创新作为一种政治战略:转型经济情境中的企业象征性创新
|
摘要
西方文献指出,企业创新动力来自产品市场的竞争。本研究挑战了这一假定,提出转型经济情境下企业创新动力还来自管理政企关系的需要,并将这种产生于转型经济企业的独特创新行为称为象征性创新。本研究考察了何种条件下转型经济企业更倾向开展象征性创新的问题,基于资源依赖理论提出,相比国有企业,民营企业更倾向于开展象征性创新。进一步,企业冗余资源以及所在地区的市场化程度会降低这种倾向,而针对20 0 0-2010年425家中国上市公司1387个观察值的面板数据分析支持了本文的假设。本研究有助于更加完整地理解转型经济企业的创新动力和行为,并为调解已有转型经济企业创新研究的不一致发现提供了可能的理论线索。
Western literature suggests that firms innovate to compete in product markets. Due to weak appropriability regime of Intellectual property, Chinese firms should under-invest innovation activities. However, this theoretical prediction is not consistent with recent explosion growth of patent indicators of Chinese firms. This inconsistency between theory and evidence prompts us to reconsider the innovation motivation of transition economy firms in general or Chinese firms in particular. The present study proposes that firms also innovate to manage business government relationship in the context of transition economies. This innovation behavior, specific to transition economy firms, is termed symbolic innovation. This study examines under what conditions transition economy firms are more likely to conduct symbolic innovation. Drawing on resource dependence theory, it is proposed that, compared to SOEs, private firms are more likely to conduct symbolic innovation due to their more desperate dependency on government for key resources(as opposed to the institutionalized support for SOEs). Furthermore, resource slacks and market development of the region where firms operate reduce this tendency because their resource dependency on governments is less a concern. The empirical study of 425 Chinese listed firms(1387 firm-year observations) support these hypotheses. This study helps us better understand the innovation motivation and behavior of transition economy firms, and provides potential theoretical thread to reconcile the inconsistent findings on innovation research in the context of transition economies. In short, the present study provides a new perspective to understand the innovation motivation of transition economy firms and identifies a new type of political strategy in this context. To our knowledge, this is the first study aiming to uncover the unique innovation motivation of transition economy firms using firms' resource dependence on government as an analytical framework. We hope this study, and especially our new way of operationalization for symbolic innovation, would stimulate more future research on symbolic innovation in transition economy context.
Western literature suggests that firms innovate to compete in product markets. Due to weak appropriability regime of Intellectual property, Chinese firms should under-invest innovation activities. However, this theoretical prediction is not consistent with recent explosion growth of patent indicators of Chinese firms. This inconsistency between theory and evidence prompts us to reconsider the innovation motivation of transition economy firms in general or Chinese firms in particular. The present study proposes that firms also innovate to manage business government relationship in the context of transition economies. This innovation behavior, specific to transition economy firms, is termed symbolic innovation. This study examines under what conditions transition economy firms are more likely to conduct symbolic innovation. Drawing on resource dependence theory, it is proposed that, compared to SOEs, private firms are more likely to conduct symbolic innovation due to their more desperate dependency on government for key resources(as opposed to the institutionalized support for SOEs). Furthermore, resource slacks and market development of the region where firms operate reduce this tendency because their resource dependency on governments is less a concern. The empirical study of 425 Chinese listed firms(1387 firm-year observations) support these hypotheses. This study helps us better understand the innovation motivation and behavior of transition economy firms, and provides potential theoretical thread to reconcile the inconsistent findings on innovation research in the context of transition economies. In short, the present study provides a new perspective to understand the innovation motivation of transition economy firms and identifies a new type of political strategy in this context. To our knowledge, this is the first study aiming to uncover the unique innovation motivation of transition economy firms using firms' resource dependence on government as an analytical framework. We hope this study, and especially our new way of operationalization for symbolic innovation, would stimulate more future research on symbolic innovation in transition economy context.
引文
[1]Ahuja,G.,Lampert,C.M.,Tandon,V..Moving beyond Schumpeter:Management Research on the Determinants of Technological Innovation.Academy of Management Annals,2008,2(1):1-98.
