【作者】 伍蓓；

【导师】 陈劲；

【作者基本信息】 浙江大学 ， 管理科学与工程， 2010， 博士

【摘要】 随着外包业务的不断扩展,越来越多的企业开始把一些重要业务(如新产品的设计和开发)部分或完全外包给其他组织,形成了新的价值创造模式。研发外包以一种开放动态的技术创新模式融入全球化经济链条,并成为技术创新领域的研究热点。“企业如何研发外包?”、“研发外包如何运作才能提升企业的技术创新水平”等问题,成为企业创新管理中急需解决的重要问题。现有的理论研究仅仅勾勒了研发外包的现象和发展趋势,对于研发外包与企业绩效的相关关系及作用机理还众说纷纭,更缺乏系统、深入的实证研究。为促进企业有效地整合内外部研发资源,提升研发水平与创新能力,本文从研发外包模式和运作机制着手,试图打开研发外包运作的“黑箱”,深入剖析研发外包的模式、结构、机理和演化特征。具体而言,本文逐层探究了以下三个研究问题:(1)研发外包的模式有哪些,不同模式下外包与企业创新绩效的关系是否一致?(2)研发外包的运作机制是什么,如何影响企业创新绩效?(3)在企业成长的不同阶段,研发外包的维度结构和模式如何演变?为了阐释上述研究问题,本文采用理论研究与实证研究相结合、文献阅读与调查访问相结合、定性研究与定量研究相结合的方法,通过三个子研究逐层深入进行论述。子研究一针对现有文献中外包与企业创新绩效作用关系的“悖论”,利用探索性案例研究和问卷调查的方法,对研发外包的模式进行了探讨。首先,对制造、医药、软件、服务产业进行了探索性案例研究,针对各产业的研发外包特征,从研发的战略导向入手,区分各产业研发外包的目标(研发成本降低或商业模式的转变)、技术(成熟技术或新兴、前沿技术)、市场(成熟市场或新市场)及外包项目的创新程度,从而划分了研发外包模式。之后,通过对73家企业的问卷调研和访谈,运用非线性回归法分析不同研发外包模式与企业创新绩效的关系。子研究二在对前人研究成果分析的基础上,经过理论预设、案例选择、数据收集与数据分析,探寻了研发外包对企业创新绩效的作用机制,构建了“研发外包维度结构-内外部协调能力-企业创新绩效”的概念模型,并提出了六个初始假设命题。通过对206家企业的问卷调研,运用探索性因子分析和验证性因子分析构建并验证了相关测度量表,并采用结构方程建模的方法对所提出的概念模型进行检验与修正,深入剖析研发外包的运作机制。子研究三借鉴Churchill & Lewis(1983)的企业成长阶段判别标准,将企业成长历程划分为初始、发展和成熟三个阶段。比较不同研发外包模式在企业各阶段的资源、关系和知识维度差异性,揭示研发外包模式演变过程,为企业在特定阶段应采取的研发外包模式提供决策依据。通过上述研究工作,本文得出如下主要结论:(1)不同研发外包模式对企业绩效的影响存在明显的差异。本文从技术、战略、资源和创新性角度划分效率型(routine)和创新型(novel)研发外包模式。研究结果表明效率型研发外包对企业的创新绩效呈正向促进关系;而创新型研发外包对企业的创新绩效呈倒U型关系。同时,环境动态性对创新型研发外包与企业创新绩效的关系起到负向调节作用。(2)研发外包的实质是外包资源、关系和知识的共同体。研发外包的运作机理在于资源、关系和知识维度及内外部协调能力的协同与相互作用,从而促进企业的创新绩效。效率型研发外包更注重内部协调能力,而创新型研发外包注重外部协调能力。(3)从企业的初始阶段、发展阶段到成熟阶段,效率型研发外包模式的主导地位逐渐降低,而创新型研发外包模式的主导地位逐渐增强。在企业成长的不同阶段,研发外包的资源维、关系维和知识维有显著的差异,且呈上升幅度。纵观全文,本文以研发外包模式为切入口,在企业层面系统地探讨和验证了研发外包的模式和作用机制,在一定程度上解决了“研发外包的模式是什么”、“研发外包如何运作”、“研发外包模式和维度结构如何演变”等问题,为中国企业研发外包的实施和运作提供了一个崭新视角。本文在以下三方面进行了创新性研究:(1)针对研发的特质,从战略角度区分研发外包模式,提出效率型和创新型研发外包模式,既弥补原有“核心论”的单维度划分方法,又简化多维度划分的类型,有效地破解外包与企业绩效的关系“悖论”。(2)梳理外包结构体系、外包协调能力与绩效之间的关系脉络,构建“维度结构-外包协调能力-绩效”作用机制模型,解开“外包模式-绩效”的“黑箱”,为企业研发外包模式的实施和管理提供实践指导。(3)通过静、动态相结合的研究方式,以企业成长阶段为时间序列,结合聚类和方差分析探究企业在初始、发展、成熟三个阶段研发外包模式及其资源、关系和知识变化的差异性,揭示研发外包的动态演化特征,为企业研发外包模式的动态选择提供理论框架。更多还原

