【作者】 黄学；

【导师】 魏江；

【作者基本信息】 浙江大学 ， 企业管理， 2014， 博士

【摘要】 面对日趋激烈的国际竞争与快速变化的市场环境,当今企业的竞争已经不再是单个企业静态能力的比拼,而日渐成为平台之间的竞争与网络之间的竞争。面对提升技术的急迫需求,研发国际化已经成为新兴经济国家的后发企业实现技术追赶的必然路径。后发企业必须打破封闭条件下的能力追赶模式,依托全球化资源配置的机会,将中国企业的比较优势与海外技术资源相结合,实现企业技术能力的突破。在这样的情境下,以中国企业为代表的后发企业,越来越多得开始实施走出去战略,建立起服务于自身技术能力提升的全球研发系统。设计与构建全球研发系统架构的关键,在于处理组织模块性与技术模块性之间动态的匹配关系。学术界对于组织模块性与技术模块性间的关系一直存在争论,争论的焦点在于“镜像假设”是否成立,即“为了实现系统运行效率的最大化,技术模块性和组织模块性是否应该完全对应”。许多学者发现,现实中的企业会选择组织模块性与技术模块性并不对应的方式构建系统架构。本文加入这一经典争论的探讨之中,在紧密围绕“全球研发系统架构的设计规则”这一主题的基础上,试图通过回答“在研发全球化情境下,组织模块性与技术模块性应当如何进行匹配以促进后发企业的技术追赶”这一具体的研究问题,来对架构理论研究中的镜像假设争论作出深入探讨。在文献梳理的基础上,本文展开了四个系统性关联的子研究。首先,通过探索性的多案例比较分析,研究技术差距在全球研发系统架构构建过程中呈现出的前因作用。随后,通过集合论式的实证分析,研究组织身份认同差距在全球研发系统架构内如何影响组织模块性、技术模块性与技术追赶的关系。在此基础上,比较区域制度认同差距与组织身份认同差距在作用机制上是否存在差异。最后,基于组织模块性与技术模块性“同构／异构”的协同模式,进一步探讨研发系统架构构建的动态过程,从而在上述三个子研究的基础上展现全球研发系统架构设计规则的全景。通过四个子研究的系统性递进,本文解构了组织模块性与技术模块性的协同机制,剖析了技术差距和组织身份认同差距这两个关键因素的作用机制,从而深入阐释了全球研发系统架构的设计规则,得出了以下三个方面的主要结论：(1)基于“不对称假设”的全球研发系统架构设计规则,更符合后发企业技术追赶的实际。在研发国际化情境下,由于面临与目标组织单元之间的技术差距,包括单体技术差距和系统技术差距,后发企业往往难以设计并控制其架构的关键部分,继而无法同步完成组织模块性与技术模块性的设计,并难以遵照传统的“镜像假设”实现两者完全对应的理想状态。后发企业需要根据单体技术差距和系统技术差距的不同程度,选择不同步建立、不完全对应或模块性程度不一的技术架构和组织架构。这样的架构构建方式虽然没有遵循理论上更为有效的镜像假设模式,但却是特定情境下最为可行的路径选择。(2)组织身份认同差距对于技术模块性与组织模块性的影响作用并不相同。用新产品开发绩效表征系统的技术追赶时,一方面由于知识与身份认同在集体性实践中的共同嵌入,组织身份认同差距会负向影响技术模块性与新产品开发绩效间的关系；另一方面又由于模块性设计对子系统的分隔效应,组织身份认同差距正向影响组织模块性与新产品开发绩效间的关系。因而组织模块性的设计相比于技术模块性的设计更容易在组织身份认同差距较高的情境下发挥作用。组织身份认同差距的存在,同样让组织模块性与技术模块性之间难以呈现出符合镜像假设要求的设计。此外,区域制度认同差距与组织身份认同差距产生的影响作用高度趋同,这种趋同产生的原因可能是区域制度认同差距是通过影响组织身份认同差距而间接影响研发系统的技术追赶。(3)后发企业可以选择组织模块性与技术模块性之间“同构/异构”的不同协同模式,应对技术差距与组织身份认同差距带来的影响。在构建全球研发系统并进行架构协调的过程中,在理论上松散耦合程度更高、模块性更强、更符合镜像假设的架构设计并不一定适用于后发企业面临的情境。后发企业必须选择最合适的设计规则来实现组织模块性和技术模块性的协同匹配,其协同模式可以包括“短时同构、长时同构、短时异构、长时异构”四种类型,分别适用于技术与制度因素影响之下的不同情境。在实现全球研发系统模块性设计的过程中,后发企业可以引入实时的、人为的协调策略与控制策略,并通过实施“接受、减弱、回避、整合”等组织身份认同管理响应机制,保障组织模块性与技术模块性之间协同匹配的顺利进行。本文研究的理论贡献主要在于：(1)填补了后发企业研发国际化过程机制研究的欠缺。现有文献相对缺少对于后发企业通过构建全球研发系统的方式实现研发国际化这一新兴现象的关注,更忽略了对于全球研发系统的具体构建路径和构建过程的解构与剖析,继而也忽略了从中体现的连接后发企业研发国际化前因与后果的中间机制。本研究创新性得从技术模块性和组织模块性协同匹配的动态过程视角出发,针对后发企业研发国际化中遇到的创新体系整合失败、境外单元运行困难、技术学习难以实现等问题,分析全球研发系统的构建路径、协同模式及其背后的作用机制,从而弥补了国际化文献中对于后发企业全球研发系统构建过程机制研究的欠缺。(2)促进了架构理论研究的深入和模块化研究的情境化发展。本文从设计规则的角度分析了组织模块性和技术模块性在边界条件影响下展现的动态关系,提出“同步同构”的匹配方式并不一定是后发企业构建研发系统的最佳选择,并讨论了组织模块性与技术模块性协同的四种模式,对于镜像假设的理论争论作出进一步探讨。同时,本文选取新兴经济国家后发企业寻求技术追赶的这一特殊且重要的情境,探讨后发企业构建研发系统架构过程中的模块性问题,发现技术差距与组织身份认同差距的存在让不符合镜像假设的架构设计反而拥有更强的适用性,从而对架构理论与模块化研究的情境化发展做出贡献。(3)对于组织身份认同研究的跨领域拓展作出探索。本文在战略管理研究领域内,引入组织行为研究关注的与“组织身份”相关的构念,认为“组织身份认同差距”影响了组织模块性与技术模块性在全球研发系统内发挥的作用,并比较了区域层面与组织层面的认同因素在影响机制上的异同,最终将“组织身份认同差距”认定为影响后发企业全球研发系统架构构建最为关键的制度要素。通过多种研究方法相结合的综合分析,本文将组织身份认同相关的研究进一步融入到战略管理这一主流管理研究领域之中,从而对“组织身份认同”这一核心构念的跨领域拓展作出了有益的探索。同时,本文针对开展研发国际化以寻求技术赶超的后发企业所存在的架构构建通病,基于模块性设计的思路来呈现、分析与解构系统建构的复杂性与动态性,并对案例企业中呈现出的经验与问题进行了深入的比较与剖析,为正在或将要面临这些问题的中国企业提供了解决问题的重要思路与架构设计的实践参考。更多还原

【Abstract】 Faced with increasingly fierce international competition and rapidly changing market environment, the race of today’s firms is no longer based on the firm’s own static capabilities, but based on the network or platform the firm embedded in. In order to improve technological capabilities within such context, globalization of R&D has already become an inevitable path of technological catch-up for latecomer firms from emerging economies. As a result, China’s latecomer firms should utilize the chance