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论文编号：	13631
作者编号：	1120180943
上传时间：	2022/12/5 12:35:24
中文题目：	新兴市场国家企业声誉、时序性创新战略与创新绩效
英文题目：	Corporate Reputation, Sequential Innovation Strategy and Innovation Performance of Emerging Market Enterprises
指导老师：	周楠
中文关键字：	同时创新战略；顺序创新战略；企业声誉；冗余资源；知识重组能力
英文关键字：	Simultaneous innovation strategy; sequential innovation strategy; corporate reputation; redundant resources; knowledge reorganization ability
中文摘要：	创新是国家和企业发展的驱动力。近年来，新兴市场的创新发展迅猛，逐步赶超发达国家。虽然新兴市场国家的企业，尤其是中国企业，在专利申请创新方面已经赶超发达国家企业，但是其他创新软实力仍然需要努力。在一个充满活力的世界中，创新成为企业发展的必要选择。内部研发和外部技术获取是企业提升创新绩效的两种主要途径。但是自研还是购买是企业在提升技术创新过程中所面临的实际问题。不同的企业可能选择不同的创新路径。技术的自研和外购之间并不矛盾，可以通过协调实现“两条腿走路”。新兴市场国家企业的创新能力和绩效的提升方式有别于传统发达国家企业。来自新兴市场的企业大多处于初期发展阶段，企业规模发展有限，自身资源和技术基础相对薄弱，这类企业在内部研发和外部技术获取两种创新途径之间需要进行时间上的合理安排。如何将有限的资源分配到两种创新活动中，同时还是顺序开展不同的创新活动，是对于资源积累较为薄弱的新兴市场国家企业必须要面临的现实选择。 目前针对内部研发和外部技术获取的研究更多集中于两者互补或替代的关系以及其对创新绩效的影响差异，却缺乏从动态角度关注两种创新活动之间的时序性选择问题。随着开放式创新模式得到了广泛认可，内部研发和外部技术获取两者对于创新的重要性得以体现，但是并非创新活动的“二选一”而是合理的时间安排更应该成为重点研究的主题。同时，较少有研究将企业声誉和企业创新战略选择相关联，并探讨不同类别声誉的作用。此外，基于资源基础观的研究多关注声誉或冗余资源对企业发展的积极影响，缺乏资源对企业决策和高管注意力的负担和约束等方面的反思。在已有文献中，尤其是国内相关文献，创新战略划分、企业声誉和知识重组能力等方面的研究多以案例定性研究方法以及少量问卷调查方法进行了相关研究。 鉴于此，本研究基于资源基础观和知识基础观，从动态视角下分析内部研发和外部技术获取之间的平衡与取舍，划分同时创新战略和顺序创新战略类型，基于资源、时机和动态能力维度，构建企业声誉、时序性创新战略以及创新绩效的研究框架，利用2008年至2018年中国A股上市公司数据，实证探讨了不同类型的企业声誉对时序性创新战略选择的影响及冗余资源在其中的作用机制，并进一步探究时序性创新战略对企业创新绩效的影响以及知识重组能力在其中的作用机制。本文的研究发现主要包括：（1）不同的声誉类型对于创新战略的选择具有差异。拥有良好能力声誉的企业更有可能选择同时创新战略但不适合选择顺序创新战略，而拥有良好道德声誉的企业则更有可能选择顺序创新战略而不适合选择同时创新战略。（2）冗余资源在声誉和创新战略之间具有调节作用。当企业冗余资源越多时，道德声誉与同时创新战略的负向关系得到缓解，而能力声誉对顺序创新战略的负向关系得到加强。（3）不同类型的时序性创新战略对企业创新绩效的影响具有差异。对于新兴市场国家企业，同时创新战略并不利于企业创新绩效的提升，而顺序创新战略能够推动企业创新绩效的提升。（4）知识重组能力在创新战略和创新绩效之间具有调节作用。知识重组能力减弱了顺序战略与创新绩效的正面效应。 本研究的理论贡献和创新点包括：第一，通过研究两种创新活动的同时性和顺序性对企业创新绩效的影响，扩展了内部研发和外部技术获取关系研究的时间边界，丰富了企业内外部知识来源战略选择问题的动态研究视角。第二，通过将时序性创新战略、企业声誉、冗余资源和知识重组能力整合到统一的研究分析中，深化了创新关于“资源、时机和动态能力”的三个主要影响因素的研究框架。第三，基于声誉的不同类别，讨论能力声誉和道德声誉为企业带来的资源和压力，进而影响企业的战略选择，丰富了企业声誉在知识获取和创新战略领域的研究。第四，在明确新兴市场国家企业面对的资源短缺和制度环境薄弱背景下，讨论企业时序性创新战略选择问题，厘清关键概念的定量衡量，扩展了新兴市场国家企业创新战略选择的实证研究，为企业创新战略选择提供了数据支持。 本研究通过文献梳理和实证研究的方法获得了稳健的研究结论，具体的研究步骤和章节安排为：第一章明确了对新兴市场国家时序性创新战略研究的必要性和重要性。第二章系统梳理了相关文献。第三章明确界定了研究中的核心概念，并构建了整体的研究框架。第四章理论推导战略选择前因的相关理论假设，并实证检验了相关假设。第五章构建战略选择与创新绩效的相关理论假设，实证模型对假设进行了检验。第六章归纳研究结论，提出研究局限和未来研发方向。
英文摘要：	Innovation is the driving force for the development of countries and enterprises. In recent years, the innovation of emerging markets has developed rapidly , gradually catching up with developed countries. Although Emerging Market Enterprises（EMEs）, especially Chinese enterprises, have overtaken enterprises in developed countries in terms of patent application, they still need to work hard in other soft power of innovation. In a dynamic world, innovation has become a necessary choice for enterprise development. Internal R&D and external technology acquisition are two main ways for enterprises to improve innovation performance. However, the choice between internal R&D and external technology acquisition is a practical problem faced by EMEs in the process of technological innovation. Different enterprises may choose different innovation paths. Internal R&D and external technology acquisition can be coordinated to achieve a “two-legged walk”. The innovation capability and performance improvement of EMEs are different from those in traditional developed countries. Most of EMEs are in the initial stage of development, with limited scale development and relatively weak resources and technical foundations. EMEs need to make reasonable arrangements in terms of time between internal R&D and external technology acquisition. How to allocate limited resources between two innovation activities? This is a realistic choice that EMEs must face. Research on internal R&D and external technology acquisition focuses more on the complementary or alternative relationship and the difference of their impact on innovation performance, but lacks the attention on the sequential selection between the two kinds of innovation activities from a dynamic perspective. As open innovation has been widely recognized, the separate importance of internal R&D and external technology acquisition has been reflected. However, simultaneous or sequential strategic arrangements based on a time perspective should be the focus of research. At the same time, some studies have linked corporate reputation with innovation strategy choices, and explored the role of different types of reputation. In addition, researches based on the resource-based view mostly focus on the positive impact of resources, but lack reflection on the burden and constraints of resources on enterprise decision-making and executives’ attention. In