do network connections with foreign investment enterprises help host country firm innovations-

DO NETWORK CONNECTIONS WITH FOREIGN INVESTMENT ENTERPRISES HELP HOST COUNTRY FIRM INNOVATIONS? DISSERTATION Presented in Partial Fulfillment of the Requirements for The Degree Doctor of Philosophy in the Graduate School of The Ohio State University By Yuanyuan Zhou ***** The Ohio State University 2008 Dissertation Committee: Professor Mona Makhija, Advisor Professor David Greenberger Professor Stephen Hills Approved by _ Advisor Business Administration Graduate Program ABSTRACT With its fast growing pace, foreign direct investment is having tremendous impact on host country economies Knowledge spillover from inward foreign direct investment (FDI) is one of the important ways that host country firms are likely to benefit from the presence of foreign direct investment Knowledge spillover here refers to the knowledge that is not fully internalized by the subsidiaries of multinational enterprises while they conduct business in the host country This study aims to explore how knowledge spillover from inflow foreign direct investment affects host country firms, and more specifically, how network ties with foreign firms affect host country firms’ exploratory innovation activities I particularly focus on firms’ exploratory innovations since they have important implications for their long term performance and growth Exploratory innovations are also more difficult to achieve Hypotheses are developed by bringing different theoretical perspectives together, including FDI theory, innovation management, and network theory Using survey data from China I investigate whether domestic Chinese private enterprises’ exploratory innovations are affected by their network ties with foreign investment enterprises Empirical findings suggest that the number of foreign firm ties help host country firms engage in exploratory innovations Other findings show that the strength and nature of ties are relevant for knowledge spillover They indicate that strong ties and technology ii cooperation ties have a stronger positive effect on host country firms’ exploratory innovation in contrast to weak ties and non-technology related ties It is also found that government related ties have a positive moderating effect on foreign firm ties’ effect on domestic firms’ exploratory innovation iii Dedicated to my parents, my parents-in-law, and to my wife, Sheng iv ACKNOWLEDGMENTS I would like to thank my advisor, Mona Makhija, for her constant support and invaluable guidance in the course of my dissertation research Without her help and encouragement, I would not have completed the program I would like to thank my other committee members, David Greenberger and Stephen Hills, for having also guided me through the program Sincere thanks also go to Heidi Dugger and Joan Evans, for their kind assistance in various ways I am indebted to my parents, my parents-in-law, for their unhesitant support and understanding of my pursuits over the many years Special thanks go to my wife, Sheng, for having accompanied me through this long journey It is to them that this dissertation is dedicated Financial support from The Ohio State University, Fisher College of Business, and Department of Management and Human Resources is gratefully acknowledged v VITA March 1977 Born – Zhejiang, China 1995-1999 B.A Economics, Shanghai International Studies University, China 2000-2004 Graduate Research/Teaching Assistant, The Ohio State University PUBLICATIONS Peng., M W., Zhou, Y., & York, A S 2006 Behind make or buy decisions in export strategy: A replication and extension of Trabold Journal of World Business, 41: 289–300 FIELDS OF STUDY Major Field: Business Administration vi TABLE OF CONTENTS ABSTRACT…………… ……………………………………………… ……….….ii DEDICATION iv ACKNOWLEDGMENTS……………………………………………………………… v VITA…………………………………… .…………….…………………………… vi LIST OF TABLES ………………………… ……………………………………….….ix LIST OF FIGURES………………………………………….………………………….x CHAPTERS INTRODUCTION ………………………………………….……….…………… …1 1.1 Organization of dissertation ………………………… … …………………… LITERATURE REVIEW………………………………………….……….………….6 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 FDI and innovation………………… …………………………………….