战略联盟中组织学习、知识创造与创新绩效的实证研究

 本文探讨了战略联盟中组织学习、知识创造与企业创新绩效间的关系。我们假设企业向合作伙伴学习新知识不仅会直接影响企业的创新活动,还会通过知识创造的中介作用间接影响企业创新的绩效。我们使用127个德国联盟企业数据的统计结果表明,两个假设都获得了通过。得出如下结论：联盟企业在通过学习获取外部知识的同时更应注重在企业边界内创造新知识,从而提高其创新能力和绩效水平。     

企业外部研发合作、内部知识网络与创新绩效

外部研发合作有利于丰富企业的知识元素和组合范式进而影响其创新绩效,企业内部知识网络会影响其外部研发合作的效能。基于知识组合的视角探究不同类型企业外部研发合作,与大学/研究机构的合作（学研合作）以及与企业的合作（企业合作）,对企业创新绩效的差异化影响,并进一步揭示企业内部知识网络特征（知识组合能力和知识协调成本）对上述影响的调节作用。通过对2012年—2017年中国计算机通信及电子设备制造业和医药制造业323家上市公司的数据分析,发现学研合作对企业创新绩效的促进作用大于企业合作;企业知识组合能力会抑制学研合作对企业创新绩效的积极影响,促进企业合作对企业创新绩效的积极影响;企业知识协调成本会减弱企业合作与企业创新绩效的正向关系,对学研合作与企业创新绩效关系的影响不显著。     

创新网络技术多元化、知识基础与企业创新绩效

在新一轮科技革命浪潮下,企业组建创新联合体成为大势所趋。合作创新网络中的多元化技术已经成为企业创新的关键外部资源,但关于创新网络技术多元化如何影响企业创新绩效的研究仍然缺乏,且现有研究往往忽略企业内外部资源的不同组合对企业创新绩效可能产生的差异性影响。文章融合社会网络理论、知识基础理论与动态能力理论,依据信息技术产业上市公司联合申请专利数据构建合作创新网络,采用面板数据随机效应负二项回归法,从个体网络视角分析创新网络技术多元化影响企业创新绩效的权变因素与内在机制,检验了一个被中介的调节效应模型。研究结果表明：创新网络技术多元化正向影响企业创新绩效;企业知识基础深度正向调节创新网络技术多元化与企业创新绩效的关系,而企业知识基础宽度的调节效应并不显著;企业知识基础深度对创新网络技术多元化与企业创新绩效关系的调节通过吸收能力的中介实现。研究结论对企业技术创新具有重要的理论及现实指导意义。     

技术图构过程中知识流动模式与创新效率

企业之间的竞争已从企业与企业之间的竞争发展到企业网络与企业网络之间的竞争,网络中企业与合作者间长期互动累积的社会资本大大降低了企业与合作者间的协调成本,导致专业化分工合作在广度和深度上的扩展和个体创新能力的提高．技术路线图作为一种有效的技术规划工具,通过构建企业间互动学习的平台,促进了创新知识的流动,从而降低了创新风险与成本．     

Protecting knowledge: How legal requirements to reveal information affect the importance of secrecy

Most firms use secrecy to protect their knowledge from potential imitators. However, the theoretical foundations for secrecy have not been well explored. We extend knowledge protection literature and propose theoretical mechanisms explaining how information visibility influences the importance of secrecy as a knowledge protection instrument. Building on mechanisms from information economics and signaling theory, we postulate that secrecy is more important for protecting knowledge for firms that have legal requirements to reveal information to shareholders. Furthermore, we argue that this effect is contingent on the location in a technological cluster, on a firm’s investment in fixed assets and on a firm’s past innovation performance. We test our hypotheses using a representative sample of 683 firms in Germany between 2005 and 2013. Our results support the moderation effect of a technological cluster and a firm’s investment in fixed assets. Our findings inform both academics and managers on how firms balance information disclosure requirements with the use of secrecy as a knowledge protection instrument.     

Workers’ replacements and firms’ innovation dynamics: New evidence from Italian matched longitudinal data

In this paper, we explore the impact of a firm's workers’ replacements on innovation performance by using rich matched employer–employee panel data for the Veneto region of Italy. We take the well-known resource-based theory of the firm as our departure point, and develop a set of hypotheses which we test empirically with negative binomial regressions. We find that workers’ replacements significantly dampen innovation performance, coherently with the idea that they generate losses in the tacit knowledge base of the firm. We also find that workers’ replacements are especially detrimental to large and young firms, possibly because large companies benefit comparatively less from ‘diaspora’ effects and because innovative capabilities in young firms are mostly dependent on specific human capital. Finally, our results show that firms’ location in industrial districts significantly mitigates the negative impact of workers’ replacements, and that a similar picture emerges when firms are more exposed to knowledge spillovers, particularly of related knowledge.     

