组织间资源对企业创新绩效的作用机制研究

【作者】 郑素丽；

【导师】 吴晓波；

【作者基本信息】 浙江大学 ， 管理科学与工程， 2008， 博士

【摘要】 随着全球化浪潮的不断推进,企业的竞争型态和赖以制胜的资源基础正在发生深刻变化。正在涌现的新经济秩序体现出全球化、强调无形资产的价值和高度联结的显著特征,过去那种“原子”式企业之间的竞争逐渐被“网络”和“群组”之间的竞争所取代。在这样的条件下,企业所嵌入的组织间网络,为企业提供了资源、知识和能力的获取、共享、创造及运用的新机会,从而扩大了企业资源和能力体系,拓展了企业的价值创造空间。与此同时,全球制造网络的形成和发展,为我国企业提供了一个融入全球竞合网络,获取资源、提升能力的战略机遇。在以低成本优势切入全球价值链之后,如何通过整合利用该网络中的优质资源,构建和强化自身的技术创新能力,从而实现价值链的攀升,是本土企业在新的竞争形势下胜出的关键。由此,组织间资源引起了广大学者的关注,成为了理解网络对企业的行为和绩效影响的核心概念。然而,在当前的研究中,全面系统的论述组织间资源到底包括哪些要素,它们对企业创新绩效的作用机制是怎样的并不多见,与其相关的实证研究更属凤毛麟角。在此背景下,本文综合运用资源观、社会网络、技术创新和组织学习等理论,围绕“组织间资源如何影响创新绩效”这一核心问题,对组织间资源的内涵及其要素构成进行了逻辑严密的理论推演与分析界定,进而深入剖析了组织间资源对企业创新绩效的作用机制,并进一步就组织间资源的演变规律和影响因素进行了探究。本文的研究主要通过以下部分展开:(1)文献述评与理论发展。通过对资源观、社会网络分析、技术创新等的详细回顾,找出了现有研究的不足。将资源观理论和社会网络分析结合,辨析组织间资源的概念,提炼并形成了组织间资源要素的测量模型,形成了本文论证的基础。(2)探索性案例研究与理论框架的提出。在对大量企业田野调查的基础上,选择4家不同行业、不同规模的典型企业进行了深入的访谈,运用探索性案例研究的方法证实了组织间资源要素划分的可行性,并初步形成了组织间资源通过技术能力和相对议价能力影响企业创新绩效的作用机制框架,为后续研究提供了源于实践的构想。(3)组织间资源对创新绩效作用机制的模型构建与实证检验。在探索性案例研究基础上,通过做进一步的文献展开,确立了组织间资源作用于企业技术创新绩效的概念模型。通过208家企业的调查问卷,运用验证性因子分析、层次回归分析和路径分析的方法进行了实证研究。最终确认了组织间资源对企业创新绩效的作用机制模型,并且讨论了不同情境中该作用机制的异同。(4)组织间资源的演化规律和影响因素。鉴于组织间资源是一个不断变化的动态过程,本文利用208家企业的调查问卷,运用方差分析的方法比较了不同阶段企业的组织间资源特征,运用多元线性回归的方法识别了组织间资源的主要影响因素,使得组织间资源的研究得以向纵向拓展,深化了其解释力。基于以上研究论证工作,本文主要得出以下结论:(1)组织间资源对企业技术创新绩效有积极的影响作用。组织间资源是企业在组织间关系网络中可以使用的具有价值性、异质性、难以模仿性和难以替代性的外部战略资源,虽然企业没有这些资源的完全控制权,却可以通过缔结合作关系充分杠杆化利用这些资源,促进企业技术能力的提升和创新绩效的改善。(2)组织间资源通过影响企业技术能力和相对议价能力继而作用于其创新绩效。本文通过对208家企业的调查数据进行层次回归分析和结构方程建模后发现,组织间资源对于企业技术创新的作用是通过三条途径实现的:组织间资源直接作用于创新绩效;组织间资源通过影响技术能力影响创新绩效;组织间资源也可以通过影响相对议价能力影响创新绩效,这些路径一起构成了组织间资源对创新绩效的作用机制。