Science Research Management

An evaluation of technological innovation capability of the advanced equipment manufacturing industry in China

Tang Xiaowen, Sun Yue, Tang Xiaobin

2021, 42(9): 1-9.

Abstract ( 454 )

As an important sector of national technological innovation, the advanced equipment manufacturing industry (AEMI) has to improve its technological innovation capabilities and cultivate a continuous innovation mechanism for surviving in the international industrial chain system and further promoting low-end manufacturing industry. It is therefore necessary to systematically calculate the level of industrial technological innovation capabilities of AEMI, grasp the laws of temporal and spatial evolution, and explore the main constraints. However, there is still a lack of relevant empirical research on how to solve key problems.
Firstly, this paper starts from defining the connotation of AEMI, analyzing industry characteristics and the desirability of statistical data, and selecting research objects, including Manufacture of Electronic Equipment and Communication Equipment (MEECE), Manufacture of Computers and Office Equipment (MCOE), Manufacture of Medical Equipment and Meters (MMEM), Manufacture of General Purpose Machinery (MGPM), Manufacture of Special Purpose Machinery (MSPM) and Manufacturing Industry of Transportation Equipment (MITE) and Manufacture of Electrical Machinery and Apparatus (MEMA).
Secondly, based on the theoretical framework of "innovation environment-innovation input-innovation process-innovation output", this paper constructs an index system by improving and adjusting the index system of existing technological innovation capabilities. The indicator system is based on reflecting the balance between the total and average amount of technological innovation capabilities, and includes four dimensions: innovative environmental protection capabilities, innovative resource input capabilities, technological innovation transformation capabilities, and innovation output capabilities. Then we used the "VHSD-EM" method to calculate the technological innovation capability of seven sub-sectors of AEMI from 2011 to 2018.
We have studied the time evolution and industry distribution characteristics of the technological innovation capabilities of AEMI. From the perspective of time, the level of technological innovation in MEECE has increased the most and the score has always been in the first place. The innovation capabilities of other industries show cyclical fluctuations and there is a certain level of stratification. However, with the exception of MEECE, the differences between the remaining industries show a narrowing trend. From the perspective of industry distribution, we can observe that the industry distribution difference of technological innovation ability of AEMI is significant, and has aggregation effect in distribution. Among them, the overall evaluation value of the technological innovation ability of MEECE always ranks first, with the score value of 0.773 after the second weighting, which is far higher than the industry average level of 0.398. While the overall evaluation value of the technological innovation ability of MMEM are in the fourth gradient, with the score 0.206. In addition to the three industries mentioned above, MITE and MEMA ranked in the second gradient, and the technological innovation ability was better; MGPM, MCOE and MSPM ranked the third gradient with poor performance.
Thirdly, from the perspective of the meso-environment, both technological progress and industrial characteristics have an important impact on the level of technological innovation capabilities. It can be seen that in the critical period of industrial transformation and upgrading, if AEMI wants to achieve a steady improvement in technological innovation capabilities, it must accelerate the formation of enterprise human resources accumulation, stabilize the market position of AEMI, and maintain the core technology advantage in the fierce competition under the premise of core technological progress.
At last, based on the above analysis results, relevant policy recommendations are provided for improving the technological innovation capability of AEMI.
〖WTHZ〗Key

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Historical development and countermeasures of scientific research integrity norms of the Chinese government

Wang Anyi, Hu Liyun

2021, 42(9): 10-16.

Abstract ( 300 )

Since the 1980s, China has paid more and more attention to the integrity of scientific research. Based on the reorganization of the important events of the national scientific research integrity norms, this article discusses the four stages of the historical evolution of the governance of Chinese government′s scientific research integrity, namely, "pre-governance" stage, "divided governance" stage, "joint governance" stage and "systematic governance" stage. At the same time, it selects two important governance norms in the historical evolution：The Measures for the Treatment of Scientific Research Misconduct in the Implementation of National Science and Technology Plan (Trial) of the Ministry of Science and Technology in 2006 (hereinafter referred to as the "Measures") and the Rules for the Investigation and Treatment of Scientific Research Integrity Cases (Trial) in 2019 (hereinafter referred to as the "Rules").
Taking these two norms as an example, starting with text analysis, and through comparing the definition of scientific research misconduct, procedures and results of the treatment, and appeal procedures between them, this paper discusses the development processes, stage characteristics and evolution trend of government governance of scientific research misconduct in China; it also summarizes the evolution process of governance ideas and measures at the national level, and gives analysis and suggestions on the changes, problems and future development.
There are four trends in the evolution of norms formulation: First, the formulation of norms puts more emphasis on the integrity awareness of scientific research subjects, and the management department changes its idea from preventing misconduct in scientific research activities to advocating personal honesty consciousness. Second, the normative formulation has shifted from lagging to foreseeable, widened the scope of governance gradually, increased the types of scientific research dishonesty have increased, and emphasized that the forbidden area of scientific research behavior should cover the whole process of scientific research activities, so as to lay an operable foundation for the follow-up strict governance. Third, the implementation of standards or norms is from departmental governance to national governance, so that the main body of governance is clear, and the division of responsibilities of misconduct investigation department is well defined. Fourthly, the ethical issues of scientific research are received more attention and solutions.
The author found that, from the effect point of view, the formulation of the rules has not been able to stop a large number of manuscript retraction and scientific research integrity problems. From the difficulties of governance, we can also see the key problem of integrity governance is the relationship between governance and guidance. Therefore, the author believes that the governance of scientific research integrity should not only deal with the back-end from the formulation of rules, but also needs to dig deep into the root causes to find out the inducing mechanism of scientific research integrity in the scientific research ecosystem.
In order to establish an innovative scientific research ecosystem, the State should first reduce the government′s evaluation of scientific research personnel, give full play to the role of scientific research innovation subjects, and let scientific research institutions lead the academic evaluation; In the meantime, it is necessary to strengthen the formulation and publicity of scientific research integrity and ethical norms, and advocate good study style and responsible researchers. An effective governance system of scientific research integrity should start with improving the ecological system of scientific and technological innovation.

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A review and prospect of the research on user entrepreneurship

Yin Miaomiao, Feng Xinying, Zhou Bingyu

2021, 42(9): 17-23.

Abstract ( 324 )

With the development of Internet technology and the prosperity of the platform economy, the phenomenon that users act as the main body of innovators and entrepreneurs keeps emerging. This has attracted extensive attention from both practice and the academia. Specifically, user entrepreneurship refers to the phenomenon that users take the initiative to innovate or improve products due to their unmet needs and provide them to the market. In recent years, the research on "user entrepreneurship" has been growing quickly and its content has been gradually enriched. To be specific, the current research has gradually expanded from the initial description of the path of user entrepreneurship to the study of the subject, motivation, and influencing factors of user entrepreneurship. With the deepening of the research, the differences between user entrepreneurship and traditional entrepreneurship become more obvious. This represents its potential research value. In practice, in recent years, extant firms pay more attention to communication with users and even try to attract consumers to join the process of value creation by building communities. Therefore, users are not only the buyers of products, but also can participate in the creation of product value through interaction with firms. Some users have gradually changed from passive "consumers" to active "innovators", and they can even transform into "entrepreneurs" by gathering lots of consumers for collective creation and further realize the reversal of user identity. In terms of theory, although more and more scholars have paid attention to user entrepreneurship and carried out theoretical research, the current research is still not comprehensive. Many questions, such as the outcome of user entrepreneurship, have not been explored in depth. At the same time, most of the existing research focused on individual issues such as the identity transformation of user entrepreneurs and the exploration of users′ entrepreneurship motivations. Those questions are relatively fragmented and lack of systematic research. Based on this, this study tries to reveal the current research on user entrepreneurship comprehensively and provide guidance and suggestions for future research.
Through the systematical analyses of the connotation, motivation, influencing factors, and entrepreneurial process of user entrepreneurship, this study analyzes the current research status: (1) there are two kinds of user entrepreneurs according to the identity attributes. One is the professional-user entrepreneur who uses a product in their professional life and experiences a need for improvement. The other is the end-user entrepreneur who innovates products based on daily use. (2) The entrepreneurial motivation of user entrepreneurs includes not only intrinsic motivation such as dissatisfaction with the product, the pleasure of starting a business, the feeling of enjoyment, the passion to accept the challenge, the faith to succeed, but also extrinsic motivation such as social network relationship and economic benefit. Besides, unlike traditional entrepreneurship driven by economic interests, user entrepreneurship is mainly driven by intrinsic motivation. (3) The influencing factors of user entrepreneurship include the entrepreneur′s individual factors such as prior knowledge, educational background, and multiple identities as well as the community factors such as the diversity of community member background, the relationship strength of community members, and community size. (4) Activities of user entrepreneurship are realized mainly based on community interaction, especially the user entrepreneur who need complete resource development and opportunity development based on participating in community interaction. (5) The results of user entrepreneurship can be roughly divided into three categories: failure, merger, and success.
The research on user entrepreneurship is still in its infancy, and there are still many valuable academic issues to be analyzed and discussed in the future. Based on the above literature review, this study puts forward five possible research directions as follows. (1) We need to further improve the conception of user entrepreneurship by combining specific cases under the Chinese context. At the same time, we should construct the dimensional system and developing the questionnaires of user entrepreneurship. (2) About the motivation of user entrepreneurship, we need to explore the interaction effect of intrinsic motivation and extrinsic motivation on user entrepreneurs′ decisions; on the other hand, it is necessary to deeply explore the influence mechanism of entrepreneurial motivation on entrepreneurial activities, and reveal the influence mechanism of entrepreneurial motivation on subsequent entrepreneurial activities. (3) We should further construct the system of influencing factors and explore the relevant internal influencing mechanism between those influencing factors and user entrepreneurship activities. (4) We need to pay more attention to the outcome variables of user entrepreneurship, establish a systematic evaluation system of entrepreneurial outcomes, and deeply explore how user entrepreneurship activities affect the entrepreneurial outcomes. (5) Finally, we should construct a comprehensive research model to deeply explore the internal influence relationship among users′ entrepreneurial motivation, entrepreneurial activities, and entrepreneurial results. Further, we need to explore how entrepreneurial motivation drives subsequent opportunity development and resource development, and then influence entrepreneurial results, and test the moderating role of influencing factors.

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A re-understanding of the "enterprise-oriented theory" in the construction of an innovative country

Sun Xi

2021, 42(9): 24-33.

Abstract ( 165 )

After 2006, "enterprise-based innovative economy" became the popular language in China. But practice in the past years showed that the popular slogan had to face to the resistance from contending understandings which deeply rooted in the whole society. The most famous two contending ideas are "S&T as frontward force" and "market as backward force" in innovation, i.e. the idea of technology transfer and free market dogma. Such conflict resulted in under-commitment to innovation needs in enterprises. This paper focuses on the "enterprise-based" topic in the era of construction of an innovative country. We believe that enterprises which have certain mechanisms are proper agents of innovation, which is determined by some fundamental characteristics of contemporary innovation. Specifically, we take contemporary innovation as an economic activity which is a dynamic recombination of technologies, one is science-based while the other is organization-based.
Based on this, the paper answers two questions. The first is why enterprises are the fundamental innovators. Compared with public research institutes and universities, enterprises are better able to recombine different technologies, and more likely to continuously improve products and technologies due to its division of labor and behavior mode, both of which are demand-oriented. That means only the enterprises can meet those fundamental characteristics of innovation, which also fundamentally determines the limitation of "technology transfer". Furthermore, because of crucial importance of absorptive capacity and complementary assets, it is the success of technology transfer that is the very outcome of the enhancement of enterprises′ innovation capability, which is always misunderstood as the origin and engine as innovation-driven economy.
The second question we paid attention here is the proper mechanisms those make enterprises competent agents of innovation. According to the theory of innovative firm, there are three social conditions of innovative enterprises, i.e. strategic control, financial commitment and organizational integration. All of these three are derived from intended organizational development and learning and deeply embedded in certain institutional context, rather than natural outcome of a market process. Therefore, the essence of "enterprises as the fundamental agents in innovative countries" is to define and design suitable institutional framework which promotes the emergence and upgrading of social conditions of innovative enterprises.
Some policy suggestions are given in the final part. Taking China′s specific conditions into consideration, it is important to break the stereotype of "innovation-driven development", e.g. to pay more attention to incremental innovation and high-quality investment. It is also a critical issue to release the bonus of the complete national industrial system. Such completeness is a key factor to stimulate local entrepreneurship, which is always depressed by oversized M&A to Western corporations. The third policy topic is to improve innovators′ reward by changing institutional buyers′ behavior, which is necessary to help more and more local enterprises to cross the barriers to entry and to build competitive advantage. State-society relationship is also crucial in innovation. Here we suggest suitable empowerment to society in certain institutions such as finance, labor and IPR. The fifth and last policy issue is the organizing of a heavy devotion in techno-science research which is oriented by the upgrading demand.