[2]Schumpeter,J.A..The Theory of Economic Development:An Inquiry into Profits,Capital,Credit,Interest,and the Business Cycle.Cambridge,MA:Harvard University Press,1934.
[3]Hsu,D.H.,Ziedonis,R.H..Resources as Dual Sources of Advantage:Implications for Valuing Entrepreneurial-firm Patents.Strategic Management Journal,2013,34(7):761-781.
[4]Eberhardt,M.,Helmers,C.,Yu,Z..Is the Dragon Learning to Fly?An Analysis of the Chinese Patent Explosion.The Economist,2010,(4):1-32.
[5]Li,X..Behind the Recent Surge of Chinese Patenting:An Institutional View.Research Policy,2012,41(1):236-249.
[6]Young,M.N.,Tsai,T.,Wang,X.,Liu,S.,Ahlstrom,D..Strategy in Emerging Economies and the Theory of the Firm.Asia Pacific Journal of Management,2014,31(2):331-354.
[7]Zhao,M..Conducting R&D in Countries with Weak Intellectual Property Rights Protection.Management Science,2006,52(8):1185-1199.
[8]Liefner,I.,Kroll,H.,Peighambari,A..Research-driven or Party-promoted?Factors Affecting Patent Applications of Private Small and Medium-sized Enterprises in China`s Pearl River Delta.Science and Public Policy,2016,43(6):849-858.
[9]He,Y.,Tian,Z..Government-oriented Corporate Public Relation Strategies in Transitional China.Management and Organization Review,2008,4(3):367-391.
[10]Hillman,A.J.,Withers,M.C.,Collins,B.J..Resource Dependence Theory:A Review.Journal of Management,2009,35(6):1404-1427.
[11]Zheng,W.,Singh,K.,Mitchell,W..Buffering and Enabling:The Impact of Interlocking Political Ties on Firm Survival and Sales Growth.Strategic Management Journal,2015,36(11):1615-1636.
[12]Zott,C.,Huy,Q.N..How Entrepreneurs Use Symbolic Management to Acquire Resources.Administrative Science Quarterly,2007,52(1):70-105.
[13]Pfeffer,J..Management as Symbolic Action:The Creation and Maintenance of Organizational Paradigms.In Cummings,L.,Staw,B.(Eds.).Research in Organizational Behavior,1981,(3):1-52.Greenwich:JAI Press.
[14]Markóczy,L.,Li Sun,S.,Peng,M.W.,Shi,W.,Ren,B..Social Network Contingency,Symbolic Management,and Boundary Stretching.Strategic Management Journal,2013,34(11):1367-1387.
[15]Clarke,J..Revitalizing Entrepreneurship:How Visual Symbols are Used in Entrepreneurial Performances.Journal of Management Studies,2011,48(6):1365-1391.
[16]Christmann,P.,Taylor,G..Firm Self-regulation through International Certifiable Standards:Determinants of Symbolic Versus Substantive Implementation.Journal of International Business Studies,2006,37(6):863-878.
[17]Delmas,M.A.,Montes-Sancho,M.J..Voluntary Agreements to Improve Environmental Quality:Symbolic and Substantive Cooperation.Strategic Management Journal,2010,31(6):575-601.
[18]Short,J.L.,Toffel,M.W..Making Self-regulation More than Merely Symbolic:The Critical Role of the Legal Environment.Administrative Science Quarterly,2010,55(3):361-396.
[19]Stevens,J.M.,Kevin,S.H.,Harrison,D.A.,Cochran,P.L..Symbolic or Substantive Document?The Influence of Ethics Codes on Financial Executives`Decisions.Strategic Management Journal,2005,26(2):181-195.
[20]Westphal,J.D.,Zajac,E.J..The Symbolic Management of Stockholders:Corporate Governance Reforms and Shareholder Reactions.Administrative Science Quarterly,1998,43(1):127-153.
[21]Davis,G.F.,Adam Cobb,J..2010.Chapter 2 Resource Dependence Theory:Past and Future,Stanford`s Organization Theory Renaissance,1970-2000:21-42:Emerald Group Publishing Limited.
