合作与企业国际化创新:政府参与的调节作用
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摘要
本文利用2009-2011年之间科技部创新型企业数据库中样本企业的面板数据,通过回归分析,实证检验了企业间合作和产学研合作对于企业国际化创新的影响,并探究了政府参与在该过程中的权变机制。研究发现,企业间合作和企业国际化创新绩效是正向的线性关系,而产学研合作对企业国际化创新绩效具有倒U型影响。政府参与正向调节企业间合作对国际化创新的影响,并改善产学研合作与企业国际化创新绩效之间的关系。
We use a 3-year panel data( from 2009 to 2011) from the Innovative Firms Database collected by the Ministry of Science and Technology of China( MOST) to test our model. Through regression analysis,we respectively test the effects of firm-firm cooperation and firm-university cooperation on firm international innovation,and explore the contingency mechanism by empirically testing the moderating effects of government involvement. Our results indicate that firm-firm cooperation positively leads to firm international innovation performance,while firm-university cooperation has an inverted U-shaped effect on firm international innovation performance. Besides,government involvement positively moderates the relationship between firm-firm cooperation and international innovation performance,and improves the relationship between firm-university cooperation and international innovation performance.
We use a 3-year panel data( from 2009 to 2011) from the Innovative Firms Database collected by the Ministry of Science and Technology of China( MOST) to test our model. Through regression analysis,we respectively test the effects of firm-firm cooperation and firm-university cooperation on firm international innovation,and explore the contingency mechanism by empirically testing the moderating effects of government involvement. Our results indicate that firm-firm cooperation positively leads to firm international innovation performance,while firm-university cooperation has an inverted U-shaped effect on firm international innovation performance. Besides,government involvement positively moderates the relationship between firm-firm cooperation and international innovation performance,and improves the relationship between firm-university cooperation and international innovation performance.
引文
[1]沈静,蔡建峰,曾令炜.企业合作创新过程中知识转移影响因素及机制研究[J].科技进步与对策,2009,26(8):137-141.Shen Jing,Cai Jianfeng,Zeng Lingwei.Research on the influence mechanism of knowledge transfer in the process of firms’cooperation innovation[J].Science&Technology Progress and Policy,2009,26(8):137-141.
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[3]Ki H.Kang J K.Does partner type matter in R&D collaboration for product innovation[J].Technology Analysis&Strategic Management,2010,22(8):945-959.
[4]周江华,仝允桓,李纪珍.基于金字塔底层(Bo P)市场的破坏性创新—针对山寨手机行业的案例研究[J].管理世界,2012(2):112-130.Zhou Jianghua,Tong Yunhuan,Li Jizhen.Disruptive Innovation for the Base of the Pyramid(Bo P)markets-A case study on the Shanzhai Cellphone Industry[J].Management World,2012(2):112-130.
[5]陈劲,吴沧澜,景劲松.我国企业技术创新国际化战略框架和战略途径研究[J].科研管理,2004,25(6):115-125.Chen Jin,Wu Canglan,Jing Zhensong.Research on the strategic framework and strategic approach of the internationalization of Chinese enterprises’technological innovation[J].Science Research Management,2004,25(6):115-125.
[6]刘云,叶选挺,樊威.开放式创新下的产业创新国际化模式初探[J].科学学与科学技术管理,2012,33(2):5-10.Liu Yun,Ye Xuanting,Fan Wei.A preliminary study on the internationalization model of industrial innovation under open innovation[J].Science of Science and Management of S&T,2012,33(2):5-10.
[7]Huang F,Rice J,Martin N.Does open innovation apply to China?Exploring the contingent role of external knowledge sources and internal absorptive capacity in Chinese large firms and SMEs[J].Journal of Management&Organization,2015,21(5):594-613.
[8]Jourdan J,Kivleniece I.Too much of a good thing?The dual effect of public sponsorship on organizational performance[J].Academy of Management Journal,2017,60(1):55-77.
[9]Liu Y,Ying Y,Wu X.Catch-up through collaborative innovation:Evidence from China[J].Thunderbird International Business Review,2016,32(2):5-28.
[10]曾萍,邬绮虹,蓝海林.政府的创新支持政策有效吗?——基于珠三角企业的实证研究[J].科学学与科学技术管理,2014,35(4):10-20.Zeng Ping,Wu Qihong,Lan Hailin.Is the government’s innovative support policy effective?-An empirical study based on the Pearl River Delta[J].Science of Science and Management of S&T,2014,25(4):10-20.
