转型环境下创业战略与新创企业竞争优势关系研究

创新战略有利于企业构建新的价值链，模仿战略是对市场已有价值链的补充，现有研究主要关注创新战略，对模仿战略关注不足，实践中很多新创企业通过模仿战略实现创业成功。特别地，中国转型环境下制度不完善造成的不良竞争环境会制约创新战略，促进模仿战略。然而，实践中这两种战略对新创企业均存在积极影响，选择创新战略还是模仿战略事关新创企业创业成败。考察技术、市场环境和制度环境特征，剖析不同技术和市场环境下不良竞争对创新战略和模仿战略的调节作用。利用153份新创企业样本研究发现：创新战略和模仿战略均有利于竞争优势，但不同环境特征下作用效果存在差异。不良竞争对模仿战略的影响与技术、市场环境特征不相关；对创新战略的影响与技术、市场环境特征相关。创新战略和模仿战略并不存在孰优孰劣，是一定约束条件下新创企业战略决策的结果。     

Can Countries with Severe Labor Market Frictions Gain from Globalization?

The interaction between increased Southern trade integration (globalization) and labor market frictions is analyzed in a dynamic general-equilibrium North–South nonscale growth model with endogenous Northern innovation and endogenous Southern imitation. The qualitative employment, growth, and relative-wage effects of globalization are shown to depend crucially on the degree of Northern labor market frictions. I demonstrate that only Northern countries with particularly large labor market adjustment costs for both firms and workers benefit from globalization in terms of permanently lower unemployment, temporarily faster growth, and permanently higher wages. This is because of the resulting general-equilibrium feedback effects of Northern labor market frictions that deter Southern imitation incentives. The result does not imply the recommendation to increase Northern labor market rigidities, but it challenges the common belief that labor market flexibility helps Northern countries to better adjust to the "globalization threat" coming from the South.     

Competition and product cycles with non-diversifiable risk

This paper analyzes the growth effects of competition in a product-cycle model with innovation, imitation and non-diversifiable risk. Imitation leads to oligopolistic competition and innovation restores a monopoly in the market. In contrast to the models that assume diversifiable risk, this paper shows the following. Positive profits in the oligopoly stages of the product cycle are necessary for technological change. A little intensity of competition is growth diminishing. Only if the intensity of competition exceeds a critical level, its increase enhances growth.      

非正规部门竞争与企业创新行为关系研究

非正规部门快速发展在缓解中国就业压力、满足低端需求和促进经济增长的同时,对中国制造业企业经营带来了很大影响。基于2012年世界银行营商环境调查数据,分析非正规部门灰色竞争对中国制造业企业创新活动的影响。研究发现：非正规部门灰色竞争显著增加企业研发投入倾向和研发投入强度;灰色竞争与企业产品创新活动有显著正相关关系,但未发现与企业流程创新活动有显著关系;制造业中高新技术企业创新活动受非正规部门灰色竞争的影响相对较弱。用工具变量控制内生性后,以上结论依然成立。为了应对非正规部门的灰色竞争,制造业企业应不断强化研发投入,通过模仿创新和微创新的方式加速产品更新升级,以区分于非正规部门的产品。     

企业家技术进步路径选择与经济增长

发达国家的知识和技术进步速度越快,发展中国家越是能收到技术模仿的好处,从而带来较高的经济增长率。越是接近技术前沿的发达国家,创新型企业家的作用越大,离技术前沿越远的发展中国家,模仿型企业家的作用往往更明显。发展中国家的企业家通过知识过滤、吸收、模仿、"干中学",不断积累人力资本和物质资本,为自主创新积蓄力量,最终能实现模仿式创新和自主创新的良性互动。     

Competition, Imitation and Growth with Step-by-Step Innovation

Is more intense product market competition and imitation good or bad for growth? This question is addressed in the context of an endogenous growth model with "step-by-step" innovations, in which technological laggards must first catch up with the leading-edge technology before battling for technological leadership in the future. In contrast to earlier Schumpeterian models in which innovations are always made by outsider firms who earn no rents if they fail to innovate and become monopolies if they do innovate, here we find: first, that the usual Schumpeterian effect of more intense product market competition (PMC) is almost always outweighed by the increased incentive for firms to innovate in order to escape competition, so that PMC has a positive effect on growth; second, that a little imitation is almost always growth-enhancing, as it promotes more frequent neck-and-neck competition, but too much imitation is unambiguously growth-reducing. The model thus points to complementary roles for competition (anti-trust) policy and patent policy.     