[22]Zhou,K.Z.,Gao,G.Y.,Zhao,H..State Ownership and Firm Innovation in China:An Integrated View of Institutional and Efficiency Logics.Administrative Science Quarterly,2017,62(2):375-404.
[23]Gao,G.Y.,Murray,J.Y.,Kotabe,M.,Lu,J..A“Strategy Tripod”Perspective on Export Behaviors:Evidence from Domestic and Foreign Firms Based in an Emerging Economy.Journal of International Business Studies,2010,41(3):377-396.
[24]Chen,V.Z.,Li,J.,Shapiro,D.M.,Zhang,X..Ownership Structure and Innovation:An Emerging Market Perspective.Asia Pacific Journal of Management,2014,31(1):1-24.
[25]Luo,Y..Industrial Dynamics and Managerial Networking in an Emerging Market:The Case of China.Strategic Management Journal,2003,24(13):1315-1327.
[26]Marquis,C.,Qian,C..Corporate Social Responsibility Reporting in China:Symbol or Substance?Organization Science,2014,25(1):127-148.
[27]Baysinger,B.D..Domain Maintenance as an Objective of Business Political Activity:An Expanded Typology.Academy of Management Review,1984,9(2):248-258.
[28]Hillman,A.J.,Keim,G.D.,Schuler,D..Corporate Political Activity:A Review and Research Agenda.Journal of Management,2004,30(6):837-857.
[29]Oliver,C.,Holzinger,I..The Effectiveness of Strategic Political Management:A Dynamic Capabilities Framework.Academy of Management Review,2008,33(2):496-520.
[30]Luo,Y.,Junkunc,M..How Private Enterprises Respond to Government Bureaucracy in Emerging Economies:The Effects of Entrepreneurial Type and Governance.Strategic Entrepreneurship Journal,2008,2(2):133-153.
[31]Birnbaum,P.H..Political Strategies of Regulated Organizations as Functions of Context and Fear.Strategic Management Journal,1985,6(2):135-150.
[32]Hillman,A.J.,Hitt,M.A..Corporate Political Strategy Formulation:A Model of Approach,Participation,and Strategy Decisions.Academy of Management Review,1999,24(4):825-842.
[33]Meznar,M.B.,Nigh,D..Buffer or Bridge?Environmental and Organizational Determinants of Public Affairs Activities in American Firms.Academy of Management Journal,1995,38(4):975-996.
[34]Fischer,W.A.,Von Zedtwitz,M..Chinese R&D:Naissance,Renaissance,or Mirage?R&D Management,2004,34(4):349-365.
[35]Yang,J.,Liu,H.,Gao,S.,Li,Y..Technological Innovation of Firms in China:Past,Present,and Future.Asia Pacific Journal of Management,2012,29(3):819-840.
[36]Peng,M.W.,Tan,J.,Tong,T.W..Ownership Types and Strategic Groups in an Emerging Economy.Journal of Management Studies,2004,41(7):1105-1129.
[37]Walsh,I.J.,Bhatt,M.,Bartunek,J.M..Organizational Knowledge Creation in the Chinese Context.Management and Organization Review,2015,5(2):261-278.
[38]Peng,M.W.,Luo,Y.D..Managerial Ties and Firm Performance in a Transition Economy:The Nature of a Micro-macro Link.Academy of Management Journal,2000,43(3):486-501.
[39]Schuler,D.A..Corporate Political Strategy and Foreign Competition:The Case of the Steel Industry.Academy of Management Journal,1996,39(3):720-737.
[40]Schuler,D.A.,Rehbein,K.,Cramer,R.D..Pursuing Strategic Advantage through Political Means:A Multivariate Approach.Academy of Management Journal,2002,45(4):659-672.
[41]Bode,C.,Wagner,S.M.,Petersen,K.J.,Ellram,L.M..Understanding Responses to Supply Chain Disruptions:Insights from Information Processing and Resource Dependence Perspectives.Academy of Management Journal,2011,54(4):833-856.
[42]Bourgeois,L.J..On the Measurement of Organizational Slack.Academy of Management Review,1981,6(1):29-39.
[43]Cheng,J.L.C.,Kesner,I.F..Organizational Slack and Response to Environmental Shifts:The Impact of Resource Allocation Patterns.Journal of Management,1997,23(1):1-18.
