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小型企业与大型企业的企业间研发合作和产学研联盟模式，并分析这些联盟的不同模式对参与者绩效的影响。为此，我于2005年3月对1万家制造企业进行了邮政调查。在技术联盟模式方面，我发现小公司的高层管理者比大公司的高层管理者更有可能直接关注合作，而小公司与合作伙伴签订合同和申请专利的可能性比大公司小。此外，在作为合作伙伴的研究机构的类型和地点以及寻找合作伙伴的方式方面，小型公司和大型公司之间存在显著差异。我获得的证据表明，由自然科学或工程学院的大学毕业生管理的相对较大的、以研发为导向的公司比其他公司更有可能参与与大学和研究机构的技术联盟。此外，我发现，在参与这些联盟的小型企业中，将成果应用于专利的企业往往是研究型企业，由受过自然科学或工程大学教育的首席执行官管理，与偏远地区的国立大学合作，并通过学术网络和出版物寻找合作伙伴。本文还利用官方统计的微观数据，对企业间研发合作对参与者研究生产率的影响进行了计量分析。研究结果表明，在控制研究投入和研究能力后，合作研发对小企业的研究生产力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.