研发模式、纵向一体化与自主品牌导入期的创新绩效

R&D Mode,Vertical Integration and Innovation Performance of Indigenous Brand in the Introduction Period

研发和生产都是企业创新活动中不可或缺的环节,已有关于企业创新绩效的研究在考虑创新绩效的影响因素时多将这两个环节割裂开,这影响对创新绩效关键环节的甄别。为克服这一不足,以中国乘用车产业为例,分析研发模式和纵向一体化对乘用车自主品牌制造企业创新绩效的影响。通过回顾已有研究,建立研发模式和纵向一体化与企业创新绩效之间关系的概念性研究框架。利用1998年至2007年自主品牌乘用车企业的微观数据,运用泊松模型和随机前沿方法,检验研发模式和纵向一体化对专利数量和新产品价值这两种企业创新绩效的不同影响。研究结果表明,研发模式和纵向一体化程度对企业创新活动的两类产出有完全不同的影响。相对于自主研发,技术引进和技术外包两种研发模式对企业的专利开发均有不显著的挤出效应,而技术外包会显著提高企业新产品生产的技术效率,从而增加企业的新产品价值;纵向一体化与企业的专利数量存在倒U形关系,与新产品价值负相关。这一结果说明乘用车自主品牌企业需要协调和匹配研发与生产活动,才能使研发投入转化为有效的创新绩效。研究结果是对创新绩效已有研究的补充,并对乘用车自主品牌创新绩效的提升具有实践指导意义。一方面,研发模式和纵向一体化对企业两种创新绩效的不同影响说明同时考虑研发和生产环节以及从不同角度对企业创新绩效进行度量的必要性,而聚焦于特定产业的研究避免了传统跨产业研究中忽视不同产业异质性可能带来的问题;另一方面,指导产业政策制定者和企业管理者帮助自主品牌企业提升他们的创新绩效,政府的自主品牌扶持政策在鼓励新能源技术的同时更应当重视传统的制造技术,企业本身也应当将更多的资源从高速的新产品开发投入到关键零部件制造和生产管理能力提升中。

Although R＆D and production are both indispensable in firms′innovation activities, existing studies on innovation per-formance always consider the two processes separately when trying to find out factors that determine firms′innovation perform-ance.Considering only one process makes it hard to figure out which is more important for firms′innovation performance.To compensate the aforementioned deficiencies, this article analyzes joint impacts of R＆D mode and vertical integration on innova-tion performance of indigenous-brand automobile manufacturers （“indigenous brands” for short） in the background of Chinese automobile industry. Through reviewing existing literature, this article builds a conceptual framework of relationship between R＆D mode, vertical inte-gration and innovation performance.With micro data of Chinese indigenous brands from 1998 to 2007, Poisson regression and frontier stochastic method are used to test impacts of R＆D mode and vertical integration on firms′two different kinds of innovation performance：patent quantity and new product value.The result reveals that R＆D mode and vertical integration exist total differ-ent impacts on firms′different kinds of innovation output.Compared with independent R＆D, two other R＆D modes：technology import and technology outsourcing have insignificant crowding-out effects on indigenous brands′patent invention.However, tech-nology outsourcing improves firms′technical efficiency of new product production significantly and increases firms′new product value;The relationship between vertical integration and patent quantity exhibits inverted U-shape while the relationship between vertical integration and new product value is negative;This result demonstrates that only with desirable coordination between ac-tivities of R＆D and production, can indigenous brands transfer innovation input into efficient output. This research contributes both to literature of innovation performance and practice of innovation performance improvement for in-digenous brands.On the one hand, the finding of different impacts of R＆D mode and vertical integration on firms′different kinds of innovation output certifies the necessity to consider different processes of innovation activities and to measure innovation per-formance in various ways.Concentrating on a single industry also helps avoid potential problems from ignorance on industry heter-ogeneity in traditional cross-industry analysis.On the other hand, this research provides direct guidelines to both policy makers and firm managers on helping indigenous brands improve their innovation performance, and the government′s indigenous brands support policies should make more emphasis on traditional manufacture technology when encouraging new energy technology.The indigenous brands themselves should also spend more resources on improving ability of key component manufacture and produc-tion management instead of only focusing on high-speed new product development.