of global resource orchestration, and lead an open catch-up mode to realize the breakthrough of innovation capability. More and more Chinese firms begin to implement R&D going-out strategy and establish global R&D system to enhance their R&D capabilities.The key of designing and constructing global R&D system is to deal with the fit between organizational modularity and technological modularity. The relationship between these two remains unsolved within academic domain, and the focus of the argument lies on "Mirroring hypothesis", which argues that the technology architecture tends to "mirror" the architecture of an organization, so that a corresponding design of organizational modularity and technological modularity has been an important predictor of product performance, product variety and process flexibility. However, many researchers found that lots of firms in reality would not build architectures according to the mirroring hypothesis. This paper tries to communicate with this theoretical argument. Focus on the research topic of "design rules of global R&D system architecture", this dissertation will answer the question of how organizational modularity and technological modularity could fit with each other under the R&D globalization context to realize R&D catch-up.Based on the literature review, this dissertation launches four sub-research designs which are systematically connected with each other. Firstly, multiple case study method is used to analyze the influence of technological gap within global R&D system architecture. Secondly, fsQCA method is introduced in to analyze the moderating mechanism of organizational identification gap on the relationship of organizational modularity, technological modularity and new product performance. In addition, in order to further discuss the effect of regional level identification factors, another fsQCA analysis is conducted. Moreover, based on those three sub-researches, a further discussion of the isomeric/isomorphic synergy between organizational modularity and technological modularity is used to show the whole picture of the design rules research of this dissertation.Through the in-depth analysis and discussion from the four sub-research designs, this paper mainly comes to several essential conclusions as follows:(1) Compared with Mirroring hypothesis, the "Asymmetric hypothesis" design rules of global R&D system architecture would be more suitable for the technological catch-up context. As technological gap existing between the latecomer firm and its target organization, including component technological gap and system technological gap, the corresponding design of organizational modularity and technological modularity may not be the optimal strategy, due to the lack of architecture capabilities of latecomer firms. An asymmetric building path of organizational architecture and technological architecture is approved to be more decent for latecomer firms.(2) Organizational identification gap shows a pair of difference effects on organizational modularity and technological modularity. It positively influences the relationship between organizational modularity and performance due to the sub-module isolation effect of modularity design, and negatively influences the relationship between technological modularity and performance due to the dual embeddedness of knowledge and identity into collective practice. The effects of regional institution identification gap are highly similar with the effects of organizational identification gap, and the former may tend to influence the global R&D system architecture indirectly through the latter.