海外研发地理多样化与创新绩效：组织学习视角

海外研发是新兴经济体企业通过“走出去”寻求技术和提升创新绩效的重要战略选择。本研究以中国开展海外研发比较活跃的知识密集型行业上市企业为样本,基于组织学习视角,探讨了海外研发的地理多样化对企业创新绩效的作用机制以及国际化经验和组织学习方式对海外研发与创新绩效关系的调节作用。研究显示中国企业海外研发的地理多样化程度和创新绩效之间呈现出先上升后下降的倒U型关系,企业拥有的国际化经验和探索式组织学习方式则增强了这种倒U型关系。基于以上结论,最后对于中国企业如何更有效地开展海外研发的地理多样化布局以及利用有效的组织学习方式和国际化经验取得创新优势给出合理的建议。     

知识服务机构联结多样化与制造企业服务创新

与知识服务机构建立联结是制造企业获取服务创新资源的重要路径,多样化联结究竟会对制造企业服务创新绩效产生何种影响,是一个缺乏关注但亟待回答的问题。鉴于此,本文以重庆203个制造企业为样本,考察知识服务机构联结伙伴多样化、联结地域多样化对制造企业服务创新绩效的直接影响,并对跨界搜索经验的调节效应进行检验。研究结果表明：联结伙伴多样化对制造企业服务创新绩效具有倒U效应;联结地域多样化对制造企业服务创新绩效存在正向线性效应,但没有曲线效应;跨界搜索经验调节联结伙伴多样化和制造企业服务创新绩效间的倒U型关系;跨界搜索经验增强了联结地域多样化对制造企业服务创新绩效的正向影响,而曲线关系的调节效应未得到证实。本研究结论推进了组织间关系视角下的制造企业服务创新理论研究,为制造企业选择合适的知识服务机构联结多样性进行服务创新提供了启示。, 与知识服务机构建立联结是制造企业获取服务创新资源的重要路径,多样化联结究竟会对制造企业服务创新绩效产生何种影响,是一个缺乏关注但亟待回答的问题。鉴于此,本文以重庆203个制造企业为样本,考察知识服务机构联结伙伴多样化、联结地域多样化对制造企业服务创新绩效的直接影响,并对跨界搜索经验的调节效应进行检验。研究结果表明：联结伙伴多样化对制造企业服务创新绩效具有倒U效应;联结地域多样化对制造企业服务创新绩效存在正向线性效应,但没有曲线效应;跨界搜索经验调节联结伙伴多样化和制造企业服务创新绩效间的倒U型关系;跨界搜索经验增强了联结地域多样化对制造企业服务创新绩效的正向影响,而曲线关系的调节效应未得到证实。本研究结论推进了组织间关系视角下的制造企业服务创新理论研究,为制造企业选择合适的知识服务机构联结多样性进行服务创新提供了启示。     

合作研发对企业创新绩效的影响研究——基于治理机制的调节分析

 以合作研发如何影响企业创新绩效为基础,分别研究了契约治理和信任对于这一关系的调节作用,并通过141家企业调查样本对假设关系进行实证检验。研究结果表明：合作研发会显著提高企业的创新绩效,契约治理会倒U型调节合作研发与企业创新绩效之间的关系,而信任则会线性增强合作研发与企业创新绩效之间的关系。     

联盟伙伴技术多样性对企业突破性创新的影响研发联盟组合特征的调节作用

基于研发联盟组合的视角探究了企业研发合作伙伴技术多样性对企业突破性创新的作用机制,并依据社会网络理论分析了伙伴平均关系强度和伙伴平均社会价值的调节作用。采用1997—2017年中国医药制造业上市企业的专利数据进行实证分析,得到如下结论：研发合作伙伴技术多样性对企业突破性创新的作用为倒U形;伙伴平均关系强度减弱了伙伴技术多样性与企业突破性创新的倒U形关系;伙伴平均社会价值增强了伙伴技术多样性与企业突破性创新的倒U形关系。研究结论不仅完善了现有关于伙伴技术多样性对企业创新结果影响不一致的结论,而且丰富了对联盟组合研究的探讨,并对企业管理者构建和管理联盟组合提出了建议。     

知识资源与创新绩效——网络知识异质性的调节作用

以纳米能源领域2001—2018年的专利数据构建知识网络和研发组织间的创新合作网络,检验研发组织的知识资源的两个维度与创新绩效的关系以及网络知识异质性的调节作用.研究发现,研发组织的知识组合能力正向影响创新绩效,研发组织的知识多样性与创新绩效呈倒U型关系;创新网络中的知识异质性负向调节知识组合能力对创新绩效的影响,正向调节知识多样性与创新绩效的倒U型关系.     

