为进一步做好学院优秀科研成果的宣传推介工作，营造良好学术氛围，激发师生科研活力，特推出“学术荟萃”专栏，发布学院科研成果。
中文高水平学术论文
冉征博士后在《管理世界》
合作发表高水平学术论文
【论文题目】技术范式下的创新发展：技术多样化与技术专业化的经济增长效应研究
【发表期刊】《管理世界》
【研究摘要】以颠覆式创新为引领、加快发展新质生产力是推动中国高质量发展的内在要求。本文设计了包含技术范式变革的知识生产函数，构造了技术多样化和技术专业化共存的内生增长模型，基于1985~2017年各省发明专利数据进行实证检验。研究发现：（1）技术范式变革引领了经济增长的周期性波动，缺乏技术范式变革是现阶段中国经济增长率下行的重要原因，当前处于新一轮技术范式变革爆发前阶段。（2）在既定的技术范式下，受知识溢出和范式限制的共同影响，技术多样化的经济增长效应随着地区技术种类增加呈现先增强后衰退的趋势。（3）随着地区中间品平均质量的提升，两类技术创新活动的经济增长效应均出现明显衰减。对加快发展新质生产力的政策含义是，加快加大一系列颠覆性技术基础研究和应用研究投入，实现技术范式加速变革；不断提升产学研合作自由度，优化生产要素创新性配置；因地制宜、因时制宜地进行预见性创新治理，推动各地区产业深度转型升级，先发地区应当完善多主体协同创新体系，推动技术范式变革，使得技术多样化加速涌现，后发地区重点进行有选择地促进技术专业化投资，再逐渐转向技术多样化投资。
杜运周教授团队在《管理世界》
发表高水平学术论文
【论文题目】运用混合方法发展和分析复杂中介模型——以营商环境促进创新活力，协同新质生产力和“就业优先”为例
【发表期刊】《管理世界》
【研究摘要】优化营商环境激发创新活力是发展新质生产力的关键，但是创新对就业可能产生挤出效应。如何在发展新质生产力的同时，实现就业优先战略，是一个复杂系统管理问题，需要发展新的方法论。巴伦和肯尼（1986）提出中介效应模型，为分析自变量对因变量的影响机制提供了可能。然而，传统线性中介模型难以解释多个变量相互依赖导致的多重并发因果和等效性等因果复杂性问题。通过将组态视角和复杂性关系引入中介模型，混合QCA与回归分析方法，本文构建了复杂中介模型，提出了复杂中介分析流程。复杂中介模型拓展了传统线性中介效应模型，为细粒度地分析复杂中介问题、悖论问题等提供了新思路和新方法论，也为开发其他复杂模型、分析复杂系统问题提供了方法论借鉴。本文以“什么样的营商环境促进创新活力，协同新质生产力和就业优先”为例说明如何应用这种模型分析复杂系统问题。研究发现5种营商环境生态可以促进创新活力，赋能新质生产力。其中，法治或政务环境较好、市场和创新环境良好的城市营商环境生态，驱动了创新，进而促进就业。但其它2种城市营商环境生态中，由于法治或政务环境不良，在促进创新的同时，挤出了就业。这说明，需要着力优化法治或政务环境，发挥市场和创新的组合作用驱动新质生产力，进而带动就业增长。研究发现对中国城市优化营商环境，在发展创新主导的新质生产力的同时，改善就业具有积极的理论与实践启示。
邱斌教授在《经济研究》
合作发表高水平学术论文
【论文题目】中国创新模式选择：自主创新抑或技术引进?