DO INTELLECTUAL PROPERTY RIGHTS MATTER TO TAIWAN'S EXPORTS? A DYNAMIC PANEL APPROACH

This article analyses whether and how Taiwan's exports are sensitive to national differences in intellectual property right (IPR) protection, as well as the degree of imitation threat. Applying a longitudinal IPR index developed by the World Economic Forum (WEF) and using the generalized method of moments dynamic panel data modelling technique to control for endogeneity and panel unit root problems, the empirical results show that the strength of importing countries' IPR protection has a positive impact on Taiwan's exports, supporting the standpoint of market expansion that stronger IPR protection will induce more trade. Under various classification systems to differentiate the degree of threat of imitation across countries, both positive and negative export effects of IPR are found in Taiwan's case. However, the pattern of threat of imitation–trade nexus seems to contradict theory predictions. Moreover, high‐tech exports are found be more IPR sensitive than non‐high‐tech exports.     

An evolutionary model of long term cyclical variations of catching up and falling behind

We generalize a single-country model of endogenous growth to the case of a multi-country world economy in which technology transfer and behavioral imitation are the possible means of interaction between countries. The model is evolutionary in the sense that the economies are disaggregated by behaviourally heterogeneous firms, market selection occurs, and the innovation process is uncertain and stochastic. We demonstrate that this structure leads to a complex process of convergence and divergence over time that can be characterized as 1/f noise. Spectral analysis of measures of convergence for six core OECD countries in the period 1870–1989 reveals a similar pattern in the empirical data.     

The Quality Ladder and Product Variety: Larger Economies May Not Grow Faster

This paper constructs an endogenous growth model that combines the quality ladder model and the variety expansion model. Firms enter an imitation race. After the imitation process, monopolistic competition prevails and a new innovation race begins. A successful firm, by inventing a higher quality product, can take over the entire market. However, the existence of a variety of products limits the price that the successful firm can charge. We show that the present model exhibits an inverted U-shape relationship between market size and growth rate. Relatively large and small economies grow slowly while medium-sized economies grow rapidly.     

Growth, distance to frontier and composition of human capital

We examine the contribution of human capital to economy-wide technological improvements through the two channels of innovation and imitation. We develop a theoretical model showing that skilled labor has a higher growth-enhancing effect closer to the technological frontier under the reasonable assumption that innovation is a relatively more skill-intensive activity than imitation. Also, we provide evidence in favor of this prediction using a panel dataset covering 19 OECD countries between 1960 and 2000 and explain why previous empirical research had found no positive relationship between initial schooling level and subsequent growth in rich countries.     

全球技术进步放缓下中国经济新动能的构建*

人口红利消失、资本边际报酬下降和对外开放带来的技术赶超空间收窄,导致我国潜在产出增速持续下滑。我国需要从模仿赶超阶段向自主创新阶段转型,提升潜在增长率。推动新旧动能转换的重要力量是新一轮结构性改革,尤其是供给侧结构性改革。这次改革需要再次调整市场与政府的关系,将以技术模仿为动力的赶超型模式转变为促进前沿创新的经济治理模式。同时,为了创造稳定的改革环境,需要在长短期平衡中考虑短期政策,短期政策的选择需要考虑未来改革的需要。     

最优专利制度研究

本文构建了一个动态一般均衡模型来研究最优专利长度和最优专利宽度的问题。研究结论表明,最优的专利长度和专利宽度都是有限的。专利长度的增加会通过促进创新来提高社会福利水平,同时,也会导致市场扭曲,从而降低社会福利水平,但随着专利长度的不断增加,前者的效应会小于后者的效应,因此,有限的专利长度是最优的。有效的专利宽度应该一方面使得模仿产品的质量水平不要太低,从而保证模仿产品对专利产品形成潜在的威胁,逼迫专利产品的价格低于垄断价格,减小市场扭曲;另一方面使得模仿产品的质量不要太高,从而保证专利产品能够制定较高的垄断价格,促进创新。     

Innovation,Imitation and Intellectual Property Rights in Developing Countries

This paper sets up a vertically related market model in which imitation and innovation are endogenously determined to study the impact of intellectual property rights (IPR) protection on less‐developed countries. It shows how a less‐developed country switches from imitation to innovation as it develops. It is also found that the relationship between IPR protection and economic development is U ‐shaped. The IPR protection tends to go down and then go up as income rises. This finding also conforms with that in the empirical literature on IPR protection.     

