ISO认证与企业创新：地理位置与组织形式的调节效应

尽管已有研究在不同情境下广泛地检验了ISO认证所引致的绩效结果,但还未充分地关注中国企业ISO认证的相关议题。利用世界银行对中国企业的调查数据,实证检验ISO认证对企业创新的影响,以及地理位置和组织形式的调节效应。结果表明,ISO认证对产品创新与过程创新均产生显著的正向影响;相较于中西部地区的企业,东部地区企业的ISO认证对产品和过程创新的正向影响更加显著;相较于合伙制与公司制的企业,独资企业的ISO认证对产品和过程创新的正向影响更加显著。     

Small firm internationalization,innovation, and growth

This paper studies the effect of internationalization on innovation and firm performance (employment growth and sales growth) taking the interdependencies among the variables into account. Given the potential endogeneity, this study uses theory-driven instrumental variables and structural equation modelling to estimate the direct and indirect effects of internationalization. Firm-level data is obtained from a survey of 150 Dutch small firms that took part in an export promotion program. The main results show that internationalization has a positive impact on innovation. Internationalization increases firm performance directly and indirectly through innovation, while the direct impact of innovation on firm performance is insignificant. We contribute to the literature of export promotion programs as our results suggest that they not only increase small firm internationalization but also affect innovation and firm growth.     

吃喝腐败、税收寻租与企业成长——来自中国企业的经验证据

税收的弹性空间使低成长率的企业能够借助吃喝腐败进行税收寻租以促进其成长,这破坏了公平的市场竞争环境,导致了资源误置。本文运用2005年世界银行对中国企业的调查数据,分析吃喝腐败和税负对企业成长的影响。分位数回归结果发现,重税负阻碍企业成长,吃喝腐败有助于缓解企业税负对其成长的不利因素。但这种润滑剂作用主要体现于低成长的企业,使其能在权力庇佑下继续生存,对高成长的企业这种作用并不明显。在运用工具变量解决税收的内生性问题和一系列的稳健性检验后,以上结论仍然成立。进一步根据企业规模和制度质量进行的分样本研究发现,吃喝腐败缓解企业税负以促进其成长的润滑剂作用在中小企业和制度质量低的地区表现得更为突出。因此,结构性减税与建立公平的市场竞争环境是释放企业成长空间的关键。     

组织学习对技术创新绩效的调节效应——基于江苏民营制造企业的实证研究

文章以201家江苏民营制造企业为研究样本,探讨组织学习对技术创新与企业绩效关系的调节效应.研究发现:(1)工艺创新和产品创新对企业绩效均有显著正向影响,而且工艺创新对企业绩效的影响强度要高于产品创新,表明江苏民营制造企业技术创新是以工艺创新为主导;(2)组织学习对工艺创新与企业绩效关系有显著正向调节效应,对产品创新与企业绩效关系的调节效应不显著,表明江苏民营制造企业的组织学习是以工艺创新为主要目的.研究发现为推进江苏创新驱动战略提供了指导,要实现从“江苏制造”向“江苏创造”转变,关键在于营造以实现产品创新为主要目的的组织学习氛围,走以产品创新为主导的技术创新之路.     

Innovation strategies and productivity growth in developing countries: Firm-level evidence from Pakistani manufacturers

We examine the determinants of product, process, and organizational innovations, and their impact on firm labor productivity using data from a unique innovation survey of firms in Pakistan. We find significant heterogeneity in the impact of different innovations on labor productivity: Organizational innovation has the largest effect followed by process innovation. But unlike much of the literature, we found a negative impact of product innovation suggesting a disruption effect of new products. We find a strong impact of engaging in knowledge creation on product and process innovation. We also find that external knowledge networks and innovation cooperation play no significant role in firms’ decision to engage in innovation and its intensity, however, vertical linkages with suppliers (clients) promote product (process) innovations. Foreign competition has a negative effect on product innovation and a positive effect on organizational innovation. Exposure to foreign markets both in term of exporting and quality standard certification leads to better innovation performance.     

Globalization drives strategic product switching

Using firm-level panel data for Estonia, we analyse the impact of international competition on firm dynamics, considering both firm closedown and product switches. We contribute to the literature in two important ways: first, this is the first paper to study the determinants of exit and product switching in an emerging market; and second, we consider explicitly the role of export opportunities. Our results indicate that globalization does not affect firm exit significantly but it is an important factor explaining why firms choose a different core product. Previous studies on industrial countries have shown that product switching has been a defensive strategy against low-cost imports. In contrast, our results suggest that Estonian firms change their core products as an offensive strategy to take advantage of the export opportunities created by a globalized economy.     

家族承诺何以影响企业的风险承担?