[44]George,G..Slack Resources and the Performance of Privately Held Firms.Academy of Management Journal,2005,48(4):661-676.
[45]Kraatz,M.S.,Zajac,E.J..How Organizational Resources Affect Strategic Change and Performance in Turbulent Environments:Theory and Evidence.Organization Science,2001,12(5):632-657.
[46]Kornai,J.,Maskin,E.,Roland,G..Understanding the Soft Budget Constraint.Journal of Economic Literature,2003,41(4):1095-1136.
[47]Stan,C.V.,Peng,M.W.,Bruton,G.D..Slack and the Performance of State-owned Enterprises.Asia Pacific Journal of Management,2014,31(2):473-495.
[48]Ju,M.,Zhao,H..Behind Organizational Slack and Firm Performance in China:The Moderating Roles of Ownership and Competitive Intensity.Asia Pacific Journal of Management,2009,26(4):701-717.
[49]Jia,N..Are Collective Political Actions and Private Political Actions Substitutes or Complements?Empirical Evidence from China`s Private Sector.Strategic Management Journal,2014,35(2):292-315.
[50]Sun,P.,Hu,H.W.,Hillman,A.J..The Dark Side of Board Political Capital:Enabling Blockholder Rent Appropriation.Academy of Management Journal,2016,59(5):1801-1822.
[51]Du,X.,Luo,J.h..Political Connections,Home Formal Institutions,and Internationalization:Evidence from China.Management and Organization Review,2016,12(1):103-133.
[52]Yang,H.,Ru,J.,Ren,T..Ownership and M&A Performance in a Transitional Economy:The Case of the Chinese Real Estate Industry.Management and Organization Review,2015,11(4):715-737.
[53]He,Z.,Tong,T.,He,W.,Zhang,Y.,Lu,J..Chinese Patent Database User Documentation:Matching SIPO Patents to Chinese Publicly-Listed Companies and Subsidiaries[EB/OL];https://docs.google.com/file/d/0B3aYSKx9DasbWE1LdTBVdDAwTWM/edit?pli=1.
[54]He,Z.L.,Tong,T.W.,Zhang,Y.,He,W..Constructing a Chinese Patent Database of Listed Firms in China:Descriptions,Lessons,and Insights.Journal of Economics&Management Strategy,2018,27(3):579-606.
[55]Hall,B.H.,Jaffe,A.B.,Trajtenberg,M..The NBER Patent Citation Data File:Lessons,Insights and Methodological Tools.National Bureau of Economic Research,2001.
[56]Levenshtein,V.I..Binary Codes Capable of Correcting Deletions,Insertions,and Reversals.Soviet Physics Doklady,1966,10(8):707-710.
[57]黎文靖,郑曼妮.实质性创新还是策略性创新?宏观产业政策对微观企业创新的影响.经济研究,2016,(4):60-73.
[58]Huang,C..Recent Development of the Intellectual Property Rights System in China and Challenges Ahead.Management and Organization Review,2017,13(1):39-48.
[59]Wang,H.,Qian,C..Corporate Philanthropy and Corporate Financial Performance:The Roles of Stakeholder Response and Political Access.Academy of Management Journal,2011,54(6):1159-1181.
[60]Zhang,Y.,Qu,H..The Impact of CEO Succession with Gender Change on Firm Performance and Successor Early Departure:Evidence from China`s Publicly Listed Companies in 1997-2010.Academy of Management Journal,2016,59(5):1845-1868.
[61]Voss,G.B.,Sirdeshmukh,D.,Voss,Z.G..The Effects of Slack Resources and Environmental Threat on Product Exploration and Exploitation.Academy of Management Journal,2008,51(1):147-164.
[62]樊纲,王小鲁,朱恒鹏.中国市场指数--各省区市场化相对进程2011年度报告.经济科学出版社,2011.
[63]Wooldridge,J.M..Econometric Analysis of Cross Section and Panel Data:MIT Press,2010.
[64]Cameron,A.C.,Trivedi,P.K..Microeconometrics:Methods and Applications:Cambridge University Press,2005.
[65]Greene,W.H..Econometric Analysis.Boston,MA:Prentice Hall,2008.
