外来者劣势视角下的中国制造业企业创新绩效研究

发布时间：2018-06-19 15:24

本文选题：外来者劣势 + 制度参与　；参考：《北京邮电大学》2017年博士论文

【摘要】：自党的十八大以来,面对国内复杂多变的跨省际企业创新环境,如何实现中国经济结构调整和对内营造开放式企业创新环境这一长期困扰中国经济健康运行的难题,如何实现从制度层面破除省际间“转轨市场分割”,消除企业跨省际企业距离障碍,打破行业行政障碍,消除企业跨省际企业关系障碍,营造适合企业发展的开放式生态环境,消除企业跨省际投资企业合法性障碍成为进一步实现对内开放战略过程中亟待解决的关键问题。因此,如何消除区域、行业和企业三维层级的外来者劣势影响下跨省际企业创新阻碍,构建行业内开放式环境,是现阶段实施对内开放战略的必由之路。在面对三维制度参与影响下跨省际投资企业创新的困局和矛盾时,中国对内开放过程已逐步显现出难以仅从某一单一研究视角解释阻碍企业创新的特征,如企业在区域制度层面面对的由省际间“转轨市场分割”导致的距离障碍,企业在面对行业关系障碍过程中转而寻求带上“红帽子”以缓解行业调控失灵等引发企业创新成本上升的压力,企业如何构建“企业合法性”,等等。针对政府参与与跨省际企业创新过程中的问题,本文从全新整合的理论视角探究了区域层面、行业层面和企业层面的外来者劣势对三维制度参与影响政府参与与跨省际企业创新绩效调节作用的关联性和显著性。这不仅有助于检验了区域、行业和企业三维视角下外来者劣势对企业创新绩效的调节作用机制,同时也为营造“兼容并包、求同共赢”的跨省际企业创新环境提供了相应的理论和实证支撑。在发展已有理论方面,现有研究主要着眼于发达国家(地区)情境依托下外来者劣势的某单一维度对跨国企业绩效的影响,且已有研究成果主要以讨论二者之间的直接关系为主。与此相比,多维度视角下外来者劣势对制度参与影响企业创新绩效调节机制的研究相对匮乏,限制了对外来者劣势视角下企业创新资源配置效率和影响机制的认知。迄今为止,尚未发现中国情境下多维整合视角下外来者劣势对制度参与影响企业创新绩效的理论和实证研究工作。因此,本文从区域层级、行业层级与企业层级三者整合维度视角探究外来者劣势对政府参与影响企业创新绩效的作用机制,并从理论和实证角度回应了企业如何协调区域与企业、行业与企业和企业与社会三者之间的关系以实现三者的互利共赢,从而为”对内开放”战略背景下中国如何消除“转轨市场分割”式地区垄断、弱化行业行政障碍、提升市场对于企业认同度提供了重要的理论和实证支撑。本文从外来者劣势理论和制度创新理论论的整合视角出发,针对外来者劣势对制度参与影响政府参与与跨省际企业投资过程中的创新绩效的特点,选取了 2008年至2014年中国制造业上市公司数据,实证分析了外来者劣势三个细分维度——制度距离障碍、关系障碍和企业合法性障碍分别对政府参与与企业创新绩效的影响,并实证得出了以下结论:第一、市场化程度可以弱化制度距离障碍对政府参与影响企业创新绩效的作用,政府调控市场能力可以弱化制度距离障碍对政府参与影响企业创新绩效的作用,企业下属企业(公司的下属子公司、联营公司或者分公司)数目最多的区位分布可以增强制度距离障碍对政府参与影响企业创新绩效的作用。从横向视角出发,本文分别通过分组方式分别检验了区域市场化程度和政府调控市场能力对制度距离障碍的调节作用的地区差异影响。在区域市场化程度对制度距离障碍影响政府参与与企业创新绩效的调节作用中,投资于东部省份将更加有利于弱化制度距离障碍影响力度,投资于中部省份次之;在投资于西部省份企业当中,区域市场化能力对制度距离障碍的影响不显著。在政府调控市场能力对制度距离障碍影响政府参与与企业创新绩效的调节作用中,中西部地区省份的政府调控市场能力效应略低于东部地区的政府调控市场能力影响效应。第二、行业政策(区域间行业规划的差异)将会增强关系障碍对政府参与影响企业创新绩效的作用,行业国有化程度将会增强关系障碍对政府参与影响企业创新绩效的作用。从横向视角出发,本文分别通过分组方式分别检验了行业政策(区域间行业规划的差异)和行业国有化程度对制度距离障碍的调节作用的地区差异影响。在地区行业规划的差异对关系障碍调节作用的地区差异影响中,中西部地区的关系障碍对政府参与影响企业创新绩效的作用明显大于东部地区。在行业国有化程度对关系障碍调节作用的地区差异影响中,投资于东部省份地区将会弱化关系障碍的调节作用力度,投资于中部省份地区的影响力度并不显著,投资于西部省份地区将会显著增强关系障碍的调节作用力度。第三、企业品牌知名度将会弱化企业合法性障碍对政府参与影响企业创新绩效的作用,市场认同度将会弱化企业合法性障碍对政府参与影响企业创新绩效的作用。从横向视角出发,本文分别通过分组方式分别检验了企业品牌知名度和市场认同度对企业合法性障碍的调节作用的地区差异影响。在企业品牌知名度对企业合法性障碍调节作用的地区差异影响中,投资于东部省份地区将会显著弱化企业合法性障碍的调节作用,投资于中部省份的企业品牌知名度弱化企业合法性障碍的调节作用次之,投资于西部省份的弱化作用最低。在市场认同度对企业合法性障碍调节作用的地区差异影响中,投资于中西部地区省份的企业在市场认同度对企业合法性障碍调节作用略低于东部地区的调节作用效应。第四、在区域市场化程度对关系障碍的调节作用中,区域市场化程度对于行业政策的调节作用具有负向的再调节作用,区域市场化程度对于行业国有程度的调节作用具有正向的再调节作用。实证结果说明政府的行业政策支持应重点侧重调控市场经济发展程度较低的区域,而在市场化程度高的地区应侧重降低降低行业的进入壁垒以提高企业的创新动力。在区域市场化程度对企业合法性障碍的调节作用中,区域市场化程度对于企业品牌知名度的调节作用具有正向的再调节作用,区域市场化程度对于市场认同度的调节作用具有正向的再调节作用。实证结果说明随着区域市场的开放程度的加深和市场化改革地不断推进,拥有较高品牌知名程度或企业市场认同度的企业将会提升企业的跨省际投资企业创新绩效,并同时提高企业的创新资源配置效率。本文的创新之处主要体现在以下三个方面:第一、在嵌入跨省际企业创新环境情境条件下,本文将外来者劣势作为第三变量以探究三维制度参与影响下跨省际投资企业创新的困局和矛盾,并在一定程度上揭示了不同层级制度参与对企业创新绩效争论的原因。第二、本文将外来者劣势细分为距离障碍(区域层面)、关系障碍(产业层级)和企业合法性障碍(企业层面)三个细分维度,发展了基于中国“转轨市场分割”情境下省际间政府参与的相对差异对于跨省际投资企业创新绩效的研究。第三、从外来者劣势理论视角出发,本文发展了基于制度不均一大国情境的跨省际投资企业创新绩效的研究。综上所述,本文剖析了其对于政府参与与企业创新绩效的调节作用及再调节作用影响机制,同时在理论和实证检验具有一定的创新性。本文寄希望能为激发国内微观经济活力和促进国内企业跨省际投资流动,从而进一步调整省际间产业结构和释放东部、中部、西部地区活力提供相应的理论和实证参考依据。
[Abstract]:Since the eighteen Party of the party, facing the complex and changeable inter provincial enterprise innovation environment in China, how to realize China's economic structure adjustment and create an open enterprise innovation environment which has long plagued the healthy operation of China's economy, how to eliminate the interprovincial "transition market segmentation" from the institutional level to eliminate inter provincial enterprises Enterprise distance barriers, break the barriers of industry administration, eliminate the barriers of inter provincial enterprise relations, create an open ecological environment suitable for the development of enterprises, and