技术创新理论述评

归纳综述了中西方学者的技术创新理论，主要有创新动力论；模仿论与创新扩散模式论；市场结构论与企业规模论；创新与经济增长“逆相位”论；创新源泉论；创新选择论；技术创新长波论等。     

Innovation and imitation: substitutes or complements?

Most of the research on imitation and innovation has focused on developed countries and examined whether imitation promotes or hinders innovation at the macro, industry and intra firm level, and the effect that this has on economic growth. Less research has been conducted about the dynamics that exist between innovation and imitation at the plant-level in developing countries, and the effect that trade policy has on this relationship. This article uses plant-level data from Mexico to analyse the dynamic relationship that exists between innovation and imitation at the microeconomic level. The empirical results suggest that in the context of a developing country, innovation and imitation complement each other and trade policy has no effect on this relationship.     

The inventor’s role: was Schumpeter right?

According to Schumpeter, the creative process of economic development can be divided into the stages of invention, innovation (commercialization) and imitation. Each stage is associated with specific skills. This paper examines whether Schumpeter’s assertion was correct, i.e. whether the invention and innovation stages should be undertaken by different agents. In addition, we examine whether there is a rationale for the Schumpeterian entrepreneur to include the inventor in the commercialization process. Combining the abilities of the entrepreneur and the inventor may serve to facilitate customer adaptation, strengthen knowledge transfers and reduce uncertainty, thereby expanding market opportunities. Based on a unique database covering Swedish patents granted to individuals and small firms, the empirical analysis shows that profitability increases by 22 percentage points when inventions are commercialized by the entrepreneur instead of by inventors. However, active involvement of the inventor is shown to have a significantly positive impact on profitability, irrespective of commercialization mode.     

Private patent protection in the theory of Schumpeterian growth

We develop a Schumpeterian growth model with privately optimal intellectual property rights (IPRs) enforcement and investigate the implications for intellectual property and R&D policies. In our setting, successful innovators undertake costly rent protection activities (RPAs) to enforce their patents. RPAs deter innovators who seek to discover higher quality products and thereby replace the patent holder. RPAs also deter imitators who seek to capture a portion of the monopoly market by imitating the patent holder's product. We investigate the role of private IPR protection by considering the impact of subsidies to RPAs on economic growth and welfare. We find that a larger RPA subsidy raises the innovation rate if and only if the ease of imitation is above a certain level. With regards to welfare, we find that depending on the parameters it may be optimal to tax or subsidize RPAs. Thus a prohibitively high taxation of RPAs is not necessarily optimal. We also show that the presence of imitation strengthens the case for subsidizing R&D.     

收入水平、金融结构与国家技术创新研究

利用85个国家1989—2011年的跨国数据,实证检验不同收入水平下,金融结构对国家技术创新的影响差异。结果显示,高收入水平国家偏向于金融市场的金融结构更加有利于技术创新。基于新结构经济学理论思想,对该结果进行了解释：不同收入水平国家的创新结构不同,即自主研发和模仿创新的比例不同。从事自主研发和模仿创新的企业在风险特征、企业规模方面具有差异,这要求不同比例的金融市场和银行信贷与之匹配。由此,创新结构决定技术创新视角下的最优金融结构。因此,在特定发展阶段,存在与之相匹配的最能有效促进技术创新的金融结构。该结论强调了考虑发展阶段因素的必要性,为新结构经济学相关理论提供了新的实证证据,也具有明确的政策含义。     

技术模仿、技术创新的战略选择模型和经济增长

一国技术水平程度的高低在很大程度上影响和决定了该国经济发展的水平和经济增长的速度,技术水平提高的途径主要有两种:技术模仿和技术创新.但技术创新并不只是发达国家的"专利",技术创新除了与人均资本存量和人均人力资本水平有关外,也与总体的人均资本存量和人力资本水平有关.本文将国家技术发展战略分为四类,并给出了各种不同技术发展战略的情景条件.     

Innovation waves,self-organized criticality and technological convergence

The purpose of this paper is to investigate the evolutionary process of imitation and innovation as a process of searching in a given neighbourhood of firms. The spreading of information through neighbourhoods allows firms to acquire knowledge leading to innovation waves followed by imitation as firms attempt to glean information on best practise techniques. Whilst innovators are temporarily allowed to reap quasi rents, the imitative band wagon effect drives the profit rate down to its normal level. Productivity growth lowers the prices of sectors involved in the process of technological advance, causing obsolescence and creative destruction in a Schumpeterian sense.