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An analysis of the impact and paths of local tax competition on the quality of exported products

Li Changqing, Peng Xin

2021, 42(9): 34-43.

Abstract ( 195 )

China′s local governments′ performance target has changed from "competition for growth" to "competition for quality" under the background of supply-side structural reform, so local governments try to improve enterprise efficiency and product quality through tax competition. Although some scholars have studied the impact of tariff concession on the quality of export products from the national level, there is no literature on the impact of local tax competition on the quality of export products from the city level. Based on Chinese industrial enterprises database, China customs database and the statistical yearbook of Chinese cities, this paper empirically tests the impact of local government tax competition on exports quality of Chinese enterprises, and uses MP dynamic decomposition identity to decompose the quality of export products, and empirically tests the path of local tax competition affecting the quality of export products. Specifically, based on the data of China′s industrial enterprises, this paper calculates the tax competition indicators of enterprise income tax and value-added tax in 279 cities of China, and empirically tests the impact of local tax competition on the quality of export products and its mechanism by combining with the import and export data of China customs.
The conclusions are as follows: (1) Tax competition of local government can promotes regional export product quality; Through the IV estimation, replacing the tax competition variable and changing the estimation method, the results are still robust. (2) Compared with domestic enterprises, tax incentives for foreign enterprises can promote the improvement of regional product quality; compared with enterprises with lower productivity, tax incentives for enterprises with higher productivity can promote the improvement of export product quality; (3) The analysis of research mechanism shows that tax competition among regions can improve the productivity of enterprises, and then enhance the quality of export-products. In other words, inter regional tax competition promotes the quality of export products of local enterprises by improving the production efficiency of existing enterprises in the region (incentive effect), rather than attracting high-efficiency enterprises (migration effect).
Based on the empirical analysis, our suggestions are as follows: First, allow local governments to implement appropriate tax incentives. Empirical analysis shows that the overall effect of tax competition policy is positive, which can reduce the cost of enterprises and improving the quality of regional export products. Therefore, local governments should be allowed to take preferential tax policies to reduce the tax burden of enterprises and encourage existing enterprises to make innovation investment, so as to improve the quality of regional export products. Second, continue to allow tax incentives for high-tech industries. Considering the positive role of high-tech enterprises, local governments can be allowed to give appropriate tax preference to high-tech industries, and activate the competitive effect of the region by attracting high productivity enterprises to settle in, so as to improve the allocation efficiency of resources in the region; Third, allow the existence of moderately differentiated tax policies. Empirical analysis shows that tax competition has different impacts on domestic /foreign enterprises and on enterprises with lower /higher productivity, so local governments should be allowed to adopt differentiated tax policies moderately, so as to encourage enterprises with strong innovation ability or high productivity to promote the quality of local export products.

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The dynamic configuration of inventors′ network community and its influence on innovation capacity

Liu Na, Ji Jinxing, Mao Jianqi, Wang Xiaofei, Guan Jiancheng

2021, 42(9): 44-51.

Abstract ( 260 )

In innovation activities, inventors have shown a phenomenon of "hugging together", which leads to the clustering of collaborative innovation networks and forms network communities. The network community of inventors is an aggregated structural group in collaborative networks. Inventors within the same community are frequently and closely linked with each other. Community brokers locate on the periphery of a community and have a position advantage of crossing the boundaries of different communities, which are critical to transfer knowledge from outside the community into a form that can be absorbed by inventors within the community.
There is a lack of research on how the dynamic and stable structure configuration of different network loci influences innovation. Solving this problem is helpful to provide theoretical guidance for improving innovation capacity and decision supports for innovation network management. Thus, this study aims to explore how network community structure and its dynamic configuration in inventors′ collaborative innovation network influence their innovation capacity in the field of renewable energy. We stress the roles of the overall dynamic of the community and the dynamic of community brokers. Firstly, inventors′ collaborative networks are constructed based on co-inventing relationship in renewable energy patents. Then, inventors′ network communities are identified by adopting GN algorithm. Community dynamic configuration is defined through tracking communities in adjacent phases based on the dynamic difference of network loci between members within communities and community brokers. Four types of community dynamic configuration are defined, and there are independent community, rigid community, volatile community and broking community, respectively. We hypothesize that among the four types of communities, broking communities have the strongest innovation capacity, while volatile communities have the weakest innovation capacity. OLS regression analyses are used to empirically test our hypotheses and the robustness tests are carried out by using nonparametric bootstrap method.
Through this study, we aim to break through the limitations of studies on the functional mechanism of innovation networks from the static network perspective and integrate the advantages of static and dynamic networks. We contribute to the study of innovation network structure and network dynamics, enriches studies on the functional mechanism of innovation network, and expect to provide guidance and suggestions for improving inventors′ innovation capacities.
The results of GN algorithm show that there are obvious community structures in inventors′ collaborative innovation network in the renewable energy field, and network communities and communities′ brokers evolve over time and they present different dynamic configurations. Moreover, the results of OLS regressions and robustness tests show that different dynamic configuration of community has a significantly different impact on community innovation capacity. Overall, the dynamic and static harmonious community configuration is better than the dual dynamic or static community configuration. Specifically, the innovation capacity of the volatile community is weak and that of broking community is strong and that of independent community and rigid community are somewhere in between. This study emphasizes the effect of heterogeneity of community dynamic configuration on innovation of community inventors, and the policy should be conducive to the compromise of dynamic and stable structure of innovation networks, so as to promote innovation of inventors.

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A study of the system coupling effect of enterprise innovation activities

Shi Xiu, Hou Guangming, Jing Rui, Wang Junpeng

2021, 42(9): 52-60.

Abstract ( 199 )

Innovation performance is influenced by a variety of innovation activities. Scientific arrangement of innovation activities makes it effective to produce system effects, which becomes the key to improve the efficiency of innovation. However, existing research shows that the important role of collaboration with the validation of innovation activities is more based on the independence of different innovation activities and their linear structural relationship, and does not reveal the synergy of "1+1>2" very well. This paper puts forward the coupling effect of enterprise innovation system, starting from the integral structure of the close connection between the management innovation system and the technological innovation system, and carrying out theoretical revealing and empirical research on the synergy of enterprise innovation activities.
First of all, the theory from the perspective of system coupling explains the synergy of enterprise innovation activities, and describes it as the systematic innovation management process of management innovation system and technological innovation system through the interaction form of complementary advantages, interdependence, free operation and mutual integration, so as to improve the innovation efficiency of enterprises. Then, the mechanism of system coupling effect of enterprise innovation activities is deduced, and five theoretical hypotheses containing direct effect, indirect effect and regulation effect are put forward. Thus, the theoretical model is constructed, which takes the coupling degree of the innovation system as the explanatory variable, the innovation efficiency as the interpreted variable, the dynamic ability as the mediator, and the environmental uncertainty as the moderator. Finally, using the research data of 236 Chinese new energy automobile enterprises, the empirical test is carried out by using the Partial Least Squares -Structural equation modeling (PLM-SEM).
Through the above research work, the following conclusions are obtained: (1) innovation system coupling has a significant direct effect on innovation efficiency, so that it′s the key measure of enterprise efficient innovation; (2) innovation system coupling can indirectly promote innovation efficiency through dynamic capability, and in this process, the three dimensions of dynamic ability - perception, integration and reconstruction ability, almost play an equally important role, indicating that innovation system coupling is an important path for enterprises to make systematic response to changes in the external environment and balance to promote high-order capability; (3) Environmental uncertainty plays a regulatory role in the relationship between innovation system coupling and dynamic capability, that is, the higher the degree of environmental uncertainty, the more significant the impact of enterprise system innovation coupling on dynamic capabilities.
This study deepens the analysis of the synergy relationship of enterprise innovation activities, and uses the system coupling perspective to advance it from "combination effect" to "system effect" research. At the same time, the empirical research on the synergy of enterprise innovation activities is supplemented, which enriches the relevant role path and mechanism.
This study is also of practical significance for enterprises to improve innovation efficiency. The following revelations are mainly formed. Firstly, enterprises need to pay attention to the coupling between management innovation and technological innovation, in order to systematically think about the layout of innovative activities. Secondly, enterprises need to play a synergistic role in innovation activities, to actively cultivate dynamic capabilities. Thirdly, enterprises need to pay attention to the impact of environmental uncertainty, adjust and optimize innovation strategies in a timely manner, and choose innovative system coupling models to meet the needs of enterprise development.

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A research on the influence of factor agglomeration on the development of high-tech industry innovation ability

Tian Xizhou, Guo Xinyu, Yang Guangkun

2021, 42(9): 61-70.

Abstract ( 229 )

Under the background of "the new normal" of China′s economy, the traditional growth model can no longer solve China′s main contradictions of development. Therefore, China implements an innovation-driven development strategy and attempts to shift the driving force of economic development from factor-driven to innovation-driven. High-tech industry forms a critical sector in our national innovation-driven plans. Particularly after USA took trade war against Chinese technological enterprises exampled as ZTE and Huawei, great attentions have given to the creativity and promotion of Chinese high-tech sectors. Nowadays, the overall creativity of China′s high-tech sector is poor, the shortage of critical technology, and the imbalance of industrial development influenced a lot the promotion of Chinese industry, even Chinese whole economy. So, development of high-tech sectors to uplift independent creativity relies on Chinese innovation-driven development plans. In addition, with the development of cluster economy, the agglomeration effect formed by industrial agglomeration is closely related to industrial innovation and development, and industrial innovation is inseparable from the development of cluster economy.
First, by going through extant literatures both home and abroad from the perspective of factor agglomeration, the theoretical mechanism concerning the impact of factor agglomeration on the creativity of high-tech industries is integrated, and the gaps in the extant related fields are found as following: (1) Most literatures are not complete in the collection of innovation-driven elements, focusing on the impact of one aspect, and ignoring the differences between industrial innovation regions, and less research on spatial distribution and spatial spillover effects, especially the influence of innovation factors in local areas on local innovation activities; (2) In the field of industrial innovation activities, most of the research focuses on the overall activities of innovation, ignoring the different stages of industrial innovation ability; (3) In terms of methods, the existing literature is largely using OLS, SLM and SEM for spatial analysis, the phenomenon of multiple cases is not taken into consideration, resulting in deviations in the model results. Based on these analyses, we put forward the first hypothesis: factor agglomeration influences the creativity of high-tech industry; second, the creativity of high-tech industry consists of three stages, which is input, output and transformation; third, the growth states of each agglomeration factor include time and space respectively. At the level of analysis, 11 indicators including innovation input, innovation output, innovation transformation, capital agglomeration, policy support, foreign direct investment, labor agglomeration, talent agglomeration, technology agglomeration, tax incentives and scale agglomeration were selected. Then, the spatial correlation of the elements and the innovation ability is tested by the spatial correlation Moran index. Conclusions show that the innovation ability from strong to weak can be divided into three regions in space, and the coastal region has economic and geographical advantages. Secondly, the central region has good innovation and development conditions such as manpower, capital and transportation, and its innovation ability is strong too; finally, the remote western and northern cold regions have a bad innovation environment and are not easy to generate innovation. Then through the correlation test of LM, Wald, LR and so on, the spatial Dubin model (SDM) is found the best model.
An empirical research is carried out according to the research hypothesis, and results are shown as follows: (1) Each stage of innovation capability of China′s high-tech industry presents the characteristics of resource scarcity in terms of spatial impact. There is a negative impact for input, but both output and transformation have positive impacts. There is a long period of innovation activity, and the spatial correlation of each stage is different, and the industry is affected by the degree of industrial agglomeration. The stage of innovation activities is different; (2) Talent, technology, scale, and policy orientation are the main sources of innovation capability of China′s high-tech industries. The agglomerations of labour, scale, talent, technology and tax incentives have positive impacts on the development of high-tech industry innovation capabilities in different regions. The agglomeration of capital imposes a constraining impact on change of high-tech industry innovation and; (3) High-tech industry Innovation and development are often subject to the nature of funding. Policy support has a negative impact on all stages of China′s high-tech industry innovation. Local foreign direct investment agglomeration has a negative impact on China′s high-tech industry innovation input and output, but it has a positive effect on innovation transformation because funding differs from the purpose of FDI, with the former relying on basic application-based R&D and the latter relying on interest-based R&D.
Lastly, some recommendations for promoting the creativity of high-tech industries are provided according to the findings above: (1) Optimizing the constructure of R&D capital investment, reducing R&D costs, and improving innovation efficiency. When developing local high-tech industry innovations, all regions should rationally allocate resources and plan industrial layout according to the stage of industrial innovation and development in the local and surrounding areas, so as to avoid causing errors in industrial innovation development and waste of resources. (2) Paying attention to the stage of industrial development and rationally plan the industrial layout. When improving the innovation capability of local high-tech industries, all regions should pay attention to whether the agglomeration factors owned by local and neighboring regions match the resources required in the stage of industrial innovation development, so as to avoid the inconsistency between innovation and development goals and actual development, resulting in waste of resources. (3) Setting up an innovation platform for high-tech industry, lifting scale effects, and promoting the core competence of high-tech industries. In developing high-tech industry innovations, local governments should clarify the capital composition and innovative development direction of local high-tech industry pillar enterprises. When attracting funds in each stage of innovation, local governments should distinguish and control the sources of funds. For example, a corresponding intermediary institution can be established to compare and screen projects such as capital source, whether to carry technology, and whether there is an industry-university research channel. In this way, we can improve the innovation efficiency and innovation ability of China′s high-tech industries.