[11]Guan J,Yam R C M.Effects of government financial incentives on firms’innovation performance in China:Evidences from Beijing in the 1990s[J].Research Policy,2015,44(1):273-282.
[12]Guo D,Guo Y,Jiang K.Government-subsidized R&D and firm innovation:Evidence from China[J].Research Policy,2016,45(6):1129-1144.
[13]Grant R.Prospering in dynamically-competitive environments:Organizational capability as knowledge integration[J].Organization Science,1996,7(4):375-387.
[14]K Asakawa C U A C,Ackermann K.R&D collaborations and product innovation[J],2010,27(5):673-689.
[15]Hagedoorn J,Duysters G.External sources of innovative capabilities:The preferences for strategic alliances or mergers and acquisitions[J].Journal of Management Studies,2002,39(2):167-188.
[16]Grandori A.An organizational assessment of interfirm coordination modes[J].Organization Studies,1997,18(6):897-925.
[17]Das T K,Teng B S.A resource-based theory of strategic alliances[J].Journal of Management:Official Journal of the Southern Management Association,2000,26(1):31-61.
[18]Tyler BB,Steensma H K.Evaluating technological collaborative opportunities:A cognitive modeling perspective[J].Strategic Management Journal,1995,16(S1):43-70.
[19]纳拉亚南.技术战略与创新:竞争优势的源泉[M].北京:电子工业出版社,2002.Narayanan.Technical strategy and innovation:The source of competitive advantage[M].Beijing:Publishing House of Electronic Industry,2002.
[20]马庆国,徐青,廖振鹏,等.知识转移的影响因素分析[J].北京理工大学学报(社会科学版),2006,8(1):40-43.Ma Qingguo,Xu Qing,Liao Zhenpeng,et.al.Analysis of influencing factors of knowledge transfer[J].Journal of Beijing Institute of Technology(social science),2006,8(1):40-43.
[21]肖丁丁,朱桂龙.产学研合作创新效率及其影响因素的实证研究[J].科研管理,2013,34(1):11-18.Xiao Dingding,Zhu Guilong.An empirical study on the efficiency and influencing factors of cooperation and innovation of industry,university and research cooperation[J].Science Research Management,2013,34(1):11-18.
[22]王毅,吴贵生.产学研合作中粘滞知识的成因与转移机制研究[J].科研管理,2001,22(6):114-121.Wang Yi,Wu Guisheng.Research on the causes and transfer mechanism of sticky knowledge in the cooperation of production,learning and research[J].Science Research Management,2001,22(6):114-121.
[23]Marques J P C,Cara9a J M G,Diz H.How can universityindustry-government interactions change the innovation scenario in Portugal?—The case of the University of Coimbra[J].Technovation,2006,26(4):534-542.
[24]Cohen W M,Levinthal D A.Absorptive capacity:A new perspective on learning and innovation[J].Administrative Science Quarterly,1990,35(1):128-152.
[25]Reus T H,Lamont B T,Ellis K M.A darker side of knowledge transfer following international acquisitions[J].Strategic Management Journal,2016,37(5):932-944.
[26]Wagner S M.Partners for business-to-business service innovation[J].IEEE Transactions on Engineering Management,2013,60(1):113-123.
[27]黄庆德,戴强,胡登峰.基于政府角色定位的我国产学研合作促进机制研究[J].科技进步与对策,2012,29(22):137-139.Huang Qingde,Dai Qiang,Hu Dengfeng.Research on the promotion mechanism of China’s domestic research and research cooperation based on the role of government[J].Science&Technology Progress and Policy,2012,29(22):137-139.
[28]Quintas P,Wield D,Massey D.Academic-industry links and innovation:Questioning the science park model[J].Technovation,1992,12(3):161-175.
[29]Powell WW.Interorganizational collaboration and the locus of innovation:Networks of learning in biotechnology[J].Administrative Science Quarterly,1996,41(1):116-145.
[30]Savitskaya,Salmi I,Torkkeli P,et al.Barriers to open innovation:Case China[J].Journal of Technology Management&Innovation,2010,5(4):10-21.
[31]Huizingh E K R E.Open innovation:State of the art and fu-ture perspectives[J].Technovation,2011,31(1):2-9.
[32]P D.Why do Chinese firms tend to acquire strategic assets in international expansion?[J].Journal of World Business,2009,44(1):74-84.
