【作者】 赵英鑫；

【导师】 卢艳秋；

【作者基本信息】 吉林大学 ， 技术经济及管理， 2014， 博士

【摘要】 创新是决定企业生存发展的关键因素，早在20世纪初，创新和创新能力问题就引起了学术界的注意。目前国内外学者已经从不同的角度对该领域进行了大量的分析，并取得了一定的研究结果。但近年来随着企业外部环境的日益动荡和多变，如何提升创新能力已经成为企业所必须面临的重要课题。在这样的社会背景下，对创新与创新能力的研究还具有深入发展的必要性和可行性。从理论层面上来说，战略柔性能够使企业快速适应和应对外界环境的急剧变化，对企业内外部资源进行灵活、合理的配置和整合，这种资源的整合是提升创新能力的重要前提；而创新能力和战略柔性的高低很大程度上取决企业对知识的占有（即知识存量），对企业的知识进行动态的管理是企业提升创新能力和战略柔性的有力支撑；而组织忘记和组织再学习是知识动态管理领域的重要内容。组织再学习是获取新知识和新技术的过程，能够增加企业的知识存量，进而提升企业对资源的利用和整合能力，为企业开展创新提供知识基础。组织忘记是将企业内部无用的、僵化的、过时的知识删除的过程，能够降低企业的内在刚性，为企业的创新扫清障碍。可见，在组织忘记与组织再学习的协同作用下研究战略柔性与创新能力具有重要理论意义和实践价值。因此，本文在系统梳理中外学者相关研究的基础上，把组织再学习、组织忘记、战略柔性作为影响中国企业创新能力的关键因素，建立了组织忘记、组织再学习、战略柔性（资源柔性和能力柔性）和创新能力（渐进式创新和突破式创新能力）的概念模型。并在这一的理论框架下，剖析这些变量和维度之间的相互作用关系，并揭示变量之间的影响过程及机理，主要可以分为以下7个方面的内容：（1）组织再学习对创新能力的直接作用；（2）组织忘记对创新能力的直接作用；（3）组织再学习对战略柔性的直接作用；（4）组织忘记对战略柔性的直接作用；（5）战略柔性对创新能力的直接作用；（6）组织忘记对组织再学习和创新能力的调节作用；（7）组织忘记对组织再学习和战略柔性的调节作用。在这7个方面内容的研究过程中，本文具体提出了16条假设对其进行细化和支撑。从实证研究层面来看，本文主要采用问卷调查的方法来获取实证研究所需的数据。本文运用结构方程的研究方法来研究组织忘记、组织再学习、战略柔性及创新能力之间的作用关系，利用SPSS13.0和LISREL8.70软件对收集的样本进行分析，对本文的概念模型进行检验。检验结果显示，本文建立的结构方程模型的拟合度较好，在提出的16个假设中，14个通过检验，2个未通过检验。对于通过验证的假设，本文将重点分析研究结果给中国企业管理带来的启示。对于未通过的假设，将剖析其产生的原因，为以后的研究和实践提供借鉴。最终，通过理论分析和实证研究，本文得到如下结论：（1）在中国企业开展创新活动过程中，组织再学习能够提升组织的渐进式创新能力和突破式创新能力（假设1a，假设1b）。组织忘记能够提升组织的渐进式创新能力和突破式创新能力（假设2a，假设2b）。在组织再学习影响渐进式创新或突破式创新的过程中，组织忘记都发挥调节作用（假设2c，假设2d）。在企业提升战略柔性过程中，组织再学习能够提升组织的资源柔性和能力柔性（假设3a，假设3b）。同样，组织忘记也能够提升组织的资源柔性和能力柔性（假设4a，假设4b）。在组织再学习影响资源柔性和能力柔性的过程中，组织忘记都发挥显著的调节作用（假设4c，假设4d）。在战略柔性影响中国企业创新能力的过程中，资源柔性对渐进式和突破式创新能力的促进作用不显著（假设5a，假设5b），而能力柔性对渐进式和突破式创新能力的促进作用显著（假设5c，假设5d）。因此，本文认为中国企业应该为组织再学习和组织忘记两大知识管理组成创造有利的内部发展条件，通过营造组织再学习和组织忘记的良性互动氛围，努力提高中国企业的知识管理能力和战略柔性，最终从组织再学习、组织忘记和战略柔性三个方面的提升合力促进企业创新能力的发展。（2）在中国企业开展的创新活动中，资源柔性对渐进式创新和突破式创新能力的促进作用不显著（假设5a，假设5b）。这是因为：随着环境的变化，资源的属性也会发生转变，稀缺性资源的优势地位也会逐渐降低，从而导致企业稀缺性资源对创新能力的贡献和影响发生改变；同时，创新的基础是企业的知识存量，而人是知识的载体。近年来，中国企业获取高技术人才的方式、渠道等更为快速和有效，这也无形中削弱了资源对企业创新能力的影响；此外，随着企业对能力柔性重要性的日益肯定，中国企业开始更加关注自身的能力发展，能力柔性在创新活动中的作用更加凸显。因此，本文认为中国企业的创新活动不能过分依赖企业所占有的资源，而应该更为关注如何有效合理使用资源；同时，应该重视知识和知识管理在中国企业未来创新活动中的重大应用潜力，建立健全自身的人才培养、知识获取和管理方式。本文的主要创新点主要有以下几个方面：（1）本文在借鉴前人研究成果的基础上，对组织忘记、组织再学习等前沿领域的研究成果进行了较为系统的梳理，围绕“组织忘记—组织再学习—战略柔性—组织创新能力”的互动关系，从知识管理的视角，提出新的创新能力分析框架。（2）本文从组织忘记和组织再学习的全新视角，通过对组织忘记和组织再学习之间互动关系的研究，明确知识动态管理的实现过程。而现有的研究很少关注组织知识的动态管理，对知识动态管理的实现过程和机理更是缺乏深入的剖析和揭示。因此，本文的研究为组织动态知识管理的研究提供了全新的视角和启示，是对知识管理相关理论的进一步拓展和丰富。（3）本文从动态知识管理的视角出发，研究如何通过组织忘记和组织再学习之间互动关系提升企业的战略柔性。而现有的研究大多数是从战略柔性的构成要素和组织变革的角度来研究战略柔性，却忽略了战略柔性形成于企业长期的生产经营活动，是组织知识的重要表现形式。因此，可见，本文的研究成果为战略柔性的深入研究提供了全新的思路和路径。（4）目前，学者们对于该领域的研究主要集中在组织学习对企业创新能力的影响，但是这类研究忽略了知识的时效性。本文在现有的研究框架下引入组织忘记，将单向的组织学习变为双向的组织忘记和组织再学习，其中组织忘记是知识的删除和摒弃，组织再学习是新知识的获取和利用，进而研究双向框架下组织忘记和组织再学习对企业创新能力的影响。因此，本文的研究成果有助于对原有创新能力的研究框架进行修正和补充。更多还原

【Abstract】 Innovative capacity plays a very important role for survival and development of a company. Early in the beginning of the20th century, innovation and innovation capacity have given rise to the attention of the academics. Since then, a lot of research has been conducted in this area from different perspectives, and some research results have been obtained and accumulated. With the increasingly drastic turbulence and volatility of external environment, the critical issue that each enterprise must face is how to promote an enterprise’s Innovative capacity. In this context, it is necessary and feasible to do further research on the innovation and innovative capacity.In theory, strategic flexibility enables enterprises to quickly adapt to and deal with dramatic change of external environment, and to flexibly and reasonably configurate and integrate all internal and external resources, which is an important premise to improve the innovative capacity. And innovative capacity and strategic flexibility depend largely on the possession of knowledge (i.e. knowledge stock) in enterprise; therefore, the dynamic management of enterprises’knowledge enhances innovative capacity and strategic flexibility greatly. Moreover, organizational unlearning and