【摘要】 本文基于差异性产品市场的古诺模型,分析企业规模如何影响企业对产品创新和工艺创新两类创新技术的选择。理论模型显示,产品创新和工艺创新分别通过生产新产品和降低旧产品成本产生替代效应和规模经济效应。替代效应损失较高和规模经济使大企业倾向工艺创新;替代效应损失较低和规模不经济导致小企业倾向产品创新。利用中国高技术产业2004-2007年企业层面面板数据的经验分析结果显示,企业规模与中国高技术企业的创新技术选择间存在显著关系,大企业和中小企业分别倾向于工艺创新和产品创新,稳健性检验显示结果仍成立。经验研究还讨论了企业规模和产权性质对创新水平的影响,结果发现大企业的产品创新和工艺创新水平都高于中小企业,国有企业在产品创新倾向和水平上高于非国有企业。结论暗示,加强对中小企业的创新扶持可促使企业参与产品创新,对大企业重大创新扶持可提高创新水平。更多还原

【Abstract】 Based on Cournot duopoly model of differentiated markets,this paper analyzes how firm size influences the incumbents’ innovation choice. The theoretical model demonstrates that product innovation brings substitution effects on the existing products by decreasing the demand and profits of existing products through introducing new products,while process innovation brings scale economy effects by decreasing the cost of existing products. The high profit loss brought by substitution effects and economy of scale lead the large enterprises to investing process innovation which aims at decreasing cost; the relative low loss brought by substitution effects and diseconomy of scale lead the small enterprises to investing product innovation. Using the firm- level data of Chinese high- tech industry from year 2004 to 2007,our empirical analysis shows that the size of the enterprise is significantly correlated with the choice of innovation technology: large enterprises tend to develop process innovation and small enterprises tend to develop product innovation. The result still holds in the robustness tests. This paper also explores the roles of firm size and ownership in innovation output and the findings show that the product innovation and process innovation outputs of large firms are higher than small firms,and the innovation propensity and level of state- owned enterprises are higher than non- state- owned enterprises. Our analysis suggests that the policy encouraging the innovation of small enterprises will increase the product innovation of Chinese high- tech enterprises.更多还原