企业成长与创新视角下的产业链升级研究

产业链升级是中国企业摆脱跨国公司低端锁定的重要途径。以企业成长与企业创新理论为基础,讨论了企业在不同成长阶段入嵌产业链的程度。研究发现青春期企业创新投入越强入嵌程度越低,吸收能力越强入嵌程度越高。新创期入嵌产业链程度较低,而青春期较高。创新投入与入嵌程度之间关系受到新创期负向调节。同时,吸收能力与入嵌程度之间关系受到新创期的负向调节、青春期的正向调节。研究结论对中国企业产业链升级具有理论贡献与实践启示。     

创新目标、信息来源与创新成功关系实证研究

由于企业自身知识和能力的局限性,创新搜索是其获得所需资源、推动创新发展的有效方式。现有研究表明,企业所采取的创新搜索策略会对其创新成果有显著的影响。采取开放式创新模式能够使企业接触到原本难以获得的资源,并对内部创新的驱动因素产生影响,促进创新的绩效。另外,对企业认知过程的研究也指出了创新搜索广度在消除其认知偏误方面的重要性。当面对创新风险带来的不确定性时,企业可以通过增加创新搜索的广度来有效应对。除了拥有多个创新目标之外,企业也可以通过增加创新信息来源数量来提升创新成功的可能性。本文以创新目标、信息来源与创新成功之间的关系为切入点,主要探讨了创新搜索广度对创新成功的影响程度,检验了创新搜索的"广种"效应。本研究主要回答以下三个问题:首先,企业的创新目标广度是否会提升其创新成功可能性?其次,企业的创新信息来源广度是否会提升其创新成功可能性?另外,创新搜索广度(包括创新目标广度与创新信息来源广度)与企业创新成功之间的关系是否会受到单一依赖性的影响?针对这三个问题,本文通过经济学与统计学相结合的理论分析建立了理论框架,并运用2008年中国企业创新调查数据进行了大样本(共包括30个制造业细分行业的870家企业信息)的实证分析,对创新搜索广度、创新信息来源广度对企业创新成功可能性的作用以及单一依赖性的影响进行了检验,发现并总结出关于我国制造业企业创新搜索"广种"效应的规律。研究发现:企业的创新目标广度与其创新成功可能性正向相关,即企业的创新目标越多,其创新成功可能性越大;企业的创新信息来源广度与其创新成功可能性正向相关,即企业的创新信息来源越多,其创新成功可能性越大;另外,企业的单一信息来源依赖性会负向调节信息来源广度对创新成功可能性的正向作用,但并不会完全抵消其正向影响。替换变量、分组回归等稳定性检验的结果进一步支持了本研究结论的正确性与可靠性。研究结论证明,我国制造业企业中创新搜索确实存在"广种"正效应,无论是增加创新目标还是扩展创新信息来源都对企业创新活动的成功有着显著的正向影响;同时,若企业对于少数创新信息来源依赖性过高,这种单一信息来源依赖性会削弱信息来源广度的正向作用,减小创新搜索的"广种"正效应。     

知识搜索平衡研究综述

开放创新背景下,外部知识搜索成为企业继内部研发与外部收购外第三种提高企业技术竞争优势的方式。然而,大量研究也表明过度搜索可能损害创新绩效,组织需要对知识搜索进行平衡。因此,论文在系统梳理相关研究文献基础上,对知识搜索平衡研究的缘起、形成机理、影响因素与未来研究展望进行深入剖析,以廓清它们之间的内在逻辑关系,为后续研究提供参考。     

Innovation and firm performance in developing countries: The case of Pakistani textile and apparel manufacturers

Using unique innovation survey data collected from a homogenous sample of firms in Pakistan, this paper presents an analysis of the firm level determinants of product innovation and its impact on firm performance. We employ a multi-stage structural model linking the decision of a firm to innovate, its innovation investment, product innovation, and firm performance using primary data from the textile and wearing apparel sector, which is the largest export sector of Pakistan. We find that product innovation leads to increased labor productivity as well as higher labor productivity growth. A 10 percent increase in innovative sales per worker is associated with a greater than 10 percent increase in labor productivity and labor productivity growth. On the determinants of innovation, we find that vertical knowledge flows from foreign clients and suppliers are important determinants of a firm's decision to innovate. Larger firms are more likely to engage in innovation, however, there is no significant evidence that they invest more in innovation. Exporting is positively associated with innovation performance and firms exporting to Europe and America are more likely to engage in innovation. There is mixed evidence on the impact of competition: foreign competition adversely affects a firm’s decision to innovate, whereas, local competition increases investment in innovation. Subsidies seem to have a crowding out effect since firms receiving national subsides invest less in innovation. Furthermore, firms that have higher investment in innovation, that are more productive, and that introduce organizational innovations have higher innovative sales per worker.     

