开放式创新研究的演化路径和热点领域分析——基于科学知识图谱视角

以Web of Science数据库中收录的开放式创新文献为研究对象,借助Citespace II软件进行知识图谱分析,分别制作了时空分布、文献共引和关键词共现知识图谱,进而探究了开放式创新研究的分布状况、变化趋势和热点领域。研究表明:(1)英美两国学者引领了开放式创新研究,我国学者在该领域的研究处于稳步提升阶段,但能够密切跟踪国际前沿;(2)开放式创新研究的发展趋势是研究对象日趋多样化、实证研究取代案例研究成为主要研究方法以及基于网络社区的创新交互逐步取代企业实体之间的技术交易和合作研发成为研究主流;(3)开放式创新研究的四个热点领域是开放式创新模式与企业绩效的关系、基于创新网络的研发合作和技术交易、开放式创新知识治理和用户参与的开放式创新实践应用。     

开放式创新的国内外研究现状及展望

开放式创新是在传统创新模式逼仄情势下出现的"创新范式转型"。在以总量变化的解释性数据与内容分析相结合的研究方法发现,开放式创新更适应了全球化网络化的发展趋势,其研究数量自2003年以来逐年攀升,研究内容涉及概念源起、组织形式、产权及创新风险、绩效等多个视角,对科学、技术和创新政策的制定有很大意义。在未来的研究中,该领域可着力于其中的人力资源问题、组织管理成本、外部环境及政策、局部创新与全局整合的平衡等角度展开研究。     

Is open innovation imprinted on new ventures? The cooperation-inhibiting legacy of authoritarian regimes

Extant research explores the role played by individuals and, in particular, founders in defining open innovation strategies at the firm level. We join this discussion by combining insights from imprinting literature that explores the enduring impact of a founder's personal history, with inputs from literature that stresses the impact of past experience on trust formation. We suggest that founders are less likely to engage in open innovation if their experiences engender a generalized lack of trust. We use a unique database that includes East and West German founders to identify regional differences in activities conducted by authoritarian regimes that could inhibit trust. We find that founders who were exposed to high levels of secret police surveillance in the former socialist German Democratic Republic (GDR) are less likely to engage in interfirm R&D cooperation. We contribute to the literature on open innovation by exploring how a founder's social, political, and cultural backgrounds influence strategic decisions related to open innovation, and to recent imprinting literature by showing that variation in oppressive enforcement practices in authoritarian regimes, such as surveillance activities, can leave an enduring imprint. Our findings complement recent insights on ideological imprinting effects on young firms’ decision-making.     

Unpacking the intellectual structure of ecosystem research in innovation studies

In light of the scattered nature of extant ecosystem literature, we seek to (1) identify the intellectual structure and theoretical roots of ecosystem literature within the broader field of innovation, and (2) take stock of how ecosystem research enriches and extends the innovation literature. Based on a bibliometric analysis of innovation and management journals over the past 30 years, we identify three lineages of ecosystem research within the “umbrella” of innovation studies. The first lineage finds its theoretical roots in the literature of product and architecture innovation. The second follows the lineage of open innovation and innovation strategy. The third adopts the traditions of regional innovation and entrepreneurship. Further, we offer an extended-boundary model that features two sets of synopses, explicating ecosystems' contributions to the field of innovation. The first set demonstrates how the ecosystem concept extends the three lineages with its unique attributes from a meta-organisational perspective, i.e., consumption-side synergies, boundary spanning and self-organisation. The second indicates how the concept may be repositioned on the foundational economic theories, i.e., Schumpeterian Innovation and Transaction Cost Economics, and advance how it may integrate the two schools and extend their research implications vis-à-vis profiting from, organising for, and outcomes of innovation. We contribute by organising the fragmented ecosystem literature into an integrative framework, forging stronger links with traditional innovation theories, and offering a cumulative theoretical basis for this promising concept to further flourish in the field of innovation studies.     

Closed or open innovation? Problem solving and the governance choice

Scholars have recently highlighted the promise of open innovation. In this paper, we treat open innovation—in it's different forms and manifestations—as well as internal or closed innovation, as unique governance forms with different benefits and costs. We discuss how each governance form, whether open or closed, is composed of a set of instruments that access (a) different types of communication channels for knowledge sharing, (b) different types of incentives, and (c) different types of property rights for appropriating value from innovation. We focus on the innovation “problem” as the central unit of analysis, arguing for a match between problem types and governance forms, which vary from open to closed and which support alternative forms of solution search. In all, the goal of this paper is to provide a comparative framework for managing innovation, where we delineate and discuss four categories of open innovation governance forms (markets, partnerships, contests and tournaments and user or community innovation) and compare them with each other and with two internal or closed forms of innovation governance (authority and consensus-based hierarchy).     

