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企业国际化、动态能力与创新绩效关系研究
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摘要
在知识经济时代,开放式创新成为了决定企业创新成败的关键。企业仅仅依赖内部资源开展创新活动已日趋困难。国际化成为了我国企业快速实现创新追赶的一种重要的开放式创新战略。通过进入国际市场,企业能够在全球范围内搜索创新所需的资源和知识,学习国际先进的技术知识和管理经验,从而克服企业创新所面临的资源和制度瓶颈,利用国际创新源提升企业创新能力。然而,目前已有文献对于国际化与创新关系的研究主要基于传统的资源观和组织学习理论剖析企业国际化对创新的直接影响,并没有打开企业国际化影响创新的中间黑箱;同时,已有研究主要关注企业是否国际化与创新的关系,并且将企业看成被动的消化吸收者,忽略了表征企业消化吸收能力的典型特征在国际化过程中的重要作用;此外,已有研究情景主要集中于发达国家,对于中国制造企业国际化研究较少。
     在此背景下,本研究立足于战略管理、国际商务、经济学中关于国际化的已有研究,以中国制造企业为研究对象,详细阐释了“企业国际化如何影响创新绩效”这一核心问题。具体地,本研究以国际化程度和国际化模式作为表征企业国际化特征的变量,基于动态能力视角深入剖析了国际化程度对创新绩效的作用机制,以及出口和对外直接投资这两种国际化模式对创新绩效的作用机制。本研究主要围绕以下几个部分展开:
     (1)文献综述和理论发展。通过对战略管理、国际商务和经济学领域关于国际化影响创新的理论综述,企业国际化实证研究综述,以及动态能力研究综述,找出了现有研究的理论缺口。分析界定了国际化程度、国际化模式、动态能力等关键变量的概念及其要素构成,为本研究分析框架的构建提供了一个理论支撑平台。
     (2)探索性案例研究。选取4个案例开展深入的探索性案例研究。经过理论预设、案例选择、数据收集、案例内分析和多案例之间的比较研究,推导出关于国际化程度和国际化模式、动态能力与创新绩效关系的初始研究命题,为后续研究提供了源于实践的构想。
     (3)企业国际化程度和国际化模式与创新绩效关系的理论模型与实证检验。在探索性案例研究的基础上,结合现有理论研究更深层次的探讨,分别提出了国际化程度和国际化模式对企业创新绩效直接影响和间接影响的细化假设。通过179家中国制造企业的调查问卷,运用层次回归分析和结构方程建模的方法进行了实证研究,进一步阐明了国际化程度和国际化模式对企业创新绩效的影响、内在作用机制以及表征企业消化吸收能力特征指标的调节效应。
     基于以上研究论证工作,本文主要得出了以下结论:
     (1)企业国际化对创新绩效具有正向影响。具体来说,企业国际化程度对创新绩效有显著正向影响;不同国际化模式(出口和对外直接投资)对创新绩效均具有显著正向影响;研究还发现,相比出口,对外直接投资对企业创新绩效的促进作用较大。
     (2)企业国际化对创新绩效的作用受到企业对海外知识消化吸收能力的调节作用。实证研究表明,跨国公司入股、国际化经验对国际化程度与创新绩效之间的关系具有正向调节作用;跨国公司入股、国际化经验对出口和对外直接投资与创新绩效之间的关系具有正向调节作用。国际化只是为企业学习和获取国外知识提供了机会,然而国际化促进企业创新的效应必然还取决于企业对国外营销和技术知识的消化吸收能力。
     (3)企业国际化对创新绩效有直接作用,同时通过动态能力(机会识别能力和机会利用能力)间接作用于创新绩效。本文的实证研究表明,国际化程度和国际化模式对企业创新绩效有直接正向效应;同时国际化程度和国际化模式还通过正向作用于企业动态能力(机会识别能力和机会利用能力),进而提高创新绩效。研究还发现,相比出口,对外直接投资更能够促进企业动态能力(机会识别能力和机会利用能力)的提升。
     上述研究结论深化了国际化对企业创新作用过程的理解,使得本研究具有了一定的探索意义。具体而言,本研究在以下三个方面进行了深化和拓展:
     (1)打开了国际化影响企业创新绩效的中间机制。学者们基于传统的资源观和组织学习理论研究了国际化对企业创新的直接影响,认为企业通过国际化获取了创新所需的互补资源,通过组织学习获取了创新所需的技术和知识,最终提升了企业的创新绩效。然而,传统的资源观和组织学习理论对于解释国际化影响企业创新绩效的机理存在缺陷。首先,资源观和组织学习理论只是阐释了国际化能够为企业带来创新所需的互补资源、技术和知识,并没有阐释资源和知识转化为创新绩效的中间机理。其次,传统的资源观和组织学习理论不能很好地回答在动态竞争的环境下,通过国际化获取的资源和知识如何能够持续提高企业创新绩效。本研究基于动态能力视角,认为国际化之所以能够提升企业创新绩效,是因为国际化提升了企业整合内外部资源应对动态竞争环境的能力,认为企业国际化部分通过影响企业机会识别能力和机会利用能力进而影响企业创新绩效。因此,本研究对国际化影响企业创新绩效作用机制的研究做了有益的补充。
     (2)拓展了国际化影响企业创新绩效的理论边界。首先,国际商务和经济学领域学者大多只是简单分析了“是否国际化”对企业创新绩效的影响。本研究关注国际化程度和不同国际化模式对企业创新绩效的影响机制,因而弥补了先前研究将国际化行为看成是同质性知识流动的缺陷;其次,国际商务和经济学领域学者大多采用计量经济的研究方法,将国际化企业看成是被动的消化吸收者。本文基于消化吸收能力理论引入情境因素,发现企业国际化程度和国际化模式对创新绩效的影响因跨国公司入股、国际化经验而不同。这一研究发现增添了对企业国际化如何作用于企业创新边界条件的理论解释,有助于未来研究进一步探索企业国际化影响创新绩效的内在机理。最后,目前对于国际化与创新绩效关系的研究主要集中于发达国家,本文在中国制造企业情境下对企业国际化程度和国际化模式与创新绩效的关系进行了检验,因而能够进一步拓展国际化与创新关系的理论边界。
     (3)丰富了动态能力的相关研究。首先,目前对于动态能力的研究主要集中于动态能力的内涵与外延的探讨,对于动态能力的实证研究较少。本研究丰富了动态能力前因的研究,探讨了企业国际化行为对企业动态能力的影响,具体表现为国际化程度和不同的国际化模式对动态能力的影响;同时深化了动态能力后果的研究,探索了动态能力对企业创新的影响效应。其次,已有研究大多将动态能力视为单维构念来对待,本研究基于整合能力的视角将动态能力作为合并型多维构念来研究,将动态能力划分为机会识别能力和机会利用能力。
