学术型创业企业的创新机制与政策激励效应——基于人工智能产业A股上市公司数据的数值模拟分析
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摘要
本文基于人工智能、大数据等新一代信息技术产业中越来越多的科研人员从事学术型创业的现象,通过与传统的商业型创业企业进行对比分析,刻画学术型创业企业的创新机制,揭示政府创新激励政策对学术型创业的作用机制及效果,进而通过建立动态优化模型,利用人工智能产业A股上市公司数据进行数值模拟,对相关研究假设进行验证。主要结论有:学术型创业企业的创新活动具有"厚积薄发"的特点,更容易产生颠覆性重大创新;学术型创业企业在发展初期以消化原有科研成果为主,R&D投入比较平稳,但在建立起相对稳定的成果转化机制后,R&D投入和技术积累水平会出现迅速提升;财政补贴对于学术型创业企业的R&D活动具有显著的正向促进作用,其政策激励效应强于税收优惠。为此,政府有关部门、高等院校和科研机构应共同搭建平台,鼓励并促进学术型创业,对学术型创业企业建立有针对性的创新激励制度,进一步完善企业的治理结构和创新机制。
Based on the phenomenon that more and more researchers in the new generation of information technology industry such as artificial intelligence and big data are engaged in academic entrepreneurship,this paper contrasts the academic entrepreneurship with ordinary start-ups,and analyzes the effect of innovation incentive policy with a dynamic optimization model and numerical simulation using the data of A-share listed companies in the artificial intelligence industry.The main conclusions are as follows:the innovative activities of academic entrepreneurs have the characteristics of profound accumulation and is more prone to subversive innovation;academic entrepreneurs mainly digest the original scientific research achievements at first,while R&D investment is relatively stable,but the level of R&D investment and technology accumulation will be rapidly rised after the establishment of a relatively stable achievement transformation mechanism;and fiscal subsidies have a better incentive effect on R&D activities of academic start-ups than that of tax incentives.This paper also puts forward corresponding countermeasures and suggestions.
Based on the phenomenon that more and more researchers in the new generation of information technology industry such as artificial intelligence and big data are engaged in academic entrepreneurship,this paper contrasts the academic entrepreneurship with ordinary start-ups,and analyzes the effect of innovation incentive policy with a dynamic optimization model and numerical simulation using the data of A-share listed companies in the artificial intelligence industry.The main conclusions are as follows:the innovative activities of academic entrepreneurs have the characteristics of profound accumulation and is more prone to subversive innovation;academic entrepreneurs mainly digest the original scientific research achievements at first,while R&D investment is relatively stable,but the level of R&D investment and technology accumulation will be rapidly rised after the establishment of a relatively stable achievement transformation mechanism;and fiscal subsidies have a better incentive effect on R&D activities of academic start-ups than that of tax incentives.This paper also puts forward corresponding countermeasures and suggestions.
引文
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[2]黄扬杰,侯平,李燕.国外学术型创业研究现状的知识图谱分析[J].高教探索,2013(6):88-92.
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[5]CHRISMAN J J,HYNES T,FRASER S.Faculty entrepreneurship and economic development:the case of the University of Calgary[J].Journal of Business Venturing,1995,10(4):267-281.
[6]O’SHEA,ALLEN T J,O’GORMAN C,et al.Universities and technology transfer:a review of academic entrepreneurship literature[J].Irish Journal of Management,2004,25(2):11-29.
[7]SIEGEL D S,WRIGHT M,LOCKETT A.The rise of entrepreneurial activity at universities:organizational and societal implications[J].Industrial and Corporate Change,2007,16(4):489-504.
[8]孙伟.学术型创业企业的发展路径及成功要素研究[D].鞍山:辽宁科技大学,2016.
[9]李华晶,邢晓东.学术创业:国外研究现状与分析[J].中国科技论坛,2008(12):124-128.
