【作者】 张素平；

【导师】 许庆瑞；

【作者基本信息】 浙江大学 ， 管理科学与工程， 2014， 博士

【摘要】 随着创新需求资源日益庞大,单纯依靠企业内部资源已难以满足创新需要,外部资源的有效利用成为影响创新成败的关键因素。作为连接企业与外部组织的关键“桥梁”,企业家依托嵌入在社会网络所动员的社会资本,形成企业获取外部资源的渠道,从而对企业创新能力的构建与提升具有重要作用,特别是在当前转型经济背景下尤为突出。以往研究大多肯定了企业家社会资本对创新能力的积极影响,但对于企业家社会资本以什么样的方式、在什么条件下有效提升企业创新能力这一重要的理论问题,探讨尚有不足。围绕“企业家社会资本如何影响企业创新能力提升”这一基本问题,本研究综合运用资源基础理论、资源依赖理论、社会资本理论与创新理论,通过探索性案例研究、统计分析等多种研究方法尝试揭开企业家社会资本影响企业创新能力的“黑箱”。研究分三个子研究逐层深入：(1)通过探索性案例研究,分析企业内外部资源获取机制对企业创新能力的影响,初步形成企业家社会资本通过资源获取提升创新能力的作用框架；(2)通过统计分析,明确了知识类资源获取、资产类资源获取在企业家社会资本与创新能力之间的中介作用；(3)探讨企业家精神和不良竞争对企业家社会资本与创新能力之间关系的影响。得出以下基本结论：(1)企业内部资源积累与外部资源获取相互补充,共同影响企业创新能力提升.在既定的内外部资源相互补充、共同促进创新的认识下,发现企业家是把潜在的内外部资源互补性转变为企业现实创新能力的关键因素。企业家通过其所构建的社会资本把外部环境中的资源转换为可得的资源(accessible resources),并进一步内化为企业资源用以补充内部资源积累不足,进而影响创新能力提升。在企业发展的初创阶段与快速成长阶段,企业家社会资本的这种作用尤为重要。(2)企业家社会资本不同维度均对企业创新能力有正向效应,并且部分效应通过资源获取的中介作用而发挥影响。具体为：资源获取对企业家政治资本与创新能力间关系起到完全中介的作用；而对商业资本与创新能力间关系起到部分中介作用,即：企业家商业资本不仅能够直接提升创新能力,而且通过获取外部知识与资产类资源的方式间接提升企业创新能力；而政治资本则必须通过资源获取才能有效提升企业创新能力。(3)洞察了企业内部环境与外部环境分别对企业家社会资本与创新能力间关系的调节作用,发现内、外环境要素在企业家社会资本提升创新能力的过程中发挥着显著不同的效应.企业家精神作为企业内部环境重要因素,有利于促进商业资本对创新能力的提升作用；却削弱企业家政治资本与创新能力之间的正向关系。表明：具有高水平企业家精神的企业,更倾向于通过挖掘商业资本而非政治资本来提升创新能力。考虑转型经济特征之一是企业面临的制度及环境的不确定性,本研究具体选择不良竞争(dysfunctional competition),分析其对企业家社会资本与创新能力间关系的影响。发现：不良竞争程度对企业家商业资本与创新能力提升间关系具有正向调节作用,而对政治资本与创新能力间关系没有显著影响.这表明,市场制度不完善所致的产业不良竞争程度较高时,企业家商业资本作为一种非正式治理方式,会发挥其合法性效应,抑制机会主义行为,降低创新风险,进而促进企业创新热情与能力提升。本研究主要理论贡献表现为以下几点：(1)识别了“资源获取”在企业家社会资本与创新能力间的中间转换作用,揭开了社会资本影响企业创新能力提升的“黑箱”,丰富了基于社会资本理论对企业能力构建的研究.在前人更多关注社会资本与组织能力间直接效应的研究基础上,本研究深入探讨了企业家社会资本提升创新能力的内在作用机制。社会资本理论认为：企业家基于外部利益相关者所建构的关系扮演的是“渠道(conduit)"角色。但这种渠道仅仅提供企业获取外部资源的可能性与机会,而如何将可能性转化为现实的创新能力却仍不明确。本研究基于资源管理视角,引入“资源获取”这一变量,探讨了企业家社会资本提升企业创新能力的内在机制,即：企业家社会资本必须要转化为现实的企业知识与资产才能有效提升企业创新能力(2)洞察了企业家社会资本提升创新能力过程中企业内部环境因素的作用,增进了对企业家社会资本促进创新的企业内部条件的理解.针对现有研究在解释企业家社会资本与创新能力之间关系时,较少关注组织内部情境要素的影响这一不足,本研究从战略导向的视角将企业家精神作为内部情境要素引入到研究模型中,探讨企业家精神对企业家社会资本与创新能力间关系的影响。发现：企业家精神对于企业家商业资本与政治资本分别与创新能力间关系具有相反的调节作用,表明：利用不同维度企业家社会资本时,要同时关注企业内部情境因素的状态。这一研究结论一定程度上深化了企业家社会资本作用情境的理解。(3)探索了企业外部环境因素对企业家社会资本提升创新能力的影响,具体检验不良竞争(dysfunctional competition)对两者关系的影响,这对研究转型经济背景下企业成长问题做出了些许贡献。本研究发现：不良竞争(dysfunctional competition)条件下,以企业外部利益相关者关系为核心的企业家商业资本在提升创新能力过程中发挥了更重要的作用；有趣的是,对政治资本与创新能力间关系没有显著影响,这可能表明以企业家与政府关系为核心的政治资本难以弥补市场不完善带来的创新无效,也说明了完善市场竞争机制是企业有效创新的关键条件。这一研究发现表明：转型经济中存在的制度不确定性迫使企业寻求其他方式来降低创新风险与机会主义行为,而企业家社会资本的建构在一定程度上为企业有效创新提供了制度不完善条件下的非正式治理手段。这一发现在一定程度上给出了转型经济背景下如何激励企业实现创新驱动型发展模式的理论指引。更多还原

【Abstract】 With the growing requirement of resources in innovation activities, enterprises solely relying on their internal resources cannot meet the needs of innovation. The acquisition and exploitation of external resources become the key factors in influencing the result of enterprise’s innovation. Entrepreneurs as the bridge between enterprises and external organizations, their social capital are an effective conduit to acquire external resources which in turn can influence innovation capabilities leveraging, especially on the background of the transitional economy in China. Existing research has recognized the positive role of entrepreneur’s social capital in leveraging innovation capabilities. Yet we know very little about how entrepreneur’s social capital can effectively enhance innovation capabilities.This research focuses on the thesis of "the effects of entrepreneur’s social capital on leveraging innovation capabilities", integrates resources-based theory, resources dependence theory, social capital theory and innovation theory, and uses various research methods, including exploratory case study and statistic analysis to explore the "black box" between entrepreneur’s social capital and innovation capabilities.Specifically, three sub-studies are designed to answer this question.(1) Exploring the relationship between resources accumulation and resources acquirement in leveraging innovation capabilities via qualitative method. And a preliminary framework of the relationship between entrepreneur’s social capital, resources acquisition and innovation capabilities is formed.