In the era of knowledge economy, open innovation is significantly vital for enterprises to innovate. Enterprises only relying on internal resources to develop innovation activities have become increasingly difficult. Internationalization is an important open innovation strategy for our manufacturing enterprises to fastly catch up. Through entering the international market, enterprises can search necessary innovation resources and knowledge in the global scope, learn the advanced international technical knowledge and management experience which can help enterprises overcome resources and institution bottleneck, and at last promote the enterprises" innovation capability. However, existing literatures mainly explore the direct influence of internationalization on innovation based on the resource-based view and organizational learning theory, and do not uncover the intermediate process. Among the little research on the direct relatiosnhip between internationalization and innovation, it mainly explores the relatiosnhip between whether the enterprise internationalizes and innovates, ignore the heterogeneity of internationalization, and also take the enterprises as passive recipients. Except that, the research situation mainly focuses on enterprises in developed countries, with less attention left for Chinese manufacturing enterprises.
     In view of this, based on the dynamic capability theory, we carry out the study exploring how internationalization promotes Chinese manufacturing enterprises' innovation at the basis of internationalization research in strategic management, international business and economics. Specifically, this study uses degree of internationalization and internationalization mode as the characteristic variable to describe internationalization heterogeneity, and respectively explores the impact of degree of internationalization on innovation performance, and the impact of export and foreign direct investment on innovation performance in depth. This research mainly focuses on the following several aspects:
     (1) Through reviewing of the theoretical basis of the impact of internationalization on innovation, the empirical research about the consequence of internationalization in the field of strategic management, international business and economics, and research about dynamic capability, we find research gaps in the existing research. Except that, we define the concept of degree of internationalization, internationalization mode, dynamic capability which are important for the research in the next stage.
