【作者】 吴青熹；

【导师】 施建军；

【作者基本信息】 南京大学 ， 企业管理， 2011， 博士

【摘要】 知识经济时代,海量的知识外溢成果在大幅增加社会整体正外部性的同时,也大大提高了企业的创新机率,然而,企业的实际创新绩效取决于其对组织内外海量的人力资本、社会资本和知识资本再整合及再配置方式的理解。从经济学角度分析：协同创新是对人、网络和知识这三种决定企业发展的本质要素的网络化整合,一方面可以大幅降低要素获取成本,另一方面还能产生功能倍增的协同效应,因而可以被认为是企业创新的帕累托最优选择。虽然协同创新能够从根本上增强企业的竞争优势,但是这一创新模式尚未引起学术界和企业界足够的关注和认识。因此,如何准确地对协同创新的内涵及影响因素进行界定,并将其应用和推广于企业的创新实践,不仅是该理论研究的核心,也是企业实践的难点。目前,有关协同创新的研究还处于起步阶段,缺乏完整的系统分析,为数不多的研究也未能从协同学的基本内涵出发,对协同创新的本质及其核心影响因素给出系统的阐释,就此意义而言,本文填补了该领域的研究空白,有利于厘清人们对协同创新的认识并有助于指导企业的协同创新实践。本研究在汲取相关研究领域精华的基础上,结合江苏省高科技领军企业的创新实践,从认知的视角构建起协同创新的理论范式,提出并回答了两个核心问题：1、变革型领导和企业家社会资本是否是影响协同创新的本质因素?本文从系统角度出发,通过运用自组织理论对变革型领导和企业家社会资本的内涵、维度和自组织过程展开动态分析,探讨它们在协同创新过程中的影响、地位、作用,提出了协同创新的理论范式,并指出协同创新的本质是知识的创新。2、变革型领导和企业家社会资本影响协同创新的作用机理是什么?本文以组织学习为中介,构建起变革型领导和企业家社会资本对协同创新的作用机制模型,根据知识在企业内外的循环流动路径,探讨内生因素—变革型领导与外部影响因素—企业家社会资本之间的相互作用关系及协同度,以及它们经由组织学习的机制转换作用于企业创新的过程机理。围绕上述两个核心问题,本研究分六个章节展开,各章主要内容如下：第一章：绪论。本章建立在知识经济时代我国自主创新的宏观背景之上,通过分析企业家和社会资本在创新中的地位和作用,提出研究问题、阐明选题意义,并对研究方法、对象、结构及创新之处进行了介绍。本章是研究的基础与铺垫。第二章：文献综述。本章通过对构建理论模型将要涉及的变革型领导理论、社会资本理论、组织学习理论和协同创新理论的发展演进、理论内涵和代表性观点的回顾与评论,指出了理论间存在的内在逻辑联系及现有研究的空白点。本章是研究形成的理论依据。第三章：理论基础。本章从认知角度对变革型领导、企业家社会资本和组织学习各自维度及其自组织过程开展理论分析,指出了它们对协同创新的影响,并借鉴协同学理论,提出了企业协同创新的理论范式,指明了协同创新的知识创新本质。本章是研究形成的理论基础。第四章：理论模型构建与研究假设确立。本章结合前文的理论范式及现有的实证成果提出了相关理论假设,并构建起变革型领导、企业家社会资本分别以组织学习为中介对协同创新的作用机制模型。本章是研究形成的实证基础。第五章：研究设计与数据分析。本章通过研究设计、问卷调查、相关与回归分析以及结构方程模型对理论模型提出的关系路径进行了完整的实证分析和假设检验。本章是研究形成的实证依据。第六章：结论与展望。本章通过阐明本文的研究结论,剖析研究的理论贡献与实践意义,对其在实践中的应用给出了建设性意见,并指出了研究的局限和后续研究方向。本章是本研究的系统性总结。通过上述分析,本文证明了前文所提出的理论模型并得出如下结论：1、企业协同创新的实现完全建立在变革型领导、企业家社会资本和组织学习三个关键因素协同作用的基础上,企业及企业家的外在基础特征,如：企业性质、规模、盈利状况,企业家性别、年龄、学历、经验等对协同创新的影响可以忽略。2、变革型领导、企业家社会资本和组织学习都对协同创新有着积极、直接的正向影响：变革型领导心智模式和激励机制越开放,企业心智模式的协同创新度越高：企业家结构维和关系维社会资本越丰富,企业心智模式的协同创新度越高企业家认知维社会资本越丰富,企业网络结构协同创新度越高；组织学习层面越宽泛、方式越灵活,企业网络结构和心智模式的协同创新度越高。3、对于变革型领导、企业家社会资本和组织学习三者而言：变革型领导心智模式、激励机制和个人学习越开放,组织学习层面越宽泛,且变革型领导激励机制的开放性显著影响组织学习方式和企业家关系型和认知型社会资本；企业家社会资本能够直接影响组织学习,但影响效果显得较为有限。4、组织学习是变革型领导和协同创新的完全中介,但组织学习却未能在企业家社会资本和协同创新之间产生中介作用。本研究的主要创新点反映在：1、本研究从企业创新的实践出发,将变革型领导、企业家社会资本、组织学习和协同创新整合入一个理论框架,建立起中国情境下企业协同创新的理论范式,并率先提出协同创新的两个核心问题：变革型领导和企业家社会资本是否是影响协同创新的本质因素?如是,变革型领导和企业家社会资本影响协同创新的作用机理是什么?对该领域的研究作出了一定的贡献。2、本研究从认知的视角出发,把变革型领导分为心智模式、激励机制和个人学习三维度,把企业家社会资本分为结构维、关系维和认知维三维度,把协同创新分为组织结构的协同创新和共享心智模式的协同创新两维度,突破了其他研究只关注企业及企业家外部特质和行为的局限性,为从根本上理解和把握协同创新提供了可借鉴的分析思路。通过运用自组织理论对变革型领导、企业家社会资本、组织学习和协同创新在企业生命周期中的自组织过程的动态分析,揭示了企业家认知能力、网络能力以及组织学习能力在协同创新过程中的重要意义,指出变革型领导、企业家社会资本和组织学习是实现协同创新的三个关键影响因素。3、本文以组织学习为中介,构建起变革型领导和企业家社会资本对企业协同创新的作用机制模型,通过实地采集江苏省部分代表性高科技企业数据,综合运用描述性统计分析、相关与回归分析以及结构方程模型分析等多种方法对理论模型进行实证,验证了本文对四者间关系的理论推断。本研究结论有助于理论界及企业界深刻理解协同创新的本质、关键影响因素及四者间的相互关系,为企业从宏观和微观两个层面开展协同创新的实践提供了重要的理论依据、应对思路和解决方案,也为协同创新的理论范式在实践中的应用与推广打下了坚实基础。更多还原

【Abstract】 In an era of knowledge-based economy, massive knowledge spillover not only enhances the overall positive externality of the society significantly but also increases enterprise’innovation probability. However, enterprise’s actual innovation performance is decided by their understanding on reintegration and reallocation of enormous human resource, social resource and knowledge capital inside and outside the organization. From the perspective of economics, synergy innovation is network integration on three essential elements that determine enterprise development including human, network and knowledge, which greatly reduces elements acquisition cost on the one hand, and produces synergistic effect with multiple functions on the other hand. Therefore, it can be regarded as Pareto optimal choice for enterprise’s innovation.Although synergy innovation can fundamentally enhance enterprise’s competitive edge, but this innovation mode hasn’t drawn enough attention and recognition from academic community and business circle. Hence, accurate definition on synergy innovation connotation, influencing factor and its constitution element together with application and promotion in enterprise’s innovation practice is the core of this theoretical research and also difficult point in enterprise practice. At present, relevant research on synergy innovation is still in its infancy, lacking of complete systematic analysis. Few researchers are successful in starting from the basic connotation of synergetic, failing to give systematic and accurate interpretations on essence and core influencing elements of synergy innovation. In the light of the above-mentioned issue, this article fills the research gap in this field, improves people’s understanding on synergy innovation and provides guidance for enterprise to carry out synergy innovation practice.On the basis of absorbing quintessence in relevant research, by combining innovative