(2) An empirical examination is applied to check the mediating effect of knowledge-based resources acquisition and proprietary-based resources acquisition in the relationship between entrepreneur’s social capital and innovation capabilities.(3) Examining the moderating effects of entrepreneurship and dysfunctional competition in influencing the relationship between entrepreneur’s social capital and innovation capabilities.By combining theoretical and empirical research, qualitative and quantitative methodology, this research has made efforts to answer the key question mentioned above. Some research findings got as follows.(1) External resources acquisition and resources accumulation are complementary in leveraging innovation capabilities. Given to the complementarities of internal and external resources, this research found that entrepreneurs are critical in transforming the potential complementarities into realized enterprise’s innovation capabilities. Entrepreneur’s social capital can effectively turn external resources into firm’s accessible resources to complement the internal resources and leverage innovation capabilities. The role of entrepreneur’s social capital is particularly important in the initial stage and rapid growth stage of enterprise life-cycle.(2) Different dimensions of entrepreneur’s social capital have positive effect on the innovation capabilities leveraging. And this effect is mainly through the intermediary role of resources acquisition. To be specific, the relationship between entrepreneur’s political capital and innovation capabilities are fully mediated by resources acquisition. Yet, the relationship between entrepreneur’s business capital and innovation capabilities is partially mediated by resources acquisition. It means that entrepreneur’s business capital cannot only directly influence innovation capabilities leveraging, but also can indirectly influence innovation capabilities leveraging by acquiring external knowledge-based resources and proprietary-based resources. The influence of political capital on enterprise’s innovation capabilities leveraging should be taken through resources acquisition.(3) Getting insight into the internal environment factor and external environment factor in moderating the relationship between the entrepreneur’s social capital and innovation capabilities. Entrepreneurship as an important internal factor is conducive to enhance the positive relationship between entrepreneur’s business capital and innovation capabilities. While entrepreneurship negatively moderate the positive relationship between entrepreneur’s political capital and innovation capabilities. It means that enterprises with high levels of entrepreneurship are inclined to construct business capital instead of political capital to leverage innovation capabilities.Moreover, given that dysfunctional competition is an important externally environmental dimension in a transition economy, we examined how dysfunctional competition moderates the relationship between entrepreneur’s social capital and innovation capabilities. The positive relationship between entrepreneur’s business capital and innovation capabilities will be stronger when the level of dysfunctional competition is high than when it is low. But the moderating effect of dysfunctional competition on the positive relationship between entrepreneur’s political capital and innovation capabilities are not supported. This suggests that the legitimating effects of entrepreneur’s business capital are salient for deterring opportunistic behavior and reducing risks of innovation in the context of dysfunctional competition. And then entrepreneur’s business capital as an informal governance can promote enterprise’s Ⅷ innovation enthusiasm and innovation capabilities.The research findings deepen our understanding in terms of how entrepreneur’s social capital contributes to a firm’s innovation capabilities leveraging. Generally, the present research gets some theoretical contributions as follows.