【作者】 张鹏；

【导师】 杨蕙馨；

【作者基本信息】 山东大学 ， 企业管理， 2009， 博士

【摘要】 知识经济背景下,创新与学习对组织的发展至关重要。在动态竞争的发展环境中,众多的企业深刻认识到不仅要根据自身的核心知识和能力制定相应的竞争战略,同样也需要不断地进行组织学习,通过组织学习建立自身的竞争优势。因而组织学习能力越来越成为组织最重要的核心能力之一,是组织生存与发展的关键。相当多的研究表明社会资本是影响高新技术企业绩效(包括技术创新绩效)的关键因素。许多企业在努力构建社会资本,而且有关社会资本是否以及如何影响企业技术创新绩效的研究也逐渐被学者重视。目前的研究已经证实:高新技术企业的外部关系对于企业获取知识和进行学习至关重要。然而,关于企业社会资本如何影响企业组织学习和企业技术创新绩效的研究却很少。近些年来,通过在全国各地建立高新技术工业园,中国的高新技术企业通过技术研究与开发,或政府通过实行优惠的政策鼓励外商在工业园建立研究与开发基地,中国的技术创新取得了巨大的进步。通过考察我国高新技术企业的社会资本、组织学习的现状、我国高新技术企业的社会资本及组织学习是否影响以及如何影响企业的技术创新绩效,这些都成为我国企业实践过程中亟需解决的问题,是企业经营战略的理论和技术基础,其结论具有重要的理论和现实意义。在研究方法方面,采用规范研究与实证研究相结合的方法,遵循“文献阅读与访谈——提出假设——形成问卷和调查数据——实证分析(证实或者证伪假设)——形成结论”的研究思路,具体包括两个方面:(1)结合研究主题,在对相关文献进行研究的基础上,通过逻辑推理和理论分析,建立相应的理论框架,并提出一系列待检验的假设。(2)在总结前人研究的基础上,设计合适的调查问卷。对通过问卷调研方式获取的第一手资料进行数据分析,在进行数据分析时,首先进行效度和信度检验;然后采用验证性因子分析、多元回归分析等方法,对理论框架和相应假设进行检验。以山东的高新技术企业为研究对象,在提出和验证企业社会资本测量维度的基础之上,全面系统地研究了企业社会资本、组织学习与技术创新绩效的关系,运用模型构建和统计验证等一系列研究方法及SPSS计量统计工具。明晰了企业社会资本与组织学习和技术创新绩效的关系。研究发现,企业社会资本的三个维度(结构维度、关系维度和认知维度)对于企业的组织学习和技术创新绩效具有不同程度的影响,利用式学习和探索式学习对企业技术创新绩效有不同程度的影响,而且它们相互作用会影响技术创新绩效。(1)企业社会资本的结构维度(包括权力、联系的稳定性、产业内管理者纽带和产业间管理者纽带)对于利用式学习和探索式学习具有不同的影响。权力与利用式学习和探索式学习都呈正相关的关系。联系的稳定性与利用式学习和探索式学习都呈正相关的关系。产业内管理者纽带与利用式学习和探索式学习都呈正相关的关系。产业间管理者纽带使得企业从产业外获得了与自己从事的领域根本不同的信息和考虑问题的视角,管理者从产业外部获得的多种多样的信息可能会干扰企业巩固和加强自己的主导产业,从而阻碍利用式学习,但是会促进探索式学习。(2)企业社会资本的关系维度(包括信任、义务和期望)对于利用式学习和探索式学习具有不同的影响。信任促进了利用式学习,同时也促进了探索式学习。至于义务和期望,企业成员在未来从事某项活动的承诺或责任可以促进企业的利用式学习,但是并不能明显地促进探索式学习。(3)企业社会资本的认知维度(包括一致性和共同愿景)对组织学习具有积极的或中性的关系。一致性通过促进资源交换和重组提高了企业的利用式学习,但一致性不足以影响到企业的探索式学习。共同愿景促进了企业的探索式学习。由于存在共同愿景,就可以减少企业内其他成员行为的不确定性,从而可以促使企业能够有更多的机会在新领域进行建设性的探索。(4)企业社会资本的结构维度、关系维度和认知维度对于技术创新绩效都有正向的影响关系。这说明企业社会资本的三个方面都有助于企业提高技术创新绩效。(5)研究发现,利用式学习和技术创新绩效之间呈U形关系。探索式学习和技术创新绩效之间的关系是正相关关系,而且随着企业探索式学习程度的增加,企业技术创新的收益增加得越来越快。利用式学习和探索式学习各自都会对技术创新绩效有越来越多的回报,这表明随着更多地进行利用式学习或探索式学习,高新技术企业在学习过程中变得更加有效率,从而有更好的技术创新绩效。(6)如果企业同时进行利用式学习和探索式学习,而且这两个学习过程结合得较为紧密,应该会给企业的技术创新绩效带来消极的影响。如果利用式学习层次较低,提高探索式学习的水平能够提高企业的技术创新绩效。然而,如果探索式学习层次已经在较高水平上,提高利用式学习的水平会降低企业的技术创新绩效。企业社会资本和组织学习作为技术创新理论研究的新视野,在国内外的研究均已经具有一段历史,但是将企业社会资本、组织学习和技术创新绩效相结合进行研究目前还很少见。在梳理和继承现有研究成果的基础上,本研究在以下三个方面具有较大的创新性:(1)提出企业社会资本、组织学习和技术创新绩效概念模型。在对企业社会资本、组织学习和技术创新绩效之间关系研究的文献综述的基础上,构建了企业社会资本影响探索式学习和利用式学习、探索式学习和利用式学习影响技术创新绩效的概念模型,提出相应的理论假设,并进行了验证。(2)区分了不同组织学习方式对企业技术创新绩效的贡献。以往的研究从静态角度分析不同组织学习方式对技术创新绩效影响时,大多采用独立分析各组织学习方式对技术创新绩效影响的研究思路。但是,各种组织学习方式之间可能会存在相互影响,完全剔除各种组织学习方式的交互作用很难全面解释组织学习对技术创新绩效影响的实际情况。基于这一点,探讨了不同组织学习方式对技术创新绩效的联合影响,弥补了前人研究的不足。(3)以往研究就组织学习的过程、组织学习对于知识转移的影响路径以及组织学习影响企业技术创新分别进行了深入研究,解释了组织学习为什么会促进企业技术创新、增强竞争优势,但是却忽视了企业社会资本对于组织学习的影响研究。事实上,影响组织学习的最重要的原因是企业社会资本。本研究针对山东省的高新技术企业,系统阐释了企业社会资本的各个维度如何通过组织学习影响企业技术创新绩效的问题,从而实现了社会资本、组织学习与技术创新研究的融合,拓展了组织学习的研究领域,拓展了组织学习理论。企业社会资本这一研究领域尚处于起步阶段,目前关于企业社会资本的研究理论分析居多,定量研究较少,对于企业社会资本与技术创新绩效关系的实证研究也较为缺乏。如何通过企业的社会资本建设来提高技术创新能力已成为学术界和企业界比较关心的话题。特别地,传统的创新方式已开始朝着开放、合作、网络和动态整合的方向迈进。从企业社会资本理论和组织学习理论的角度来系统而全面的研究企业的技术创新绩效,是本研究的一个尝试。研究证明:投资于企业内部和外部的社会资本,有助于企业提高技术创新绩效。为了促进企业的探索式学习和利用式学习,高新技术企业应该创造有利于组织学习的氛围。此外,企业应当努力建立企业内外的各种联系,包括产业内外各企业的联系,以促进本企业增加现有知识的掌握和新领域知识的开拓。最后,应该通过让企业员工加强社会互动、分享共同愿景和参与企业决策的制定,使他们提高相互信任的水平,促进意见和观念的一致。高新技术企业应该认识到探索式学习和利用式学习的重要性。为了能够使高新技术企业求得生存并能获得发展,企业应该有意识地促进探索式学习和利用式学习的平衡。如果一个高新技术企业的利用式学习水平比较低,该企业应该采取措施加大探索式学习,以使企业获得较高的技术创新绩效。与此相反,当一个高新技术企业的探索式学习和利用式学习的水平都挺高时,这样的组织学习可能不利于企业提高技术创新绩效,这是因为探索式学习和利用式学习之间存在着固有的差异,如果探索式学习和利用式学习的水平都超过了一定的界限,会使企业没法进行有效管理。所以,保持企业两类组织学习的平衡是必要的。更多还原

【Abstract】 In the background of knowledge economy, innovation and organizational learning is essential. In the development environment of dynamic competition, a large number of enterprises begin to profoundly understand that enterprises should not only formulate corresponding competitive strategy according to their own core knowledge and ability, but also continue the organizational learning, create their own competitive advantage through organizational learning. Organizational learning ability has begun to formulate one of the most important core competencies, and is the key for organizations to survive and develop.Quite a number of studies have shown that social capital is a key factor that affects the performance of enterprise (including the technological innovation performance). Many enterprises take their efforts to build social capital, and whether the social capital affects the technological innovation performance of enterprises and how it affect