performance from leading high-tech enterprises in Jiangsu province, this research dedicated to establishing innovative theoretical paradigm from the perspective of perception theory, puts forward and answers two core problems.Will transformational leadership and entrepreneurs social capital represents the essence influencing the synergy innovation?From systematic perspective, this article makes dynamic analysis on transformational leadership, entrepreneur’s social capital, connotation and dimension of organizational learning together with self-organized process. It also discusses their influence, position and role in synergy innovation and synergic relationship and synergy degree. Then the paper puts forward the theoretical paradigm of synergy innovation and then points out that the very essence of synergy innovation is the innovation of knowledge.What’s the mechanism of action regarding the impact of transformational leadership and entrepreneurs’ social capital on the synergy innovation?Taking organizational learning as the medium, this article builds mechanism of interaction on synergy innovation by transformational leadership and entrepreneur s’ social capital. In accordance with knowledge circulation path inside and outside of the enterprise, it discusses interaction and interrelationship between end genetic factor, transformational leadership and external influencing factors and entrepreneur’s social capital, as weil as process mechanism transformed from organizational learning mechanism to enterprise innovation.Centering on the above two core problems, this research is carried out in six chapters. Main contents of each chapter are as below:The First Chapter: Introduction. This chapter is set against the macro background of China’s independent innovation in an era of knowledge-based economy. Through analysis on the role and position entrepreneur and social capita! play in innovation, these chapters proposes the research subject and explains significance of subject selection, and also make an introduction on research method, object and structure. As the basis, this chapter paves way for further research.The Second Chapter: Literature Review. Through reviewing and commenting on theoretical connotation, representative viewpoints and development and evolution of transformational leadership, involving in theory model building, organizational learning theory, social capital theory and synergy innovation theory, this chapter describes internal logical relationship between theories and gaps in current research. This chapter is the theoretical foundation for the research.The Third Chapter: Theoretical basis. From the perspective of cognitive research, this chapter performs analysis on transformational leadership, entrepreneur’s social capital, connotation and dimension of organizational learning together with self-organized process, pointing out their role as order parameter in synergy innovation, meanwhile, it also specifies the essence of knowledge innovation of enterprise synergy innovation. This chapter is the theoretical basis for the research.The Fourth Chapter: Theoretical Mode Building and Research Assumption Making. This chapter makes relevant theoretical assumption by combining the above-mentioned theoretical paradigm and existing demonstration achievement. It also establishes mechanism of interaction on synergy innovation by transformational leadership and entrepreneur’s social capital through respectively taking organizational learning as the medium. This chapter is the empirical basis for this research.The Fifth Chapter: Research Design and Data Analysis. Through research design, questionnaire survey, regression analysis and structural equation model, this chapter makes complete empirical analysis and assumption verification on relationship path put forward by theoretical mode. This chapter is the empirical foundation for this research.The Sixth Chapter: Conclusion and Prospect. Through analysis on assumption verification, this chapter concludes and elaborates on research conclusion of this article, analyzes contribution and practical significance of research theory, proposes constructive suggestions for practical application and also points out research limitations and further research direction. This chapter is the systematic conclusion of this research.Through the above-mentioned analysis, this article proves theoretical mode in the former parts and make the following conclusions:Realization of enterprise synergy innovation is completely based on synergic action of three crucial elements including transformational entrepreneurs, entrepreneur’s social