organizational relearning are the important content of knowledge management; the former is a process of old knowledge deletion and the latter is a process of new knowledge acquisition. Both of them make enterprises’knowledge stock update continuously. Thus it can be seen that it have important theoretical and practical value to research strategic flexibility and innovative capacity under synergistic effect of organizational unlearning and organizational relearning.Therefore, based on the literatures summarization of relevant theories, a new conceptual model has been put forward in this paper to examine the relationships between organizational unlearning, organizational relearning, strategic flexibility (including resource flexibility and capacity flexibility) and innovative capacity (including incremental innovation capacity and radical innovation capacity). And the relationships between these variables and relevant generating mechanism are analyzed under this framework; its main contents includes the following7parts:(1) the direct impact of organizational relearning on innovative capacity;(2) the direct impact of organizational unlearning on innovative capacity;(3) the direct impact of organizational relearning on strategic flexibility;(4) the direct impact of organizational unlearning on strategic flexibility;(5) the direct impact of strategic flexibility on innovative capacity;(6) the mediating impact of organizational unlearning on the relationships between organizational relearning and innovative capacity;(7) the mediating impact of organizational unlearning on the relationships between organizational relearning and strategic flexibility. Finally,16hypotheses are raised to explain those contents in detail.In research methods, this paper mainly adopts the method of questionnaire survey to obtain the data. And then structural equation modeling is applied to study the relationships between the relevant variables with the help of SPSS and LISREL. The empirical results show the samples collected fit the model well, and the fourteen of all the hypotheses is tested, while the other is not supported. For the tested hypotheses, we offer the implications to the Chinese enterprises. And for the untested hypotheses, we focus on the reasons and provide enlightenment for future research.This paper gets the following conclusion through theoretical and empirical research:(1) In the process of innovation, Organizational relearning can enhance the incremental innovation capacity and radical innovation capacity (see hypothesis la and hypothesis lb); and organizational unlearning can also promote the incremental innovation capacity and radical innovation capacity (see hypothesis2a and hypothesis2b).During the process of organizational relearning affecting the incremental innovation capacity and radical innovation capacity, organizational unlearning plays a moderating role (see hypothesis2c and hypothesis2d).Similarly, organizational relearning can give the promotion of resource flexibility and capacity flexibility (see hypothesis3a and hypothesis3b); and organizational unlearning can raise the resource flexibility and capacity flexibility as well (see hypothesis4a and hypothesis4b). During the process of organizational relearning affecting the resource flexibility and capacity flexibility, organizational unlearning plays a moderating role (see hypothesis4c and hypothesis4d). However, when the relationship between strategic flexibility and innovative capacity is discussed, the empirical results show that capacity flexibility make a contribution to the incremental innovation capacity and radical innovation capacity (see hypothesis5c and hypothesis5d), while resource flexibility’s contribution to the incremental innovation capacity and radical innovation capacity is not significant (see hypothesis5a and hypothesis5b). Therefore, Chinese enterprises should create favorable conditions for organizational unlearning and organizational relearning to improve the strategic flexibility, and finally enhance innovative capacity from the three factors mentioned above.