     (2) Four typical cases are chosen for the explorative cases research. Through theoretical presumption, data collection, within-case analysis and comparison among cases, preliminary researeh issues are put forward about the relationship between degree of internationalization, internationalization mode, dynamic capability and innovation performance, which provides a construct for futuxe research.
     (3) Based on explorative cases research mentioned above and in-depth theoretical analysis, we put forward the empirical model about how degree of internationalization and internationalization mode respectively influence innovation performance. The hypothesises are tested using a sample of179Chinese manufacturing firms.
     This dissertation comes to the following main conclusions based on the above-mentioned analysis:
     (1) Internationalization is benefical for firm's innovation. Specifically, the degree of internationalization has positive impact on firm's innovation performance and two kinds of internationalization mode including export and outward foreign direct investment have positive impact on firm's innovation performance. Except that, the findings show that outward foreign direct investment has greater impact on innovation performance than export.
     (2) The effect of internationalization on innovation performance is influenced by firm's absorptive ability for overseas knowledge. The empirical research shows that multinational corporation's participation and international experience positively and significantly impact the relationaship between the degree of internationalization and innovation performance, and internationalization mode and innovation performance. The findings show that internationalization just provides an opportunity for firms to get and learn overseas knowledge, but the final effect also depends on firm's absorptive ability.
     (3) Internationalization can influence innovation performance directly and indirectly. The empirical research shows that the degree of internationalization has direct and positive impact on firm's innovation performance, and also has indirect and positive effect on innovation performance derived through the mediating role of dynamic capability, including opportunity recognition capability and opportunity exploitation capability. The empirical research also shows that two kinds of internationalization mode including export and outward foreign direct investment have direct and positive effect on innovation performance, and also have indirect and positive effect on innovation performance derived through the mediating role of dynamic capability, including opportunity recognition capability and opportunity exploitation capability. Except that, the findings show that outward foreign direct investment has greater impact on innovation performance than export.
     By employing an integrative, multidisciplinary approach, this dissertation tries to make some innovation in the following fields:
     (1) This paper explores the intermediary process between internationalization and innovation performance. Based on the resource-based view and organizational learning theory, researchers have explored the direct influence of internationalization on firm's innovation. It argues that firms obtain complementary resources and learning opportunities in the international markets which finally would enhance firms' innovation performance. However, the resource-based view and organizational learning theory both have been rightly criticized for having two crucial flaws. On the one hand, they both do not explain the transformation process of strategic asset or resources into innovation performance. On the other hand, they both do not explain how strategic resources or learning opportunities sustainably enhance firms' innovation performance under dynamic competitive environment. Based on the dynamic capability theory, we argue that the reason why internationalization promotes firm's innovation performance is that internationalization enhances firm's ability to integrate inside and outside resources to cope with dynamic environment. Specifically, internationalization can influence innovation performance through the impact on opportunity recognition ability and opportunity exploitation ability. Therefore, this study enriches the research on the mechanism about how internationalization can influence innovation performance.
     (2) This paper expands the theoretical boundary about how internationalization influences innovation performance. Firstly, researchers in the field of international business and economics mostly explore the relationship between whether or not firms internationalize and innovation. However, we focus on the degree of internationalization, internationalization mode which reflects the heterogeneity of internationalization. Secondly, international business and economics scholars mostly using econometric research method and treat international enterprises as a passive absorber. In our study, we find that the learning process also depends on firm's R&D investment intensity, multinational corporation's participation and international experience. This finding adds the theoretical boundary to the relationship between internationalization and innovation performance. Finally, mostly of the research on the relationship between internationalization and innovation performance focuses on developed countries, with less attention paid to developing countries. Our research on Chinese manufacturing firms can enrich the research context.
     (3) This paper contributes to the study in the research field of dynamic capability. Firstly, most of the research on dynamic capability focus on the discussion of the connotation and extension of dynamic capability, with less attention on the empirical research presently. This study enriches the research on the antecedents and consequences of dynamic capability. Secondly, most of the research treats dynamic capability as a kind of single dimension variable which in fact is not suitable. In our study, we treats dynamic capability as a kind of two-dimension variable based on the view of integrative capacity, and seperates it into opportunity recognition ability and opportunity exploitation ability.
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