企业创新创业活动具有很强的风险承担属性，创新创业研究离不开对风险承担的关注。本文考察家族承诺对家族企业风险承担的影响机制，基于2015年全国范围内非公有制企业调研，对877个家族企业样本的研究结果显示，家族承诺正向促进企业的风险承担，企业长期导向在家族承诺和企业风险承担的关系中起部分中介作用。通过引入企业长期导向，文章弥补了家族涉入到企业产出之间"缺失的一环"。与此同时本文验证了企业长期导向在中国家族企业情境下，并非有碍而是促进了家族企业风险承担。     

研发国际化与企业创新绩效——吸收能力和地理多样性的调节作用

新兴经济体企业的国际化行为已经成为国际商务领域的研究热点之一,但如中国这样的新兴经济体的跨国企业是否能够通过研发国际化行为提升母公司的创新绩效,现有文献对该问题尚缺乏足够的研究。文章基于2011-2017年间沪深两市310家信息技术业上市跨国企业的年度观察数据,采用泊松面板固定效应模型考察了企业研发国际化与母公司创新绩效之间的关系,并首次从逆向知识转移的视角,探讨了吸收能力和地理多样性对研发国际化和创新绩效两者关系的调节作用。实证结果表明：中国企业的研发国际化显著促进母公司创新绩效的提升;以研发投入强度衡量的企业吸收能力显著正向调节研发国际化和创新绩效之间的关系,而以布劳异质性指数测量的地理多样性则显著负向调节研发国际化和创新绩效的关系。研究结果对中国企业国际化行为具有重要启示。该研究发现意味着中国企业在国际化过程中应该加大海外研发投资力度以提升母公司创新绩效,且为更好地实现外部知识的逆向转移,应同时提高企业总体研发投入强度。但作为新兴经济体企业,不宜在地理分布上实行快速扩张,否则较高的沟通和协调成本将弱化逆向知识转移的程度,而不利于母公司创新绩效的提升。     

Firm-level innovation activity,employee turnover and HRM practices — Evidence from Chinese firms

This paper examines the relationship between employee turnover, HRM practices and innovation in Chinese firms in five high technology sectors. We estimate hurdle negative binomial models for count data on survey data allowing for analyses of the extensive as well as intensive margins of firms' innovation activities. Innovation is measured both by the number of ongoing projects and new commercialized products. The results show that higher R&D employee turnover is associated with a higher probability of being innovative, but decreases the intensity of innovation activities in innovating firms. Innovating firms are more likely to have adopted high performance HRM practices, and the impact of employee turnover varies with the number of HRM practices implemented by the firm.     

Retesting the Learning-by-Exporting Theory: An Investigation of Chinese Manufacturers’ Productivity Under Globalization

This paper examines the learning-by-exporting effect in Chinese manufacturing firms from 2005 to 2007. The traditional view is that exporting can lead to increased productivity by facilitating access to the global market and, thus, information and cutting-edge technologies. This process has been explained by the learning-by-exporting theory, which is supported by mixed empirical evidence. A semiparametric estimation method was used to measure firm-level productivity and examine the contingent impact of exports on productivity. On the one hand, the exporting firms exhibited significantly higher productivity and faster growth than the non-exporting firms. On the other hand, the effect of exporting on productivity was dependent upon firms’ innovation behavior. Therefore, the learning-by-exporting effect is contingent on a firm’s innovation capabilities. Only sufficiently innovative firms could actually experience faster growth through exports and innovation. For non-innovative firms, exporting could even result in decreased productivity. This paper successfully reconciles the mixed findings from the existing literature and explains why both positive and negative evidence can simultaneously and reasonably exist under learning-by-exporting theory.

     

Reform of state‐owned enterprises and productivity growth in China

Using firm‐level data from a Chinese industrial survey covering 1999 to 2007, the paper analyses the impact of state‐owned enterprise (SOE) reforms on productivity growth in manufacturing. The results indicate that: (1) aggregate productivity of manufacturing increased rapidly, with an average annual growth rate of 10.6 per cent. Although the aggregate productivity of SOEs was lower than in other types of enterprises, their growth rate was the fastest. (2) The productivity growth due to SOE reform was mainly contributed by the improvements in resource allocation, rather than the growth of firm productivity. (3) The between‐firm effect and the impact of new firms contributed most to the total productivity growth, while the contribution from the exiting of firms was relatively small.     

An empirical assessment of the effects of trade in innovative tasks on innovation output

Multinational firms are increasingly sending their innovative tasks abroad. This article examines whether offshoring research and development, design, and engineering activities provides any gains in terms of firm‐level innovation output. The effects of trade in innovative tasks on the probability of firms being innovative and the share of innovative product sales in total turnover are examined using an instrumental variable approach. The data in use come from a recent survey, which provides cross‐section observations for more than 14,750 firms in seven European countries. The results suggest that those firms that offshore their innovative activities are 60% more likely to successfully innovate. Also, offshoring innovative activities increases the share of innovative product sales in total turnover up to 35%. Furthermore, firms in this sample appear to gain from trade in innovative tasks when such trade is in product innovation but not when such trade is in process innovation.     

Relevance of Own R&D and Sources of Knowledge Transfer for Industrial Innovation in China

This study investigates industrial innovation and innovation patterns in China with a comparison to the Asian Newly Industrialized Economies (NIEs). It estimates knowledge production functions based on an original firm‐level dataset. Estimation results suggest that even though firms in China carry out various innovation activities at the same time, the innovation pattern found among their counterparts in the Asian NIEs is still relevant for contemporary China. In particular, sourcing knowledge and technologies from their OEM customers still plays a crucial role for Chinese firms' process innovation. In contrast, firms cannot rely on this knowledge source for realizing more sophisticated, knowledge‐intensive innovation outcomes, such as product innovation and patenting, for which their own R&D engagement is more significant.     

