【作者】 王天力；

【导师】 张秀娥；

【作者基本信息】 吉林大学 ， 企业管理， 2013， 博士

【摘要】 我国众多的新创企业是我国企业的重要组成部分，新创企业的创新能力决定着我国现有和未来企业的整体创新水平。企业能力理论强调企业能力具有很强的路径依赖性，“企业的发展路径取决于以往的位势”，“企业今天的做法决定了其未来的道路”（Teece，1997）。因此，新创企业今天的创新能力决定了企业未来的发展走向和路径。新创企业从开始就应该通过多种途径建立自身的创新资源和创新能力。新创企业存在“合法性缺乏”等的新进入缺陷，因而其内部知识资源有限，如果不能从外部获取足够的知识资源，就会使企业的创新能力不足。我国当前正处于环境动荡性加剧所导致的超竞争环境中，很多新创企业在盲目模仿他人的经营模式上亦步亦趋。如何通过获取外部知识资源提高新创企业创新绩效已成为一个重要的研究课题。企业知识理论认为，创造和应用知识的能力是企业能够进行可持续竞争的基础。而知识所具有的价值性、稀缺性及不可替代性尤其体现在隐性层面上。隐性知识对企业竞争力尤为重要。能够迅速有效地创造和利用隐性知识的企业可以更快的进行创新。尤其对新创企业，在内部资源约束和外部竞争加剧的情况下，获取企业外部隐性知识成为新创企业知识能力提高的主要途径。以往的研究较多地关注了隐性知识获取的影响因素，对隐性知识获取与创新绩效之间的作用机理的研究较为缺乏。尤其是以新创企业为研究对象，研究吸收能力在其中的中介作用的十分缺乏。吸收能力是企业识别评价、消化转化和整合应用新知识以实现商业化产出的能力。新创企业创业初期获取外部知识资源并加以吸收利用是快速和可持续创新的重要来源。以往的研究通常将吸收能力作为调节变量，对组织绩效有促进作用，对于吸收能力是如何形成的却少有提示。现有研究开始探讨吸收能力的前因变量，试图解释吸收能力形成的因素和条件。总体来说，学术界普遍认为吸收能力对企业创新有正向影响，但是具体到吸收能力对新创企业创新的作用机理研究较少。本文通过研究隐性知识获取和新创企业创新绩效之间的关系，力争解释二者之间关系是否是通过吸收能力实现的，从而揭示隐性知识获取形成新创企业创新绩效的机理以及新创企业吸收能力形成的条件。本文从新创企业亟待提高创新能力的角度出发，首先在现有研究文献的基础上，对隐性知识获取、吸收能力、新创企业创新绩效及其三者关系进行了文献综述和理论分析，然后构建了关于三个主要研究变量之间的理论关系模型，并提出相关研究假设。最后，采用问卷调查方法对我国部分新创企业进行数据收集，利用探索性因子分析、验证性因子分析和多元回归分析等方法对模型所包含的假设进行实证检验。通过理论分析和对345份有效问卷数据的实证分析，本文得到的主要研究结论如下：第一，隐性知识获取对新创企业创新绩效有显著正向影响。从外部获取的技能的或认知的隐性知识，能够形成关于产品和技术创新的“新组合”和建立新的思维模式，从而有助于技术和管理创新绩效的全面提高。然而，技能型隐性知识获取对管理创新绩效的正向影响不显著β=-0.028（p=0.536>0.05）。第二，隐性知识获取对吸收能力各维度均有显著正向影响。企业不断从外界获取技能型和认知型隐性知识，处理这些知识的过程会使企业识别评价、消化转化和整合应用新技术和新信息的能力不断得到锻炼，企业的“心智模式”的到改善和加强，从而组织吸收能力不断提高。第三，吸收能力各维度之间存在着顺次的正向影响作用。这意味着识别评价和消化转化是较为基础的能力，而整合应用能力是吸收能力更高级的能力，因而其形成也需要经历更长的时间。消化转化对整合应用能力的影响程度0.805（.000**）大于识别评估对消化转化能力的影响程度0.723（.000**），说明吸收能力越向高级能力发展，其累积产生的正向影响作用越大，影响效果越显著。第四，吸收能力对创新绩效有显著正向影响。新创企业吸收能力越强，其对技术和产品的开发内涵理解越透彻，越能在企业初期阶段洞察组织的运行效率和管理效率，主动实施技术改革和管理变革，从而提高创新绩效。但整合应用能力对管理创新绩效的正向作用没有通过检验β=-0.302（p=0.011>0.01）。第五，验证了吸收能力作为中介变量对隐性知识获取与创新绩效的影响。吸收能力在隐性知识获取与创新绩效之间起到完全中介作用（路径系数为0.602**到0.052）。这一结论验证了理论论述的“隐性知识获取—吸收能力—创新绩效”的作用过程和机理。表明了隐性知识本身不容易直接产生创新，创新的产生在很大程度需要组织较强的吸收能力，隐性知识获取通过促进吸收能力的形成进一步提高创新绩效是隐性知识获取提高创新绩效的内在过程和形成机理。第六，环境动荡性在新创企业隐性知识获取与创新绩效关系间起调节作用。新创企业大多处于技术环境和市场环境较为动荡的环境中，环境的动荡性增加了因果模糊和降低了竞争对手可模仿性，从而使得新创企业能够利用从外部获取的隐性知识所产生的吸收能力，更快更好地形成技术和管理的创新决策，提高创新绩效。本研究还对吸收能力的内涵及维度进行了拓展和补充，这些同吸收能力中介变量的研究共同丰富了吸收能力领域的研究。对企业创业期的隐性知识获取、吸收能力以及创新成长路径问题的实证研究，丰富了新创企业成长理论，使得新创企业能够更好地建立起外部隐性知识获取的主动性和意识，获悉培育和增强企业吸收能力的形成条件，形成吸收能力的正向“锁定性”和“路径依赖”，最终实现新创企业的快速成长和可持续发展。更多还原

【Abstract】 As an important part of Chinese firms, the great number of Chinese newventures, in term of their innovation ability, has a lot to do with the whole nationalinnovation level both presently and in the future. The Theory of Firm’s Capabilityemphasizes that capability takes on a strong “path dependancy”.“Where a firm cango is a function of its current position and the paths ahead.” and “Its current positionis often shaped by the path it has traveled” are all what it mean（sTeece，1997）. So thepath where the new ventures can go is decided by their innovation ability today. Theyshould learn to obtain resources for cultivating this ability through all kinds ofchanels, since most of the new ventures have liability of newness, such as lack oflegitimacy and so on, that is, the new venture is limited in its inner resources. Werethey not active in acquiring resources or knowledge from outside, they are likely tobecome rather insufficient in their innovation ability. The overall industry in ourcountry is now in the setting of “hypercompetition” as a result of environmentalturbulence, and so many new ventures are following others’ footsteps. Hence, how toincrease their innovation performance through acquiring outside resources becomes avery important research subject.The Theory of Firm’s Knowledge holds that the ability to create and applyknowledge is important for