[66]Li,P.P.,Leung,K.,Chen,C.C.,Luo,J.D..Indigenous Research on Chinese Management:What and How.Management and Organization Review,2012,8(1):7-24.
[67]Tsui,A.S..Contributing to Global Management Knowledge:ACase for High Quality Indigenous Research.Asia Pacific Journal of Management,2004,21(4):491-513.
[68]Choi,S.B.,Lee,S.H.,Williams,C..Ownership and Firm Innovation in a Transition Economy:Evidence from China.Research Policy,2011,40(3):441-452.
[69]Guan,J.C.,Richard,C.,Tang,E.P.,Lau,A.K..Innovation Strategy and Performance during Economic Transition:Evidences in Beijing,China.Research Policy,2009,38(5):802-812.
(1)他们构建该数据库是希望该数据库被广泛使用,[54]以此“鼓励更多的中国专利研究,促进对中国创新全景的理解”,[55]从而对中国的创新研究做出贡献,为创新研究提供很好的数据平台。事实上,Hall[55]在其个人主页(https://eml.berkeley.edu/~bhhall/patents.html)分享了该数据库的链接,以促进对该数据的全球广泛使用。
(2)黎文靖等[57]曾提出一个与本文象征性创新相类似的概念:策略性创新,并采用实用新型和外观设计专利的申请数量来衡量(同时采用发明专利申请数量来衡量实质性创新)。根据本文在开展定量研究之前的访谈,这种简单的衡量方法可能难以刻画象征性创新的内涵。业内人士告诉我们,政府通常并非简单采用总的专利数量来评价企业创新绩效,而是更加关注和重视发明专利的数量。比如对高新技术企业认定以及企业技术中心级别等的评价都会涉及发明专利数量的考量。因而,企业为了满足政府的要求,在发明专利中也存在大量的象征性活动。本研究采用发明专利来衡量象征性创新,一方面符合创新研究文献的规范做法,[22]另一方面也是对象征性创新更加保守的估计,基于该衡量的结论也相对更加稳健。
[2]Schumpeter,J.A..The Theory of Economic Development:An Inquiry into Profits,Capital,Credit,Interest,and the Business Cycle.Cambridge,MA:Harvard University Press,1934.
[3]Hsu,D.H.,Ziedonis,R.H..Resources as Dual Sources of Advantage:Implications for Valuing Entrepreneurial-firm Patents.Strategic Management Journal,2013,34(7):761-781.
[4]Eberhardt,M.,Helmers,C.,Yu,Z..Is the Dragon Learning to Fly?An Analysis of the Chinese Patent Explosion.The Economist,2010,(4):1-32.
[5]Li,X..Behind the Recent Surge of Chinese Patenting:An Institutional View.Research Policy,2012,41(1):236-249.
[6]Young,M.N.,Tsai,T.,Wang,X.,Liu,S.,Ahlstrom,D..Strategy in Emerging Economies and the Theory of the Firm.Asia Pacific Journal of Management,2014,31(2):331-354.
[7]Zhao,M..Conducting R&D in Countries with Weak Intellectual Property Rights Protection.Management Science,2006,52(8):1185-1199.
[8]Liefner,I.,Kroll,H.,Peighambari,A..Research-driven or Party-promoted?Factors Affecting Patent Applications of Private Small and Medium-sized Enterprises in China`s Pearl River Delta.Science and Public Policy,2016,43(6):849-858.
[9]He,Y.,Tian,Z..Government-oriented Corporate Public Relation Strategies in Transitional China.Management and Organization Review,2008,4(3):367-391.
[10]Hillman,A.J.,Withers,M.C.,Collins,B.J..Resource Dependence Theory:A Review.Journal of Management,2009,35(6):1404-1427.
[11]Zheng,W.,Singh,K.,Mitchell,W..Buffering and Enabling:The Impact of Interlocking Political Ties on Firm Survival and Sales Growth.Strategic Management Journal,2015,36(11):1615-1636.
[12]Zott,C.,Huy,Q.N..How Entrepreneurs Use Symbolic Management to Acquire Resources.Administrative Science Quarterly,2007,52(1):70-105.
