【作者】 赵林捷；

【导师】 汤书昆；

【作者基本信息】 中国科学技术大学 ， 管理科学与工程， 2007， 博士

【摘要】 20世纪90年代以来，企业创新活动的内外部环境发生了重大的变化，企业所面临的市场和技术环境更加复杂：知识扩散速度加快，企业创新所带来的先行者优势容易消失；技术系统的复杂性增加，知识整合趋势明显；技术发展趋势和突破方向难以预测；企业创新投入持续增长，创新风险日益增加。同时，在信息化和经济全球化背景下，随着学术人才的流动性越来越大、学术机构研究能力和研究质量的迅速提高、风险投资的蓬勃发展、产品的生命周期缩短、创新资源和知识要素在更大范围的配置与加速流动以及基于知识产权保护的技术转移等因素，封闭式创新模式的良性循环逻辑开始受到挑战。在这种情况下，任何一个企业都无法独立掌握或开发与其发展相关的所有知识和技能，企业必须从其传统的封闭创新模式向开放的网络创新模式转变，即不再局限于内部创新资源，而是积极寻求与其他组织的合作，通过技术合伙、合作研发联盟等方式，形成知识创新网络，整合创新资源，实现创新目的。目前，创新网络已成为企业间合作研发的重要组织形式，是当今很多企业的明智抉择及未来的发展方向。在企业创新网络中，合作技术创新就是一个企业寻找、捕捉不同知识资源并加以整合运用的过程，在这个过程的每一个层面和环节上，组织学习始终贯彻其中：一方面，企业要整合与激活组织内现有的知识存量，使其进一步在组织内部进行扩散、传播和共享；另一方面，企业必须有效地通过跨组织学习，快速获取、吸收组织外部的新知识、新技术。因此，随着现代经济由基于物质资源为主导的经济向基于知识、技术为主导的经济转变，推动创新网络组织间学习以及培育企业跨组织学习能力的意义已越来越重要。在这样的背景下，作者选择将企业创新网络中组织间学习作为本论文的研究内容。本文一共八章，主体部分包括第2章到第7章。各章节研究的主要内容和使用的主要研究方法为：第1章：首先阐述了本论文的选题背景，然后在回顾国内外创新网络研究现状的基础上，解释了从组织间学习视角研究创新网络的原因，并对创新网络、组织间学习这两个核心概念进行了阐释，给出了本论文的研究框架、内容及相关研究方法。第2章：主要通过文献调研法，对企业理论、组织形态与创新模式以及组织学习理论的演变进行了全面回顾，并指出三者的演变是一个协同过程，正是这一协同演变构成了本文研究视角的宏观理论背景，从而使创新网络组织间学习成为研究的聚焦之一。第3章：在回顾主要组织学习模型的基础上，分析了构建组织间学习模型的可能困境，然后运用卡尔·波普尔的知识进化论，构建了一个以问题为导向、以知识创造为核心、基于I-P-O链接机制的双循环组织间学习模型，并详细解释了模型的三个组件(“知识孵化器”、“知识共享网络”和“创新网络知识库”)，分析了模型各组件间I-P-O链接机制、模型实施的障碍以及相关管理方略。第4章：分析了创新网络中虚拟团队成员决策的“羊群行为”现象，并运用进化博弈论刻画了虚拟团队成员在合作学习过程中决策行为的动态演进，在此基础上，论文给出保持合作稳定性的边界条件。第5章：运用问卷调查和统计分析法，对创新网络中组织间学习绩效进行了实证研究。主要测度了网络成员学习型组织特征、组织学习系统、组织间关系和组织学习能力四个变量之间的相互关系以及对组织间学习绩效的直接、间接影响，绘制了变量间的路径图，给出了路径系数。第6章：分析了组织间学习行为与网络成员组织趋同现象的关系。论文指出，组织间学习不仅关系到创新网络内知识资源的流转、分配和增殖活动，同时也对网络成员的组织结构、文化、制度演变以及合法性产生影响。组织间学习与组织趋同是双向建构的，一方面，组织间学习会引起组织趋同，另一方面，组织趋同现象也会反作用于组织间学习。第7章：借鉴能力成熟度概念(CMM，Capability Maturity Model)和多级模糊综合评价法(FIE，Fuzzy Integrated Evaluation)，构建了一个包含发展、分析和评估三个子模型在内的、基于组织间学习的创新管理成熟度模型(IMMM，Innovation Management Maturity Model)。论文指出，以IMMM作为衡量企业创新管理成熟度水平的工具，企业可以适时诊断创新过程中存在的问题，找出改进方法，从而不断推动技术创新管理水平的提高。第8章：对全文研究内容进行了回顾，并对有待进一步研究的问题进行了展望。本论文在以下几个方面做了一些创新性工作：1、运用卡尔·波普尔的知识进化论，构建了一个以问题为导向、以知识创造为核心、基于I-P-O链接机制的双循环组织间学习模型，并将创新网络的组织内学习和组织间学习有机地整合在一起。2、恰当运用进化博弈论刻画了虚拟团队成员在合作学习过程中决策行为的动态演进，并给出保持合作稳定性的边界条件。3、论文创新性地指出，创新网络中组织间学习绩效的各影响因素(学习型组织特征、组织学习系统、组织间关系和组织学习能力)与组织间学习绩效之间是结构性的因果关系，而不仅是简单的线性关系。因此它们对组织间学习绩效既有直接影响，也有间接影响，在此基础上提出了新的概念模型。然后运用问卷调查和统计分析法，对创新网络中组织间学习绩效进行实证研究并检验了概念模型。4、论文分析了组织间学习行为和组织同构相互影响、相互作用的辩证关系，突破了将组织间学习仅仅定位于组织间网络知识资源获取、共享和积累的固有认知或窠臼。5、吸收能力成熟度模型(CMM)和模糊综合评价法(FIE)的基本理念和方法，从组织间学习视角出发，发展了一个新的技术创新管理工具——创新管理成熟度模型(IMMM)，用以诊断企业创新管理存在的问题，不断推进创新管理成熟度水平。更多还原

【Abstract】 Ever since 1990s, enterprise innovation has witnessed significant changes in innerand outer environment. The market and technological environment that the enterprisesface become increasingly complicated, e.g. advantages brought by pre-innovationvanish easily; trend towards knowledge integration emerges with the complexity oftechnological system increases; developing trend and breakthrough direction are hardto predict; investment in enterprise innovation increases while the risk also rises.Meanwhile, under the environment of informatization and economic globalization, thevirtuous cycle of the closed innovation model is challenged, with the increasingmobility of academic talents, enhancement of research capability and quality ofacademic institutions, the vigorous development of risk investment, the shortening ofproduct life cycles, the distribution and accelerated flow of innovation resources andknowledge elements in a wider scope, and technology transfer based on intellectualproperty protection. In such a case, hardly any enterprises can independently masteror develop all the knowledge and technologies related to development. Therefore, theenterprises should transfer from the traditional closed innovation