新兴企业如何构建技术空间？技术能力组合的作用

岑杰; 陈盈; 周祎娜

PDF(1732 KB)

科研管理 ›› 2021, Vol. 42 ›› Issue (6) : 84-93.

论文

新兴企业如何构建技术空间？技术能力组合的作用

岑杰^1，2，陈盈^1，2，周祎娜^1，2

作者信息 +

How emerging firms build their technological space? The role of technological capability portfolio

Cen Jie^1,2， Chen Ying^1,2， Zhou Yina^1,2

Author information +

文章历史 +

摘要

新兴技术往往具有很大的不确定性、风险性和模糊性，在此情况下，新兴企业如何进行技术整合、探索新的技术领域；更具体地，这些企业如何构建自己的技术空间，到底是应该和行业的技术空间保持一致性呢，还是保持差异性？本文聚焦于"新兴企业如何构建技术空间"这一问题，从企业技术能力及其组合的角度切入，以489家战略性新兴产业企业为样本，研究发现，在不同的企业技术能力组合情境中，企业-行业的技术空间异质性对企业绩效具有差异化的影响。具体而言，在核心技术能力高、一般技术能力高的情境中，技术空间异质性对新兴企业绩效有显著的正向影响；在核心技术能力高、一般技术能力低的情境中，技术空间异质性与新兴企业绩效间呈倒U型关系；在企业核心技术能力低的情境中，无论新兴企业的一般能力是高还是低，技术空间异质性对新兴企业绩效均有显著的负向影响。本文的研究从技术能力组合的视角拓展了技术空间异质性的研究，也为新兴企业的技术空间构建问题提供启示。

Abstract

With the development of knowledge economy and the emergence of innovation 2.0 era, technological innovation has become an important driving force of national and regional economy and politics. As a bridge between "old" and "new" technology, emerging technology plays a fundamental and supportive role in the whole technological innovation chain, which is the source and guarantee of core competitiveness of strategic emerging industries. However, emerging technology are facing uncertainty, risk and ambiguity, so how emerging firms integrate their technology and explore new technology domains? Specifically, how these firms build their own technology space? Trying best to build unique technology bundle and pursue heterogeneity, or consistent with industrial technology space and build similar technology bundle?
Actually, existing theories of technological space heterogeneity lie in technological merger and acquisition, R&D alliance, technology portfolio assessment, technology competition analysis, and innovation performance, which has formed ripe theoretical system. But existing research of technological space heterogeneity are facing some shortages. First of all, a lot of relevant research(for example, technological distance and technological proximity) investigate the technological distribution of two or more counterpart, but ignored the broader industrial technological background. Due to the dynamic and uncertainty of emerging technology, the concept of technological space heterogeneity could transcend the notion of "counterpart", and better describe the heterogeneity of cross-level technological space between firm and industry level. Second, technological space heterogeneity is rarely treated as R&D and patent strategies, whose technological capability foundation and its portfolio effect are always neglected. In emerging technology, the technological innovation is always concerned with the recognition, forecasting and exploitation of technological trajectories, or the capability of perception and catch the emerging technological opportunities in the uncertain and ambiguous environment, which depends on the capability portfolio.
The data of this paper has three sources.(1) The patent data comes from a patent database named SOOPAT, which embodies over 80 million patent documents from 98 countries and regions.(2) The financial data comes from CSMAR.(3) Some data(for example R&D input and government subsidies) comes from annual reports of listed companies, and they are collected manually. Considering the potential influence of new accounting principles in 2007 and the completeness of financial data and annual reports of listed companies, this paper chooses 2009-2015 as the sample period, and removes the ST and *ST firms in this period. Eventually, this paper 489 489 enterprises in strategic emerging industries.
Focusing on the question, this paper analysis 489 enterprises in strategic emerging industries based on the perspective of technological capability and its portfolio. This paper find:(1) Under the condition of high core technological capability and general technological capability, technological space heterogeneity has positive effects on firm performance;(2) Under the condition of high core technological capability and low general technological capability, the relationship between technological space heterogeneity and firm performance are inverted U-shaped;(3) Under the condition of low core technological capability, no matter their general ability is high or low, technological space heterogeneity has negative effects on firm performance.
The theoretical contribution of this paper mainly reflected in two aspects.(1) This paper introduces the concept of "technological space" to analyze the question of technological space heterogeneity between different levels. The concept of technological space heterogeneity could transcend the notion of "counterpart", and better describe the heterogeneity of cross-level technological space between firm and industry level, by doing so, this paper could expand the studies of firm technology trajectories and technological opportunity.(2) This paper explores the technological capability and its portfolio effect in emerging technology domain, to reconcile the conflict conclusion of existing studies. By introducing the situational variables of technological capability portfolio, this paper takes part in the discussion of the relationship between technological space heterogeneity and technology capability, and reconcile the conflicting findings between technological space heterogeneity and firm performance. What′s more, this paper response to the call of "investigate firm′s technological heterogeneity from the industry level" and studies the differential mechanism between technological space heterogeneity and firm performance under different technological capability portfolio context.
The managerial implications are as follows:(1) The findings of this paper help the emerging firms to identify their own technological capability portfolio, and provides new ideas to build technological strategy as well. In the complicated environment of competition with the coexisting of threats and opportunities, emerging firms are taking important responsibilities of development. How to get clear of their own technological capability portfolio, and how to take appropriate innovation strategy of technology to stand firm even seize the initiative in the emerging industry, are all important questions for practitioner and researchers.(2) The findings of this paper help the emerging firms to build appropriate technological space in order to improve their performance. This paper discusses differential technological space building strategies under different technological capability portfolio, which helps emerging firms to plan the R&D rhythm and patent strategies to build better technological space and gain better performance.

