A co-opetition perspective of technology alliance governance modes

Many firms undertake alliances as a tactic in their competitive strategy to gain technological benefits from their competitors. Little is known, however, about how simultaneous competition and cooperation between rivals (i.e. co-opetition) influence the alliance governance modes. To bridge this deficit, we integrated a variety of different theoretical perspectives into the concept of co-opetition. Based on the dynamic nature of co-opetitive relationships, we also consider the moderating effect of external technological turbulence on the choice of technology alliances. We tested our hypotheses on a sample of 405 international technology alliances in different industries. It was found that the inter-firm co-opetitive relationship results in alliance member preference to choose contractual agreements as the governance mode in new alliances. However, when external technological turbulence increases, firms tend to tighten alliance governance (i.e. through equity joint ventures) in response to the turbulence.     

External knowledge sourcing for R&D activities: antecedents and implications of governance mode choice

This paper investigates how internal and external factors affect the choice between alliances and joint ventures (A&;JVs) and mergers and acquisitions (M&;As) for the external sourcing of research and development (R&;D) activities, and whether or not such a choice is really contingent, that is, is it the best choice in terms of its impact on firms' innovative performance under those circumstances? We build a set of hypotheses based on both the transaction-cost theory and the resource-based view, and test them through a secondary data source analysis. We found that companies adopt either R&;D M&;A or A&;JV depending on internal (e.g. resources and capabilities, innovation experience) and external (e.g. degree of industry specialisation) factors. Surprisingly, this contingent choice turns to be effective on innovative performance only for the internal factors, rather than the external. This paper contributes to inter-firm relationships literature by presenting the real advantages of using integrated and contingency theoretical models to understand contingent decisions.     

Compliance and multidimensional firm performance: Evaluating the efficacy of rule-based code of corporate governance

This study seeks to evaluate the efficacy of the Pakistani Code of Corporate Governance by finding out its impact on firm's performance and efficiency. This exploration is done in the context that Securities & Exchange Commission of Pakistan's choice of corporate governance regulations is heavily influenced by Anglo-Saxon approach, whereas de-facto realities of Pakistani corporate environment are quite in contrast.Using a panel data of 119 firms for the period of 8 years i.e. 2003 to 2010, and using a multidimensional performance framework i.e. financial performance and technical efficiency, we find that the extent of compliance has increased since the issuance of code in 2002. After controlling for firm size, growth, dividend payout, age and leverage, we find significant positive impact of compliance on firm's performance (ROA, ROE and ROCE). We also find a weak positive relationship between compliance and technical efficiency. We suggest that compliance is not linearly related with financial performance and we find that high compliant firms are less profitable than average or low compliant firms. This implies that one-size-fit all approach along with mandatory compliance is a questionable approach for Pakistani firms.This study is first in Pakistan in providing empirical evidence on efficacy of the rule-based Code of Corporate Governance and also adds to growing but underdeveloped literature on compliance and firm performance in emerging/developing economies. Further, this study offers insight to policy makers on the efficacy of current corporate governance regulations and offers a research framework for assessing the extent of compliance, effectiveness and economic impact of code of corporate governance.     

企业间合作治理模式选择的实证研究

根据交易成本经济学中“交易特征-治理模式”的分析框架,对北京市156家企业进行了问卷调查,并基于调查数据对企业间合作治理模式选择机制进行了实证研究。研究结果表明：随着企业间资源的结构依赖性、过程依赖性以及环境不确定性程度的提高,企业更倾向于采用股权式合作治理模式;而合作经验对企业闯合作治理模式同时存在直接和间接影响,其中间接影响主要通过资源依赖性的中介效应来实现。这一研究结果证实了交易成本逻辑的合理性。     

跨国并购中的知识治理模式选择：双元创新视角

就创新资源寻求型跨国并购而言,知识治理在激励目标方知识员工中发挥重要作用,促成其自愿留任、服务于企业创新战略,但理论研究尚缺乏对如何进行知识治理的解释。基于知识治理研究框架,选择4个具有代表性的成功案例,对跨国并购中双元创新和知识治理过程进行总结、提炼。研究发现,双元创新方式影响知识治理模式选择,企业在并购整合中采取开发性和探索性创新并重以及侧重二者其一的3种双元创新方式,并形成对应的混合型、威权型和合作型3种知识治理模式。双元创新方式对知识治理模式的影响路径为双元创新方式决定知识治理目标,而治理目标决定治理机制组合;影响机理为正式、非正式治理机制分别与开发性和探索性创新特征更为匹配,因此并重或侧重型双元创新须选择与之对应的机制组合。     

