【作者】 李敬宇；

【导师】 黄旭；

【作者基本信息】 西南财经大学 ， 企业管理， 2013， 博士

【摘要】 企业网络是信息交流、利益协调和企业合作的重要平台,也是带动地区经济发展的重要媒介。网络组织成员企业通过相互之间的关联与协作,以组织学习和知识整合的方式对企业创新行为进行支持。创新是提高行业竞争能力和促进地区经济增长最关键的因素,企业利用网络内的资源进行创新,可以较好地对环境变化做出相应的反应,并且可以更快更经济地重新配置资本,从而降低各种不确定性,增强技术创新过程的可控度,减小创新的难度和风险(Hamel et al.1999)。Cohen和Levinthal (1990)指出,外部知识是企业创新过程中的不可或缺的动力,而企业网络组织则是企业获取外部知识的重要途径。通过企业网络组织,组织成员除了能从其它成员处获得行业内的显性知识外,更有助于组织成员获取重要的行业内隐性知识(Mowery etal.,1996)。由此可见,企业网络组织为组织成员创造出良好的组织学习平台,让组织成员可以获取所需的知识,进而有助于组织成员的知识创造与组织创新(Hardy et al.,2003)。行业协会是架起于政府与企业之间的一座桥梁与社会中介组织,既不属于政府管理机构系列,也不属于盈利机构,它是一种民间性组织。由于其能代表企业向政府表达企业需求和愿望,又能帮助政府向企业宣传和维护行业规则、产业政策、正当竞争的媒介,因此受到政府和企业双方的青睐。经百度搜查,全国有4万多家行业协会,这些协会为市场秩序稳定、贸易发展、争端解决作出重要贡献。而行业协会的诞生和发展无疑为企业社会网络的扩展、信息获取渠道的增加等方面带来突出改善。同时,行业协会的兴起,使得企业之间的竞争变得更加错综复杂,单个企业的战斗可能演变成群体之战。随着企业网络的范围变得更加宽泛,在行业协会处于有利位置的企业或拥有多个行业协会会员身份的企业,可动用的资源和势力及影响力将可能成倍增加。近年来国内行业竞争环境日益激烈,企业创新已成为制造业生存并发展的关键,许多企业纷纷采用加入网络组织的方式提高企业的创新绩效。自1998年古拉蒂(Gulati)引用网络组织理论的观点,将企业间相互的联结形容为一种网络形态后,网络对企业成员绩效的影响便成为许多管理学者关注的议题。以往在网络组织理论框架下所作的研究主要将其焦点置于网络特征所能带来的利益,并强调这样的利益有助于组织成员所需资源的取得,进而对组织绩效产生影响(Yli-Renko etal.,2001)。这些研究所探讨的网络特征包括：网络中心性、结构洞、网络连通性、网络规模、网络跨度、网络密度、网络稳定性等。然而探讨企业的有效网络特征对创新绩效的影响路径,如何构建有效的创新网络环境的方式方法,以及在企业网络组织内如何进行知识整合促进企业创新等问题并没有得到中外学者的足够关注,特别是针对行业协会这个巨大网络结构效应。同时,当今时代是一个全球化的知识经济时代。随着经济全球化的加速推进,新的科技革命迅猛发展以及世界范围内的经济结构调整使企业处于动荡的竞争环境中,竞争范围的扩大和竞争关系的复杂化使企业承受着巨大的竞争压力,同时也给企业创新带来了全新的、严峻的挑战。在对上述研究背景的回顾和研究动机的说明后,基于行业协会网络视角,本文将回顾企业有效网络特征,包括网络结构特征和网络关系特征,进而探讨企业具有的网络特征与创新绩效的关系,最后再以知识吸收为中介变量,以观察其与企业网络特征对企业创新绩效的影响及两者之间在影响中的作用。因此本文的研究问题为：通过行业协会企业某种程度的创新绩效是否为对网络特征进行管理的结果?如果网络特征中的某些因素没有为企业创新贡献绩效,那么影响企业网络化创新绩效的因素还有哪些?根据以上的问题,将本文的研究目的整理如下：(1)明确行业协会中企业有效网络特征的划分,这是进一步展开研究的基础。(2)探讨行业协会背景下,企业有效网络特征对创新绩效的直接影响。以往研究并未明确企业所处的网络特征,并且有些学者认为某些网络特征对创新绩效有积极影响,某些网络特征会阻碍创新绩效。(3)探讨行业协会背景下网络密度、网络中心性、网络异质性、关系强度、关系质量、知识吸收变量的测量问卷。(4)探讨知识吸收在企业网络特征与创新绩效关系中的中介作用。在整个研究中,本文注重理论与实践的结合,采用规范研究与实证研究相结合的方法,具体来说,包含如下研究方法：(1)文献研究。文献研究主要指搜集、识别、整理文献。为揭示环境因素、组织因素、决策专有因素对战略决策过程的影响机制,我们首先要对该领域的国内外相关研究进行详细梳理,理清理论发展的脉络,掌握最新的研究前沿,在此基础上才可能发现现有文献的不足,进一步提出研究问题。通过图书馆提供的中外数据库和相关搜索引擎,本文参阅了大量有关研究网络特征对企业创新绩效影响以及它们相互之间作用的资料,在详细梳理这些文献的基础上,初步形成了本文的研究问题、研究思路以及合理的概念模型和假设。(2)调研访谈。为了使本文的研究切合实际,在问卷形成之前,本研究还咨询了有关企业决策者以及学校该领域的相关研究专家,详细了解了企业知识吸收及创新过程中所受到的网络影响因素有哪些,以及企业在创新过程中是否受到网络因素的交互作用等信息,这对本文后面的理论构思起了非常重要的作用,对本文研究网络特征之间的相互作用提供了不同的角度。(3)问卷调查。问卷调查是获取研究数据的主要方法。完整的问卷调查过程由调查问卷设计、调查问卷修改、调查问卷预测试三个阶段组成。本研究在梳理既有相关研究量表的基础上,结合中国企业的实际现状,根据本文的研究问题,通过与导师和同学讨论,设计合适的调查问卷。为了保证相关变量测量的信度和效度,研究量表在设计时充分借鉴前人的研究成果,,最终形成了本文的发放问卷。在大规模数据收集及问卷调查结束后,对问卷方式获取的第一手资料进行数据编码、录入、分析,在进行数据分析时,首先从问卷调查样本有效性标准剔除无效样本,接着分析问卷的信度和效度,最后采用多元回归分析等统计方法,对本文的理论框架和相应假设进行检验。本文的调查方法有三种：一是与被调查企业直接联系,通过访谈或者邮寄问卷的方式完成对企业数据的收集；二是利社会关系关系直接或间接完成数据收集。三是给行业协会会员发放问卷,填写后直接收回。(4)统计分析。为了检验本文提出的研究假设,需要对收集的问卷进行统计分析,在此基础上得到本文的研究结论。在对数据的处理方法上,本研究主要采用的分析方法有信效度分析、因子分析、相关分析、回归分析(主要包括因素交互作用的回归分析)、模型探索分析等。在进行统计分析时本文所采用的软件工具为SPSS16.0和AMOS6.0。具体结构安排上,本文共分为七章。第一章主要阐述研究的实践背景和理论背景,分析基于知识基础理论与网络组织理论的企业技术创新研究现状及存在的不足,并提出本文的研究问题、研究目的、研究意义、研究方法、研究思路及研究创新等。通过相关文献的回顾,切入相关研究的前沿,掌握最新的研究成果、研究方法、研究动向和不足,寻找理论研究的突破口,并为本研究的展开提供理论基础；第二章的重点在于对现有文献进行整理、分析与深入的探索。首先从研究的理论基础开始,包含组织创新理论、知识基础观、社会网络分析理论和企业网络理论,从各种理论的产生、观点及代表人物作了详细论述。接着对本文涉及的概念进行文献回顾、文献梳理和文献评论。这部分包含网络结构特征、网络关系特征、知识吸收、创新绩效的相关文献,整理学者从“创新”到“组织创新”的研究,包括定义、内涵、相关理论与模型、影响组织创新的因素、以及组织创新衡量的方式,进而引出“知识获取”与“吸收能力”等影响组织创新的重要因素,以作为第三章研究框架的理论基础；第三章在文献研究的基础上,根据逻辑推理过程构建了本文的研究框架,提出了一系列研究假设,包括网络特征对知识吸收的影响假设、网络特征对创新绩效的影响假设、知识吸收对创新绩效的影响假设、知识吸收在网络特征与创新绩效关系中的中介作用假设；第四章是问卷设计与修订。包含问卷设计过程、小样本数据来源、调研过程、实证方法选择和问卷测量指标,并对小样本数据的进行了初步分析；第五章包含正式问卷的收集与评估。首先介绍了正式问卷的收集过程,并对样本进行了相关描述和分析,并运用统计工具对正式问卷进行了信度和效度检验,后运用相关方法排除了回归常见问题；第六章研究假设检验。通过回归分析方法,首先检验了控制变量对因变量的影响,后通过建立不同模型对相关研究假设逐一检验,并对检验结果进行汇总；第七章是本文的结论及展望,包含了对研究发现、研究结论的总结,对实证分析的结果进行了讨论,研究的理论贡献和研究不足,并基于理论研究,提出基于行业协会网络背景下加强我国企业自主创新的对策建议。并进一步指出了理论贡献和研究不足。本文通过分析研究,主要创新点有以下几方面：创新点之一：引入行业协会网络特征视角,研究有效网络特征与创新绩效的关系。鉴于行业协会对企业的影响和作用越来越大,单个企业的战斗可能演变成群体之战,而企业的网络范围变得更加宽泛,本研究以行业协会的会员企业作为研究对象,将企业网络定位于行业协会这样一个特定的网络结构中,从企业在协会中构建的网络特征出发来思考企业的创新问题,这对企业创新研究而言是一个新的研究视角,因为虽然国内对创新的研究已有多年的发展,但从某一特定网络类型,特别是以行业协会这个网络范围来进行知识整合与企业创新的相关性研究还少有涉及。创新点之二：对相关变量的测量问卷进行重新设计、修正和验证。以往对网络密度、网络中心性、网络异质性、关系强度、关系质量、知识吸收变量的测量多未考虑企业所处的网络类型,而在不同层次、不同结构的网络特征背景下,这些变量的表征、内容也应有所不同。因此,本文基于行业协会这种特定网络结构,在以往文献基础上对研究变量的测量问卷重新进行了设计,并利用定性、定量方法对问卷进行修正和验证,为帮助更好地理解这些变量提供一定的理论参考。创新点之三：提出了“企业网络特征→知识吸收→创新绩效”的研究框架。该研究框架结合知识基础理论和网络组织理论,从企业创新的视角分析企业在网络关系管理上的差异,以及这种差异对企业创新绩效所带来的“质”和“量”两个方面特征的影响。并采用实证研究法,对网络特征、知识吸收对企业创新的影响,及知识吸收在网络特征与企业创新绩效关系中的中介作用进行了检验。更多还原

