企业技术创新网络形成机理研究
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摘要
本研究的目的是探索企业技术创新网络在不同国家环境下的形成机理,以期通过比较不同的国家环境对企业技术创新网络的影响和作用,归纳出企业技术创新网络在环境条件作用下的形成原因和形成规律。
本研究采用结合定量测量技术的嵌入性跨案例比较研究方法,运用基于国家创新系统理论、社会网络分析理论和交易成本理论的理论基础与分析工具,分别在瑞士苏黎世和中国四川地区运用逐项复制和差别复制法则,筛选了共6家技术创新绩效优良的中高技术制造业龙头企业,在深入这些企业及其所在地进行深度访谈、直接观察、问卷调查和档案分析的基础上,对这些企业技术创新网络在国家环境作用下的形成机理进行了跨案例比较研究。
通过对中国案例组三家企业和瑞士案例组三家企业的单案例研究以及跨案例比较研究,本文得到以下实证发现：
中国案例组企业技术创新网络呈现出封闭形态和开放形态并存的局面,这是我国转型经济中国家创新系统尚未形成,国家整体大环境尚未完善,但部分小环境开始局部性改善的反映。瑞士案例组企业技术创新网络呈现出相似的开放式形态,则是瑞士国家创新系统发育较为完善、国家环境有利于企业技术创新网络形成开放格局的反映。中国案例组企业技术创新网络中政府的角色主要是为优质企业提供优惠性、扶持性政策和特殊的行政服务,以创造良好的小气候,帮助优质企业形成技术创新网络、提高企业技术创新绩效。瑞士案例组中政府的角色是在网络中为各方沟通信息,为所有企业提供通用性政策,以形成良好的有利于创新的国家大环境。
鉴于以上实证发现,本文得出以下结论：
企业技术创新网络的微观演化过程受国家环境中宏观因素动态发展的影响,换言之,受国家创新系统发展特征的影响。在国家教育系统发达、科技劳动力市场供给充足、知识产权制度完善的条件下,外部合作交易成本相对较低,企业选择建立较多的外部联系,企业技术创新网络呈开放式形态。在国家教育系统不发达、科技劳动力市场供给不充足、知识产权制度不完善的条件下,外部合作的交易成本相对较高,企业难以建立较多的外部联系,因此企业技术创新网络呈封闭形态,但当上述环境条件得到局部改善时,外部合作的交易成本有所下降,企业开始选择建立更多的外部联系,使其技术创新网络向开放式方向发展。由此可见,宏观层面上的国家创新系统特征影响了微观层面上的企业技术创新网络的结构特征,企业技术创新网络的演化受国家创新系统发展的影响。
本研究在跨国案例比较中得到的实证数据丰富了关于经济转型阶段和学习过程中国家创新系统发展的经济学理论,本研究将企业技术创新网络的实证研究和理论研究结合起来,通过比较发达国家和发展中国家不同企业的创新活动,有效地理解了国家层面宏观因素的动态变化对企业微观行为演化过程的影响,在实证上证实了国家创新系统理论关于创新过程是一个宏观因素与微观因素之间错综复杂的相互作用过程的论点,并为国家创新政策的制定提供了有益的启示。
This study sets out to explore the formative mechanism of firm's technological innovator network (TIN) under different national contexts. It is expected to induce theory by comparing how national contexts shape firms'innovator networks in different countries.
This study adopts case study methodology with quantitative measuring technique and multiple-case embedded design. Three medium-and-high-tech manufacturing companies with strong technological innovation performance located in Sichuan, China and three in Zurich, Switzerland are selected for comparison. An analytical framework based on national innovation system approach, social network theory, and transaction cost theory is constructed, and a cross case study to examine the formative mechanism of firms'TIN in different national context is conducted.
