【作者】 刘春玉；

【导师】 杨蕙馨；

【作者基本信息】 山东大学 ， 企业管理， 2008， 博士

【摘要】 弹性和效率一直是创新管理的一对主要矛盾,过于注重效率会令创新活动丧失弹性,最终导致企业陷入“能力陷阱”;而过于注重弹性则意味着长期不断的投入却没有回报,创新活动会因缺乏支持而陷入“失败陷阱”。随着竞争的加剧和技术变革的加速,企业在创新活动中需要同时兼顾开发现有技术和探索新技术的能力,由此提出了二元式创新,即探索式创新与开发式创新协调的重要意义。然而众多研究表明,探索式与开发式创新活动对于企业组织形式和活动内容等方面有着相互矛盾的需求,仅依靠企业自身的力量实现二者的并行不仅会带来对企业有限资源的争夺,甚至可能会引发组织经营的混乱;因此,跨越企业边界,应用企业网络进行二元式创新具有极强的现实意义,而且它同时具有创新理论的支撑和网络分析方法的协助;一方面,知识创造的组合性、创新活动的互补性呼唤创新活动的网络性,创新不再单属于企业个体的行为,而更多的以企业嵌入的网络形式发展;另一方面,自社会网络理论和社会网络方法应用于经济研究之后,基于网络视角的创新研究逐渐成为热点,网络分析方法作为分析工具已经相当成熟,为研究提供了良好的支持。此外,在众多的网络组织中,产业集群这种特殊网络组织形式的创新研究占据了相当大份额,集群的地理、文化和社会接近性为其中企业提供了更为便利的知识溢出和集体学习等网络创新优势。综上所述,基于网络视角,研究集群中企业如何有效实现探索式创新与开发式创新活动的协调,具有重要的理论和现实意义。纵观以往的网络视角的企业二元式创新研究,会有眼花缭乱的感觉,不同的学者从不同研究视角对二元式创新活动的网络形式进行了探讨,研究多元化的结果是,互相交织、错综复杂的研究思路和研究框架之间缺乏系统的整合;而且,从集群网络角度探讨企业二元式创新文献还很少,尤其缺乏实证研究;综合以上原因,有必要从网络视角系统的对现有理论进行整合。在这种研究动机的驱动下,本文主要研究了以下几个问题:第一,影响集群中企业探索式和开发式创新活动的因素是什么,其作用机制如何?这里的因素不是企业内部的因素,而是基于网络视角考察企业创新活动所嵌入的网络环境因素以及与其有着密切关系的相关环境因素对二元式创新活动的影响。第二,集群中的企业如何通过网络化方式实现对不同创新活动的协调?这里包含了几个子问题,首先是出于资源分析观点的集群企业创新协调方式的选择问题;其次是适应探索式创新与开发式创新活动的企业网络的运行机制问题;再次是集群企业网络演化对于企业从开发式创新升级到探索式创新的协同作用问题。论文的主要内容如下:第一章是绪论,介绍研究的现实背景、研究问题、x相关概念、研究框架、研究方法和创新点等;第二章是对文章所涉及的创新领域研究文献的回顾与评述;第三章是网络视角的集群企业二元式创新的影响因素研究,分析影响集群企业二元式创新活动的产业环境和网络环境的关键因素及其作用机制,并提出相应的命题假设;第四章是对应的实证分析,检验上一章提出的二元式创新影响因素的命题假设成立与否;第五章是网络视角的集群企业二元式创新的协调方式研究,提出相应的协调模型和具体的运行机制;第六章同样是对应性的实证分析,检验集群企业二元式创新协调方式的理论推导;第七章是结论、建议与未来的研究展望。文章的研究综合管理学、经济学、社会学以及其它相关学科理论,应用博弈论、社会网络分析方法、数学模型和复杂网络等工具研究影响集群企业探索式创新和开发式创新的网络影响因素及其作用机制,以及如何实现二者的协调与平衡的问题,在此基础上形成系统的命题假设和理论架构;然后分别通过SPSS12.0和UCINET6.0软件,应用相关分析、因子分析、层次回归分析等统计和网络分析方法,验证理论架构的有效性。研究创新点可以概括为:第一,选取了网络特征与集群属性相结合的独特研究视角,确立了集群企业创新所嵌入的区域、产业与网络环境,构筑了网络成员认知、网络结构、网络关系和网络组织治理的分析框架,完善了社会网络理论的研究体系,丰富了集群创新的研究内容。第二,理论研究与实证分析相结合,在区分探索式与开发式创新不同本质的基础上,从集群企业创新所嵌入的产业环境与网络环境入手,明晰了其中影响两种创新的关键因素及其作用机制,一定程度上解决了创新研究中“经营环境与网络作用两面性”的结论困境。第三,理论研究与实证分析相结合,将二元式创新协调的研究领域从企业内拓展至企业间网络,将网络资源与企业互动纳入分析框架,构造了探索式创新与开发式创新的网络协调模型,解决了企业资源局限、组织刚性与二元式创新协调的需求相矛盾的问题,从而深化和提高了前人的研究成果,研究结论也具有一定的实践指导意义。本文主要的研究结论有:第一,不同创新活动各有其“适合”的产业经营环境、知识属性与网络环境,没有普遍适用的创新环境标准。其中,环境的动态性,偏隐性的知识属性,较大的网络成员认知距离,密集的网络密度,外向式的网络结构,关键的网络位置,频繁的互动频率与非正式的网络组织治理有利于促进集群企业的探索式创新活动;另一方面,环境的竞争性,偏显性的知识属性,适度的网络成员认知距离,适度的网络密度,稳定的网络结构,正式且持久的网络联系,适度的互动频率与正式的网络组织治理则有利于开发式创新活动。第二,稳定持久的网络关系无论对于探索式创新还是开发式创新都具有相当重要的意义。第三,网络组织是现有集群企业进行二元式创新协调的有效制度安排。探索式创新网络形式接近于动态随机网络;开发式创新网络则是基于产业链分工体系而形成的,网络形式类似于无标度网络;核心企业在开发式创新到探索式创新升级过程中发挥着极其重要的作用。第四,我国产业集群创新的主要问题在于对探索式创新活动支持不足,这是集群创新活动的真正“软肋”所在。本文的理论探索和实证研究结果对我国集群企业的进行探索式创新与开发式创新的实践具有一定的指导意义。更多还原

【Abstract】 The balance between flexibility and efficiency often cause strategic dilemma in innovation management, the excessive tendency towards efficiency is associated with the losing flexibility in innovation, and induce firms to be trapped in "competence trap"; on the contrary, the bias towards flexibility will imply invest continuously without rewards, innovation will be trapped in "failure trap" as a result of lacking of supporting. As competition intensifies and pace of change accelerates, Firms needs to renew themselves by both exploiting exist competence and exploring new ones, so the notion of balance between exploratory innovation and exploitative innovation has emerged as an underlying theme in research on innovation. Yet this increasing crucial challenge has been accompanied by an ongoing inconsistence of organizing modes and managerial activity, so, the firms that attempt to achieve the balance between exploratory innovation and exploitative innovation just relying on their own resources and competence will find their located in an situation of resource scarcity, and even initiate operation in a mess; for this reason, going beyond the firm’s boundary and applying firm network in studying dualistic-innovation have a practical significance, it also obtains the supporting of