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Spatial constraints in nonlocal innovation of cluster firms: A study of the proximity effect

Xiang Xiyao, Pei Yunlong

2021, 42(9): 71-78.

Abstract ( 150 )

An essential task for many Chinese cluster firms nowadays is planning and conducting nonlocal innovative collaboration so as to access to distinct knowledge pools. A large number of studies doubted the influence of spatial distance on cluster firms′ nonlocal innovation. Evidences from both theoretical and empirical researches announced that advanced intelligence communication technology is an effective substitution of face-to-face interaction and thus "the death of geography" becomes one of the most impactful theories in Economic Geography. Besides that, temporary geographical proximity, which benefits cluster firms in keeping them away from falling into lock-in traps, can offset the disadvantage of spatial distance in knowledge diffusion. Otherwise, there are also a group of studies argued that geographical proximity still importance in determining cluster firms′ nonlocal innovative activities since physical distance still negatively affect the construction of nonlocal ties and formation of knowledge network in which actors dispersed in distinct regions. Therefore, whether geographical proximity matters when cluster firms conducting their nonlocal innovative activities becomes a hot topic. Aiming to shed light on this theoretical issue, six hypotheses have been proposed through theoretical review and systematical analysis of both the role of geographical proximity and social proximity on nonlocal innovation of cluster firms. Unlike the majority of previous studies, social proximity has been treated as a moderate variable rather than a mediate factor in this paper since we believe that social relationships between cluster firms and their remote partners are not determined by geographical proximity under nonlocal innovation context.
The effect of geographical proximity on nonlocal innovation has been detected based on a sample covers 114 cluster firms, in which 70% of them belongs to high-technology industry such as bio-medicine and electrical & information and mostly are private-owned companies and 30% comes from traditional industry, in Nanjing, Xi′an and Foshan. All those firms announced that they have nonlocal innovative activities in past three years, 86% of them have constructed important collaborative relationships, ranked as top three closest connections at least, with nonlocal organizations and 82.36% interviewees reported that they have conducted cross-boundary collaborative activities more than one year. Our data are collected through semi-structure interview and questionnaire survey to CEO, director of R&D department or manager who is in charge of innovation related affairs. We measure all the variables adopting methodologies provided by related prior researches from renowned publications, and test the reliability and validity through empirical analysis based on our sample data.
All the six hypotheses have been tested using hierarchical multiple regressions which allows us identify and discriminate the effect of distinct types of proximities and realize the moderate role of different indicators of social proximity. We estimate our theoretical construct in two steps. First, we investigate the effect of geographical proximity on innovativeness and innovation performance. Then, we put four indicators of social proximity, i.e., relationships durance, communication frequency, the number of nonlocal partner as well as the number of nonlocal institutions, into the regression model so as to test the moderate effect of social proximity on the relationships between geographical proximity and firms′ nonlocal innovation. Our regression results indicate that geographical proximity indeed has positive influence on cluster firms′ innovativeness and innovative performance even when considering the effect of social proximity, i.e., the closer of cluster firms with their nonlocal partners, the higher innovation performance they may gain and more advanced technology they can develop, and thus provide direct evidence that the geography still matters which in line with our expectation. However, social proximity can only partially moderate geographical proximity′s effect on nonlocal innovation. Specifically, the number of nonlocal institutions can significantly affect the relationship between geographical proximity and innovativeness. In other word, cluster firms′ nonlocal subsidiaries significantly benefit their innovation collaboration with distant partners. Besides that, relationships durance, number of nonlocal partner as well as number of nonlocal institutions all play significant moderating role on the relationship between geographical proximity and innovation performance. Thus, keeping sustainable interaction, connecting diverse nonlocal collaborators as well as setting up more subsidiaries in distant regions can help cluster firms improve their innovation performance. From above results, we can conclude that the influence of spatial factors cannot be eliminated by social proximity. Thus, we provide indirect evidence that geography still matters. Our results also reveal that only two indicators of social proximity, i.e., the number of nonlocal partner and the number of nonlocal institutions, are positively related to cluster firms′ nonlocal innovation. However, relationships durance and communication frequency, highlighted by many researches as important factors to interaction during the co-invent process, have insignificant relationship with nonlocal innovation. Finally, the reason why our findings are inconsistent with prior studies has been discussed and how to dissolve present theoretical divergence under multi-dimensional proximity frame has been analyzed.
Theoretical contributions of this paper are twofold. First, this research adds to the current literature by responding to the debate of the role of geography in cluster firms′ nonlocal collaboration. Our empirical results support the positive influence of geographical proximity in cluster firms′ nonlocal innovation which provides new evidence for the view that "geography matters" under nonlocal innovation context and in line with the literature of economic geography. Second, we claim that the present theoretical conflict around the role of geography proximity can be reconciled based on the multiple proximities frame. Specifically, cluster firms may not seek to substitute one kind of proximity with another one during nonlocal innovation. Instead, strategy that making better use of various dimensional proximities may be more attractive to them. In conclusion, our findings support the needs to integrate both geography proximity and social proximity into theoretical frame when considering nonlocal innovation activities. To managers who endeavor to construct nonlocal connections and improve firms′ innovation performance, our findings also have several practically implications. For one side, managers should consider spatial distance as a key factor when building co-invent relationships beyond local cluster and clarify the boundary of firms′ nonlocal territory properly. For another thing, it is useful for managers to take advantage of the mutual effect of geographical proximity and social proximity in acquiring nonlocal innovative resources through setting up nonlocal institutions and cultivating social capitals with nonlocal partners so as to rise opportunities to access to distinct knowledge networks.

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A research on the industrial upgrading path of technology spillover under the global value chain——A study from the perspective of heterogeneity based on service input

Chen Weihong, Wang Juan, Zhang Peng, Zeng Ping

2021, 42(9): 79-86.

Abstract ( 207 )

In the past 40 years of the reform and opening-up, China, which has entered the new normal of the economy, is in the late stage of industrialization and faces the severe challenges of economic transformation. The manufacturing industry tries to get rid of the dilemma of factor input, low-end〖JP〗 locking and lack of industrial competitive advantage by implementing the service-oriented strategy to achieve overall transformation and continuous upgrading. The nature of industrial upgrading is a technological advancement, a long-term competition between the rising cost of production factors and the upgrading of industrial value chains. The existence and function of technology spillover effect represent the influence on the existing industrial technology foundation in the process of industrial upgrading. Service inputs reflect the recombination of the resources required to generate new industry knowledge for knowledge fusion. The above two complement each other to support the realization of industrial upgrading. Therefore, technology spillovers are the foundation of the existing industry and occupy a vital position in breaking through the "Low-locked" problem.
In general, there are few studies on industrial transformation and upgrading from the perspective of technology spillovers. In the current China scenario, there are still the following deficiencies: (1) Research on how service transformation affects industrial upgrading is more adequate, but there are few studies on the mechanism of service productivity investment in labor productivity. There is still a lack of research on the effects of different content service elements, which will limit the understanding of the different combination effects of service elements and manufacturing primary elements and the exploration of services to promote industrial upgrading paths; (2) There are many studies on improving labor productivity, but the lack of research on the direct effects of technology spillovers and the indirect effects of service spillovers and technology spillovers is made by incorporating service inputs and technology spillovers into the production function framework. Therefore, it is necessary to consider the factors affecting labor productivity under the new normal of service transformation; (3) Industrial upgrades include intra-industry upgrades and inter-industry upgrades. The existing literature has less discussion on the differences in the elements of inter-industry upgrades. The impact of industrial service transformation on industrial upgrading is more reflected in the indirect role of the existing industrial base, that is, the integration of service elements and the content of the manufacturing industry itself, promoting the efficiency of factor flow and factor allocation, so as to improve factor endowment and achieve Industrial upgrading.
In view of this, this paper has expanded on the basis of the previous research: (1) Whether the service input of different content has different effects on labor productivity in the process of industrial transformation; (2) How the service input content and technology spillovers affect the productivity of labor. How to use the global value chain to optimize this mechanism of action, so as to effectively break the current blockade effect and achieve industrial upgrading? This paper explores the impact of the interaction between service inputs and technology spillovers on labor productivity in the global value chain, and attempts to compare the mechanisms of different service content to the upgrading of China through technology spillover channels to supplement the existing research. In addition, this paper will further enrich the framework of production functions, and provide theoretical basis for how to further develop the effectiveness of service transformation and improve the level of industrial technology.
Aiming at the problem of the existing service element content mode and unclear focus, based on the 2002-2015 China Industrial Panel Data, this paper constructs a theoretical model of manufacturing service investment and technology spillover synergy in the global value chain to promote labor productivity. This paper examines the impact of the interaction between service input heterogeneity and technology spillover on labor productivity in manufacturing, and further explores the effect of global value chain embedding, trying to explore the current mode of action and focus of China′s manufacturing service strategy. In this paper, the feasible generalized least squares method (FGLS) is used for regression analysis. The empirical results show that: (1) embedded in the global value chain does not necessarily help to optimize the effect of manufacturing service investment and technology spillover on labor productivity; (2) effectively use different service content inputs in the process of embedding global value chain promoting the reorganization of factor resources is more important for the improvement of labor productivity; (3) During the transition from low-end industries to high-end industries, the key points and ways of factor input have changed. The manufacturing service strategy is still an extremely important factor in developing the existing industrial base, promoting industrial upgrading, and improving the capacity for independent innovation. Theoretically, this paper believes that the service trap and the low-end locking effect still exist, which is consistent with the conclusions of most scholars (Xiao and Huang, 2018; Lyu et al., 2018; Gebauer and Friedli, 2005). This paper discusses different service contents and their differences, which helps to better understand how the industry in China can more effectively use service transformation to achieve industrial upgrading under the current global value chain environment.
Based on the above conclusions, this paper proposes the following suggestions to try to provide ideas for industrial upgrading: (1) Industry linkage should be strengthened to form a dynamic network that supports the development of manufacturing industry by multi-party service content collaborative evolution; (2) Internalization of service content into manufacturing value chain, local innovation as the primary content, rely on global value chain, not rely on global value chain; (3) Through diversified innovation to break the global structure blockade, effective use of the service elements to achieve modularized development of services is an important way to promote industrial upgrading.

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Timing choice, catching-up trap and capability reconfiguration of enterprises

Zang Shuwei, Zhang Nana

2021, 42(9): 87-93.