… FDI as a knowledge source…………… ………… …………………… ……11 Benefits of FDI spillover to host country firms…… ……………………15 Empirical evidence on innovation spillover effects of FDI…………………….17 Networks and innovation………………………………………………… … 24 Strategic alliances and knowledge transfer……….……………….……………28 Exploration and exploitation …………… ……………………………………30 Summary…………….……………………………………………….…………32 THEORETICAL MODEL AND HYPOTHESES…………………………………36 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 Exploratory and exploitative innovations ……………………………………37 Network connections with inward FDI…………………………………… 45 Number of ties………………………………………………… ………………47 The effect of strong versus weak ties on exploration………………………… 48 The effect of vertical versus horizontal network ties on exploration.…… ……50 Technology cooperation network ties versus other network ties…………….…52 Moderating effect of government related network connections…………… …54 Network portfolio …………………………………………………………… 55 vii METHODS………………………………………………………………………… 58 4.1 Rationale for China as the setting for this research…………………… …… 59 4.2 Data collection…………………………………………………… ….……… 64 4.3 Variables and measures……………………………………………………… 69 4.3.1 Dependent variables………………………………………………… 69 4.3.2 Independent variables ……………………………………………… 70 4.3.3 Control variables …………………………………………………… 73 4.4 Analytical method………………………………………………………… …75 RESULTS …………………………………… …………… ………………………76 DISCUSSION OF THE RESULTS…………………………………… ………… 89 CONCLUSIONS AND IMPLICATIONS ………………………………………….95 7.1 Limitations and suggestions for future research… ………………………… 98 LIST OF REFERENCES ………………………………………………… ……… …101 APPENDIX……………………………………………………………………………120 viii LIST OF TABLES Table Page 4.1 Means, Standard Deviations, and Correlations ………………………… ………….84 4.2 Results of Hierarchical Regression Analyses of Exploratory Innovation Activities ………………………………………… ……85 4.3 Results of Interaction Analysis of Moderating Effect of Government-related Ties ………………………………….86 4.4 Results of Negative Binomial Regression Analyses for Innovation Performance…… 87 ix performance in China's transition economy." 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Journal of Management Studies 42(1): 127-160 119 APPENDIX ORIGINAL SURVEY IN CHINESE 企业创新能力与发展战略调查问卷（企业版） 企业创新能力与发展战略调查问卷（企业版） 尊敬的企业家、总经理： 尊敬的企业家、总经理： 您好！非常感谢您在百忙之中抽出时间参与我们的调查！本问卷目的是了解当前我国民营 企业与外资合作等国际化活动对于企业创新能力的影响，为进一步增强企业自主创新能力提供 策略。本问卷主要由企业家或企业负责人填写。 您的职务： 您的职务： _ 课题组特别承诺：调研信息将受到严格保密。数据结果报告不涉及个人信息。谢谢您的合作！ 第一部分 基本情况 填写说明：请在相应选项方框上打“√” ，或在横线上填写数字。如果是某集团子公司， 问卷中“公司”则指子公司而非集团。如果您在集团工作，公司则是指集团。 1、您的性别？男□ 女□ 2、您的年龄： 岁。 4、您创办贵公司的时间： 年。 3、您参加工作有多长时间了？ 年。 6、贵公司总人数：_ 人。 5、您任现职多长时间了？ 年。 8、贵公司是否家族企业？是□ 否□ 7、您的文化程度？ 9、贵公司是否一家公司的子公司？是□ 否□ 10、贵公司是否有人事部门？是□ 否□ 11、贵公司一共有多少员工？ 人。 12、请从以下行业中选出贵公司所从事的行业，并在前面的横线上打勾（可多选） 金融业 保险 政府机构 房 教育 地产 出版业 零售业 服 医疗保健 加工制造业 务业 电 信 业 电 力 燃 气 水 供 应 业 高 科 技 / 电 子 行 业 ； 其 他 ： 其中，贵公司所从事的主要行业是： （请填写一种行业） 13、贵公司是民营还是国有企业？民营□ 国有□ 港澳台外资□，其它外资□ 14、公司年销售额： 万元，销售收入约占 ％ 近三年上交利税 万元。 15、在最近一年里，公司推出的新产品数量： 项； 最近三年呢？ 项。 在最近一年里，公司推出的新服务项目： 项； 最近三年呢？ 项。 贵公司平均多长时间会推出一项新产品或新服务项目： 个月。 16、与同行业平均水平相比，在过去五年里，贵公司利润如何？（请在最符合实际一项画 圈） 1）低于平均水平很多 2）有些低于平均水平 120 3）稍低于平均水平 4）平均水平 5）稍高于平均水平 6）有些高于平均水平 7）高于平均水平很多 贵公司的销售额增长（或收入增长如何？） 1）低于平均水平很多 2）有些低于平均水平 3）稍低于平均水平 5）稍高于平均水平 6）有些高于平均水平 4）平均水平 7）高于平均水平很多 17、贵公司 2001 年销售额 _元； 2002 年销售额 _元； 2003 年销售额 _元； 2004 年销售额 _元；2005 年销售额 _ 元。 第三部分：请考虑近三年贵公司所进行的各类创新项目， 第三部分：请考虑近三年贵公司所进行的各类创新项目，请用 1-5 表示这些创新活动通 过以下方面改善公司市场竞争优势的重要性。 过以下方面改善公司市场竞争优势的重要性。 非常不重要 不太重要 说不准 比较重要 非常重要 推出新一代产品 拓展产品系列 打开新的市场 进入新的技术领域 改进现有产品的质量 提高生产的灵活性 降低生产成本 提高产量或降低原材料 量 请针对贵公司所从事的销售额比例最大的行业（主营业务） ，回答以下的问题。请在最能表示贵公司 主营行业实际条件速度或深度的数字上画圈。1 表示最左边陈述的程度；5 表示最右边陈述的程度。 1、我们公司几乎不必改变市场营 销策略来跟上市场和竞争对手。 2、在我们行业，产品或服务的淘 市场营销策略（如：每半年） 。 汰率很低（例如：铜铁） 。 产品和服务很容易过时 （如： 服 装） 。 3、我们很容易预测竞争对手举动。 4、需求量和顾客品味很稳定，非 竞争对手的举动非常难以预测。 需求量和顾客的品味很不稳定， 常容易预测。 5、我们的产品和服务所需的技术 我们公司必须非常频繁的改变 非常难预测。 已经很成熟， 不会有很大变化 （如： 我们产品和服务的形式变化很 快也很大 （如： 高级电子产品） 。 钢铁生产） 。 融资的渠道很难预测。 7、获取原材料的渠道很容易预测。 获取原材料的渠道很难预测。 6、融资的渠道很容易预测。 121 请列出对贵公司业绩及未来发展有重要影响的的主要合作伙伴（客户，供应商，同行业公司、 请列出对贵公司业绩及未来发展有重要影响的的主要合作伙伴（ 客户，供应商，同行业公司、 政府机构等 并回答以下关于你合作伙伴的问题： 政府机构等）,并回答以下关于你合作伙伴的问题： 请问你合作伙伴的企业性质，是国营企业，民营企业，外资企业，还是政府机构，或其它？ 请问贵公司和你的合作伙伴是什么样的关系，客户，供应商，同行业企业，其他行业伙伴，或 其它？ 请问贵公司和你的合作伙伴合作的领域是哪些？合作研发，技术转让，合作生产， 非常感谢您的支持与参与！ 非常感谢您的支持与参与！ 