Open innovation in SMEs—An intermediated network model

In spite of increasing interest in open innovation, discussion about the concept and its potential application to the SME sector has been excluded from mainstream literature. However, given that the argument about the effect of firm size on the effectiveness of innovation is still ongoing, it is worth addressing the issue from an SME perspective. That is the focus of this article, which seeks, firstly, to place the concept of open innovation in the context of SMEs; secondly to suggest the input of an intermediary in facilitating innovation; and finally to report accounts of Korean SMEs’ success in working with an intermediary. The research results support the potential of open innovation for SMEs, and indicate networking as one effective way to facilitate open innovation among SMEs.     

Governing the innovation process in entrepreneurial firms

We challenge the implicit assumption that entrepreneurs are the sole owners of their young firms and we suggest that because cutting-edge innovation projects are complex, they create substantial information asymmetry between entrepreneurs and their investors. Linking previous research on governance, entrepreneurship, and innovation, we ask what forms of governance and incentive systems are conducive to spur and implement innovation among young entrepreneurial firms. Using agency theory and building on the rich literature on governance, we make eight practical suggestions regarding the governance of young entrepreneurial firms. We suggest that early and effective governance systems may help entrepreneurs and investors work in alignment with each other's best interests.     

企业开放式创新驱动因素的临界条件、因果关系与模式匹配:过程理论视角[*]

本研究基于系统动力学理论，针对开放式创新自外而内、自内而外和耦合三种模式，将以企业开放式创新中“知识获取-知识整合-商业模式化”的过程为观察点，构建企业开放式创新驱动因素的系统动力学模型，探析企业开放式创新过程的驱动因素，绘制三种模式下企业开放式创新的因果关系图和流图，并进行系统仿真模拟。研究发现，在企业以保增长为目标的情况下，会优先选择自外而内的开放式创新模式；在企业以降低成本为目标的情况下，会优先选择自内而外的开放式创新模式；在企业既要保持增长又要降低成本的情况下，会选择耦合的开放式创新模式；在自外而内开放式创新战略下，企业自第五年开始提升创新绩效；在自内而外开放式创新战略下，企业自第八年或第九年开始提升创新绩效。研究结果为企业进行开放式创新的关键驱动因素的寻找奠定理论基础，提供新的思路。     

双向开放式创新与企业新产品绩效关系研究

   将开放式创新分为内向型和外向型两个维度,并探讨两种模式对新产品绩效的作用机理。基于242家创新型企业数据,通过采用多元回归和Bootstrap法,得出以下结论：双向开放式创新对新产品绩效具有正向影响,且内向型比外向型作用更显著;产品新颖度在双向开放式创新和新产品绩效关系中发挥中介作用;制度支持和协同机制在双向开放式创新和产品新颖度关系中发挥正向调节效应,且调节产品新颖度在双向开放式创新和新产品绩效关系中的中介效应。研究结论拓展了开放式创新理论,为企业开展开放式创新及政府政策制定提供理论指导。     

科技政策国际研究的演化

以研究科学技术政策的国际权威期刊《Research Policy》（科研政策）于1974-2016年刊载的2855篇文献作为数据样本,运用科学知识图谱方法,获取国际科技政策研究成果的机构、国家、区域分布;通过高频主题词分析,确定国际科技政策研究的热点领域;通过检测词频变动趋势显著的主题词确定国际科技政策研究的前沿领域与发展趋势变化,分析科技政策国际研究的演变历程。研究表明,科技政策国际研究在过去42年间发生了明显的变化,主要体现为：研究范围由早期零星的“科技政策”相关探索发展到目前注重“科技政策学”的科学规范化研究,研究视角由国家层面的宏观研究向微观倾斜,研究热点由知识管理、国家创新系统等扩展到开放式创新、三螺旋创新、团队知识创造等多样化研究。同时发现,科技政策国际研究在早期主要受到纳尔逊（RR Nelson）国家创新系统理论和波特（ME Porter）国家竞争优势理论的影响,而当前主要受到开放式创新理论、三重螺旋创新理论的影响。本文的研究为更加全面地了解科技政策国际研究的发展脉络和演化进程,把握该领域的知识基础、研究热点与发展方向提供了新的参考及依据。     

