企业动态能力绩效机制及其多层次影响要素的实证研究

【作者】 焦豪；

【导师】 项保华；

【作者基本信息】 复旦大学 ， 企业管理， 2010， 博士

【摘要】 企业如何根据自身资源与外界复杂动荡变化的环境进行相机匹配是战略管理领域关注的基本问题。本研究在梳理组织生态学、间断式进化学说、组织学习观、资源基础观、动态能力理论的基础上,认为现有市场中的企业具有适应性(Adaptability),在变异-选择-保持的进化过程中能够识别与发现环境中的机会与威胁,不断地通过变革手段提升现有能力在成熟市场和技术中竞争,以及通过创造性破坏的变革手段再造能力从而在新的市场和技术中竞争,持续不断地整合和重构组织资源从而与变化的环境相匹配。论文首先阐述了研究问题的起源、理论和现实研究意义,接着从企业动态能力的起源、企业动态能力的内涵特征、企业动态能力的整合研究视角、流程研究视角、知识演变研究视角、技术以及学习研究视角、企业动态能力与绩效间的关系、企业动态能力影响要素的研究、企业动态能力的应用等方面对企业动态能力理论进行了文献述评,归纳出需要从企业动态能力结构维度、企业动态能力的绩效机制、企业动态能力的多层次影响机制等三个方面进行进一步研究。在研究方法方面,论文采用修正后项目总相关系数(CITC)、探索性和验证性因素分析方法对企业动态能力的结构维度进行了分析；采用修正后项目总相关系数(CITC)、探索性和验证性因素分析方法、方差分析、描述性统计分析、相关分析、以及基于偏最小二乘法的结构方程模型对企业动态能力的绩效机制进行了实证检验；采用修正后项目总相关系数(CITC)、探索性和验证性因素分析方法、方差分析、描述性统计分析、相关分析、以及基于普通最小二乘法的多元回归分析方法进行企业动态能力多层次影响机制的检验。根据大样本的实证研究,论文发现以下研究结果：(1)企业动态能力是个多维度的研究构念,包括机会识别能力、整合重构能力、技术柔性能力和组织柔性能力四个维度。(2)企业动态能力的机会识别能力、整合重构能力和技术柔性能力对利用式创新活动有显著的正向影响关系,组织柔性能力和技术柔性能力对探索式创新有显著的正向影响关系；利用式创新与探索式创新对短期财务绩效和长期竞争优势都有显著的正向影响关系,并且无论从路径系数还是从显著程度上来看,利用式创新活动对短期财务绩效和长期竞争优势的正向影响都比探索式创新活动强。(3)利用式创新与探索式创新在企业动态能力和绩效间的中介效应关系得到了实证检验。利用式创新活动在机会识别能力与短期财务绩效间起中介效应；利用式创新活动在机会识别能力与长期竞争优势间起中介效应；利用式创新活动在整合重构能力与短期财务绩效间起中介效应；利用式创新活动在整合重构能力与长期竞争优势间起中介效应；利用式创新活动在技术柔性能力与短期财务绩效间起中介效应；利用式创新活动在技术柔性能力与长期竞争优势间起中介效应；探索式创新活动在组织柔性能力与长期竞争优势间起中介效应；探索式创新活动在技术柔性能力与长期竞争优势间起中介效应。(4)利用式创新和探索式创新的平衡效应会对长期竞争优势有显著的正向影响,也就是说,如果企业能够很好地对当前利用式创新活动和未来探索式创新活动进行良好平衡的话,企业会取得长期持续的竞争优势。(5)企业动态能力多层次影响机制也得到了实证检验。企业家个人层次的超前行动性维度和风险承担性维度、企业高层管理团队层次的共享愿景与社会整合维度、以及权变薪酬奖励体系维度、组织层次的资源存量维度与战略联盟维度、外部环境层次中市场动荡程度维度等对企业动态能力有正向的显著影响,外部环境层次中政府政策的动荡程度维度等对企业动态能力有负向的显著影响。此外,企业高层管理团队层次的权变薪酬奖励体系维度与组织层次的资源存量维度之间存在替代效应,而企业家个人层次的超前行动性维度与组织层次的资源存量维度之间存在互补效应。论文也存在着一些研究不足,由于受到时间、人力和物力的限制,以及研究对象和相应调查对象的特殊性,导致了搜集问卷异常困难,论文可能存在一些局限性。这些局限性在一定程度上可能会影响论文研究结论的代表性,这也是未来相关研究应该改进和拓展的地方。论文从研究样本的抽样程序、数量、发放地域、发放产业、数据质量等方面详细分析可能存在的局限性以及相应的改进方法,以便在将来的研究中进一步改进与完善。更多还原