Building Innovation Networks: Issues of Strategy and Expertise

This article investigates the role of networks in new product development by reporting on a contemporary case study of a firm in the defence electronics sector. A specific focus is the development and ongoing management of a network that comprises a number of formal inter-firm strategic alliances. The paper begins by reviewing earlier literature on technology strategies for innovation that has identified a key role for inter-firm networking in the organization and management of new product development. We then consider the related issue of the relevant management expertise, which enables firms to adopt a network approach to their strategy for innovation by developing a competence in the process of network building. In this particular case study the critical issue centred upon the extent of the internal resources in terms of time and personal effort that was devoted to building trust and actively managing various inter-firm relationships over time. The article concludes that while inter-firm networking can facilitate new product development across firm boundaries, it is not a panacea for success. Whilst financially successful in terms of product and market development, the networking strategy has also set up problems within the particular case study firm in terms of resourcing and managing the very growth that has been generated.     

东亚企业间组织与我国中小企业组织创新——理论述评和一个基于文化的解释框架

本文旨在对东亚发达地区的企业间组织进行研究。为此，本文扫描了有关内生企业间组织的纵横一体化结构研究，分析了均衡中可以出现多种企业间组织结构的各种解释理论。在此基础上提出不同的地域或亚文化因素对不同的企业间组织结构产生影响的机理，提出了我国中小企业的网络型拓扑结构可能产生于华人文化背景的论点，以及东亚企业发展模式对我国中小企业改进网络组织效率、进行组织创新的启示性建议。     

北极渔业治理的研究综述

气候变暖下的北极渔业逐渐引起国际关注，而技术进步使人类进入北极成为可能，发展北极渔业成为缓解全球海洋渔业资源危机的可行方式。北极拥有丰富的渔业资源，但北极的生态环境极为脆弱，如何有序发展北极渔业、实现北极渔业的有效治理是当前国际社会议论的热点。运用文献综述法，对北极渔业资源相关研究进行归纳，从现有法律制度、管理组织、影响北极渔业治理的主要因素方面总结出北极的渔业治理与一般海洋渔业治理的不同之处，并对未来北极可行的渔业治理模式进行展望。     

Building Innovation Networks: Issues of Strategy and Expertise

This article investigates the role of networks in new product development by reporting on a contemporary case study of a firm in the defence electronics sector. A specific focus is the development and ongoing management of a network that comprises a number of formal inter-firm strategic alliances. The paper begins by reviewing earlier literature on technology strategies for innovation that has identified a key role for inter-firm networking in the organization and management of new product development. We then consider the related issue of the relevant management expertise, which enables firms to adopt a network approach to their strategy for innovation by developing a competence in the process of network building. In this particular case study the critical issue centred upon the extent of the internal resources in terms of time and personal effort that was devoted to building trust and actively managing various inter-firm relationships over time. The article concludes that while inter-firm networking can facilitate new product development across firm boundaries, it is not a panacea for success. Whilst financially successful in terms of product and market development, the networking strategy has also set up problems within the particular case study firm in terms of resourcing and managing the very growth that has been generated.     

供应链企业间、企业内协调对供应柔性和企业绩效影响的实证研究

本文从能力的视角整合有关供应链协调的文献,将其分为企业之间和企业内部协调才能两类。此外,还讨论了供应柔性能力和企业绩效,在此基础上探索、检验此三者之间的关系。研究结果表明,企业内、企业间协调才能对供应柔性及企业绩效有积极作用,且供应柔性在协调才能对企业绩效影响的关系中起部分中介作用。研究结果还显示,企业内部跨职能部门之间的协调会加强企业与其合作伙伴之间协调合作的能力。     

Commons and cooperatives: A new governance of collective action

The Social and Solidarity Economy (SSE) is emerging as a social movement capable of moving society beyond the imbalances of the capitalist market economy and its top‐down regulation by the state. But the SSE's progress has been slow while unresolved challenges (e.g., climate, inequality) continue to intensify. Among communitarian responses to these challenges, the commons have shown great potential as a shared governance mechanism for the responsible management of common‐pool resources. To the extent that this success encourages broader applicability for commons, we focus also on commoning as crucial social practice rooted in collective action and adaptive governance. Adding this dimension of activism opens the possibility of enriching the SSE both in theory and practice for the purpose of strengthening its institutional make‐up, in particular cooperatives occupying a central position in SSE. Commoning enables us to conceive of tangible connections between commons and cooperatives as complementary modes of anti‐capitalist organization. We can illustrate this complementarity by analyzing how Ostrom's “design principles” for commons can help strengthen the ICA's Cooperative Principles. Useful lessons can be learned from concrete examples of commons–cooperative alliances, such as Ecuador's Buen Vivir initiative, the Enercoop PACA project in France, and Oakland's OmniCommons space.     

