欧盟合并控制竞争执法中创新损害问题研究

创新是欧盟竞争法中重要的非价格竞争要素之一，在分析企业合并对创新的影响时，欧盟委员会传统上主要从与特定及明确产品市场相关联的潜在竞争角度进行评估。近几年的执法实践表明，欧盟竞争执法范围已经扩展到具有动态性的创新竞争领域，开始关注无形的创新损害，并通过个案审查逐渐在理论基础、制度依据、执法政策、分析框架和方法等方面形成相对体系化的应对方案。欧盟应对创新问题的竞争执法经验为当下我国反垄断法修订以及执法完善提供了良好参考。     

企业所有权、创新激励政策及其效果研究

文章在构建理论模型的基础上,以上市公司为样本,考察了创新激励政策对国有和民营企业创新能力的异质影响,弥补了现有研究假设创新激励影响同质化的不足。文章研究发现,相同的创新激励对国有和民营企业创新能力的影响是不同的:增强竞争有利于国有企业但不利于民营企业创新能力的提升,而刺激性产业政策和财务宽松度提高则不利于国有企业但有利于民营企业创新能力的提升。此外,竞争政策和产业政策两种不同政策对相同所有权性质企业创新能力的影响也是不同的。     

Does more competition increase business-level innovation? Evidence from domestically focused firms in emerging economies

This paper explores the relationship between the level of competition and innovation output for domestically focused businesses in emerging economies in Central and Eastern Europe and Central Asia. It uses survey data from 5054 businesses from the fifth Business Environment and Enterprise Performance Survey. A multivariate probit estimation of the likelihood of different innovation types finds that higher levels of competition are associated with greater likelihood of innovation, but this rises at a decreasing rate as competitor numbers grow. Also, firms operating in economies where competition policy is more effectively enforced are more likely to innovate. However, there is a point where ‘too much’ competition leads to less innovation – suggesting a tipping point effect. This suggests that policies to maximise competition, as measured by number of competitors, may not be optimal for promoting innovation in emerging economies. This requires a need for more nuanced competition policy approaches. The paper also finds that businesses relying on local markets are significantly less likely to introduce innovations than businesses trading domestically outside their local area, but increased competition in local markets increases the likelihood of businesses introducing product innovation. This points to a local rivalry effect.     

中国企业的需求导向创新实证研究

This paper analyzes the interrelationship among competition, market size and innovation by using the data from total 37 industries in China within a simultaneous equations model. It finds that: (1) Competition and innovation are mutually-enhanced, and this is the consequence of the long-run Darwinian effect in competitive market; (2) Market size and innovation are also positively correlated, because firms’ innovation is essentially demand-oriented (market-oriented), and innovation impelling technological progress will finally increase market size; (3) Between competition and market size, the effect of competition on market size is ambiguous, while the reverse is significantly positive. The policy implication of this paper is as follows: under the condition that China has especially huge market size and market demand, the industry policy of intensifying competition can stimulate firms’ persistent demand-oriented innovation.      

Heterodox Economic Thinking and Public Policy

Research on innovation and entrepreneurship policy (IEP) is almost exclusively concerned with the instrumental question of which policy measures are most effective in promoting “productive” entrepreneurial activities. The positive (political economy) and normative (welfare) dimensions are largely neglected. I focus on the latter, asking what could be a plausible normative rationale for innovation policy beyond the simple invocation of “growth” and the related use of orthodox criteria (such as “market failure”). This is a non-trivial issue, given (i) the ambiguous welfare implications of innovation in general, and (ii) the fact that standard notions of welfare cannot be consistently applied in an entrepreneurial, “Schumpeterian” economy. I suggest a dynamic criterion according to which IEP should ensure that individuals are able to engage in effective preference learning over time. This reconstruction of the normative basis of innovation policy helps clarify several contentious issues, among which are the desirability of selfemployment and the role of social security arrangements.     

Scenarios of technology and innovation policies in Europe: Investigating future governance

In Europe, public research, technology and innovation policies are no longer exclusively in the hands of national authorities: increasingly, national initiatives are supplemented by, or even competing with, regional innovation policies or transnational programmes, in particular the activities of the European Union. At the same time, industrial innovation increasingly occurs within international networks. Are we witnessing a change of governance in European innovation policy? Based on some theoretical assumptions concerning the relationship between the “political systems” and “innovation systems” in Europe, the paper speculates about the future governance of innovation policies, trying to pave ways for empirical analyses. It sketches three scenarios stretching from (1) the idea of an increasingly centralised and dominating European innovation policy arena to (2) the opposite, i.e., a progressive decentralisation and open competition between partly strengthened, partly weakened national or regional innovation systems and finally to (3) the vision of a centrally “mediated” mixture of competition and cooperation between diverse regional innovation cultures and a related governance structure.     