导出引用

岑杰陈盈周祎娜. 新兴企业如何构建技术空间？技术能力组合的作用[J]. 科研管理. 2021, 42(6): 84-93

How emerging firms build their technological space? The role of technological capability portfolio[J]. Science Research Management. 2021, 42(6): 84-93

参考文献

[1] Rotolo D, Hicks D, Martin B R. What is an emerging technology? [J]. Research Policy, 2015, 44 (10) :1827-1843.

[2] Aharonson B S, Schilling M A. Mapping the technological landscape: Measuring technology distance, technological footprints, and technology evolution [J]. Research Policy, 2016, 45(1): 81-96.

[3] Leydesdorff L, Kushnir D, Rafols I. Interactive overlay maps for US patent (USPTO) data based on International Patent Classification (IPC) [J]. Scientometrics, 2014, 98(3): 1583-1599.

[4] Nakamura H, Suzuki S, Sakata I, Kajikawa Y. Knowledge combination modeling: The measurement of knowledge similarity between different technological domains [J]. Technological Forecasting and Social Change, 2015, 94 (1) :187-201.

[5] Kauffman S, Lobo J, Macready W G. Optimal search on a technology landscape [J]. Journal of Economic Behavior & Organization, 2000, 43(2):141-166.

[6] Alstott J, Triulzi G, Yan B, Luo J. Mapping technology space by normalizing patent networks [J]. Scientometrics, 2017, 110(1): 443-479.

[7] Fleming L, Sorenson O. Science as a map in technological search [J]. Strategic Management Journal, 2004, 25(8-9): 909-928.

[8] Breschi S, Lissoni F, Malerba F. Knowledge-relatedness in firm technological diversification [J]. Research Policy, 2003, 32 (1): 69-87.

[9] Graebner M E, Eisenhardt K M, Roundy P T. Success and failure in technology acquisitions: Lessons for buy- ers and sellers [J]. Academy of Management Perspectives, 2010, 24(3): 73-92.