eliminate the obstacles of inter provincial investment enterprises to become the key problems to be solved urgently in the process of internal opening strategy. Therefore, how to eliminate regions, industries and enterprises It is the only way to implement the internal open strategy at the present stage. In the face of the dilemma and contradiction of the inter provincial investment enterprise innovation under the influence of the participation of the three dimensional system, the internal opening process has gradually emerged in China. A research perspective explains the characteristics that impede enterprise innovation, such as the distance barriers that enterprises face in the regional system level, which is caused by the interprovincial "transition market segmentation", and the enterprise is seeking to bring the "red hat" in the face of the barriers of industry relations to alleviate the rising cost of enterprise innovation by taking "red hat" in order to alleviate the failure of industry regulation and control. How to build "enterprise legitimacy", and so on. Aiming at the problems in the process of government participation and inter provincial enterprise innovation, this paper explores the relationship between the regional level, the industry level and the enterprise level from the new and integrated theoretical perspective to the effect of the participation of the government and the inter provincial enterprise on the innovation performance of the inter provincial enterprises. It is not only helpful to test the mechanism of the adjustment of the outsider's disadvantages to the enterprise innovation performance in the three-dimensional perspective of the region, industry and enterprise, but also provides the corresponding theoretical and empirical support for the creation of the inter provincial enterprise innovation environment with "all inclusive and win-win". It is necessary to focus on the impact of a single dimension on the performance of transnational enterprises in the context of developed countries (regions), and the existing research results are mainly to discuss the direct relationship between the two. So far, the theoretical and empirical research on the impact of institutional participation on enterprise innovation performance under the perspective of multidimensional integration in China has not been found. Therefore, this article is from the regional level, industry level and enterprise level three. From the perspective of the integration dimension, the author explores the mechanism of the influence of the outsider's weakness on the government participation in the enterprise innovation performance. From the theoretical and empirical perspective, it responds how the enterprise coordinates the relationship between the region and the enterprise, the industry and enterprise and the three party of the society in order to achieve the mutual benefit and win-win situation of the three. How to eliminate the "transition market segmentation" type of regional monopoly, weaken the administrative barriers of the industry, and improve the market for enterprise identity has provided an important theoretical and empirical support. From the perspective of the integration of outsider's inferiority theory and institutional innovation theory, this paper affects government participation and inter provincial enterprises to participate in the system participation. The characteristics of the innovation performance in the process of industry investment selected the data of Chinese manufacturing listed companies from 2008 to 2014, and analyzed