Government Policy and Trajectories of Radical Innovation in Dirigiste States: A Comparative Analysis of National Innovation Systems in France and Korea

Contrary to the argument that radical innovation is only compatible with institutional arrangements characteristic of liberal market economies, this paper shows how state-led economies successfully organize their innovation systems to promote radical innovation with a comparative analysis of two dirigiste states, France and Korea. The authors further analyse how government policies under similar institutional arrangements drive different trajectories of radical innovation, as illustrated by their relative competitiveness in the ICT sector. The two dirigiste economies have undergone substantial institutional changes adapting to globalization but sustained state initiatives in coordinating their relationship-based innovation systems, reinforcing the cooperation among the state, academia and industry.     

中国企业国际化多样性与创新绩效

国际化多样性作为一种成长战略，是企业国际化进程中的重要决策，然而当前关于企业国际化多样性对创新的影响机制研究尚为缺乏。以沪深两市A股上市公司为研究样本，实证检验了国际化多样性对企业创新绩效的影响，并在此基础上分析了企业国有股权比例、东道国制度水平对国际化多样性与企业创新绩效关系的调节作用。结果表明，国际化多样性对企业创新绩效有显著正向效应，东道国制度发展水平对两者关系具有正向调节作用；国有股权对两者关系的调节作用不显著。该结论丰富了以中国为代表的新兴经济体国际化研究成果，为国际化多样性对企业创新绩效的积极作用提供了新证据。     

Innovation and firm performance in Korea and China: a cross-context test of mainstream theories

We investigate the relationship between innovation and firm performance in two divergent emerging economy contexts: Korea and China. Mainstream innovation theories make disparate claims for how (1) intensity of innovation, (2) scope of innovation and (3) spillovers impact firm performance. Using a comparative institutionalist approach we hypothesise how these relationships apply to firms in Korea and China. Analysis of 897 firm–year data points over a 4-year period provides broad support for our hypotheses. Intensity of innovation (patent intensity) is a strong cross-contextual argument. Scope and spillover arguments appear to be more context-sensitive. Firms with innovation depth in specific technological fields enjoy better performance in Korea, while diversified innovation is more beneficial for firms in China. Spillovers have a stronger impact in Korea than China. The findings underline the importance of incorporating change in institutional context when developing policy and theory relating to firm innovation and performance in emerging economies.     

我国企业成为创新主体的外围制度困境

我国众多企业正在遭受缺乏自主核心技术和创新能力的困扰。对于企业来说,创新只是其众多发展路径选择之一。企业对于发展路径的选择,很大程度上取决于外部各种环境的刺激,因此要使企业走创新之路,就需要相应的制度环境,虽然企业也有自己的制度和动力机制,但它们是受外部宏观制度环境制约的。合理的外部制度环境可以转化为有效的引导和驱使企业选择创新的不竭动力和正向压力,而这些正是我们所缺乏的。探讨了我国企业目前所面临的产权制度、劳动用工、职称评定、退休待遇、资源环境以及金融等外围制度困境。之所以称其为外围制度,是因为它们并不直接规定和指导企业创新活动,也不参与创新要素的直接分配,而只是影响创新的环境和氛围,进而影响各种创新主体和创新要素参与的态度和成本。     

循环经济技术创新与技术创新体系构建——以我国西部某城市为例

技术创新是循环经济成功实施的保障和手段。循环经济技术创新除了具备一般技术创新的特征外,还与一般技术创新具有显著的不同。技术创新体系包括了技术创新主体、客体、技术创新实施的各种组织和制度安排。循环经济技术创新体系的构建必须充分考虑循环经济框架下技术创新的特征,通过政府和市场的共同作用形成循环经济技术创新的动力和体系。     

开放条件下自主技术创新的制度安排

如何在市场开放条件下进行自主技术创新是一个有待进一步研究的课题。本文首先讨论了传统"技术追赶"理论的适用条件,然后讨论了市场开放对自主技术创新的影响,并在此基础上探讨了开放条件下自主技术创新的制度安排问题。     

Innovation and Organizational Change: Developments Towards an Interactive Process Perspective