【Abstract】 Enterprise network is an important platform of information exchange, interest coordination and cooperation, and it’s also an important medium for driving the development of regional economy. By working with other members in the associated network, Innovating behaviors were supported by the way of organizational learning and the knowledge integration. Innovation is a key factor to improve industry competition capability and promote regional economic growth. Enterprise can make use of the network resources for innovation, making better response to environmental change, reconfigure capital promptly and economically. Thus reduce various kinds of uncertainty, enhance the controllable degree of technological innovation process, reduce the difficulty of innovation and risk (Hamel et al.1999). Cohen and Levinthal (1990) points out that the external knowledge is indispensable power in the process of enterprise innovation, and the enterprise network organization has become an important channel for enterprise to acquire external knowledge. Inside the enterprise network organization, members can, not only obtaine the industrial explicit knowledge from other members, but also can access to essential industrial tacit knowledge (Mowery et al.,1996). Thus enterprise network organization can create a good learning platform for organization members, let them to obtain the required knowledge, which will help the knowledge creation and organizational innovation of the organization members (Hardy et al.,2003).Business association is a social intermediary organization between government and enterprises, neither belongs to the government management mechanism series, nor the NonProfitMakingOrganization, it is a kind of community organization which can work behalf of enterprises to express the needs and desires to the government and also helps the government to promote and maintain the industry rules, industry policies, unfair competition for enterprises. As a result, building trust with the government and enterprises. Through Baidu search, there are nearly fourty thousands business association in China, these associations have made important contribution for market order stability, trade development and dispute settlement. The establishment and development of a business association will bring out a standing improvement which can expand social network and increase information channels for the enterprises. At the same time, the rise of business association, makes the competition between enterprises becoming more complex, the campaign of a single enterprise will become a war groups of enterprises involved. When the scope of enterprise network broadened, enterprise which occupied dominance position in the business association, or enterprise with multiple business association identity, will has better chance to gain multiplied advantage by using available resources and power.In recent years, the competition environment of the domestic manufacturing business increasingly fierce, innovation has become a key capability to survival and development. More and more enterprises joined enterprise network organization to improve innovation performance. Ever since Gulati has adopted the view of network organization in1998, he describes the linkage between enterprises as a configaration of network. Later, the topic of network effect on enterprise performance became a concerned issue for many management scholars. In