Abstract ( 228 )

Innovation is the primary driving force for development. In the past 40 years, a large number of China′s latecomer firms have risen rapidly. While improving their market position and technological strength, they have realized the transformation from latecomer to leader. However, at the same time, the fact that most of the core technologies of China′s latecomer firms are controlled by others has not been fundamentally changed, and many China′s latecomer firms are still at the middle or low end of the global value chain. Under this background, how to choose the best time to catch up, how to avoid the catching-up trap and how to reconfigure the capability in the process of catching up have been the focus of the academia and the industry.
Previous studies have shown that timing choice and capability reconfiguration play an important role in the catch-up process of latecomer firms. However, there are some deficiencies in the studies of scholars in the following aspects: lack of deeper microscopic deconstruction of timing choice, lack of detailed research on catching-up trap, and lack of theoretical matching between capability reconfiguration and catching-up trap. Based on the above recognition, this paper will discuss the problem of China′s latecomer firms catching-up from three perspectives: timing choice, catching-up trap and capability reconfiguration. By analyzing the success and failure of a chip company in the past 15 years, this paper makes an in-depth study of how China′s latecomer firms choose the right time to catch up, how to identify the catch-up traps and how to reconfigure their capabilities in the process of catching up. Considering that the existing literature lacks systematic theoretical support for the above research problems, we adopt the exploratory case study scheme. We hope to enrich the existing theoretical system with the help of the research and discussion of relevant issues, and at the same time, provide some experience and reference for China′s latecomer firms.
It is found that market timing choice, technology timing choice and industry timing choice play an important role in the rapid development of latecomer firms. Among them, market timing is closely related to market demand gap, market stratification structure. The larger the market demand gap and the clearer the market stratification structure are, the more favorable it will be for latecomer firms to carry out catching-up work. Technical timing is closely related to technology update rate, technology acquisition cost. The faster the technology update rate is, the lower the technology acquisition cost will be, the more favorable it will be for latecomer firms to carry out catching-up work. Industrial timing is closely related to industrial division system, internal knowledge flow. The more perfect the industrial division system is and the faster the internal knowledge flow is, the more favorable it will be for latecomer firms to carry out catching-up work.
The research also finds that organizational inertia trap, innovation paradigm trap and brand low-end trap are the main reasons for latecomer firms to catch up with the failure. Among them, organizational inertia mainly comes from the behavioral inertia and cognitive inertia in the decision-making process of latecomer firms. The trap of innovation paradigm mainly comes from the ignorance of technological innovation in the process of catching up and the inability to realize effective collaboration between different innovation paradigms. The brand low-end trap mainly comes from the user demand lock formed by the long-term focus on the low-end market, as well as the lack of strategic planning and maintenance of high-end brands.
In order to avoid the above traps, latecomer firms need to seek corresponding countermeasures from the aspects of organizational capability reconfiguration, innovation capability reconfiguration and brand capability reconfiguration. Among them, organizational capability reconfiguration emphasizes that latecomer firms should improve the organizational dual learning capability (especially exploratory learning capability) by creating an environment and atmosphere conducive to learning, so as to overcome the behavioral inertia and cognitive inertia in the decision-making process. The reconfiguration of innovation capability emphasizes the improvement of latecomer firms in technology innovation through the realization of effective collaboration between different innovation paradigms and more diversified technology acquisition approaches. The reconfiguration of brand capability emphasizes that latecomer firms should not only formulate effective brand positioning strategy, but also construct efficient brand management system in the process of catching up with latecomer firms, so as to realize the transformation of brand from low-end to high-end.
The above research firstly deconstructs the theoretical black box of catching-up timing of latecomer firms from the micro level, which provides a reasonable theoretical support for explaining the rapid development of latecomer firms in the early stage. Secondly, it analyzes the reasons for the failure of latecomer firms to catch up, and interprets and refines various traps in the process of catching up, which can provide theoretical foundation for the follow-up empirical research. Finally, the specific dimensions of latecomer firms′ capability reconfiguration under the framework of catching-up are defined, and a complete closed-loop theoretical system is formed by establishing the logical connection between capability reconfiguration and catching-up trap. Practical significance: on the one hand, with the continuous improvement of market position and technical strength, it has become an irresistible trend for China′s latecomer firms to transform from latecomer to leaders. In this context, how to identify opportunities and choose the best timing to catch up has become the most urgent problem facing China′s latecomer firms. The exploration and analysis of market timing, technology timing and industry timing in this paper can provide feasible experience and reference for China′s latecomer firms. On the other hand, due to the long process of catching up, the analysis and interpretation of organizational inertia trap, innovation paradigm trap and brand low-end trap in this paper will help China′s latecomer firms to be more vigilant and reduce the risk of catching-up failure. In addition, targeted discussions on organizational capability reconfiguration, innovation capability reconfiguration and brand capability reconfiguration can also provide theoretical guidance and inspiration for China′s latecomer firms to focus on capability reconfiguration and avoid the catching-up trap.

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Patent auction model in the bankruptcy period of technology companies and enlightenment

Xu Ming, Jiang Nan

2021, 42(9): 94-102.

Abstract ( 141 )

The validity of patent right is based on timely payment of annual fee. Once the patentee goes bankruptcy, the qualification of enterprise entity will be cancelled. Although the patent itself still has value, patent right will be terminated because no one pays annual fee after bankruptcy. During bankruptcy period, patents can be used to realize the technology transfer through auction procedure, which can not only repay the debts of enterprises to maximum extent, but also extend the validity and value of these patents. This article focuses on the question: how to achieve the continuation of patent value through patent auctions during the bankruptcy period of technology companies.
Patent is different from general property, auction is different from bilateral negotiation, bankruptcy is different from enterprise existence, so it is necessary to fully consider the cross areas formed by these three differences. Recent academic research has clearly demonstrated three levels: first, patent is a property right that can be transferred through auction; second, the disposal of patent rights should be carefully considered during bankruptcy period; third, the auction method can maximize the benefits during bankruptcy period, and different auction method greatly affects the probability of final transaction. On the basis of existing research, this article focuses on next level: establishing a patent auction mechanism during the bankruptcy period.
Through the study of patent characteristics, auction motivation in bankruptcy period, basic patent auction model and multi bidders auction model, five basic propositions are obtained. First, if the business owner wishes to continue using the patented technology after bankruptcy, he will not initiate patent auction procedure by his own. Second, if the cost of the patent auction is lower than the revenue of patent auction, patent auction procedure should be activated by creditor committee. Third, the higher R&D cost of a patent, the greater probability of patent will be sold by auction. Fourth, the more companies that participate in patent auction, the greater probability of patent to obtain a higher revenue. Fifth, allowing to participate in patent auctions in form of alliances can reduce the cost and risk of each company members.
Based on the research design above, five proposals are proposed. First, clarify the situation of compulsory patent auction. For state-owned enterprises, state-funded projects, and debt enterprises, there should be considered to start a compulsory patent auction procedure during bankruptcy period. Second, reduce the cost of patent auctions. The delivery of auction information can be achieved through industry associations, patent union organizations and other organizations. Internet companies have established auction platforms in recent years, and competition between auction platforms will also help reduce the cost of patent auction. Third, patent portfolio auction should be encouraged. Patent portfolio has more patent types, covers a larger scope of protection, and reduces the duplication cost in evaluating each patent. Fourth, use centralized bidding instead of single inquiry. In the specific auction process, try to use the mode of centralized bidding by multiple companies, which can not only create an auction atmosphere, but also help to get a higher revenue. Fifth, encourage a multi-modal patent auction model. British auction mode, Dutch auction mode, First-Price auction mode and Second-Price auction mode can be introduced to patent auction procedure, which can be able to find the most suitable model for patent auction during bankruptcy period in practice.
On June 18, 2020, the China Auction Industry Association issued the "Intellectual Property (Patent) Auction Regulation", which is implemented on October 1, 2020. This regulation fills the gap in China′s patent auction standards and speed up the transfer of patent rights. For bankrupt enterprises, patent assert can be auctioned in accordance with this regulation during bankruptcy period, which can not only realize the continuation of the patent value, but also be beneficial to repay debts to creditors.

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Is alliance portfolio reconfiguration helpful to cooperative innovation performance?

Wu Yanbo, Shao Yunfei

2021, 42(9): 103-111.

Abstract ( 207 )

When technological discontinuities disrupt markets, firms have incentives to form alliances in order to gain access to relevant new resources. Such alliances for new resources add to a firm′s alliance portfolio, which is a set of partnerships that the firm manages collectively. An alliance portfolio aggregates all needed network recourses, transferable as capital, information and technology, and other social-specific resources, such as legitimacy, status and reputation. It is well recognized that an alliance portfolio itself has become the source of sustainable competitive advantage over competitors. However, with the change of the external environment and the increase of the diversity of partners, the problem of "capability trap" is faced on the basis of the accumulation of alliance core competence. Therefore, in order to overcome the capability rigidity and the ability trap of leapfrogging, reconfiguring alliance portfolio efficiently has become an urgent and challenging issue for all firms.
However, some scholars offer two contrasting perspectives on the reconfiguration of alliance portfolio. On the one hand, alliance portfolio reconfiguration leads to disruption, and thus it increases the risk of subsequent innovation project termination. Alliance partners tend over time to develop interfirm routines for working together. In an alliance that is reconfigured after formation these routines are likely to be upset—disrupting established patterns of interaction and coordination mechanisms that all crucial to alliance effectiveness. On the other hand, portfolio reconfiguration leads to adaptation; therefore, it decreases this risk. Alliances derive their value from allowing collaborating partners to gain access to new knowledge and technologies, to share risk, or to pool resources and capabilities. Changes in the environment in which an alliance operates may erode the value of the initial configuration of partners established at the time of alliance formation. Alliance portfolio reconfiguration, whether by adding a new member, or by dropping one, may thus be an opportunity to recalibrate the alliance to a changing environment. In contingency-theory this is seen as a "structural adjustment to regain fit", which may actually be beneficial.
Based on network theory and dynamic capability theory, in view of the inadequacy of existing research, this study analyzes the effect of alliance portfolio reconfiguration on cooperative innovation performance. Furthermore, a theoretical model, comprised of the direct effect of alliance portfolio reconfiguration on cooperative innovation performance, is proposed to examine the mediating effect of alliance legitimacy and the moderated mediator role of environmental dynamism on the relationship between alliance portfolio reconfiguration on cooperative innovation performance. The theoretical model reveals the mechanisms that alliance portfolio reconfiguration affects cooperative innovation performance.
What is more, the questionnaires, developed by scales in literature from authoritative journals and field investigations, are filled in by the middle, and senior managers from 650 firms in strategic emerging industries of China, and 336 of which are valid. And then, related data analysis methods, such as reliability test, validity test, hierarchical regression analyses, are adopted to validate the proposed hypotheses and theoretical model via STATA 14.0 and Mplus 7.0.
The empirical evidences show that: (1) Alliance portfolio functional reconfiguration can significantly (p＜0.01) enhance cooperative innovation performance, and alliance portfolio structural reconfiguration can also significantly (p＜0.01) enhance cooperative innovation performance; (2) The remarkably positive relationship between alliance portfolio reconfiguration (alliance portfolio functional reconfiguration and alliance portfolio structural reconfiguration) and alliance legitimacy is observed (p＜0.01), and the similar result exists between alliance legitimacy and cooperative innovation performance (p＜0.01). Also, the significance of the positive relationship between alliance portfolio reconfiguration (alliance portfolio functional reconfiguration and alliance portfolio structural reconfiguration) and cooperative innovation performance is weakened (p＜0.05) because alliance legitimacy is involved in the regression model. That is to say, alliance legitimacy plays a partly mediating role in the relationship between alliance portfolio reconfiguration (alliance portfolio functional reconfiguration and alliance portfolio structural reconfiguration) and cooperative innovation performance; (3) Environmental dynamism positively moderates the relationship between alliance portfolio functional reconfiguration and cooperative innovation performance, and the same effect is verified on the relationship between alliance portfolio structural reconfiguration and cooperative innovation performance. Additionally, environmental dynamism moderates the mediating effect of alliance legitimacy on alliance portfolio functional reconfiguration on cooperative innovation performance, and environmental dynamism moderates the mediating effect of alliance legitimacy on alliance portfolio structural reconfiguration on cooperative innovation performance.
Overall, the research conclusions of this article deepen the understanding of the basic question of how alliance portfolio reconfiguration affect cooperative innovation performance. The contributions are as follow: (1) We select alliance portfolio as research objects, that is to say, treat all the alliance partners of a firm as a whole, and regard alliance portfolio reconfiguration as the antecedent variable of innovation performance. That transcends the limit that most existing literature focuses on the management of the single alliance, and expands the theoretical research on alliance management from a broader perspective. (2) This study found that both the functional reconfiguration and structural reconfiguration of alliance portfolio have significantly positive impacts cooperative innovation performance．The finding deepens our understanding of the dynamic management process of alliance portfolio and expands the application of the resource based theory in alliance portfolio research． Therefore, it provides certain reference for further research on dynamic management of alliance portfolio. (3) This study also verifies the mediating role of alliance legitimacy on the relationship between alliance portfolio reconfiguration and cooperative innovation performance through integrating network theory and institution theory. It further reveals the internal impact mechanism of alliance portfolio reconfiguration and cooperative innovation performance as well as deepens our understanding to the impact mechanism of legitimacy perception. (4) Based on the alliance network mechanisms, this research explores the influence process of alliance portfolio reconfiguration and cooperative innovation performance, and discusses the moderation effect of environmental dynamism in this process. In addition, environmental dynamism moderates the mediating effect of alliance legitimacy on alliance portfolio reconfiguration and cooperative innovation performance. By doing this, it extends the scope of contingency theory, and helps the research area of alliance portfolio moving forward, thus provides us a more comprehensive and in-depth understanding about alliance strategy and behavior.

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The impact of openness heterogeneity of industry-university-research cooperation on the innovation performance of firms

Gao Xia, Cao Jieqiong, Bao Lingling

2021, 42(9): 112-119.