(2) According to the empirical results, resource flexibility’s contribution to the incremental innovation capacity and radical innovation capacity is not significant (see hypothesis5a and hypothesis5b). There are several reasons that account for this result, but the following three may be the main ones. First, the natures of resource vary with the change of environment. The advantage of resources will be gradually reduced, so that a great change has taken place on the effect of resource on the innovative capacity. Second, knowledge stock is a possible basis for innovation of enterprises and the talent is a carrier of knowledge. Especially, it also virtually weakens the influence of resources to the enterprises’ innovative capacity because of a new and effective way in cultivating talents. In addition, with the importance of capacity flexibility getting clearer in enterprise’s development, Chinese enterprises begin to pay more attention to their self-development in capacity, and capacity flexibility play a more significant role in the activities of innovation. Therefore, the paper support the opinion that Chinese enterprises’ innovation can not rely too much on the resources controlled by enterprises; and how to make good use of resources should be of concern. Meanwhile, Chinese enterprises should pay more attention to the potential value of knowledge and knowledge management in innovation, establish and perfect their talents training and knowledge management system.The innovations in this paper are embodied in the aspects as follows:(1) Based on previous studies, this paper makes a systematic literature review and forefront analysis on the organizational relearning and unlearning, takes into account the relationships on organizational relearning, organizational unlearning, strategic flexibility and innovative capacity, and puts forward a new analysis framework from knowledge management.(2) This paper reveals the process of knowledge management from a new perspective of organizational relearning and unlearning. However, available researches rarely pay attention to the dynamic knowledge management and relevant implementation process and mechanism. Therefore, this paper provides a new way to make further researches on dynamic knowledge management, which make contribution to relevant theories development.(3) This paper shows that how to increase the strategic flexibility of enterprises through synergy between organizational relearning and organizational unlearning. Nevertheless, most of the existing research focuses on the constitution of strategic flexibility or uses organizational reform theory to analyze strategic flexibility. As a result, scholars ignore that strategic flexibility is a kind organization of enterprises’ knowledge, forming from long-term production and operation activities. Therefore, this research provides a new perspective to analyze the strategic flexibility profoundly.(4) At present, the scholars pay more attention to the effect of organizational learning on innovative capacity in enterprises. However, those scholars ignore that knowledge is time sensitive. For this reason, this paper brings organizational unlearning into previous research framework, using two-way framework (including organizational relearning and unlearning) instead of previous one-way framework (including organizational learning). And based on this two-way framework, I discuss the influence of organizational relearning (the process of new knowledge obtainment and utilization) and organizational unlearning (the process of useless knowledge deletion) on enterprises’innovative capacity in this paper. Therefore, this research can be a supplement to previous research framework of innovative capacity.更多还原