科研管理

科研管理 ›› 2025, Vol. 46 ›› Issue (10): 134-142.DOI: 10.19571/j.cnki.1000-2995.2025.10.014

• 论文 • 上一篇    下一篇

创新绩效期望落差对企业创新开放度的影响研究

郑伟伟1,2，连燕玲1，王耶恩1   

  1. 1.华东师范大学经济与管理学院，上海200062；
    2.浙江工业大学中国中小企业研究院，浙江 杭州310023
  • 收稿日期:2024-01-04 修回日期:2024-12-12 接受日期:2024-12-12 出版日期:2025-10-20 发布日期:2025-10-14
  • 通讯作者: 连燕玲
  • 基金资助:
    国家自然科学基金面上项目：“制度期望、战略响应与私营企业成长机制研究”（71972073，2021.01—2023.12）。

Research on the impact of innovation performance expectation gap on corporate openness to innovation

Zheng Weiwei1,2, Lian Yanling1, Wang Ye′en1   

  1. 1.School of Economics and Management, East China Normal University, Shanghai 200062, China;
    2. China Institute for Small and Medium Enterprises, Zhejiang University of Technology, Hangzhou 310023, Zhejiang, China
  • Received:2024-01-04 Revised:2024-12-12 Accepted:2024-12-12 Online:2025-10-20 Published:2025-10-14

摘要：     构建开放式创新生态是提升创新竞争力的重要渠道，尽管过往研究广泛探讨了推动企业开放式创新的内外部既定要素，但鲜有文献关注到企业扮演的战略主导者角色及其背后蕴含的深层逻辑。基于企业行为理论，本文利用2011—2021年中国上市公司数据，采用固定效应模型和交互效应模型检验假设，实证发现：当面临创新绩效期望落差，企业将提高创新开放度，旨在重塑竞争优势。较高的同行创新意愿和证券分析师关注会促进创新压力感知，从而强化上述正向作用效果；高管研发背景和数字化转型能够赋能问题导向搜索，增强企业的战略响应能力，由此强化创新绩效期望落差的促进作用。异质性分析发现，在民营企业和非高科技行业中，创新绩效期望落差对企业创新开放度的促进作用更明显。本文理论框架将创新绩效期望落差下的响应决策及其背后的创新压力感知、问题导向搜索有机结合起来，深化和拓展了企业行为理论与创新开放度的理论研究。

关键词: 创新绩效期望落差, 企业创新开放度, 开放式创新, 企业行为理论

Abstract:    Constructing an open innovation ecosystem is a crucial channel for enhancing innovation competitiveness. Although prior studies extensively discuss the established internal and external factors driving firms′ open innovation, there is a scarcity of research focusing on the role of firms as strategic leaders and the deep-seated logic behind this role. Based on the theory of firm behavior, this study used the data from Chinese listed companies from 2011 to 2021 and employed both fixed effects model and interaction effect model to test the hypotheses. The empirical findings revealed that when a firm′s actual innovation performance falls below its innovation aspiration, the firm will increase its openness to innovation in order to reshape their competitive advantage. Higher peer innovation willingness and analyst attention strengthen the perception of innovation pressure, thus promoting the positive effect of this relationship. Additionally, executives with R&D backgrounds and digital transformation empower problemistic search, enhancing the firm′s strategic responsiveness in increasing innovation openness, thereby reinforcing the facilitative effect of innovation performance expectation gap. The heterogeneity analysis revealed that in private enterprises and non-high-tech industries, the positive effect of the innovation performance expectation gap on the firm′s openness to innovation is more pronounced. This theoretical framework has organically combined the response decision under the innovation performance below aspiration with the perception of innovation pressure and problem-oriented search, thereby deepening and expanding the theoretical research on the behavior theory of the firm and innovation openness.

Key words:  innovation performance expectation gap, corporate openness to innovation, open innovation, behavioral theory of enterprises