论使创新行为最大化的竞争程度(卡曼施瓦茨)

OntheDegreeofRivalryforMaximumInnovativeActivityAuthor(s):MortonI.KamienandNancyL.SchwartzSource:TheQuarterlyJournalofEconomics,Vol.90,No.2(May,1976),pp.245-260Publishedby:OxfordUniversityPressStableURL::19/09/201104:13YouruseoftheJSTORarchiveindicatesyouracceptanceoftheTerms&ConditionsofUse,[e-mail]ollaboratingwithJSTORtodigitize,preserveandextendaccesstoTheQuarterlyJournalofEconomics.*MORTONI.KAMIENNANCYL.SCHWARTZIntroduction,245.-ModelI-theframework,250.-ModelI-rivalryandspeedofinnovation,253.-ModelII-theframework,255.-ModelII-rivalryandspeedofinnovation,256.-Summaryandconclusions,258.-Appendix,259.INTRODUCTIONFisherandTemin1haverecentlyarguedthatpublishedem-piricalstudiesoftherelationshipbetweenfirmsizeandinnovativeactivitydonottesttheSchumpeterianhypothesis.TheircontentionischallengedbyScherer2ongroundsbothofinterpretationofthetheoryandofevaluationoftheempiricalinvestigations.Thisdis-putesuggeststhatempiricaltestsrelatingmonopolypowerandinno-vationmightalsodeservecloserscrutiny.AccordingtoSchumpeter,itisthecombinedabsenceofperfectpricecompetitionandpresenceofnonpricecompetitionthatstimu-latesinnovation:...incapitalistrealityasdistinguishedfromitstextbookpicture,itisnotthatkindofcompetition(price)whichcountsbutthecompetitionfromthenewcommodity,thenewtechnology,thenewsourceofsupply....Itishardlynecessarytopointoutthatcompetitionofthekindwenowhaveinmindactsnotonlywheninbeingbutalsowhenitisaneverpresentthreat.Thebusiness-manfeelshimselftobeinacompetitivesituationevenifheisaloneinhisfield....3Villard4referstothissituationascompetitiveoligopoly.*TheresearchsupportoftheNationalScienceFoundationisgratefullyacknowledged.UsefulcommentsweremadebyourcolleaguesatNorthwestern,byparticipantsintheIndustrialOrganizationworkshopattheUniversityofChicagoinFebruary,1974,andbyareferee.WeareparticularlyindebtedtoArieTamirforhiscarefulreadingofearlierdrafts,forthought-provokingdiscussions,andformuchofthepresentanalysisofModelI.Weretainre-sponsibilityforallviewsexpressed.1.F.M.FisherandP.Temin,ReturnstoScaleinResearchandDe-velopment:WhatDoestheSchumpeterianHypothesisShow?JournalofPoliticalEconomy,LXXXI(Jan./Feb.1973),56-70.2.F.M.Scherer,ResearchandDevelopmentReturnstoScaleandtheSchumpeterianHypothesis:Comment,PreprintoftheInternationalInstituteofManagement,Berlin,1973.3.J.A.Schumpeter,Capitalism,Socialism,andDemocracy,3rded.(NewYork:Harper,1950),quoteonpp.84-85.4.H.Villard,Competition,Oligopoly,andResearch,JournalofPolit-icalEconomy,LXVI(Dec.1958),483-97.246QUARTERLYJOURNALOFECONOMICSTodeterminetheempiricalcontentofSchumpeter'scontentionScherertestedthehypothesisthatinventiveactivityincreaseswitithefour-firmconcentrationratio,usingdataonfifty-sixindustngroupsandemployingtechnicalengineersandscientistsasameasureofinventiveactivity.HeconcludesthatWhenthefour-firmconcentrationratioexceeds50to55percent,additionalmarketpowerisprobablynotconducivetomorevigoroustechnologicaefforts...EssentiallythesameconclusionisdrawnbyKelly6inasimilaranalysisof1950dataon181firmsinsixindustrygroups.Mansfield'sintensiveinvestigationofinnovativebehaviorintheiroiandsteel,petroleumrefining,andbituminouscoalindustriesduring1919-1938and1939-1958ledhimtosuggestthatbreak-upofth(fivelargestfirmsinthepetroleumandcoalindustrieswouldresultingreaterinnovativeactivity.Williamson,8analyzingthedatagen-eratedbyMansfield,findsthata5-30percentmarketshareforthefourlargestfirmsisoptimalfromthestandpointofinnovativeactivity.Thesetentativeconclusionsappeartobeparalleledinstudieso]innovativeactivityandfirmsizeassummarizedbyMarkhamancbyHamberg.9Totheextentthatfirmsizeandmonopolypowerarecorrelated,theseconclusionsarereinforcing.Moreover,thesefind-ingshavepromptedspeculationbySchmooklerandbyPhillipsthattheremightexistanoptimaldegreeofrivalryformotivationofinnovativeactivitybetweentheextremesofmonopolyandperfectcompetition.'0Theabovestudieslinkinnovativeactivitywithmonopolypower,orsomeabsenceofpricecompetition,butnotdirectlywith5.F.M.Scherer,MarketStructureandtheEmploymentofScientistsandEngineers,AmericanEconomicReview,LVII(June1967),524-31,quoteon530.6.T.M.Kelly,TheInfluenceofFirmSizeandMarketStructureontheResearchEffortsofLargeMultiple-ProductFirms,Ph.D.thesis,OklahomaStateUniversity,1970.7.E.Mansfield,SizeofFirm,MarketStructure,andInnovation,'JournalofPoliticalEconomy,LXXI(Dec.1963),556-76.8.O.E.Williamson,InnovationandMarketStructure,JournalojPoliticalEconomy,LXXIII(Feb.1965),67-73.9.J.Markham,MarketStructure,BusinessConduct,andInnovation,'AmericanEconomicReview,LV(May1965),323-32;andD.Hamberg,Rani