the existing literature, the researches on corporate reputation and knowledge reorganization ability are mostly carried out by the qualitative research methods and a few questionnaire survey methods. In view of this, based on the resource-based view and the knowledge-based view, this research analyzes the balance and trade-off between internal R&D and external technology acquisition from a dynamic perspective, divides the types of simultaneous innovation strategies and sequential innovation strategies, and constructs a research framework for corporate reputation, sequential innovation strategy and innovation performance based on resource, timing and dynamic capability dimensions. Based on the data of China’s A-share listed companies from 2008 to 2018, this research empirically explores the impact of different types of corporate reputation on the choice of sequential innovation strategies and the mechanism of redundant resources, and further explores the impact of the influence of innovation performance and the mechanism of knowledge reorganization ability. The main findings include: (1)Different reputation types have different influence on the choice of innovation strategies. Enterprises with good competence reputation are more likely to choose simultaneous innovation strategy but not suitable for sequential innovation strategy, while enterprises with good moral reputation are more likely to choose sequential innovation strategy but not suitable for simultaneous innovation strategy. (2)Redundant resources play a moderating role between reputation and innovation strategy. When there are more redundant resources, the negative relationship between moral reputation and simultaneous innovation strategy is mitigated, while the negative relationship between competence reputation and sequential innovation strategy is strengthened. (3)Different types of innovation strategies have different effects on the innovation performance of EMEs. For EMEs, simultaneous innovation strategy is not conducive to the improvement of innovation performance, while sequential innovation strategy can promote the improvement of innovation performance. (4)Knowledge reorganization ability has a moderating effect on innovation strategy and innovation performance. Knowledge reorganization ability weakens the positive effects of sequential strategy and innovation performance. The theoretical contributions and innovations of this research include: Firstly, by exploring the influence of the simultaneity and sequence of two innovation activities on EMEs’ innovation performance, it expands the time boundary of the research on the relationship between internal R&D and external technology acquisition, and enriches the dynamic research perspective on the strategic selection of internal and external knowledge sources. Secondly, this research deepens the research framework of the three main influencing factors of “resources, timing and dynamic capabilities” by integrating the sequential innovation strategy, corporate reputation, redundant resources and knowledge reorganization ability into a unified research analysis. Thirdly, based on the different types of reputation, this research discusses the resources and pressures brought by the competence reputation and moral reputation, which enriches the research of corporate reputation in the field of knowledge acquisition and innovation strategy. Fourthly, under the background of resource shortage and weak institutional environment faced by EMEs, this research discusses the sequential innovation strategy selection, clarifies the quantitative measurement of key concepts, expands the empirical research on innovation strategy selection in EMEs, and provides data support for innovation strategy selection. This research obtains robust research conclusions through literature review and empirical research methods. The specific research steps and chapters are arranged as follows: Chapter1 clarifies the necessity and importance of research on sequential innovation strategies of EMEs. Chapter2 systematically reviews the relevant literature. Chapter3 clearly defines the core concepts in the research and constructs the overall research framework. Chapter4 theoretically deduces the relevant theoretical hypotheses about the antecedents of strategic choice, and empirically tests the relevant hypotheses. Chapter5 deduces the theoretical hypotheses of strategic choice and innovation performance, and empirically tests the relevant hypotheses. Chapter6 summarizes the research conclusions, proposes research limitations, future research and development directions.
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