continually increasing the firm’s competitive advantage.Furthtermore, the valuebleness, scarcity and insubstitutability of the knowledgespecially embody themselves on its tacitness. Tacit knowledge really accounts for the competitiveness of the firm. Those who can quickly create and make use of tacitknowledge can become innnovative quickly, especially for new ventures, restrained ininner resources and conditioned in the intense outer competition, acquiring exteriortacit knowledge surely becomes the main approach. The previous research cares moreabout some factors that influence tacit knowledge,but pays little attention to themechanism for tacit knowledge to be transformed into innovation performance.Studies concerning the absorptive capacity of new ventures as a mediator between thetwo elements, however, are particularly few.Absorptive capacity is defined as a firm’s ability to recognize and value,assimilate and transform, and integrate and apply new external knowledgecommercially. Acquiring the exterior knowledge resources and then absorbing andapplying them is extremely critical for firms to realize fast and sustainable innovationat their early developing stages. Previous researches discussed the absorptive capacityas a moderator in enhancing organizational performance, but only a rare mention ofhow the absorptive capacity has come into being instead. The present research beginsto address the antecedent variables of it, trying to explain the factors and conditionsthat determine the absorptive capacity. Generally, the academia has recognizedabsorptive capacity as having positive impact on innovation performance, but withregard to researches taking new ventures as object, few has any conclusion. Thisthesis, by studying the relationship between tacit knowledge acquisition andinnovation performance, attempts to discover how the whole course is achieved asthat and whether it is realized through the absorptive capacity, with an aim to explorethe mechanism of the course and the conditions facillitating it.This thesis starts from the urgent need for new ventures’ to promote theirinnovation performance, reviews the previous research outcome about tacitknowledge acquisition, absorptive capacity, innovation performance and therelationship among them based on the current literatures next, and followed by it builds the theoretical model for the chief three research variables and proposescorrespondent research hypotheses accordingly. The empirical study is then carriedout through questionnaires from some of the Chinese new ventures on the hypothesisincluded in the model by methodology of Explorative Factor Analysis, ConfirmativeFactor Analysis and Multiple Regression Analysis. The following are conclusionsreached by theoretical analysis and quantitative empirical analysis of the345validsamples in this research.Firstly, tacit knowledge acquisition has significantly positive impact oninnovation performance for new ventures. Skillful or cognitive tacit knowledgeacquired externally can form a “new combination” about the product or technologyand build new thinking pattern, which helps to promote either technological ormanagerial innovation performance for new ventures. However, the effect of theskillful tacit konwledge acuqisition on managerial innovation performance is not verysignificant in the test（the standardized regression weight is-0.028, p=0.536>0.05）.Secondly, tacit knowledge acqisition has significantly positive impact on alldimensions of absorptive capacity. With new ventures continuously obtaining skillfuland cognitive tacit knowledge from outside, the process of recognizing and valuing,assimilating and