社会资本、知识过程与部门效能关系实证研究

【作者】 郭贵林；

【导师】 马庆国；

【作者基本信息】 浙江大学 ， 技术经济及管理， 2008， 博士

【摘要】 在产业结构不断升级和竞争环境日趋严峻的今天,技术创新对于企业谋求自身持续发展、塑造核心竞争能力越来越具有举足轻重的作用。为此,大量企业在其研发(R&D)部门里开展了技术创新活动。然而现实情况不容乐观,R&D的失败率居高不下,高昂的R&D经费经常付诸东流。由此造成了企业竞争力的削弱与R&D人员士气的低落。于是,如何提升R&D部门效能、增大R&D成功率就成了企业所要面临解决的迫切问题。为回应现实问题,许多学者对R&D相关问题作了深入探讨。然而令人遗憾的是,尽管R&D部门的重要性不言而喻,但目前直接以R&D部门为主题的研究并不多见,而关于R&D部门效能的研究则迄今尚未发现。而且已有的这些相关研究虽然不同程度上拓展了我们的认识,但仍然没有抓住R&D作为一种典型知识型过程所具有的“知识特征”。而R&D部门作为企业的技术和知识创新中心,其特殊性也同样源自其知识特征,但如何结合前沿的知识理论系统地研究R&D部门效能形成过程,目前尚处于理论的缺失状态。作为对知识管理理论思考的一种延伸,我们还发现发轫于新经济社会学的社会资本理论正逐渐成为理解知识管理过程的重要新视角。因此,以部门社会资本为出发点,以知识过程为中介,研究R&D部门效能的形成机制将是一个值得探索的新思路,所得成果也将会弥补目前理论上的空白。通过对相关理论研究的回顾,笔者发现以往研究无法系统地回答以下理论问题:①部门社会资本的内在构成是什么?②部门社会资本是如何影响部门效能的?③部门知识过程对部门效能存在怎样的作用机理?④部门知识过程存在怎样的维度与结构以及各维度之间存在怎样的联系?⑤部门效能存在怎样的维度与结构以及各维度之间存在怎样的联系?围绕上述问题,本文以企业R&D部门为研究对象,沿着“部门社会资本→部门知识过程→部门效能”的逻辑思路,提出具体的研究假设和理论模型,采用问卷调查的方式获取研究数据,利用SPSS 16.0和AMOS 16.0等软件工具,对研究假设和理论模型进行了实证分析。本文的主要研究内容及结论如下:1.分析部门社会资本的内容、结构与维度。本研究基于国内外社会资本理论文献的回顾和企业访谈,从内外部整合视角出发,将部门社会资本划分为六个维度(二阶因子),包括外部结构维度、外部关系维度、外部认知维度、内部结构维度、内部关系维度和内部认知维度,每个二阶因子维度下又包含多个一阶因子子维度,本文的经验研究显示相应的测量量表具有较好的信度与效度,表明上述划分具有一定的科学性与合理性。同时,本研究还发现部门社会资本的六个维度之间存在着紧密联系,且对于外部结构维度,一阶因子外部网络密度的影响效应最大,外部网络强度次之,外部网络规模最小;对于外部关系维度,则依次为外部义务和期望、外部网络信任;对于外部认知维度,依次为外部共同价值观和外部共同语言;对于内部结构维度,依次为内部网络密度和内部网络强度;对于内部关系维度,依次为内部主管信任、内部同事信任、内部组织信任、内部义务和期望;对于内部认知维度,依次为内部共同价值观和内部共同语言。2.研究部门知识过程的结构、维度及各维度之间的关系。本研究基于国内外知识管理理论文献的回顾和企业访谈,将部门知识过程划分为知识获取建构、知识共享转移和知识整合应用三个维度,本文的经验研究显示相应的测量量表具有较好的信度与效度,表明上述划分具有一定的科学性与合理性。