异源绩效压力对企业外部研发倾向的异质性影响——区域制度环境的调节作用
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摘要
外部研发是企业开放式创新的重要实践,也是企业重要的战略决策,但现有文献较少从行为的视角分析促使企业做出外部研发决策的关键因素。基于绩效反馈理论的研究成果,本文将绩效压力视为触发做出外部研发决策行为的关键因素,认为绩效压力感知是影响企业外部研发倾向的关键因素,并且转型期中国独特的制度情境特征在其中发挥着重要的调节作用。以695家中国制造业上市公司为样本进行检验,研究发现:外源性绩效压力对企业外部研发倾向具有积极的影响,而内源性绩效压力对企业外部研发倾向具有消极影响;区域制度环境的改善强化了不同绩效压力对于企业外部研发倾向的影响。外源性绩效压力是企业进行外部研发的重要诱因,完善的区域制度环境会强化这种压力对于企业外部研发的触发作用。
External R&D is an important part of enterprise open innovation as well as the strategic decision of the enterprise, but the existing literature does not analyze the key factors that affect the firm's decision-making of external R&D from the behavioral perspective. Based on the performance feedback theory, it considered performance pressure as the key factor to trigger the decision-making behavior of external R&D, and held that performance pressure was the key factor to influence the tendency of external R&D of firms, and the unique institutional environment characteristics of China in the transition period played a moderating role. The results show that external performance pressure has positive influence on external R&D tendency of firms while internal performance pressure has negative effect. The improvement of regional institutional environment has strengthened the influence of different sources of performance pressure on external R&D tendency of firms. External performance pressure is an important incentive for enterprises to conduct external R&D, and the improved regional institutional environment can strengthen the effect of this kind of pressure on firms' external R&D.
External R&D is an important part of enterprise open innovation as well as the strategic decision of the enterprise, but the existing literature does not analyze the key factors that affect the firm's decision-making of external R&D from the behavioral perspective. Based on the performance feedback theory, it considered performance pressure as the key factor to trigger the decision-making behavior of external R&D, and held that performance pressure was the key factor to influence the tendency of external R&D of firms, and the unique institutional environment characteristics of China in the transition period played a moderating role. The results show that external performance pressure has positive influence on external R&D tendency of firms while internal performance pressure has negative effect. The improvement of regional institutional environment has strengthened the influence of different sources of performance pressure on external R&D tendency of firms. External performance pressure is an important incentive for enterprises to conduct external R&D, and the improved regional institutional environment can strengthen the effect of this kind of pressure on firms' external R&D.
引文
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[28]LUCAS G J M,KNOBEN J,MEEUS M T H.Contradictory yet coherent?Inconsistency in performance feedback and R&D investment change[J].Journal of Management,2018,44(2):658-681.
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[30]TVERSKY A,KAHNEMAN D.Advances in prospect theory:cumulative representation of uncertainty[J].Journal of Risk and Uncertainty,1992,5(4):297-323.
[31]GREVE H R.Performance,aspirations,and risky organizational change[J].Administrative Science Quarterly,1998,43(1):58-86.
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[34]GREVE H R.Organizational learning from performance feedback:a behavioral perspective on innovation and change[M].Cambridge,UK:Cambridge University Press,2003:165-168.
[35]ENKEL E,GASSMANN O,CHESBROUGH H.Open R&D and open innovation:exploring the phenomenon[J].R&D Management,2009,39(4):311-316.
[36]VRANDE V,JONG J,VANHAVERBEKE W,et al.Open innovation in SMEs:trends,motives and management challenges[J].Technovation,2009,29(6/7):423-437.
[37]LAURSEN K,SALTER A.Open for innovation:the role of openness in explaining innovation performance among UK manufacturing firms[J].Strategic Management Journal,2006,27(2):131-150.
[38]WEST J,KUK G.The complementarity of openness:how MakerBot leveraged Thingiverse in 3D printing[J].Technological Forecasting and Social Change,2016,102:169-181.
[39]ROPER S,VAHTER P,LOVE J H.Externalities of openness in innovation[J].Research Policy,2013,42(9):1544-1554.
[40]BELDERBOS R,CASSIMAN B,FAEMS D,et al.Co-ownership of intellectual property:exploring the valueappropriation and value-creation implications of co-patenting with different partners[J].Research Policy,2014,43(5):841-852.
[41]GAWER A.Bridging differing perspectives on technological platforms:toward an integrative framework[J].Research Policy,2014,43(7):1239-1249.
[42]ALEXY O,BASCAVUSOGLU-MOREAU E,SALTER A J.Toward an aspiration-level theory of open innovation[J].Industrial and Corporate Change,2016,25(2):289-306.
[43]NASON R,BACQ S,GRAS D.A behavioral theory of social performance:social identity and stakeholder expectations[J].Academy of Management Review,2018,43(2):259-283.