[33]Thornhill S.Knowledge,innovation and firm performance in high-and low-technology regimes[J].Journal of Business Venturing,2006,21(5):687-703.
[34]Schoenmakers W,Duysters G.The technological origins of radical inventions[J].Research Policy,2010,39(8):1051-1059.
[35]范钧,郭立强,聂津君.网络能力、组织隐性知识获取与突破性创新绩效[J].科研管理,2014,35(1):16-24.Fan Jun,Guo Liqiang,Nie Jinjun.Network ability,organization of tacit knowledge acquisition and breakthrough innovation performance[J].Science Research Management,2014,35(1):16-24.
[36]翟瑞瑞,陈岩,姜鹏飞.横向还是纵向?政府参与与企业创新发展——基于中国创新型企业的实证研究[J].科技管理研究,2016(8):168-172.Zhai Ruirui,Chen Yan,Jiang Pengfei.Horizontal or vertical?Government participation and enterprise innovation development-An empirical study based on Chinese innovative enterprises[J].Science and Technology Management Research,2016(8):168-172.
[37]丁小义,潘申彪,余红娜.政府直接资助与浙江省企业R&D投入分析[J].科学学研究,2007,25(a02):248-253.Ding Xiaoyi,Pan Shenbiao,Yu Hongna.Direct government funding and R&D investment analysis of enterprises in Zhejiang Province[J].Studies in Science of Science,2007,25(a02):248-253.
[38]孙晓华,王昀.企业规模对生产率及其差异的影响——来自工业企业微观数据的实证研究[J].中国工业经济,2014(5):57-69.Sun Xiaohua,Wang Yun.The impact of enterprise size on productivity and its differences-An empirical study from the micro data of industrial enterprises[J].China Industrial Economics,2014(5):57-69.
[39]Scherer F M.Firm size,market structure,opportunity,and the output of patented inventions[J].American Economic Review,1965,55(5):1097-1125.
[40]Berchicci L.Towards an open R&D system:Internal R&D investment,external knowledge acquisition and innovative performance[J].Research Policy,2013,42(1):117-127.
[41]Zhou K Z,Wu F.Technological capability,strategic flexibility,and product innovation[J].Strategic Management Journal,2010,31(5):547-561.
[42]周江华,李纪珍,刘子諝,李子彪.政府创新政策对企业创新绩效的影响机制[J].技术经济,2017,36(1):57-65.Zhou Jianghua,Li Jizhen,Liu Zixu,Li Zibiao.Influence mechanism of government’s innovation policies on firm’s innovation performance[J].Technology Economics,2017,36(1):57-65.
[43]裴学敏,陈金贤.知识资产对合作创新过程的影响分析[J].科研管理,1999,20(1):25-29.Pei Xuemin,Chen Jinxian.Analysis of the influence of knowledge assets on the process of cooperative innovation[J].Science Research Management,1999,20(1):25-29.
[44]陈劲,何郁冰,朱铭.基于RIR的企业合作创新绩效影响因素研究[J].科学学研究,2007,25(5):1003-1009.Chen Jin,He Yubing,Zhu Ming.Research on the influencing factors of enterprise cooperative innovation performance based on RIR[J].Studies in Science of Science,2007,25(5):1003-1009.
[2]周江华,刘宏程,仝允桓.企业网络能力影响创新绩效的路径分析[J].科研管理,2013,34(6):58-66.Zhou Jianghua,Liu Hongcheng,Tong Yunhuan.The path for the impact of enterprise network capability on innovation performance[J].Science Research Management,2013,34(6):58-66.
[3]Ki H.Kang J K.Does partner type matter in R&D collaboration for product innovation[J].Technology Analysis&Strategic Management,2010,22(8):945-959.
[4]周江华,仝允桓,李纪珍.基于金字塔底层(Bo P)市场的破坏性创新—针对山寨手机行业的案例研究[J].管理世界,2012(2):112-130.Zhou Jianghua,Tong Yunhuan,Li Jizhen.Disruptive Innovation for the Base of the Pyramid(Bo P)markets-A case study on the Shanzhai Cellphone Industry[J].Management World,2012(2):112-130.
[5]陈劲,吴沧澜,景劲松.我国企业技术创新国际化战略框架和战略途径研究[J].科研管理,2004,25(6):115-125.Chen Jin,Wu Canglan,Jing Zhensong.Research on the strategic framework and strategic approach of the internationalization of Chinese enterprises’technological innovation[J].Science Research Management,2004,25(6):115-125.