知识过程各维度作为知识管理不可或缺的重要环节,相互间的联系却缺乏深入研究与经验验证。本研究在文献回顾与深度访谈的基础上,提出知识获取建构会促进知识共享转移、知识共享转移会促进知识整合应用的理论假设,并通过经验研究对假设进行了检验,检验结果证明所提出的假设成立。3.探讨部门效能的结构、维度及各维度之间的关系。本研究基于国内外组织效能理论文献的回顾和企业访谈,提出部门效能这一概念,并将部门效能划分为创新绩效、部门承诺和目标达成三个维度,本文的经验研究显示相应的测量量表具有较好的信度与效度,表明上述划分具有一定的科学性与合理性。同时,本研究进一步在文献回顾与深度访谈的基础上,提出创新绩效与目标达成均会提升部门承诺的理论假设,并通过经验研究对假设进行了检验,检验结果证明所提出的假设成立。4.剖析部门社会资本对部门效能作用的内在机理。本研究引入部门知识过程,探寻部门社会资本影响部门效能的内在机理,验证了部门知识过程在部门社会资本对部门效能的影响中的中介作用。实证分析结果显示,在自变量和中介变量关系中,外部社会资本三个维度和内部社会资本认知维度对知识获取建构均有显著的正向影响,其中,外部社会资本关系维度对知识获取建构的影响最大;内部社会资本三个维度对知识共享转移均有显著的正向影响,其中,内部社会资本关系维度对知识共享转移的影响最大;内部社会资本关系维度和内部社会资本认知维度对知识整合应用均有显著的正向影响,其中,内部社会资本关系维度对知识整合应用的影响较大。此外,本文还研究了社会资本一阶因子对知识过程的影响,也得到了一系列对应的结论。而在中介变量和因变量关系中,知识过程三个维度对创新绩效均有显著的正向影响,其中,知识共享转移对创新绩效的影响最大;知识过程三个维度对部门承诺均有显著的正向影响,其中,知识整合应用对部门承诺的影响最大;知识过程三个维度对目标达成均有显著的正向影响,其中,知识整合应用对目标达成的影响最大。本文另外还通过探索性研究,发现9个关于自变量社会资本二阶因子与因变量之间、及18个关于自变量社会资本一阶因子与因变量之间,存在直接影响效应的实证证据。5.检验部门R&D投入的调节作用。为进一步探讨关系机理的内涵,本研究引入部门R&D投入水平因素作为调节变量,并通过聚类分析,将样本按部门R&D投入水平的高低分成高投入组和低投入组两类。通过不同投入水平组的比较研究,得到部门R&D投入对关系机理存在明显影响,高投入组的部门社会资本对知识过程的作用明显较强,知识过程对部门效能中的创新绩效和目标达成的影响也强于低投入组,但在对部门承诺的影响上则无此差别。在部门承诺上,高投入组的部门员工更多受创新绩效和知识整合应用的影响,而低投入组的部门员工则更多受目标达成、知识获取建构和知识共享转移的影响。6.探索影响部门知识过程与部门效能的其它因素。本研究探讨部门社会资本对部门知识过程与部门效能的影响,但部门知识过程和部门效能除了会受到部门社会资本的作用之外,还会受到其它因素的影响。本研究将部门的成立年限、规模、人力资源、研发经费和员工薪水以及所在企业的成立年限、规模、性质和行业等因素作为控制变量,以检验其对部门知识过程和部门效能的影响,最后通过实证分析得到了一系列相关的研究结果。上述研究结论,既具有相当的理论发现,也具有重要的实践意义,在某种程度上有助于丰富社会资本理论、知识管理理论和组织效能理论,并对组织的管理实践具有一定的启示与指导意义。当然,本研究也存在某些不足之处,有待后续研究的修正与完善。更多还原