[10] Sears J, Hoetker G. Technological overlap, technological capabilities, and resource recombination in technological acquisitions [J]. Strategic Management Journal, 2014, 35(1): 48-67.

[11] Srivastava M K, Gnyawali D R, Hatfield D E. Behavioral implications of absorptive capacity: The role of technological effort and technological capability in leveraging alliance network technological resources [J]. Technological Forecasting and Social Change, 2015, 92: 346-358.

[12] Simon H, Sick N. Technological distance measures: New perspectives on nearby and far away [J]. Scientometrics, 2016, 107(3): 1299-1320.

[13] Enkel E, Groemminger A, Heil S. Managing technological distance in internal and external collaborations: Absorptive capacity routines and social integration for innovation [J]. Journal of Technology Transfer, 2017, 43(5): 1257-1290.

[14] 黄鲁成, 成雨, 吴菲菲, 苗红, 李欣. 关于颠覆性技术识别框架的探索[J]. 科学学研究2015, 33(5): 654-664.

Huang Lucheng，Cheng Yu，Wu Feifei et al. Study on identification framework of disruptive technology [J]. Studies in Science of Science, 2015, 33(5): 654-664.

[15] Fung M K. Technological proximity and co-movements of stock returns [J]. Economics Letters, 2003, 79(1): 131-136.

[16] 王元地, 刘凤朝, 陈劲, 黄加顺. 技术距离与技术引进企业技术多元化发展关系研究[J]. 科研管理, 2015, 36(2): 11-18.

Wang Yuandi, Liu Fengchao, Chen Jing, Huang Jiashun. Research on the relationship between technology distance and subsequent development of technological diversification [J]. Science Research Management, 2015, 36(2): 11-18.

[17] Stein N V, Sick N, Leker J. How to measure technological distance in collaborations—the case of electric mobility [J]. Technological Forecasting and Social Change, 2015, 97: 154-168.

[18] Vrande V D V. Balancing your technology-sourcing portfolio: How sourcing mode diversity enhances innovative performance [J]. Strategic Management Journal, 2013, 34(5): 610-621.

[19] Enkel E, Heil S. Preparing for distant collaboration: Antecedents to potential absorptive capacity in cross-industry innovation [J]. Technovation, 2014, 34(4): 242-260.

[20] Gilsing V, Nooteboom B, Vanhaverbeke W, et al. Network embeddedness and the exploration of novel technologies: Technological distance,betweeness centrality and density [J]. Research Policy, 2008, 37(10): 1717-1731.

[21] Scherngell T, Hu Y. Collaborative knowledge production in China: Regional evidence from a gravity approach[J]. Regional Studies, 2011, 45(6):755-772.

[22] Nootboom B, Haverbeke W V, Duysters G, et al. Optimal cognitive distance and absorptive capacity [J]. Research Policy, 2007, 36(7):1016-1034.

[23] Leten B, Belderbos R, Looy B V. Entry and technological performance in new technology domains: Technological opportunities, technology competition and technological relatedness[J]. Journal of Management Studies, 2016, 53(8): 1257-1291.

[24] Prahalad C K, Hamel G. The core competence of the firm [J]. Harvard Business Review, 1990, 68: 79-91.

[25] Trajtenberg M, Jaffe A, Henderson R. University versus corporate patents: A window on the basicness of invention [J]. Economics of Innovation and New Technology,1997, 5(1) : 19-50．

[26] Hall B H, Jaffe A B, Trajtenberg M. Market value and patent citations: A first look [M]. National Bureau of Economic Research: Cambridge, MA, 2000.

[27] Kalaignanam K, Shankar V, Varadarajan R. Asymmetric new product development alliances: Win- win or win-lose partnerships? [J]. Management Science, 2007, 53(3): 357-374.

[28] Ahuja G, Katila R. Technological acquisitions and the innovation performance of acquiring firms: A longitudinal study [J]. Strategic Management Journal, 2001, 22(3): 197-220.