innovation theory and social network analysis simultaneously. On one hand, combinatory of knowledge production and interacting of innovation activity call on the emergent needs for networking modes of innovation, innovation should be no more the activity just controlled by individualistic firm, but operate in the way of network of inter-firm relations; on the other hand, since the social network theory and social network method have been developed to assistant economics research, the rapid of increase of network research on innovation has attracted much attention in this area. As an analytic tool, social network analysis has become attractive and fully-fledged methodology, and gives tremendous support for innovation research. In addition to, owing to knowledge spillover and collective learning benefited from proximity of geography、culture and society which generated by geographic agglomeration of firms, as a result, there is a growing overall agreement about the need to investigate industrial cluster which be seen as special network organization. As remarked above, it is theoretically and practical significant to study the balance between exploratory innovation and exploitative innovation of clustered firm from the network perspective.There has been an impressing accumulation of studies focusing on exploratory innovation and exploitative innovation from network perspective, but these studies demonstrate different research dimensions and show a lack of systemic integration; apart from this, the amount of research on clustered firm is still limited. To make the matter worse , these research lack of empirical data. As a result, it is very essential to integrate exist research systematically. For this purpose, this paper is intended to study and interpret two issues as follows:First,, what are dominating factors influencing exploratory innovation and exploitative innovation of clustered firms, how they exert their mechanism of action? It is worth noting that main factors are analyzed not from internal perspective but from external network and closely related environment perspective.Second, How clustered firms can tame the antagonistic forces between exploratory innovation and exploitative innovation by making use of networking pattern? Two remedies are proposed. This issue also contains several sub-issues, first, it is issue that which coordinate schemes that clustered firms make choice between them base on their resource-analysis; second, it is issue that which operation mechanism is suitable for exploratory innovation or exploitative innovation respectively; third, it is issue that what co-evolution mechanism which clustered firms use to, promote the upgrading from exploitative innovation to exploratory innovation should be.The paper is structured as follows: section 1 provides an introduction of practical background, research issues, related notion, research framework, research method and innovation points. Section 2 presents related literature review and comments. Section 3 focuses on the research on the factors of industrial environment and networking backgrounds which influencing dualistic-innovation of clustered firms, and puts forward the hypothesizes; Section 4 is the empirical research that inspect and verify the authenticity of hypothesis proposed in section 3; section 5 concentrates on research on coordination mechanism of dualistic-innovation for clustered firms; section 6 is another empirical research that exam the theoretical derivation of section 4; followed by section 7, the conclusion and suggestion for government policy and further research.This paper synthesizes the theories from management, economics, sociology and other relating disciplines, on the basis of applying some interdisciplinary