(3)治理模式和产业技术机会在组织间资源影响企业创新绩效的机制中发挥调节作用。在股权型合作关系中,互补资源和专用资源对本土企业技术能力的提升效果并不明显,知识共享和共同解决问题惯例是企业技术能力提升的主要因素。而在契约型合作关系中,由于双方的目标和背景的差异,共同解决问题的机制比较难以形成,因此,企业的着力点放在合作伙伴资源的杠杆化利用和对知识的有效吸收上。此外,产业技术机会越多,越有利于企业利用组织间资源提升创新绩效。(4)组织间资源的形成是一个逐渐演化的过程,其构建效率主要受到企业吸收能力、合作伙伴资源水平和双方关系特征的影响。任何资源的形成和发展都具有路径依赖性,组织间资源也是随着双方关系的发展逐渐建构和形成的。在控制时间的影响之后,组织间资源的多寡受焦点企业吸收能力、合作伙伴资源水平及双方合作关系的共同影响。上述研究结论深化了组织间资源对企业创新作用过程的理解,使得本研究具有了一定的探索意义。具体而言,本研究在以下三个方面进行了深化和拓展:(1)对组织间资源的概念及构成要素做了明晰的分析界定,从而对组织间资源概念体系进行了优化重构。自从GuIati提出“网络资源”概念以来,战略管理和社会经济学领域的学者都试图从各自的角度将研究推向深入。然而,目前看来对于网络资源的内涵和构成要素还未达成一致,已有的研究对“网络资源”和“社会资本”、“嵌入性”概念并未作出有效区分。在继承资源观基本观点的基础上,本研究将战略资源的研究范围扩展到组织间关系和网络之中。从组织间互动和协同角度出发,提出了一个二维度(汲取性资源、嵌入性资源)和四要素(专用资源、互补资源、知识共享惯例以及共同解决问题惯例)的组织间资源测量模型,并通过探索性案例研究和探索性因子分析、验证性因子分析验证了本测量模型的合理性和有效性,从而为网络资源观进一步深入展开提供了一定的借鉴和参考。(2)对组织间资源对企业创新绩效的作用机制进行了深入剖析,揭示了全球制造网络影响企业绩效的本质过程。传统的资源观研究把组织内部资源视为企业价值创造和竞争优势的唯一来源,而社会经济学者则通过研究网络的关系特征和结构特征来间接地讨论组织间资源对企业竞争优势的影响效果。在探索性案例研究和文献总结的基础上,本文创造性地构建了包涵组织间资源、技术能力、相对议价能力到创新绩效的概念模型,从而将组织间资源与企业的价值创造和价值分配过程和结果有机地联系起来,使得组织内、外部战略资源纳入了统一的分析框架。通过问卷调查和大样本统计分析发现,从价值创造视角来看,组织间的汲取性资源直接作用于企业创新绩效,嵌入性资源通过推动技术能力的升级进而促进创新绩效的改善。从价值分配视角来看,汲取性资源在促进焦点企业价值创造的同时也导致了其对跨国公司的依赖关系,损害了它从创新成果中受益的能力,而本土企业技术能力的提升则会改变双方的相对议价地位,从根本上提升本土企业的产品附加值和产业链地位。这些发现对全球制造网络中本土企业如何有效管理和运用组织间资源构建能力、提高绩效、获得持续竞争优势具有重要指导意义。(3)深入探究了组织间资源的演化过程,并识别了其主要影响因素。资源具有路径依赖和动态演化的特征,组织间资源是在双方的互动过程中逐步形成的,现有的研究对于组织间资源的形成过程和影响因素鲜有讨论。通过大样本调查和方差分析,本文展示了组织间资源在不同发展阶段的主要特征和演化路径,从而推演出了组织间资源的演化规律。进一步地,本文从企业内部、合作伙伴和双方关系三个方面总结了组织间资源构建效率的影响因素,初步揭示了组织间资源形成的内在机理,为企业有效获取和管理组织间资源提供了理论依据。然而,囿于笔者时间、精力所限,本文的研究仍存在诸多不足之处。对此,论文的最后一章进行了总结,并指出了可能继续深入的若干研究方向。更多还原

