【作者】 闫春；

【导师】 蔡宁；

【作者基本信息】 浙江大学 ， 企业管理， 2012， 博士

【摘要】 自从诞生的那一刻起,作为一种有开创意义的技术创新范式,开放式创新就受到了企业的广泛关注,而且许多企业都投入了开放式创新的实践,从大型企业到中小型企业、从高技术行业企业到传统行业企业。许多关于开放式创新的理论研究和实证分析都得出结论：实施开放式创新有助于提高企业的创新绩效,而且在创新开放度与创新绩效之间存在倒U型的关系。可是现有研究揭示的创新开放度与创新绩效之间的关系却仍然有点狭窄：一是对创新绩效的衡量仅仅停留在财务绩效的层面,比如销售回报率、专利数量、新产品开发量等,未能全面体现企业从创新开放中得到的综合收益；二是没有考虑不同创新开放对象在创新绩效形成上的差别性贡献,从而无助于为企业如何集中有限资源选择性地与不同对象合作以最大化创新绩效提供理论指导；三是研究采用的一般都是线性分析工具,因此结论只能证明创新开放度与创新绩效之间存在直接作用关系,对于二者直接关系之间是否还存在其他的因素影响或多重作用路径等问题仍未明了。本文基于现有研究已经证实的创新开放度与创新绩效之间的直接作用结论,选择从同样被广泛证实对开放式创新有重要影响的两个因素——商业模式和技术搜索影响的视角去剖析创新开放度与开放式创新绩效之间的关联机理。具体来说,主要包括以下3个研究任务：(1)将单一财务角度的创新绩效扩展为既包括财务绩效,也包括非财务绩效的开放式创新绩效；(2)对创新开放度进行分类,然后在创新开放度与开放式创新绩效的逻辑关系之间引入起中介作用的商业模式和起调节作用的技术搜索两个因素,根据开放式创新条件下商业模式和技术搜索的演变趋势定位变量的作用位置,提炼变量的测度指标,并构建分类创新开放度与开放式创新绩效的整合结构模型,提出有关的研究假设；(3)收集大样本数据对模型进行检验和修正,并对研究假设进行验证。在研究任务的完成上,本文首先通过系统的文献梳理构建包括了商业模式和技术搜索影响在内的创新开放度与创新绩效整合理论模型,初步从逻辑上证实商业模式和技术搜索在创新开放度与创新绩效关系上产生中介效应和调节效应的合理性。其次选择5家有一定代表性的实施开放式创新的企业,遵循规范案例研究的原则,通过案例数据与理论分析之间的相互印证,对研究中涉及的5个关键变量——创新开放度、探索式创新与开发式创新、开放式创新绩效、商业模式开放、技术搜索能力进行深入的定性探讨,归纳出可以用来指导问卷问题设置的变量测量题项。第三是收集大样本问卷调查数据,从中随机抽取一定数量的问卷用于关键变量测度指标的定量筛选,结合前述的整合理论模型,探究创新开放度影响开放式创新绩效的作用机理,构建用于实证分析的整合结构模型,并提出研究假设。第四是利用余下的大样本问卷数据,采用SPSS统计分析和结构方程模型(SEM)分析手段,对结构模型进行实证检验与修正,并验证研究假设与中国企业开放式创新实践的匹配程度。最后一步是对本文研究过程与结论的总结,归纳本文的理论意义及其对企业开放式创新实践的参考价值,并针对本文的研究不足提出未来有待进一步探索的方向。通过上述步骤,本文得出如下5个重要结论：(1)企业创新开放的收益除了财务绩效以外,还能从中收获内容更加丰富、影响程度更深和持久的战略绩效,而且战略绩效对财务绩效有正向促进作用；(2)两种类型的创新导向——探索式创新和开发式创新对创新开放度与开放式创新绩效关系产生了正向的中介作用,而且两种创新导向内部之间存在正向的互动影响；(3)商业模式开放完全中介了探索式创新与开放式创新财务绩效的关系,在开发式创新与开放式创新财务绩效的关系上仅起到部分中介效应,而商业模式开放与开放式创新战略绩效之间则不存在显著的作用路径；(4)技术搜索能力对探索式创新开放度与探索式创新的关系起到了正向的调节作用,可是它对开发式创新开放度与开发式创新关系的调节效应却不显著；(5)探索式创新开放度与开发式创新开放度对开放式创新绩效的总体效应相差不大,可是它们在效应的分解组合上却表现为差异很大的作用机制,探索式创新的绩效贡献有着更复杂和更长的作用路径。本文跳出了现有研究中对创新开放度与创新绩效之间直接作用关系多方法验证的局限性,采取规范理论分析、案例调查与统计分析相结合的方法,取得了以下3点研究进展：(1)提出、构建和实证检验了同时包括财务绩效和战略绩效的开放式创新绩效衡量指标,丰富和深化了对开放式创新绩效多维结构的理解；(2)通过引入在技术创新与技术经济价值实现之间发挥“认知地图”功能的商业模式和对提高企业应对技术竞争挑战有重要帮助的技术搜索,推动了对企业创新开放与创新收益获取之间商业模式与技术搜索角色功能的深入认知,为更广泛的创新开放度与开放式创新绩效之间的机理分析提供了基础；(3)证实了探索式创新与开发式创新都对开放式创新绩效有积极的贡献,只是他们的作用路径有直接和间接之分的结论,调和了企业在两种创新导向上采取二者兼得抑或次序组合的决策矛盾,为企业寻求二者兼得的战略平衡提供了更加科学合理的理论借鉴。更多还原

