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企业技术创新投入对技术创新绩效影响研究
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摘要
在知识经济时代的今天,经济活动的全球化加速对企业的技术创新提出了新的挑战,它推动着企业将促进技术创新视为提高竞争力的必然选择。当前,企业与外部环境的边界变得越来越模糊,任何企业都已不可能完全孤立的进行技术创新活动。在这种情况下,传统的封闭式创新模式已经不能满足企业的实践需要,开放式创新逐渐成为企业必然的发展趋势。随着改革开放的不断深入和市场经济的不断完善,我国一些企业为了达到提高产出绩效和市场竞争能力的目的,不断加大研发方面的投入。一些企业甚至认为,研发投入就是技术创新投入,投入越多,其产出绩效的显著性就越高。然而一些企业却由于缺乏控制的一味加大技术创新投入,致使企业创新绩效的下降,甚至造成了企业的倒闭。由此可见,开放式创新环境下的企业技术创新投入是存在风险的,技术创新投入与技术创新绩效之间并不是直接的影响关系,而是存在其它因素对创新投入和创新产出之间产生影响作用。本文提出的问题是,企业的技术创新投入对技术创新绩效的影响作用究竟如何?有哪些因素影响技术创新投入对技术创新绩效的关系?不同行业的技术创新投入对技术创新绩效的影响关系又存在什么差异?
     本文的研究结合技术创新理论、开放式创新理论和吸收能力理论,建立了技术创新投入通过吸收能力和技术创新能力的中介作用对技术创新绩效产生影响作用的研究模型,研究了企业技术创新投入对技术创新绩效的影响作用,以及吸收能力在模型中影响作用的行业差异性。主要的研究内容如下:
     第一章主要分析本文的理论研究背景和现实研究背景,提出本文研究的问题,说明本文研究的理论意义与现实意义,并阐述研究方法和研究内容等。
     第二章在对国内外文献进行阅读和研究的基础上,系统的回顾和总结技术创新理论、开放式创新理论、吸收能力理论的相关研究,构建本文研究的理论基础。
     第三章基于对文献综述和理论分析的基础,提出企业技术创新投入对技术创新绩效影响关系研究模型,对相关概念在本文的研究中进行界定,并提出本文的各个研究假设。
     第四章就问卷设计、数据收集、数据合并有效性以及研究分析方法进行阐述。从问卷调查研究方法方面叙述调查问卷设计的过程,指出问卷调查法的注意事项,提出避免产生偏差的一些可行措施,介绍本研究调查对象的确定和问卷发放及回收过程,通过对样本无差异性检验保证样本的合并有效性,对本研究所采用的分析方法进行阐述。
     第五章首先对变量的测量进行设计,说明对各个变量的测量所采用问项的合理性,根据问卷调查获得的数据对前一章所提出的理论模型中的研究假设进行实证检验。通过将检验结果与预期假设和已有研究结论进行比较分析的方法,按照“创新投入—能力—创新绩效”的研究框架,研究技术创新投入通过吸收能力和技术创新能力对技术创新绩效进行影响的作用机制。
     第六章通过对不同行业类型的数据进行对比分析,研究不同行业的技术创新投入对技术创新绩效的影响关系差异,包括内部研发投入、外部技术购买和合作研发投入对技术创新绩效的不同作用,以及吸收能力在不同行业的技术创新投入模型中的不同作用。
     第七章的结论与展望对本文研究的主要结论进行阐述,总结本文研究的理论贡献、实践意义和主要创新点,并对本研究在理论和方法上存在的局限和不足之处进行了说明,最后对未来研究方向进行了展望。
     运用理论研究与实证研究相结合的方法,本文得出以下主要结论:
     第一,企业的技术创新投入与技术创新绩效之间不存在直接影响关系,而是通过吸收能力和技术创新能力这两个中介变量的作用,间接影响技术创新绩效。通过运用结构方程模型(SEM)分析发现,加入吸收能力和技术创新能力这两个中介变量以后,技术创新投入对技术创新绩效的直接影响关系变得不再显著。这说明了企业的技术创新投入与技术创新绩效之间并无直接的影响关系,而是通过吸收能力和技术创新能力这两个变量的中介作用,间接的影响技术创新绩效。这也说明了不能通过简单的增加技术创新投入来达到增加技术创新绩效的目的,注重技术创新投入与吸收能力和技术创新能力的配合、协调发展,才能够最终达到提高企业技术创新绩效的目标。
     第二,本文验证了吸收能力在企业技术创新活动中的重要作用。研究结果显示出吸收能力对技术创新能力存在显著正向影响关系,同时吸收能力对技术创新绩效存在着显著正向影响关系以及技术创新能力对技术创新绩效存在显著正向影响关系。研究结果显示了技术创新能力对吸收能力和技术创新绩效之间的部分中介作用。由此验证了前人研究中得到的结论,即吸收能力在企业技术创新投入对技术创新绩效影响关系中起到重要作用。
     第三,不同产业类型的企业,其技术创新投入对技术创新绩效的影响作用有所差异,吸收能力在经验驱动型的行业和科技驱动型的行业中,中介作用有所不同。通过不同产业类型的数据对比分析发现,技术创新投入对技术创新绩效的影响作用有所差异。由于经验驱动型产业的创新知识以隐性知识为主导地位,其知识粘性较大,吸收能力的作用较小,因此内部研发投入对技术创新绩效的作用明显大于科技驱动型产业;而科技驱动型产业的创新知识以显性知识为主导地位,其知识粘性较小,吸收能力的作用较大,因此技术购买投入和合作研发投入对技术创新绩效的作用明显大于经验驱动型产业。吸收能力对外部技术获取和技术创新绩效之间的中介作用在科技驱动型产业中,其较在经验驱动型产业中的作用更大。这也导致了不同技术创新投入活动对技术创新绩效的影响作用的行业差异。
     本文的创新点包括以下几个:
     第一,本文首次使用以过程为导向的吸收能力和以结果为导向的技术创新能力同时作为中介变量,构建了技术创新投入对技术创新绩效影响关系模型。该模型的建立在—定程度上解释了技术创新的“投入—产出悖论”现象,指出企业的技术创新投入不是直接影响技术创新绩效,而是通过吸收能力和技术创新能力的中介作用,间接的影响技术创新绩效。
     第二,本文的研究发现了吸收能力和技术创新能力对技术购买投入和技术创新绩效之间影响关系的不同作用。研究结果显示,技术创新投入中的技术购买投入通过吸收能力对技术创新绩效产生间接影响作用;技术购买投入对技术创新能力的直接影响作用不显著,只是通过吸收能力的中介作用对技术创新能力产生间接影响作用,从而对技术创新绩效产生间接影响作用。
     第三,本文的研究发现了吸收能力在不同产业类型的企业中,对技术创新投入和技术创新绩效之间的中介作用存在较为明显的差异。吸收能力在科技驱动型产业中,其对外部技术获取和技术创新绩效之间的中介作用较大;在经验驱动型产业中,其对内部研发投入和技术创新绩效之间的中介作用较大,对外部技术获取和技术创新绩效之间的中介作用较小。