创新政策对我国制造业转型升级的影响——基于政策组合的政策文本研究

创新政策是推动我国制造业转型升级的重要驱动力，在对创新体系和政策组合理论回顾的基础上，使用政策文本量化分析和质性文本分析法，对我国制造业创新政策动态变迁及其对相关创新活动的影响进行研究。结果表明：我国制造业创新政策主体集中度较高、政策主体分布较为广泛、政策发布数量波动较大；环境面政策组合使用最为频繁、需求面政策组合使用最少、总体上对政策组合的使用呈现出“先扬后抑”的倒U型形态；制造业创新体系中4类创新活动强度差异较大；不同政策组合对创新活动的影响差异较大。最后，针对如何利用创新政策推动我国制造业创新变革提出相关对策建议。     

城市科技创新人才政策扩散动力因素时空差异研究

科技创新人才是城市提升创新能力的核心资源,是科技进步的关键要素。科技创新人才政策作为城市争夺人才的工具,被各个城市广泛采纳和使用。以161个城市为研究对象,运用事件史分析方法,探寻城市科技创新人才政策扩散的动力因素并进行时空差异分析。研究发现,城市科技创新人才政策扩散具有双重动力因素：在需求拉动因素中,经济发展水平和财政收入是影响城市科技创新人才政策扩散的主要因素;在压力推动因素中,行政指令、府际竞争和社会舆论显著影响城市科技创新人才政策扩散;在政策扩散平稳增长期,双重动力因素共同作用于政策扩散过程,而在政策扩散加速和减速增长期,城市科技创新人才政策扩散动力因素存在差异;在东、中部地区,压力推动因素占据主导,而在西部地区,双重动力因素都发挥重要作用。     

市场环境变迁和政府政策冲击对民营企业创新绩效的影响——考虑企业竞争战略和政治关联的调节作用

在文献梳理和理论分析的基础上,以中国制造业的655家民营企业为研究样本,构建回归模型,对市场环境变迁和政府政策冲击对企业创新绩效的影响进行实证分析,并进一步检验了企业竞争战略和政治关联在其中的调节作用。结果显示:市场竞争程度对民营企业的创新行为不具有显著影响;政府制定的创新激励政策会显著影响企业的创新绩效,而税收等行业政策及创新抑制政策对民营企业的创新绩效没有显著影响;在当前中国经济进入软着陆时期,自主创新战略比成本领先战略更适合于中国民营企业;与政府保持良好关系有助于民营企业降低市场竞争压力、获取额外资源,从而提升创新绩效。     

打好“组合拳”：低碳政策工具协同对绿色技术创新的影响及机理研究

低碳政策工具是践行“双碳”战略的重要内容，如何以低碳政策工具协同推动经济环境保护双赢。采用中国内地30个省（市、区）（因数据缺失，未含西藏和港澳台地区）2010—2021年的面板数据，系统考察了低碳政策工具协同对绿色技术创新的影响及作用机理。研究发现，低碳政策工具协同显著激励了绿色技术创新，通过替代变量测试、倾向得分匹配、工具变量法进行稳健性检验，该结论依然成立，同时低碳政策工具协同对绿色技术创新的影响因地理分布差异、环境规制差异、环境污染程度差异而存在异质性。空间溢出效应分析可知，低碳政策工具协同对绿色技术创新存在正向空间溢出效应。调节效应分析可知，以GDP为主导的地方政府竞争在低碳政策工具协同与绿色技术创新的关系中存在负向调节作用。     

Entrepreneurial innovations,competition and competition policy

We construct a model where an entrepreneur can innovate for entry or for sale. It is shown that increased product market competition tends to increase the relative profitability of innovation for sale. Increased competition not only reduces the profits of entrants and the acquirer of the inventions in a similar fashion, but also reduces the profit of non-acquirers. Therefore, incumbents' valuations of innovations are less negatively affected by increased competition, and the incentive for innovation for sale can increase with increased competition. Moreover, a stricter, but not too strict, merger policy is shown to increase the incentive for innovations for sale by ensuring the bidding competition for the innovation.     

