基于2009-2013年我国493家上市公司的1132组观测数据,通过数据包络分析计算出上市公司的研发效率,利用独立样本T检验分析国有控股和民营控股的上市公司在社会责任表现以及创新程度方面的差异,再通过一个非平衡面板的多元回归模型,研究企业的研发投入与企业社会责任之间的关系,以及企业的所有制性质对这种关系的影响。结果发现：1)我国国有控股的上市公司,其社会责任表现显著优于民营控股的上市公司,但是研发创新投入却不如民营上市公司；2)企业的研发投入对企业履行社会责任有显著的正向影响；3)这种正向影响,民营控股上市公司表现得比国有控股上市公司更为显著。基于以上结论,企业(特别是民营企业)可以通过识别研发投入中高社会效益的创新,从而更好地提升本身的社会责任表现。

Based on the data from 2009-2013 of 493 listed companies in China, we use data envelopment analysis to calculate the efficiency of R&D intensity and independent samples t-test to examine the level of innovation and corporate social responsibility between SOEs and NSOEs. Then we use the unbalanced panel data and multiple regression model to explore the relationship between R&D intensity and corporate social responsibility, and the impact of ownership on this relationship. The result turns out that: 1) corporate social responsibility of SOEs is better than NSOEs, while SOEs are worse in R&D input; 2) R&D intensity has a significantly positive effect on CSR; 3) the effect of NSOEs is more significant than SOEs. Based on these results, enterprises (especially private enterprise) can improve their corporate social responsibility by recognizing the innovation with high social benefits in R&D.

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教育部人文社科研究规划基金项目“基于多层嵌套随机前沿模型的中国工业企业研发效率研究“(11YJA630053)