外部知识源化、非研发创新与专利产出——以高技术产业为例
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摘要
相比传统的自主研发创新、内部研发,开放式创新条件下寻求外部知识源化,重视非研发创新途径是有效的创新转型策略。基于中国高技术产业2009-2014年省际面板数据,系统分析了高技术产业外部知识源化和非研发创新路径特征、地区异质性和发展趋势,实证考察了其对专利产出的影响机理。研究结果显示:东部地区高技术产业开展外部源化、非研发创新活动的经费远高于中西部地区,而西部地区以及东北地区高技术产业外部研发支出和非研发创新投入比重要高于东部地区和中部地区,地区异质性显著,空间分布活动存在差异;高技术产业通过外部知识源化和非研发创新整体上对专利产出产生了显著的正向影响,需要引起足够的重视和利用;而现阶段中国高技术产业外部知识源化、非研发创新与内部研发之间的协同驱动效应呈现出不显著或微弱的负向作用,多样化有效创新路径正向协同效应没有得到充分发挥。研究为高技术产业优化创新资源配置、探索独特、有效的多样化创新路径提供了有效借鉴和参考。
Compared to the traditional independent R&D and internal R&D,seeking the approach of the external knowledge sourcing and non-R&D innovation is an effective innovation transformation strategy under the condition of open innovation. Based on China's high-tech industry provincial panel data during 2009-2014,this paper analysis the characteristics,regional heterogeneity and development trend of the external knowledge sourcing and non-R&D innovation path and empirical research its impact mechanism on the patent output. The results show that: the funds of the eastern region to carry out external sourcing,non-R&D activities is much higher than the central and western regions,while the proportion of the external knowledge sourcing and non-R&D innovation investments in the western region and the northeast region is higher than that in the eastern and central regions,and the regional heterogeneity is significant. High-tech industry has a significant positive impact on patent output through the external knowledge sourcing and non-R&D innovation,which needs to be paid enough attention and utilization. And the cooperative driving effect between the external knowledge sourcing,non-R&D and internal R&D showing no significant or weak negative effect and the positive synergy effect of diversified innovation path is not fully played at this stage in China. The study provides an effective reference for optimizing the allocation of innovation resources and exploring the unique and effective way to diversify innovation of high-tech industry.
Compared to the traditional independent R&D and internal R&D,seeking the approach of the external knowledge sourcing and non-R&D innovation is an effective innovation transformation strategy under the condition of open innovation. Based on China's high-tech industry provincial panel data during 2009-2014,this paper analysis the characteristics,regional heterogeneity and development trend of the external knowledge sourcing and non-R&D innovation path and empirical research its impact mechanism on the patent output. The results show that: the funds of the eastern region to carry out external sourcing,non-R&D activities is much higher than the central and western regions,while the proportion of the external knowledge sourcing and non-R&D innovation investments in the western region and the northeast region is higher than that in the eastern and central regions,and the regional heterogeneity is significant. High-tech industry has a significant positive impact on patent output through the external knowledge sourcing and non-R&D innovation,which needs to be paid enough attention and utilization. And the cooperative driving effect between the external knowledge sourcing,non-R&D and internal R&D showing no significant or weak negative effect and the positive synergy effect of diversified innovation path is not fully played at this stage in China. The study provides an effective reference for optimizing the allocation of innovation resources and exploring the unique and effective way to diversify innovation of high-tech industry.
引文
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[16]李柏洲,周森.科研院所创新行为与区域创新绩效间关系研究[J].科学学与科学技术管理,2015,36(1):75-87.
[17]孙林杰,康荣,王静静.开放式创新视域下民营企业技术能力的发展演进[J].科学学研究,2016,(2):253-259.
[18]王涛.新产品合作研发战略与创业型企业创新绩效研究[J].山东大学学报(哲学社会科学版),2012,(3):60-66.
[19]陈劲,吴波.开放式创新下企业开放度与外部关键资源获取[J].科研管理,2012,33(9):10-21.
[20]Hervas-Oliver J L,Albors Garrigos J,Gil-Pechuan I.Making sense of innovation by R&D and Non-R&D innovators in low technology contexts:A forgotten lesson for policymakers[J].Technovation,2011,31(9):427-446.
[21]Huang C,Arundel A,Hollanders H.How firms innovate:R&D,non-R&D,and technology adoption[R].UNU-MERIT Working Paper,2010.
[22]曹勇,苏凤娇.高技术产业技术创新投入对创新绩效影响的实证研究——基于全产业及其下属五大行业面板数据的比较分析[J].科研管理,2012,33(9):22
[23]郑刚,刘仿,徐峰,等.非研发创新:被忽视的中小企业创新另一面[J].科学学与科学技术管理,2014,35(1):140-146.
[24]马军杰,卢锐,刘春彦.中国专利产出绩效的空间计量经济分析[J].科研管理,2013,34(6):99-105.
[25]Griliches Z.Issues in assessing the contribution of R&D to productivity growth[J].Bell Journal of Economics,1979,10(1):92-116.
[26]Jaffe A.Real effects of academic research[J].The American Economic Review,1989,79(5):957-970.
[27]Arrow K J.Economic Welfare and the Allocation of Resources for Invention[M].Princeton:Princeton University Press,1962:609-625.
[28]Guan J,Chen K.Measuring the innovation production process:A cross-region empirical study of China's high-tech innovations[J].Technovation,2010,30(5/6):348-358.
[29]刘克寅,宣勇,池仁勇.企业内外部R&D战略的互补性与替代性研究——基于中国大中型工业企业的行业数据分析[J].研究与发展管理,2015,(6):1-9.