多维邻近与合作创新

论文基于资源依赖理论和三螺旋理论,利用2002-2016年电子信息产业专利数据,考察了制度邻近、地理邻近和技术邻近对合作创新的影响以及技术多元化的调节作用。研究表明,（1）制度邻近和地理邻近均对合作创新绩效具有显著地正向影响,技术邻近与合作创新绩效之间存在倒U型关系;（2）技术多元化作为调节变量,增强了制度邻近与合作创新绩效之间的正向关系以及技术邻近与合作创新绩效之间存在倒U型关系;（3）地理邻近对政府-企业和企业-企业具有显著的促进作用,技术邻近与企业-企业合作创新之间存在倒U型关系,而对企业-高校和政府-企业的合作创新具有显著负向影响。本研究拓展了三螺旋理论的研究范围,为“官产研”合作创新提供了理论支持和决策基础。     

伙伴社会价值对企业突破性创新的影响研究

本研究基于交易成本理论分析了在研发联盟组合中,研发合作伙伴的社会价值（中心企业的研发合作伙伴的伙伴数的平均值来衡量）如何作用于企业的突破性创新;同时分析了研发联盟伙伴技术多样性以及地理多样性的调节作用。基于1997年至2017年中国医药制造业构建研发联盟的数据,采用负二项回归分析发现：（1）在研发联盟组合中,研发联盟伙伴社会价值与企业突破性创新的关系为倒U形;（2）研发联盟伙伴技术多样性减弱了伙伴社会价值对企业突破性创新的倒U作用;（3）研发联盟伙伴地理多样性增强了伙伴社会价值对企业突破性创新的倒U作用。本文的研究结论不仅完善了现有的研发联盟组合文献和伙伴多样性研究文献,还基于交易成本理论为企业管理者进行伙伴选择及联盟组合管理提供重要的思路启发。     

中国企业海外研发组合结构与创新绩效研究

海外研发投资已经成为以中国为代表的新兴经济体后发跨国企业提升创新能力的重要战略选择。本文以中国2009-2014年八个行业的上市公司为研究样本,采用面板的负二项回归模型,从海外研发组合结构两个维度(广度和强度)检验对母公司创新绩效的影响关系,结果发现海外研发广度与母公司创新绩效之间存在倒U型曲线关系,海外研发强度与母公司创新绩效之间存在U型曲线关系。另外,还发现企业的吸收能力和海外投资经验在海外研发广度、强度与母公司创新绩效之间的起着积极的调节作用。该研究结果可以为以中国为代表的新兴经济体跨国企业海外研发投资决策提供一定的借鉴意义。     

企业与多类型伙伴间的重复合作对研发创新绩效的影响研究

现有对研发联盟重复合作与企业创新绩效关系的研究大多忽略了创新绩效在创新程度方面的进一步细分,同时也忽略了多类型伙伴的协同研发对两者关系的边界条件。基于上述研究局限,研究探讨了企业与多类型伙伴间的重复合作对突破性创新绩效和渐进性创新绩效的影响机理和作用效果。通过对中国医药制造行业61家公司2007—2017年的340个研发联盟样本的实证分析,结果表明重复合作促进了企业的渐进性创新绩效,但阻碍了突破性创新绩效;研发联盟伙伴类型多样性负向调节重复合作与企业渐进性创新绩效的关系,正向调节重复合作与企业突破性创新绩效的关系。     

企业吸收能力、政府研发资助与外部知识获取对产学研创新绩效的影响研究

产学研创新绩效是企业、高校、科研院所协同创新的成果。采用广东省部产学研合作研发项目的数据,探讨企业吸收能力、政府研发资助与外部知识获取对产学研产品创新与过程创新绩效的影响,并构建了以新产品数量、新工艺数量为因变量的负二项分布模型。实证结果表明,以企业研发人员比重度量的企业吸收能力对产品创新和过程创新均具有显著的正向影响,政府研发资助与产品创新之间呈U型关系,对过程创新的影响不显著,外部知识获取与产品创新和过程创新之间呈倒U型关系。     

跨国公司对华R＆D投资及中国R＆D策略分析

伴随着经济全球化,特别是中国加入WTO后,许多世界知名跨国公司纷纷将其研发中心迁至中国。在这样的背景下,中国一方面要加强国内R＆D储存,另一方面应积极吸纳跨国公司R＆D溢出,从而更好地发展中国经济。     