(3) The isomorphic/isomeric synergy between organizational modularity and technological modularity is the key for designing and constructing global R&D system. And the synergy modes of coherent synergy, assembling synergy, acquiring synergy, and integrating synergy are four main solutions for managing technological gaps and organizational identification gap. Furthermore, accepting, weakening, avoiding, and integrating are four kinds of organizational identity management response mechanism to safeguard the realization of synergy.This dissertation makes important theoretical contributions in three aspects:(1) Contribution to the academic research of R&D Globalization. There is relatively little research on the R&D globalization of emerging economy firms either into other emerging economies or into developed economies. And the detailed process deconstructing and mechanism analysis of latecomer firms’ global R&D system architecture building are even fewer within current researches. Based on the dynamic perspective of architecture design rules, this paper discusses the problems that latecomer firms may occor and the optimal paths that latecomer firms need to choose within R&D system constructing process, and tries to make contribution to the shortcoming of R&D globalization research.(2) Contribution to the development of architecture theory and the contextualization of modularity research. This paper proposes that design rules according to mirroring hypothesis would not be the optimal choice for latecomer firms if considering the technological factor and identification factor within the specific context. With further discussion about the synergy mechanisms between organizational modularity and technological modularity, this paper make contribution to the classical argument of architecture theory and be helpful for the contextualization of modularity research.(3) Accelerating the fusion between identification research and strategic management research. This paper fully discusses the effecting mechanism of organizational identification gap on organizational modularity and technological modularity, and compares its effects with regional institution identification gap, then identifies organizational identification gap to be the most vital institutional factor within the design of global R&D system architecture. By introducing this construct directly into the mainstream research of strategic management field, this paper makes meaningful progress on the cross-field integration between organizational behavior research and strategic management research. In addition, this paper also has essential practical implications. Based on the perspective of modularity, this paper interprets and analyzes the complexity and dynamic of architecture design rules. The results can provide valuable references and insights for latecomer enterprises that seek to develop global R&D system and faces context-specific problems while constructing global R&D system architecture.更多还原