基于嵌入性理论的中小企业开放式创新风险控制研究

Attracted by complementary advantages among different participants inside the open innovation network, more and more small and medium enterprises (SMEs) joint this queue. But compared to large firms, SMEs are not able to disperse potential innovation risks with superiorities on resource, technology and market. And this has become dominant obstacle to restrict SMEs from taking more opening innovation actions. This research chooses risk control of SMEs in the process of open innovation as object. Considering SMEs' open innovation as an complex network system composed of firms, horizontal and vertical subjects via factors of knowledge, technology and information. Following the analyzing logic of " risk factors → risk path → risk result → risk control", using theoretical and empirical study methods, the research discusses the mechanism of the impact of two risk factors - - endogenous and exogenous risk(the origin of risk) on decline of innovation performance (risk result) through transmitting diferent innovation networks (path) from perspective of network embeddedness. The dynamic process simulation of risk transmitting mechanism will also carry out. On the basis of above results, the research put forward targeted countermeasures from the angle of network capacity improvement for SMEs' open innovation risk control. The research, from one side, has contribution to enrich and improve the construction of an integrated analyzing framework for risk of SMEs' open innovation. From another side, it will also has significant reference value for motivating SMEs to better integrat into open innovation.

在开放式创新网络中参与主体间优势互补的吸引下，越来越多的中小企业加入了这一行列。可是中小企业无法像大企业一样凭借资源、技术和市场优势分散创新开放带来的潜在风险，并已成为制约企业加大创新开放力度的主要障碍。本研究选择中小企业开放式创新风险控制为研究对象，将中小企业的创新开放视为由企业自身、横向主体和纵向主体基于知识、技术和信息要素构成的复杂网络系统，遵循"风险要素→风险路径→风险后果→风险控制"的研究逻辑，理论分析与实证检验相结合，从网络嵌入的视角，剖析内源性和外源性两种风险要素（风险源）经过创新网络（路径）传导后导致企业创新绩效下降（风险后果）的作用机理，并对风险传导机理随时间变化的动态过程进行仿真模拟，提出以网络能力提升为切入点的风险控制对策建议。在丰富和完善中小企业开放式创新风险分析框架的同时，研究结论对推动中小企业更好地融入开放式创新潮流也具有一定的参考借鉴意义。

对中小企业来说，开放式创新在给企业带来便利和优势的同时，也由于创新的知识来源多样、参与主体数量增加、创新流程复杂增加了创新的风险，从而给企业的创新风险控制提出了更高要求。现有研究对中小企业开放式创新的风险评估和控制关注较少，实践中企业融入开放式创新的意愿和收益也存在不同的观点。本课题首先采用元分析方法，再次检验了开放式创新与创新绩效之间的正向作用关系；然后对国内开放式创新的研究动态进行综述，并运用层次分析和模糊综合评价法，构建中小企业开放式创新风险评估指标体系，得出我国中小企业开放式创新的总体风险较大、风险源比较多和分散，而且不同类型的风险值也较高的阶段性结论。此外，本课题也对与企业创新有关的不同层面影响因素展开探讨，希望可以为企业，尤其是中小企业采取针对性措施，打造有利于创新的情境提供参考借鉴。相关成果包括已发表的学术论文8篇，其中中文核心期刊论文5篇；培养硕士研究生3名，另有数篇论文正在审稿或拟投稿之中。上述研究为更好地理解中小企业开放式创新的特征，内外部情境因素对企业创新开放的影响，以及企业如何在保持创新开放的同时获取创新绩效提供了更加丰富的理论和案例支持，对将来从微观、中观和宏观层面进一步研究企业创新也具有启发意义。