model to an opennetwork innovation model which is not limited to the inner innovation resources butseeks for cooperation with other organizations in an active way. Moreover, throughtechnology cooperation and R & D Alliance, knowledge innovation network is formed,innovation resources are integrated and the innovation goals are achieved. Currently,innovation network has become the important form for research and developmentcooperation between enterprises, which is chosen by many wise enterprises and standsfor the development direction of the future.In innovation network, innovation of technological cooperation is a process ofseeking and seizing different knowledge resources and their integration andapplication, on the various levels and steps of which organizational learning alwayspermeates. On the one hand, the existing knowledge storage needs to be integratedand activated so as to further spread and share the knowledge in the enterprise; while on the other hand, enterprises must acquire and absorb new knowledge andtechnology outside the organization through inter-organizational learning.Therefore, with the transfer of economic mode from a substantial-resource-basedone to the knowledge-technology-oriented one, it has become increasingly importantto promote inter-organizational learning of innovation network and to cultivateenterprises’ inter-organizational learning abilities. Under such circumstances, theauthor focuses on the inter-organizational learning of innovation network in thisdissertation.The paper is composed of 8 chapters, with the body covering the middle sixchapters. Following is a list of the main contents and research methodologies of eachchapter:Chapter1: this chapter first elaborates the background information of the topic,and then explains the reasons for studying innovation network from the perspective ofinter-organizational learning, by reviewing the literatures on innovation networkinside and outside China. Moreover, the definitions of innovation network andinter-organizational learning are explained and the research framework, content andmethodologies adopted are proposed in this chapter.Chapter 2: through literature review, the development of enterprise theories,organization forms, innovation models and organizational learning theories are fullystudied. It is pointed out that the development of the thee comprises a collaborativeprocess which forms the macro theoretical background of research perspective of thispaper and makes the inter-organizational learning of innovation network one of thefocuses of the research.Chapter 3: based on a review of organizational learning models, this chapteranalyses possible difficulties in constructing inter-organizational learning model.Besides, Karl Popper’s theory of evolution of knowledge is applied to build aproblem-oriented, knowledge creation-centered and I-P-O link mechanism-basedbi-cycle inter-organizational learning model. Moreover, three components of themodel, namely "Knowledge Incubator", "Knowledge-sharing Network" and"Innovation Network Knowledge Base", are illustrated in detail, and I-P-O link mechanism, obstacles in implementing the model and relevant management strategiesof the model are discussed.Chapter 4: this chapter analyses the herding behavior of virtual team members’deciding process in innovation network, and evolutionary game theory is adopted todepict the virtual team members’ dynamic deciding process in collaborative learning.Based on this study, the paper proposes the boundary condition of maintaining thestability of cooperation.Chapter 5: questionnaire and statistical