创新激励:公共财税政策的工具选择

自主创新是一国兴旺发达的不竭动力,是国与国之间科技竞争的焦点。由于技术创新存在市场失灵,所以政府有必要利用政策工具实施干预,以促进本国自主创新事业的发展。从我国实施自主创新政策选择的必要性分析入手,通过对技术创新的理论剖析,得出政府必须运用财税政策实施干预,以及如何进行自主创新导向的财税政策选择。     

What triggers environmental management and innovation? Empirical evidence for Germany

It is frequently hypothesized that environmental management systems (EMSs) may improve firms' environmental innovation performance. Whether this hypothesis is true is as critical for environmental policy as questions pertaining to the relevant incentives for (1) a firm's voluntary adoption of an EMS and (2) its environmental innovation behavior. Based on ample empirical evidence for German manufacturing, this paper addresses the simultaneity of these issues on the basis of a recursive bivariate probit model that explores the hypothesis that a facility's decision on innovation activities is correlated with the decision on EMS adoption. Our empirical results, indicating that environmental innovation activities are not associated with EMS implementation nor any other single policy instrument, reflect the perceptions of the survey respondents and, hence, should be interpreted as correlations rather than causal relationships. According to these perceptions, innovation behavior seems to be mainly correlated with the stringency of environmental policy.     

On positional consumption and technological innovation: an agent-based model

Positional behaviour is arguably a source of social externalities. Remedies for this market failure are defended by some authors and rejected by others. One of the issues discussed is the role that the competition for positional goods may have in generating technological innovation. This article aims to contribute to the understanding of the dynamics of this process through the use of an agent-based model. Simulations show a plausible dynamics of the process of technological innovation as generated by consumption of positional nature. An interpretation of the results in the scope of the policy discussion in question is provided. The influence of key factors such as income inequality, the materialization of the Hirsch conjecture, and characteristics of the network of relative preferences, is analised. We also frame the potential interest of positional consumption and this model in particular in the context of the ongoing discussion among evolutionary economists on the behaviour of demand.     

美国优化创新环境的基本经验

世界范围内创新格局正在深刻调整,美国科技界保持着强烈的忧患意识和进取精神。本文对美国国家科技政策和企业创新战略的研究发现,美国正致力于优化创新环境,鼓励市场竞争以推动创新和技术进步,政府以公共投资大规模投资创新,以应对科技进步日新月异带来的机遇和挑战。     

Competition,patent protection,and innovation with heterogeneous firms in an endogenous market structure

This paper revisits the relationship between competition and innovation by incorporating the heterogeneity of R&D efficiency across firms and an endogenous market structure in a dynamic general equilibrium model. Using an analytically tractable model, we show that competition and innovation can have either an inverted‐U or a negative relationship, as reported by several empirical studies. Furthermore, we show that the effect of strengthening patent protection on innovation depends on the competition level. In particular, we find a complementary relationship between competition policy and the strengthening of patent protection.     

Rights and relations in modern economic theory

The paper is the 1980 Böhm-Bawerk-lecture given at the University of Innsbruck. Starting from Böhm-Bawerk's book. ‘Rights and relations from the point of view of the economic theory of goods’ the paper tries to evaluate rights and phenomena like goodwill from the perspective of innovation. A framework of three levels of economic activity is developed. The three levels are: consumption (the lowest level), production and innovation (the highest level). Rights are interpreted as instruments of protection of higher level activity from lower level activity. Focus of attention are industries with very high rates of technical progress and innovation. There the most important positive externality of innovation is the increased potential for even more innovations. It is argued that competition policy, as a rule of thumb, must foster competition by innovation and must discourage competition by imitation.     

Exploring a theoretical framework to structure the public policy implications of open innovation

Open innovation is increasingly popular among practitioners and scholars, but its implications for public policy making have not yet been analysed in detail. This paper explores a theoretical framework to structure the debate about public policy making that facilitates open innovation. We first define open innovation in terms of firms’ open innovation practices and external conditions that encourage enterprises to practice open innovation. We show that policies for open innovation are legitimate as traditional arguments like market and system failures continue to apply. Next, we identify several guidelines for policymaking. Rather than just offering R&D and interaction-oriented policies, we conclude that open innovation warrants attention in a broader range of policy areas, including entrepreneurship, education, science, labour markets and competition. Developing truly horizontal policies is a major challenge to facilitate open innovation in developed economies.     

我国建设创新型国家的科技创新政策研究综述

走具有中国特色的自主创新道路、建设创新型国家,离不开科技创新政策的支撑。综述了我国知识创新政策、技术创新政策、区域科技创新政策、科技中介服务体系创新政策、国防科技创新体系政策和科技管理体制改革与科技决策机制创新研究现状,指出了我国创新政策研究的不足及其今后努力的方向。     

出口退税和创新补贴政策效应研究

本文构建了一个南北间的静态古诺模型来研究创新激励政策的有效性。研究结论表明,在一定劳动力资源禀赋结构和劳动力市场环境下,发展中国家的出口退税和创新补贴政策能有效激励创新产出,从而提高本国的企业利润、消费者剩余,增加社会福利。但从长远来看,国民教育水平和劳动者素质是决定国家创新产出的根本因素。我们对上述结论还进行了实证检验,发现在我国创新补贴是有效的创新激励措施,而创新补贴政策却不一定有效,其政策效果具有一定的不确定性。