The impact of firm participation in R&D programmes on R&D partnerships

R&D subsidies designed to encourage innovation efforts by firms may have intended and unintended effects on the way they organize their innovation process. We present empirical evidence on how R&D subsidies affect firms’ R&D cooperation strategies. In particular, we investigate whether receiving public R&D subsidies affect the probability that a firm will set up an R&D partnership with a public research organization (PRO), or with other firms. Our main findings are: (i) public support significantly increases the chances that a firm will cooperate with a PRO, and (ii) public support also increases the likelihood that a firm will establish private partnerships, but to a smaller extent and only when firms have intangible knowledge assets. These results suggest that public R&D programmes trigger a behavioural change in firms’ R&D partnerships, alleviating barriers to cooperation.     

R&D price indexes and real R&D expenditures in the United States

The rate of inflation in R&D is very difficult to measure. The official government statistics in the United States use the GNP deflator to deflate R&D expenditures. Little is known about the extent to which price indexes for R and D inputs, if they were constructed in various industries, would differ from the GNP deflator. This paper reports the findings of a study that attempts to fill this important gap. Laspeyres price indexes are presented both for R and D inputs and for inputs used in other stages of the innovation process. Also, price indexes for R and D inputs are constructed, assuming that the relevant production function is Cobb-Douglas. On the basis of the results, we estimate the extent and direction of the errors in the official R&D statistics due to the use of the GNP deflator.Our findings, based on detailed data obtained from firms accounting for about one-ninth of all company-financed R&D in the U.S., indicate that the GNP deflator underestimated the rate of price increase for R&D inputs during 1969–1979 in practically every industry we studied. The bulk of the apparent increase in real R&D in these industries (which was relatively modest in any event) seems to have been due to the inadequacies of the GNP deflator. One important moral seems to be that more attention and resources should be devoted to the construction of better price indexes for R&D.     

政府科技补助对企业创新投入的门槛效应——基于科技型中小企业的经验研究

本文基于我国2009年-2013年112家科技型中小企业的面板数据,以资助强度作为门槛变量,实证检验政治关联、政府科技补助对科技型中小企业创新投入的作用效果。结果表明:(1)对于我国科技型中小企业而言,政府科技补助具有显著的激励效应,没有挤出效应;(2)政治关联程度对政府科技补助与科技型中小企业创新投入之间关系具有削弱作用,但不显著;(3)随着政府科技补助强度的增大,政府科技补助的激励效应却会不断降低。     

公共研发投资对企业研发投入杠杆作用的研究

在我国,由政府支持的公共研发部门(主要包括高等院校和科研院所)和企业构成了社会研发系统。在此系统内,企业的研发投资决策变化,会影响公共研发投资杠杆作用的效果。本文运用FGLS方法,利用2009-2013年规模以上工业企业省际面板数据,从社会研发系统的视角,探讨了当系统内企业受政府RD资助强度变化时,公共研发投资对企业研发投入杠杆作用的变化。研究发现公共研发投资的杠杆作用存在区域差距,在政府对企业RD资助强度大的地区,政府支持高等院校研发会促进本地区企业研发投入,且促进效应会因其对企业RD资助强度大而加剧,但支持科研院所研发会挤出本地区企业研发投入;而在资助强度小的地区,影响则完全相反。因此各级政府在进行公共研发投资时应注意科技投入的精准化,合理搭配政策工具。     

R&D spillovers through RJV cooperation

We investigate how R&D spillovers propagate across firms linked through Research Joint Ventures (RJVs). Building on the framework developed by Bloom et al. (2013) which considers the opposing effects of knowledge spillovers and product market rivalry, we extend the model to account for RJV cooperation. Since the firm’s decision to join a RJV is endogenous, we build a model of RJV participation. The outcome equations and RJV participation are then jointly estimated in an endogenous treatment regression model. Our main findings are that the adverse effects of product market rivalry are mitigated if firms cooperate in RJVs; and that RJV participation allows firms to better absorb technological spillovers and, thus, create value.     