analysis are adopted to perform theempirical study of inter-organizational learning effects in innovation network.Relations among the four variables, namely features of learning organization,organizational learning systems, inter-organizational relations and organizationallearning capacity, are studied and their direct or indirect impact oninter-organizational learning effects is measured, Accordingly, the road map of thevariables is drawn and the path coefficients are given.Chapter 6: this chapter studies the relationship between inter-organizationallearning and isomorphism. It is proposed that inter-organizational learning not onlyinfluences the flow, distribution and proliferation of knowledge resources ofinnovation network, but also affects the network members’ organizational structure,culture, and evolution and legitimacy of the system. Inter-organizational learning andisomorphism form a two-way process. On the one hand inter-organizational learningwill cause isomorphism while on the other hand isomorphism will also influence theinter-organizational learning.Chapter 7: by absorbing the basic concepts and methods in capability maturitymodel (CMM) and fuzzy integrated evaluation (FIE), this chapter constructs anInnovation Management Maturity Model (IMMM) consisting of three sub-models ofdevelopment, analysis and evaluation, based on inter-organizational learning.Adopting IMMM to evaluate innovation management maturity level enablesenterprises to find out problems and corresponding solutions in innovation, so that thetechnological innovation management level will get enhanced,Chapter 8: this chapter reviews the whole paper and presents problems for further exploration.Following is a list of original points proposed in this paper:1、Karl Popper’s theory of evolution of knowledge is applied to build aproblem-oriented, knowledge creation-centered and I-P-O link mechanism-basedbi-cycle inter-organizational learning model, which integrates inner-organizationallearning and inter-organizational learning of innovation network in a positive way.2. Evolutionary game theory is appropriately adopted to depict the virtual teammembers’ dynamic deciding process in collaborative learning and the boundarycondition of maintaining the stability of cooperation is presented3. A novel idea is proposed that various factors that affect the inter-organizationallearning effects in innovation network, i.e. features of learning organization,organizational learning systems, inter-organizational relations and organizationallearning capacity, are related to inter-organizational learning effect in a structuralcause-effect way instead of a simple linear way. Therefore, both direct and indirectinfluences will be shed on inter-organizational learning effects. Based on this analysis,a new conceptual model is proposed and questionnaire and statistical analysis areemployed to implement the empirical study on inter-organizational learning effects ininnovation network so as to testify the model.4. The paper analyses the dialectical interaction between inter-organizationallearning and isomorphism, which breaks the fixed concept and pattern of limitinginter-organizational learning to acquisition, share and accumulation of networkknowledge between organizations.5. From the perspective of inter-organizationar learning, an original technologicalinnovation management tool, namely IMMM is developed by absorbing the basicconcepts and methods in CMM and FIE, which can be employed to diagnoseproblems in innovation management of enterprises and enhance the innovationmanagement maturity level.更多还原