【Abstract】 How to achieve matching between internal resources and rapidly changing external environments is fundamental research question in the field of strategic management. Based on oorganizational ecology, punctuated evolution, organizational learning, resource-based view, and dynamic capabilities view, we believe that a company has adaptability, which can sense and seize the opportunity in the evolutionary process of Variation-Selection-Retention, competing in mature market through improving existing capability by exploitative innovation, rivalize in new market through creative destruction by exploratory innovation, and recombine and integrate their asset bases and processes to adapt to market and technological changes.In the dissertation, we elaborate the origin of research question and significance of the research. The following part is literature review. We summarize the definition of dynamic capabilities, which is defined as the firm’s ability to integrate, build, and reconfigure internal and external competences to improve the operating capabilities and make further contribution to the adaption to the rapidly changing environments. Moreover, we conclude that the relationship between dynamic capabilities and performance, the influencing factor of dynamic capabilities, and application of dynamic capabilities. On the basis, we argue that we should explore the component of dynamic capabilities, performance mechanism of dynamic capabilities, and influencing factors of dynamic capabilities in multi-levels.About research methodology, we employ corrected-Item total correlation, exploratory and confirmative factor analysis to analyze the component of dynamic capabilities. Moreover, we adopt corrected-Item total correlation, exploratory and confirmative factor analysis, analysis of variances, descriptive analysis, correlation analysis, and PLS-based SEM to explore the performance mechanism. Finally, we use corrected-Item total correlation, exploratory and confirmative factor analysis, analysis of variances, descriptive analysis, correlation analysis, and OLS-based regression analysis to analyze the influencing factors of dynamic capabilities in multi-levels. Based on empirical study, we conclude the following results.First, dynamic capabilities are multi-dimension construct, which are divided into four dimensions, namely opportunities sensing capability, integration and reconfiguration capability, organizational flexibility capability, and technological flexibility capability. Second, opportunities sensing capability, integration and reconfiguration capability, and technological flexibility capability have positive effect on exploitative innovation. Organizational and technological flexibility capabilities have positive effect on exploratory innovation. Exploitative innovation and exploratory innovation have positive effect on short-term financial performance and long-term competitive advantage. On the effect, exploitative innovation is better than exploratory innovation.Third, exploitative innovation and exploratory innovation play the mediation effect between dynamic capabilities and performance. Exploitative innovation plays the mediation effect between opportunities sensing capability and short-term financial performance. Exploitative innovation plays the mediation effect between opportunities sensing capability and long-term competitive advantage. Exploitative innovation plays the mediation effect between integration and reconfiguration capability and short-term financial performance. Exploitative innovation plays the mediation effect between integration and reconfiguration capability and long-term competitive advantage. Exploitative innovation plays the mediation effect between technological flexibility capability and short-term financial performance. Exploitative innovation plays the mediation effect between technological flexibility capability and long-term competitive advantage. Exploratory innovation plays the mediation effect between organizational flexibility capability and long-term competitive advantage. Exploratory innovation plays the mediation effect between technological flexibility capability and long-term competitive advantage.Fourth, the balanced effect of exploitative innovation and exploratory innovation has positive effect on long-term competitive advantage. That is to say, a higher level of balance, or a closer match in the relative magnitude of exploitative and exploratory activities, contributes to firm performance through more structured control of performance risk. The failure to achieve a close balance between exploration and exploitation can leave a firm susceptible to either the risk of obsolesce or the risk of failure to appropriate. Conversely, striking a closer balance between the two types of activities enables a firm to avoid or better manage such performance-impairing risks.Fifth, we also verify the influencing factors of dynamic capabilities in multi-levels. Proactiveness and risk-taking in individual level, shared vision and social integration, and contingent rewards system in top management team level, resource stock and strategic alliance in organizational level, market turbulence in external environment have positive effect on dynamic capabilities. Moreover, contingent rewards system in top management team level and resource stock in organizational level substitute with each other. Proactiveness in individual level and resource stock in organizational level complement with each other.Finally, the dissertation summarizes the main conclusions. Contributions, practical and theoretical implications, limitations and future research are presented in the end.更多还原