IT,enterprise reform,and productivity in Chinese manufacturing firms

This paper is a first attempt at examining the impact that Information Technology (IT) and enterprise reform have on the productivity of Chinese manufacturing firms by using large-scale firm level datasets from 1995 to 2002. It is found that enterprise reforms captured by the entry and exit of firms have had a positive impact on aggregated productivity growth. In addition, IT plays a relatively important role in the productivity performance of post-reform enterprises, as opposed to enterprises which are not affected by major restructuring in the course of Chinese state-owned enterprise reforms.     

New Products and Corruption: Evidence from Indian Firms

It has been shown that corruption has a negative effect on firm growth, but what about its impact on product innovation? I find that corruption, functioning as a bribe tax, diminishes the probability of new products being introduced. I use a World Bank Enterprise Survey conducted in India in 2005, with 1,600 firms answering both whether they introduced a new product to the firm, and whether and how much was paid in bribes. Controlling for innovation determinants and firm characteristics, sector‐state bribery averages have a negative and significant impact on product innovation.     

出口行为与企业生存:内部资源、政府补贴重要吗

文章利用1998-2011年新成立的中国工业企业纵向数据,采用Cox比例风险模型估计方法,实证检验了出口行为对企业生存的影响效应及内部资源、政府补贴的调节效应。研究结果表明,出口倾向负向影响企业生存,而出口强度与企业生存之间存在非线性的“S型”关系。管理冗余和创新资源显著调节出口行为与企业生存之间的关系,有效缓冲了出口企业在国外市场面临的生存风险。然而,财务冗余和政府补贴对出口行为与企业生存关系的调节效应并不显著。采用加速失效时间模型进行稳健性检验,本项研究的结论依然成立。     

代工企业转型升级的影响因素研究——基于昆山制造业企业的问卷调查

与以往的理论分析和个案研究不同,本文以国际代工特征显著的江苏省昆山市为例,利用制造业出口企业的调查数据总结了其转型升级的成就,并从微观层面实证分析了代工企业转型升级的可能影响因素。研究结果显示:企业的价值链升级能减少其对国际市场的依赖,对外需市场依赖越小,企业越容易转型升级;企业规模的扩大并不能促进制造业企业的转型升级,反而会使企业陷入对国际代工模式的路径依赖;技术创新强度与出口倾向和附加值水平都显著负相关,说明创新能力提高固然可以改变制造业企业过度依赖出口的局面,但可能要发挥长期效应才能有助于价值链升级;工资水平对附加值和出口倾向影响的显著性水平都较低,说明价值链升级可能弱化了要素成本上升的负面影响。     

The effects of corporate governance and ownership on the innovation performance of Chinese SMEs

We investigate the degree to which corporate governance and ownership affect the innovation performance of firms in China with a particular focus on privately owned small and medium enterprises. Using the appropriate theoretical frameworks, we derive hypotheses regarding the impact of ownership concentration, board size and composition, and the background of the CEO on innovative activity. These hypotheses are tested using a unique sample of 370 mostly private and relatively small Chinese firms in Zhejiang province, for the period 2004–2006. Using two measures of innovation, invention patents and new product sales, and a variety of estimation methods appropriate to each measure, we find limited evidence that corporate governance affects innovation performance, but the results do depend on the measure of innovation. In general, the results suggest that for this sample, corporate governance and ownership affect innovation activity more strongly when innovation is measured by patenting activity, rather than new product sales. We conclude with a discussion about why this might be.     

研发投入能否降低企业产出波动

文章基于内生技术进步的理论框架分析了研发投入对企业产出波动的影响,构建了包含技术种类扩展和质量阶梯升级的内生技术进步理论模型,发现研发投入对企业产出波动的影响同时受到多样化效应和“创新性毁灭”效应两种效应的作用。文章利用工业企业数据实证分析验证,结果表明：企业研发投入与产出波动之间存在非线性关系,当研发强度较低时,研发强度增加将有利于降低企业产出波动;随着研发强度的增大,生产率提升、“创新性毁灭”效应更加明显,企业增加研发强度抑制产出波动的作用逐渐变弱。研发投入带来的技术多样化效应具有抑制产出波动的作用。因此,企业应保持适度的研发强度便于抑制产出波动、保障生产供给侧稳定。     

基于C-D生产函数的深圳市高新技术企业自主创新效率研究

本文利用企业调查数据,采用柯布-道格拉斯生产函数作为回归模型,比较分析深圳市高新技术企业自主创新投入、产出效率的差异统计结果表明,深圳高新技术企业的创新活动表现为规模报酬递增的基本特征,在自主创新过程中,资本要素的产出效率要高于人力要素;主要行业之间不同要素的创新产出效率存在较大差异,可以分为主要依靠资本和主要依靠人力提高创新产出两种类型;内资企业与外资企业相比在自主创新的投入产出效率上,更具优势和竞争力。