互补效应下企业研发投入与创新能力的相互关系研究

董文婷; 张靖佳; 王伟楠; 严子淳

doi:10.19571/j.cnki.1000-2995.2024.09.016

PDF(1138 KB)

科研管理 ›› 2024, Vol. 45 ›› Issue (9) : 155-165. DOI: 10.19571/j.cnki.1000-2995.2024.09.016

论文

互补效应下企业研发投入与创新能力的相互关系研究

董文婷¹,张靖佳²,王伟楠³,严子淳⁴

作者信息 +

Research on the relationship between enterprise R&D investment and innovation capability under the complementarity effect

Dong Wenting¹, Zhang Jingjia², Wang Weinan³, Yan Zichun⁴

Author information +

文章历史 +

摘要

数字经济背景下，研发投入与创新能力之间的黑箱尚未打开，两者之间不再是单向联系，而是存在闭环式的相互作用。本文利用有限信息极大似然法估计模型进行检验，以文本分析的方法构建指标，通过2011—2020年间的上市公司数据验证这种关系是否存在以及如何运行。研究发现：研发投入与创新能力之间存在一种闭环的循环互动，研发投入增加有利于提高创新能力，创新能力的提升又将进一步增加研发投入，存在“研发-创新”以及“研发-创新-再研发”效应。根据数字化转型时间的不同，率先进行数字化转型的企业具有先发优势，数字化转型的后发企业则通过优化知识管理能力的方式间接提高创新能力。知识管理水平以及员工教育水平的提升有利于实现闭环式相互作用的第二阶段创新，是“研发-创新-再研发”效应的重要作用机制。本文基于数字化情景，打开了研发投入与创新能力之间良性循环互动的黑箱，在实践上为企业进行数字化转型、引进人才、拓展创新能力提升路径提供了实践启示。

Abstract

In the context of digital economy, the black box between R&D investment and innovation capability has not yet been opened, and there is a closed-loop interaction between the two. This paper utilized the finite information great likelihood method to estimate the model for testing, constructed indicators with the text analysis method, and verified whether this relationship exists and how it operates through the data of listed companies during the period of 2011-2020. It was found that: (1) there is a closed-loop interaction between R&D investment and innovation capacity, and increased R&D investment is conducive to improving innovation capacity while improvement of innovation capacity will further increase R&D investment, and there is a "R&D-innovation" and "R&D-innovation-Re-R&D" effect. (2) Enterprises that take the lead in digital transformation have a first-mover advantage, while latecomers in digital transformation indirectly improve their innovation capability by optimizing their knowledge management capability. (3) Improvement of knowledge management and employee education is conducive to the realization of the second stage of innovation through closed-loop interaction, which is an important mechanism for the "R&D-innovation-Re-R&D" effect. Based on the digitalization scenario, this paper has opened the black box of virtuous circle interaction between R&D investment and innovation capability, and it will provide practical insights for enterprises to carry out digital transformation, introduce talents and expand the path of innovation capability improvement.

导出引用

董文婷张靖佳王伟楠严子淳. 互补效应下企业研发投入与创新能力的相互关系研究[J]. 科研管理. 2024, 45(9): 155-165 https://doi.org/10.19571/j.cnki.1000-2995.2024.09.016

Dong Wenting, Zhang Jingjia, Wang Weinan, Yan Zichun. Research on the relationship between enterprise R&D investment and innovation capability under the complementarity effect[J]. Science Research Management. 2024, 45(9): 155-165 https://doi.org/10.19571/j.cnki.1000-2995.2024.09.016