the past, under the framework of organization theory, research mainly focus on the benefits of network characteristics, and to emphasize that these benefits can help organizational member to acquire resources, and affect organizational performance (Yli-Renko etal.2001). Research theme to explore network’s features include:network centricity, structural hole, network connectivity, network scale, network span, network density, network stability, etc. However, the effect of enterprise network features on innovation performance, how to construct the effective methods of innovation network environment, as well as how to conduct knowledge integration to promote enterprise innovation problems, etc, within the enterprise network organization which have not paid enough attention for Chinese and foreign scholars, especially the huge network structure for business association.At the same time, it is a knowledge economy era of globalization in modern times. Along with the accelerating of economic globalization, the new revolution of science and technology has rapid development, the economic structure adjustment made enterprises in the turbulent competitive environment around the world. Because of expanding the range of competition and complicated the competitive relationship, which make enterprises under a huge pressure of competition, samultaneously it brings new and severe challenge for the enterprise innovation. On the review of the research background and research motivation, based on the business association network perspective, this study will review the enterprise effective network features, including the network structure features and network relationship features, then discusses the relationship in between the features of network and the innovation performance for the enterprise, and then to take the knowledge absorption as intermediary variables, in order to observe the features of enterprise network impact on the enterprise innovation performance, and the interaction in the influence of them. So, the research question of this article including:within business association whether a certain level of innovation performance as the result of the network features? If some of the factors of the network features have not contribute to enterprise innovation performance, then what factors can be also included to affect the performance of network innovation for enterprise? According to the questions above the study sum up the purpose of this study as follow:(1) Clear the enterprise effective network features division among the business association, which is a foundation for further study.(2) Under the circumstance of business association, discuss the directly impact of enterprise effective network features on the innovation performance. Previous studies were not clearly define enterprise network features, and some scholars believe that certain network features has a positive effect on innovation performance, and some network features might hinder innovation performance.(3) Under the circumstance of business association, to investigate the measurement questionnaire for network density, network centricity, network heterogeneity, network relationship strength, network relationship quality and knowledge absorption variable.(4) Investigate the knowledge absorption as an intermediary role in the relationship of the enterprise network features and the innovation performance.In the study, this paper pays attention on both theory and practice, and adopting a combination of normative research and empirical research, in particular, includes the following research methods:1. Literature material method. Using library database system and Internet search engine, collecting,carding and analysis some relevant research results and data in domestic and international in order to master the related basic theory, grasp the latest research