[30]付敬,朱桂龙.知识源化战略、吸收能力对企业创新绩效产出的影响研究[J].科研管理,2014,35(3):25-34.
[31]Driscoll C,Kraay A.Consistent covariance matrix estimation with spatially dependent panel data[J].Review of Economics and Statistics,1998,80(4):549-560.
[32]Keupp M,Gassmann O.Determinants and archetype users of open innovation[J].R&D Management,2009,39(4):331-341.
[2]Chesbrough H,Vanhaverbeke W,West J.Open Innovation:Researching a New Paradigm[M].Oxford University Press,2006.
[3]Lin B W,Wu C H.How does knowledge depth moderate the performance of internal and external knowledge sourcing strategies?[J].Technovation,2010,30:582-589.
[4]Alberto Di Minin,Federico Frattini,Andrea Piccaluga.Fiat:Open innovation in a downturn(1993-2003)[J].California Management Review,2010,52(3):132-159.
[5]高良谋,马文甲.开放式创新:内涵、框架与中国情境[J].管理世界,2014,(6):157-169.
[6]谢子远,黄文军.非研发创新支出对高技术产业创新绩效的影响研究[J].科研管理,2015,36(10):1-10.
[7]Arundel A,Bordoy C,Kanerva M.Neglected Innovators:How do Innovative Firms That do not Perform R&D Innovate?Results of an Analysis of the Innobarometer2007 Survey No.215[R].Brussels:European Commission,INNO-Metrics Thematic Paper,2008.
[8]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.
[9]Barge-Gil A,Nieto M J,Santamaría L.Hidden innovators:The role of non-R&D activities[J].Technology Analysis&Strategic Management,2011,23(4):415-432.
[10]Todtling F,Lehner P,Kaufmann A.Do different types of innovation rely on specific kinds of knowledge interactions?[J].Technovation,2009,29(1):59-71.
[11]Yamakawa Y,Yang H,Lin Z.Exploration versus exploitation in alliance portfolio:Performance implications of organizational,strategic,and environmental fit[J].Research Policy,2011,40(2):287-296.
[12]Yeoh P L.Realized and potential absorptive capacity:Understanding their antecedents and performance in the sourcing context[J].The Journal of Marketing Theory and Practice,2009,17(1):21-36.
[13]Berchicci L.Towards and open R&D system:Internal R&D investment,external knowledge acquisition and innovative performance[J].Research Policy,2013,(42):117-127.
[14]De Man A P,Duysters G.Collaboration and innovation:A review of the effects of mergers,acquisitions and alliances on innovation[J].Technovation,2005,25(12):1377-1387.
[15]张文红,赵亚普,陈爱玲.外部研发机构联系能否提升企业创新?——跨界搜索的中介作用[J].科学学研究,2014,32(2):289-296.
[16]李柏洲,周森.科研院所创新行为与区域创新绩效间关系研究[J].科学学与科学技术管理,2015,36(1):75-87.
[17]孙林杰,康荣,王静静.开放式创新视域下民营企业技术能力的发展演进[J].科学学研究,2016,(2):253-259.
[18]王涛.新产品合作研发战略与创业型企业创新绩效研究[J].山东大学学报(哲学社会科学版),2012,(3):60-66.
[19]陈劲,吴波.开放式创新下企业开放度与外部关键资源获取[J].科研管理,2012,33(9):10-21.
[20]Hervas-Oliver J L,Albors Garrigos J,Gil-Pechuan I.Making sense of innovation by R&D and Non-R&D innovators in low technology contexts:A forgotten lesson for policymakers[J].Technovation,2011,31(9):427-446.
[21]Huang C,Arundel A,Hollanders H.How firms innovate:R&D,non-R&D,and technology adoption[R].UNU-MERIT Working Paper,2010.
[22]曹勇,苏凤娇.高技术产业技术创新投入对创新绩效影响的实证研究——基于全产业及其下属五大行业面板数据的比较分析[J].科研管理,2012,33(9):22
[23]郑刚,刘仿,徐峰,等.非研发创新:被忽视的中小企业创新另一面[J].科学学与科学技术管理,2014,35(1):140-146.
[24]马军杰,卢锐,刘春彦.中国专利产出绩效的空间计量经济分析[J].科研管理,2013,34(6):99-105.
[25]Griliches Z.Issues in assessing the contribution of R&D to productivity growth[J].Bell Journal of Economics,1979,10(1):92-116.
[26]Jaffe A.Real effects of academic research[J].The American Economic Review,1989,79(5):957-970.
[27]Arrow K J.Economic Welfare and the Allocation of Resources for Invention[M].Princeton:Princeton University Press,1962:609-625.
[28]Guan J,Chen K.Measuring the innovation production process:A cross-region empirical study of China's high-tech innovations[J].Technovation,2010,30(5/6):348-358.
[29]刘克寅,宣勇,池仁勇.企业内外部R&D战略的互补性与替代性研究——基于中国大中型工业企业的行业数据分析[J].研究与发展管理,2015,(6):1-9.
[30]付敬,朱桂龙.知识源化战略、吸收能力对企业创新绩效产出的影响研究[J].科研管理,2014,35(3):25-34.
[31]Driscoll C,Kraay A.Consistent covariance matrix estimation with spatially dependent panel data[J].Review of Economics and Statistics,1998,80(4):549-560.
[32]Keupp M,Gassmann O.Determinants and archetype users of open innovation[J].R&D Management,2009,39(4):331-341.