【作者】 姚明明；

【导师】 吴晓波；

【作者基本信息】 浙江大学 ， 企业管理， 2014， 博士

【摘要】 互联网信息技术的高速发展,不仅给后发企业的追赶带来了新的契机,而且使他们从相对封闭的环境直接进入了以互联网技术为支撑的全球化价值网络的竞争中。不同于早期西方发达国家后进企业和新兴工业化国家的后发企业,这些新背景下的后发企业利用商业模式设计进行后发优势的发挥和劣势克服,通过与技术创新战略的协同作用,实现对国际领先企业的技术追赶,不断改变着原有的竞争格局。从商业模式设计与技术创新战略的匹配视角进行技术追赶的研究,是信息网络时代后发企业管理实践与理论研究中需要重点关注的话题。然而,已有的理论研究虽然对商业模式与技术创新的关系进行了初探,并在商业模式能给企业带来竞争优势方面基本达成共识。但是对于后发情境中商业模式设计如何作用于技术追赶绩效,尤其是基于与技术创新战略的匹配视角,却甚少关注,相关的案例研究和实证研究都较为缺乏。中国是新时期下后发经济体的主要代表之一,以阿里巴巴、腾讯、网易等为代表的一大批现代服务业后发企业正进入快速追赶阶段。本文以中国现代服务业企业为研究样本,围绕“商业模式设计如何影响后发企业技术追赶绩效”这一基本问题,在借鉴以往大量研究成果的基础上,逐层深入地探究了以下四个逻辑紧密相关的研究问题：(1)商业模式设计如何具体影响后发企业技术追赶绩效?(2)商业模式设计与技术创新战略的匹配对后发企业技术追赶绩效的影响机制如何?(3)在不同的技术体制下,这种影响机制会有何不同?(4)后发企业技术追赶的过程中,商业模式设计与技术创新战略如何共同演变?本文采用理论分析与实证研究相结合、文献梳理与调研访谈相结合、定性研究与定量研究相结合的方法,通过四个子研究逐层深入进行论述,阐明了上述研究问题。子研究一在梳理分析前人研究成果的基础上,初步提出了商业模式设计及其与技术创新战略的匹配对技术追赶绩效影响的理论构想,并通过6家浙江省现代服务业企业的探索性案例研究进行分析归纳,探寻商业模式设计及其与技术创新战略的匹配对技术追赶绩效的影响机制,为后续研究提供源于实践的理论构想。子研究二结合子研究一的初步结论,做进一步文献展开,由此提出商业模式设计及其与技术创新战略的匹配对技术追赶绩效影响机制的概念模型,并通过对326家中国现代服务业企业的问卷调研,运用探索性因子分析、验证性因子分析、多元回归分析等方法进行实证分析,从而对商业模式设计及其与技术创新战略的匹配对技术追赶绩效影响机制的概念模型进行调整修正。子研究三在子研究二的基础上,引入技术创新独占性和技术创新累积性两类调节变量,考察了不同的技术环境下商业模式设计与技术创新战略的匹配对技术追赶绩效的影响机制,并通过对326家中国现代服务业企业的问卷调研,运用探索性因子分析、验证性因子分析、多元回归分析等方法进行实证分析,识别出技术体制中技术创新独占性与技术创新累积性两个维度对商业模式设计与技术创新战略的匹配与技术追赶绩效关系的影响。鉴于后发企业的技术追赶是一个不断发展演变的过程,子研究四在前述机制模型的基础上,进一步利用纵向案例研究方法展现了后发企业技术追赶过程中商业模式设计、技术创新战略与技术环境的共演过程。通过上述研究工作,本文主要得出以下观点和结论：(1)效率型和新颖型商业模式设计对后发企业技术追赶绩效有显著的正向影响。通过对6家浙江省现代服务业企业的探索性案例研究和326家中国现代服务业企业的大样本调研问卷研究,不仅证实了商业模式设计这两类主题引用的有效性,而且有力的证实了效率型和新颖型商业模式设计都对后发企业技术追赶绩效有促进作用,且新颖型的促进作用大于效率型。(2)商业模式设计与技术创新战略的匹配对促进后发企业的技术追赶有增强型交互效应。根据创新的来源将技术创新战略分为自主研发战略和技术引进战略,与两类商业模式设计主题形成四种匹配关系,不同的匹配关系对后发企业技术追赶的影响存在着差异性：效率型商业模式设计与技术引进战略、新颖型商业模式设计与自主研发战略、新颖型商业模式设计与技术引进战略呈现良好的匹配,对促进技术追赶绩效的提升具有增强型交互作用。而效率型模式设计与自主研发战略的匹配没有得到验证。(3)技术创新独占性和技术创新累积性在商业模式设计与技术创新战略的匹配对技术追赶绩效的影响中有调节效应。在不同的技术体制下,商业模式设计与技术创新战略的不同匹配对技术追赶的共同作用存在着差异：技术创新独占性分别对效率型商业模式设计与技术引进战略的匹配、新颖型商业模式设计与技术引进战略的匹配起正向调节效应；技术创新累积性对效率型商业模式设计与技术引进战略的匹配起负向调节效应,对新颖型商业模式设计与自主研发战略的匹配起正向调节效应。(4)后发企业的技术追赶是一个商业模式设计、技术创新战略与技术环境共演的过程。通过对阿里巴巴的纵向单案例研究,使得对商业模式设计、技术创新战略和技术追赶之间关系的认识得到了加深拓宽：企业会根据技术环境进行商业模式设计和技术创新战略的选择,并对技术追赶产生影响。企业的商业模式设计以及技术能力和技术水平的积累、提升也会作用于技术环境；企业的商业模式设计和技术创新战略都会作用于技术追赶,而技术能力与技术水平的积累会对商业模式设计进行及时的反馈,使得商业模式设计能够保持有效性,提高效率性或新颖性的程度。同时,经过一段较长时间积累的技术能力和技术水平,或是技术追赶方面质的突破,也会使企业在商业模式设计和技术创新战略上做出相应的调整。纵观全文,本文主要在以下三个方面进行了拓展和深化：(1)理论上提出并实证检验商业模式设计对后发企业技术追赶绩效的影响。(2)理论上探索并实证检验商业模式设计与技术创新战略的匹配对后发企业技术追赶绩效的影响。(3)理论上系统研究并实证检验技术体制对商业模式设计与技术创新战略的匹配对技术追赶绩效影响的调节效应。更多还原

【Abstract】 The rapid development of information technology not only brings new opportunities for latecomer firms to catch-up, but also makes it possible for them to experience the process from closed environment to globalization value network which is supported by information technology. Unlike the late entrants firms from early western developed countries and latecomer firms from emerging industrialized countries, these latecomer firms use business model design to exploit the advantages and overcome the disadvantages of latecomer. With the synergy of business model design and technological innovation strategy, they are changing the existing competition structure constantly and achieve the aim of technological catching-up of the international leading firms. The research of technological catch-up from the perspective of the fit between business model design and technological innovation strategy, is becoming a needed issue in practical and theoretical study of management. Although the existing theoretical research had already done pilot study on business model and technology innovation, and reached an concensus on what business model can bring in terms of competitive advantages. Little has been done as to how business model design influences technological