学术合作网络与研究影响——基于我国高校科学家的微观证据

本文从社会资本理论出发,以清华大学8个工科院系为对象,研究了社会资本是如何影响学术产出成果以及不同社会资本维度之间的相互关系。研究结果表明：社会资本的结构性维度对于学术成果产出具有正向的促进作用,由于学科特征差异,关系性维度和认知性维度对于学术成果的正向影响在部分院系显著。关系性维度和认知性维度在一定程度上对结构性维度有着正向的显著影响,从而帮助科学家获得有利的网络位置。     

基础研究与企业技术绩效——来自我国大中型工业企业的经验证据

本文旨在考察基础研究对我国企业技术创新的作用机理与效果,采用1998-2009年我国30个省市大中型工业企业面板数据,研究发现基础研究显著地促进了企业的技术创新支出和产出,且产学研合作、企业规模及国有产权等因素对基础研究促进企业创新产生了不同且重要的影响.此外通过国内外比较发现我国存在着基础研究支出占R&D经费的比例较低,基础研究、应用研究和试验发展的投入比例失衡,基础研究总体投入不足等问题.     

公共孵化器VS商业孵化器——孵化器市场结构演进过程

首先以产业的技术绩效为切入点,通过SCP范式分析了美国孵化器市场结构的有效性,发现信息产业革命在美国孵化器市场结构演化中的作用,预示了新一轮科技革命背景下,我国孵化器市场结构可能也会发生改变;为寻求这一变化均衡点,构建商业孵化器与公共孵化器在我国孵化器市场结构中的演化博弈模型,表明变化均衡点是根据产业主导技术所处阶段,商业孵化器与公共孵化器对新兴产业和战略性新兴产业孵化选择的结果。最后用数值仿真予以刻画。     

论市场结构与企业技术创新

企业技术创新是一项与市场结构密切相关的活动 ,企业总是在一定的市场结构形态中从事创新。在现代西方产业组织理论中 ,根据市场竞争和垄断程度 ,可以将市场结构分为完全垄断的市场结构 ,完全竞争的市场结构和垄断竞争的市场结构三种形态。本文分析了三种市场结构形态对企业技术创新的不同作用 ,并提出了优化市场结构 ,推动企业技术创新的路径。一、三种市场结构形态对技术创新的不同作用企业技术创新是以市场为导向 ,以提高企业竞争力为目标 ,从新产品开发、新工艺的产生 ,经过技术的获取、工程化和商业化的生产 ,到投放市场整个过程的一系…     

组织内知识市场有效性的结构与测量

知识是竞争优势的主导性来源,运用市场机制管理知识能够有效地提升组织内知识的效能,这种知识市场的有效性直接决定了组织能否获取知识优势。本文首先采用开放式问卷对107名管理者与员工进行了调查,归纳性分析表明组织内知识市场有效性包括六类影响因素;其次,选取315个样本对组织内知识市场有效性的影响因素进行了实证检验,结果表明组织内知识市场有效性是一个五因素的结构,同时本文设计的量表具有较好的信度和效度。这一理论结构的发现以及相应量表的研制具有重要的理论价值和应用价值。     

一种由需求驱动的信息技术创新与扩散政策生成体系

分析了信息技术创新扩散的因果关系。认为 ,IT市场的信息不完全性、市场结构、信息技术网络外特性 ,是决定信息技术创新扩散的原因。针对传统的、单一的以信息技术R&D为目标的IT政策 ,或单一的面向扩散的信息技术政策 ;提出了一种由信息技术市场需求驱动的、协调信息技术供应商、信息技术潜在接受者、信息技术政策决策者关系的IT政策产生系统及其输出 ,其目的在于调节信息技术扩散速率 ,使其达到Pareto意义下的最优扩散路径 ,并详细地分析了该信息技术政策体系的结构与原理。     

论市场结构变迁的决定因素--以电信产业为例

本文观察了以电信行业为代表的自然垄断行业的市场结构变迁与制度、技术之间的关系,并在此基础上进行理论分析、总结,结果发现在众多影响市场结构的因素中,最重要的、具有决定性作用的因素是制度和技术。两者的作用机制有所不同,在一些情况下,制度因素的决定性作用更为显著,但在别的情况下则可能相反。     

Technological knowledge base, R&D organization structure and alliance formation: Evidence from the biopharmaceutical industry

We explore how an incumbent firm's internal knowledge and organization structure influences its strategic alliance formation. We propose that the firm's knowledge breadth and the centrality of its R&D organization structure positively influence its absorptive capacity, and consequently, its propensity to form strategic alliances. We also argue that the centrality of the R&D organization structure may be a substitute for the breadth of the knowledge base. We validate our ideas using data on 2647 strategic alliances formed over the period of 1993-2002 by 43 major biopharmaceutical firms in the U.S. and Europe. Our discussion focuses on the application of the knowledge-based view of the firm to strategic alliance research. The implications for public policy in the biopharmaceutical industry are also emphasized.     