[10]汪怿.学术创业:内涵、瓶颈与推进策略[J].教育发展研究,2013(17):15-23.
[11]陈劲,陈风华,朱学彦.学术型创业家特质要素、人力资本作用路径与创业环境分析——中国的案例发现[J].科研管理,2005(S1):112-117.
[12]易朝辉,孙宁.学术型创业者动机、创业导向与大学衍生企业绩效研究[J].研究与发展管理,2012(1):93-102.
[13]黄攸立,薛婷,周宏.学术型创业背景下学者角色认同演变模式研究[J].管理学报,2013(3):438-443.
[14]陈劲,朱学彦.学术型创业家与企业绩效关系研究[J].中国软科学,2006(4):124-129.
[15]黄扬杰,邹晓东.学科组织学术创业力与组织绩效关系研究[J].教育研究,2015(11):56-63.
[16]DIAMOND JR A M.Does federal funding “crowd in” private funding of science?[J].Contemporary Economic Policy,1999,17(4):423-431.
[17]BERUBE C,MOHNEN P.Are firms that receive R&D subsidies more innovative?[J].Canadian Journal of Economics,2009,42(1):206-225.
[18]CZARNITZKI D,HOTTENROTT H,THORWARTH S.Industrial research versus development investment:the implications of financial constraints[J].Cambridge Journal of Economics,2011,35(3):527-544.
[19]WALLSTEN S J.The effects of government-industry R&D programs on private R&D:the case of the small business innovation research program[J].The RAND Journal of Economics,2000,31(1):82-100.
[20]BUSOM I.An empirical evaluation of the effects of R&D subsidies[J].Economics of Innovation and New Technology,2000,9(2):111-148.
[21]GORG H,STROBL E.The effect of R&D subsidies on private R&D[J].Economica,2007,74(294):215-234.
[22]毛其淋,许家云.政府补贴对企业新产品创新的影响——基于补贴强度“适度区间”的视角[J].中国工业经济,2015(6):94-107.
[23]MAMUNEAS T P,NADIRI M I.Public R&D policies and cost behavior of the US manufacturing industries[J].Journal of Public Economics,1996,63(1):57-81.
[24]戴晨,刘怡.税收优惠与财政补贴对企业R&D影响的比较分析[J].经济科学,2008(3):58-71.
[25]王梓雄.驱动企业创新的微观机制:一个研究综述[J].现代管理科学,2018(8):70-72.
[26]YAN J,LIU J J,LI K X.Threshold control of mutual insurance with limited commitment[J].Insurance:Mathematics and Economics,2008,43(1):108-115.
[27]汤丹沁.产品市场随机冲击下寡头企业的资本结构决策研究[D].上海:复旦大学,2008.
[28]段文奇.基于复杂网络的第三方电子商务平台临界用户规模研究[J].中国管理科学,2014(12):93-101.
[29]马键,钱金保,王少林,等.网络产业中的非对称规制政策——基于马尔科夫精炼均衡的数值模拟[J].产业经济评论,2015(3):28-39.
[30]生延超.创新投入补贴还是创新产品补贴:技术联盟的政府策略选择[J].中国管理科学,2008(6):184-192.
[31]胡荣,陈圻,王强.双寡头动态R&D竞争的复杂性研究[J].管理工程学报,2011(2):118-123.
[32]YANG Y.Government preference and the optimal choice of R&D subsidy policy:innovation subsidy or product subsidy?[J].Journal of Applied Mathematics,2014,2014(4):1-9.
[33]付宇.我国汽车产业研发竞争问题研究[D].成都:西南财经大学,2016.
[34]孙喜保.我国人工智能产业正在形成规模[EB/OL].(2018-08-10)[2018-09-12].http://www.xinhuanet.com/info/2018-08/10/c_137378722.htm.
[35]GONG L,ZOU H.Fiscal federalism,public capital formation,and endogenous growth[J].Annals of Economics and Finance,2002,4(2):471-490.