the technological innovation performance of enterprises has attract many scholars. Current research has confirmed that external relations of high-tech enterprises are essential for the enterprises to acquire knowledge and learning, thus affect the performance of enterprises. However, research about internal and external social capital and how they affect the different types of enterprise learning and technological innovation performance of enterprises are few. In recent years, throughout the country established high-tech industrial park, through their own technical research and development, and through the introduction of preferential policies to encourage foreign investment to establish bases in the industrial park for research and development, China’s technological innovations have made tremendous progress. This study focused on the organizational learning of high-tech enterprises, the study could be to some extent make-up for these shortcomings of above research. Investigating the status quo of social capital, organizational learning of China’s high-tech enterprises, and whether the social capital and organizational learning affect the technological innovation performance, and how the social capital and organizational learning affect the technological innovation performance of China’s high-tech enterprises have become the serious problems to be solved during the practice of China’s enterprises, and are the fundamentals of theory and technology infrastructure of business strategy, so the conclusions have important theoretical and practical significance.This study used a combination of methods of normative research and empirical research, following the research procedure of "reading the literature and interviews -proposing hypothetical - the formation of a questionnaire and survey data - empirical analysis (to confirm or falsifications hypotheses) - the formation of the conclusions", including two areas (1) Combining the theme of this study and on the basis of the research of corresponding literature, this paper establishes the theoretical framework and proposing a series of hypotheses to be tested by logical reasoning and theoretical analysis. (2) Designing an appropriate questionnaire based on the conclusion of previous studies. This study obtains the first-hand information for data analysis by way of questionnaire survey, during the process of data analysis, we test the validity and reliability firstly; then used confirmatory factor analysis, multiple regression analysis and other analytical methods to test the theoretical framework and the corresponding hypotheses of this article.Useing the high-tech enterprises in Shandong as the research object, based on the providing and testing of the measurement of corporate social capital dimensions, this paper studied the relationship of corporate social capital, organizational learning and technological innovation performance in a comprehensive and systematic way. Comprehensively using a series of research methodology such as modeling and statistics and SPSS statistical tools, this paper made the relationship of corporate social capital and organizational learning and technological innovation performance clear. The research found that three dimensions (structural dimension, relational dimension and cognitive dimension) of corporate social capital had different impact on the exploiting learning and exploration learning of enterprises, and the exploiting learning and exploration learning of enterprises had different impact on the technological innovation performance of enterprises, and corporate social capital will also affect the technological innovation performance in a different way. (1) Structural dimensions of corporate social capital (including the power, the stability of link, intra-industry manager ties and extra-industry manager ties) have different impact on exploiting learning and exploration learning. Power is positively related to both exploitative and exploratory learning. The stability of link is positively related to both exploitative and exploratory learning. Intra-industry manager ties positively related to both exploitative and exploratory learning. Extra-industry manager ties help enterprises gain exposure to diverse information and