【作者】 钟竞；

【导师】 吴泗宗；

【作者基本信息】 同济大学 ， 企业管理， 2008， 博士

【摘要】 在知识经济时代,知识密集型的高技术企业作为知识创新的主体引领着技术进步的潮流,为社会创造着巨大的财富。随着全球经济的一体化,越来越多的高技术企业跨越组织边界和地理边界,对现有的能力和知识进行利用,并对新的知识和能力进行探索培育。企业的边界日益模糊,信息、资源、创意和活力只有迅速而轻易地穿透组织的隔膜,才能使得作为一个整体的组织有效地运作。本论文主要从战略角度考察高技术企业跨边界的学习活动,将跨边界学习划分为两个层面:跨组织边界学习和跨知识边界学习。跨组织边界学习是指企业作为一个经济实体与环境中的各种外部组织之间发生的联系中,如何学习从而实现知识的获取、共享和创造的过程。跨知识边界学习则指企业的技术知识和市场知识的积累过程中,企业是如何学习来实现知识边界的动态演进,是倾向于利用式学习实现渐进的演进还是倾向探索式学习实现激进的演进。基于资源基础理论、知识基础理论、组织学习理论等诸多理论,本文针对企业跨边界学习的机理进行探讨,并运用实证研究和案例研究进一步深入检验影响高技术企业跨边界学习的种种因素。本文首先阐述了企业跨边界学习的自发倾向:路径依赖性和边界搜索特性使得企业往往自发地倾向采用利用式学习,且实际组织绩效与预期绩效之间的差距对于企业跨知识边界学习方式的采用具有激发作用。而企业由于内部能力限制或获取外部知识存在障碍,在跨组织边界学习时可能出现注重内部学习而忽视外部学习的倾向或出现过于强调外部知识而忽视内部学习的偏差。本文通过实证研究进一步揭示了组织内部的众多战略资产特性对高技术企业跨边界学习的影响:考察技术资产特性(默会性和系统嵌套性),关系资产特性(声誉、客户关系效应和技术合作经验),结构资产特性(组织融合和自由自主)对企业跨知识边界学习即利用式学习和探索式学习的影响,对企业外部学习战略重要性认知的影响,并考察战略资产特性,跨知识边界学习方式以及组织绩效之间的关系。基于117家高技术企业的样本,发现利用式学习受默会性、客户关系效应和组织融合的显著影响,而探索式学习受声誉、组织融合以及自由自主的显著影响。战略资产中的声誉显著影响组织绩效,利用式学习与组织整体绩效和新产品绩效显著正相关,而探索式学习与组织整体绩效显著正相关。而在战略资产特性与跨组织边界学习的关系方面,只有关系资产特性显著影响管理者对外部学习重要性的认知。利用式学习和探索式学习作为企业跨知识边界学习的两种方式在思维逻辑、资源分配、以及组织结构上等方面存在种种差异,高技术企业需要解决两者之间的悖论关系。本文提出了三种实现探索和利用平衡的机制:在思维模式上接受悖论逻辑,综合运用正式培训、知识库、知识市场、聊天室和实践社区这些学习手段:在组织构架上,企业可以采用双面灵巧组织和超文本组织实现利用式和探索式学习的平衡;可以基于外部环境进行动态选择,环境发生变化后采用不同的学习模式,或根据不同项目外部环境和赢利情况决定多个项目在利用式或探索式学习方面的不同倾向,以达到动态的灵活平衡。针对跨组织边界学习,本文探讨了企业跨组织边界的知识共享和知识创造:通过博弈分析,指出只有在合作对方均采用共享策略时,并且通过共享所创造的知识被吸收所带来的价值大于共享所造成的损失的情况下,企业会采用共享策略:分析合作企业战略资产的差异与知识共享的可能性,指出合作伙伴之间技术资产的相似性,关系资产的确定性,以及结构资产的契合性会增进组织间知识共享;并且分析多种治理结构在知识共享方面的特点。对企业跨组织边界知识创造的分析着重组织内外学习以及知识探索利用之间的交互关系,并比较了利用型联盟和探索型联盟之间的差异。本文以1995年-2007年电子通讯行业跨国公司在我国的研发活动为样本检验在开放经济背景下高技术企业跨组织边界学习的影响因素。该实证研究发现母国与东道国文化距离越大的跨国公司倾向采用内部化研发,在北京和上海以外的开发城市倾向采用内部化研发,相对于开发导向而言,研究导向的研发活动倾向内部化。该研究还发现,该行业内研发投资频繁的20家跨国公司在我国多数采用灵活的跨边界学习战略进行研发活动,即组织内部研发、研发联盟、基础应用研究活动以及开发活动均有涉及。最后,本文对两家高技术企业跨边界学习进行对比研究。案例对比研究发现大企业可以不断发展新技术,通过探索和利用之间的平衡实现长久的生存;小型企业通过利用专一的技术和市场业务的逐步演进实现较快的成长。以创新为导向的企业注重跨知识边界的学习,以客户导向的企业注重跨组织边界的学习,跨知识边界和跨组织边界的学习存在交织互补的关系。更多还原