[13]Pfeffer,J..Management as Symbolic Action:The Creation and Maintenance of Organizational Paradigms.In Cummings,L.,Staw,B.(Eds.).Research in Organizational Behavior,1981,(3):1-52.Greenwich:JAI Press.
[14]Markóczy,L.,Li Sun,S.,Peng,M.W.,Shi,W.,Ren,B..Social Network Contingency,Symbolic Management,and Boundary Stretching.Strategic Management Journal,2013,34(11):1367-1387.
[15]Clarke,J..Revitalizing Entrepreneurship:How Visual Symbols are Used in Entrepreneurial Performances.Journal of Management Studies,2011,48(6):1365-1391.
[16]Christmann,P.,Taylor,G..Firm Self-regulation through International Certifiable Standards:Determinants of Symbolic Versus Substantive Implementation.Journal of International Business Studies,2006,37(6):863-878.
[17]Delmas,M.A.,Montes-Sancho,M.J..Voluntary Agreements to Improve Environmental Quality:Symbolic and Substantive Cooperation.Strategic Management Journal,2010,31(6):575-601.
[18]Short,J.L.,Toffel,M.W..Making Self-regulation More than Merely Symbolic:The Critical Role of the Legal Environment.Administrative Science Quarterly,2010,55(3):361-396.
[19]Stevens,J.M.,Kevin,S.H.,Harrison,D.A.,Cochran,P.L..Symbolic or Substantive Document?The Influence of Ethics Codes on Financial Executives`Decisions.Strategic Management Journal,2005,26(2):181-195.
[20]Westphal,J.D.,Zajac,E.J..The Symbolic Management of Stockholders:Corporate Governance Reforms and Shareholder Reactions.Administrative Science Quarterly,1998,43(1):127-153.
[21]Davis,G.F.,Adam Cobb,J..2010.Chapter 2 Resource Dependence Theory:Past and Future,Stanford`s Organization Theory Renaissance,1970-2000:21-42:Emerald Group Publishing Limited.
[22]Zhou,K.Z.,Gao,G.Y.,Zhao,H..State Ownership and Firm Innovation in China:An Integrated View of Institutional and Efficiency Logics.Administrative Science Quarterly,2017,62(2):375-404.
[23]Gao,G.Y.,Murray,J.Y.,Kotabe,M.,Lu,J..A“Strategy Tripod”Perspective on Export Behaviors:Evidence from Domestic and Foreign Firms Based in an Emerging Economy.Journal of International Business Studies,2010,41(3):377-396.
[24]Chen,V.Z.,Li,J.,Shapiro,D.M.,Zhang,X..Ownership Structure and Innovation:An Emerging Market Perspective.Asia Pacific Journal of Management,2014,31(1):1-24.
[25]Luo,Y..Industrial Dynamics and Managerial Networking in an Emerging Market:The Case of China.Strategic Management Journal,2003,24(13):1315-1327.
[26]Marquis,C.,Qian,C..Corporate Social Responsibility Reporting in China:Symbol or Substance?Organization Science,2014,25(1):127-148.
[27]Baysinger,B.D..Domain Maintenance as an Objective of Business Political Activity:An Expanded Typology.Academy of Management Review,1984,9(2):248-258.
[28]Hillman,A.J.,Keim,G.D.,Schuler,D..Corporate Political Activity:A Review and Research Agenda.Journal of Management,2004,30(6):837-857.
[29]Oliver,C.,Holzinger,I..The Effectiveness of Strategic Political Management:A Dynamic Capabilities Framework.Academy of Management Review,2008,33(2):496-520.
[30]Luo,Y.,Junkunc,M..How Private Enterprises Respond to Government Bureaucracy in Emerging Economies:The Effects of Entrepreneurial Type and Governance.Strategic Entrepreneurship Journal,2008,2(2):133-153.
[31]Birnbaum,P.H..Political Strategies of Regulated Organizations as Functions of Context and Fear.Strategic Management Journal,1985,6(2):135-150.
[32]Hillman,A.J.,Hitt,M.A..Corporate Political Strategy Formulation:A Model of Approach,Participation,and Strategy Decisions.Academy of Management Review,1999,24(4):825-842.