catch-up performance especially from the perspective of fitting with technological innovation strategy. It also lacks in case study and empirical study.China is one of the main representatives of latecomer economies in the new peroid. A large number of latecomer firms from China, such as Alibaba, Tencent, NetEase and other modern service firms, are entering the fast catching—up phase. In the dissertation, the author takes Chinese modern service firms as the research sample, focusing on "How business model design influences latecomer firms’ technological catch-up", referring to lots of relative research results, exploring the following four closely related sub-questions step by step. First, how business model design specificly influences latecomer firms’ technological catch-up performance? Second, what is the mechanism of the fit between business model design and technology innovation strategy on latecomer firms’ technology catch-up performance? Third, what impacts will be brought about on this mechanism in various technological regime? Fourth, during the process of latecomer firms’ technological catch-up, how does business model design and technology innovation strategy co-evaluate?By applying both theoretical and empirical study, literature review and interview, as well as qualitative and quantitative research, this dissertation explores, in four sub-researches, the above-mentioned questions.Based on previous literature review, the first sub-research brings forward a primary theoretical supposition that the fit between business model design and technology innovation strategy influences technological catch-up performance. This study analyzes explorative cases of six modern Zhejiang service firms, with an aim to explore the influence mechanism of the fit between business model design and technology innovation strategy upon technological catch-up performance, so as to provide a theoretical conception based on practice for future study.On the basis of the first sub-research, the second sub-research goes on for further literature review and puts forward a concept model of relational embeddedness influence mechanism.326Chinese modern service firms are investigated via questionnaires, and Explorative Factor Analysis (EFA), Confirmatory Factor Analysis (CFA) and multiple regression analysis are conducted to do the empirical analysis and applied to testify and modify the concept model.Grounded on the results of the former two sub-researches, the third sub-research introduces two types of moderate variables as the appropriability of technological innovation and the cumulativeness of technological innovation to examine the influential mechanism of the fit between business model design and technology innovation strategy on technological catch-up performance.326Chinese modern service firms are investigated via questionnaires, and Explorative Factor Analysis (EFA), Confirmatory Factor Analysis (CFA) and multiple regression analysis are conducted to do the empirical analysis and identified the influence mechanisms of these two moderate variables.Considering that technological catch-up is a dynamic changing process, the fourth sub-research explores the co-evolution relationship among business model design, technology innovation strategy and environment in the process of technogical catch-up with a longitudinal case study.Drawing on the above researches, this dissertation draws the following conclusions:(1) Both efficiency-centered business model design and novelty-centered business model design have positive effects on latecomer firm’s technological catch-up performance. Empirical studies not only show that these two themes are effective, but also confirms the positive impact of both themes of business model design on latecomer firm’s technological catch-up performance.