[29] Cassiman B, Colombo M G, Garrone P, Veugelers R. The impact of M&A on the R&D process-an empirical analysis of the role of technological-and market-relatedness[J]. Research Policy, 2005, 34 (2) :195-220.

[30] Phene A, Fladmoe-Lindquist K, Marsh L. Breakthrough innovations in the U.S. biotechnology industry: The effects of technological space and geographic origin [J]. Strategic Management Journal, 2006, 27(4): 369-388.

[31] Somaya D. Patent strategy and management: An integrative review and research agenda[J].Journal of Management, 2012, 38(4): 1084-1114.

[32] Dosi G. Technological paradigms and technological trajectories[J]. Research Policy, 1982, 11: 147-162.

[33] Cohen W M, Levinthal D A. Adsorptive capacity: A new perspective on learning [J]. Administrative Science Quarterly, 1990, 35 (1) :128-152.

[34] Teece D, Pisano G, Shuen A. Dynamic capabilities and strategic management [J]. Strategic Management Journal, 1997, 18(7): 509-533.

[35] Tripsas M, Gavetti, G. Capabilities, cognition and inertia: Evidence from digital imaging [J]. Strategic Management Journal, 2000, 21: 1147-1161.

[36] Tyler B B, Caner T. New product introductions below aspirations, slack and R&D alliances: A behavioral perspective [J]. Strategic Management Journal, 2016, 37(5):896-910.

[37] Metcalfe J S. Technology systems and technology policy in an evolutionary framework [J]. Cambridge Journal of Economics, 1995, 19(1): 25-46.

[38] 伍健, 田志龙, 龙晓枫, 熊琪. 战略性新兴产业中政府补贴对企业创新的影响[J]. 科学学研究，2018，36(1): 158-166.

Wu Jian, Tian Zhilong, Long Xiaofeng, Xiong Qi. The impact of government subsidies on corporate innovation in strategic emerging industries [J]. Studies in Science of Science, 2018, 36(1):158-166.

[39] 肖兴志, 王伊攀. 政府补贴与企业社会资本投资决策——来自战略性新兴产业的经验证据 [J].中国工业经济, 2014, 9: 148-160.

Xiao Xingzhi, Wang Yipan. Government subsidies and enterprise decision of social capital investment——evidence from strategic emerging industries [J]. China Industrial Economics, 2014, 9: 148-160.

[40] 武咸云, 陈艳, 李秀兰, 李作奎. 战略性新兴产业研发投入、政府补助与企业价值 [J]. 科研管理, 2017, 38(9): 30-34.

Wu Xianyun, Chen Yan, Li Xiulan, Li Zuokui. R&D investment，government subsidies and corporate value of strategic emerging industries [J] Science Research Management, 2017, 38(9): 30-34.

[41] Katila R, Ahuja G. Something old, something new: A longitudinal study of search behavior and new product introduction [J]. Academy of Management Journal, 2002, 45(6):1183-1194.

[42] Jaffe A. Technological opportunity and spillovers of R&D: Evidence from firms’ patents, profits and market value [J]. American Economic Review, 1986, 76(5): 984-1001.

[43] Soete L G. The impact of technological innovation on international trade patterns: The evidence reconsidered [J]. Research Policy, 1987, 16(2): 101-130.

[44] Jungko K, Chang Y L, Yunok C. Technological diversification, core-technology competence, and firm growth [J]. Research Policy, 2016, 45(1):113-124.

基金

国家自然科学基金青年项目：“战略新兴产业企业创新节奏的双层协时治理与政策工具扩展研究”（71704159，2018.01—2020.12）；教育部人文社会科学研究青年基金项目：“文化包容视角下的跨国并购整合机制研究”（18YJC630015，2018.07—2021.07）；教育部人文社会科学研究青年基金项目：“破坏事件下组织惯例演化及其对学习机制影响研究”(18YJC630204，2018.07—2021.06)。