Abstract ( 240 )

In the era of knowledge economy, open innovation has gradually become an important way for enterprises to obtain the key resources needed by technology innovation. Industry-university-research cooperation is one of the important forms of open innovation. It is also important for enterprises to seek external technical resources to break through their own resources and capacity constrains so as to achieve innovation performance. The heterogeneity of organization and the complementarity of knowledge are the motivation and foundation for enterprises to cooperate with universities and research institutions. Exploring the relationship between openness heterogeneity and innovation performance for industry-university-research cooperation can not only enrich the open innovative theory, but also play an important role in the selection of enterprise partners and the establishment of rational enterprise R&D cooperation strategy.
Cooperation openness is an indictor to describe the degree of cooperation between enterprises and external organizations, including the breadth and depth of cooperation. The breadth of cooperation refers to the extent to which an enterprise establishes cooperative relations with other organizations. The more extensive the enterprise cooperation is, the more beneficial it is to widen the breadth of the knowledge base, to increase the type of knowledge source, and to promote the innovation performance. The depth of cooperation refers to the average number of cooperation between enterprises and partners. It means that enterprises absorb the depth of external information and knowledge from external sources of knowledge. Industry-University-Research institution through deep-level cooperation can strengthen the degree of trust, establish lasting trust relationship, weaken knowledge transfer risk and cost, reduce information asymmetry and improve innovation ability.
Scholars pay less attention to the research on the effect of openness heterogeneity for inter-organizational cooperation on innovation performance. To make up for the lack of existing research, the Industry-University-Research institution (I-U-R) cooperation networks have been created with three-year windows, based on co-applied patents data from the State Intellectual Property Office (SIPO) in the Chinese Information and Communication Technology (ICT) industry during 1999-2015. With a longitudinal sample of 14, 596 Chinese firms we analyze the impact of heterogeneous openness of universities and research institutions on firm innovation performance using the negative binomial regression method.
The results show that the regression coefficients of enterprise-enterprise and enterprise-university cooperation breadth were significantly positive at the significant level of 5%. It means that the cooperation breadth of enterprise-enterprise and enterprise-university has a positive impact on innovation performance of the enterprise. The regression coefficients of cooperation breadth for enterprises-research institutions were significantly negative at the significant level of 1%. It means that the cooperation breadth of enterprises-research institutions has a negative impact on innovation performance of the enterprise. In terms of cooperation depth, the regression coefficients of for enterprise-enterprise cooperation has not passed the significant test. This show that the cooperation depth of enterprises enterprise has no significant impact on innovation performance of the enterprises. The regression coefficients of enterprise-university cooperation depth were significantly positive at the significant level of 1%. It means that the cooperation depth of enterprise-university has a positive impact on innovation performance of the enterprise. The regression coefficients of for enterprise-research institutions cooperation has not passed the significant test. This shows that the cooperation depth of enterprises-research institutions has no significant impact on innovation performance of the enterprises. In general, whether the cooperation between enterprises and universities is extensive or deep level, all has significant impact on innovation performance of the enterprises. So, the universities play an important role in improving the innovative performance of ICT enterprises in China. But the research institutions promoting effect on innovation performance of ICT enterprises need to be further improved.
Industry-university-research cooperation has always been the core problem of the phenomenon of "two skins" between science and technology and economy in China. The key to industry-university-research cooperation is to strengthen and highlight the enterprise main position in technology innovation, to speed up the establishment of enterprises as the main market-oriented, in-depth integration of innovative-technology system. Therefore, the industry-university-research cooperation should pay attention to the depth of integration. The conclusions of the study provide a theoretical basis for the design of the mode of in-depth integration of industry-university-research in China. At the same time, it will also help to further improve the theory of open innovation. Policy suggestions are as follows.
First, strength the depth of integration between enterprises and research institutions to build research and development platform. Generally speaking, the R&D personnel in the enterprises and the experts in research organization have different goals. The former emphasizes the applicability of technology, while the latter emphasizes the advancement of technology. By enterprises and research institutions to build laboratories, engineering research centers or other R&D platforms is to promote the in-depth exchange and integration of talent, technology and information. The two sides jointly carry out scientific and technological transformation of enterprises, production development and tackling key scientific and technological problems, so as to directly promote the transformation and application of scientific and technological achievements.
Second, it should carry out the major project of combining industry-university-research in science and technology, build a public service platform for the transformation and incubation of S&T achievements and the innovative alliance, improve the system and mechanism of innovation, vigorously promote the synergy innovation between industry-university-research, and continue to expand the depth and breadth of cooperation between the main innovation bodies. Encourage more and more university and research institutions to break the traditional focus on academic research or closed R&D ideas, based on the needs of enterprises to carry out targeted innovation and services. Encourage more and more university and research institutions to play an important role in some core technologies and modules of the R&D process.
Due to the availability of data, the paper uses joint patent application as a measure of industry-university-research cooperation has some limitations. In the future research other indicators of industry-university-research cooperation should be expanded.

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A research on the influence mechanism of entrepreneurial passion on entrepreneurial success

Zhang Xiu′e, Li Mengying

2021, 42(9): 120-126.

Abstract ( 250 )

In recent years, entrepreneurial environment has been constantly improved, effectively promoting the development of China′s entrepreneurial activities, and new enterprises have become a huge driving force to provide employment and promote economic development. According to the "Global Entrepreneurship Monitor 2017/2018", China′s entrepreneurship index is higher than most innovation-driven countries. Although the entrepreneurial activity index is high in China, the success rate of entrepreneurship is very low. Therefore, exploring the factors that influence the entrepreneurial success has become an important topic of academic research. Some scholars from the individual level that entrepreneurial success is the success of the entrepreneurs, but due to the success of entrepreneurs rely on business success, especially in large and medium-sized enterprises, entrepreneurial success is not simply equal to the success of the entrepreneurs, so more and more scholars from the organization level entrepreneurial success is defined as start-up success. Lafuente et al. (2013) believed that entrepreneurial success depended on the level of financing, internationalization, marketing and sustainable development for entrepreneurial enterprises. Rahman et al. (2015) believe that the continuous growth of financial and non-financial performance of new organizations represents the entrepreneurial success. Based on this, this paper defines entrepreneurial success from the organizational level as each indicator of a new enterprise reaches the expected standard or high standard of the industry.

Entrepreneurship is not a smooth road, but a complex and lasting process, in the process of entrepreneurship there are many factors affecting the ultimate entrepreneurial success. Entrepreneurs are the key figures throughout the process of starting a business, and their emotions, motives and other factors are very important. In entrepreneurial process, entrepreneurial passion is entrepreneur positive emotions, the mood is the result of entrepreneurs to participate in activities for their identity, studies have proved that entrepreneurship plays an important role in business success, having passion of entrepreneurs will invest more time and resources, efforts to study relevant knowledge, to identify and use of new opportunities, overcome difficulties and challenges in the process of entrepreneurship, achieve business success. Although entrepreneurial passion is very important for the survival and development of enterprises, few literatures discuss how and to what extent entrepreneurial passion affects the entrepreneurial success. Self-regulation theory holds that when an individual believes that a goal has value or that an individual enjoys the process of pursuing a goal, he will pursue the goal more persistently. More specifically, passionate entrepreneurs are more persistent. Cardon (2009) proposed in his research on passion that passion can influence entrepreneurial results because entrepreneurial passion is the key driving force for entrepreneurs to stick to when they encounter difficulties, which was confirmed by Breugst (2012) through empirical evidence. Although entrepreneurs to emotional and behavioral factors on the entrepreneurial success has important influence, but entrepreneurs even if insist on entrepreneurship in front of difficulties and challenges, also may not be able to achieve business success, entrepreneurship is a complex social process, entrepreneurial largely influenced by external environment, environmental dynamics is an important external factor effect the success of the business. Enterprises are often in a highly competitive and rapidly changing environment, and social, cultural and political factors will have a huge impact on enterprises. The external environment of an enterprise is significantly dynamic, which is manifested by the change of technology, the change of customer preference and the fluctuation of product demand or material supply. When an enterprise is in a highly dynamic environment, its existing products and services are easily outdated and its positioning of the current market is not clear enough. All these factors will hinder the entrepreneurial success, even if the entrepreneur chooses to stick to entrepreneurship. Therefore, there must be a connection between entrepreneurial passion, entrepreneurial persistence and entrepreneurial success, and between entrepreneurial persistence and entrepreneurial success will be affected by the dynamic environment. However, at present, there are few studies on entrepreneurial passion, entrepreneurial persistence and entrepreneurial success in China, and the research on the integration of the three is rare.

This paper proposes the path action process of "entrepreneurial passion-entrepreneurial persistence-environmental dynamics-entrepreneurial success", mainly studies the relationship between entrepreneurial passion, entrepreneurial persistence, environmental dynamics and entrepreneurial success, and explores the internal mechanism of how individual entrepreneurs and environmental factors jointly influence entrepreneurial success. Taking 236 business owners as research objects, SPSS24.0, AMOS24.0 and other data processing software were used to test the relationship between entrepreneurial passion, entrepreneurial persistence, environmental dynamics and entrepreneurial success. The results show that entrepreneurial passion has a significant positive impact on entrepreneurial success, that is to say, entrepreneurs with passion are more likely to achieve entrepreneurial success; Entrepreneurial persistence plays an intermediary role in the mechanism of entrepreneurial passion for entrepreneurial success. Environmental dynamics will have a negative impact on the relationship between entrepreneurial persistence and entrepreneurial success. Environmental dynamics mediates part of the mediating effect between entrepreneurial persistence and entrepreneurial success.
The research conclusion of this paper has the following significance. First, this paper reveals the impact of entrepreneurs′ emotional and behavioral factors on the entrepreneurial success. At present, the research on antecedent variables of entrepreneurial success at home and abroad is still in the exploratory stage. Most existing studies start from the organizational level, but entrepreneurs play a crucial role in entrepreneurial success through the whole entrepreneurial activity. This paper supplements and improves the existing research, and deeply explores the antecedent variables of entrepreneurial success from the individual level. Second, although some scholars have proposed the positive impact of entrepreneurial passion on entrepreneurial success, they have not systematically investigated the mechanism of entrepreneurial passion on entrepreneurial success. This study from the emotional factor, the behavior and the relationship of entrepreneurial success, explores entrepreneurial passion, the relationship between entrepreneurial persistence and entrepreneurial success, studied the impact of entrepreneurial passion on entrepreneurial success mechanism, opened from entrepreneurial passion to "black box" of the role of entrepreneurial success, explore the different paths in entrepreneurial success. Third, it explores the moderating role of dynamics in the relationship between entrepreneurial persistence and entrepreneurial success. At present, the external environment has an increasing influence on the entrepreneurial results. This study has incorporated environmental dynamics into the theoretical framework to jointly explore the influence mechanism of entrepreneurial success from the perspective of individual entrepreneurs and the environment.

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A research on the enterprise-embedded innovation mechanism of supervision：An evolutionary analysis of two cases based on free trade pilot zones in China

Ai Dezhou, Li Yu

2021, 42(9): 127-133.

