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Who Does R&D and Who Patents?

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Author Info
John Bound
Clint Cummins
Zvi Griliches
Bronwyn H. Hall
Adam B. Jaffe

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Abstract

This paper describes the construction of a large panel data set covering about 2600 firms in the U.S. manufacturing sector for up to twenty years which contains annual data on financial variables, employment, research and development expenditures, and aggregate patent applications. This data set is to be used in a larger study of R&D, inventive output and technological change. In the present paper we present preliminary results on the R&D and patenting behavior of the 1976 cross section of these firms. We find an elasticity of R&D with respect to sales of close to unity, with both very small and very large firms being slightly more R&D intensive than average. Because only 60% of the firms report R&D expenditures, we attempt to correct for selectivity bias and find that though the correction is small, it increases the estimated complementarity between capital intensity and R&D intensity. In exploring the relationship of the patenting activity of these firms to their contemporaneous R&D expenditures, we look with some care at the choice of econometric specifications since the discrete nature of the patents variable for our smaller firms may cause difficulties with the conventional log linear model. The choice of specification does indeed make a difference, and the negative binomial model, which is a Poisson-type model with a disturbance, is preferred. Substantively, we find a much larger output of patents per R&D dollar for the small firms, with a decreasing propensity to patent with size of R&D programs throughout the sample. However, this conclusion is highly tentative both because of its sensitivity to specification and choice of sample and also because we expect that errors in variables bias due to our focus on R&D and patent applications in a single year is far worse for the small firms.

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Paper provided by National Bureau of Economic Research, Inc in its series NBER Working Papers with number 0908.

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Date of creation: Jun 1982
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Publication status: published as Bound, J. et al. "Who Does R&D and Who Patents?" R&D, Patents and Productivity, edited by Zvi Griliches. Chicago: Univeristy of Chicago Press, (1984).pp. 21-54.
Handle: RePEc:nbr:nberwo:0908

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  1. James D. Adams & Eric P. Chiang & Jeffrey L. Jensen, 2003. "The Influence of Federal Laboratory R&D on Industrial Research," Rensselaer Working Papers in Economics 0301, Rensselaer Polytechnic Institute, Department of Economics. [Downloadable!]
    Other versions:
  2. Marcel Dagenais & Pierre Mohnen & Pierre Therrien, 1997. "Do Canadian Firms Respond to Fiscal Incentives to Research and Development?," CIRANO Working Papers 97s-34, CIRANO. [Downloadable!]
    Other versions:
  3. Ester Martínez Ros & Vicente Salas Fumás, . "The effect of innovation activity on innovating quasi-rents: an empirical application," Studies on the Spanish Economy 03, FEDEA. [Downloadable!]
  4. Zvi Griliches & Bronwyn H. Hall & Ariel Pakes, 1991. "R&D, Patents, and Market Value Revisited: Is There Evidence of A SecondTechnological Opportunity Related Factor?," NBER Working Papers 2624, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
  5. Bronwyn H. Hall, 1992. "Investment and Research and Development at the Firm Level: Does the Source of Financing Matter?," NBER Working Papers 4096, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
    Other versions:
  6. Alexandre Almeida & Aurora A.C. Teixeira, 2007. "Does Patenting negatively impact on R&D investment?An international panel data assessment," FEP Working Papers 255, Universidade do Porto, Faculdade de Economia do Porto. [Downloadable!]
  7. I. Bertschek, . "How to Stay in The Market? - Products and Process Innovation as a Response to Increasing Imports and Foreign Direct Investment," Sonderforschungsbereich 373 1995-7, Humboldt Universitaet Berlin.
  8. Paulo Brígido Macedo, 2004. "Innovation and productivity performance: how does Minas Gerais compare to other major states? Evidence from PINTEC 2000 and PIA 1996-2001," Textos para Discussão Cedeplar-UFMG td239, Cedeplar, Universidade Federal de Minas Gerais. [Downloadable!]
  9. Wesley M. Cohen & Richard C. Levin & David C. Mowery, 1987. "Firm Size and R&D Intensity: A Re-Examination," NBER Working Papers 2205, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
  10. Solomon Tadesse, 2005. "Financial Development and Technology," William Davidson Institute Working Papers Series wp749, William Davidson Institute at the University of Michigan Stephen M. Ross Business School. [Downloadable!]
    Other versions:
  11. Erik Brouwer & Alfred Kleinknecht & Pierre Mohnen & Hans van Ophem, 2001. "R&D and Patents: Which Way Does the Causality Run?," CIRANO Working Papers 2001s-31, CIRANO. [Downloadable!]
  12. Kelly Edmiston, 2004. "The small business role in economic development," Community Affairs Research Working Paper 2005-01, Federal Reserve Bank of Kansas City. [Downloadable!]
  13. Asher Blass & Oved Yosha, 2003. "Financing R&D in mature companies: an empirical analysis," Economics of Innovation and New Technology, Taylor and Francis Journals, vol. 12(5), pages 425-447, October. [Downloadable!] (restricted)
  14. Gerald Marschke & Jinyoung Kim, . "Labor Mobility of Scientists, Technological Diffusion, and the Firm's Patenting Decision," Discussion Papers 01-03, State University of New York at Albany, Department of Economics. [Downloadable!]
    Other versions:
  15. Jiann-Chyuan Wang & Kuen-Hung Tsai, 2003. "Productivity Growth and R&D Expenditure in Taiwan's Manufacturing Firms," NBER Working Papers 9724, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
  16. Chia Lin, CHANG & Stephane, ROBIN, 2004. "Doing R&D and Importing Technology : an Empirical Investigation on Taiwan’s manufacturing firms," Université catholique de Louvain, Institut de Recherches Economiques et Sociales (IRES) Discussion Paper 2004006, Université catholique de Louvain, Institut de Recherches Economiques et Sociales (IRES). [Downloadable!]
  17. Zvi Griliches & Jacques Mairesse, 1991. "R&D and Productivity Growth: Comparing Japanese and U.S. Manufacturing Firms," NBER Working Papers 1778, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
  18. Daniel K.N. Johnson, 2002. ""Learning-by-Licensing": R&D and Technology Licensing in Brazilian Invention," Economics of Innovation and New Technology, Taylor and Francis Journals, vol. 11(3), pages 163-177, January. [Downloadable!] (restricted)
  19. Frederico Rocha & Ana Urraca Ruiz & Bruno Campos, 2006. "Measuring Technological Opportunity: The Brazilian Case," Anais do XXXIV Encontro Nacional de Economia [Proceedings of the 34th Brazilian Economics Meeting] 7, ANPEC - Associação Nacional dos Centros de Pósgraduação em Economia [Brazilian Association of Graduate Programs in Economics]. [Downloadable!]
  20. Josh Lerner, 2004. "The New New Financial Thing: The Sources of Innovation Before and After State Street," NBER Working Papers 10223, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
  21. Zvi Griliches & Ariel Pakes & Bronwyn H. Hall, 1988. "The Value of Patents as Indicators of Inventive Activity," NBER Working Papers 2083, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
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