(1) Identifying the role of resource acquisition as a mediator in the relationship between social capital and innovation capabilities, which opens the black box of that how social capital affects innovation capabilities as well as enriching the theory of enterprise innovative capabilities via the social capital theory.Based on the previous works on the direct relationship between social capital and organizational capabilities, we explore the internal mechanism of entrepreneur’s social capital in leveraging innovation capabilities. According to the social capital theory, entrepreneur’s social capital acts as the role of conduit which can provide the possibility and opportunities of resources access and application. But how can enterprises turn these potential benefits into internal resources and further transform them into firm innovation?From the perspective of resource management, we introduce the variable of resource acquisition, analyze the role of resource acquisition in influencing the relationship between entrepreneur’s social capital and innovation capabilities, and find that entrepreneur social capital is needed to transform into internal resources to leveraging innovative capabilities.(2) Having an insight into the role of enterprise’s internal environment factors in the process of entrepreneur’s social capital promoting innovation capabilities, increasing the understanding of the effect of enterprise’s internal conditions to the relationship between entrepreneur’s social capital and innovation.Based on the insufficient of the existing researches which paid less attention to the role of organizations’internal environment factors in the relationship of entrepreneur’s social capital and innovation capabilities, this study introduces entrepreneurship as an important internal environment factor into the research model based on the view of strategic orientation, and explore the effect of entrepreneurship on the relationship of entrepreneur’s social capital and innovation capabilities. We find that the moderating effect of entrepreneurship on the relationship between entrepreneur’s business capital and innovation capabilities is opposite to its moderating effect on the relationship of entrepreneur’s political capital and innovation capabilities, which means that studies should concern about the state of the enterprise’s internal situational factors when they use the different dimensions of entrepreneur’s social capital. To some extent, this study deepens the understanding of context factors in using entrepreneur’s social capital.(3) Exploring the effect of external environment factors on the relationship of entrepreneurs’social capital and innovation capabilities, specifically, this study examines the effect of dysfunctional competition on this relationship, which makes some contributions to solve the problem of enterprise growth under the background of transition economy.This study finds that entrepreneur’s business capital, the core of which is enterprise’s external stakeholder relations, has played a more important role in promoting innovation capabilities at the condition of dysfunctional competition. While, dysfunctional competition has no significant effect on the positive relationship between political capital and innovation capabilities. These findings may indicate that political capital, the core of which is the relationship of entrepreneur and government, is difficult to make up invalid innovations caused by market imperfection. This study also explains that improving market’s competition mechanism is the key to enterprise’s effective innovation.These findings indicate that uncertainty of institutional environment existing in the transformation of economic system force enterprises to seek other ways to reduce the innovation risk and opportunistic behavior. While, to some extent, the construction of entrepreneur’s social capital provides informal governance means to enterprise’s effective innovation under the condition of imperfect institution. This finding offers theory guidance to how to encourage enterprise to realize innovation-driven development under the background of economic transformation.更多还原