Short-term incentives of research evaluations: Evidence from the UK Research Excellence Framework

We document incentive effects of the evaluation deadlines in the UK’s performance-based research funding system. Studying 3,597,272 publications by UK researchers, we find that publications just before assessment deadlines obtain substantially fewer citations and are published in venues with lower impact factors. These trends reverse abruptly after the deadlines. We discuss different factors that contribute to this observation and provide evidence that evaluation deadlines are likely to set incentives against investment in research quality and long-term topics. We conclude that where such shifts in research incentives are not intended, they might require balancing by additional incentives for exploratory, long-term oriented research.     

股权结构与R&D投入的相关性检验——来自创业板市场的经验证据

选取2011—2014年创业板上市的281家公司为研究对象,对股权结构与RD投入的相关性关系进行实证研究。结果发现大股东具有攫取控制权私有收益的倾向,导致大股东的堑壕效应,股权集中度与RD投入呈显著的负相关关系;第二到第五大股东能够对第一大股东实施有力的制衡,股权制衡度与RD投入呈显著的正相关关系;机构投资者能够理性投资,参与公司治理,机构投资者持股与RD投入呈显著的正相关关系。     

Non-competes and innovation: Evidence from medical devices

Despite two decades of research on non-competes, whether non-competes promote or inhibit innovation remains an open question. The lack of consensus rests on not only the theoretical ambiguity but also the empirical limitations. Marshalling data on introductions of new medical devices as the direct measure of innovations in the medical devices industry and decomposing innovations according to their exploitative or exploratory natures, this work shows that an increase in the enforceability of noncompetes is associated with a higher rate of exploitative innovations and a lower rate of exploratory innovations. Further analysis shows that through such a shift of attention in the innovation process, an increase in the enforceability of non-competes results in a higher rate of total innovations. The implications and caveats of the enforcement of non-competes for stimulating innovation are discussed.     

Productivity gains from migration: Evidence from inventors

This paper studies the relationship between migration and the productivity of high-skilled workers, as captured by inventors of international patent applications. Using machine learning techniques to uniquely identify inventors across patents, we are able to track the migration patterns of nearly one million individual inventors across countries. Migrant inventors account for more than nine percent of inventors in our sample. The econometric analysis seeks to explain the recurring finding in the literature that migrant inventors are more productive than non-migrant inventors. We find evidence that migrant inventors become about twenty-three percent more productive after having migrated. The disambiguated inventor data are openly available.     

我国汇市和股市相关性的实证研究

以2005年7月21日中国汇率制度改革事件为契机,实证研究了人民币升值以来汇率与中国沪深两市主要股票指数之间的长期和短期相互关系.结果表明,长期运行关系来说,汇率与各主要股指有稳定的均衡关系;短期波动状况来说,汇率对A股指数有单向的Granger因果传递关系,而与B股指数之间没有因果传导关系.     

Entrepreneurs from technology-based universities: Evidence from MIT

This paper analyzes major patterns and trends in entrepreneurship among technology-based university alumni since the 1930s by asking two related research questions: (1) Who enters entrepreneurship, and has this changed over time? (2) How does the rate of entrepreneurship vary with changes in the entrepreneurial business environment? We describe findings based on data from two linked datasets joining Massachusetts Institute of Technology (MIT) alumni and founder information. New company formation rates by MIT alumni have grown dramatically over seven decades, and the median age of first time entrepreneurs has gradually declined from about age 40 (1950s) to about age 30 (1990s). Women alumnae lag their male counterparts in the rate at which they become entrepreneurs, and alumni who are not U.S. citizens enter entrepreneurship at different (usually higher) rates relative to their American classmates. New venture foundings over time are correlated with measures of the changing external entrepreneurial and business environment, suggesting that future research in this domain may wish to more carefully examine such factors.     

