Abstract

The DUI (learning by doing-using-interacting) mode offers a promising theoretical framework to explain why many small- and medium-sized enterprises (SMEs) are successful in innovation without research and development (R&D) efforts. In this context, we argue that—because of the informal, person-centered, and interactive nature of the DUI mode—small business owners should be in a key position to trigger DUI learning processes at the company level. Based on a large SME data set from Germany, we show empirically that Big Five personality traits of small business owners positively affect self-selection into DUI-based innovation in less R&D-intensive SMEs. That is, companies operating largely under the DUI mode seem to benefit in particular from certain owners’ personality characteristics. In addition, we present novel evidence that complementarities between different Big Five traits exist in terms of self-selection into the DUI mode, thereby pointing to the role of personality prototypes. The paper concludes with implications for policy and further research.

Plain English Summary

Solving the SME innovation puzzle—resilient owner personalities boost small firm innovativeness. This psychological effect only exists in non-R&D SMEs, providing a new explanation for their surprising innovation success. SME owners are involved in most day-to-day activities of their company. An owner’s personality therefore directly affects external and internal communication flows, laying the foundation for a company’s innovation culture. We show that a resilient personality type—an owner who is characterized by emotional stability, openness, extraversion, and conscientiousness—benefits innovation in non-R&D SMEs. According to our analysis, resilient owners are about 5.5% more likely to trigger an innovation mode within their company that builds on non-R&D-based knowledge, communication, and interaction. Our research implies that entrepreneurship education and consultancy should foster psychological self-awareness, and thereby increase an owner’s understanding of his/her most effective role in terms of firm-level innovation. Successful entrepreneurship and innovation is not fully determined by one’s personality type, but knowing one’s own strength and weaknesses can help to carve out an effective niche, defining the scope of one’s responsibility, as well as its limits.

中文翻译：

---

人品重要吗？小企业主和创新模式

摘要

DUI（边做边学）模式提供了一个很有前景的理论框架来解释为什么许多中小型企业（SME）在没有研发（R&D）努力的情况下在创新中取得成功。在这种情况下，我们认为——由于酒后驾车模式的非正式、以人为本和互动的性质——小企业主应该处于关键位置，以在公司层面触发酒后驾车学习过程。基于来自德国的大型中小企业数据集，我们实证表明，小企业主的大五人格特征对研发密集度较低的中小企业的基于酒驾的创新的自我选择产生积极影响。也就是说，主要在酒驾模式下运营的公司似乎特别受益于某些所有者的个性特征。此外，我们提出了新的证据，表明在 DUI 模式中的自我选择方面，不同大五特征之间存在互补性，从而指出人格原型的作用。本文的结论是对政策和进一步研究的影响。

简单的英语摘要

解决中小企业创新难题——富有弹性的所有者个性促进小企业的创新。这种心理效应只存在于非研发型中小企业，为其惊人的创新成功提供了新的解释。中小企业所有者参与其公司的大部分日常活动。因此，所有者的个性直接影响外部和内部的沟通流程，为公司的创新文化奠定基础。我们表明，具有弹性的人格类型——以情绪稳定、开放、外向和尽责为特征的所有者——有利于非研发型中小企业的创新。根据我们的分析，有韧性的所有者在其公司内触发基于非研发知识、沟通和互动的创新模式的可能性高出约 5.5%。我们的研究表明，创业教育和咨询应该培养心理上的自我意识，从而增加所有者对他/她在公司层面创新方面最有效角色的理解。成功的创业和创新并不完全取决于一个人的性格类型，但了解自己的长处和短处可以帮助开拓一个有效的生态位，定义一个人的责任范围和界限。