【Abstract】 Outsourcing has been considered as one of the most important methods for enterprises during the last 75 years by Harvard Business Review. With the development of outsourcing, more and more enterprises have partly or totally outsourced their important businesses (such as the new products design and development) to suppliers, which leads to the emergency of R&D outsourcing. R&D outsourcing has merged into the global economic chain as a new technological innovative method and become a popular topic. Therefore, some questions, such as "how to operate R&D outsource?"、"Will R&D outsource really improve the enterprises’ technological innovative capabilities?", have become the most important issues for R&D Managers. Although the existing research has outlined the characteristics and phenomenon of R&D outsourcing, there is a paradox about the mechanism of outsourcing and firm performance,especially the relative empirical studies are even insufficient.In order to integrate enterprises’ inside and outside R&D resource, to improve the R&D level and innovative capabilities, and to discuss the mechanism and evolvement of R&D outsourcing, this thesis tries to answer the following research questions: (1) What is R&D outsourcing mode? What is the relationship between R&D outsourcing and firm performce? (2) How to outsource? Will R&D outsourcing impact firm innovation performance? (3) During the development of enterprises, how will the structure and mode evolve?This thesis explores these issues by three sub-researches with combination of theoretical study and empirical study, literature review and investigation, and as well as qualitative research and quantitative research.The first sub-research focuses on the relationship between R&D outsourcing and firm performance. With the investigation on the characteristics of manufacture, medical, software and service industry, this research distinguishes routine and novel R&D outsourcing from the perspectives of outsourcing objectiveness (reduce the cost of commercial business change), outsourcing technology (mature or new technology), outsourcing market (old or new market) and outsourcing innovative level. Based on the 73 enterprises questionnaires, this thesis analyzes the relationship between R&D outsourcing and firm innovation performance by SPSS curve regression.The second sub-research focuses on the R&D outsourcing mechanism. After the theory pre-hypothesis, case selection, data collecting and analysis, six hypotheses are promoted focusing on the mechanism of R&D outsourcing. 206 firms in Zhejiang Province China are investigated via questionnaires. Explorative Factor Analysis (EFA) and Confirmatory Factor Analysis (CFA) are conducted to establish and verify the measures. Structural Equation Modeling (SEM) is applied to testify and modify the concept model. The result shows that R&D outsourcing can promote technological innovation performance through inside and outside coordination capabilities.The third sub-research first divides the development of enterprises into 3 stages: new, developed and mature based on the measurement of Churchill & Lewis (1983). From the comparative study of resource, relationship and knowledge dimension in different stages, we demonstrate the evolvement of R&D outsourcing, which provides the theoretical and practical methods for R&D outsourcing decision.Drawing on the above research, some conclusions can be presented as follows:(1) R&D can be outsourced and its impacts on firm innovation performance are decided by R&D outsourcing mode. The results show that routine R&D outsourcing is positive to firm innovation performance while novel R&D outsourcing is curvalinear to firm innovation performance. Meanwhile, environmental dynamism negtively moderates the relationship between R&D outsourcing and firm innovation performance.(2) R&D outsourcing is the combination of resource, relationship and knowledge. The mechanism of R&D outsourcing is the cooperation of R&D outsourcing dimension and inside/outside coordination capabilities, which improve the firm innovation performance. Routine R&D outsourcing emphasises on the inside coordination capabilities while novel R&D outsourcing emphasises on the outside coordination capabilities.(3) From the new, developed to mature stages, the resource, relationship and knowledge dimension are becoming more and more stronger. Routine R&D outsourcing is becoming less important while novel R&D outsourcing is becoming more important.As a whole, this thesis discusses R&D outsourcing mode and mechanism, which provides the solution to R&D management. All of these make good suggestions and a new research direction for future research. Thus, the main innovative points are followings:(1) Distinguishing between routine and novel R&D outsourcing. It simplifies multi-dimension methods, remedies the "core" single-dimension methods, and settles the paradox relationship between outsourcing and firm performance.(2) Constructing "dimension-cooperative capability-performance" mechanism model, which settles the "mode- performance" black box and provides the advices for outsourcing management.(3) Through the cluster and one-way regression analysis, this thesis discussing the resource, relationship and knowledge differentiations in different phrases of the whole development of enterprises, which provides dynamic selection and decision framework of R&D outsourcing.更多还原