[6]刘云,叶选挺,樊威.开放式创新下的产业创新国际化模式初探[J].科学学与科学技术管理,2012,33(2):5-10.Liu Yun,Ye Xuanting,Fan Wei.A preliminary study on the internationalization model of industrial innovation under open innovation[J].Science of Science and Management of S&T,2012,33(2):5-10.
[7]Huang F,Rice J,Martin N.Does open innovation apply to China?Exploring the contingent role of external knowledge sources and internal absorptive capacity in Chinese large firms and SMEs[J].Journal of Management&Organization,2015,21(5):594-613.
[8]Jourdan J,Kivleniece I.Too much of a good thing?The dual effect of public sponsorship on organizational performance[J].Academy of Management Journal,2017,60(1):55-77.
[9]Liu Y,Ying Y,Wu X.Catch-up through collaborative innovation:Evidence from China[J].Thunderbird International Business Review,2016,32(2):5-28.
[10]曾萍,邬绮虹,蓝海林.政府的创新支持政策有效吗?——基于珠三角企业的实证研究[J].科学学与科学技术管理,2014,35(4):10-20.Zeng Ping,Wu Qihong,Lan Hailin.Is the government’s innovative support policy effective?-An empirical study based on the Pearl River Delta[J].Science of Science and Management of S&T,2014,25(4):10-20.
[11]Guan J,Yam R C M.Effects of government financial incentives on firms’innovation performance in China:Evidences from Beijing in the 1990s[J].Research Policy,2015,44(1):273-282.
[12]Guo D,Guo Y,Jiang K.Government-subsidized R&D and firm innovation:Evidence from China[J].Research Policy,2016,45(6):1129-1144.
[13]Grant R.Prospering in dynamically-competitive environments:Organizational capability as knowledge integration[J].Organization Science,1996,7(4):375-387.
[14]K Asakawa C U A C,Ackermann K.R&D collaborations and product innovation[J],2010,27(5):673-689.
[15]Hagedoorn J,Duysters G.External sources of innovative capabilities:The preferences for strategic alliances or mergers and acquisitions[J].Journal of Management Studies,2002,39(2):167-188.
[16]Grandori A.An organizational assessment of interfirm coordination modes[J].Organization Studies,1997,18(6):897-925.
[17]Das T K,Teng B S.A resource-based theory of strategic alliances[J].Journal of Management:Official Journal of the Southern Management Association,2000,26(1):31-61.
[18]Tyler BB,Steensma H K.Evaluating technological collaborative opportunities:A cognitive modeling perspective[J].Strategic Management Journal,1995,16(S1):43-70.
[19]纳拉亚南.技术战略与创新:竞争优势的源泉[M].北京:电子工业出版社,2002.Narayanan.Technical strategy and innovation:The source of competitive advantage[M].Beijing:Publishing House of Electronic Industry,2002.
[20]马庆国,徐青,廖振鹏,等.知识转移的影响因素分析[J].北京理工大学学报(社会科学版),2006,8(1):40-43.Ma Qingguo,Xu Qing,Liao Zhenpeng,et.al.Analysis of influencing factors of knowledge transfer[J].Journal of Beijing Institute of Technology(social science),2006,8(1):40-43.
[21]肖丁丁,朱桂龙.产学研合作创新效率及其影响因素的实证研究[J].科研管理,2013,34(1):11-18.Xiao Dingding,Zhu Guilong.An empirical study on the efficiency and influencing factors of cooperation and innovation of industry,university and research cooperation[J].Science Research Management,2013,34(1):11-18.
[22]王毅,吴贵生.产学研合作中粘滞知识的成因与转移机制研究[J].科研管理,2001,22(6):114-121.Wang Yi,Wu Guisheng.Research on the causes and transfer mechanism of sticky knowledge in the cooperation of production,learning and research[J].Science Research Management,2001,22(6):114-121.
[23]Marques J P C,Cara9a J M G,Diz H.How can universityindustry-government interactions change the innovation scenario in Portugal?—The case of the University of Coimbra[J].Technovation,2006,26(4):534-542.
[24]Cohen W M,Levinthal D A.Absorptive capacity:A new perspective on learning and innovation[J].Administrative Science Quarterly,1990,35(1):128-152.
[25]Reus T H,Lamont B T,Ellis K M.A darker side of knowledge transfer following international acquisitions[J].Strategic Management Journal,2016,37(5):932-944.