【Abstract】 The advance of globalization has deeply changed the form of competition between firms and the resource base of firms.The new economy is characterized by globalization,intellectual resources and collaborating.Across global markets,the competition between atom firms is giving way to the competition between groups or networks.Under this context,the alliances and networks which the firms embedded in provide new resources,knowledge and capabilities to them and further promoted the value creation process of firms.At the same time,the forming and development of global manufacturing network(GMN) opened an opportunity window for Chinese domestic firm to integrate into global "coopetition" networks and accumulate new resources and enhance capabilities.How to integrate the resources embedded in the networks and enhance innovation capability is the key issue for domestic firms to upgrade in the global value chain and acquire competitive advanteges.Hence,inter-organizational resources draw the attention of many academics and become a core concept in understanding the strategic behavior and performance of inter-connected firms.However,ten years past since Gulati first introduced the concept of "network resource",the construct and the taxonomy of this construct are still unclear.Further,few researches has explored the mechanism of inter-organizational resources on firm performance.Under this context,this dissertation integrates resource-based view,social network theory,technological innovation theory and organizational learning theory and tries to answer the core question of "How do inter-organizational resources affect firm innovation performance?" To meet this object,this thesis built taxonomy of inter-organizational resources,examined the effects of inter-organizational reources on firm innovation performance,and investigated the mechanism within the black box between inter-organizational networks and firm innovation performance.The form of investigation in this dissertation involved both quantitative and qualitative methods and the main work is done through the following four stages:In the first stage,we reviewed the literature in resource-based theory,social network theory,technological innovation theory and organizational learning theory and put forward the construct of inter-organizational resources in the context of network environments.In the second stage,4 explorative case studies were taken out to verify the construct and get the initial concept model of the mechanism of inter-organizational resources on innovation performance.In the third stage,the concept model was built based on in-depth theoretical analysis and the hypotheses were tested using a sample of 208 firms engaging in global manufacturing networks.The results showed that inter-organizational resources play an ever important role in the competitive advantage of firms. In the fourth stage,the evolutional process of inter-organizational resources was approached and the main factors influencing inter-organizational resources were investigated.After such exploring and testing processes,following conclusions can be reached:(1) Firm’s inter-organizational resources have an overall positive impact on firm innovation performance.Inter-organizational resources are the resources firms tap into or created in the inter-organizational networks,through leveraging these resources, firms can enhance their innovation performance.(2) Inter-organizational resources influence innovation performance partly through the mediating role of technological capability and relative bargaining power. The empirical results suggest that inter-organizational resources promote innovation performance through three distinct ways:inter-organizational resources can affect the innovation performance directly,inter-organizational resources enhance the technological capability and technological capability improve innovation performance, at the same time,inter-organizational resource have an influence on firm’s relative bargaining power and relative bargaining power will has a positive effect on firm innovation performance.(3) Relational governance mode and industry technological opportunity play a moderating role in the relationship of inter-organizational resources and firm innovation performance.In detail,in equity based relationships,knowledge sharing routines and joint problem solving routines greatly facilitates the technological capability;in contract based relationships,it is relation specific resources and complementary resources that firm accessed in the relationships play more important roles.When industry has more technological opportunities,the inter-organizational resources will have more significant influence on innovation performance.(4) Inter-organizational resources are formed gradually and evolutionarily and they are influenced by firm’s absorptive capability,partner’s resources endowments and relational characteristics.Inter-organizational resources are built with the development of inter-organizational relationships and have a path-dependent trait.By employing an integrative,multidisciplinary approach,this dissertation tries to make some innovation in the following fields:First,this dissertation refined the construct of inter-organizational resources and built taxonomy of inter-organizational resources,through this it extended research on the inter-organizational relationship and network strategy.It integrated and extended the resource-based view and social economic theory and put forward that inter-organizational resources can be divided into to "accessed resources" and "embedded resources" and further into four factors:relation specific resources, complementary resources,knowledge sharing routines and joint problem solving routines.The validity of this construct was verified by explorative case studies, explorative factor analysis and confirmative factor analysis.Hence,it contributed to growing research on resource-based view,especially the resource-based view in the network environment.Second,this dissertation explored the mechanism of inter-organizational resources,which uncovered the nature of the process of global manufacturing network on firm’s competitive advantage.From the point of value creation,accessed resources directly enhanced innovation performance and embedded resources facilitate the technological capability and hence enhanced innovation performance.From the point of value capturing;excess use of accessed resources will cause dependency on multinational firms and reduce the proportion of value appreciated by the focal firm. It linked inter-organizational resources with innovation performance through the mediating role of technological capability and relative bargaining power and increased our understanding of the competitive advantage of interconnected firms in global manufacturing networks.Third,this dissertation investigated the dynamic evolutionary process of inter-organizational resources and identified the three main factors that have influence on the inter-organizational resources.Through empirical statistics it was found that inter-organizational resources evolved gradually with the inter-organizational relationship and provided some advice to accumulate and manage inter-organizational resources efficiently.For the restriction of time,data and ability of authour,there are still some limitations in this dissertation.Further work is needed to incorporate more dynamic perspectives and the entire influence of direct and indirect ties in the network.更多还原