【作者】 梁靓；

【导师】 陈劲；

【作者基本信息】 浙江大学 ， 管理科学与工程， 2014， 博士

【摘要】 开放式创新是创新管理理论和实践的重要发展方向,为企业有效利用和整合外部创新资源,提高创新绩效提供了一种全新的模式。然而,现有文献对开放式创新的研究发现企业开放度与创新绩效之间存在倒U型曲线关系,搜索成本和技术溢出会导致高水平的开放度不利于企业的创新。因此,企业只能保持适当水平的开放度,开放式创新对企业创新绩效的促进作用受到了限制。本文认为,解决这一问题的关键是选择异质性的合作伙伴。开放度的概念虽然讨论了合作伙伴的“量”对创新绩效的影响,但是忽略了对合作伙伴“质”的讨论。随着开放度的提高,同质性的合作伙伴为企业提供的知识存在重叠,企业为搜索新的合作伙伴支付了成本,但获得的外部知识却可能是企业内部或其他合作伙伴已有的知识；此外,同质性的合作伙伴之间由于技术背景、产业背景和产品之间的相似性,更容易在合作过程中发生技术溢出的可能。因此,在开放式创新中必须更重视对合作伙伴异质性的研究。在此背景下,本研究综合运用资源观理论、组织学习理论和交易成本理论,围绕“合作伙伴异质性对企业创新绩效的影响机制”这一核心问题展开研究。具体而言,本研究由浅至深提出以下研究问题：(1)合作伙伴异质性的内涵和维度是什么?(2)合作伙伴异质性和企业创新绩效之间有什么样的关系?(3)环境动态性下合作伙伴异质性对企业创新绩效的影响有何不同?(4)合作伙伴异质性对企业创新绩效有什么样的影响机制?本文综合运用理论研究、探索性案例分析、层次回归分析和结构方程模型等研究方法,通过定性研究和定量研究相结合,对上述问题展开深入研究,主要得出以下研究结论：(1)合作伙伴异质性是指开放式创新中的合作伙伴在知识、技术、能力等方面的差异化和多样化程度。结合理论演绎和案例解释,本研究将合作伙伴异质性分为组织异质性、产业异质性和国家异质性三个维度,并且基于Blau指数提出了对合作伙伴异质性的科学测量方法,为后续实证研究奠定了基础。(2)合作伙伴异质性对企业创新绩效有积极的影响作用。通过对217家制造业企业的问卷调研和大样本实证研究,本文发现合作伙伴的组织异质性、产业异质性和国家异质性都对企业创新绩效有显著的促进作用。具体而言,尽管异质性的合作伙伴需要企业在开放式创新中付出更多的搜索成本和管理成本,但是合作伙伴带来的异质性的创新资源,以及合作过程对企业学习能力的促进作用,可以显著提高企业的创新绩效。(3)环境动态性是影响合作伙伴异质性与企业创新绩效的重要情境因素。研究结果表明,技术动荡性正向调节组织异质性和国家异质性与创新绩效的关系。市场动荡性在国家异质性与创新绩效的关系中也起到了正向调节作用。但是,技术动荡性和市场动荡性对产业异质性与创新绩效关系的调节效应不显著。结果表明,在技术发展变化较快的环境中,与知识合作伙伴及国际同行之间的创新合作能够弱化技术动荡带来的不利影响,增加企业获得前沿知识和先进技术的机会：在市场环境变化较快的环境中,国际化的创新合作可以为企业开拓更多的市场和机会。(4)组织学习能力对合作伙伴异质性和创新绩效关系有显著的中介作用。研究结果表明,探索式学习和开发式学习对组织异质性和创新绩效有完全中介作用,表明组织异质性通过组织学习能力间接作用于创新绩效；其次,探索式学习和开发式学习对国家异质性和创新绩效有部分中介作用,表明国家异质性对创新绩效有直接作用,同时通过组织学习能力间接作用于创新绩效；最后,产业异质性与创新绩效之间只受到探索式学习的部分中介作用,表明产业异质性对创新绩效有直接作用,同时只通过探索式学习间接作用于创新绩效。上述研究结论深化了合作伙伴异质性对企业创新绩效影响机制的理解,使得本研究具有了一定的探索意义。总的来说,本研究在以下三个方面进行了深化和拓展：(1)对合作伙伴异质性的概念进行了有益的梳理和提炼。研究通过严密的理论分析提出开放式创新中的合作伙伴异质性的概念内涵,并为后续研究提供了可靠的测量工具，为合作伙伴异质性的定量研究奠定基础。此外,现有文献对合作伙伴异质性的维度划分仍然没有统一的共识,本研究在对相关文献的整理基础上,将开放式创新中的合作伙伴异质性区分为组织异质性、产业异质性和国家异质性三个构成维度,为开放式创新中合作伙伴异质性的理论研究做出有利的探索。(2)深化了合作伙伴异质性促进企业创新的新观点。现有文献对开放式创新的研究表明企业开放度对创新绩效的促进作用存在局限,过度开放不利于创新。本研究在此基础上提出,解决这一问题的关键是重视合作伙伴的异质性。研究以中国制造业企业为样本,通过实证方法检验了组织异质性、产业异质性和国家异质性对企业创新绩效的正向效应,并系统地研究不同的外部环境动态性情境下合作伙伴异质性影响创新绩效的关系机制,有利于深入理解合作伙伴异质性对创新绩效的影响机制,突破了开放式创新不能过度开放的局限性。(3)基于组织学习理论为开放式创新提供新视角。本研究在资源观理论和交易成本理论的基础上进一步整合了组织学习理论的基本观点,强调合作伙伴异质性对企业创新绩效的长远影响,进一步丰富了开放式创新中合作伙伴异质性研究的理论视角,为有效地应对开放式创新中外部合作伙伴的选择问题提供了新的研究视角和研究路径。更多还原