Learning,innovation and firm performance: knowledge management in small firms

This study aims to examine the relationships between managerial learning as a facet of knowledge absorption (KA), firm innovation as a facet of knowledge exploitation (KE), and performance of small firms (i.e., firms with fewer than 50 employees). It builds on the knowledge-based view of the firm and the upper echelons theory to describe the effects of KA on KE, and that of KE on firm performance, in the small-firm context. Using survey data of 1441 small firms in New Zealand, the study applies a partial least squares approach to structural equation modelling to test the main hypotheses of the study. The main findings show the positive and significant effects of three types of managerial learning, namely, practice-based, proximal, and distal learning, on innovation and on innovation in firm performance. However, the curvilinear relationships suggest rather that the effects are finite and, potentially, confounded by factors unaccounted for in the models.     

China's innovation system reform and growing industry and science linkages

In this paper, linkages of S&T activities between industry and science are statistically investigated, based on a firm level dataset from an S&T survey by the National Bureau of Statistics (NBS) of the PRC of about 22,000 manufacturing firms. During the transition period of China's innovation system from 1996 to 2002, firms’ S&T outsourcing activities increased significantly. Econometrics analysis reveals that (1) “absorptive capacity” for S&T outsourcing becomes important over time, (2) innovation system reforms for more market-based competition work for better incentive scheme for innovation though S&T linkage activities and (3) government funding of S&T induces more S&T linkages.     

Beyond industry–university links: Sourcing knowledge for innovation from consultants, private research organisations and the public science-base

This paper explores the use of specialist knowledge providers as sources of information in the innovation activities of manufacturing and service firms. Specialist knowledge providers are consultancies, private research organisations and the public science-base (i.e., universities and the government research laboratories). These may be engaged by firms in co-operative arrangement for innovation or as informal sources of information. We find, as anticipated, that amongst other factors specialist knowledge providers are more likely to be engaged by firms with more open approaches to innovation, those with high levels of absorptive capacity, those with greater social capital and networking capabilities, as well as by those with deeper commitments to innovation. Overall, the use of specialist knowledge providers tends to complement firms’ own internal innovation activities and to complement other external sources of knowledge. Moreover, the individual types of specialist knowledge providers tend to complement rather than substitute for one another. Beyond this we find significant differences in the types of specialist knowledge providers used by manufacturing and service firms. Although service firms are more likely than manufacturers to use specialist knowledge providers, they are more likely to engage consultants, whilst their links with research-based organisations, including the public science-base, are weaker. We ask whether there is a case for increasing the extent to which the public science-base undertakes activities that are relevant to innovation in the services.     

The interplay between product innovation,publishing, patenting and developing standards

Firms use a variety of practices to disclose the knowledge generated by their R&D activities, including, but not limited to, publishing findings in scientific journals, patenting new technologies, and contributing to developing standards. While the individual effects of engaging in the listed practices on firm innovation are well-understood, the existing literature has not considered their interrelation. Therefore, our study examines if the three practices are complements, substitutes, or unrelated in terms of firms’ performance with product innovations new to the market. Our analysis builds on a sample of innovation-active firms from the German Community Innovation Survey, which includes information on the development of standards, enhanced with information on firms' engagement in patenting and publishing. We find that 26% of innovation-active firms engage in at least one of the three practices, and 22% of engaging firms combine them. Using supermodularity tests, we show that publishing and patenting as well as patenting and developing standards are substitutes. Publishing and developing standards are not significantly linked. Based on our findings, we derive implications for innovation management and policy.     