【Abstract】 Since its emergence, as a creative technology innovation paradigm, open innovation received widespread concerns from enterprises. Many enterprises actively involved in the practice of open innovation, covered from large to middle and small size, hi-tech to traditional ones. Number of theoretical studies and empirical analyses come to a conclusion-open innovation involvement is positive for innovation performance, there exist reverse U-shape relationship between openness and innovation performance. But the discovered relationships between openness and innovation performance seem to be somewhat narrow. The first evidence is the measurement of innovation performance focus only on financial level, such as return on sales, quantity of patents, new product development and so on, which are not enough to embody the comprehensive gains an enterprises can get from open innovation. The second evidence is extant researches do not consider the differentiated contributions on innovation performance coming from different objects in the process of open innovation, so as to restricted the guidance value of final conclusions for enterprises on how to concentrate limited resources to selectively cooperate with different objects to realize maximization of innovation performance. The third one is that current studies mainly use linear analysis tools, therefore the conclusion can only prove a direct relationship between openness and innovation performance, it is still unclear whether there exist other factors which may also have impacts on the proved relationships, or except for this kind of direct impacting path, multi-impacting path may also exist between these two factors.Based on proved direct relationship between openness and innovation performance, the dissertation chooses to anatomy the associating mechanism between openness and open innovation performance from the perspective of impact of two vast-tested important factors in open innovation-business and technology scouting. The main research task of this dissertation includes the following three points:(1) to extend single financial view of innovation performance to open innovation performance which includes financial and non-financial performance index simultaneously;(2) to categorize openness, and introduce mediating factor of business model and moderating factor of technology scouting into the logic relation between openness and innovation performance, positioning the above two variables according to their change trend under open innovation situation, refining the measuring index of variables, constructing integrated structural model of categorized openness and open innovation performance, and raised relevant hypotheses;(3) to gather large surveying samples to empirically verify the structural model and relevant modifications, and test the validation of hypotheses.For the completion of research task, the dissertation first constructed an integrated theoretical model of openness and open innovation performance which includes the impacts of business model and technology scouting on the basis of systematic literature combing. This can provide a preliminary logic evidence for the rationality of mediating and moderating effect between the relations between openness and open innovation performance. After that, following the principles of formal case study, the dissertation chooses five typical open innovating enterprises to carry out a deep qualitative analysis. Through cross verification between case data and literal analysis, the measuring index of five key variables, that is openness, exploration and exploitation, open innovation performance, business model and technology scouting, the measuring items of these five variables were deducted for the guidance of question setting in surveying questionnaire. The third step is the collection of large sample survey data. Then select some of them randomly to conduct quantitative filter of the measuring index of key variables. Combining with the above integrative theoretic model, the affecting mechanism of openness on open innovation performance will be discussed, as well as the construction of integrative structural model for empirical analysis, and the putting forward of research hypotheses. The fourth one is to verify and modify the structural model with the rest of surveying data by means of SPSS statistics analysis and Structural Equation Modeling (SEM), testing the degree of matching between hypotheses and open innovation practice of Chinese enterprises. The last step is the conclusion of analytic process and the result of the dissertation, including the theoretic significance of the paper and its reference value for enterprises" open innovation practicing, and discuss the direction of further studies in the future according to the defects of dissertation.After the completion of above steps, the dissertation comes to five important conclusions:(1) Except for financial rewards, enterprises can get strategic returns which are more abundant in content, deepen in influence and permanence compared with financial gains, and the strategic performance has positive contribution to financial performance;(2) Two categories of innovation orientation-exploration and exploitation have positive mediating effect on the relations between openness and open innovation performance, and there exists positive interactions between exploration and exploitation;(3) The opening of business model has complete mediating effect on the relation between exploration and financial performance of open innovation, while it shows only partial mediating effect on exploitation and financial performance of open innovation. But there is no significant affecting path between business model opening and strategic open innovation performance;(4) Enterprises" capability of technology scouting produces significantly positive moderating effect on the relations between the openness of explorative innovation and exploration, but its moderating role between the openness of exploitative innovation and exploitation is not significant;(5) Though the openness of exploration or exploitation has similar total effects on open innovation performance, they show quite different impacting mechanisms in de-composing and combination of total effects. The performance contribution of exploration presents more complicated and longer action paths.The dissertation breaks the limitation of multi-method verification for directly affecting relationship between openness and open innovation performance in extant studies. With the adoption of combination of normative theoretic analysis, case investigation and statistics analysis, the dissertation achieves the following three research progresses:(1) Putting forward, constructing and empirically verifying the measurement index of open innovation performance including financial performance and strategic performance simultaneously, enriching and deepening the understanding of multi-dimensional structure of open innovation performance;(2) Through the adoption of business model which functioning as the "cognitive map" between technological innovation and realization of economic value of technology, and another important factor in helping enterprises to cope with technological competition-technology scouting, the dissertation further the cognition for the functioning role of business model and technology scouting in innovation opening and innovation performance. These progresses provide a foundation for more extensive mechanism analysis between openness and open innovation performance in the future;(3) Testifying the conclusion that both exploration and exploitation have positive contributions on open innovation performance, while their affecting paths can be termed as direct and indirect. This conclusion can, to some extent, help to conciliate the decision dilemma in ambidexterity or sequential combination of two innovation orientations, and so as to provide a more scientific and reasonable theoretic reference in enterprises’pursuance of strategically ambidextrous equilibrium.更多还原