methodology such as game theory, social network analysis, mathematic model and complex network tools, this paper form systematic proposition hypothesis and theoretical framework, in order to verify the effectiveness of theoretical derivation, this paper also conducts empirical research through making use of many statistics and networking software packet like SPSS and UCINET, carrying out correlation analysis, principle component analysis and hierarchical regression analysis.The innovation points of this paper are listed below:First, unique researching perspective which combines the network characters with clustered attributes is selected, territorial environment, industrial environment and network environment which dualistic innovation of clustered firms is embedded are identified, analysis framework including network members cognition, network structure, network relationship and network organization governance is established, the researching system of social network theory is optimized, and the researching context of cluster innovation is enriched.Second, theoretic research is accompanied with empirical study, on the basis of differentiation of essence of exploratory innovation and exploitative innovation, from the industrial environment and network environment which dualistic innovation of clustered firms is embedded, this paper finds out the crucial influence factors of dualistic innovation and their action mechanism. "Paradoxical effects of operational environment and network " is solved to some extent.Third, theoretic research is accompanied with empirical study, research field of dualistic innovation is expanded from hierarchical organization to network organization, network resource and firms interaction are brought into analysis framework, coordination model of exploratory innovation and exploitative innovation basing on network is formed. Contradictory Problem between resource limitation, organization inflexibility and needs of coordination of dualistic innovation is solved. It deepens and improves the predecessor’s theory, it also posses practical significance to some extant.Four main conclusions are gained in this paper:First, different innovation posses different suitable industrial operation environment, knowledge category and network environment respectively. Environmental dynamics, implicit knowledge, cognitive distance, network density, externally-oriented network structure, critical network position, interaction frequency and informal governance have positive correlativity with exploratory innovation. On the contrary, environmental competitiveness, explicit knowledge, stability network structure, formal and enduring network relationship and formal governance have positive correlativity with exploitative innovation.Second, stability and enduring network relationship has significance not only for exploitative innovation but also exploratory innovation.Third, network organization is effective institutional arrangement for coordination of dualistic innovation of clustered firms. Form of network organization for exploratory innovation is similar to random networks, exploitative innovation network is formed on the basis of division system of industrial chain, its organization form is similar to scale-free networks. Focal firm plays a key role in upgrading process from exploitative innovation to exploratory innovation.Fourth, the crucial innovation problem of Chinese clustered firms is short of powerful supports for exploratory innovation, this is the "vulnerable spot" of innovation action of clustered firms.The results of theoretical exploration and empirical study in this paper are significant in carrying out the exploratory innovation and exploitative innovation of Chinese clustered firms.更多还原