The study found that in the Chinese cases both closed and open networks exist which reflects the transitional characteristics of China's national innovation system, and in the Swiss cases, firms'TINs have shown more similarities as open networks which resulted from the mature/well developed national innovation system of Switzerland in which firms' technological innovation is well-facilitated. The study found a major difference in the role of government in the development of TINS in respective case firms. In the Chinese cases, the role of government is to participate, guide and finance firm's technological innovation activities, and to provide favorable and supportive policies and special administrative services so as to create good microclimate for selected firms to develop their TINs and improve technological innovation performance. In the Swiss cases, the role of government is to act as bridge between different actors by transferring information in the TIN and by framing general policies for all the firms and to create good macro environment for firm's innovation.
To generalize and conclude, this study argues that the micro evolution of firms' TINs is influenced by the macro dynamic development of national contextual factors, in other words, by the development of the nature and characteristics of national innovation system. In a country with well-developed national innovation system which boasts of a well developed education system, high-qualified human resources, and well-established IPR regime, firms'TINs are open thanks to relatively lower transaction cost of external cooperation. In a country with transitional/learning national innovation system with relatively less/well-developed education system, insufficient high-qualified human resources, and weak IPR regime, firm's TINs tend to be closed due to relatively higher transaction cost of external cooperation. But when the national contextual factors partially improve, the transaction cost of external cooperation also partially decrease, and firms are likely to start forging external relationship for technological innovation which results in firms' TINs becoming partially open. Therefore, fostering and nurturing of dynamic innovator networks at micro level are clearly linked to the influence of the national context, that is, the strengths and weaknesses of the national innovation system at the macro level.
Despite some limitations which can be attributed to the limitations imposed by transaction cost theory, the study makes a number of contributions in the area of appreciative theories in systems of innovation. The evidence from the cross case studies in two countries selected adds new knowledge towards better understanding of the complex nature of emerging/ learning economies and national innovation systems in transition. The study helps to understand the dynamics of macro factors at national level and their influence on firm's behavior at micro-level. It also reinforces the argument of the national innovation system theory that innovation process is a complicated interaction between macro and micro factors. Thus, the main policy implication is clear:building robust national and regional innovation systems is imperative to create conducive environment for firms to foster and develop dynamic and vibrant open technological innovator networks.
本研究采用结合定量测量技术的嵌入性跨案例比较研究方法,运用基于国家创新系统理论、社会网络分析理论和交易成本理论的理论基础与分析工具,分别在瑞士苏黎世和中国四川地区运用逐项复制和差别复制法则,筛选了共6家技术创新绩效优良的中高技术制造业龙头企业,在深入这些企业及其所在地进行深度访谈、直接观察、问卷调查和档案分析的基础上,对这些企业技术创新网络在国家环境作用下的形成机理进行了跨案例比较研究。
通过对中国案例组三家企业和瑞士案例组三家企业的单案例研究以及跨案例比较研究,本文得到以下实证发现：
中国案例组企业技术创新网络呈现出封闭形态和开放形态并存的局面,这是我国转型经济中国家创新系统尚未形成,国家整体大环境尚未完善,但部分小环境开始局部性改善的反映。瑞士案例组企业技术创新网络呈现出相似的开放式形态,则是瑞士国家创新系统发育较为完善、国家环境有利于企业技术创新网络形成开放格局的反映。中国案例组企业技术创新网络中政府的角色主要是为优质企业提供优惠性、扶持性政策和特殊的行政服务,以创造良好的小气候,帮助优质企业形成技术创新网络、提高企业技术创新绩效。瑞士案例组中政府的角色是在网络中为各方沟通信息,为所有企业提供通用性政策,以形成良好的有利于创新的国家大环境。
鉴于以上实证发现,本文得出以下结论：
企业技术创新网络的微观演化过程受国家环境中宏观因素动态发展的影响,换言之,受国家创新系统发展特征的影响。在国家教育系统发达、科技劳动力市场供给充足、知识产权制度完善的条件下,外部合作交易成本相对较低,企业选择建立较多的外部联系,企业技术创新网络呈开放式形态。在国家教育系统不发达、科技劳动力市场供给不充足、知识产权制度不完善的条件下,外部合作的交易成本相对较高,企业难以建立较多的外部联系,因此企业技术创新网络呈封闭形态,但当上述环境条件得到局部改善时,外部合作的交易成本有所下降,企业开始选择建立更多的外部联系,使其技术创新网络向开放式方向发展。由此可见,宏观层面上的国家创新系统特征影响了微观层面上的企业技术创新网络的结构特征,企业技术创新网络的演化受国家创新系统发展的影响。