[44]CHEN W,MILLER K D.Situational and institutional determinants of firms’R&D search intensity[J].Strategic Management Journal,2007,28(4):369-381.
[45]CHEN W.Determinants of firms’backward-and forward-looking R&D search behavior[J].Organization Science,2008,19(4):609-622.
[46]VEUGELERS R,CASSIMAN B.Make and buy in innovation strategies:evidence from Belgian manufacturing firms[J].Research Policy,1999,28(1):63-80.
[47]SITUMEANG F B I,GEMSER G,WIJNBERG N M,et al.Risk-taking behavior of technology firms:the role of performance feedback in the video game industry[J].Technovation,2016,54:22-34.
[48]KAHNEMAN D.Thinking,fast and slow[M].New York:Penguin,2012:367-370.
[49]何轩,宋丽红,朱沆,等.家族为何意欲放手?---制度环境感知、政治地位与中国家族企业主的传承意愿[J].管理世界,2014(2):90-101.
[50]JOHNSON S,KAUFMANN D,MCMILLAN J,et al.Why do firms hide?Bribes and unofficial activity after communism[J].Journal of Public Economics,2000,76(3):495-520.
[51]SANTANGELO G D,MEYER K E,JINDRA B.MNE subsidiaries’outsourcing and insourcing of R&D:the role of local institutions[J].Global Strategy Journal,2016,6(4):247-268.
[52]BRUNO C,REINHILDE V.In search of complementarity internal R&D strategy:knowledge in innovation and external acquisition[J].Management Science,2006,52(1):68-82.
[53]连燕玲,周兵,贺小刚,等.经营期望、管理自主权与战略变革[J].经济研究,2015(8):31-44.
[54]WANG HELI,QIAN CUILI.Corporate philanthropy and corporate financial performance:the roles of stakeholder response and political access[J].Academy of Management Journal,2011,54(6):1159-1181.
[55]钟田丽,马娜,胡彦斌.企业创新投入要素与融资结构选择---基于创业板上市公司的实证检验[J].会计研究,2014(4):66-73.
[56]贺小刚,连燕玲,吕斐斐.期望差距与企业家的风险决策偏好---基于中国家族上市公司的数据分析[J].管理科学学报,2016,19(8):1-20.
[57]陈钰芬,叶伟巍.企业内部R&D和外部知识搜寻的交互关系---STI和DUI产业的创新战略分析[J].科学学研究,2013,31(2):266-275.
[58]贺小刚,连燕玲,吕斐斐,等.消极反馈与企业家创新:基于民营上市公司的实证研究[J].南开管理评论,2016,19(3):145-156.
[59]王明琳,徐萌娜,王河森.利他行为能够降低代理成本吗?---基于家族企业中亲缘利他行为的实证研究[J].经济研究,2014(3):144-157.
[60]马连福,王丽丽,张琦.混合所有制的优序选择:市场的逻辑[J].中国工业经济,2015(7):5-20.
[61]KUUSELA P,KEIL T,MAULA M.Driven by aspirations,but in what direction?Performance shortfalls,slack resources and resource-consuming vs resource-freeing organizational change[J].Strategic Management Journal,2017,38(5):1101-1120.
[62]LUNGEANU R,STERN I,ZAJAC E J.When do firms change technology-sourcing vehicles?The role of poor innovative performance and financial slack[J].Strategic Management Journal,2016,37(5):855-869.
[63]DU J,LETEN B,VANHAVERBEKE W.Managing open innovation projects with science-based and marketbased partners[J].Research Policy,2014,43(5):828-840.
[2]魏江,孔小磊,周泯非,等.基于集群治理的产业集群内企业知识资产保护模式研究[J].科学学研究,2010,28(9):1354-1360.
[3]伍蓓,陈劲,吴增源.环境动态性对研发外包强度与企业绩效关系的调节效应研究[J].科研管理,2010(4):23-30.
[4]伍蓓,陈劲,吴增源,等.研发外包进程探索:效率/创新外包模式的动态演进[J].科学学研究,2013,31(6):948-955.
[5]BELADI H,MARJIT S,XU X,et al.Strategic enforcement,intellectual property rights,and contractual R&D[J].Economic Inquiry,2016,54(4):1904-1917.
[6]RAMPERSAD G C.Managing innovation clusters:a network approach[J].Journal of Management and Strategy,2015,6(3):9-20.
[7]GABA V,BHATTACHARYA S.Aspirations,innovation,and corporate venture capital:a behavioral perspective[J].Strategic Entrepreneurship Journal,2012,6(2):178-199.
[8]CHESBROUGH H W,HELFAT C E.Open innovation:the new imperative for creating and profiting from technology[J].Academy of Management Perspectives,2006,20(2):86-88.