核心企业治理能力对模块化组织价值创新的影响

模块化组织中核心企业治理能力直接关系到组织价值创新绩效。构建了核心企业治理能力影响模块化组织价值创新的概念模型,并将环境动态性作为调节变量引入该模型。基于268家以模块化方式运行的样本企业数据开展实证研究发现：核心企业治理能力所包含的系统设计能力、合作主导能力、关系协调能力和知识重构能力均对模块化组织价值创新产生了正向影响。其中,系统设计能力对组织价值创新的促进作用最大,其它依次为关系协调能力、知识重构能力和合作主导能力;在环境动态性的调节作用下,核心企业关系协调能力和知识重构能力会增强对组织价值创新的正向影响,而系统设计能力和合作主导能力会削弱对组织价值创新的正向影响。     

Probabilising the consumer: Georgescu-Roegen,Marschak and Quandt on the modelling of the consumer in the 1950s

It is the purpose of this article to confront three attempts by economists at developing models of individual choice that go beyond standard ordinalist utility theory through introducing principles of probabilistic behaviour. We discuss first Georgescu-Roegen's neglected contributions to this subject, though he pioneered the definition of probabilistic preference in 1936 and came back on the subject intensively in the 1950s. We then present Marschak's (and his co-authors) attempts at axiomatising a probabilistic model of choice in the same period. The third contribution studied is that of Quandt, who provides a more operational style of modelling. This set of contributions is discussed against a general background of transformations of the theory of rational behaviour and of the methods proper to it.     

Fair trade certification as oversight: an analysis of fair trade international and the small producers' symbol

In this article we analyse Fair Trade as a form of non-state regulation, building on the literature on the internal politics and governance of Fair Trade International (FTI) certification. We focus on recent developments in the FTI certification system, including the split of Fair Trade USA from FTI and the emergence of the Small Producer's Symbol (SPP) as an alternative to FTI certification. We highlight the role of the three regional Producer Networks, in particular the Latin American Producer Network, the CLAC, in the politics and governance of the FTI system. In order to analyse these issues we employ an alternative reading of Karl Polanyi's work in relation to Fair Trade. We problematise the claim made by some in the literature that FTI certification is an example of Polanyi's concept of re-embedding. Instead, we draw on Polanyi's concept of oversight to analyse Fair Trade certification. We argue that the emergence of the SPP out of the CLAC shows promise for being a mechanism of oversight more reflective of Polanyian re-embedding than FTI certification. We also emphasise how the growth of the SPP and the pressure from the Producer Networks have prompted governance reform within the FTI system.     

何种治理纠治企业创新短视？基于熊彼特传统的创新型企业理论

本文检验基于熊彼特传统的创新型企业理论提出的战略控制、组织整合和财务承诺等公司治理条件对企业创新的影响。研究发现：第一,理解技术前沿的企业决策者能够提高企业科技人员对企业创新具有显著的促进作用;第二,员工分享企业价值增值、高管晋升模式、决策权集中等对创新的影响在不同类型企业中存在差异;第三,融资约束越严重的企业在战略控制、组织整合和财务承诺的实施上冲突越大;第四,企业有相似治理结构但创新绩效差异悬殊,原因可能在于企业实施战略控制、组织整合和财务承诺的方式不同。本文通过纯手工搜集数据构造相关变量指标,首次针对中国情境下的创新型企业理论进行实证检验和分析。研究表明,创新型企业理论所提出的公司治理原则有助于指导、培育和激励企业创新,为我国企业实现科技自立自强提供新的治理思路。     

The dynamics of inter-firm networks in the course of the industry life cycle: the role of appropriability

This paper examines the dynamics of inter-firm networks and introduces a conceptual framework for explaining why inter-firm networks change over time. The framework is based on the idea that patterns of inter-firm linkages are linked to the life cycle development of an industry. Special emphasis is placed on the role of appropriabiliy, i.e. a firm's ability to capture the profits generated by its innovations. The (trans)formation of inter-firm networks in three industries is examined and used to illustrate the relevance of the framwork. One important inference from our study is that public policy makers and manageers should take into account the phase of industry development before implementing policies to create and/or change inter-firm networks.     