本研究在跨国案例比较中得到的实证数据丰富了关于经济转型阶段和学习过程中国家创新系统发展的经济学理论,本研究将企业技术创新网络的实证研究和理论研究结合起来,通过比较发达国家和发展中国家不同企业的创新活动,有效地理解了国家层面宏观因素的动态变化对企业微观行为演化过程的影响,在实证上证实了国家创新系统理论关于创新过程是一个宏观因素与微观因素之间错综复杂的相互作用过程的论点,并为国家创新政策的制定提供了有益的启示。
This study sets out to explore the formative mechanism of firm's technological innovator network (TIN) under different national contexts. It is expected to induce theory by comparing how national contexts shape firms'innovator networks in different countries.
This study adopts case study methodology with quantitative measuring technique and multiple-case embedded design. Three medium-and-high-tech manufacturing companies with strong technological innovation performance located in Sichuan, China and three in Zurich, Switzerland are selected for comparison. An analytical framework based on national innovation system approach, social network theory, and transaction cost theory is constructed, and a cross case study to examine the formative mechanism of firms'TIN in different national context is conducted.
The study found that in the Chinese cases both closed and open networks exist which reflects the transitional characteristics of China's national innovation system, and in the Swiss cases, firms'TINs have shown more similarities as open networks which resulted from the mature/well developed national innovation system of Switzerland in which firms' technological innovation is well-facilitated. The study found a major difference in the role of government in the development of TINS in respective case firms. In the Chinese cases, the role of government is to participate, guide and finance firm's technological innovation activities, and to provide favorable and supportive policies and special administrative services so as to create good microclimate for selected firms to develop their TINs and improve technological innovation performance. In the Swiss cases, the role of government is to act as bridge between different actors by transferring information in the TIN and by framing general policies for all the firms and to create good macro environment for firm's innovation.
To generalize and conclude, this study argues that the micro evolution of firms' TINs is influenced by the macro dynamic development of national contextual factors, in other words, by the development of the nature and characteristics of national innovation system. In a country with well-developed national innovation system which boasts of a well developed education system, high-qualified human resources, and well-established IPR regime, firms'TINs are open thanks to relatively lower transaction cost of external cooperation. In a country with transitional/learning national innovation system with relatively less/well-developed education system, insufficient high-qualified human resources, and weak IPR regime, firm's TINs tend to be closed due to relatively higher transaction cost of external cooperation. But when the national contextual factors partially improve, the transaction cost of external cooperation also partially decrease, and firms are likely to start forging external relationship for technological innovation which results in firms' TINs becoming partially open. Therefore, fostering and nurturing of dynamic innovator networks at micro level are clearly linked to the influence of the national context, that is, the strengths and weaknesses of the national innovation system at the macro level.
Despite some limitations which can be attributed to the limitations imposed by transaction cost theory, the study makes a number of contributions in the area of appreciative theories in systems of innovation. The evidence from the cross case studies in two countries selected adds new knowledge towards better understanding of the complex nature of emerging/ learning economies and national innovation systems in transition. The study helps to understand the dynamics of macro factors at national level and their influence on firm's behavior at micro-level. It also reinforces the argument of the national innovation system theory that innovation process is a complicated interaction between macro and micro factors. Thus, the main policy implication is clear:building robust national and regional innovation systems is imperative to create conducive environment for firms to foster and develop dynamic and vibrant open technological innovator networks.
引文
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