【Abstract】 In the era of knowledge economy, high-tech firms with the nature of knowledge-intensity play an active role in knowledge creation, technological development and fortune creation. With the development of globalization, more and more high-tech firms go beyond organizational and geographical boundaries to take advantage of existing capabilities and explore new knowledge. The boundaries of a firm have become blurred, since the organization can only operate effectively by allowing information, resources, creativity to pensentrate the organizational membrance quickly and easily.This dissertation examines high-tech firm’s learning beyond the boundary from a strategic perspective. Learning activitis beyond the boundary examined in the paper lies in two aspects: learning across organizational boundary and across knowledge boundary. The former refers to the process that a firm acquires, shares and creates knowledge through the linkages with various outside organizations. The latter emphasizes how a firm achieves dynamic evolution of knowledge boundary in the learning process of accumulating technological and market knowledge. In other words, does a firm achieve incremental evolution through exploitation or fulfil radical evolution through exploration? On the foundation of a variety of theories such as resource-based view, knowledge-based view, and organizational learning theory, the dissertation analyzes the logic underlying a firm’s learning beyond boundaries and conducts empirical studies and case study to further explore and examine multiple factors which might affect a high-tech firm’s learning beyond boundaries.Firstly, the dissertation maintains that there is a spontaneous tendency for a firm to take a learning mode across boundaries. In the one hand, path dependence and local search make a firm prefer exploitation to exploration, and the gap between actual organizational performance and expected performance also acts as a factor stimulating a firm to choose a learning mode. On the other hand, some firms might emphasize internal learning ignoring outside learning, or vise verse, because of the limits of internal capabilities or the barriers of acquiring external knowledge.The dissertation further conducts empirical study to confirm the impacts of a firm’s multiple internal factors on its learning beyond boundaries. It examine the attributes of technological asset (tacitness and systematic embeddedness), the attributes of relational asset (reputation, effects of customer relation, and experience of technological cooperation), and the attributes of structural asset(harmony and automony). With a sample of 117 high-tech firms, it finds that exploitation is significantly related to tacitness, effects of customer relation and harmony while exploration is significantly related to reputation, harmony and autonomy. It also finds that reputation significantly affects organizational performance, that exploitation is significantly related to organizational overall performance and new product performance and that exploration is significantly related to organizational overall performance. As for the attributes of strategic assets and learning beyond organizational boundary, it finds that the features of relational asset influence managers’ perception of strategic importance of external learning.Exploitation and exploration as two modes of learning beyond knowledge boundary have a paradoxical relationship with so many differences in logics, resource allocation, organizational structure, and so on. The paper suggests high-tech firms to form three mechanisms to balance exploition and exploration: The first mechanism is to accept a paradoxical logic by all the employees and to adopt multiple learning ways comprehensively so as to help employees to balance exploitation and exploration. The second mechanism is to form ambidextrous organization or hypertext organization. The third mechanism is to select learning mode dynamicly based on external environment. Under different external environments, a firm can take either exploitation or exploration with priority. If a firm has multple projects, it should decide which projects conduct more exploration and which projects carry out more exploitation based on a project’s external environment and profitability.As for the learning beyond the organizational boundary, the paper does some theoretical arguments in knowledge sharing and knowledge creation. Using game theory, it argues that a firm will take a strategy of sharing knowledge with the expectation that the potential partner will share knowledge and that the value of absorbing new knowledge created by partners is greater than the loss of sharing knowledge. Linking the differences between strategic assets of partners with the possibility of knowledge sharing, the paper maintains that more similiarity between partners’ technological assets, less uncertainty between partners’ relational assets, and more harmony between partners’ structural assets usually will lead to higher possibility of knowledge sharing. In addition, the paper shows the characteristics of several governance structures in knowledge sharing. In terms of knowledge creation beyond organizational boundary, it emphasizes how an organization can learn across both organizational and knowledge boundary and compares the differences between exploitational alliance and explorationary alliance.Based on a sample of multinational corporations’ R&D activities conducted in China in electronic and telecommunication industries during the period from 1995 to 2007, the dissertation examines the factors influencing high-tech firms’ learning beyond the organizational boundary under the background of open economy. The empirical study finds that internal R&D is significantly related to cultural distance, location, and research orientation. In addition, among 20 leading multinational corporations in the two industries, a majority of them has taken a flexible learning strategy which involves both internal R&D and R&D alliance and conducts both basic and application research activities and development activities.The final part of the dissertation is a case study on two high-tech firms’ learning beyond boundaries. It finds that the large corporation achieves long-term survival by continuously developing technology and balancing exploration and exploitation while the small enterprise quickly grows by exploiting specialized technology and evolving businesses gradually. The innovation-orientated company focuses more on learning beyond knowledge boundary, while the custom-oriented company emphasizes more on learning beyond organizational boundary. There exists complementary relationship between learning activities beyond knowledge and organizational boundaries.更多还原