developments, clarify the meaning, source and classification of various concepts, to understand the complex relationship between the variables.2. Semi-structured interviews method. According to a good interview outline and interview plan ahead of time, through with respondents talked face to face, to obtain the relevant information and data of business association, knowledge absorption and innovation.3. Survey method. This topic will be using the fill in the questionnaire or structured access method, according to a certain literature foundation, optimize the questionnaire scale, and selecting some enterprise executives in business association member as a research object on the basis of personal relationships, through various means to send and recycling questionnaire for accumulating some empirical data.4. Data analysis and processing method. Through using exploratory factor analysis and confirmatory factor analysis to inspect the reliability and validity of the questionnaire, and using regression analysis to test the investigation data, to prove the relationship between the variables and to verify this hypothesis.This paper is divided into seven chapters on the specific arrangement of structure, the first chapter mainly elaborates the research of practice background and theoretical background and analysis the research present outcome and deficiencies of enterprise technology innovation base on the knowledge based theory and the network organization, to put forward the research questions, research purpose, research significance, research methods, research ideas and research innovation, etc. in this paper. Through literature review, enter into the forefront of research, to master the latest research results, research methods, research trends and the insufficiency, seek breakthrough for the development of theoretical research, and provide a theoretical basis for the research; the second chapter focuses on the existing literature collation, analysis and in-depth exploration. Begin from research the theoretical basis, then include organizational innovation theory, the knowledge based view, social network analysis theory and enterprise network theory, and make a detail discuss from the produce of each theory, views and representative figure. Then, the correlative concept has been made literature review, literature comb and literature assess in this paper.This section contains the correlative literature of network structure features, network relationship, knowledge absorption and innovation performance, and clear up the previous scholar’s research from "innovation" to "organizational innovation", including the definition, connotation, relevant theory and model, factors affecting organizational innovation and organizational innovation measure, thus lead to some important factors which can affecting organizational innovation,such as " knowledge acquisition "and" absorptive capacity "and so on, and as the theory basis of the third chapter research framework; Third chapter on the basis of literature research, constructs the research framework of this article based on logical reasoning process, put forward a series of hypotheses, including the hypothesis of network features impact on knowledge absorption, the network features impact on innovation performance of hypothesis, the knowledge absorption impact on innovation performance of hypothesis, the knowledge absorption as a mediation role for between network characteristics and innovation performance of relationship hypothesis; The fourth chapter is the questionnaire design and revision. Includes questionnaire design process, small sample data sources, research process, the choice of empirical method and questionnaire measurement indicators, and carried on the preliminary analysis for the small sample data; The fifth chapter contains formal questionnaire collection and evaluation. Firstly