开放式创新效能提升的制度基础:关系治理还是契约治理

开放式创新是21世纪以来理论研究和管理实践中的热点问题,然而,值得注意的是,在理论研究蓬勃发展的同时,企业实践并未实现预期效果,甚至失败率很高,这一反差不得不引起人们的反思。以往研究忽视了这样一个事实:开放式创新本质上是一种知识联盟,而联盟治理结构是联盟运行的制度基础,不同治理结构会对联盟决策权、利益格局、激励和冲突等问题产生根本影响。整合社会资本理论和交易成本理论,阐释了不同治理结构对开放式创新绩效的影响机理。运用分层线性模型,利用58家制造企业共398份问卷检验了该模型,研究结果表明:1关系治理与开放式创新绩效呈现倒U型关系;2契约治理对开放式创新绩效有倒U型影响;3在网络化程度较低的情境中,关系治理和契约治理能够相互补充,二者共同使用提升了开放式创新绩效。在网络化程度高的情况下,"软"性的关系治理与"硬"性的契约治理具有明显的替代作用,二者共同使用会显著降低开放式创新绩效,形成"软硬兼施"的负效应。     

大学科研治理：冲突与变革——基于大学科研人员治理主体

建设创新型国家和“双一流”大学是国家重大战略决策。近年来，大学科研人员创新积极性受诸多因素掣制，难以充分激发，引起广泛关注。借鉴现代冲突理论，探讨大学科研治理中，科研人员因所处弱势地位而可能面临的冲突；阐述冲突的表现，包括群际冲突、群内冲突、学科冲突和个体冲突；分析冲突的生成，主要有政府信任假设与期待冲突、科技制度供给与需求冲突及治理方式对立与合作冲突；阐发大学科研治理变革的理论逻辑，主要有互动互信是大学科研治理的前提、科技制度是大学科研治理的保障、协同共治是大学科研治理的目标；提出变革的实践路径，包括诚信建设常态化、科技制度体系化、制度创新多元化、治理方式柔性化、科研服务精细化和治理手段智能化。     

Credible communication in dynastic government

This paper studies information disclosure in a model of dynastic government. When information about past policy choices comes exclusively from the reports of previous administrations, each administration has an incentive to choose its (suboptimal) one-shot expenditure policy, and then misrepresent its choice to its successor. Consequently, it has been suggested that “horizontal accountability,” i.e., a system of governance where auditing functions lie outside the executive branch, can ensure credible disclosure of a government's activities. This paper suggests a cautious approach to that view.The baseline model examines the reporting incentives of an external auditor who can independently verify the information each period. Even with auditing, credible disclosure is shown to be problematic. Various extensions to this baseline model are examined. In one extension, “liberal” (i.e., those prefering larger government expenditures) and “conservative” (those prefering smaller expenditures) regimes and auditors evolve over time. It is shown that “conservative” (“liberal”) auditors are not credible when the current regime is also “conservative” (“liberal”). Moreover, because information transmission stops when the auditor's and the regime's biases coincide, effective deterrents even in the “good” periods (when the auditor's and the administration's biases differ) are difficult to construct. In all periods the equilibrium requirement of auditor neutrality constrains the dynamic incentives for efficient policy choices. These constraints are shown to bind away from optimal policies in standard constructions of equilibrium. Various ways in which auditing protocols can overcome these problems are discussed.     

基于社会资本的企业间网络变迁

现有研究对于企业间网络由强关系向弱关系变迁的发展模式已经基本达成共识,而在网络变迁的内在机制上仍存在较大分歧。本文基于社会资本理论和资源依赖理论,分两个阶段深入研究了企业成长初期企业间网络变迁的内在机制。在单层egocentric强关系网络模式下,社会资本增加与资源积累的动态促进过程是网络变迁的内在机制;随着强关系网络层级的不断增加,社会资本仍然能够促进企业效用的提高和资源的积累,但其贡献程度不断降低。当合作关系网络扩张到规模边界时,企业应当摆脱路径依赖,加入灵活性较大的弱关系网络,以获得持续发展。