Endogenous spillovers and incentives to innovate

Summary. We present a new approach to endogenizing technological spillovers. Firms choose levels of a cost-reducing innovation from a continuum before they engage in competition for each other's R&D-employees. Successful bids for the competitor's employee then result in higher levels of cost reduction. Finally, firms enter product market competition. We apply the approach to the long-standing debate on the effects of the mode of competition on innovation incentives. We show that incentives to acquire spillovers are stronger and incentives to prevent spillovers are weaker under quantity competition than under price competition. As a result, for a wide range of parameters, price competition gives stronger innovation incentives than quantity competition. Received: February 1, 1999; revised version: November 14, 2001     

企业非正式独占性机制、开放度与创新绩效关系的案例研究

针对我国本土企业面临的外部知识源爆炸性增长及合作创新收益捉襟见肘的窘境,以中国本土制造企业为研究对象,以企业创新获利为研究视角,探索中国管理情境下企业非正式独占性机制的表现特征,以及企业非正式独占性机制与开放度对本土制造企业创新绩效的共同作用机制,旨在揭示企业创新获利过程中内部要素的优先级,并验证企业非正式独占性机制与开放度对企业开放式创新绩效的共同作用。研究结论顺应了创新获利理论在发展中国家的发展趋势,丰富了创新系统和开放式创新理论。     

新兴市场合资企业R&D强度与企业绩效或有关系及调整

MNCs（跨国公司）通过组建合资企业进入新兴市场,由于其R&D活动面临着创新专用性风险,使其R&D强度与合资企业绩效之间表现为一种或有关系。使用厦门、长沙和重庆3地制造业样本检验验证了该理论假设。就市场战略而言,只有那些以国际市场战略为主的合资企业才能获得R&D对合资企业绩效的促进效应;进一步考虑合资企业不同的所有权结构——市场战略配置结构,发现只有在以国际市场战略——MNCs占绝对多数股权的合资企业中,R&D强度对企业绩效的促进效应才会显现,而其它任何类型的配置结构均没有发现这种促进效应。这些发现可为中国完善外资政策提供理论指导。     

网络关系强度、技术多元化与企业产品创新战略

在模块化创新网络中,核心企业通过界面规则重组知识模块,分别与模块供应商、系统集成商在纵向和横向上进行知识整合以实现技术创新。以2001-2014年中国汽车产业108家整车制造企业为研究样本,探讨模块化创新网络关系强度对企业渐进式产品创新和突破式产品创新的影响,并分析技术多元化的调节作用。结果发现：模块供应商关系强度越大越有利于渐进式产品创新;系统集成商关系强度越大越有利于突破式产品创新;技术多元化减弱了模块供应商关系强度对渐进式产品创新的促进作用,但增强了系统集成商关系强度对突破式产品创新的促进作用。     

Are environmental concerns drivers of innovation? Interpreting Portuguese innovation data to foster environmental foresight

The relationship between environmental concerns and innovation is analyzed in the context of Portuguese manufacturing firms, with the ultimate goal to foster measures of environmental foresight.Based on data from the Community Innovation Survey in Portugal, simple statistical tests, including Chi², t, and Levene's tests and contingency tables (adjusted standardized residuals), were used to study the relationship between firms' characteristics and the introduction of innovation aiming to reduce environmental damage. Environmental foresight is discussed based on three groups of variables that allow considering the industrial context that frames firm's actions, the economic performance of the firm and its innovation patterns.Results show that the development of innovation due to environmental concerns is positively associated with the firm's size and exports share, and negatively associated with its technological content. Moreover, it is shown that the firms that introduced innovations due to environmental concerns are likely to belong to an economic group, to have performed continuous R&D, or received public support. It is also shown that “lack of organizational flexibility” and “lack of receptivity by customers” are the two most relevant innovation barriers for these firms.     

Impediments to innovation faced by Canadian manufacturing firms

Using the findings of the 1999 Survey of Innovation in the Canadian manufacturing sector, we analyse the impediments, i.e. the problems and obstacles, that firms in the sector face when they innovate. In particular, we assess the factors which inhibit innovation, especially with regard to by small and medium enterprises (SMEs). First we try to establish the relationship between the impediments to innovation and various firm characteristics. Then we assess whether these impediments actually prevent firms from innovating or whether firms are able to overcome them.

We find that the perception of impediments to innovation vary according to firm characteristics. For example, large firms are more likely to report the high cost of developing innovation and organizational rigidities as impediments than small firms. However, they seem to have less difficulty with regard to financing innovation projects compared to SMEs. Our results also show that firms seem to be able to overcome most of the obstacles to innovation. Therefore, the impediments featured in innovation survey(s) should not be interpreted as impenetrable barriers that prevent innovation. The sole exception is organizational rigidities. Firms facing organizational rigidities are less likely to become innovative, whether they are small, medium, or large. From our results, we conclude that small firms do not face particular impediments which prevent them from becoming innovative.     

