转型经济下中国企业创新选择的实证研究：环境与组织因素

本文研究了中国企业在转型经济时期的创新选择行为,主要分析了环境变化和组织结构特点对企业创新选择行为的直接和间接影响.本文的研究结果表明,快速变化的环境促使企业采用规模小、风险小而见效快的渐进创新,而不太可能采用风险大、投入大的突变创新;正是的、集权型组织结构有利于突变创新的出现,而不利于企业中渐进创新的产生.本文的研究结果还表明,环境和组织结构不但直接影响企业创新选择行为,还通过内部控制机制间接影响了企业的创新选择.     

协作研发与在位企业突破性技术创新及代际知识桥的中介作用——以汽车行业为例

鉴于代际知识桥对企业突破性技术创新的作用可能不同,以65家汽车行业整车在位企业为样本,对其2009~2019年的面板数据进行负二项回归分析后发现:协作研发能够直接提升在位企业的突破性技术创新绩效,且显性代际知识桥与隐性代际知识桥在其间均可发挥积极中介作用;旧技术创新绩效对协作研发与突破性技术创新绩效的关系会产生积极作用,对显性代际知识桥与突破性技术创新绩效的关系会产生消极作用,但均不显著;旧技术创新绩效对隐性代际知识桥与突破性技术创新绩效的关系会产生显著消极作用。     

Corporate social responsibility: a strategic and profitable response to entry?

This paper investigates whether an incumbent has an incentive to introduce corporate social responsibility (CSR) activities only as a response to entry by a competitor, i.e., the incumbent would eschew CSR if left uncontested. We assume that the entrant cannot provide CSR at least at the outset for two reasons: (1) it would not be credible due to its lack of recognition and (2) due to high fixed cost to pay e.g., for licensing. More precisely, this paper shows that monopolistic firms can have indeed the incentive to introduce CSR activities only as a response to entry. Therefore, increased competition can turn a firm “green”, providing a “win–win” for business as well as for the environment.     

Patent Litigation Strategy and Its Effects on the Firm

Patent litigation has attracted scholarly attention to reconcile multiple views for new research. Accordingly, this paper addresses patent litigation strategy and its effect on the firm. Based on 106 papers and articles, six books, the author's logic and practice impressions, it first defines patent litigation strategy and differentiates similar concepts. Second, based on the process, the author fine‐tunes patent litigation strategy into three tactics: threat, filing and verdict. Then, she categorizes and examines the impact of patent litigation on market value, monetary gain/loss and strategic collaboration. The findings show that the effect on the market value is more complex and ambiguous than anticipated, and sometimes contradictory. The analysis shows the consistency of monetary effect in practice, that firms tend to have higher monetary gains from private settlement than from legal awards. It also demonstrates that existing studies lag behind reality in investigating the detailed role of patent litigation on strategic collaboration from partnership (e.g. licensing and strategic alliance) to takeover (i.e. merger and acquisition). Finally, the author reflects on the findings, and maps out critical paths toward new research. This process also reveals that stakeholders, industrial settings and country environments moderate the studied relationship. This paper contributes to knowledge and practice: appreciates the interdisciplinary endeavors to draw the findings; categorizes patent litigation and its effect; and critiques prior studies on the relationship to integrate knowledge for future research.     

Big Data Analytics Capabilities and Innovation: The Mediating Role of Dynamic Capabilities and Moderating Effect of the Environment

With big data analytics growing rapidly in popularity, academics and practitioners have been considering the means through which they can incorporate the shifts these technologies bring into their competitive strategies. Drawing on the resource‐based view, the dynamic capabilities view, and on recent literature on big data analytics, this study examines the indirect relationship between a big data analytics capability (BDAC) and two types of innovation capabilities: incremental and radical. The study extends existing research by proposing that BDACs enable firms to generate insight that can help strengthen their dynamic capabilities, which in turn positively impact incremental and radical innovation capabilities. To test their proposed research model, the authors used survey data from 175 chief information officers and IT managers working in Greek firms. By means of partial least squares structural equation modelling, the results confirm the authors’ assumptions regarding the indirect effect that BDACs have on innovation capabilities. Specifically, they find that dynamic capabilities fully mediate the effect on both incremental and radical innovation capabilities. In addition, under conditions of high environmental heterogeneity, the impact of BDACs on dynamic capabilities and, in sequence, incremental innovation capability is enhanced, while under conditions of high environmental dynamism the effect of dynamic capabilities on incremental innovation capabilities is amplified.     