【发表期刊】《经济研究》
【研究摘要】本文旨在探讨中国企业的创新模式选择，以及不同创新模式影响企业生产率和销售绩效的供给侧与需求侧机制。本文采用全国创新调查企业数据库，在展现不同创新模式异质性影响的典型事实基础上，将创新模式融入异质性企业贸易模型，进一步采用结构式估计和反事实研究，讨论企业创新模式选择所带来的生产率和国内外销售额变化。结果发现，创新将通过供给侧与需求侧机制共同影响企业生产率与国内外销售绩效，而不同创新模式的影响渠道存在显著的异质性：相比于引进国外技术，自主创新对生产率的促进作用更加明显；相比于自主创新，直接引进国外技术将在出口市场产生更大的信号效应；提高中国专利的国际认可度将有效促进企业自主创新意愿，并增加出口总量；畅通国内大循环，降低国内贸易成本，可有效抵消“卡脖子”问题对中国企业创新绩效的负面影响。
陈露博士后、刘修岩教授
在《经济研究》发表高水平学术论文
【论文题目】产业空间共聚、知识溢出与创新绩效——兼议区域产业多样化集群建设路径
【发表期刊】《经济研究》
【研究摘要】行业在地理上邻近非本部门的“技术知识池”能否有效提升其创新绩效？基于不同关联的地理邻近所带来的效应是否存在差异？本文在知识生产函数的框架下，利用工业企业数据库和专利数据库，实证检验了行业方向性空间共聚形成差异化技术知识池的创新绩效提升效应。研究发现，行业创新水平会受到产业空间共聚形成的多样化技术知识池的正向影响，在使用英国的产业共聚指数作为工具变量解决可能存在的内生性后，结论依然成立。其中，知识溢出是产业共聚受到非本部门技术知识池影响的主要机制。主动共聚的创新溢出效应明显高于被动共聚，技术知识池对行业创新规模的提升效应略强于对行业创新质量的影响。进一步的研究发现，具有投入产出关联的行业间只有主动共聚才能显著提升双方行业的创新能力，而具有技术关联的产业共聚产生了明显的“寄生作用”。本文的政策意义是，地方政府在构建区域多样化产业集群时要充分考虑产业间选址的空间依赖关系和历史规律，同时加强知识产权保护和行业监管，实现区域产业高质量发展。
刘晓星教授、汤淳博士、张颖教授
在《经济研究》发表高水平学术论文
【论文题目】资本异常流动、风险传染网络与金融系统稳定
【发表期刊】《经济研究》
【研究摘要】值此百年未有之大变局，跨境资本异常流动已成为诱发系统性金融风险，威胁一国金融系统稳定的重要因素。本文基于时变参数因子扩展向量自回归模型(TVP-FAVAR)，拓展已有的风险传染分析框架，提取风险接受度指标，构建跨境资本异常流动冲击下的风险传染网络，从规模和结构两个维度揭示资本异常流动影响金融系统稳定的作用机理，解析风险传染的共性特征。研究发现，针对不同类型跨境资本异常流动，全球金融系统稳定对不同方向上的资本异常流动呈现非对称敏感性；资本外逃和撤回影响金融系统稳定最为显著，这种影响主要通过强化金融系统内部的风险传染程度和改变风险传导结构实现，同时资本外逃的负面影响会因前期持续的资本流入激增而加剧；在资本异常流动冲击形成的风险传染网络中，市场情绪是风险传染的重要驱动因素，外汇市场是风险的主要净接受方；严格的跨境资本流动管制以及央行对外汇市场的适时干预，有助于防范化解资本异常流动对金融系统稳定的冲击影响。本文建议重点监控流出方向上的资本异常流动，增强资本管制的有效性，提升外汇市场抗风险能力，维护金融系统稳定。
马超副教授团队在《管理世界》
发表高水平学术论文
【论文题目】上医治未病：免费体检计划对老年人医疗服务与健康福利的影响
【发表期刊】《管理世界》
【研究摘要】如何在保障老年人健康福利的前提下合理控制医疗费用的快速上涨，是新医改进程中的巨大挑战。正在推行的面向65岁及以上老年人的“免费体检计划”是解决这一难题的潜在方案。本研究利用中国健康与养老追踪调查2011～2018年4期微观数据，在动态双重差分框架下首次考察了该计划的政策效果。研究发现，该计划的实施能使65岁及以上老年人享受免费体检的比率增加16.4个百分点，并能减少他们0.118次月门诊次数和24.1%的月门诊费用，最终使得全年医疗总花费显著下降32.3%。更重要的是，该计划还能够提升老年人的健康福利。在此基础上，本研究利用政策交错进行带来的冲击，创新性地在动态双重差分—工具变量框架下，测算了体检的价值。本文还结合格罗斯曼模型，从理论上提示了健康信息这一机制。最后，本研究通过成本—收益分析，肯定了“免费体检计划”带来的巨大经济收益，提示要在“上医治未病”的哲学理念下，坚持预防为主的健康策略，让医疗资源得到更有效率地运用；并在对依从者特征分析的基础上，建议政策在推广中应加强宣传教育及对低收入群体的引导。
英文高水平学术论文
李佩璇副教授在《Economic Theory》
合作发表高水平学术论文
【论文题目】Computing perfect stationary equilibria in stochastic games
【发表期刊】《Economic Theory》
【研究摘要】The notion of stationary equilibrium is one of the most crucial solution concepts in stochastic games. However, a stochastic game can have multiple stationary equilibria, some of which may be unstable or counterintuitive. As a refinement of stationary equilibrium, we extend the concept of perfect equilibrium in strategic games to stochastic games and formulate the notion of perfect stationary equilibrium (PeSE). To further promote its applications, we develop a differentiable homotopy method to compute such an equilibrium. We incorporate vanishing logarithmic barrier terms into the payoff functions, thereby constituting a logarithmic-barrier stochastic game. As a result of this barrier game, we attain a continuously differentiable homotopy system. To reduce the number of variables in the homotopy system, we eliminate the Bellman equations through a replacement of variables and derive an equivalent system. We use the equivalent system to establish the existence of a smooth path, which starts from an arbitrary total mixed strategy profile and ends at a PeSE. Extensive numerical experiments, including relevant applications like dynamic oligopoly models and dynamic legislative voting, further affirm the effectiveness and efficiency of the method.
栾淑洁博士、薛巍立教授在
《Production and Operations Management》
合作发表高水平学术论文
【论文题目】Joint Assortment and Price Optimization with Multiple Purchases