Abstract ( 140 )

As the Chinese government keep implementing the reform of "release power, management and service" strategy and grass-roots servicization policy, cooperative governance has become an important innovative orientation of the construction of modern governance system. Enterprises can take social network relationships as the carrier, while relying on strong and weak links with the government and business-related enterprises to achieve network interactions, so as to improve the institutional environment and achieve innovation performance. But due to the western value orientation of "role locking" in social network relationships, there are very few researches on the enterprise-embedded governance system reform which is represented by "regulating co-governance" and enterprises′ breakthrough of regulatory system constraints through special capacity building and multi-dimensional innovation of their own business and external supervision under complex institutional environment. That is to say, from the perspective of practice orientation, the micro-governance reform of the modern governance system of China pilot free trade zone has gone ahead of theoretical research in order to meet the actual needs of the government′s regulatory reform oriented by the demand of market subjects. We urgently need to study how to realize the innovation of enterprise "embedded" decision-making mechanism from enterprise appeal expression to supervision.
As for the research methods, this paper adopts dual-case analysis and studies the case evolutionary process and theoretical development of the customs clearance mode of global quality traceability system initiated by Guangdong Nansha customs and the enterprise-embedded innovation mechanism of supervision improved by Dalian customs. At the same time, the case description, case analysis and case applicability discussion are presented systematically by using normative qualitative research method.
Firstly, the paper presents the global quality traceability system supervision and customs clearance mode advocated by Chinese pilot free trade zone, Guangzhou Nansha new district, and studies the construction path of open governance environment based on the sharing of regulatory rules. The global quality traceability system has been copied and promoted in Guangdong ports, which provides a cutting-edge model for promoting the construction of China′s quality traceability system, and has won a positive response from international interests. Based on the mechanism analysis, the problems of global quality traceability system are analyzed theoretically. Intellectualization, on the contrary, aggravates the absence of supervision subjects in the original supervision system. The mass data processing involves several different specialties, which calls for a good level of expertise in supervision. To put it in other words, the comprehensive characteristics of daily data as well as the professional call and continuous optimization of industry supervision have become urgent issues under the absence of supervision subject. In the case of the prominent problem of intelligent decision-making structure, regulators must give priority to the problem of the absence of the main body of open cooperative governance under the sharing of regulatory rules.
Secondly, the paper presents the case of enterprise-embedded innovative pattern of customs supervision constructed by Dalian Administration of Customs and studies the innovation mechanism of multi-subject participation. It significantly reduces the operating cost of the enterprise and optimizes the insufficient participation of multiple subjects in the cases of the traceability system of specialization and supervision. On the basis of mechanism analysis, the validity and applicability of enterprise-embedded innovative mechanism of customs supervision are analyzed theoretically. Then it puts forward the construction path and emphasis of the multi-subject participation mechanism of co-supervision. In conclusion, the embedding of the supervision subjects′ expertise can optimize the subject absence problem of cooperative governance, which helps achieve the incentive compatibility of innovation performance among top regulatory subjects, intermediate regulatory participants and the market subjects being regulated.
Thirdly, the paper analyzes the effectiveness of the enterprise embedded innovation mechanism proposed in this paper, and at the same time elaborates the theoretical effectiveness, reform direction effectiveness and operation operator effectiveness respectively. Generally speaking, the embedded innovation mechanism of regulated enterprises achieves the vertical and deep embedding of the governance chain based on the combination of professionalism and business, surpasses the single way of "voting with the feet" of traditional public economics, and realizes the relevance and effectiveness from cooperative governance to cooperative innovation. The "embedded" innovation mechanism of supervised enterprises conforms to the reform orientation of the modernization of China′s national governance system and governance capacity. Although there is still room for deepening and improving the case results, the reform in the deep-water area and the latest reform practice can provide a new reference for the modernization reform of grassroots governance. On the whole, professional embedding can optimize the subject vacancy problem of cooperative governance, so as to achieve the compatibility of innovation performance incentive between top regulatory subject, intermediate regulatory participant and regulated enterprise.
Last but not least, this study extracts the operating mechanism of enterprise-embedded innovative pattern of supervision and points out that the key of cooperative governance system is to give full play to the advantages of efficient, pluralistic, timely and effective feedback and professionalism of cooperative governance. As we all know, although government regulation, third-party coordination, public supervision and corporate standardization all have their inherent positions, it is not necessary to define the roles of government and enterprises as opposites. At the same time, the leading concept of the administrative system reform of Chinese government, "release, manage and serve", includes the idea of integration and harmony. It comes from practice and serves the development needs of market subjects. In principle, the enterprise-embedded innovative pattern is itself an effective mobilization of external resources of the government. Hence, in the process of mobilizing the participation of multiple subjects, we should focus on solving the problems of the longitudinal and profound embedding of the governance system and the incentive compatibility of multiple subjects. As far as I am concerned, the enterprises are the most creative production factor. Through capacity building, them can not only improve the institutional environment, but also realize bad speculation on new rules. As a result, in the stage of intellectualization exploration, the core of enterprise-embedded innovative pattern of supervision is the interactive process among the market subject, the supervision subject and the system environment. In sum, this study helps to strengthen the re-understanding of cooperative governance theory in the Chinese context and provides a frontier model for the enterprise-embedded innovative pattern of supervision.

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A research of rolling wave planning on R&D and innovation projects

Zhang Xiaofang, Men Zhuowu, Li Chufu

2021, 42(9): 134-139.

Abstract ( 526 )

With the speedup of new product and technology development, R&D and innovation project is taking the way of large-scale, integrated and industrialized. It is becoming more and more important to occupy market fast for the sustainable development and commercialization of projects. The traditional management method for R&D and innovation project is not adapted anymore. In this paper, features of R&D and innovation project and management status are introduced. Although the theory of project management was introduced in China early, the project management ability is not as strong as it should be. The main problems are as follows. First, most project management members are selected from scientific researchers, so that the modern and scientific management theory and experience was lacking in them. Second, project management success in an organization is highly dependent on an effective organizational communication style, especially in the face of globalization of the project management profession. Third, no baseline is created at the start. Baseline is the approved version of a work product that can be changed only through formal change control procedures is used as a basis for comparison. In this case, the project scope cannot be clearly identified, so that the project work sometimes will exceed project scope to have a project delay and over-budge, which will have a bad impact on project success and lead to a waste of resources. In terms of the present problems mentioned above, a concept of benchmarking is raised, and a project management method is illustrated, in which rolling wave planning and digital technology is combined.
Because of the long execution period, decomposition may not be possible for a deliverable that will be accomplished far into the future. In order to solve this problem, rolling wave planning was developed. Rolling wave planning technique is to have a more general, high-level plan during the early strategic planning, as more is known about the upcoming events in the near term, a more detailed work breakdown structure (WBS) can be decomposed. Because it is a form of progressive elaboration, work can exist at various levels of detail depending on where it is in the project life cycle. In this paper, work is planned by year. Project management team does not need to have a detailed plan for the entire execution period. A detailed annual schedule plan should be created by the project team instead of an overall schedule plan. By means of decomposing the upper annual work breakdown structure levels into lower-level detailed components, annual project performance baseline is formed. In this way, inaccuracy of schedule plan caused by the uncertainty of technology development will be eliminated. In the process of execution, project management team should organize a stage check to make sure the annual deliverables to be completed at the end of each year. There are two circulations when rolling wave planning is applied. One is the annual plan within the execution year-execute- check circulation, the other is the stage check-annual rolling wave plan for the next year-execute circulation. During the annual execution of the project, Plan-Do-Study-Act (PDCA) circulation management system is applied to help identify issues and make changes to the planning in time. At the end of each circle of PDCA, some new inputs arising from approved changes will be added for the baseline to better tie the requirements to the overall quality planning for the project. Therefore, a new baseline is formed. Based on the work breakdown structure by rolling wave planning, a project management software "MS Project" is used to establish an annual schedule network model. Annual schedule network model can help project to monitor project schedule, cost and quality in real time and to achieve efficient, dynamic and precise management.
According to the practice on rolling wave planning, a very satisfied result was achieved in National Key R&D Program "Advanced Coal Indirect Liquefaction & Product Processing Integrated Technology Development". It is proved that annual schedule plan can help the project team to focus on the recent tasks, which will lead to a reasonable resource allocation and encourage the project members to have confidence to the deliverables in order to achieve the final objective efficiently. In all, using the method presented in this paper can simplify process of implementation, increase management efficiency and enhance the success rate, which can apply to the management of large-scale, market-driven and complex projects. It can provide reference for the management of R&D and innovation project in the future. However, the method and process presented in this paper should be tailored to the individual project to satisfy the specific needs. Project management team who makes the tailoring decisions should follow the principle of simple, reasonable and available, and choose the adaptive management methods and process according to the levels and stage of implementation to guarantee the management work develop efficiently. Digital technology should be fully applied in practice, which can increase the work efficiency, improve the quality and reduce the work intensity for project team.

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Management incentives, institutional investor shareholding, and corporate heterogeneous R&D investment

Ma Qingkui, Fan Mengchen

2021, 42(9): 140-149.

Abstract ( 285 )

This paper aims to explore the impacts of management incentives on corporate R&D investment from the perspective of heterogeneity. Based on the review of relevant theories, this paper puts forward hypotheses about the impacts of equity incentive and compensation incentive on heterogeneous R&D investment and the moderating effect of institutional investor shareholding on the above relationships. Then, using the panel data of Chinese listed companies from 2007 to 2016, the two-stage least square method (2SLS) is adopted to conduct an empirical test. The results show that equity incentive has a significant promoting effect on both research investment and development investment. Compensation incentive has a positive effect on development investment, while the relationship between compensation incentive and research investment shows an inverted "U" shape. With the increase of the shareholding ratio, the supervisory role of institutional investors on corporate investment decision becomes stronger, which strengthens the impacts of equity incentive on research investment and development investment, and crowds out the impacts of compensation incentive. R&D investment can not only improve the current corporate performance, but also have positive effects on future corporate performances, and there is an obvious period difference between the impacts of research investment and development investment on future corporate performances.
The possible theoretical contributions of this paper are as follows. First, based on the perspective of heterogeneity, the impact mechanisms of equity incentive and compensation incentive on research investment and development investment are explored, and conclusions such as the threshold effect of the impact of compensation incentive on research investment are obtained. This makes up for the lack of structural attention to R&D investment and expands the research on management incentives and corporate R&D investment. Second, the promoting or crowding-out effect of institutional investor shareholding (external governance mechanism) on management incentives (internal governance mechanism) is also considered, which makes up for the lack of previous studies that focused on the impact of a single governance mechanism on corporate R&D investment, brings the internal and external governance mechanisms into a unified analysis framework, and expands the research on corporate governance and corporate R&D investment.
According to the above conclusions, the policy implications of this paper are as follows. First, companies should establish an equity incentive mechanism that adapts to innovation-driven development, appropriately improve the level of equity incentive, and expand the coverage of equity incentive. It is necessary to improve the level of equity incentive of top management through various methods such as equity awards and stock options, and include core R&D personnel and management personnel into the scope of equity incentive through employee shareholding plans. Thus, the level of R&D investment that can increase the long-term corporate value can be increased, and the problem of weak long-term performance growth caused by insufficient R&D investment can be solved. Second, companies should appropriately control the level of top management compensation, link compensation to reasonable consumption, design a top management incentive system that adapts to the long-term corporate development in combination with equity incentive, and avoid insufficient or excessive R&D investment caused by the risk attitude of top management. Third, in order to improve the performance of top management and enhance the long-term corporate value, the institutional investor shareholding ratio should be increased, and the external supervision mechanism of top management should be improved with the help of professional institutional investors. Fourth, corporate R&D investment not only positively affects current performance, but also has significant promoting effects on future performances. Companies should pay sufficient attention to the transition of R&D investment from the research stage to the development stage, so as to ensure the continuity of benefits.

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A research on the mechanism of collective psychological ownership affecting the entrepreneurial team performance

Liang Yan, Zhao Chenhui

2021, 42(9): 150-156.

Abstract ( 217 )