开放式创新与吸收能力对创新绩效影响——基于我国汽车企业的实证研究

开放式创新理论认为企业利用外部技术有利于增强创新能力,但我国汽车企业经历了60余年大规模、全方位的技术引进,广泛采用了由外而内的开放式创新实践,仍然未能建立起自主创新能力。目前学术界对这一产业实践背离理论的现象还没有进行系统回答。在开放式创新影响因素研究中,对吸收能力的系统定量研究不足。本文结合汽车产业特征构建了我国汽车企业开放式创新、吸收能力与创新绩效之间作用关系的理论框架,提出相关假设。选取我国6家国有和6家民营汽车企业作为研究样本,运用Bootstrap软件对假设进行了简单中介检验和多步中介检验。实证研究发现：开放式创新不直接作用于企业的创新绩效,而是以现实吸收能力为中介影响企业的创新绩效;影响路径为“创新理念→开放程度→潜在（现实）吸收能力→创新绩效”。本研究丰富了开放创新理论,并对企业创新实践具有重要指导意义。     

核心企业开放式服务创新平台构建过程机理——基于扎根理论

基于价值共创视角探索核心企业开放式服务创新平台构建过程,采用扎根理论对四组案例展开质性研究,建构开放式服务创新平台形成的前因-过程-结果理论分析框架,分析开放式服务创新平台关键要素,揭示资源整合情境引发差异性影响。研究表明：内向型资源整合情境下,核心企业整合上位资源更注重功能契合和资源多样性,易促进渐进式创新绩效提升;外向型资源整合情境下,核心企业整合下位资源更注重感知契合和资产专用性,易促进突破式创新绩效提升。     

How and when information proactiveness leads to operational firm performance in the banking sector of Pakistan? The roles of open innovation,creative cognitive style,and climate for innovation

Utilizing the assumptions of the Resource-based theory, this study examined how and why new, rare, and inimitable resources in the form of information proactiveness motivation influence operational firm performance. We hypothesized open innovation as a mediator between information proactiveness motivation and operational firm performance. We also hypothesized the interactive effects of an individual’s creative cognitive style and information proactiveness motivation on open innovation whereas climate for innovation and open innovation jointly influence operational firm performance. A temporally segregated data (n = 260) was collected in three-time intervals from employees working in the banking sector of Islamabad, Pakistan. Utilizing the PROCESS approach, the findings of the study indicate that open innovation mediates the relationship between information proactiveness motivation, and operational firm performance. Moreover, the creative cognitive style was found to moderate the relationship between information proactiveness motivation and open innovation whereas climate for innovation emerged as a moderator between open innovation and operational firm performance. This research focused on unique information and contextual resources which directly and indirectly play significant roles in promoting the firm's open innovation and subsequent operational firm performance.     

Advancing innovation in the public sector: Aligning innovation measurement with policy goals

There is sufficient evidence, drawn from surveys of innovation in the public sector and cognitive testing interviews with public sector managers, to develop a framework for measuring public sector innovation. Although many questions that are covered in the Oslo Manual guidelines for measuring innovation in the private sector can be applied with some modifications to the public sector, public sector innovation surveys need to meet policy needs that require collecting additional types of data. Policy to support public sector innovation requires data on how public sector organizations innovate and how a strategic management approach to innovation can influence the types of innovations that are developed. Both issues require innovations surveys to delve deeply into the innovation processes and strategies that are used by public sector managers. Implementation of the measurement framework proposed in this paper would open up opportunities for a new, policy-relevant research program on public sector innovation.     

制造业开放创新趋势、问题和政策建议

当前，新技术革命与产业变革正在加速重塑国际产业分工格局，迫切需要坚持“开放合作、绿色低碳、价值共创、协同发展”基本原则，推进制造业重点领域开放创新合作，提升制造业开放创新发展能力。文章总结全球制造业开放创新趋势，分析主要经济体积极推动制造业开放创新的政策与举措，梳理中国制造业开放创新现状与问题，提出了中国制造业开放创新的政策建议：（1）加强协同研发体系与能力建设，提升制造业技术供给能力；（2）加强协同设计体系与能力建设，提升制造业市场响应能力；（3）加强协同生产体系与能力建设，提升制造业国际竞争能力；（4）加强协同服务体系与能力建设，引领服务型制造发展方向；（5）加强协同发展生态与环境建设，推动制造业开放创新发展。     