it introduces the formal questionnaire collection process, and has carried on the related description and analysis to samples, and makes use of statistical tools to do reliability and validity test for the formal questionnaire, then using the related method ruled out the regression analysis of common problems; The sixth chapter is research hypothesis and test. At first, checked the influence of control variables on the dependent variable by regression analysis method, the related research hypothesis is tested one by one through establishing different models, and summarized the inspection result; The seventh chapter is the conclusion and the prospects, it contains a summary of the research finding and conclusion, discussed the results of empirical analysis, the theoretical contribution and insufficiency of research, and based on the theoretical study, put forward strengthening our country enterprise independent innovation countermeasures and suggestions under the background of business association network. And further points out the theoretical contribution and the insufficiency of research.In this paper, through the above analysis and research, the main.innovation including following several aspects:The first innovative:introducing the perspective of business association, to research the relationship between the effective network features and the innovation performance.Business association’s applying greater influence and the function for enterprises, a fight of a single company might be evolved into a war of a group of companies, and the network scope of enterprise has become broaden. This research take the member of business association as research object, identify enterprise network inside business association,in such a specific network structure, to build the network features from enterprise association, then to research innovation behavior of the enterprise. This is a new view of innovation study, despite the development of the domestic research on innovation carried for many years, but from a particular type of network, especially under the scope of business association to studying the correlation of the knowledge integration and enterprise innovation,which is seldom involved.The second innovation:relevant variables measurement questionnaire redesign, modification and validation.When measuring the network density, network centricity, network heterogeneity, relationship strength, relationship quality, knowledge absorption variables, prior studies did not considering the enterprise’s network type. At different levels, under the background of the network features of different structure, the characterization and content of these variables should also be different. Therefore, based on the specific network structure--business association, on the basis of previous literature, the measurement questionnaire has been redesigned for research variable in this paper, and using the qualitative and quantitative methods to modify and validation the questionnaire, and to help better understand these variables for providing certain theoretical reference.The third innovation:put forward the research framework of "enterprise network features→knowledge absorb,→innovation performance" The research framework has combined the knowledge based theory and the network organization theory, base on the perspective of enterprise innovation, to analysis the differences of network management in enterprises, and the difference affect on the enterprise innovation performance, which can bright about two aspects of "quality" and "quantity" features. And using the empirical study, this paper has tested that the network feature and the knowledge absorption influenced on the enterprise innovation, and the knowledge absorb plays a mediation role in the relationships of the network features and the innovation performance, which has inspected.更多还原