独占机制对创新绩效的影响:知识泄露与竞争对手吸收能力的调节效应

独占机制与知识泄露在企业创新活动中的重要作用日益受到关注。基于问卷调研数据,通过实证手段分析企业独占性机制对创新绩效的影响,及竞争对手吸收能力和知识泄露在其中的调节作用。研究发现：企业独占机制对创新绩效有显著正向影响,知识泄露和竞争对手吸收能力在企业独占性机制对创新绩效影响过程中分别起负向和正向调节作用。研究结论既可帮助企业重视独占机制和竞争对手吸收能力带来的创新效应,也可帮助企业通过有效规避或降低知识泄露风险提升创新绩效。     

国家高新区企业创新发展效应再认识

高新区作为有效带动区域经济发展的一类政策工具，受到决策者青睐。国家高新区对我国高技术产业乃至区域创新驱动发展的作用已获得各界共识，但关于其对企业创新发展绩效影响的研究尚不多见。以上海张江示范区为例，按照园区注册企业是否在园区内经营进行分类，从企业和园区两个层面选取变量进行实证分析。结果表明，张江示范区发展存在着只有“高新”而没有“园区”的情况，是否在园区内经营对企业创新发展没有显著影响，园区经营企业甚至在新产品方面表现更逊，企业创新显著受到园区创新政策的影响。国家高新区在发挥优惠政策激励的同时，更需要聚焦于科技成果转化，不断优化创业孵化链条、提升研究机构对区域创新的贡献度、加强园区产学研合作紧密度、建立科学的高新区考评机制，以引导园区健康发展。     

Efficiency and effectiveness between open and closed innovation: empirical evidence in South Korean manufacturers

This study addresses two main questions. First, what is the best measurement of innovation performance? Second, is there a significant difference in the performance between open and closed innovation firms? We discuss new measures (‘efficiency’ and ‘effectiveness’) and investigate any differences between open innovation and closed innovation firms by using indicators. The impact of open innovation on firm performance has been examined in existing studies. Most papers, however, employ simple indicators such as patents and financial data. This paper verifies the relationship between open innovation and performance in the Korean manufacturing industry using a new approach. The results show that both efficiency and effectiveness were statistically higher among open innovation firms than among their closed counterparts. It may thus be concluded that the acquisition of outside technology or knowledge has a positive impact on firm performance.     

企业开放式创新与独占性机制耦合评价研究

在回顾企业开放式创新与独占性机制研究文献的基础上,对两者间耦合关系进行分析与检验。通过构建企业开放式创新与独占性机制测评指标体系,采用提高稳定性的组合评价法确定企业开放式创新与独占性机制的系统指标权重,通过构建多系统耦合函数对两系统的耦合度进行分析。实证分析结果表明,算例中企业开放式创新与独占性机制处于中度耦合和中度协调耦合状态。     

创新测量误差：理论框架与研究展望

创新测量误差会严重影响学术研究、政策制定与企业决策质量,且相关问题研究缺乏清晰的逻辑主线与理论框架。通过查阅国内外研究文献,围绕什么是创新测量误差、为何产生创新测量误差以及如何减少创新测量误差的逻辑主线进行系统梳理与分析,建立创新测量误差研究理论框架,得出相应研究结论并对未来研究方向进行展望,以期为创新实践提供有益参考与借鉴。     

创新能力对天生国际化企业绩效的影响

创新能力是天生国际化企业生产经营活动的重要特征,根据天生国际化经典理论,结合中国企业国际化发展实际,筛选符合条件的中国创业板上市公司,获得高质量的公开数据,实证分析以研发密集度、员工教育水平、管理者海外背景和管理者行业经验表示的创新能力对天生国际化企业绩效的影响。结果发现：由于研发投入转化为生产能力提高的程度较低、研发质量不高等原因,研发密集度对企业绩效没有显著正向影响;员工受教育水平对企业绩效具有显著正向影响,这是因为以高素质员工为代表的人力资本是企业竞争力的重要源泉;管理者海外背景对企业绩效没有明显影响,管理者行业经验对企业绩效具有显著正向影响,这是因为中国创业板上市公司的创立者和领导者一般均具有所在行业多年工作或研究经验,熟悉行业国内外市场和技术情况,海外背景的管理者面对中国市场可能存在水土不服问题。     

全球生产网络中企业创新战略选择研究

在合作网络中,网络结构特性对企业的创新活动有很大影响。利用仿真建模论证了全球生产网络具有明显的无标度性,在此基础上分析了网络结构对企业创新战略选取的影响,并从创新积极性和知识可获得性两个维度出发,讨论了网络中不同企业多样化的创新要求和创新战略选取。     

Low-cost innovation and technology-driven innovation in China’s machinery industry

ABSTRACT

The political concept of indigenous innovation in China sets out a guiding principle for the country’s major transformation towards becoming an innovation nation. However, firms’ innovation strategies and capabilities in middle-income countries are usually heterogeneous, making a uniform response to this concept at the company level highly unlikely. The paper’s empirical contribution is based on analysing survey data on technologically advanced machinery firms in China. It uses a multinomial model approach to establish which drivers of innovation go hand-in-hand with the different innovation strategies. This paper identifies different innovation strategies and forms of innovation that co-emerge as part of this transformation, leading to four firm groups: low-cost producers, technology-oriented producers, user-oriented innovators and technology-oriented innovators. It thus contributes to a more differentiated view of the effects of China’s innovation-focused transformation. We find that R&D investments, governmental R&D support and scientific collaborations are key factors to distinguish between the above-mentioned groups.     