竞争驱动战略转型的人力资本视线研究——以天津中小制造业企业为例

转型升级阵痛中的中国制造业企业，唯有基于人力资本"视线"实施差异化战略、推进激进式创新，才能变革成功，进而在激烈市场竞争中存活下来并形成核心竞争力。以天津市各大工业园区154家中小制造业企业的问卷调查数据为样本，采用结构方程模型对制造业企业创新逆驱战略转型的人力资本"视线"进行统计检验。结果显示，战略层面的"视线"有一个：外部环境竞争性、差异化战略、激进式创新与企业绩效。资源层面"视线"有两个：差异化战略、HRM系统、人力资本、渐进式创新、激进式创新与企业绩效；差异化战略、HRM系统、知识共享与企业绩效。这三条"视线"为中国制造业企业指明了战略转型、创新变革的具体方向。     

基于不同战略导向的创新选择与控制方式研究

本文从战略导向的角度出发,研究了企业的创新选择和管理控制方式选择问题.从战略思维和组织学习两个方面对企业家导向和市场导向在创新程度和管理控制方式上的不同进行了分析,提出概念模型和理论假设.利用从10个省市不同行业得到的585家企业有效样本数据的分析,验证了本文的理论模型.分析结果表明,企业家导向更加注重突破式创新并通过战略控制对其进行管理,而市场导向更加注重渐进创新并通过财务控制对其进行管理.分析结果还表明虽然企业家导向与渐进创新没有直接关系,但却可以通过财务控制方式鼓励企业中渐进创新的出现.     

The influence of patent protection on firm innovation investment in manufacturing industries

Countries enact various mechanisms, such as patent protection, to encourage, protect, and reward firm innovation. The degree to which these mechanisms afford firms protection over their intellectual property influences the innovation strategy that firms pursue and innovation investments they make. To date, empirical evidence on the relationship between patent protections and firm innovation is lacking, despite the relationship being the subject of intense theoretical and policy debate. To further consider the influences on firm innovation, we test the influence of a country's patent rights and changes in them on firm-level investment in innovation. Data for 706 firms competing in ten manufacturing industries across 29 countries were gathered and analyzed. Even after controlling for various firm, industry, and national factors, there is a strong positive influence of patent rights and changes in patent rights on a firm's propensity to invest in innovation. In addition, we consider the sensitivity of this result to alternative measures of patent and other intellectual property protection. We also find that the influence of patent rights on firm-level innovation varies across industries for example, the impact appears greatest in the scientific instruments and industrial chemicals industries.     

以企业能力为中介的联盟类型与技术创新方式关系实证研究

从资源基础观构建联盟类型、企业能力(开发能力和探索能力)和技术创新方式相互关系的模型,以重庆等6个地区500家制造业企业为调研对象,运用结构方程模型对所获数据进行实证分析。结果表明:市场联盟提供的市场资源利于开发能力的提升,技术联盟提供的技术资源利于探索能力的发展;开发能力与渐进创新方式正相关,探索能力与突变创新方式正相关;市场联盟提供的市场资源有助于渐进创新方式,技术联盟提供的技术资源有助于突变创新方式。     

External knowledge search,absorptive capacity and radical innovation in high-technology firms

Open innovation and absorptive capacity are two concepts based on the idea that companies can leverage the knowledge generated externally to improve their innovation performance. The aim of this paper is to analyse the joint effect of open innovation and absorptive capacity on a firm's radical innovation. Open innovation is expressed in terms of external search breadth and depth strategies and absorptive capacity is described by distinguishing between potential and realized absorptive capacity. In order to test our hypotheses, we carried out empirical research in firms operating in high-technology industries. The results indicate that internal routines and processes for absorbing external knowledge help explain radical innovation as they show a significant effect of potential and realized absorptive capacity. Also, there is a moderating effect of absorptive capacity on open innovation. Specifically, potential absorptive capacity exerts a positive effect on the relationship between external search breadth and depth and radical innovation. Realized absorptive capacity moderates the influence of external search breadth. These findings confirm the complementary nature of absorptive capacity and open innovation search strategies on radical innovation.     