数字化转型企业开放式创新生态系统的构建——理论基础与未来展望

具有开放性、可供性等特征的数字技术使得传统企业形成了数字化转型企业开放式创新生态系统的新组织型态。然而,当前对其研究还处于概念探讨和特征归纳的初级阶段,急需对其构建研究形成系统性理论框架。因此,首先基于相关概念的梳理,尝试明晰“何为”数字化转型企业开放式创新生态系统,即其内涵界定;其次,结合当前开放式创新生态系统、数字化转型企业两大研究基础,厘清“为何”急需开展数字化转型企业开放式创新生态系统构建的研究;最后,初步提出包括“型态识别→构建动因→构建逻辑→构建过程”的研究框架,指出未来“如何”开展数字化转型企业开放式创新生态系统构建的研究,以期为数字化转型企业开放式创新生态系统构建研究夯实理论基础并指明未来研究方向。     

面向开放创新的基础研究评估新模式研究

在创新环境转向开放创新的新时代,基础研究创新特征发生变化,传统的基础研究评估模式已无法适应创新环境与创新模式变化对基础研究评估实践提出的新要求,探索面向开放创新的基础研究评估模式已成为新形势下激发基础研究潜能、推动创新发展所面临的重大命题。通过分析传统创新环境下基础研究评估模式存在的问题,结合开放创新时代基础研究的创新特征变化,创新性提出面向开放创新的基础研究评估新模式即知识创新效应评估,并从基础研究创新过程及产出成果流向的角度出发,构建了知识创新效应评估的理论模型,该理论模型包含三个要素维度即知识创造、知识交流和知识扩散,为后续进一步研究构建面向开放创新的国家基础研究评估指标体系奠定理论基础。     

龙头企业开放式创新平台运行机制研究

“互联网+”背景下，龙头企业利用开放式创新平台这一新型创新组织模式进行高效的持续创新，日益受到重视。文章以国内外3类开放式创新平台（非定向研发协作模式、定向研发协作模式以及孵化运营模式）为研究对象，在开放式创新等相关理论的基础上，对三者运作模式和共性问题进行分析研究，并从中梳理出龙头企业开放式创新平台运行机理和动力模型；同时，基于案例和运行模型分析，提出若干建议，以期为国内其他企业利用开放式创新平台进行创新活动，以及政府完善创新创业政策提供一些启示。     

Externalities of openness in innovation

Discussion of open innovation has typically stressed the benefits to the individual enterprise from boundary-spanning linkages and improved internal knowledge sharing. In this paper we explore the potential for wider benefits from openness in innovation and argue that openness may itself generate positive externalities by enabling improved knowledge diffusion. The potential for these (positive) externalities suggests a divergence between the private and social returns to openness and the potential for a sub-optimal level of openness where this is determined purely by firms’ private returns. Our analysis is based on Irish plant-level panel data from manufacturing industry over the period 1994–2008. Based on instrumental variables regression models our results suggest that externalities of openness in innovation are significant and that they are positively associated with firms’ innovation performance. We find that these externality effects are unlikely to work through their effect on the spread of open innovation practices. Instead, they appear to positively influence innovation outputs by either increasing knowledge diffusion or strengthening competition. Our evidence on the significance of externalities from openness in innovation provides a rationale for public policy aimed at promoting open innovation practices among firms.     

创新情境、开放式创新与创新能力动态演化

本文基于探索性案例研究方法，探讨开放式创新实施的情境、实施路径和效应，在深入分析创新情境、开放式创新和创新能力的动态变化轨迹基础上，试图构建一个“创新情境--开放式创新--创新能力”的整合分析模型。依据这一研究框架，文章对在开放式创新方面有代表的海尔集团作了2009-2018年纵向案例研究。本文研究丰富了开放式创新的内核，从作用于创新链的节点、交易逻辑和类型等三方面诠释了开放式创新的内涵；定义了开放式创新的类型，提出从驱动力、创新链开放节点、交易逻辑、知识流、卷入的创新资源、沟通方式、沟通频率和核心特征等8个维度定义开放式创新，可划分为内部依赖-内向型、主导参与-内向型、主导参与-双向型、社群共创-双向型4种类型。研究结论发现，由技术控制力和创新活跃度反映的创新情境是决定开放式创新模式选择的依据，开放式创新是一个依据企业面临环境和战略选择发生的连续的、动态的创新资源吸引、整合、利用、释放和扩散过程，随着创新情境越来越有利，开放式创新依次经历内部依赖-内向型、主导参与-内向型、主导参与-双向型、社群共创-双向型4个阶段，与之对应的创新能力则沿着“技术创新能力-整合创新能力-生态创新能力”的路径演化。本文的理论贡献在于：丰富了开放式创新的内核，定义了开放式创新的类型，并基于创新情境、开放式创新与创新能力动态演化路径提出了COC模型，为企业如何实施开放式创新提供了理论支撑和实践指导。