《科研管理》第12期封面文章摘要

外资研发如何影响自主创新？—基于外资研发溢出路径的模型与实证

祝影，孙锐，翟峰

（上海大学经济学院，上海200444）

摘要：本文突破外资研发投入直接影响自主创新产出的研究范式，提出外资研发投入直接影响内资创新投入而间接影响内资创新产出的外资研发溢出路径，构建创新投入、创新产出两阶段模型及其联合分析的理论框架，从资本和劳动两种创新要素的维度，考察外资企业研发投入对内资企业自主创新的影响差异。基于中国11个高技术产业2004-2012年的面板数据进行实证分析的结果表明：外资研发对自主创新既有抑制作用又有促进作用，外资研发资本投入会抑制内资企业创新产出，外资研发劳动投入会促进内资企业创新产出。

关键词：外资研发；自主创新；溢出路径；创新投入；创新产出

How does foreign R&D affect independent innovation? A model construction and empirical analysis based on the path of foreign R&D spillovers

Zhu Ying, Sun Rui, Zhai Feng

(School of Economics, Shanghai University, 

Shanghai 200444, China)

Abstract:This paper breaks the research paradigm in which foreign R&D input directly affects independent innovation output, proposes the spillover path that foreign innovation input directly affects the domestic innovation input and indirect impact on domestic innovation output, constructing innovative input, innovative output two-stage model and theoretical framework of joint analysis. From the dimensions of two kinds of innovation factors capital and labor, researching on the influence of foreign enterprises innovation input on the domestic enterprises independent innovation. Based on a panel data of eleven sub-industries of China’s high-tech industry from 2004 to 2012, showing that foreign innovation input has both inhibitory effect and promoting effect on independent innovation，foreign innovation capital input will restrain the innovation output of domestic, foreign innovation labor input will promote the innovation output of domestic enterprises.

Keywords: foreign R&D; independent innovation; spillover path; innovation input; innovation output

工艺创新机制研究：来自中国汽车企业的实证

李显君，高歌，孟东晖，章博文

（清华大学汽车工程系 汽车安全与节能国家重点实验室, 北京100084）

摘要：现有产品创新研究文献远远多于工艺创新文献，而对于工艺创新机制的研究更为少见。本文结合文献调研、专家访谈和汽车企业工艺实践，构建了汽车企业工艺创新机制理论模型和研究假设，利用结构方程模型对假设进行了检验。研究发现，决策机制对动力机制、组织机制和激励机制有正向作用，但决策机制对企业工艺创新能力没有直接影响；动力机制、组织机制直接影响工艺创新能力，动力机制的作用相对较弱；组织机制对激励机制的正向作用和激励机制对工艺创新能力的正向作用都没有通过检验。本文对丰富工艺创新研究具有重要的学术价值，研究成果有利于促进企业和政府加强对工艺创新重视。

关键词：工艺创新；创新机制；汽车企业；结构方程模型

An empirical research on process innovation mechanism:The evidence from China’s automobile industry

Li Xianjun, Gao Ge, Meng Donghui, Zhang Bowen

(State Key Laboratory of Automotive Safety and Energy Conservation, Department of Automotive Engineering, Tsinghua University, Beijing 100084, China)

Abstract:Existing research literature on product innovation is far more than that on process innovation, especially on its mechanism. Based on the literature research, expert interviews and process practice of automobile companies, this paper constructs a theoretical model of process innovation, raises several hypothesis, and use structural equation model to test these hypotheses. This study finds that decision-making mechanism has positive effects on motive mechanism, organizational mechanism and incentive mechanism of process innovation, but does not show a direct influence on process innovation capacity; both motive mechanism and organizational mechanism have a direct impact on process innovation capacity while the effect of motive mechanism is inferior to the other. The two hypotheses of positive effects of organizational mechanism to incentive mechanism and that of incentive mechanism to process innovation capacity have failed to be tested. Not only does this paper help enrich technology innovation research, but also it draws enterprises’ and government’s much more attention to process innovation.