Under the background of "mass entrepreneurship and innovation", innovation and entrepreneurship have ushered in the era of golden development. More and more new ventures are established by entrepreneurial teams. However, although there are many entrepreneurial teams, most of them are short-lived, and there are very few real developments. Therefore, how to improve the performance of entrepreneurial team and promote the success of entrepreneurship has been widely concerned by all circles of society. Although there have been many studies on the factors affecting the entrepreneurial team performance from the perspective of team composition and team interaction process. However, on the one hand, there is a lack of attention to the integration dimension in the process of team interaction, and the integration dimension, that is, the extent to which the entrepreneurial team as a group exhibits mutual integration and team consistency in the process of cooperation, is considered to be the key factors affecting the performance of entrepreneurial teams. On the other hand, collective psychological ownership is an integrated dimension factor that plays an extremely easy role in the interaction of entrepreneurial team members. However, the existing research still lacks the discussion about the relationship between collective psychological ownership and the entrepreneurial team performance, and does not analyze the mechanism of action between them. Therefore, the article chooses to study the performance of entrepreneurial team from the perspective of collective psychological ownership with realistic possibilities and very important innovation.
Specifically, based on the relevant theoretical perspectives of group psychology, combined with the characteristics of entrepreneurial teams, this paper explores the intermediary mechanism and boundary conditions of collective psychological ownership affecting the performance of entrepreneurial teams from the perspective of team learning and team task interdependence, and uses SPSS21.0 and MPLUS7.0 to analyze the sample data of 173 entrepreneurial teams in China.
Firstly, through the correlation analysis and structural equation modeling analysis, the article finds that collective psychological ownership in the entrepreneurial team has a positive impact on team learning and entrepreneurial team performance, that is, the higher the collective psychological ownership, the stronger the team learning behavior and team performance in the entrepreneurial team. Secondly, the article uses the structural equation model to test the mediating effect and finds that team learning has a partial mediation between collective psychological ownership and entrepreneurial team performance, and the effect of collective psychological ownership on the performance of entrepreneurial teams is 61.330% that works through team learning. That is to say, in addition to the direct positive impact on the performance of the entrepreneurial team, collective psychological ownership can also exert an indirect positive impact on the performance of the entrepreneurial team through the intermediary role of team learning. Finally, the article uses the moderated mediation model level test method to analyze the adjustment effect of team task interdependence in the indirect mechanism of collective psychological ownership affecting the performance of entrepreneurial team and find that the team task interdependence has a significant negative regulation effect in the intermediary mechanism of collective psychological ownership and entrepreneurial team performance: the higher the degree of team tasks interdependence, the weaker the positive impact of collective psychological ownership on team learning and entrepreneurial team performance, the weaker the intermediary role of team learning between collective psychological ownership and entrepreneurial team performance.
In theory, this paper reveals the transmission mechanism and boundary conditions of collective psychological ownership affecting the performance of entrepreneurial teams, and mainly has three contributions. Firstly, based on the characteristics of the entrepreneurial team that distinguishes it from the general corporate team, this article connects the collective psychological ownership with the entrepreneurial team performance for the first time from the integration dimension. It is found that when the entrepreneurial team members think that the target is collectively shared, it helps to improve team performance, which provides a new perspective for the antecedent study of entrepreneurial team performance. Secondly, this article uncovers the "process black box" that collective psychological ownership affects the performance of entrepreneurial teams, which has important constructive significance. Thirdly, based on the theory of social loafing, this paper clarifies the boundary conditions of collective psychological ownership affecting the performance of entrepreneurial teams, and enhances the contextual characteristics of the relationship between them.
In addition to the theoretical contribution, the research results of this paper also have important implications for the management of the entrepreneurial team. Specifically, this study provides an effective path to improve the entrepreneurial team performance from the perspective of collective psychological ownership and team task design and believes that it is an effective measure to promote entrepreneurial success by enhancing the collective recognition and ownership of core members by the shared vision and reducing the situational factors that are not conducive to teamwork. First, entrepreneurial team leaders should consciously cultivate and improve members′ collective psychological ownership, thereby promoting mutual learning among team members, improving the internal operations of entrepreneurial teams, improving members′ knowledge and skills, and achieving team goals. For example, we can cultivate the collective recognition of team members for entrepreneurial teams, entrepreneurship, etc. by staged emphasizing on common entrepreneurial goals, solving the problems faced by the members together, enhancing mutual understanding among team members and members. Second, the entrepreneurial team should pay attention to the task design. On the one hand, when designing the division of tasks, the team leaders should try to avoid excessive interdependence among members. On the other hand, it is necessary to establish fair and effective system of measurement and assessment, which could let the entrepreneurial team members be able to clarify the team′s goals and what kind of rewards they can get in the process of fighting for the team′s goals, thus, establish the relationship between the individual input of the members and the output of the entrepreneurial team, reducing the negative impact of free-riding behavior caused by the interdependence of member tasks on team learning and team performance.

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An old hand is a good guide: The relationship between "experienced" officers and innovation of enterprises

Ye Kangtao, Li Wanshan, Zhao Qifeng

2021, 42(9): 157-165.

Abstract ( 208 )

Technological innovation is an essential determinant for countries to promote economic growth and corporates to maintain competitive advantages. The past 40 years of reform and opening-up has seen a rapid growth of science and technology in China, but there is still much to improve in several high-tech fields. Under the background of Sino-US trade friction, nowadays the importance of improving corporate innovation is becoming increasingly prominent.
With the development of behavioral finance, more and more scholars have turned their attention to the impact of decision makers′ personal background and experience on innovation. Existing literature has focused on the innovative effects of managers′ specific background characteristics, including personal ability, overseas experience, military experience, pilots′ experience and early disaster experience. However, there is a lack of research on the impact of decision makers′ experience diversity on corporate innovation and its underlying mechanisms.
This paper aims to explore the impact of the experience diversity of corporate decision makers, namely chairman and CEO, on corporate innovation and its underlying mechanism. Our hypotheses are as follows: (1) Upper echelon theory proposes that organizational outcomes, strategic choices and performances levels are partially affected by managerial background characteristics. Previous studies in psychology have identified that openness to experience, one of the big five factors that define personality, is fundamental to creativity and innovation. This insight is confirmed in a survey that successful innovators are constantly trying out new experiences and piloting new ideas, since experienced CEOs tend to be risk-taking, are creative, and open to new ideas, possessing the intrinsic motivation to pursue innovation. Therefore, decision makers with more diversified experiences tend to positively affect corporate innovation. (2) Unlike routine tasks, innovative projects normally involve a long-term multi-stage process that is full of uncertainty. Due to the future contingencies and intrinsically risky processes, exceptional tolerance for failure is necessary for effective innovation. Previous studies show that the optimal incentive mechanism that motivates innovation rewards long-term success but tolerates early failure. Consequently, firms led by decision makers with more diversified experiences tend to have a better performance on innovation. We conjecture that decision makers with more diversified experiences are more likely to exploit innovative projects because they are less sensitive to the risk of termination, given their more diversified experiences. Therefore, decision makers with more diversified experiences can facilitate corporate innovation by forming a more failure-tolerant culture. (3) Collaborative innovation means the innovative output results from collaborative research carried out corporates and their partners, including individual inventors, government, university researchers, and labs. Decision makers who have diversified working, studying and other experiences are more likely to have a broader social network for they can more easily get acquainted with colleges, school mates and people encountered at other places. Decision makers who have worked in multiple positions, firms, and industries may also accumulate relevant knowledge that can be very useful when firms need to invest in collaborative projects. Therefore, decision makers with more diversified experiences can facilitate corporate innovation by extending collaborative innovation network. (4) Inventors, defined as people with patents, are the main participants engaging in corporates′ R&D activities and innovative projects. Decision makers with diversified experiences provide inventors a more diversified and tolerant culture, which may attract talented inventors to corporates led by decision makers with diversified experiences. Thus, one way that decision makers with diversified experiences may enhance innovation is by hiring more and talented inventors to work for the firm. Therefore, decision makers with more diversified experiences can facilitate corporate innovation by attracting talented inventors.
We choose China for this study because China is an emerging market with support of innovative advances. Although China has undergone rapid economic growth since the 1980s, and has developed market economy system, it is still an emerging economy with weak legal institutions, weak investor protection, and less effective corporate governance. CEO and chairman of the board have strong control power over a firm′s strategies and decision-making processes than their peers in western countries.
We use principal component analysis (PCA) to construct decision makers′ experience diversity indexes from their work, study and other personal experiences. To construct an experience diversity index using PCA, we consider the working, studying, and other personal experiences of decision makers, which captures fifteen aspects of decision makers′ past experiences.
Our sample firms are Shanghai Stock Exchange (SHSE) and Shenzhen Stock Exchange (SZSE) non-financial listed firms during the period 2001-2015. We choose 2001 as the beginning year of the sample period because firms start to disclose information of managerial experiences in 2001. Patents data and financial data are from CNRDS and CSMAR database respectively. Observations with missing variables are exclude and all continuous variables are winsorized at 1% level at both tails of their distributions.
We have several important findings. (1) Decision makers with more learning, work and other personal experiences can improve their company′s innovation quantity, innovation quality and innovation diversification. (2) Decision makers′ experience diversity can promote corporate innovation through three mechanisms: increasing failure tolerance, promoting collaborative innovation and encouraging inventors. (3) Decision makers′ experience diversity plays a more significant role in promoting innovation performance of high-tech corporates, growth corporates and state-owned corporates. The above results remain robust after controlling for other factors, endogenous test and adding a competitive explanation. Our results are robust to a series of robustness checks, including endogenous tests and alternative model specifications. Alternative explanations are also ruled out.
Compared with previous studies, this paper has the following two contributions. First, this paper enriches the relevant research on the economic consequences of decision makers′ background. The existing studies mainly focus on the economic consequences of decision makers′ background experience in a single aspect, such as overseas experience, financial and military experience. This paper, based on a comprehensive research perspective, examines a diversity of decision makers′ experience, thus proves corporates′ decision makers draw on theory and practice skills gained throughout working, studying and other personal experiences when they make corporate decisions. Second, this paper proposes and tests the mechanisms of decision makers′ experience diversity on corporate innovation, thus deepens and expands the relevant research.
This paper has several theoretical and policy implications. In theory, this paper enriches the literature in the field of economic consequences of executive background experience. Through exploring the impact of decision makers′ experience diversity on corporate technological innovation, this paper verifies whether decision-makers will make use of their practical skills acquired in their work, learning and other experiences in decision-making. In terms of policy, this study shows that when selecting decision makers, corporates should not only attach importance to professional knowledge, but also to various backgrounds such as work experience, learning experience and other personal experiences. The rich experience of corporate decision-makers can shape a failure-tolerant corporate culture, expand the collaborative innovation network of corporates, and help corporates better identify and motivate inventors. Therefore, choosing decision makers with rich experience can help to promote corporate innovation culture better and provides a corresponding talent guarantee for corporate innovation.

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Internal control willingness, internal control level and earnings management methods——The measurement method based on text analysis and machine learning

Liu Bin, Li Yanxi, Chi Jianxin Daniel

2021, 42(9): 166-174.

Abstract ( 240 )

High-quality internal-control level can suppress accrued earnings management, but its effectiveness in suppressing real earnings management is inconsistent. The neglect of subjective initiative factors may be the key point. We put forward the concept of Internal-control Willingness, which is a variable tool to measure the degree of subjective initiative of enterprise internal-control construction and execution activities. And using measurement methods by text analysis and machine learning based on Python, we examined the relationship between internal-control willingness, corporate internal-control level and the two types of earnings management.
The study found that: First, internal-control willingness has a significant positive impact on internal-control level. The specific performance are as follows: On the one hand, the company holds a positive internal-control willingness, the probability of its internal-control evaluation being effective is higher. On the other hand, the rate of obtaining a Standard Unqualified Opinion in the internal- control audit is greater.
Second, internal-control willingness can constrain true earnings management behavior, but cannot significantly affect accrued earnings management activities. The mechanism are as follows: The enterprise holds the internal-control objective of Reasonably Ensuring the Legality and Compliance of Operation and Management and the Safety of Assets, and is willing to work in a positive manner, that it can indeed reduce the occurrence of real earnings management behavior, but it cannot reduce the Manipulative Accrued Profit activity space. Of course, the existence of Manipulative Accrued Profit activity space does not mean that companies must actually have accrued earnings management behaviors.
Third, internal-control willingness exerts a moderating effect in the relationship between internal-control level and accrued earnings management, that is, enterprises with positive internal-control willingness to achieve high-quality internal-control level can significantly enhance the restraining effect of the Manipulative Accrued Profit activity space on which the accounting earnings management relies.
Our study, on the one hand, introduces subjective initiative factors into the field of internal control, discovers the important role of subjective initiative factors in construction of corporate internal-control activities, enriches the empirical evidence and practical cognition in the field of internal control, and has theoretical significance of partial research blanks to fill the gaps in this field. On the other hand, our study verifies the relevance and mechanism of internal-control willingness and different types of earnings management behaviors of enterprises, and proposes behavioral decision-making basis and policy recommendations for the corporate body and supervisory departments to realize the practical value of internal-control willingness.
The main contribution of our study lies in: Proposing and verifying the feasibility and application effect of internal-control willingness measurement method based on Python text analysis and machine learning methods. Empirical evidence shows that the internal-control willingness measurement method we designed can highlight the important role of internal-control subjective initiative in constraining earnings management behavior. We suggest that the board of directors and external supervisory departments pay attention to the cultivation of the internal-control willingness of enterprises, in order to improve the internal-control (overall) level of enterprises and restrain the earnings management activities of enterprises.

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External knowledge search, big data capability and innovation of enterprises

2021, 42(9): 175-183.