perspectives from outside their domain of knowledge, the diverse information may interfere with abilities to solidify or reinforce dominant industry perspectives, thus hinder exploitative learning. (2) Relational dimensions of corporate social capital (including trust and obligations and expectations) have different impact on exploiting learning and exploration learning. Trust promoted exploiting learning, but did not promote exploration learning. About obligations and expectations, the commitment and responsibility of business members engaging in an activity can promote the exploiting learning, but not obvious to promote exploration learning. (3) Cognitive dimension of corporate social capital (including consistency and a common vision) have a positive or neutral relationship on organizational learning. Consistency improved the utilization of exploiting learning through the promotion of exchange and the reorganization of resources, but not enough to affect the consistency of enterprises to exploration learning. Common vision promoted the exploration learning. Because of a common vision, we can reduce the uncertainty of actions of other members, so that we can make enterprises have more opportunities in new areas to constructive exploration. (4) The structural dimension, the relational dimension and the cognitive dimension of corporate social capital all have a positive impact on technological innovation performance. This shows that corporate social capital will help enterprises to improve technological innovation performance in three areas. (5)This paper found that exploiting learning and technological innovation performance was the U-shaped relationship, rather than inverted U-shaped relationship. The relationship between exploration learning and technological innovation performance is positive, along with the increase of exploration learning of enterprises, the extent of the increase in enterprise technological innovation increased more and more rapidly. The exploiting learning and exploration learning will be an increasing number of returns of their technological innovation performance in respectively, which shows that by exploiting learning and exploration learning, high-tech enterprises becomes more efficient in the learning process, and thereby have a better technological innovation performance. (6) If the enterprise have exploiting learning and exploration learning at the same time, and this combination of two learning process more closely, it should be a negative impact on technological innovation performance. If the level of exploiting learning is lower, raising the level of exploration learning can improve the technological innovation performance of enterprises. However, if the level of exploration learning is higher, improve the exploiting learning will decrease the technical innovation performance of enterprise.As the new vision of theoretical studies of technological innovation, the study of corporate social capital has a long history both at home and abroad, but the study integrating corporate social capital, organizational learning and technological innovation performance as a combination is very rare at present. On the basis of carding and inheritance in the existing research results, this study has three greater innovations as follows (1) Proposing the conceptual model of corporate social capital, organizational learning and technological innovation performance. On the basis of literature review of the study of corporate social capital, organizational learning, technological innovation performance, and their relationship, this paper build conceptual model of corporate social capital affecting the exploration learning and exploiting learning, and the exploration learning and exploiting learning affecting technological innovation performance, and corresponding theoretical hypotheses. (2) Distinguishing the different contributions of organizational learning modes on technological innovation performance. Most of previous studies that analyze the different impact on the technological innovation performance of organizational learning used a static perspective by an independent analysis of the impact of organizational learning on technical innovation performance. However, the various organizational