参考文献

[1] WU Z , Fan X , ZHU B , et al. Do government subsidies improve innovation investment for new energy firms: A quasi-natural experiment of China's listed companies[J]. Technological Forecasting and Social Change, 2022, 175.
[2] 陈晓红,李杨扬,宋丽洁等.数字经济理论体系与研究展望[J].管理世界,2022, 38(02):208-224+13-16.
[3] HOLMSTROM, Jonny. Recombination in digital innovation: Challenges, opportunities, and the importance of a theoretical framework[J]. Information & Organization, 2018.
[4] 李万利,潘文东,袁凯彬.企业数字化转型与中国实体经济发展[J].数量经济技术经济研究,2022,39(09):5-25.
[5] JOSEPH, A. S., Theory of Economic Development, 1912.
[6] CARLINO, G. and KERR, W. R., Agglomeration and Innovation, 2015, Handbook of Regional and Urban Economics, North Holland.
[7] CHEN J, YIN X.M, LI J.Z., Firm innovation system: Paths for enhancing corporate indigenous innovation capability. [J]. Frontiers of Engineering Management. 2020,7(3):404-412.
[8] 王羲,张强,侯稼晓.研发投入、政府补助对企业创新绩效的影响研究[J].统计与信息论坛,2022,37(02):108-116.
[9] 吴伟伟,张天一.非研发补贴与研发补贴对新创企业创新产出的非对称影响研究[J].管理世界,2021,37(03):137-160+10.
[10] DAVID, P. A., BRONWYN H. H., and ANDREW A. T., Is Public R&D Complement or Substitute for Private R&D? A Review of the Economic Evidence, Research Policy. [J]. 2000,29(4): 497-529.
[11] NELSON, R. R. and S. WINTER, An evolutionary theory of economic behavior and capabilities, 1982, Harvard.
[12] 王勇,樊仲琛,李欣泽.禀赋结构、研发创新和产业升级[J].中国工业经济, 2022(09):5-23.
[13] BEN-ZION, U., The R&D and Investment Decision and its Relationship to the Firm’s Market Value: Some Preliminary Results, University of Chicago Press, 1984, pp. 299-314.
[14] ZHOU, A. Z., FINK, D., The Intellectual capital web: A systematic linking of intellectual capital and knowledge management. [J]. Journal of Intellectual Capital, 4(1), 34-48.
[15] 李林,刘红,石焕焕.不同风险对协同创新项目绩效的影响研究——基于知识管理调节效应检验[J].管理评论,2022,34(05):69-80.
[16] ZHENG, W., PAN, H. and SUN, C., A friendship-based altruistic incentive knowledge diffusion model in social networks, [J]. Information Sciences, 2019, Vol. 491, pp. 138-150.
[17] HENRI, I., Review of empirical research on knowledge management practices and firm performance, [J]. 2016, 20(2), pp.230-257.
[18] GUO J.J, ZHOU S.S, CHEN J, and CHEN Q., How information technology capability and knowledge integration capability interact to affect business model design: A polynomial regression with response surface analysis, [J]. Technological Forecasting & Social Change, 170(2021) 120935.
[19] KOHLI, R. MELVILLE, N. P., Digital Innovation: A Review and Synthesis, [J]. Information Systems Journal, 2019, 29(1): 200-223.
[20] WARNER, K. S. R., WAGER, M. Building Dynamic Capabilities for Digital Transformation: an Ongoing Process of Strategic renewal, [J]. Long Range Planning, 2019, 52(3): 326-349.
[21] 罗瑾琏,王象路,耿新.数字化转型对企业创新产出的非线性影响研究[J].科研管理,2023,44(08):1-10.
[22] 李雪松,党琳,赵宸宇.数字化转型、融入全球创新网络与创新绩效[J].中国工业经济,2022(10):43-61.
[23] HELFAT, C. E. RAUBITSCHEK, R. S. Dynamic and integrative capabilities for profiting from innovation in digital platform-based ecosystems, [J]. Research Policy, 2018, 47(8): 1391-1399.
[24] 蔡跃洲,马文君.数据要素对高质量发展影响与数据流动制约[J].数量经济技术经济研究,2021,38(03):64-83.
[25] JIAO H, WANG L.D., and SHI Y., How does institutional environment in the digital context affect technology entrepreneurship? The moderating roles of government digitalization and gender, [J]. Journal of Organizational Change Management, Vol. 35 No. 7, 2022 pp. 1089-1112
[26] 金环,于立宏.数字经济、城市创新与区域收敛[J].南方经济,2021(12):21-36.
[27] CORREA, R. and GOLDBERG L. S. Bank Complexity, Governance, and Risk. [J]. Journal of Banking and Finance, 2021, 3, 106013.
[28] 唐要家,王钰,唐春晖.数字经济、市场结构与创新绩效[J].中国工业经济, 2022(10):62-80.
[29] TAN, Y., X. TIAN, C. X. ZHANG, and H. ZHAO, Privatization and Innovation: Evidence from the Second American to China’s Patent Law. [J]. In Academy of Management Proceedings, Vol. 2014, No.1, 14174.
[30] LEONID KOGAN, DIMITRIS PAPANIKOLAOU, AMIT SERU, NOAH STOFFMAN. Technological Innovation, Resource Allocation, and Growth. [J]. The Quarterly Journal of Economics, Volume 132, Issue 2, May 2017, Pages 665–712.
[31] 朱涛,李君山,朱林染.管理者特征、R&D投入与企业绩效[J].科研管理,2022,43(03): 201-208.
[32] JAMES R. BROWN and STEVEN M. FAZZARI and BRUCE C. PETERSEN. Financing Innovation and Growth: Cash Flow, External Equity, and the 1990s R&D Boom[J]. The Journal of Finance, 2009, 64(1): 151-185.
[33] ACEMOGLU D., AKCIGIT U , ALP H , et al. Innovation, Reallocation, and Growth[J]. American Economic Review, 2018, 108(11):3450-3491.
[34] LIU, Y., LUAN, L., WU, W. L., et al. Can digital financial inclusion promote China's economic growth? [J]. International Review of Financial Analysis, 2021,vol 78.
[35] ACEMOGLU, D.J. A. ROBINSON, Y.Y. THAICHAROEN, and S.JOHNSON, Institutional causes, macroeconomic symptoms: volatility, crises and growth. [J]. Journal of Monetary Economics, 2003, 50,49-123.

基金

国家自然科学基金面上项目：“时间压缩不经济视角下非核心企业创新价值链嵌入悖论及平衡机制研究”（72374032，2024.01—2027.12）；教育部高校人文社会科学重点研究基地重大项目：“我国在亚太地区推进高水平自由贸易区网络建设研究”（22JJD790042, 2023.01—2025.12）；国家自然科学基金青年科学基金项目：“突破性创新导向的企业多维知识搜寻同时性平衡机制研究”（72204019, 2023.01—2025.12）；国家自然科学基金面上项目：“面向‘一带一路’的中国海外企业国际化经验转移机制研究：基于‘反向跳板’的理论视角”（72172018，2022.01—2025.12）。