[9]WEST J,SALTER A,VANHAVERBEKE W,et al.Open innovation:the next decade[J].Research Policy,2014,43(5):805-811.
[10]DODGSON M,GANN D,SALTER A J.Think,play,do:technology,innovation,and organization[M].Oxford:Oxford University Press,2005:38-45.
[11]FEY C F,BIRKINSHAW J.External sources of knowledge,governance mode,and R&D performance[J].Journal of Management,2005,31(4):597-621.
[12]BERCHICCI L.Towards an open R&D system:internal R&D investment,external knowledge acquisition and innovative performance[J].Research Policy,2013,42(1):117-127.
[13]GUAN J,MA N.Innovative capability and export performance of Chinese firms[J].Technovation,2003,23(9):737-747.
[14]MCGEE J E,DOWLING M J,MEGGINSON W L.Cooperative strategy and new venture performance:the role of business strategy and management experience[J].Strategic Management Journal,1995,16(7):565-580.
[15]LOKSHIN B,BELDERBOS R,CARREE M.The productivity effects of internal and external R&D:evidence from a dynamic panel data model[J].Oxford Bulletin of Economics and Statistics,2007,70(3):399-413.
[16]HAGEDOORN J,WANG N.Is there complementarity or substitutability between internal and external R&Dstrategies?[J].Research Policy,2012,41(6):1072-1083.
[17]陈启斐,王晶晶,岳中刚.研发外包是否会抑制我国制造业自主创新能力?[J].数量经济技术经济研究,2015,32(2):53-69.
[18]HUANG Y A,CHUNG H J,LIN C.R&D sourcing strategies:determinants and consequences[J].Technovation,2009,29(3):155-169.
[19]WEST J,BOGERS M.Leveraging external sources of innovation:a review of research on open innovation[J].Journal of Product Innovation Management,2014,31(4):814-831.
[20]SANTAMARíA L,NIETO M J,BARGE-GIL A.Beyond formal R&D:taking advantage of other sources of innovation in low-and medium-technology industries[J].Research Policy,2009,38(3):507-517.
[21]ROESSNER J D,BEAN A S.How industry interacts with federal laboratories[J].Research-technology Management,1991,34(4):22-25.
[22]SCHMIEDEBERG C.Complementarities of innovation activities:an empirical analysis of the German manufacturing sector[J].Research Policy,2008,37(9):1492-1503.
[23]HELBLE Y,CHONG L C.The importance of internal and external R&D network linkages for R&Dorganisations:evidence from Singapore[J].R&D Management,2004,34(5):605-612.
[24]CHESBROUGH H W.Open innovation:the new imperative for creating and profiting from technology[M].Boston:Harvard Business School Press,2003:115-120.
[25]CASSIMAN B,VALENTINI G.Open innovation:are inbound and outbound knowledge flows really complementary?[J]Strategic Management Journal,2016,37(6):1034-1046.
[26]BACKALER J.China goes west:everything you need to know about Chinese companies going global[M].London:Palgrave Macmillan,2014:84-91.
[27]GREVE H R.A behavioral theory of R&D expenditures and innovations:evidence from shipbuilding[J].Academy of Management Journal,2003,46(6):685-702.
[28]LUCAS G J M,KNOBEN J,MEEUS M T H.Contradictory yet coherent?Inconsistency in performance feedback and R&D investment change[J].Journal of Management,2018,44(2):658-681.
[29]GRAY B,PURDY J M,ANSARI S S.From interactions to institutions:microprocesses of framing and mechanisms for the structuring of institutional fields[J].Academy of Management Review,2015,40(1):115-143.
[30]TVERSKY A,KAHNEMAN D.Advances in prospect theory:cumulative representation of uncertainty[J].Journal of Risk and Uncertainty,1992,5(4):297-323.
[31]GREVE H R.Performance,aspirations,and risky organizational change[J].Administrative Science Quarterly,1998,43(1):58-86.
[32]AMOS T,DANIEL K.Prospect theory:an analysis of decision under risk[J].Econometrica:Journal of the Econometric Society,1979,47(2):263-291.
[33]GAVETTI G,GREVE H R,LEVINTHAL D A,et al.The behavioral theory of the firm:assessment and prospects[J].Academy of Management Annals,2012,6(1):1-40.
[34]GREVE H R.Organizational learning from performance feedback:a behavioral perspective on innovation and change[M].Cambridge,UK:Cambridge University Press,2003:165-168.
[35]ENKEL E,GASSMANN O,CHESBROUGH H.Open R&D and open innovation:exploring the phenomenon[J].R&D Management,2009,39(4):311-316.
[36]VRANDE V,JONG J,VANHAVERBEKE W,et al.Open innovation in SMEs:trends,motives and management challenges[J].Technovation,2009,29(6/7):423-437.