期望绩效反馈与企业风险决策关系研究企业行为理论与代理理论的整合视角

通过整合企业行为理论和代理理论,探讨期望落差和期望顺差情况下,企业在风险活动类别选择上存在的差异。基于2013—2018年A股上市公司样本,得出如下研究结论:随着期望落差的扩大,管理者为了避免被解雇,越有可能选择短期导向的违规活动,但无显著的R&D活动倾向;随着期望顺差的扩大,管理者为了提升在劳动力市场上的声望,会倾向于选择长期导向的R&D活动,但无显著的违规活动倾向;此外,企业CEO政治关联、CEO持股会加剧负向期望绩效反馈下企业的违规活动倾向。本文的研究结果充分说明,不同方向的期望绩效反馈水平下,企业在风险承担类别偏好上存在差异。研究结论提高了企业行为理论的解释效力,并为有效遏制企业违规行为、提高企业创新水平提供了启示。     

学习、集群化与区域创新体系

技术创新的实质是知识创造与应用过程,技术创新的成功不仅取决于企业内部研究开发活动,更重要的是取决于企业与其他机构之间的相互作用。在此,从进化理论出发,认为学习是企业技术创新能力提高的核心,通过集群化可以改善学习效果,并且以区域创新体系促进区域整体创新能力及竞争力的提高。     

Knowledge base combinations and firm growth

The link between knowledge and firm growth has been a core topic in economics of innovation for a long time. However, despite strong theoretical arguments, empirical evidence remains inconclusive. One important reason for this conundrum may be the failure of standard indicators to capture firm innovation activities comprehensively. We contribute to overcoming this limitation by looking in the knowledge processes that drive variegated forms of innovation and aim thereby to establish a solid relationship with firm growth in more detail. Our arguments draw on the differentiated knowledge base approach, distinguishing between analytical, synthetic, and symbolic knowledge. We measure the three types of knowledge bases with detailed longitudinal linked-employer-employee micro-data from Sweden. Econometric findings based on a very large sample of small and medium-sized firms indicate significantly positive effects of the three knowledge types, and in particular combinations thereof, on firm growth. In addition, we show that not only high-growth but also slow-growth firms benefit immensely from the use of combinatory knowledge bases. We find evidence on a curvilinear relation between knowledge bases and growth of firms. Beyond certain thresholds increasing the knowledge bases further results in decreasing firm growth. Our results remain robust in a wide range of specifications and econometric models.     

Investigating the effects of foreign direct investment (FDI) on Croatian business

Technological innovation plays a critical role in economic growth. The most advanced and new technologies are created by leading firms in developed countries. Global expansion, strategic outsourcing or off-shoring in leading companies has been growing to enrich their competitive advantage, while technology transfer of leading firms has been of more interest to emerging or developing countries for catching up and following the trajectory of economic growth proved in developed countries. Among various channels to acquire new technologies from leading firms, foreign direct investments (FDI) is one of the most effective channels through which technology can be transferred to subsidiaries in emerging markets. However, empirical study on the roles of technology transfer and the feedback loop from FDI remains still scarce. Thus, the purpose of this study is to analyze the effects of FDI on businesses in partial or complete foreign ownership, with a special emphasis on technology transfer, and to assess the impact of foreign companies on domestic firm performance through technology transfer from foreign companies. This paper aims at investigating the investment climate for foreign investments and intensifying technology transfers and innovations in the Croatian economy. 145 firms responded to the survey we conducted for foreign investment enterprises in Croatia. Structural equation model is employed to examine the hypotheses with respect to effects of FDI on innovation activities of domestic Croatian firms. This study identified critical factors affecting technology innovation to Croatian firms. The results provide empirical evidence that the innovation activities in subsidiaries have a positive influence toward technology transfer from multinational corporations.     

用户参与与企业NPD绩效关系研究——以跨界协调为中介

    用户参与企业创新是提高新产品开发绩效的重要手段,但在吸纳用户参与自身创新过程时,企业需要在开放式创新的价值共创之利与管理复杂性之弊之间进行权衡。不同类型用户参与对企业NPD效应的差异及影响机理仍未得到充分揭示。基于创新理论与组织理论,采用444份国内企业样本,探索用户作为企业外部能动的创新源参与到企业创新过程中,对企业的组织协调机制及技术创新绩效的影响。发现：企业吸纳用户参与创新将有利于提升NPD绩效,但不同模式的用户参与提升企业NPD绩效的组织过程存在差异;用户以信息提供的方式参与企业创新,对企业NPD提升效应最强;组织跨界协调在用户参与提升企业NPD绩效的过程中起中介作用,特别是,对于用户作为独立创新者的参与方式,企业须经由正式设计的跨职能沟通机制,才能真正利用其有效贡献于企业NPD绩效的提升,否则用户独立创新可能对企业NPD绩效造成损害。文章最后讨论了理论贡献、管理意义与研究局限。