Long-run versus short-run decisions: R&D and market structure in Spanish firms

I present new econometric evidence on the relation between market structure and R&D using data on Spanish firms. I adopt a different approach from previous studies by distinguishing between long-run and short-run decisions of firms regarding R&D. I assume that the long-run or strategic decision is whether to conduct R&D or not, and the short-run choice is how much to invest once the firm decides to be innovative. I argue that market structure affects long-run R&D decisions but does not affect short-run ones. A Heckman-type selection model is used to test such a relation. The results are robust to several specifications and measures of monopoly power.     

Ranking researchers: Evidence from Indonesia

In the span of three years, Indonesia went from being the second worst to the top producer of scientific journal articles in Southeast Asia. We investigate whether a transparent system of ranking every single researcher in the country based on publications and citations (SINTA) contributed to this turnaround. Using panel data from over 200,000 Indonesian researchers (and comparing to researchers from Thailand and the Philippines), we show that the implementation of SINTA coincides with changes in the production of publications by Indonesian researchers consistent with the weights used in the ranking formula. Although we see modest improvements in publication rates in top-ranked journals, 62 % of the observed increase in total publications is from conference proceedings. Because SINTA was launched around the same time as other policies that focused on increasing publications, isolating the precise impact of SINTA remains challenging. Nevertheless, after accounting for such policies, our results imply that a ranking and evaluation system for researchers can contribute to overall improvements in scientific capacity in low- and middle-income countries.     

财务重述与债务融资的实证研究——来自中国资本市场的证据

针对上市公司发布财务重述公告是否会影响企业债务筹资规模,以及财务重述公告对历史财务报告修正的幅度对债务筹资规模的影响问题,本文以2008～2010年间沪深两市A股主板发布财务重述公告的企业为研究样本,选取配对样本,进行回归分析.结果表明财务重述企业债务筹资规模显著减少,财务重述项目数、相对重述调整金额与债务筹资额负相关.     

行业竞争、资本结构与产品市场竞争力

摘要：本文以我国上市公司的数据为样本,利用企业的投资能力和市场份额描述产品市场竞争力,从行业竞争差异的角度探讨了资本结构对我国企业产品市场竞争力的影响。研究表明资本结构对企业的产品市场竞争力具有显著影响,且这种影响对处于不同竞争程度行业的企业有所差异。资本结构的提高对企业的投资能力会产生负效应,且这种负效应随着行业竞争程度的下降也会有所减弱。总体上,资本结构的提高有利于市场份额的提高,且这种正效应也会随着行业竞争程度的下降而下降。但当企业本身资本结构已经处于一个较高的水平时,资本结构的提高易使企业的市场份额下降,从而可能陷入财务危机,尤其当行业竞争激烈时。本文的研究不仅丰富了我国资本结构对产品市场竞争力影响的研究文献,也为企业决策者在制定目标资本结构时提供了参考。     

加价能力、行业结构与企业研发投资——市场势力与技术创新关系的再检验

市场势力是影响企业技术创新的重要因素,来自不同国家样本的实证检验得到了丰富而多样的经验证据,但学者们普遍忽视了一个重要问题,即市场势力在企业和行业层面具有的不同内涵,以及二者对企业技术创新行为的差异性影响。本文创新性地从微观和中观两个层面,将市场势力分为个体企业拥有的加价能力和表征市场竞争情况的行业结构,从理论上阐述了加价能力与行业结构影响企业研发投资的机制,进而构建双层线性模型处理行业和企业的双层结构数据,以中国制造业二位码行业和微观企业数据为样本进行了实证检验,结果表明：勒纳指数对企业研发投资的影响显著为负,说明加价能力越强创新投入反而越低,并不存在预期的熊彼特效应;对于有研发企业而言,行业结构通过勒纳指数发挥间接作用,市场集中度的降低有利于削弱勒纳指数对企业研发投资的抑制作用,产生逃离竞争效应,而此种效应在大中型企业中更为突出,对于行业中的小型企业而言,市场竞争并不能起到激励研发投资的效果。     

基于竞争优势的地区高技术产业发展策略研究——以海南省为例

如何培育高技术产业竞争优势是未来我国高技术产业发展的着眼点。在吸收现有产业竞争优势理论成果的基础上,以海南省高技术产业发展为例,对海南省高技术产业的产业规模、产业结构、产业能力进行了系统分析,基于竞争优势培育视角提出了通过促进产业集聚形成降低经营成本、突出重点发展产业、构筑区域品牌优势、建设创新平台、服务培育自主创新能力以及完善配套服务体系等多种发展策略,以期为海南省及我国其它地区的高新技术产业发展提供理论和实践参考。