R&D strategies and entrepreneurial spawning

This paper analyzes how different R&D strategies of incumbent firms affect the quantity and quality of their entrepreneurial spawning. When examining entrepreneurial ventures of ex-employees of firms with different R&D strategies, three things emerge: First, firms with persistent R&D investments and a general superiority in sales, exports, productivity, profitability and wages are less likely to generate entrepreneurs than firms with temporary or no R&D investments. Second, start-ups from knowledge intensive business service (KIBS) firms with persistent R&D investments have a significantly increased probability of survival. No corresponding association between the R&D strategies of incumbents and survival of entrepreneurial spawns is found for incumbents in manufacturing sectors. Third, spin-outs from KIBS-firms are more likely to survive if they start in the same sector, indicating the importance of inherited knowledge. These findings suggest that R&D intensive firms are less likely to generate employee start-ups, but their entrepreneurial spawns tend to be of higher quality.     

政府研发资助、企业研发投入与中国创新效率

本文采用2003-2012年中国地区面板数据,利用超越对数的随机前沿模型和门限回归模型就政府研发资助和企业研发投入对中国创新效率的影响及政府研发资助和企业研发投入的最优强度区间进行分析。研究发现:目前在我国创新过程中,政府研发资助对创新效率的影响为负,存在一定的"政府失灵",企业研发投入能够促进创新效率的提高,"市场失灵"现象较少出现;政府研发资助强度的最优区间为0.282以上,企业研发投入强度的最优区间为0.688-0.775。     

Project planning in Soviet R&D

Science in the USSR has not escaped the general commitment of the authorities to centralized planning. But they have long been dissatisfied with the degree of de facto decentralization and isolation from production of the traditional science planning process, as well as the lack of flexibility of an institution-based system. This article examines the recent response to these problems — comprehensive goal-oriented programme methods of science planning and management, apparently derived from both Soviet and US defence R&D management. The problems of the approach are revelaed, primarily in terms of the excessive bureaucratization of science involved and the continuing isolation of R&D from production. The article concludes by speculating on the significance of the ‘entrepreneurial revolution’ in Western R&D for the Soviet system.     

Canadian R&D abroad management practices

In the 1980s, Canadian industrial R&D abroad has grown substantially. In 1995, R&D expenditures by Canadian affiliates, only in the United States, represented some US$1.4 billion and employed some 6300 persons. Nearly 60 Canadian-owned and -controlled corporations conduct overseas R&D, mostly in the US, Western Europe, Japan, and Australia. Canadian corporations are performing commercial R&D abroad in order to support their manufacturing subsidiaries and to come closer to customers and markets. A secondary motivation is to hire skilled personnel, monitor foreign technological development and increase the inflow of new ideas into the corporation. They also chose friendly socio-political environments from a regulatory point of view. Technology transfer and adaptation to local markets is also an important mission of the foreign R&D establishment. Foreign R&D activities of Canadian firms are fairly decentralized and autonomous. Most of the foreign subsidiaries undertook R&D abroad before they were acquired by the Canadian corporation; also the number of Canadian managers was reduced and the R&D projects were usually decided in the affiliate. Three main types of expatriate R&D were found: a majority of the subsidiaries were producing goods in the same or related industries as in Canada (such as machines, transportation equipment or housing equipment). A second group of firms were vertically integrated firms, that conducted process research in Canada and advanced materials and final products research abroad, closer to the markets for this type of goods; they were active in the chemical and metal industries. Only one truly global corporation was found, with an international division of labor among its many foreign laboratories. The degree of autonomy varied across the three types of expatriate R&D units. In the last 10 years, the internationalization of industrial research and development has increased very rapidly. Foreign-affiliated corporations operating in the United States represented some 9.3% of all company-funded R&D in that country in 1987, and close to 18% in 1995 (Dalton and Serapio, in this issue). Similarly, foreign R&D expenditures by US-affiliated companies abroad have more than tripled. Canadian industrial R&D abroad has grown at a similar pace. It now includes over 100 research facilities owned by some 60 Canadian corporations, with subsidiaries in the United States, western Europe, Japan, Australia, and several developing countries (China, Brazil, India, Mexico, and Turkey). However, little is known about the characteristics of this foreign R&D: missions, managerial practices, budgets or innovative activity. This study is the first to present original data from a survey of these facilities, complemented by secondary material from annual reports and the financial and technical press. It follows a previous study of Canadian patents abroad, which concluded that diversification into related activities was the overseas strategy of Canadian multinational corporations (MNCs) with foreign R&D activities [Niosi, J., 1997. The globalization of Canadian R&D, Management International Review 37 (4) (in print).]. The first section of this paper presents (1) a short summary of some relevant literature on the management of foreign R&D, (2) the design of the study, (3) the results, and (4) a comparison of theories with Canadian data. It offers conclusions about the existence of three distinctive types of internationalization in Canadian R&D, each with different strategies and outcomes.