Since the 1980s researchers have gradually revised the assumptions and research methods guiding their investigation of innovation. The ascendancy of processual perspectives, and more recently interactive process perspectives, in place of normative-variance perspectives, represents a shift in opinion. Scholars now contend that innovation is best understood as a dynamic, ongoing process during which actions and institutional structures are inextricably linked. Scholars adopting an interactive process perspective have however, largely ignored how innovation influences the reproduction of organizations, in part, because the interactive process model is underdeveloped. This paper traces the demise and growth of different approaches in the study of innovation and develops an argument for why structuration theory would enable a significant advancement in the formation of an interactive process perspective. In doing so, a model of innovation as structuration process is developed illustrating how innovation can change the conditions governing the reproduction of an organizational repertoire. The modification of an organizational repertoire reflects the constraining and enabling aspects of the structural arrangements (stocks of knowledge, resources, interests) that simultaneously mediate and yet are an outcome of the actions of individuals involved in the innovation pose. This perspective is used to model the implementation of new products and processes in Alpha, a medium-sized enterprise involved in a Teaching Company Scheme Programme.     

技术创新、制度创新与产业演化关系研究综述

国内外学者基于技术创新、制度创新视角,对产业演化机理进行了深入研究与探讨。由此,从技术创新、制度创新与产业演化三者关系出发,对技术创新与产业演化关系、制度创新与产业演化关系、技术创新与制度创新关系以及三者的协同演化关系四个方面的现状进行了梳理与总结,分析了不同主导模式下技术创新、制度创新与产业协同演化机理,并提出了当前研究存在的问题以及未来发展方向,以期为产业演化相关理论研究以及我国企业创新决策、产业发展政策制定提供有益借鉴。     

Innovation and the competitiveness of industries: Comparing the mainstream and the evolutionary approaches

The study of the relationships between innovation and the competitiveness of industries is an important topic for both, academic research and economic policy. The huge economics literature flourished in the last couple of decades on the subject broadly falls into two distinct research traditions, namely the mainstream R&D spillovers approach and the evolutionary economics view. Both traditions agree on the important role played by innovation and the inter-sectoral diffusion of advanced knowledge for the competitive performance of industrial sectors. Behind this general agreement, however, the two approaches are radically different. This paper shows that, at a deeper level of analysis, the mainstream and evolutionary views do indeed differ with respect to their theoretical foundations, empirical research and policy implications. In a nutshell, while the mainstream R&D spillover approach is inspired by a traditional view of economic policy based on a market-oriented approach, the evolutionary view is on the contrary consistent with the idea that institutional arrangements and policy interventions do indeed play a fundamental role for shaping innovation patterns and their impacts on the competitiveness of industries.     

国企民营化与企业创新效率：促进还是抑制?

文章基于混合所有制改革的背景，从创新效率的视角考察了微观创新主体民营化前后创新行为的变化。研究发现，民营化抑制了企业的创新效率，企业的专利数量显著减少，这种影响在缺乏原国有大股东制衡、无系族的上市公司以及外部产权保护较弱的地区更加显著，而且相对于创业型企业，民营化企业的创新效率更低。进一步研究发现，民营化抑制企业创新效率的一个重要途径是关联交易显著增加、投资显著减少，民营化后非国有大股东更多地表现出掏空动机，减少了创新活动，降低了创新效率。文章的研究结论为理解民营化企业的效率提供了新视角，有助于我们正确认识和理解新兴转轨经济体的民营化行为，而且对于监管层如何推进混合所有制改革具有重要的政策启示。     

股权特征对机构投资者与创新投入的调节作用

以2010-2015年沪深A股上市公司为研究对象，采用Tobit回归方法探讨不同类型机构投资者持股对企业创新投入的影响，并深入分析股权集中度与股权性质对机构投资者持股与创新投入关系的调节作用。研究发现，相比于交易型机构投资者，稳定型机构投资者更能提高企业创新投入；股权集中度在交易型机构投资者样本中削弱了机构投资者持股对创新投入的促进作用；机构投资者持股对国有企业提高创新投入的力度显著高于非国有企业。最后提出企业须正视机构投资者和使股东结构多元化，政府应加大证券市场监管力度与深化国企改革等建议。     

论社会资本对企业技术创新的影响

知识经济的迅猛发展,使企业技术创新更多地体现为一种动态的复杂的社会化知识创造过程。本文力图以企业社会资本理论为基础,从新制度经济学的角度分析了社会资本影响企业技术创新的内在机理。     