[26]Wagner S M.Partners for business-to-business service innovation[J].IEEE Transactions on Engineering Management,2013,60(1):113-123.
[27]黄庆德,戴强,胡登峰.基于政府角色定位的我国产学研合作促进机制研究[J].科技进步与对策,2012,29(22):137-139.Huang Qingde,Dai Qiang,Hu Dengfeng.Research on the promotion mechanism of China’s domestic research and research cooperation based on the role of government[J].Science&Technology Progress and Policy,2012,29(22):137-139.
[28]Quintas P,Wield D,Massey D.Academic-industry links and innovation:Questioning the science park model[J].Technovation,1992,12(3):161-175.
[29]Powell WW.Interorganizational collaboration and the locus of innovation:Networks of learning in biotechnology[J].Administrative Science Quarterly,1996,41(1):116-145.
[30]Savitskaya,Salmi I,Torkkeli P,et al.Barriers to open innovation:Case China[J].Journal of Technology Management&Innovation,2010,5(4):10-21.
[31]Huizingh E K R E.Open innovation:State of the art and fu-ture perspectives[J].Technovation,2011,31(1):2-9.
[32]P D.Why do Chinese firms tend to acquire strategic assets in international expansion?[J].Journal of World Business,2009,44(1):74-84.
[33]Thornhill S.Knowledge,innovation and firm performance in high-and low-technology regimes[J].Journal of Business Venturing,2006,21(5):687-703.
[34]Schoenmakers W,Duysters G.The technological origins of radical inventions[J].Research Policy,2010,39(8):1051-1059.
[35]范钧,郭立强,聂津君.网络能力、组织隐性知识获取与突破性创新绩效[J].科研管理,2014,35(1):16-24.Fan Jun,Guo Liqiang,Nie Jinjun.Network ability,organization of tacit knowledge acquisition and breakthrough innovation performance[J].Science Research Management,2014,35(1):16-24.
[36]翟瑞瑞,陈岩,姜鹏飞.横向还是纵向?政府参与与企业创新发展——基于中国创新型企业的实证研究[J].科技管理研究,2016(8):168-172.Zhai Ruirui,Chen Yan,Jiang Pengfei.Horizontal or vertical?Government participation and enterprise innovation development-An empirical study based on Chinese innovative enterprises[J].Science and Technology Management Research,2016(8):168-172.
[37]丁小义,潘申彪,余红娜.政府直接资助与浙江省企业R&D投入分析[J].科学学研究,2007,25(a02):248-253.Ding Xiaoyi,Pan Shenbiao,Yu Hongna.Direct government funding and R&D investment analysis of enterprises in Zhejiang Province[J].Studies in Science of Science,2007,25(a02):248-253.
[38]孙晓华,王昀.企业规模对生产率及其差异的影响——来自工业企业微观数据的实证研究[J].中国工业经济,2014(5):57-69.Sun Xiaohua,Wang Yun.The impact of enterprise size on productivity and its differences-An empirical study from the micro data of industrial enterprises[J].China Industrial Economics,2014(5):57-69.
[39]Scherer F M.Firm size,market structure,opportunity,and the output of patented inventions[J].American Economic Review,1965,55(5):1097-1125.
[40]Berchicci L.Towards an open R&D system:Internal R&D investment,external knowledge acquisition and innovative performance[J].Research Policy,2013,42(1):117-127.
[41]Zhou K Z,Wu F.Technological capability,strategic flexibility,and product innovation[J].Strategic Management Journal,2010,31(5):547-561.
[42]周江华,李纪珍,刘子諝,李子彪.政府创新政策对企业创新绩效的影响机制[J].技术经济,2017,36(1):57-65.Zhou Jianghua,Li Jizhen,Liu Zixu,Li Zibiao.Influence mechanism of government’s innovation policies on firm’s innovation performance[J].Technology Economics,2017,36(1):57-65.
[43]裴学敏,陈金贤.知识资产对合作创新过程的影响分析[J].科研管理,1999,20(1):25-29.Pei Xuemin,Chen Jinxian.Analysis of the influence of knowledge assets on the process of cooperative innovation[J].Science Research Management,1999,20(1):25-29.
[44]陈劲,何郁冰,朱铭.基于RIR的企业合作创新绩效影响因素研究[J].科学学研究,2007,25(5):1003-1009.Chen Jin,He Yubing,Zhu Ming.Research on the influencing factors of enterprise cooperative innovation performance based on RIR[J].Studies in Science of Science,2007,25(5):1003-1009.
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