【发表期刊】《Production and Operations Management》
【研究摘要】In this paper, we incorporate the effects of multi-unit purchases into consumer choice models and investigate the associated joint assortment and pricing problems. Under the proposed two-stage choice framework, consumers first form a consideration set, and then select a product with the optimal quantity from the consideration set to maximize their utility. For the joint assortment and pricing problem with homogeneous consumers, we find that a multi-purchase-willingness-ordered assortment is optimal under certain technical conditions, and propose a polynomial-time algorithm to find the optimal assortment and prices for general cases. We further show that the optimal prices and assortment size are not monotone in multi-purchase preference and multi-purchase resistance. For the joint assortment and pricing problem with heterogeneous consumers, we first prove that this problem is NP-hard. We then consider a scenario with discrete prices and we develop a fully polynomial-time approximation scheme by considering a finite number of consumer segments and nested consideration sets. We conduct an empirical study on the JD.com dataset and show that the new choice framework can improve model fitting and prediction accuracy compared with existing choice models with multiple purchases. We reveal that our model is especially suitable for datasets exhibiting a strong diminishing marginal effect for product variety. We further extend our analysis to price competition and establish the existence and uniqueness of a Nash equilibrium. For the joint optimization with fixed costs, we develop an algorithm that can find a solution guaranteeing at least half the optimal expected profit.
高星副研究员团队在
《Production and Operations Management》
发表高水平学术论文
【论文题目】A duopolistic analysis of CEO competitive aggressiveness with R&D investment
【发表期刊】《Production and Operations Management》
【研究摘要】While chief executive officer (CEO) competitive aggressiveness can be frequently observed in competitive industries with heavy R&D (research and development) investment, studies on its impact on R&D strategies and hiring strategies for competing firms are rare. This article builds a Cournot-based game model to examine this issue and obtain many novel findings in a competitive duopolistic market. In particular, compared with two firms hiring noncompetitive CEOs, hiring competitive CEOs may hinder rather than stimulate R&D investment when the aggressiveness of competitive CEOs remains relatively weak. Our analysis reveals that despite conflicting interests, firms may choose to hire competitive CEOs. Specifically, when competitive CEOs’ aggressiveness is rather low, both firms hire competitive CEOs to gain an output advantage; otherwise, they hire different types of CEOs to avoid head-to-head competition. A prisoner dilemma occurs when two firms choose competitive CEOs because they would be better off when hiring noncompetitive CEOs. Then, although the presence of competitive CEOs always improves total industry output, bilateral competition brings about the lowest total industry profit because fierce output competition substantially reduces prices. Interestingly, unilateral competition enhances total industry profit when the aggressiveness of competitive CEOs remains rather strong. Finally, this study shows that the endogenous aggressive nature of competitive CEOs does not qualitatively alter these main results.