Abstract ( 306 )

Adhering to independent innovation and taking the path of innovation-driven development is a development strategy clearly put forward at the 18th National Congress of the Communist Party of China. Enterprise innovation has practical significance for accelerating the transformation of economic development mode. Innovation is inseparable from the use and exploration of external knowledge. Big data technology enables companies to obtain in-depth, comprehensive and complete data in various fields, giving companies the opportunity to acquire knowledge that they could not obtain in the past.
Therefore, this paper discusses the influence of external knowledge search on innovation ability of enterprises. At the same time, the moderating role of big data capabilities is considered, and the moderating role of external knowledge seeking on enterprise innovation is discussed. This article first put forward the research hypothesis and constructed the conceptual model. The research variables were defined and scientifically measured. Then a questionnaire was issued to enterprises, and a statistical analysis was conducted of the questionnaire data. In this study, non-response bias test analysis and homology bias test were used to verify the validity of the data. Regression analysis was used to explore the relationship between the variables and verify the hypotheses.
The results show that the depth and breadth of external knowledge search have a positive impact on both breakthrough innovation and incremental innovation. The search breadth has a greater impact on incremental innovation, while the search depth has a greater impact on breakthrough innovation. In the search for depth and breadth of external knowledge, the ability of big data plays a significant positive role. Big data capability has a positive impact on both radical innovation and incremental innovation. Big data capability can deeply identify potentially valuable knowledge from external knowledge, thereby improving the quality of decision making. In addition, the ability of big data can help enterprises find unmet or potential customer needs and provide ideas different from the past, which is conducive to the gradual innovation of enterprises. Big data capabilities have a positive adjustment effect on the positive relationship between the depth of external knowledge search and incremental innovation and breakthrough innovation; the ability of big data to regulate the positive relationship between the breadth of external knowledge search and incremental innovation and breakthrough innovation is not obvious.
This article suggests a wide range of knowledge sources can provide enterprises with ideas for progressive innovation, while in-depth knowledge can bring better innovation results for enterprises in need of radical innovation. Therefore, if enterprises carry out gradual innovation, they can acquire different knowledge by interacting with suppliers, customers and competitors, participating in seminars and exhibitions, or communicating with universities or research institutions. Companies that want to carry out radical innovation can establish good relationships and gain in-depth knowledge through high-frequency and intensive interaction with these external knowledge channels. Companies should encourage big data-related activities, analyze customer data, and help them find the knowledge they need. In the context of big data, enterprise management should attach great importance to the learning of external knowledge, actively create opportunities to communicate with the external environment, and support the enterprise to acquire, digest, transform and utilize knowledge from the outside.

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An analysis of the regulation effect of government R&D funding on university innovation spillover

Guo Hui, Liu Hang

2021, 42(9): 184-192.

Abstract ( 135 )

In order to test the spillover effect of university innovation and the effectiveness of government R&D funding, the paper analyzed the spillover mechanism of university innovation performance with the theoretical perspective by constructing the correlation model between university innovation and regional innovation development. It also introduced government R&D funding as exogenous intervention variable, and proposed that government R&D funding might have complex dynamic influence on university innovation spillover. Based on panel data of 30 provinces from 2006 to 2017 in China, this paper empirically studied the spillover effect of university innovation on regional innovation development, and also test the moderating effect of government R&D funding with fixed effect model and threshold estimation model. The main conclusions and enlightenment are as follows:
Firstly, from the linear judgment, university innovation activities have significant positive spillover effect on regional innovation development, which is accord with empirical expectations. However, from the perspective of nonlinear spillover trial, the spillover effect of university innovation is not invariable, with optimal spillover space of (0.2753 0.5603]. The corresponding enlightenment is that, it is necessary to implement different strategies to strengthen university innovation, and the provinces that have already crossed the optimal spillover threshold should pay attention to the innovation transformation of "industry-university-research cooperation"; while most provinces in the optimal spillover range should pay attention to the basic role of university innovation in "industry-university-research cooperation", make effort in basic research and development of university, which provide strong driving force for the development of independent innovation.
Secondly, it is found that government R&D funding could accelerate the development of regional innovation. Although trade frictions lead to the criticism on China′s government R&D funding by the United States, criticizing that external intervention has damaged technological competition and market equity, but empirical studies have confirmed that China, as a developing country, is in weak position of technological competition, R&D funding could effectively dilute the risk of innovation input, optimize the innovation output performance and break through the bottleneck of "goose model". What is worth learning is that, western developed countries are also strengthening the incentive effect of government R&D funding, especially in some emerging science and technology fields. Through government R&D funding, universities, scientific research institutes and innovative enterprises, it could promote diversified innovation integration and technology transformation, and realize national innovation competitive advantages.
Finally, government R&D funding has more complex nonlinear regulatory effect on university innovation spillover. Low intensity funding could not release the spillover effect of university innovation effectively. Only when the funding intensity is higher than the threshold of 0.0853, it could leverage the innovation spillover of universities. While the R&D funding intensity is strengthening, this positive spillover has marginal increasing effect. It can be seen that the "crowding in effect" and "crowding out effect" of government R&D funding are not contradictory. The more reasonable explanation is that R&D funding has certain spatiotemporal differentiation characteristics in different influence interfaces, "crowding in effect" has threshold constraints, and the innovation spillover dividend of "industry-university-research cooperation" needs effective leverage of high-intensity funding. Therefore, active fiscal and tax policies should change "all-round" funding strategy in the past, reduce subsidies for traditional industries, increase the intensity of funding for universities, scientific research institutes and scientific and technological innovation industries, shorten the ripple cycle of supply side reform, and accelerate the endogenous drive and innovation development transformation.

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A research on the impact of ambidextrous human resource practice (AHRP) on employee creativity——The effect of thriving at work and perception of psychological security

Chen Yun, Zhao Fuqiang, Xiao Jie, Hu Wei

2021, 42(9): 193-200.

Abstract ( 236 )

During the times of cross-border integration with the volatility, uncertainty, complexity, and ambiguity, it is difficult for the organizations to sustain only through the exploiting innovation by focusing internal resource utilization or exploring innovation by paying more attention to the external resource acquisition. Therefore, the ambidextrous innovation with the integration of the internal and external resource is becoming a realistic choice for the development of the organization. However, the innovation process can′t be separated from the acquisition of the external resources, the utilization of the internal resource and the integration of the internal and external resources. As we all know that the employee creativity is some kind of new idea, product service or management process generated in the workplace. At the same time, it is the basis of the organizational innovation and the source of the competitive advantage. Therefore, it becomes a key issue to be solved urgently by the industry and the academia how to stimulate employee creativity. However, the employee creativity requires more time consumption, cognitive effort and divergent thinking, so it needs the support of physiological, psychological, social and organizational resources. According to the conservation of resource theory, if the resource of the employee is limited, it will hinder their creativity. However, Human Resource Practice is a series of practical measures and institutional arrangements to explore and activate the effectiveness of human resource in an organization. It will help the employees to acquire the sufficient resources, maintain the vigorous energy, improve their work performance and increase their creative potential. Therefore, Human Resource Practice is one of the most important antecedent variables of the creativity.
But the creativity of the employee comes firstly from the stimulation of its active working state, and Thriving at Work is one of the core manifestations of the employees′ active working state. So Thriving at Work may serve as a bridge between Human Resource Practice and the employee creativity. It is well known that the organizational climate affects the employees′ interpretation and application of organizational policies and systems under the context of the difference order pattern, the circle culture and the high-power distance in China, thus affecting their working status and attitudes. The stronger the employees′ sense of psychological security to the organizational climate, the more willing the members are to communicate, exchange and share knowledge with others, which can affect employees′ perception, understanding and application of Human Resource Practice, thus affecting their working status and creativity. However, the current relevant researches have paid less attention to the role of psychological security in the impact of Human Resource Practice.
Based on the above, this paper aim to explore the connotation and composition of Ambidextrous Human Resource Practice (AHRP) and its relationship with the employee creativity from the perspective of the conservation of resource theory and the context ambidexterity in order to contribute to the employee creativity and Human Resource Practice theory, and to explore the follow problems. Firstly, If AHRP is closely related to employee creativity, what is its mechanism? Secondly, does the psychological security have an impact on these relationships and how to affect it?
Under the era of cross-border integration, the ambidextrous innovation of the integration of internal and external resources has become a realistic choice for the development of the organization. The employee creativity is the foundation of the organizational innovation. However, the exertion of employee creativity largely depends on the support of Human Resource Practice, the stimulation of the active working state, and the induction of the psychological safety atmosphere. Therefore, the paper illustrated their mechanism and boundary condition of AHRP impact on the employee creativity through defining its conceptual composition and conceiving the moderated moderation model among AHRP, Thriving at Work, the employee creativity and the psychological security based on the resource conservation theory. The empirical research found the follows through the questionnaire investigation, the common method deviation test, validity and reliability examination, the descriptive statistics, the exploratory factor analysis, the confirmatory factor analysis and the stepwise regression and so on. Firstly, AHRP has a significant positive effect on the employee creativity and thriving at work, and the thriving at work positively affects the employee creativity significantly. Secondly, the thriving at work partly mediates the effects of AHRP on the employee creativity significantly. Thirdly, the perception of psychological security negatively moderates the direct impact of AHRP on the thriving at work and its indirect effect through the mediation of the thriving at work.
The conclusions of the research provide the following decision-making references for the management practice to enhance the employee creativity. Firstly, the organization can provide the resource support for the employee′s ability, motivation and opportunity to acquire the external resources, utilize the internal resources and integrate the internal and external resources through the design and implementation of AHRP, so as to stimulate their active working status and enhance their creativity. Secondly, the organizational managers can enhance the creativity of their employee and collaboratively develop and promoting their Thriving at Work through scientifically configuring Human Resource Practice bundle. Thirdly, in order to enhance the psychological safety perception of the employees, the enterprise can cultivate such organizational atmosphere as including their different personality, respecting their different values, recognizing their achievement, encouraging their innovation, forgiving their failure and voicing freely and so on, thus they dare to make the innovative suggestions and adopt creative behavior.
The theoretical contributions of the study are as follows. Firstly, the research enriched the relevant study on guiding Human Resource Practice and its measurement tools in Chinese context though defining the connotation of AHRP, determining its composition, and designing its measurement tools. Secondly, the research enlarged the study on the existing variables and their interaction mechanisms through organically integrating the research fields of AHRP, Thriving at Work, the psychological security and the employee creativity. Thirdly, the paper examined the influence mechanism of AHRP on the employee creativity through Thriving at Work and the boundary conditions of the psychological security, revealed the complementary and substitutional role of the resources between Human Resource Practice and the psychological security, thus deepened and expanded the application of the conservation of resource theory.

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The forming mechanism of employees′ craftsman spirit from the perspective of workplace status

Qian Xin, Liu Shuzhen, Liu Yuanyuan

2021, 42(9): 201-208.

Abstract ( 314 )

Craftsman spirit is the cornerstone of China and the spirit of the times leading China towards high-quality development. It is an urgent need for China to inherit and carry forward craftsman spirit. Craftsman spirit refers to the professional attitude of dedication and dedication, and the behavior of continuous improvement and innovation. The stimulation and promotion of employees′ craftsmanship spirit depends on their initiative, that is, employees need to love and stick to their jobs, adhere to the lean pursuit, cast good products and services, and be committed to the concept of innovation. However, the traditional idea of "he who rules lives by mental perplexity while he who is ruled lives by physical labor" is still deeply rooted. The workers who work silently often lack status and attention. As an individual′s close attention to work cognition and psychological state, workplace status can fully stimulate employees′ work enthusiasm and subjective initiative, and provide endogenous power for enterprises to achieve high quality and sustainable development. Especially in the typical collectivist social situation, employees are more vulnerable to the influence of power distance and status. In the context of Chinese culture, workplace status reflects the "social importance" of employees in the workplace and the internal consensus of the organization. Employees with high position in the workplace are often regarded as the authority and benchmark in the organization. In order to maintain their authority, they will expect to show higher craftsmanship spirit. At the same time, they get more endogenous resources and non-redundant information from the organization, and other members of the organization will voluntarily obey and give more support, which is conducive to stimulating the craftsmanship spirit of employees. Some studies have focused on the influence of talent development mode, leadership, apprenticeship and other factors on the craftsmanship spirit of employees, ignoring the important role of employees′ status perception in the workplace. Therefore, it is necessary to explore the formation mechanism of craftsmanship spirit from the perspective of workplace status.
Based on the self-concordant theory, this study explored dynamic mechanism and contingency conditions of the formation of employees ′ craftsmanship spirit, specifically the mechanism and effect of workplace status on employees ′ craftsman spirit, and then discussed the mediating effects of organization-based self-esteem and the moderating effect of job autonomy. Through the empirical test of 305 sets of leader-employee paired data, the research results show that：(1) workplace status has significantly positive effect on employees′ craftsman spirit; (2) organization-based self-esteem has a partial mediating effect between workplace status and employees′ craftsman spirit; (3) job autonomy moderates the relationship between organization-based self-esteem and employees′ craftsman spirit; (4) job autonomy moderates the indirect effect of workplace status on employees′ craftsman spirit through organization-based self-esteem.
The theoretical contribution of this paper is mainly reflected in two aspects: firstly, the study reveals the importance of workplace status in Chinese context, and expands the cultivation mechanism of employee craftsmanship spirit in organizational context by analyzing the effect path of workplace status on employee craftsmanship spirit; In addition, from the perspective of individual′s〖JP〗 pursuit of internal and external consistency, this paper focuses on the link between external factors and individual behavior of organizational self-esteem, as well as the strengthening mechanism of work autonomy as a situational variable to employee craftsmanship spirit, which provides a new idea for stimulating and strengthening employee craftsmanship spirit. The research reveals the formation mechanism of employees′ craftsmanship spirit from the perspective of workplace status, and meanwhile provides some guidance and reference for enterprises to cultivate and promote employees′ craftsmanship spirit.

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