ECONOMETRIC ANALYSES ON THE ECONOMIC EFFECTS OF COOPERATIVE R&D AND INDUSTRY-UNIVERSITY COOPERATION BY SMALL FIRMS

本研究的目的是比较中小企业与大企业的企业间R&D合作和产学联盟的模式，分析不同的联盟模式对参与者绩效的影响。为此，笔者于2005年3月对1万家制造业企业进行了邮寄调查。关于技术联盟的模式，笔者发现，与大企业相比，小企业的高层管理者更倾向于直接参与合作，与大企业相比，小企业与合作伙伴签订合同和申请专利的可能性更低。此外，在作为合作对象的研究机构的种类、所在地以及寻找合作对象的方式上，大企业和小企业之间也存在着显著的差异。研究结果表明，由理工科大学毕业生管理的规模较大、以研究开发为导向的企业，与其他企业相比，更倾向于与大学和研究机构进行技术联盟。此外，我发现，在参与这些联盟的小企业中，申请专利的企业往往是研究型企业，由具有自然科学或工程学大学教育的CEO管理，与偏远地区的国立大学合作，通过学术网络和出版物寻找合作伙伴，并对企业间R&利用官方统计的微观数据，就参与者的研究生产力进行合作。研究结果表明，在控制了研发投入和研发能力的情况下，合作研发对小企业的研发生产率有直接和间接的影响，而对大企业则没有影响。

The purposes of this project are to compare the patterns of inter-firm R&D cooperation and industry-university alliances by small businesses with those by large firms and to analyze the impacts of different patterns of these alliances on the performance of the participants. For these purposes, I conducted a postal survey with 10.000 manufacturing firms in March 2005.With regard to the patterns of technological alliances, I found that the top managers of small firms are more likely to be directly concerned with the cooperation than those of large firms and that small firms are less likely to have contracts with their partners and apply for patents than large firms. Moreover, remarkable differences were found between small and large firms with regard to the type and location of the research institutions as cooperative partners and the way to find their partners.I obtained evidence that relatively large and R&D oriented firms managed by university graduates from the faculties of natural sciences or engineering are more likely to participate in technological alliances with universities and research institutes than the others. Further, I found that, among small firms that participated in these alliances, the firms that applied the outcomes for patents tend to be research-oriented firms managed by CEOs with university education in natural sciences or engineering, cooperate with national universities in remote regions, and find the partners through academic networks and publications.I also carried out an econometric analysis of the effects of the inter-firm R&D cooperation on the research productivity of the participants, using the micro data from official statistics. The results demonstrate that, after controlling for the research input and capability, cooperative R&D has both direct and indirect effects on the research productivity of small firms, while this is not the case for large firms.