the influence of the three subdivisions of the outsider's weakness, institutional distance barriers, relationship barriers and corporate legitimacy barriers on government participation and enterprise innovation performance, and the following conclusions were drawn as follows: First, the degree of marketization can weaken the effect of institutional distance barriers on the influence of government participation on enterprise innovation performance. Government regulation and control of market ability can weaken the role of institutional distance barriers on government participation in enterprise innovation performance, and the largest number of location points for enterprise subordinate enterprises (subsidiary subsidiaries, joint ventures or sub companies) of enterprises. Cloth can enhance the effect of institutional distance barriers on the impact of government participation on enterprise innovation performance. From a horizontal perspective, this paper respectively tests regional differences in Regional Marketization and government regulation and control of market ability to institutional distance barriers respectively. In the moderating effect of government participation and enterprise innovation performance, the investment in the eastern provinces will be more conducive to the weakening of the institutional distance barriers, and the investment in the central provinces is the second. In the western province, the Regional Marketization ability has no significant influence on the institutional distance barriers. In the moderating effect of distance barriers on government participation and enterprise innovation performance, the effect of government regulation on market capability in the central and western provinces is slightly lower than that in the eastern region. Second, the industry policy (the difference in Interregional industrial planning) will increase the relationship barriers to the government participation and influence the enterprise innovation performance The role of industry nationalization will enhance the effect of relationship barriers on the impact of government participation on enterprise innovation performance. From a horizontal perspective, the impact of regional differences on the regulation of industry policy (regional industrial planning differences) and the degree of industry nationalization on the adjustment of metric distance barriers is respectively examined from a horizontal perspective. In the regional difference impact on the adjustment of relationship barriers, the role of relationship barriers in the central and western regions is significantly greater than that of the eastern region. In the regional differences in the regulation of the relationship barriers, the investment in the eastern provinces will be weak. The impact of investment in the central province is not significant. Investment in the western provinces will significantly enhance the regulatory role of the relationship barriers. Third, the reputation of the enterprise brand will weaken the role of the corporate legitimacy obstacle to the government participation in the enterprise innovation performance, the market identity will be It will weaken the effect of corporate legitimacy barriers on the impact of government participation on enterprise innovation performance. From a horizontal perspective, this paper respectively examines the regional differences in the adjustment of corporate brand awareness and market identity to the legal barriers of enterprises respectively. In the regional differences, the investment in the eastern provinces will weaken