[33]Meznar,M.B.,Nigh,D..Buffer or Bridge?Environmental and Organizational Determinants of Public Affairs Activities in American Firms.Academy of Management Journal,1995,38(4):975-996.
[34]Fischer,W.A.,Von Zedtwitz,M..Chinese R&D:Naissance,Renaissance,or Mirage?R&D Management,2004,34(4):349-365.
[35]Yang,J.,Liu,H.,Gao,S.,Li,Y..Technological Innovation of Firms in China:Past,Present,and Future.Asia Pacific Journal of Management,2012,29(3):819-840.
[36]Peng,M.W.,Tan,J.,Tong,T.W..Ownership Types and Strategic Groups in an Emerging Economy.Journal of Management Studies,2004,41(7):1105-1129.
[37]Walsh,I.J.,Bhatt,M.,Bartunek,J.M..Organizational Knowledge Creation in the Chinese Context.Management and Organization Review,2015,5(2):261-278.
[38]Peng,M.W.,Luo,Y.D..Managerial Ties and Firm Performance in a Transition Economy:The Nature of a Micro-macro Link.Academy of Management Journal,2000,43(3):486-501.
[39]Schuler,D.A..Corporate Political Strategy and Foreign Competition:The Case of the Steel Industry.Academy of Management Journal,1996,39(3):720-737.
[40]Schuler,D.A.,Rehbein,K.,Cramer,R.D..Pursuing Strategic Advantage through Political Means:A Multivariate Approach.Academy of Management Journal,2002,45(4):659-672.
[41]Bode,C.,Wagner,S.M.,Petersen,K.J.,Ellram,L.M..Understanding Responses to Supply Chain Disruptions:Insights from Information Processing and Resource Dependence Perspectives.Academy of Management Journal,2011,54(4):833-856.
[42]Bourgeois,L.J..On the Measurement of Organizational Slack.Academy of Management Review,1981,6(1):29-39.
[43]Cheng,J.L.C.,Kesner,I.F..Organizational Slack and Response to Environmental Shifts:The Impact of Resource Allocation Patterns.Journal of Management,1997,23(1):1-18.
[44]George,G..Slack Resources and the Performance of Privately Held Firms.Academy of Management Journal,2005,48(4):661-676.
[45]Kraatz,M.S.,Zajac,E.J..How Organizational Resources Affect Strategic Change and Performance in Turbulent Environments:Theory and Evidence.Organization Science,2001,12(5):632-657.
[46]Kornai,J.,Maskin,E.,Roland,G..Understanding the Soft Budget Constraint.Journal of Economic Literature,2003,41(4):1095-1136.
[47]Stan,C.V.,Peng,M.W.,Bruton,G.D..Slack and the Performance of State-owned Enterprises.Asia Pacific Journal of Management,2014,31(2):473-495.
[48]Ju,M.,Zhao,H..Behind Organizational Slack and Firm Performance in China:The Moderating Roles of Ownership and Competitive Intensity.Asia Pacific Journal of Management,2009,26(4):701-717.
[49]Jia,N..Are Collective Political Actions and Private Political Actions Substitutes or Complements?Empirical Evidence from China`s Private Sector.Strategic Management Journal,2014,35(2):292-315.
[50]Sun,P.,Hu,H.W.,Hillman,A.J..The Dark Side of Board Political Capital:Enabling Blockholder Rent Appropriation.Academy of Management Journal,2016,59(5):1801-1822.
[51]Du,X.,Luo,J.h..Political Connections,Home Formal Institutions,and Internationalization:Evidence from China.Management and Organization Review,2016,12(1):103-133.
[52]Yang,H.,Ru,J.,Ren,T..Ownership and M&A Performance in a Transitional Economy:The Case of the Chinese Real Estate Industry.Management and Organization Review,2015,11(4):715-737.
[53]He,Z.,Tong,T.,He,W.,Zhang,Y.,Lu,J..Chinese Patent Database User Documentation:Matching SIPO Patents to Chinese Publicly-Listed Companies and Subsidiaries[EB/OL];https://docs.google.com/file/d/0B3aYSKx9DasbWE1LdTBVdDAwTWM/edit?pli=1.