transforming, integrating and applying them tempers the ventures’ability to deal with new knowledge and information. Meanwhile, the “mental mode”of the new ventures is capable of being improved or consolidated, thereby theabsorptive capacity elevates gradually.Thirdly, the dimensions of absorptive capacity have significantly positive impacton one another sequentially. This signifies that recognizing and valuing, assimilatingand transfroming are relatively basic ability, while the integrating and applying ismore advanced ability which requires more time to accumulate. The effect of theability to assimilate and transform on the ability to integrate and apply is greater（thestandardized regression weight is0.805, p<0.01） than that of the ability to recognize and value on the latte（rthe standardized regression weight is0.723, p<0.01）, denotingthat absorptive capacity will produce accumulatively more power as it developsupward.Fourthly, absorptive capacity has significantly positive impact on innovationperformance. The stronger the new ventures’ absorptive capacity, the deeperunderstanding on the development of new technology and product and greater insighton the firms’ operating and managing efficiency the new ventures will gain. As thenew ventures actively carry out their technical and managerial innovation, theirinnovation performance improves likewise. However, the effect of the ability tointegrate and apply on managerial innovation performance has not been supported（the standardized regression weight is0.302, p=0.011>0.01）.Fifthly, the mediating role of the firm’s absorptive capacity and its influence ontacit knowledge and innovation performance is tested, with its mediating effect beingcomplete（the standardized regression weight is from0.602, p<0.01to0.052, p>0.01）.This conclusion confirms the process of “tacit knowledgeacquisition-absorptive-innovation performance” inferred theoretically, indicating thattacit knowledge itself does not create innovation, innovation largely is derived fromthe firm’s strong absorptive capacity. That tacit knowledge acquisition enhancesinnovation performance through absorptive capacity is the inherent mechanismdiscoved in this research.Lastly, the moderating role of environmental turbulence and its influence on therelationship between tacit knowledge acquisition and innovation performance of thenew ventures is tested. Most new ventures are placed in both technological or marketenvironmental turbulence in their industry, and turbulence inevitably increases thecause-effect ambuiguity and decreases the possiblity to immitate from rivals, and theresult is, new ventures depending on acquiring tacit knowledge from outside caneasily engender both technological and managerial innovative decision, therefore promoting their innovation performance consequently.This study also expands and complements the connotation and the dimension ofabsorptive capacity, which, coupled with the research on the absorptive capacity asmediator, enriches the research in the field of absorptive capacity. The samecontribution also goes to the empirical study on the relationship among tacitknowledge acquisition, absorptive capacity and innovation performance and the seriesof questions exploring the path for new ventures to become innovative, which againenriches the firm’s growth theory. From these, new ventures can learn how to bulidthe initiatives and conciousness to acquire tacit knowledge from outside, and get toknow the conditions shaping it, so as to form a positive “lock-out” and “pathdependency” of the absorptive capacity, ending up to realize rapid growth andsustainable development of the firms in the long run.更多还原