[36]肖芸,龚六堂.财政分权框架下的财政政策和货币政策[J].经济研究,2003(1):45-53,93.
[37]骆永民,伍文中.房产税改革与房价变动的宏观经济效应——基于DSGE模型的数值模拟分析[J].金融研究,2012(5):1-3,5-14.
[38]曹景林,赵宁宁.中国高技术产业R&D资本折旧率的测算[J].统计与信息论坛,2017(6):78-85.
[39]赢家伟业科技孵化器.最高补贴300万!北京2016年海淀区企业研发投入补贴专项申报指南[EB/OL].(2016-08-22)[2018-09-12].http://www.ctoutiao.com/85414.html.
[40]特讯企服.重磅福利!深圳企业研发资助最高可获30%比例啦![EB/OL].(2018-03-26)[2018-09-12].http://e.chengdu.cn/syxw/25277153.html.
(1)括号内的六位数字为股票代码,后同。
(2)此处对于学术型创业企业的具体判断标准是:对于私营企业,要求其创始人或创始团队中的大部分成员具有创业方向相关领域的科研工作背景;对于国有企业,要求该企业由高校或中科院等科研院所创立,或历任董事长均具有相关领域的深厚学术背景。
[2]黄扬杰,侯平,李燕.国外学术型创业研究现状的知识图谱分析[J].高教探索,2013(6):88-92.
[3]STUART T E,DING W W.When do scientists become entrepreneurs?The social antecedents of commercial activity in the academic life sciences[J].American Journal of Sociology,2006,112(1):97-144.
[4]BRYNJOLFSSON E,ROCK D,SYVERSON C.Artificial intelligence and the modern productivity paradox:a clash of expectations and statistics[Z].NBER Working Paper No.24001,2017.
[5]CHRISMAN J J,HYNES T,FRASER S.Faculty entrepreneurship and economic development:the case of the University of Calgary[J].Journal of Business Venturing,1995,10(4):267-281.
[6]O’SHEA,ALLEN T J,O’GORMAN C,et al.Universities and technology transfer:a review of academic entrepreneurship literature[J].Irish Journal of Management,2004,25(2):11-29.
[7]SIEGEL D S,WRIGHT M,LOCKETT A.The rise of entrepreneurial activity at universities:organizational and societal implications[J].Industrial and Corporate Change,2007,16(4):489-504.
[8]孙伟.学术型创业企业的发展路径及成功要素研究[D].鞍山:辽宁科技大学,2016.
[9]李华晶,邢晓东.学术创业:国外研究现状与分析[J].中国科技论坛,2008(12):124-128.
[10]汪怿.学术创业:内涵、瓶颈与推进策略[J].教育发展研究,2013(17):15-23.
[11]陈劲,陈风华,朱学彦.学术型创业家特质要素、人力资本作用路径与创业环境分析——中国的案例发现[J].科研管理,2005(S1):112-117.
[12]易朝辉,孙宁.学术型创业者动机、创业导向与大学衍生企业绩效研究[J].研究与发展管理,2012(1):93-102.
[13]黄攸立,薛婷,周宏.学术型创业背景下学者角色认同演变模式研究[J].管理学报,2013(3):438-443.
[14]陈劲,朱学彦.学术型创业家与企业绩效关系研究[J].中国软科学,2006(4):124-129.
[15]黄扬杰,邹晓东.学科组织学术创业力与组织绩效关系研究[J].教育研究,2015(11):56-63.
[16]DIAMOND JR A M.Does federal funding “crowd in” private funding of science?[J].Contemporary Economic Policy,1999,17(4):423-431.
[17]BERUBE C,MOHNEN P.Are firms that receive R&D subsidies more innovative?[J].Canadian Journal of Economics,2009,42(1):206-225.
[18]CZARNITZKI D,HOTTENROTT H,THORWARTH S.Industrial research versus development investment:the implications of financial constraints[J].Cambridge Journal of Economics,2011,35(3):527-544.