生产链位置是否影响创新模式选择——基于微观角度的理论与实证

企业创新模式选择不仅与自身因素相关,还与生产分工流程相关;本文首次从理论与实证验证了企业的生产链位置对于创新模式选择具有显著影响。首先,基于产品分工构建了一个理论框架,诠释了企业生产链位置对于创新模式的影响:位于生产链上游的企业的产品可塑性强,适用范围更广,激进式创新引入的新产品替代旧产品的可能性较小,它们面临更小的"利润侵蚀效应";生产链上游企业中间品种类相对较少,激进式创新带来的高不确定性产生的协调成本较低,它们的"协调成本效应"也相对较小,因此位于生产链上游的企业采取激进式创新具有比较优势,反之位于生产链下游的企业偏向于渐进式创新。在实证上,本文首次通过插值法估算出1998~2011年中国投入产出系数,进而量化企业生产链位置指标,然后基于企业和专利数据库,根据理论的推论,对生产链分工位置影响企业创新模式选择的效果,以及如何影响创新行为进行了全面细致的验证,证实了两个效应是生产链位置影响企业创新模式选择的重要传导路径:在各使用3类指标区分企业对"利润侵蚀效应"与"协调成本效应"敏感性的基础上,结合使用分类回归发现,高产品替代性企业、在位企业以及一般贸易企业由于对"利润侵蚀效应"更敏感,它们创新模式的选择对生产链位置的反应更强烈;高产品复杂度企业、大规模企业以及低管理效率的企业由于对"协调成本效应"更敏感,它们创新模式的选择对生产链位置的反应也更强烈。最后,本文使用Heckman两步法对可能存在的估计偏误进行稳健性检验,结果证实了本文理论模型的主要命题和基础回归结果的稳健性。     

The asymmetric effects of exploitation and exploration on radical and incremental innovation performance: An uneven affair

Scholars have argued that the exploitation–exploration interaction provides a source of competitive advantage beyond that provided by each individually. However, we know little about the mutual effects of exploitation and exploration on either incremental or radical innovation performance. To address this gap, we examine data from 171 manufacturing firms. We find incremental innovation performance is highest when exploitation interacts with an intermediary level of exploration. Radical innovation performance, however, is solely driven by exploration. A coupling with exploitation is not effective. We contribute to the extant literature, first, by disentangling the interaction effects of exploitation and exploration on radical and incremental innovation performance, respectively. Second, we extend extant literature that agrees that maintaining an appropriate balance of exploitation and exploration is critical for innovation performance and that has conceptualized this balance as symmetrical presence and magnitude of exploitation and exploration. In particular, we provide evidence in support of an asymmetric relationship.     

The Effect of Competition on R&D Portfolio Investments

Although project portfolio management has been an active research area over the past 50 years, budget allocation models that consider competition are sparse. Faced with the competition, firms contemplating budget allocation for their project portfolio cannot limit their attention to the returns from their projects' target markets, as is the case for monopoly firms, but must also anticipate the competitive effects on these returns. Assuming firms allocate their budgets between projects offering incremental innovation targeting a mature market and projects offering radical innovation targeting an emerging market, we show that while the monopoly firm bases its budget allocation decision solely on the marginal returns of the markets, competing firms—as they take into account their counterparts' investment decisions—need to also consider the projects' average returns from their respective markets. This drives competing firms into incrementalism: faced with competition, firms invest larger portions of their budgets into projects targeting mature markets. This effect is amplified as the number of competing firms increases and firms allocate an even greater share of their budget into projects targeting a mature market. We further demonstrate the effects that changes to firms' individual budgets, as well as to market characteristics, have on firms' budget allocation decision.     

An empirical analysis of innovation strategies of biotechnology firms in the U.S.

The paper explores the strategies of biotechnology firms in the U.S. through a mail questionnaire study. Based on the responses of 89 companies we have developed strategy archetypes of these firms in R&D, marketing, and technology acquisition. In R&D, we found the firms to follow either incremental or radical strategy. In marketing, the firms use either a defender or an innovator strategy. In technology acquisition, firms differ in terms of their emphasis on licensing or developing new technology. The interrelationship among the strategy groups is weak. The R&D and technology acquisition strategies are related in the sense that aggressive technology strategy dictates radical R&D behavior with emphasis on development of new technology. We have found that firms following aggressive technology strategy tend to follow conservative marketing strategy. This is consistent with an earlier study by of German firms where it was found that firms tend to balance their technical and marketing risks. The paper also provides additional information about the factors considered to be important in product decisions for various strategies.     

高新技术企业创业能力、创新类型与融资方式关系研究

创新是企业实现竞争优势的主要方式,而企业创业能力和资本来源是实现创新的保障。本文利用我国164例中小型高新技术企业,检验创业能力、创新类型和融资方式之间的关系。结果表明,机会能力与突破性创新、风险资本融资程度呈正向关系,而运作能力与渐进性创新、债务融资程度呈正向关系,突破性创新方式与风险资本融资程度呈正向关系,与债务融资程度呈负向关系,而渐进性创新与债务融资程度呈正向关系,与风险资本融资呈负向影响关系。     