In the knowledge economy of today, the globalization of economic activity accelerate technology innovation, present some new challenges, and it is driving companies to take technological innovation as the inevitable choice to improve their international competitiveness. Currently, the boundary of the enterprise and external environment has become increasingly blurred, any technological innovation activities can not be completely isolated. Under this situation, the traditional close innovation model has not meet the need of practice and open innovation is gradually being accepted by the enterprise. With the further reform and opening and national economic construction of rapid and sustainable development, in order to improve the output performance and market competitiveness, more companies continue to increase R&D investment, some companies even believe that R&D investment is the technological innovation investment of resources, the more they input, the higher they get output performance significantly. However, due to the lack of control, some companies, decline their corporate performance and even cause the collapse because they blindly increase innovation investment, we can see from that enterprise innovation investment is at risk under the open innovation environment. In this paper, we pay more attention to solve the following3problems:(1) what are the effect mechanism of technological innovation investment to technological innovation performance of enterprise?(2) what factors should be emphasized in the relation between technological innovation investment and the technological innovation output performance?(3) what's the difference for technological innovation investment effect technology innovation performance in different types of industries?
     Combined with the theory of technological innovation, the theory of open innovation and absorptive capacity theory, this study, based on the interaction between absorptive capacity and technological innovation capability, builds a relational model on the relation between technological innovation investment and technological innovation performance. The main contents are as follows:
     The chapter1analyzes the research background, research questions, realistic and theoretical significance of the research, and elaborates the contents and methods.
     The chapter2, on the basis of home and abroad literature, systematically retrospects the technology innovation theory, the open innovation theory, absorption capacity theory and research resource theory, summarizes existing research important discovery, theory and research methods problem, clears the entry point of the study and builds the theoretical foundation of this paper.
     The chapter3, based on the basis of literature review and theoretical analysis of chapter2, proposes a technological innovation performance model on the relation between enterprise technical innovation investment and technological innovation performance, defines the relevant concepts, and proposed various hypotheses of this article.
     The chapter4elaborates questionnaire design, data collection, data consolidation validity and research analysis method. In the questionnaire design part, the questionnaire design process and measures to avoid bias, the data collection process, the subjects of the investigation to identify and questionnaire method and recovery process are introduced; at the same time, through no difference tests on a sample consolidation validity to ensure the validity of the merger of the sample; besides all of above, a chosen analysis method is discussed in this part.
