负责任创新、动态能力与企业绿色转型升级

摘要/Abstract

摘要： 负责任创新和动态能力对企业绿色转型升级的影响在实践中已逐步显现，但从理论上对负责任创新嵌入的动因、负责任创新与动态能力相互的影响机制以及对企业绿色转型升级路径的探讨仍然较少。本文以我国四家能源企业为案例，运用扎根理论研究的程序与方法对上述理论问题进行了探讨。研究发现：负责任创新嵌入能源企业绿色转型升级的动因，是基于企业所受到的内部资源与发展压力和外部环境与竞争压力所致，但以制度响应嵌入外部压力为主要驱动力；负责任创新与企业动态能力是一个相互影响、相互促进的动态提升过程，二者动态提升推动了企业绿色转型升级；企业绿色转型升级是通过绿色工艺创新和绿色产品创新所引领的两条主要路径实现的。同时，本文提出了负责任创新与动态能力协同驱动企业绿色转型升级的“压力-行为/能力-绩效”理论模型。研究结论和理论模型有助于我国大型能源企业通过提高负责任创新和动态能力实现绿色转型升级。

关键词: 负责任创新；动态能力；能源企业；绿色转型升级；案例研究

Abstract: Green transformation and upgrading of enterprises has been a central focus in governance in China for more than a decade; it is also one of the most important corporate endeavors to promote China′s economic restructuring and high-quality development. This commitment has received extensive attention from academic community. From the perspective of dynamic capacity theory, some researchers attempted at interpreting the connotation of transformation and upgrading of enterprises; other researchers exploring the approaches to promoting and assessing transformation and upgrading of enterprises, and discussing the opportunities and challenges arising from this innovation trajectory.
Inspired by the insights of responsible innovation which is a convergence of technology innovation, corporate responsibility and sustainable development, the present paper intends to explore the approaches to implementing green transformation and upgrading in coal-production enterprises such as CHN Energy Co. Ltd., Yankuang Group Co., Ltd., Jizhong Energy Group Co., Ltd., and Lu′an Group Co., Ltd. through the combination of responsible innovation and dynamic capacity, in the hope of making clear of the motivations, mechanisms, and practical procedures of implementing green transformation and upgrading in such enterprises. The present paper adopted multi-case study approach and the approaches proposed by grounded theory as its research method, to establish general entries for determining specific interrelated conditions, and analyze action-oriented interactive development process at micro level.
This paper had the following finding: (1) Responsible innovation in the green transformation and upgrading of these enterprises was motivated by both internal need and external pressure. While such enterprises undertook the pressure of internal survival and development, severe market competition, played a significant role in implementing green transformation and upgrading in these enterprises. The driving force of responsible innovation, however, is primarily the external institutional response, including national mission, government regulation, social responsibility, green development, and other elements reflecting the unified goals of responsible innovation and green transformation and upgrading of enterprises. (2) Primarily, the green transformation and upgrading of enterprises is the result of the interaction between responsible innovation and dynamic capability of enterprises. Driven by internal and external pressure, the notion of green development is internalized in technology innovation in enterprises; this forms responsible innovation. As dynamic processes, responsible innovation and dynamic capability affect each other; dynamic improvement of the two promotes the green transformation and upgrading of enterprises. (3) Green transformation and upgrading of enterprises could be implemented along two lines: One is to intensify technologically green-process innovation inside enterprises while improve their application-oriented dynamic capability; and the other is to implement green-product innovation in enterprises to improve external market competitiveness and fulfill social responsibility.
Theoretically, the paper proposed a model of "pressure-behavior/ability-performance", which indicates that exogenous and endogenous motivation account for the transformation and upgrading of enterprises, and that the paths for implementing transformation and upgrading in enterprises depend primarily on the enterprise′s dynamic capability of competitiveness and innovation. In addition, this paper identified the four indexes that characterize responsible innovation: anticipation, responsiveness, inclusiveness, and reflexivity. "Anticipation" indicates the enterprise′s pressure for technological innovation. "Responsiveness" indicates the enterprise′s responses to external environment variation. "Inclusiveness" shows the collaborative integration in the process of innovation. "Reflexivity" shows the enterprise′s performance of transformation according to internal and external pressure feedback.
Although we have obtained the above research conclusions and theoretical contributions from the case studies, the above four cases are based on the results of the analysis of large state-owned or state-owned holding groups, and the resulting inferences are still relatively challenging in terms of universality, and further empirical studies are needed in non-state-owned and small and medium-sized enterprises.

Key words: responsible innovation, dynamic capability, energy enterprise, green transformation and upgrading, case study

郭丕斌张爱琴. 负责任创新、动态能力与企业绿色转型升级[J]. 科研管理, 2021, 42(7): 31-39.

Guo Pibin, Zhang Aiqin. Green transformation and upgrading of enterprises in respect of responsible innovation and dynamic capability[J]. Science Research Management, 2021, 42(7): 31-39.

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