capital and organizational learning. The role playing by enterprise nature, size, profit status, as well as sex, age, educational background and experience of entrepreneur is very limited.Transformational leadership, entrepreneur’s social capital and organizational learning exert direct and positive impact on synergy innovation:the more open are the mental model of transformational entrepreneurs and incentive mechanism, the higher will be the level of synergy innovation of enterprise mental model; the richer will be entrepreneur’s cognitive social capital, and the higher level of synergy innovation of enterprise’s network structure; the wider in learning horizon, the more flexible in method, the higher synergetical level of enterprise network structure and mental mode.Regarding transformational leadership, entrepreneur’s social capital and organizational learning:the more open in mental mode, incentive mechanism and individual learning of transformational entrepreneurs, the broader the learning horizon will be; the extent of openness in transformational entrepreneurs incentive mechanism exerts direct impact on organizational learning methods and entrepreneur’ s relation-based and knowledge-based capital; entrepreneur’s social capital can exert direct impact on organizational learning, but too limited.In terms of mediated relations between order parameters:organizational learning is the complete medium for transformational entrepreneurs and synergy innovation. But organizational learning doesn’t produce mediating effect between entrepreneur’s social capital and synergy innovation.This research has the following innovation points:1. Starting from enterprise innovation practice, the research integrates the transformational leadership, entrepreneurs’social capital, organized learning and synergy innovation into a theoretical framework and establishes enterprise’s synergy innovation theoretical paradigm in China’s situation for the first time. It is pioneering in putting forward two core problems of synergy innovation:Will the transformational leadership and entrepreneur’s social capital affect the essence of the synergy innovation? If so, what’s the interaction mechanism of transformational leadership and entrepreneurs’ social capital impact on synergy innovation elements? This research fills the systematic research gap in this field.2. From the perspective of cognition, the research divides the transformational leadership into three dimensions comprising of mental mode, incentive mode and individual learning mode. At the same time, the research also divides the entrepreneurs’ social capital into three dimensions of structure, relation and cognitive. Dividing the synergy innovation into the two dimensions of composing of the structure-based innovation and shared mental model. By doing this, this research comes up with new concept of breaking the limitation of other researches that only pays attention to entrepreneurs’ external characters and behaviors. The research provided the insightful suggestions on the fundamental understanding of synergy innovation. This research adopts thoughts and methods from self-organization theory in synergetic and makes dynamic analysis on self-organization process of transformational leadership, entrepreneur’s social capital and organizational learning in enterprise’s life cycle. Therefore, it reveals the significance of entrepreneur’s recognition ability, network capability and organized learning ability in synergy innovation process and meanwhile points out 3 crucial influencing elements of transformational leadership, entrepreneur’s social capital and organizational learning in terms of realizing synergy innovation.3. Taking organizational learning as the medium, this article builds mechanism of interaction on synergy innovation by transformational leadership and entrepreneur’s social capital. Through first-hand on-site data collected from part of representative high-tech enterprises in Jiangsu province; this article makes assumption verification on theoretical model by comprehensively applying various methods like factor analysis, regression analysis and structural equation model. The research facilitates the better understanding of the essence and the relations between the crucial influencing factor and interactive relations of the synergy innovation for academia and business community. The article also provided the important theoretical basis and solutions for the enterprise in terms of synergy innovation at macro and micro level and laid solid foundation for theoretical paradigm application of synergy innovations.更多还原