技术创新与企业规模关系的形成与转化

,(,116025):,U,U1991-2005,U,,,,U:;;;U:F204;F273:A:1002-9753(2008)12-0096-09ResearchonFormationandTransformationoftheRelationbetweenTechnologicalInnovationandFirmSizeGAOLiang-mou,LIYu(TheSchoolofBusinessAdministration,DongbeiUniversityofFinance&Economics,Dalian116025,China)Abstract:ThearticleexplainsthereverseUmodelsformingandevolutioncharacterwiththekeyconceptsofthedi2rectivetechnologicalinnovationandin-directivetechnologicalinnovation,throughlinearseparationonthereverseUrelationbetweenfirmsizeandtechnologicalinnovation,itexplainsthedisputaionbetweentheSchumpetershypothe2sisandreverseUrelationinthesameanalysisframe.AdoptingdataofChineseindustrialenterprise1991-2005,wefindreverseUmodelforthefirmsizeandtechnologicalinnovation,andseverallinearrelationshipbetweenthedirec2tive,in-directivetechnologicalinnovationandfirmsize.Thereasultofempiricalstudyshowsthattheorganizationinertiaofbigformhaslockedeffectsontechnologicalnormal,whichdoesgoodtothedirectivetechnologicalinnova2tion.Whilethecompetitivemarketisthemainfactorforsmallenterprisekeeponin-directivetechnologicalinnova2tion,thereverseUmodelrepresentsthecomprehensiveeffectthatfirmsizeinfluencesonthetwokindsoftechnologicalinnovations.Keywords:firmsize;technologicalinnovation;Schumpetershypothesis;reverseUrelation,(Schum2petershypothesis,1942)[1]U:2008-05-19:2008-11-19::(1959-),,,69200812,,Galbraith(1952)[2]Villard(1958)[3],:Worley(1961)Mansfield(1968)[4,5],Hamberg(1966)Comanor(1985)[6,7],Jaffe(1988)[8]Scherer(1965)Markham(1965)[9-10],,,SchererUU,,,Soete(1979)Kamien&Schwartz(1982)U,U[11-12]U,,U;,,(Acs&Audretsch,1991)[13],,,,SONY,,,,U():U,,,,,,,,(Utterback,1994)[14],(Christensen,1997)[15],,,,,,,,,,,,,,,;,,79,,,,,,,,,,,,,,,,,,,,,,,,,,,():U,(Tushman,1997)[16],,,U,,Tushman(1997),,,1.,,(Levinthal,1990)[17],,(ManiS.,1999)[18],,,,89200812,,(Scherer.F.M,1990)[19],,,,(,2002)[20],Christensen(1997),,,,(),,,2.,(Rosenberg,1976)[21],,,(Phlips,1971)[22]Lee(2005),R&DR&DR&D,R&D,R&D[23],Koeller(1995)[24],,Shrieves(1978)[25],,,,R&DGayle(2001)[26],,,,(),,,,--,44(:):+;-9913/PAIN100/7.42854.390053/DIRE100/.6959.863543/QIDIR%.6606.19918/SIZE/.4609.21010/SSIZE/.8208.86093/NSSI/.5470.33037/VMAR%.4777.13677/GDPOPEN%.4062.10159/GDPGOVC%.1482.02748GDPGDP/GPER/1.2009.59343:3,:1997,1998,2006,;50,;2002,2003,;2002,2004,()1991-2005U,1(Scherer,1965;Bound,1984[27];Gayle,2001),,3,,,,,,,,,,,,(),;,,,,,,;,,3,,,,,,,,001200812,,,,,;,;,,GDP;,GDP;GDP,GDPU,,:PAINt=0+1SIZEt+2SIZEt2+3VMARt+4OPENt+5GOVCt+6GPERt(1)DIREt=0+1SIZEt+2SSIZEt+3NSSIt+4VMARt+5