[54]He,Z.L.,Tong,T.W.,Zhang,Y.,He,W..Constructing a Chinese Patent Database of Listed Firms in China:Descriptions,Lessons,and Insights.Journal of Economics&Management Strategy,2018,27(3):579-606.
[55]Hall,B.H.,Jaffe,A.B.,Trajtenberg,M..The NBER Patent Citation Data File:Lessons,Insights and Methodological Tools.National Bureau of Economic Research,2001.
[56]Levenshtein,V.I..Binary Codes Capable of Correcting Deletions,Insertions,and Reversals.Soviet Physics Doklady,1966,10(8):707-710.
[57]黎文靖,郑曼妮.实质性创新还是策略性创新?宏观产业政策对微观企业创新的影响.经济研究,2016,(4):60-73.
[58]Huang,C..Recent Development of the Intellectual Property Rights System in China and Challenges Ahead.Management and Organization Review,2017,13(1):39-48.
[59]Wang,H.,Qian,C..Corporate Philanthropy and Corporate Financial Performance:The Roles of Stakeholder Response and Political Access.Academy of Management Journal,2011,54(6):1159-1181.
[60]Zhang,Y.,Qu,H..The Impact of CEO Succession with Gender Change on Firm Performance and Successor Early Departure:Evidence from China`s Publicly Listed Companies in 1997-2010.Academy of Management Journal,2016,59(5):1845-1868.
[61]Voss,G.B.,Sirdeshmukh,D.,Voss,Z.G..The Effects of Slack Resources and Environmental Threat on Product Exploration and Exploitation.Academy of Management Journal,2008,51(1):147-164.
[62]樊纲,王小鲁,朱恒鹏.中国市场指数--各省区市场化相对进程2011年度报告.经济科学出版社,2011.
[63]Wooldridge,J.M..Econometric Analysis of Cross Section and Panel Data:MIT Press,2010.
[64]Cameron,A.C.,Trivedi,P.K..Microeconometrics:Methods and Applications:Cambridge University Press,2005.
[65]Greene,W.H..Econometric Analysis.Boston,MA:Prentice Hall,2008.
[66]Li,P.P.,Leung,K.,Chen,C.C.,Luo,J.D..Indigenous Research on Chinese Management:What and How.Management and Organization Review,2012,8(1):7-24.
[67]Tsui,A.S..Contributing to Global Management Knowledge:ACase for High Quality Indigenous Research.Asia Pacific Journal of Management,2004,21(4):491-513.
[68]Choi,S.B.,Lee,S.H.,Williams,C..Ownership and Firm Innovation in a Transition Economy:Evidence from China.Research Policy,2011,40(3):441-452.
[69]Guan,J.C.,Richard,C.,Tang,E.P.,Lau,A.K..Innovation Strategy and Performance during Economic Transition:Evidences in Beijing,China.Research Policy,2009,38(5):802-812.
(1)他们构建该数据库是希望该数据库被广泛使用,[54]以此“鼓励更多的中国专利研究,促进对中国创新全景的理解”,[55]从而对中国的创新研究做出贡献,为创新研究提供很好的数据平台。事实上,Hall[55]在其个人主页(https://eml.berkeley.edu/~bhhall/patents.html)分享了该数据库的链接,以促进对该数据的全球广泛使用。
(2)黎文靖等[57]曾提出一个与本文象征性创新相类似的概念:策略性创新,并采用实用新型和外观设计专利的申请数量来衡量(同时采用发明专利申请数量来衡量实质性创新)。根据本文在开展定量研究之前的访谈,这种简单的衡量方法可能难以刻画象征性创新的内涵。业内人士告诉我们,政府通常并非简单采用总的专利数量来评价企业创新绩效,而是更加关注和重视发明专利的数量。比如对高新技术企业认定以及企业技术中心级别等的评价都会涉及发明专利数量的考量。因而,企业为了满足政府的要求,在发明专利中也存在大量的象征性活动。本研究采用发明专利来衡量象征性创新,一方面符合创新研究文献的规范做法,[22]另一方面也是对象征性创新更加保守的估计,基于该衡量的结论也相对更加稳健。