[19]WALLSTEN S J.The effects of government-industry R&D programs on private R&D:the case of the small business innovation research program[J].The RAND Journal of Economics,2000,31(1):82-100.
[20]BUSOM I.An empirical evaluation of the effects of R&D subsidies[J].Economics of Innovation and New Technology,2000,9(2):111-148.
[21]GORG H,STROBL E.The effect of R&D subsidies on private R&D[J].Economica,2007,74(294):215-234.
[22]毛其淋,许家云.政府补贴对企业新产品创新的影响——基于补贴强度“适度区间”的视角[J].中国工业经济,2015(6):94-107.
[23]MAMUNEAS T P,NADIRI M I.Public R&D policies and cost behavior of the US manufacturing industries[J].Journal of Public Economics,1996,63(1):57-81.
[24]戴晨,刘怡.税收优惠与财政补贴对企业R&D影响的比较分析[J].经济科学,2008(3):58-71.
[25]王梓雄.驱动企业创新的微观机制:一个研究综述[J].现代管理科学,2018(8):70-72.
[26]YAN J,LIU J J,LI K X.Threshold control of mutual insurance with limited commitment[J].Insurance:Mathematics and Economics,2008,43(1):108-115.
[27]汤丹沁.产品市场随机冲击下寡头企业的资本结构决策研究[D].上海:复旦大学,2008.
[28]段文奇.基于复杂网络的第三方电子商务平台临界用户规模研究[J].中国管理科学,2014(12):93-101.
[29]马键,钱金保,王少林,等.网络产业中的非对称规制政策——基于马尔科夫精炼均衡的数值模拟[J].产业经济评论,2015(3):28-39.
[30]生延超.创新投入补贴还是创新产品补贴:技术联盟的政府策略选择[J].中国管理科学,2008(6):184-192.
[31]胡荣,陈圻,王强.双寡头动态R&D竞争的复杂性研究[J].管理工程学报,2011(2):118-123.
[32]YANG Y.Government preference and the optimal choice of R&D subsidy policy:innovation subsidy or product subsidy?[J].Journal of Applied Mathematics,2014,2014(4):1-9.
[33]付宇.我国汽车产业研发竞争问题研究[D].成都:西南财经大学,2016.
[34]孙喜保.我国人工智能产业正在形成规模[EB/OL].(2018-08-10)[2018-09-12].http://www.xinhuanet.com/info/2018-08/10/c_137378722.htm.
[35]GONG L,ZOU H.Fiscal federalism,public capital formation,and endogenous growth[J].Annals of Economics and Finance,2002,4(2):471-490.
[36]肖芸,龚六堂.财政分权框架下的财政政策和货币政策[J].经济研究,2003(1):45-53,93.
[37]骆永民,伍文中.房产税改革与房价变动的宏观经济效应——基于DSGE模型的数值模拟分析[J].金融研究,2012(5):1-3,5-14.
[38]曹景林,赵宁宁.中国高技术产业R&D资本折旧率的测算[J].统计与信息论坛,2017(6):78-85.
[39]赢家伟业科技孵化器.最高补贴300万!北京2016年海淀区企业研发投入补贴专项申报指南[EB/OL].(2016-08-22)[2018-09-12].http://www.ctoutiao.com/85414.html.
[40]特讯企服.重磅福利!深圳企业研发资助最高可获30%比例啦![EB/OL].(2018-03-26)[2018-09-12].http://e.chengdu.cn/syxw/25277153.html.
(1)括号内的六位数字为股票代码,后同。
(2)此处对于学术型创业企业的具体判断标准是:对于私营企业,要求其创始人或创始团队中的大部分成员具有创业方向相关领域的科研工作背景;对于国有企业,要求该企业由高校或中科院等科研院所创立,或历任董事长均具有相关领域的深厚学术背景。