【Abstract】 Open innovation is an important developing direction for the innovation management theory and practice, which provides a completely novel model for firms to effectively utilize and integrate external innovation resources and improve their innovation performance. However, existing researches on open innovation found an inverted U-shaped relationship between openness and innovation performance. Because of searching costs and technology spillover, a high level of openness is not conducive to innovation performance. Therefore, firms need to keep a moderate level of openness and the benefit from open innovation is limited.We believe that the key of resolving this problem is partner heterogeneity. The concept of openness discussed the effect of ’quantity’ of external partners on innovation performance, rather ignored the important role of the ’quality’ of partners in open innovation. With the increasing openness, knowledge from homogeneity partner has overlap. Firms paid costs to acquire knowledge, but they or other partners may have already had this knowledge. Addition, because of the similarity of technology background, industry background and products, the technology spillover may occur easily between homogeneous partners. Therefore, researches on open innovation must pay more attention to partner heterogeneity.In this context, we therefore center our research on the core issue of’The Mechanism of Partner Heterogeneity Affecting Innovative Performance’based on resource-based view, organizational learning theory and transaction cost theory. Specifically, our research explores the following questions from the shallower to the deeper:(1) what is the connotation and dimensions of partner heterogeneity?(2) what kind of relationship is between partner heterogeneity and firm innovative performance?(3) how does the effect of partner heterogeneity on innovation performance with environmental turbulence?(4) what are the mechanism of partner heterogeneity impacting on innovative performance?All around these above issues, this article comprehensively utilizes theoretical research, exploratory case analysis, hierarchical regression analysis and structural equation modeling and other research methods, through combination of qualitative and quantitative research, and mainly drives to the following conclusions:(1) Partner heterogeneity refers to the differentiation and diversification of partners in knowledge, skills, abilities and some other aspects in open innovation. Combining with theoretical interpretation and case explanation, this research divides partner heterogeneity into three dimensions including organizational heterogeneity, industry heterogeneity and national heterogeneity. Also, based on Blau index, we propose a scientific method for measurement of partner heterogeneity, which lays a solid foundation for subsequent empirical researches.(2) Partner heterogeneity has a positive influence on innovative performance. Through the questionnaire survey and large-sample empirical research on217manufacturing firms, we find that partner organizational heterogeneity, industry heterogeneity and national heterogeneity all have a significant role in promoting innovation performance. Specifically, despite partner heterogeneity requires firms to pay higher searching and management costs in open innovation, but the heterogeneous innovative resources of partners and the promotion to learning ability of firms in the cooperation process can significantly improve the innovation performance.(3) The effect of partner heterogeneity on innovation performance is influenced by environmental turbulence. The results show that technology turbulence positively and significantly impact the relationship between organizational heterogeneity and innovation performance, and also between national heterogeneity and innovation performance. Market turbulence also plays a positive moderate role in relationship between national heterogeneity and innovation performance. However, technology turbulence and market turbulence do not significant affect the relationship between industry heterogeneity and innovation performance. The results show that in a circumstance that technology develops and changes rapidly, innovative cooperation with knowledge partners and international counterparts can moderate the adverse effects of technology instability and increase access to cutting-edge knowledge and advanced technology; in a circumstance that market develops and changes rapidly, international innovative cooperation can open up more markets and opportunities for firms.(4) Organizational learning capability plays a significant intermediary role in relevance between partner heterogeneity and innovation performance. First, the results show that organizational heterogeneity has indirect and positive impact on firm’s innovation performance through the mediating role of exploratory learning and exploitative learning. Second, national heterogeneity has direct and positive impact on firm’s innovation performance, and also has indirect and positive effect on innovation performance through the mediating role of exploratory learning and exploitative learning; Finally, industry heterogeneity has direct and positive impact on firm’s innovation performance, but has indirect and positive effect on innovation performance only through the mediating role of exploratory learning.These above conclusions have improved the understanding of the mechanism of how partner heterogeneity affects innovation performance and endowed this research some exploration significance. Overall, this study deepens and expands in the following three aspects:(1) A beneficial summary and refining of the conception of partner heterogeneity. Through rigorous theoretical analysis, our research has proposed the connotation and concept of partner heterogeneity in open innovation, which provides a reliable measurement tool for follow-up studies and lays a solid foundation for quantitative study of partner heterogeneity. In addition, existing studies have not reached a consensus on dividing the dimensions of partner heterogeneity. Based on relevant literature, this study divides partner heterogeneity in open innovation into three constituent dimensions including organizational heterogeneity, industry heterogeneity and national heterogeneity, which makes a favorable exploration of partner heterogeneity theory in open innovation.(2) Expansion of the new idea that partner heterogeneity promotes firm innovation. The problem what kind of impact different dimensions of partner heterogeneity will produce on innovation performance is critical to business decision makers in open innovation. However, existing studies have not conducted systematic research on this problem. This research takes Chinese manufacturing firms as study samples, examines effects of organizational heterogeneity, industry heterogeneity and national heterogeneity on innovation performance through empirical methods, and systematically studies the mechanisms how partner heterogeneity affects innovation performance under different external environmental turbulences. This is conducive to in-depth understanding of mechanism of partner heterogeneity impacting innovation performance and expansion of open innovation.(3) Organizational learning theory provides a new perspective for open innovation. This study has further integrated basic perspectives of organizational learning based on previous resource-based view and transaction cost theory emphasizing the long-term effect of partner heterogeneity on innovative performance, and has further enriched the perspectives of partner heterogeneity theoretical research in open innovation, which provides a new perspective and research paths to the selection of external partner in open innovation.更多还原