【作者】 王志玮；

【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】 破坏性创新是一种适合于发展中国家实际情况的创新方法,已成为一种重要的自主创新模式和实现企业跨越式发展的重要途径。低端破坏和逆向创新的逻辑,对大量正在为原材料成本高涨、廉价劳动力资源衰减而陷入困境的中国企业来说,是一种能激发巨大想象力的商业逻辑。开放式创新为创新管理提供了一种全新的思维模式,企业应该打破传统封闭的组织疆界,广泛的向外界获取创新的源泉。开放式创新至关重要的目标是获取在组织间流动的外部知识,通过对外部知识的利用获得封闭式创新不可能获得的成功。面对开放创新下丰富的外部知识源,发展中国家企业该如何充分利用开放式创新带来的“机会窗口”,以实现“破坏性的创新与增长”?这是一个具有重要现实意义的课题。遗憾的是,现有的理论并未对此进行系统性的分析与探讨,不能为企业实践给出具有指导意义的管理对策与建议。本文以破坏性创新为研究对象,从组织间知识网络关系角度切入,围绕开放式创新下,企业“如何管理外部知识网络以促进企业的破坏性创新”为核心问题展开研究。为了阐释这个核心问题,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。本文在以下方面进行了分层次的、逐步深入的、创新性的研究：第一,从“嵌入性”视角分析企业“自我中心型”的外部知识网络,探讨企业通过“结构性”和“关系性”的嵌入组织外部知识网络的机制,即通过嵌入知识网络的交易制度安排,来聚集、整合外部网络的知识资源。第二,经过理论预设、案例选择、数据收集与数据分析,对四家企业进行了探索性案例研究,初步探寻外部知识网络嵌入性对破坏性创新绩效的影响机制,提出企业外部知识网络嵌入性并不能直接提升破坏性创新绩效,而是通过企业自身的吸收能力起作用的观点。第三,结合现有研究展开理论探讨,分别构建外部知识网络“结构嵌入性”对企业破坏性创新绩效影响机制的概念模型和外部知识网络“关系嵌入性”对企业破坏性创新绩效影响机制的概念模型。通过对251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、构建并验证相关测度量表,采用结构方程建模的方法对两个概念模型进行拟合、检验与修正,深入剖析外部知识网络嵌入性通过吸收能力,进而正向作用于破坏性创新绩效的影响机制。第四,为了探寻企业怎样获得“破坏性创新”的“持续成功”,基于实证研究结果,我们将外部知识网络嵌入性对破坏性创新绩效与维持性创新绩效不同的影响机制进行对比研究。探讨企业为了获得持续创新的成功,在从破坏性创新向维持性创新转变的过程中,在外部知识网络的管理与控制上、在吸收能力不同维度的培养上,应该做怎样相应的改变与调整。通过上述研究工作,本文得出如下主要结论：(1)外部知识网络嵌入性通过吸收能力,促进企业破坏性创新绩效。具体而言,是通过两条途径起作用的。路径一：外部知识网络中心性—→识别获取能力—→破坏性创新绩效。路径二：外部知识网络关系质量—→识别获取能力—→破坏性创新绩效。因此,在企业的吸收能力中,对破坏性创新起作用的是识别获取能力。企业若想获得高绩效的破坏性创新,必须特别注重对外部知识、信息的识别获取能力的培养。在外部知识网络的管控方面,企业应特别注重主动构建自我中心型的外部知识网络,在网络结构上主动占据中心地位,并维持一个高关系质量的外部知识网络,这将有利于培育企业的识别获取能力,进而促进破坏性创新绩效。(2)对比研究的结果发现,虽然外部知识网络也是通过吸收能力对维持性创新起作用,但其具体的路径与破坏性创新完全不同。在企业的吸收能力中,对维持性创新起作用的是消化吸收能力与应用开发能力,而企业的识别获取能力对维持性创新没有直接作用。此外,外部知识网络嵌入性中除网络位差外的所有维度都可以对维持性创新形成促进作用,只是,这些都是通过消化吸收能力、应用开发能力的中介机制起作用的。外部知识网络规模、联结强度对企业的消化吸收能力、应用开发能力都有直接的促进作用。因此,从动态管控的角度分析,当企业获得初步破坏性创新成功后需要向维持性创新转变以获得持续的成功。相应的,在外部知识网络的管控上,应当从初期聚焦于网络中心性和关系质量向网络规模、联结强度均衡发展。在吸收能力的培育上,也应当从最初重点放在识别获取能力转向消化吸收能力、应用开发能力并重。(3)本文定量论证了吸收能力是一个多维度动态能力的观点,即吸收能力是一个从识别获取能力—→消化吸收能力—→应用开发能力的动态过程,消化吸收能力在识别获取能力与应用开发能力之间起部分中介效应。本文的理论和实证研究成果丰富并完善了开放式创新理论、破坏性创新理论、知识网络理论和吸收能力理论。在知识资源全球化的开放式创新下,本研究为发展中国家企业如何构建与管理外部知识网络,更加有效的吸收有价值的知识,发挥后发优势,实现破坏性创新的持续发展提供了全新的、切实可行的视角与思路。更多还原

【Abstract】 Disruptive innovation is a suitable innovative approach for developing countries, which is an important mode of indigenous innovation and an important way for enterprises to achieve rapid development. The logic of low-end disruptors and reverse innovation is provoking great imagination for the Chinese enterprises which are facing the rising of raw material costs and the weakening of cheap labor resources.Open innovation provides a new mode of thinking for innovation management, which appeals enterprises to break the traditional boundaries of a closed organization and to absorb external sources of innovation. The vital goal of open innovation is to obtain the external knowledge which flows between organizations and make most use of this knowledge to win the tremendous success which won’ t happen to "closed innovation".It is an issue of practical significance to research how enterprises in developing countries take full advantage of "windows of opportunity" to achieve disruptive innovation and sustainable growth, considering the richness of external knowledge sources under open innovation. Unfortunately, the existing theory has not conducted a systematic analysis and discussion, and cannot give helpful management strategies and suggestions to guide business practice. This paper takes the perspective of inter-organization knowledge networks in open innovation and explores how the enterprises manage their external knowledge network to facilitate disruptive innovation.To illustrate the core issue, this dissertation conducts innovative research by combination of theoretical study and empirical study, literature review and investigation, as well as qualitative research and quantitative research.Firstly, base on literature review, this dissertation take the perspective of "embeddedness" of enterprise to explore the "self-centered" external knowledge network mechanism and discuss how enterprises can recognize, assimilate and integrate external knowledge by structural embedded and relational embedded in the external knowledge network.Secondly, base on literature review, the dissertation brings forward a primary theoretical supposition, and then conducts four explorative case studies of Chinese firms to conclude with an initial theoretical framework of influence mechanism