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Mengyang Pan Diss_Final.pdf (1.85 MB)

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Investigations of Non-Vertical Collaborations by Small Firms: Two Empirical Studies

Pan, Mengyang
http://rave.ohiolink.edu/etdc/view?acc_num=osu149269617436867

Abstract Details

2017, Doctor of Philosophy, Ohio State University, Business Administration.
Small firms, a crucial segment of the US economy, face internal resource constraints that hinder their ability to survive and grow. Access to external resources through collaborations with external parties can be a viable way for small firms to overcome such constraints. While there is an abundance of literature examining vertical collaborations with customers or suppliers, non-vertical collaborations with external organizations have been under-investigated. In this dissertation, I investigate two types of non-vertical collaborations to generate insights for small firms trying to leverage external resources from non-vertical partners. The first type is collaboration with non-profit research institutions for research and development (R&D). While accessing outside resources through external R&D initiatives paves the path to commercialization, such external collaborations heighten the risk of intellectual property (IP) leaks as proprietary knowledge becomes shared. I examine how the decision to conduct R&D projects internally or externally is determined and the factors that affect subsequent commercialization success. My analyses suggest a small firm's R&D path decision depends on its previous success, as well as its competitors' success, but in opposite ways. I also find that possessing formal IP rights is not always beneficial. This counter-intuitive finding suggests an IP lockup problem during external R&D initiatives. The second type is collaborations with non-profit Business Membership Organizations (BMOs) to enable sales growth. Through a survey of 113 minority suppliers affiliated with a BMO, I find that minority suppliers can expand social networks with other minority-owned firms through participation in BMO-sponsored activities. Such participation in turn leads to greater sales growth. Moreover, participation in connect-oriented activities is more effective in expanding social networks with other minority-owned firms than participation in develop-oriented activities. Surprisingly, my analysis suggests expanding social networks with large buying corporations, through collaborations with BMOs, is generally not positively associated with sales growth, except for extremely young and small minority suppliers. Insights from this study provide practical suggestions to minority suppliers on how to participate wisely in BMO-sponsored activities for increased sales growth. Taken together, these two empirical studies highlight unique considerations for small firms engaging in non-vertical collaborations. Moreover, my studies demonstrate potential benefits and challenges of non-vertical collaborations for small firms that warrant more research.
James Hill (Advisor)
Johnny Rungtusanatham (Advisor)
Aravind Chandrasekaran (Committee Member)
148 p.
Business Administration
non-vertical collaboration, small business

Recommended Citations

Citations

  • Pan, M. (2017). Investigations of Non-Vertical Collaborations by Small Firms: Two Empirical Studies [Doctoral dissertation, Ohio State University]. OhioLINK Electronic Theses and Dissertations Center. http://rave.ohiolink.edu/etdc/view?acc_num=osu149269617436867

    APA Style (7th edition)

  • Pan, Mengyang. Investigations of Non-Vertical Collaborations by Small Firms: Two Empirical Studies. 2017. Ohio State University, Doctoral dissertation. OhioLINK Electronic Theses and Dissertations Center, http://rave.ohiolink.edu/etdc/view?acc_num=osu149269617436867.

    MLA Style (8th edition)

  • Pan, Mengyang. "Investigations of Non-Vertical Collaborations by Small Firms: Two Empirical Studies." Doctoral dissertation, Ohio State University, 2017. http://rave.ohiolink.edu/etdc/view?acc_num=osu149269617436867

    Chicago Manual of Style (17th edition)

osu149269617436867
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This open access ETD is published by The Ohio State University and OhioLINK.