122 ENGLISH TRANSLATION OF THE SURVEY Dear managers, Thank you for participating in this survey This questionnaire aims to understand how Chinese private firms’ innovation capabilities are affected by globalization and cooperation with foreign firms Information gathered through this survey will help to develop better strategies to promote innovation capabilities of firms Firm information: Your gender? Your age? How many years has your firm been established? How long have you been with the current company? What is your company’s sales in last years? What is your company’s profit in last years? How are your company’s sales increase compare to other companies in the same industry? How is your company’s profit compared to other companies in the same industry? How many employees does your company have? Among them, how many of them have higher education? 10 How many R&D employees does your company have? 11 How many new products has your company introduced in the past years? 12 How many new services has your company introduced in the past years? 13 How many new processes has your company introduced in the past years? 14 How often does your company introduce a new product, service or process? 15 Is your company a family controlled company? 16 Which industry does your company mainly operate in? 17 What is the ownership of your company? Exploration and Exploitation innovations: Considering innovation projects undertaken in your organization over the past three years, please indicate the extent that each of the following are important outcomes of innovation activities (5 point Likert scale with = not important to = very important) (Adapted from He & Wong, 2004, in Organization Science) Introduce new generation of products Extend product range Open up new markets Enter new technology fields Improve existing product quality Improve production flexibility Reduce production cost Improve yield or reduce material consumption Network Connections: List the parties that you think are critical to your firm’s performance and growth and 123 provide the following information of your partner: What is the ownership of your partner firm? (State owned enterprise, domestic privately owned enterprise, foreign investment enterprise, or government entity) In which of the following areas have your company and this firm had a partner relationship: marketing, production, R&D, technology licensing, or other (please specify) Which is the nature of the relationship you have with your network partners: buyer-supplier or same industry cooperation, or other (please specify) How close is the relationship between your company and this firm (indicate on a point Likert scale with being very close and being not close at all) How often your company and this firm interact with each other? External environment perception: Our firm must rarely change its marketing practices to keep up with the market and competitors The rate at which products or services are getting obsolete in the industry is very slow Actions of competitors are quite easy to predict Demand and consumer tastes are stable and easy to predict Our production/service technology is not subject to much change and is well established Access to financial capital is predictable Access to raw material supplies are predictable 5 5 5 Thank you for your support of this research project! 124 Our firm must change its marketing practices extremely frequently The rate of obsolescence is very high Actions of competitors are unpredictable Demand and tastes are unstable and hard to predict The modes of production/service change often and in a major way Access to financial capital is unpredictable Access to raw material supplies are unpredictable ... how host country firms may benefit from the knowledge brought into host country by foreign firms The purpose of the current study is to investigate how network connections between domestic and foreign. .. the industry level and host country firm innovations This research suggests that network connections with foreign firms may 20 have an important influence on domestic firm innovation as these... factors that can limit the benefits host country firms can gain from the presence of FDI For example, host country firms’ absorptive capacity can affect host country firms’ ability to fully integrate