异质机构、企业性质与自主创新

本文通过放松经理人市场的完全竞争性假定,拓展了经典职业生涯模型,藉此研究了中国制度背景下的机构持股、企业性质与企业创新的关系,并基于2004—2009年923家上市公司的数据,从R&D投入和专利申请两个维度对本文拓展模型的命题进行了实证检验。结果表明:(1)异质机构对企业创新有不同的影响,证券投资基金对企业创新有显著的负效应,这种负效应在国有企业中表现得更为明显;(2)民营企业中机构投资者持股促进了企业的创新活动,国有企业中机构投资者持股与企业创新呈显著的负相关关系;(3)机构投资者整体持股对全样本企业的专利申请有不显著的正效应,而对R&D投入则有显著的负效应。     

Outsourcing,Importing and Innovation: Evidence from Firm‐level Data for Emerging Economies

This paper investigates two sourcing strategies of firms, outsourcing and importing, and links these to innovation activities. The authors examine this empirically using firm‐level data for 28 emerging market economies and find robust evidence that outsourcing increases the likelihood to spend on R&D and via this channel raises innovation output, whereas importing increases innovation output, but not R&D. The results hold when implementing an instrumental variables approach. It is found that results crucially depend on the institutional environment in the economy, e.g. property rights and intellectual property rights protection. The results suggest that better institutions magnify the gains from importing, but not from outsourcing. EU countries also reap additional positive innovation effects from importing compared with non‐EU countries.     

以制度创新促进农民增收

造成农民增收困难的原因有很多,但当前来说关键的原因是存在各种制度障碍。因此,实现农民增收重在制度创新。文章提出了以制度创新促进农民增收的思路和对策,为决策层提出建议和参考。     

The organisation of innovation: collaboration, cooperation and multifunctional groups in UK and German manufacturing

Marked differences exist between the institutional and socialcontext for innovation in the UK and Germany. The question addressedhere is how these different contexts affect the objectives andorganisation of innovation in UK and German manufacturing. Inparticular, the paper examines the extent to which UK and Germanplants engage in inter-plant collaboration and cooperation andmultifunctional working as part of their innovative activity,and explores the reasons for differences in these patterns ofinvolvement. The investigation is based on a large-scale, comparativesurvey of manufacturing plants in the two countries. In Germany,institutional and social norms are found to encourage collaborativeinter-plant innovation, but aspects of the German skills trainingand industrial relations systems make the adoption of more flexibleinternal systems more difficult. In the UK, by contrast, themore adversarial nature of inter-firm relations makes it moredifficult to establish external collaborations based on mutualtrust, but less restrictive labour market structures make iteasier for UK plants to adopt multifunctional working. Thisis linked to differences in attitudes to the property rightsand transaction cost problems inherent in innovation.     

一个关于转型经济中最优所有权安排的理论

为什么是以乡镇企业为代表的集体所有制经济,而不是私有或与国有经济在过去20年中成为中国经济迅速增长的主要贡献因素?在转型经济中,大规模的民营化应该在什么样的时机与条件下实施?该文提供了一个在市场与政府制度环境不完善情况下(特别是转型经济中)决定最优所有权安排的理论模型.这一理论对预测如何从指令性经济向市场经济转型的发生过程提供了一种思路.文中论证了不同的经济制度环境将会给出不同的最优所有权安排(民有、集体或国家所有权安排).文章表明只有当经济制度环境得到适当改变才能有效地变换产权所有制安排形式.     

公司治理研究的理论、模型及其方法变革

公司治理研究的理论基础是经济学中的企业理论。企业理论研究的三个理论命题,核心是所有权问题。公司治理是企业控制权和剩余索取权的制度安排。公司治理研究的外部边界是经济制度、经济发展环境和社会文化环境。中国经济体制改革和经济发展特定背景下公司治理研究,应当把机理研究作为基础性理论研究工作。     

Reforming state-market relations in rural China1

Because of the political importance of stable and affordable food prices, governments in transitional economies in Europe and Asia fkequently struggle to balance the desire to maintain state controls in the rural sector with the goal of promoting market development and privatizing or commercializing state agencies involved in rural trade or finance. This paper examines institutional change in China's rural state agencies during the reform period, focusing on the conflict between managerial incentives to maximize profits, on the one hand, and implement policy, on the other. We explain the reasons for changing contractual incentives and authority arrangements over time, assess the effects of new institutional forms on economic performance and policy implementation, and consider reform options.