Keywords:process innovation; innovation mechanism; automobile companies; structural equation model

企业R&D组织方式与创新绩效:资源因素的调节

许强，高一帆

（浙江工业大学经贸管理学院，浙江 杭州 310023）

摘要：关于集中R&D还是分散R&D更能促进企业创新绩效，现有研究存在观点分歧。本文基于国内上市的高新技术企业，从知识基础观和组织经济学的不同视角，对R&D组织方式与企业创新绩效的关系进行理论分析和实证研究。在此基础上考察资源状况对上述关系是否产生影响，通过引入分别体现资源丰裕程度和资源多样性程度的变量：组织冗余和多元化，利用方差分析与回归分析方法探究其对于上述关系的调节作用。结果显示，分散R&D更能促进企业创新绩效，这种促进关系在不同行业中无显著差异，并受到未吸收组织冗余和产品多元化的正向调节作用。本研究结论对国内企业选择有效的R&D组织方式具有实际指导意义。

关键词：R&D组织方式；创新绩效；组织冗余；多元化

R&D organization structure and innovation performance of Chinese hi-tech firms: Moderating effects of resource factors

Xu Qiang, Gao Yifan

(College of Economics and Management, Zhejiang University of Technology, Hangzhou 310023, Zhejiang, China)

Abstract: There are no consistent arguments in existed literatures whether centralized or decentralized R&D organization structure promotes a firm’s technological innovation performance. With the knowledge-based view of firm and organizational economics, this paper examines the relationship between R&D organization structure and innovation performance and conducts an empirical study based on 362 hi-tech listed firms in China. Furthermore, we introduce two variables of organizational slack and diversification, both of which can reflect the status of resources composed of resource affluence and resource diversity, and explore their moderating effects on the relationship between R&D organization structure and innovation performance using variance analysis and regression analysis. The results show that decentralized R&D structure boosts a firm’s innovation performance irrespective of differences among industries. Furthermore, the relationship is positively moderated by unabsorbed organizational slack and product diversification. The results have important implications for Chinese firms to choose R&D organization structure.

Keywords: R&D organization structure; innovation performance; organizational slack; diversification

互联网企业负债融资对技术效率的动态耦合效应

陈涛1,党兴华1,贾窦洁1,宋文飞2,韩先锋3

（1、西安理工大学经济与管理学院，陕西 西安710054;

2、陕西师范大学西北历史环境与经济社会发展研究院，陕西 西安710062；

3、西北大学经济管理学院，陕西 西安710127）

摘要：企业负债融资的治理效应由于决定资本配置内在权利结构的差异性而存在不确定性。本文从全要素生产率视角研究了互联网上市公司负债融资治理效应的非线性问题。实证研究结果表明：（1）负债融资总体规模水平对全要素生产率的影响效应存在动态耦合的异质特征，这与负债融资内在结构治理效应的异质性密切相关；（2）负债融资的期限结构、贷款结构与债务融资率都存在对技术进步水平、规模效率的结构耦合问题，且负债融资贷款结构凸显了对技术效率和全要素生产率影响效应的公司成长条件耦合问题；（3）负债融资结构性耦合问题反映了互联网上市公司重技术效率而轻技术进步水平的成长问题。

关键词：互联网上市公司；全要素生产率；条件异质性

Dynamic coupling effect of Internet enterprise’s debt financing on technical efficiency

Chen Tao1, Dang Xinghua1, Jia Doujie1, Song Wenfei2, Han Xianfeng3

(1. School of Economics and Management，Xi’an University of Technology，Xi’an 710054，Shaanxi, China;

2.Northwest Institute of Historical Environment and Socio-Economic Development, Shaanxi Normal University, 

Xi’an 710062, Shaanxi, China;

3.School of Economics and Finance, Xi’an Jiaotong University, 

Xi’an 710127, Shaanxi, China)

Abstract: The governance effect of corporate debt financing is uncertain due to differences in internal capital allocation rights structure. This paper studies the nonlinear problem of governance effect of debt financing in Internet listed Corporations from the perspective of total factor productivity. The empirical study results show that: (1) The effect of the overall level of debt financing on TFP has a certain stage and conditional heterogeneity characteristic and it is closely related to the heterogeneity governance effect of corporate internal structure; (2) There exists the structure coupling problem of debt term structure, credit structure and debt provided financing rate with the level of technological progress and scale efficiency. And debt financing structure highlights the conditions coupling problem with technical efficiency and TFP; and (3) The problem of debt financing structural coupling reflects the problem that Internet listed company thinks highly of technical efficiency but lightly of the growth of the technological progress level.

Keywords: internet listed corporation; total factor productivity; conditional heterogeneity