多主体参与下企业技术创新模式动态选择研究

多主体参与已经成为现代经济环境下企业创新活动的基本特征。为了明确各创新主体参对企业创新模式选择的影响。本文构建了一个包括供应商和顾客参与的创新模式选择博弈模型。对模型分析发现,根据企业选择的创新模式不同,可以形成三种竞争市场,采用演化博弈方法对模型均衡结果求解,得到以下结论:供应商和顾客参与能增加企业选择突破性技术创新模式的比重,减少选择渐进性技术创新比重,且这种影响随着市场中选择突破性技术创新比例增加而增加;当创新产品为价格弹性需求时,顾客参与更能促进突破性技术创新,当创新产品为价格非弹性需求时,供应商参与更能促进突破性技术创新,这与渐进性技术创新的结论截然相反。采用数值算例对结果进行分析,进一步验证了上述结论。本文的研究结论有助于揭示多主体参与对创新模式选择的影响,也对在多主体参与条件下,企业的创新资源配置这一创新的核心问题做出了一定的解释。     

用户-企业共享价值诉求与企业创新能力关系研究——以顾客授权为中介

企业吸纳用户参与创新过程,是构建并提升创新能力的重要途径。但作为外部创新源,用户参与创新虽然将价值创造与价值消费形成闭环,却以企业开放创新过程为条件,这加剧了创新过程的复杂性,也使用户参与提升企业创新能力的内在机理难以洞悉。基于价值共创理论、用户创新理论与创新能力理论,本文从企业方面探索如何吸纳用户参与创新过程进而提升创新能力的内在规律。基于202份国内企业样本,首先探索了用—企共享的价值诉求构念内涵与结构。在此基础上,以"动机构建→授权导引→能力发展"为脉络研究价值共创视角下企业创新能力提升机理。发现：（1）用户参与的社会性价值预期能够有效提升企业二元性创新能力;（2）用—企共享的独异价值预期（功能性价值）能够有效提升企业渐进性创新能力;（3）顾客授权在"用—企"共享的社会性价值诉求与渐进性创新能力之间起到局部中介的作用。     

排斥性创新：一种适合发展中国家的创新方法

在发展中国家进行本土技术创新和追赶发达国家的过程中,他们自然而然会关注重大的突破性创新(Radical Innovation)方法.但是近来的研究表明,突破性创新的失败率很高,而且它要求公司或国家在培养重大的创新方法时投入大量的时间、金钱,还需要高层领导的持续关注.本文对上述问题进行了指南性的回顾,并且讨论了另一种方法--排斥性创新方法.我们应该关注排斥性创新,因为它更有可能获得成功,特别是对那些新兴的本土企业.它还是一种为发展中国家开发新的、市场能接受的产品/服务的有效方法.排斥性创新之后,公司就可以运用维持性创新(Sustaining Innovation)(渐进的和/或突破性的),为本土市场和国际市场提供高端产品.本文还列举了5个中国的案例来证实在发展中国家进行排斥性创新是可行的.     

An empirical multi-level analysis for achieving balance between incremental and radical innovations

An examination of 202 innovation projects in 42 firms revealed two approaches in how firms manage employees to explore new knowledge for radical innovations and to exploit existing knowledge for incremental innovations. The first is the system of organization-level management practices, whereby employees are recruited based primarily on prior work experience in other companies and developed interdepartmentally, and compensation is based primarily on joint performance without a specific innovation project in mind. The second is the system of team-level management practices, whereby employees are selected based mainly on overlapping knowledge with team members, and are trained and rewarded for a specific innovation project. Although both systems offer employees the necessary psychological safety for attaining radical innovations and the perspective-taking capability helpful for incremental innovations, each system is better for achieving one type of innovation than the other. The system of organization-level management practices better achieves radical innovations because it provides greater psychological safety, while the system of team-level management practices better achieves incremental innovations because it develops superior perspective-taking capability. Using both systems assists in incremental innovations but not radical innovations, because contradictory expectations are placed on the employees, diminishing psychological safety. The main implication of these findings is that companies should manage their employees differently depending on the type of innovation they wish to achieve.     

External Knowledge Sourcing and Firm Innovation Efficiency

This study examines the relationship between external knowledge sourcing and firm innovation efficiency. We build on the organizational learning theory to propose that this relationship follows an inverted U‐shape: as the level of external knowledge sourcing increases from low to moderate, firm innovation efficiency increases; as the level of external knowledge sourcing increases from moderate to high, firm innovation efficiency declines. Further, we explore the moderating role of different contextual factors and contend that this inverted U‐shaped relationship is flattened in firms that operate in high‐tech sectors and in firms that face high internal constraints for innovation. Our empirical analysis is based on a sample of 3,204 Spanish firms over the period 2004–2015, and our results provide support for these contentions. We used data envelopment analysis methodology to estimate firm innovation efficiency relative to industry best performers, and truncated regression models for panel data with bootstrapped confidence intervals to test our hypotheses.