Establishment and embedding of innovation brokers at different innovation system levels: Insights from the Dutch agricultural sector

In the systems perspective on innovation, co-operation between several different types of actors is seen as key to successful innovation. Due to the existence of several gaps that hinder such effective co-operation, the scientific and policy literature persistently points at the need for intermediary organizations to fulfill bridging and brokerage roles. This paper aims to provide an overview of the insights from the literature on such ‘innovation brokers’, and to contribute to the literature by distilling lines of enquiry and providing insights on one of the lines identified. Taking as an empirical basis experiences with different types of innovation brokers that have emerged in the Dutch agricultural sector, it identifies a number of tensions with regard to the establishment and embedding of such organizations. The paper indicates that, despite being perceived to have a catalyzing effect on innovation, innovation brokers have difficulty in becoming embedded as their clients and/or financiers find it difficult to grasp the nature and value of their activities.     

The changing role of science in the innovation process: From Queen to Cinderella?

An overview of how the role of science in relation to innovation has been defined over the past five decades is given, showing a change from a linear to a chain-linked model of interpretation. A third analytical grid, leading to a new model is proposed, summarizing the current research on the nature of economically useful knowledge, the diversity of intervening players in learning and the outcomes of innovation. While the chain-linked view surpassed the linear model by emphasising that science is part of the process but not necessarily the initiating step, we need today to explicitly acknowledge the multi-player dimension of innovation and the wider institutional setting where distinct forms of learning take place. The reason is simple: almost all high added value products embody elements of scientific knowledge. But science is only one of a plurality of other sources of knowledge that induce innovation-based growth. More attention should also be given to understanding markets and organisations.     

Link between innovation and productivity in Canadian manufacturing industries

Empirical studies commonly use research and development (R&D) to measure innovation and often find, especially in Canada, no strong link between productivity and innovation. In this article, we model innovation as an unobservable latent variable that underlies four indicators: R&D, patents, technology adoption, and skills. We find that these indicators are reasonably good measures of innovation for aggregate manufacturing. However, except for skills, the reliability of the indicators for innovation differs among individual industries. Our innovation indexes, based on the latent variable model, show that most manufacturing industries became more innovative over the 1980–1997 period. The pace of innovation in the electrical and electronic products industry accelerated during the 1990s. In addition, we show that the new measure of innovation has a positive and statistically significant impact on productivity. It takes from 1 to 3 years, depending on the industry, for innovation to generate an impact on productivity.     

When does funding research by smaller firms bear fruit?: Evidence from the SBIR program*

This paper evaluates whether the relative concentration of funding for small, research-oriented firms in a small number of high-technology industries is related to differences across industries in the appropriability level facing small firms. We exploit a novel test based on the relationship between industry-level private venture financing and the performance of government-subsidized R&D projects. If industries differ in their appropriability level, then private funding and subsidized project performance should be positively correlated. Our principal finding is that subsidized project performance is higher in industrial segments with higher rates of private venture capital investment. Industrial sectors therefore seem to differ in the degree of appropriability and this variation helps explain why venture capital is concentrated. * The latest version of this paper is available at http://www.mbs.edu/home//jgans/research.htm     

Leveraging resistance to change and the skunk works model of innovation

We study a situation in which an R&D department promotes the introduction of an innovation that results in costly re-adjustments for production workers. In response, the production department tries to resist change by improving the existing technology. Resistance to change triggers competition between departments, which, in turn, spurs effort. We show that firms balancing the strengths of the two departments perform better. As a negative effect, resistance to change might distort the R&D department's effort away from radical innovations. The firm can solve this problem by implementing the so-called skunk works model of innovation where the R&D department is isolated from the rest of the organization. Several implications for managing resistance to change and for the optimal design of R&D activities are derived.     

Why firm size matters: investigating the drivers of innovation and economic performance in New Zealand using the Business Operations Survey

The performance of the New Zealand (NZ) economy is something of an enigma. Although ranked one (of 144 countries) for four important ‘growth fundamentals’ NZ is ‘middle of the pack’ when it comes to economic growth, productivity and process innovation. Using four iterations (2005, 2007, 2009 and 2011) of the Business Operations Survey, this research seeks to shed some new light on this conundrum by using a multivariate probit regression (mvprobit) approach applied to pooled samples in excess of 22,000 unit record observations of NZ firms. The results suggest that factors including firm size, high perceived quality, investment/research and development (R&D) capability, major technology change, application of formal IP protection and new export markets are systematically and positively related to innovation; while many external issues, such as those related to geography, market structure, business environment, have little influence. At the firm level, innovations in NZ are highly dependent on the firms’ internal ability to develop new technologies and market demand. The (very small) size of firms does matter in NZ, which lacks a major ‘home market’ or a major trade block on its doorstep, such that ultimately, government may need to be involved to maintain a viable scale for domestic R&D.