[37]LAURSEN K,SALTER A.Open for innovation:the role of openness in explaining innovation performance among UK manufacturing firms[J].Strategic Management Journal,2006,27(2):131-150.
[38]WEST J,KUK G.The complementarity of openness:how MakerBot leveraged Thingiverse in 3D printing[J].Technological Forecasting and Social Change,2016,102:169-181.
[39]ROPER S,VAHTER P,LOVE J H.Externalities of openness in innovation[J].Research Policy,2013,42(9):1544-1554.
[40]BELDERBOS R,CASSIMAN B,FAEMS D,et al.Co-ownership of intellectual property:exploring the valueappropriation and value-creation implications of co-patenting with different partners[J].Research Policy,2014,43(5):841-852.
[41]GAWER A.Bridging differing perspectives on technological platforms:toward an integrative framework[J].Research Policy,2014,43(7):1239-1249.
[42]ALEXY O,BASCAVUSOGLU-MOREAU E,SALTER A J.Toward an aspiration-level theory of open innovation[J].Industrial and Corporate Change,2016,25(2):289-306.
[43]NASON R,BACQ S,GRAS D.A behavioral theory of social performance:social identity and stakeholder expectations[J].Academy of Management Review,2018,43(2):259-283.
[44]CHEN W,MILLER K D.Situational and institutional determinants of firms’R&D search intensity[J].Strategic Management Journal,2007,28(4):369-381.
[45]CHEN W.Determinants of firms’backward-and forward-looking R&D search behavior[J].Organization Science,2008,19(4):609-622.
[46]VEUGELERS R,CASSIMAN B.Make and buy in innovation strategies:evidence from Belgian manufacturing firms[J].Research Policy,1999,28(1):63-80.
[47]SITUMEANG F B I,GEMSER G,WIJNBERG N M,et al.Risk-taking behavior of technology firms:the role of performance feedback in the video game industry[J].Technovation,2016,54:22-34.
[48]KAHNEMAN D.Thinking,fast and slow[M].New York:Penguin,2012:367-370.
[49]何轩,宋丽红,朱沆,等.家族为何意欲放手?---制度环境感知、政治地位与中国家族企业主的传承意愿[J].管理世界,2014(2):90-101.
[50]JOHNSON S,KAUFMANN D,MCMILLAN J,et al.Why do firms hide?Bribes and unofficial activity after communism[J].Journal of Public Economics,2000,76(3):495-520.
[51]SANTANGELO G D,MEYER K E,JINDRA B.MNE subsidiaries’outsourcing and insourcing of R&D:the role of local institutions[J].Global Strategy Journal,2016,6(4):247-268.
[52]BRUNO C,REINHILDE V.In search of complementarity internal R&D strategy:knowledge in innovation and external acquisition[J].Management Science,2006,52(1):68-82.
[53]连燕玲,周兵,贺小刚,等.经营期望、管理自主权与战略变革[J].经济研究,2015(8):31-44.
[54]WANG HELI,QIAN CUILI.Corporate philanthropy and corporate financial performance:the roles of stakeholder response and political access[J].Academy of Management Journal,2011,54(6):1159-1181.
[55]钟田丽,马娜,胡彦斌.企业创新投入要素与融资结构选择---基于创业板上市公司的实证检验[J].会计研究,2014(4):66-73.
[56]贺小刚,连燕玲,吕斐斐.期望差距与企业家的风险决策偏好---基于中国家族上市公司的数据分析[J].管理科学学报,2016,19(8):1-20.
[57]陈钰芬,叶伟巍.企业内部R&D和外部知识搜寻的交互关系---STI和DUI产业的创新战略分析[J].科学学研究,2013,31(2):266-275.
[58]贺小刚,连燕玲,吕斐斐,等.消极反馈与企业家创新:基于民营上市公司的实证研究[J].南开管理评论,2016,19(3):145-156.
[59]王明琳,徐萌娜,王河森.利他行为能够降低代理成本吗?---基于家族企业中亲缘利他行为的实证研究[J].经济研究,2014(3):144-157.
[60]马连福,王丽丽,张琦.混合所有制的优序选择:市场的逻辑[J].中国工业经济,2015(7):5-20.
[61]KUUSELA P,KEIL T,MAULA M.Driven by aspirations,but in what direction?Performance shortfalls,slack resources and resource-consuming vs resource-freeing organizational change[J].Strategic Management Journal,2017,38(5):1101-1120.
[62]LUNGEANU R,STERN I,ZAJAC E J.When do firms change technology-sourcing vehicles?The role of poor innovative performance and financial slack[J].Strategic Management Journal,2016,37(5):855-869.
[63]DU J,LETEN B,VANHAVERBEKE W.Managing open innovation projects with science-based and marketbased partners[J].Research Policy,2014,43(5):828-840.