of external knowledge network embeddedness on the performance of disruptive innovation.Thirdly, based on the above research, this study proposes two conceptual models of mechanism which illustrate how external knowledge network impacts innovation performance from two perspectives, "structural embeddedness" and "relationship embeddedness".251 Chinese companies are investigated via questionnaires, and Explorative Factor Analysis (EFA) and Confirmatory Factor Analysis (CFA) are conducted to establish and verify the measures, and Structural Equation Modeling (SEM) is applied to testify and modify the concept model. The result shows that the embeddedness of external knowledge networks can promote disruptive innovation performance through absorptive capacity.Fourthly, to explore how enterprise could gain sustainable success by disruptive innovation, the dissertation conduct a comparative study to discover how the embeddedness of external knowledge networks influence disruptive innovation performance and sustainable innovation performance differently. By doing so, we may give managerial suggestions to promote sustainable innovations after the initial success of disruptive innovation.Drawing on the above research, some conclusions can be presented as follows: (1) The embeddedness of the external knowledge networks promotes disruptive innovation performance through enterprises absorptive capacity, in detail, in two ways. Path 1:the centrality of external knowledge network→recognition& acquisition capability→disruptive innovation performance. Path 2:the relational quality of external knowledge networking→recognition& acquisition capability→disruptive innovation performance. Embeddedness of external knowledge network influences disruptive innovation performance indirectly through the mediating role of the ability of recognizing and obtaining knowledge. Therefore, it is the ability to recognize and obtain the knowledge of enterprises that actually affects the disruptive innovation. To achieve high performance in disruptive innovation, the enterprise should pay particular attention to foster the ability to recognize and obtain external knowledge and information. In terms of the control of the external knowledge networks, the enterprises should pay particular attention to occupy the central position in the structure of the external knowledge networks and maintain a high quality relationship in the external knowledge networks.(2) The comparison results of the study shows that the mechanism of embeddedness of external knowledge networks influencing disruptive innovation performance and sustainable innovation performance are different. Centrality and relation quality of external knowledge network influences disruptive innovation performance indirectly through the mediating role of recognition& acquisition capability. By contrast, not only centrality and relation quality but also network sizes and connection frequency of external knowledge network will all influences sustainalbe innovation performance indirectly through the mediating role of assimilation & transformation capacity and application & development capability. In a practical and sustainable view, after the success of initial disruptive innovation companies should turn for sustainable innovation to achieve greater success. Accordingly they should adjust their management focus both on embeddedness of external knowledge network and absorptive capabilities.(3) This paper quantitatively demonstrates that the absorptive capacity is a dynamic capability with three dimensions. It is a dynamic process including:a) the recognition & acquisition capability; b) assimilation & transformation capacity; c) application & development capability. The assimilation & transformation capacity play a partial mediating role in recognition& acquisition capability and application & development capability.The theoretical and empirical research results of this paper enrich and improve the theory of open innovation, disruptive innovation, knowledge network theory and the theory of absorptive capacity. With globalization of knowledge resources and the openness of innovation, this paper provides new and practical perspectives on how to build and manage external knowledge networks to foster absorptive capabilities and to achieve disruptive innovation success for the enterprises in developing countries.更多还原