protection Rights play a Negative role between R&D investment and Technical Performance of R&D investment.This paper includes Three breakthroughs:Firstly, We strive to uncover the "black box" between R&D investment and R&D investment performance of corporation, introduce the way and method of moderate variable of experimental study in Psychology, and extend the space of future research for R&D investment Performance; Secondly, Start from The View of Technology Innovation Policy and R&D investment features, explores the constraints factors and correction mechanism of R&D investment performance, and constructs the empirical analysis model of moderating effect of R&D subsidy, R&D cooperation and Intellectual Property Protection Rights base on the Chinese system background, so, this paper has some breakthroughs in perspectives and contents of R&D investment performance research. Thirdly, This paper extend the definition of R&D investment performance and explore the inter-relationship of R&D investment performance, This paper find there exist inter-functional relationship between the Technology Performance, Financial Performance and Value Performance.更多还原