OPENt+6GOVCt+7GPERt(2)QIDIRt=0+1SIZEt+2SSIZEt+3NSSIt+4VMARt+5OPENt+6GOVCt+7GPERt(3)(),White,OLS(1)(2)(3)2,D-W1.7850312.0301.763,,2,(1)2PAIN(1)DIRE(2)QIDIR(3)11231-1462.3953(-2.111256)-.105(-1.399)-1.162333(.357)-.7603(-2.111)1.325333(22.220)SIZE0.63802633(2.731971)-.373(-1.782)-.251(-1.420).207(.639)-.033(-.250)SIZE2-3.18E-0533(-2.292772)SSIZE.976333(15.179).613333(4.678).907333(5.173)-.114(-.863)NSSI.121(2.106).090(1.901).052(.981)-.104-1.283)VMAR-352.6002(-0.350453).174(1.866).117(1.474).097(1.388)-1.390333(-11.559)OPEN-1006.681(-0.797759).392(3.002)3.33433(3.002).33933(2.922)-.002(-.017)GOVC8892.84133(2.221938).054(.524)1.134(.281).073(1.050)-.343(-1.785)GPER-556.6088(-1.154459)-.335(-2.251)-.263(-2.206)-.3833(-2.206)-.022(-.193)R2.920290.942.964.973.905D.W.1.7850312.0301.763:33333310%5%1%101(SIZE),SIZE2,5%,U,(GOVC)5%;(2)(3),(2)3,(SSIZE)1%,,(OPEN)5%,GDP(GPER)10%(3)(VMAR)1%,(1)U,(2)(3)U:,,,;,,(),,(,1998;,2005;,,2006)[28-30],,,(2005)[31],,,,,,,,5.3,0.21,,,,,,,,,,,,U,,,;,,201200812,,,,,,,,,,,(1),GDP,,,;(2)GDP5%10%,,,,,,,,,,,GDP,,,GDP,:[1]SchumpeterJ.Capitalism,SocialismandDemocracy[M].NewYork:Harper&Row,1942.[2]Galbraith,J.K.AmericanCapitalism:TheConceptofCountervailingPower[M].Boston:HoughtonMifflin,1952.119-121.[3]Villard,H.H..Competition,Oligopoly,andResearch[J].JournalofPoliticalEconomy,1958,66(6):483-497.[4]WorleyJ.S.IndustrialResearchandtheNewCompetition[J].JournalofPoliticalEconomy,1961,69:183-86.[5]MansfieldE..IndustrialResearchandTechnologicalInno2vation[M].NewYork:W.W.Norton,1968.[6]Hamberg,D.EssaysontheEconomicsofResearchandDevelopment[M].NewYork:RandomHouse,1966.[7]Comanor,WilliamS.,Frech.HE.III.TheCompetitiveEffectsofVerticalAgreements[J].AmericanEconomicRe2view,1985,75(3).[8]Jaffe,A.B.DemandandSupplyInfluencesinR&DIn2tensityandProductivityGrowth[J].ReviewofEconomicsandStatistics,1988,70(3):431-437.[9]Scherer.FirmSize,MarketStructure,OpportunityandtheOutputofPatentedInventious[J].AmericanEconomicReview,1965.[10]J.W.Markham.MarketStructure,BusinessConductandInnovation[J].AmericanEconomicReview,1965,55(5):323-324.[11]Soete.LucLG.FirmSizeandInventiveActivity:theEvidenceReconsidered[J].EuropeanEconomicReview,1979:319-324.[12]Kamien,MortonI.,Schwartz,NancyL.DynamicOpti2mization[M].NewYork:ElsevierNorthHolland,Inc.,1982.[13]Acs,Audretsch.InnovationandSizeattheFirmLevel[J].SouthemEconomicJournal,1991,37(3):739-744.[14]Utterback,J.M..MasteringtheDynamicsofInnovation[M].HarvardBusinessSchoolPressBoston,MA.1994.[15]Christensen,C.M..TheInnovatorsDilemma:WhenNewTe