the regulatory role of the legal barriers of the enterprises in the eastern provinces, and the moderating effect of the investment in the weakening enterprises of the enterprises in the central provinces is the second, and the weakmost weakening effect in the western provinces. The effect of market identity on corporate legitimacy barriers is slightly lower than that of the eastern region. Fourth, the extent of regional marketization is negative to the regulation of industry policy in the moderating effect of Regional Marketization on relationship barriers. The degree of regional marketization has a positive effect on the adjustment of the state level of the industry. The empirical results show that the government's policy support should focus on regulating the low development level of the market economy, while the area with high market level should focus on reducing the barriers to entry in the industry. In the adjustment of the degree of Regional Marketization, the degree of regional marketization has a positive effect on the adjustment of the reputation of the enterprise brand, and the degree of regional marketization has a positive effect on the adjustment of the market identity. The empirical results show that the effect of regional marketization has a positive effect on the adjustment of the market identity. With the deepening of the openness of the regional market and the continuous promotion of the market-oriented reform, enterprises with higher brand awareness or enterprise market identity will improve the innovation performance of inter provincial investment enterprises and improve the efficiency of enterprise innovation resources allocation. The innovation of this paper is mainly reflected in the following three aspects: First, under the conditions of inter provincial enterprise innovation environment situation, this paper takes the outsider's weakness as the third variable to explore the dilemma and contradiction of the inter provincial investment enterprise innovation under the influence of the participation of the three-dimension system, and to a certain extent reveals the reasons for the dispute between the different hierarchy system participation in the enterprise innovation performance. Second, this article will be bad for the outsiders. The potential is divided into three subdivisions of distance barriers (regional level), relationship barriers (industrial level) and enterprise legitimacy barriers (enterprise level). The research on the relative differences of interprovincial government participation in interprovincial investment enterprises is developed based on the "transition market segmentation" situation in China. Third, from the perspective of the disadvantaged theory. In this paper, the research on the innovation performance of inter provincial investment enterprises based on the situation of a large and uneven country is developed. To sum up, this paper analyses the regulatory role of the government participation and the innovation performance of the enterprise and the mechanism of the effect of the effect of the re regulation. At the same time, it has a certain innovation in the theoretical and empirical tests. The domestic micro economic vitality and the promotion of inter provincial investment flow in China will further adjust the inter provincial industrial structure and release the vitality of the eastern, central and western regions to provide the corresponding theoretical and empirical reference.
【学位授予单位】：北京邮电大学
【学位级别】：博士
【学位授予年份】：2017
【分类号】：F425;F273.1;F406.7

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