(2) The fit between business model design and technology innovation strategy has contingent effects on latecomer firm’s technological catch-up performance. Depending on the source of innovation, this dissertation classifies technology innovation strategy into independent R&D strategy and technology transfer strategy. There are four different types of fit relationship and their impacts on technological catch-up performance are various. Coupling an efficiency-centered business model design with a technology transfer strategy represents good fit and has a positive joint effect on technological catch-up performance, and the fit between a novelty-centered business model design and either a technology innovation strategy both represents good and has a positive joint effect on technological catch-up performance.(3) The appropriability of technological innovation and the cumulativeness of technological innovation play important moderating roles in the mechanism that the fit between business model design and technology innovation strategy influences technological catch-up performance. In different technological regimes, the mechanism is different. In detail, the appropriability of technological innovation plays a positive role in the mechanism that couples an efficiency-centered business model design with a technology transfer strategy, and couples a novelty-centered business design model with a technology transfer strategy. The cumulativeness of technological innovation plays a negative role in the mechanism that couples an efficiency-centered business model design with a technology transfer strategy, whereas it plays a positive role in the mechanism that couples an novelty-centered business model design with a independent R&D strategy.(4) The process of latecomer firm’s technological catch-up is the co-evolution of business model design, technology innovation strategy and environment. Through the study of the single case of Alibaba, this disseration provides a discription of the relationship among business model design, technology innovation strategy and technological catch-up. Firms will choose different business model design and technology innovation strategy according to environmental factors which will influence technologyical catch-up. Business model design and the improvement of technological capability will affect external technological environment. While the business model design and technological innovation strategy affects technological catch-up, the technological capability is a timely reflection of the business model design, which will in turn keep business model design effective, thus improve its efficiency and novelty. At the same time, the accumulation of technology capability or breakthrough of technological catch-up will also help the business model design and technology innovation strategy to make appropriate adjustments.To conclude, this dissertation managed to expend and deepen the research in the following aspects:(1) This dissertation theoretically puts forward and empirically examines the effect of business model design on latecomer firms’ technological catch-up performance.(2) This dissertation theoretically explores and empirically examines the effect of the fit between business model design and technological innovation strategy on latecomer firms’technological catch-up performance.(3) This dissertation systematically and empirically examines the moderating effect of technology regime on the relationship between the fit of business model design and technological innovation strategy and latecomer firms’technological catch-up performance.更多还原