薛巍立教授在
《Production and Operations Management》
合作发表高水平学术论文
【论文题目】Reward-Based Crowdfunding vs. Initial Coin Offerings
【发表期刊】《Production and Operations Management》
【研究摘要】Inspired by emerging financing techniques that offer additional financing options for entrepreneurs, we establish a stylized model to compare two prevalent crowdfunding strategies: reward-based crowdfunding and Initial Coin Offerings (ICOs). First, we highlight that the fundamental difference between reward-based crowdfunding and ICO lies in the distinct types of price distortion, resulting in different agency costs. Specifically, compared to the first-best benchmark, reward-based crowdfunding sets a lower funding price to attract more consumers to pre-order, while ICO sets a higher market price due to speculators’ revenue-sharing in the market stage. Second, we show that the financing limit (i.e., the maximum funds raised) of reward-based crowdfunding is driven by the platform traffic, whereas that of ICO is driven by the marginal production cost. Therefore, even with numerous speculators, ICO may result in a lower financing limit than reward-based crowdfunding when the platform traffic or the marginal production cost is high. Third, we explore how products’ cost structures shape entrepreneurs’ financing preferences. ICO suits intangible products with high fixed cost and low marginal production cost, while reward-based crowdfunding aligns better with products exhibiting the opposite cost structure. Finally, we extend our model to show the robustness of our findings and offer some additional insights. For example, ICO may amplify the risk of market uncertainty compared to reward-based crowdfunding; Security Token Offering (STO) benefits from the absence of agency costs between the entrepreneur and speculators compared to ICO while it may suffer from equity loss, particularly in risky and regulated markets, etc.
赖明辉副教授、吴雅婷博士在
《IISE Transactions》
合作发表高水平学术论文
【论文题目】Core-based cost allocation for collaborative multi-stop truckload shipping problem
【发表期刊】《IISE Transactions》
【研究摘要】With the recently emerged digital platforms in logistics, shippers can easily collaborate by bundling their heavy less-than-truckload orders via multi-stop truckload shipping to reduce transportation cost. The platform has responsibility for planning the shipping routes, for bundling the orders and fairly allocating the cost to shippers. To address this challenging problem in practice, we propose a new cooperative game based on a variant of a pickup and delivery model with soft time windows for shipper collaboration. The centralized optimization model is NP-hard and the core of the game may be empty. We adopt the least-core concept and simplify the core stability constraints as route-wise conditions. Based on theoretical results, we propose an innovative route-generation joint searching algorithm that iteratively solves the centralized optimization and least-core allocation problems at the same time, where the route-generation subproblem is solved by a customized multi-start local search subroutine. Extensive computational experiments on a real-world case demonstrate that the proposed algorithm can quickly generate a near-optimal solution with minor optimality gap and a least-core allocation with small stability deviation. With our algorithm, the shippers also receive substantial cost savings from collaboration.
马超副教授在《Nature Communications》合作发表高水平学术论文
【论文题目】Behavioral consequences of second-person pronouns in written communications between authors and reviewers of scientific papers
【发表期刊】《Nature Communications》
【研究摘要】Pronoun usage’s psychological underpinning and behavioral consequence have fascinated researchers, with much research attention paid to second-person pronouns like “you,” “your,” and “yours.” While these pronouns’ effects are understood in many contexts, their role in bilateral, dynamic conversations (especially those outside of close relationships) remains less explored. This research attempts to bridge this gap by examining 25,679 instances of peer review correspondence with Nature Communications using the difference-in-differences method. Here we show that authors addressing reviewers using second-person pronouns receive fewer questions, shorter responses, and more positive feedback. Further analyses suggest that this shift in the review process occurs because “you” (vs. non-“you”) usage creates a more personal and engaging conversation. Employing the peer review process of scientific papers as a backdrop, this research reveals the behavioral and psychological effects that second-person pronouns have in interactive written communications.
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图文 | 经济管理学院科研办公室
责编 | 杨帆
东南大学经济管理学院新媒体工作室