learning modes may have mutual influence; completely removing all kinds of interactions between organizational learning is very difficult to explain on a comprehensive study on the impact of technological innovation performance of the actual situation. For this reason, this research on the different impact of organizational learning on technological innovation performance explored a integration to make up for the shortcomings of previous studies. (3) Previous studies deeply research the process of organizational learning, affecting path on knowledge transfer by organizational learning, and organizational learning affecting corporate technological innovation, explain why organizational learning promote technological innovation and enhance competitive advantage, but have been ignored the research of the impact on organizational learning by corporate social capital. In fact, the most important reason that affects organizational learning is corporate social capital. Use high-tech enterprises in Shandong Province as sample, this study explains how the various dimensions of corporate social capital affect enterprise technological innovation performance through the organizational learning in a systematic way, thus comes to the implementation of the integration of research on social capital, organizational learning and technological innovative, expands the research areas of organizational learning and expands the organizational learning theory.Corporate social capital is still at the initial stage in this field of research, the current study of corporate social capital mostly focuses on theoretical analysis, the quantitative research is few, the empirical research of the relationship between corporate social capital and technological innovation performance are more rarely seen. How to enhance the ability of technological innovation by building corporate social capital has become more concerned both in the academic and business topics. In particular, the traditional innovation has started moving to the direction of the opening, cooperation, network and dynamic integration. Comprehensively and systematically studying of the technological innovation performance of enterprises from the perspective of social capital theory is the attempt of this paper. This paper found that investing in internal and external social capital would help enterprises to improve technological innovation performance. In order to facilitate enterprises to exploration learning and exploiting learning, high-tech enterprises should pay special attention to creating an atmosphere conducive to organizational learning. In addition, the enterprises should strive to establish a corporate culture and internal and external linkages, including the industry both inside and outside the enterprise in order to promote the enterprises to increase their existing knowledge and explore new areas of knowledge. Finally, it should be adopted to allow enterprises to enhance social interaction, sharing a common vision and participation in decision-making enterprises, so that the members of enterprises can improve the level of mutual trust, promote the consistency of views and ideas. High-tech enterprises should realize the importance of exploration learning and exploiting learning. In order to be able to survive and have access to the development, enterprises should consciously learn to promote the balance of exploration learning and exploiting learning. If a high-tech enterprise’s exploiting learning level is low, the enterprises should take measures to exploration learning in order to enable enterprises to receive higher levels of technological innovation performance. On the contrary, when a high-tech enterprise’s exploration learning and exploiting learning level are both high, this might not be conducive to organizational learning for enterprises to upgrade their technological innovation performance, this is because the exploration learning and exploiting learning have inherent differences, if the exploration learning and exploiting learning are more than a certain limits, enterprises will not be able to carry out effective business management. Therefore it is necessary for the enterprises to keep the balance of two types of organizational learning.更多还原