     The chapter5designs all variables and measurement items, implements an empirical test on a series of hypotheses proposed in Chapter4according to the survey data and the theoretical model from chapter4, and compares and analyses test results with the expected assumptions and research conclusions. According to " Innovation inputs-ability performance" mechanism, this study explores the interactive mechanism between technological innovation investment and technological innovation performance through absorptive capacity and technological innovation capability.
     Chapter6does researches on comparative analysis on impact of technological innovation investment to technological innovation performance through different types of industry data, including different interaction between technological innovation performance and interior R&D investment, exterior technological merge and cooperated R&D investment, and absorptive capability in different industries.
     Chapter7summarizes the theoretical contribution, practical significance and major innovation points, while this study still have some deficiency on the theory and methods need to be carried on in future research.
     Use the method of combining theoretical research and empirical research, we draw the following main conclusions:
     Firstly, there is no directly influential relation between technology innovation investment and technology innovation performance, technology innovation investment impose an indirect impact on technology innovation performance through two mediate variables:absorption capability and technological innovation capability.
     We can discover from SEM analysis result that there is no significant impactive relation between technological innovation investment and technological innovation performance because of the join of absorptive capacity and technological innovation capability, which also demonstrate that there is no directly influential relation between technological innovation investment and technological innovation performance, and technological innovation investment impose an indirect impact on technological innovation performance through two mediate variables:absorption capability and technological innovation capability, which also demonstrate that It is not a simple practical way to increase investment in technological innovation to increase the performance of technical innovation, the only feasible way to improve enterprise technological innovation performance focuses on the coordinated development of the absorptive capacity, technological innovation capability and technological innovation investment.
     Secondly, we verified the important role of absorptive capacity in technological innovation activities of enterprises.
     The results showed that there exists significant positive impact relationship between absorptive capacity and technological innovation capability, at the same time there is a significant positive relationship between absorptive capacity and technological innovation performance, and significant positive impact between technological innovation capability and technological innovation performance. The results show that technological innovation capability plays a part of the intermediary role between absorptive capacity and technological innovation performance. Which proves the conclusion in the previous studies, that the absorptive capacity plays an important role in the relationship of enterprise technology innovation investment to technological innovation performance.
     Thirdly, the types of enterprises of different industries, the effect of its technological innovation investment technological to innovation performance are different, absorptive capacity plays different intermediary role in industry of experience-driven and industry of technology-driven.
     By different data analysis of industries types, we found that the effect of technological innovation investment and technological innovation performance are different. In Experience-driven industrial innovation knowledge, tacit knowledge as the dominant position, their knowledge viscous, so absorptive capacity plays role of internal R&D investment on technological innovation performance significantly greater than technology-driven industry; in technology-driven industries innovative knowledge, explicit knowledge as dominant position, their knowledge is less viscous, absorptive capacity, technology purchase investment and cooperation R&D investment is significantly greater than the role of technological innovation performance experience-driven industry. Absorptive capacity plays more important role between the external technology acquisition and technological innovation performance in technology-driven industries, representing a less important role in experience-driven industry. This also led to technological innovation investment activities on technological innovation performance industry differences.
     This study mainly reflects the following aspects of innovations:
     Firstly, this research builds a relational model of technological innovation investment and technological innovation performance, which creatively use process-oriented absorptive capacity and results-oriented technological innovation capability as mediate variables to explain the impactive mechanism of technological innovation investment to in technological innovation performance. The model explains to a certain extent the phenomenon of "input-output paradox", and points out that technological innovation investment of enterprises is not directly affect the technological innovation performance, but also indirectly affect the technological innovation performance by the interactive roles of absorptive capacity and technological innovation capability.
     Secondly, this study found the different role that absorptive capacity and technological innovation capability affect the relationship between technology purchase investment and technological innovation performance. The results display, technology purchased investment in technological innovation investment produce an indirect impact on the relationship of absorption capacity to technological innovation performance; technology purchase investment directly affect role of technological innovation capability is not significant, just generated by the absorptive capacity of the intermediary role of technological innovation capability indirect effects of an indirect effect on technical innovation performance.
     Thirdly, this study found that the absorptive capacity of the intermediary role of technological innovation investment on technological innovation performance there was obvious difference in the types of businesses in different industries. Dominant position in technology-driven industries, business innovation knowledge dominant scientific and technological knowledge, explicit knowledge is less viscous absorption capacity in science and technology-driven industry model, its intermediary role; experience-driven industries, business innovation knowledge hidden technical know-how dominant position, the tacit knowledge viscous, the absorption capacity in experience-driven industry model, the smaller intermediary role.
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