【Abstract】 With the upgrading of the industrial structure continually and the growing intension of the competition,technological innovation plays a very important role on sustainable development and enhancing core competitiveness of enterprise.So many enterprises innovate in their research and development(R&D) departments. Unfortunately,the facts show that R&D often have high rate of failure,which weakens the enterprise’s competence and employees’ morale.Then how to improve R&D department effectiveness and success rate of R&D is a pressing problem that enterprises face.Responding to the practical problem,many researchers have deeply researched the propositions of R&D.Though it is clear that R&D is important,it is pity that has little research on R&D department now,not even speak of R&D department effectiveness.Though these researches have enhanced our horizon to some extent, they have not caught the knowledge characteristic of R&D as one of typical knowledge processes.As center of technology and knowledge innovation,the particularity of R&D departments comes from the knowledge characteristic,however, the theory how R&D department effectiveness is determined by the knowledge management is lack.When we learned more about knowledge theory,it even can be found that social capital theory originated from new economic sociology gradually becomes the new important perspective to understand the process of knowledge management.So it is a new way deserved to explore that we research the mechanism of R&D department effectiveness by using department social capital as independent variable and knowledge process as mediators,and the results will make up the theory blank.According to the investigation of social capital,knowledge process,organization effectiveness and other relative literature reviews,the author confirmed some theoretical issues unresolved:What is the construct of department social capital? How does department social capital influence department effectiveness? How does department knowledge process influence department effectiveness? What is the construct of department knowledge process and what kinds of relationship exist between its dimensions? What is the construct of department effectiveness and what kinds of relationship exist between its dimensions?Following the way of "department social capital→department knowledge process→department effectiveness",the author proposed a series of research hypotheses and a theoretical model,and conducted this research with R&D departments through questionnaire and the statistical tool SPSS16.0 and AMOS16.0 to resolve the above issues.The conclusions are summed up as follow:1.The construct of department social capital was explored.Through the literatures review and enterprises interview,the paper defined department social capital as a construct characterized by six dimensions(second-order factors) based on its component,which includes external structural dimension,relational dimension, cognitive dimension,internal structural dimension,relational dimension and cognitive dimension.Every second-order factor is also made up of several first-order factors. Empirical study showed that these measure scales had good reliability and validity.At the same time,this research found there is interaction with six dimensions of department social capital.Besides,this research found external network density explained the most variance of external structural dimension,then external network strength and external network size.As for external relational dimension,external obligation & expectation also explained the most variance,then external network trust. As for external cognitive dimension,external shared value also explained the most variance,then external shared language.As for internal structural dimension,internal network density also explained the most variance,then internal network strength.As for internal relational dimension,trust in supervisor also explained the most variance, then trust in co-workers,trust in organization and internal obligation & expectation. As for internal cognitive dimension,internal shared value also explained the most variance,then internal shared language.2.The construct of department knowledge process and relationship existing between its dimensions were explored.Through the literatures review and enterprises interview,the paper defined department knowledge process as a construct characterized by three dimensions based on its component,which includes knowledge acquisition,knowledge sharing and knowledge integration.Empirical study showed that these measure scales had good reliability and validity.This study discussed the effect of knowledge acquisition on knowledge sharing and knowledge sharing on knowledge integration,and the empirical research found that knowledge acquisition had significant effect on knowledge sharing and knowledge sharing had significant effect on knowledge integration.3.The construct of department effectiveness and relationship existing between its dimensions were explored.Through the literatures review and enterprises interview, the paper defined department effectiveness as a construct characterized by three dimensions based on its component,which includes innovation performance, department commitment and goal attainment.Empirical study showed that these measure scales had good reliability and validity.This study discussed the effect of innovation performance on department commitment and goal attainment on department commitment,and the empirical research found that innovation performance had significant effect on department commitment and goal attainment had significant effect on department commitment.4.The mechanism of department social capital on department effectiveness was explored.This research took department knowledge process as the mediators to explore the intrinsic mechanism of department social capital on department effectiveness,and the results showed that department knowledge process was the full mediator between department social capital and department effectiveness.The results also revealed that,between independent variables and mediating variables,three dimensions of external social capital and internal cognitive dimension had significant effect on knowledge acquisition,when compared,external relational dimension affected knowledge acquisition most;three dimensions of internal social capital had significant effect on knowledge sharing,when compared,internal relational dimension affected knowledge sharing most;internal relational dimension and internal cognitive dimension had significant effect on knowledge integration, when compared,internal relational dimension affected knowledge integration most. Besides,the relationship of first-order factors of department social capital and department knowledge process was tested,and some results were got.Between mediating variables and dependent variables,three dimensions of department knowledge process had significant effect on innovation performance,when compared, knowledge sharing affected innovation performance most;three dimensions of department knowledge process had significant effect on department commitment, when compared,knowledge integration affected department commitment most;three dimensions of department knowledge process had significant effect on goal attainment, when compared,knowledge integration affected goal attainment most.5.The moderate effect of R&D input was tested.The level of R&D input was introduced as moderating variable to further understanding about the relationship mechanism.With the clustering analysis,the sample was divided into two groups by high and low level of R&D input.According to comparative analysis,it was found that there was significant different influence on the relationship between the two groups.The influence of department social capital on department knowledge process in high R&D input level group was bigger than that in low R&D input level group, and the influence of department knowledge process on innovation performance and goal attainment in high R&D input level group was also stronger than that in low R&D input level group,but it was not apply to department commitment.Department commitment of high R&D input level group was more influenced by innovation performance and knowledge integration,while that of low R&D input level group was more affected by goal attainment,knowledge acquisition and knowledge sharing.6.Other factors that influence department knowledge process and department effectiveness were identified.Department knowledge process was the mediator variable,and department effectiveness was the dependent variable in the theoretical model.There are many other factors that influence these variables.The research took department level variables such as department age,size,human resource,R&D fund, employee salary,and organizational variables such as firm property,sector,age and size etc.,as control variables,and analyzed their influence on the mediator variable and the dependent variable.Then a series of results were got.These above conclusions not only revealed some development in theory,but also had significant meaning to management practice.The results of this study enriched theories of social capital,knowledge management and organization effectiveness. Finally,the theoretical progresses and practical implications were discussed,as well as the limitations of this study and the directions for future research.更多还原