【作者】 张枢盛；

【导师】 陈继祥；

【作者基本信息】 上海交通大学 ， 企业管理， 2014， 博士

【摘要】 随着经济全球化、网络经济和知识经济的迅猛发展及全球竞争的加剧，我国在经过三十多年的经济快速发展后，经济面临全面的转型、产业结构面临全面升级的压力，以创新带动产业转型升级为特征的新一轮经济发展势在必行。过去我们实行的引进来、市场换技术的发展模式，已经不能适用我国迫切的技术创新、产业链高端延伸和优化出口产品结构的需求。由于跨国公司垄断了高端、核心技术的技术，并实施技术梯度转移等战略，我国的技术进步是线性而缓慢的，难以实现跨越式的技术进步和实现跨越式的追赶。同时，中国制造的高端工作回流到美国本土，低端工作正在转移到其他发展中国家，而且美国实际上已经取代中国成为世界制造工厂，现实情形非常严峻。在这样的大背景下，海归回国创业的同时也带回了先进的发展理念、融资方式和管理模式。海归企业在各行业发展迅速，推动了IT、通讯、新技术、互联网、新经济等诸多领域的发展，而且通过技术革新使得传统产业具有新的活力。海归企业通过技术创新直接推动经济发展，同时也带动和提升了我国的企业文化，海归企业已经逐步成为我国新经济和高科技产业的中坚力量之一。目前管理学中国本土化的研究发展迅速，从而引出了社会文化的情境性作用及西方相关管理理论适用性的问题。西方社会网络理论的本土化研究在社会学和管理学都有所展开，但是对比和综合的研究还相对缺乏。关于中国海归企业的学术研究，则严重滞后于现实状况。目前关于中国海归企业的研究文献比较少，已有的文献研究对海归企业的国际社会网络及技术创新等问题有所涉及，但是关于中国海归企业的技术创新和发展模式等问题的相关文献则比较匮乏，对于海归企业的国内社会网络的研究还是空白。因此，本文以中国海归企业为研究样本，结合海归独有的优势和特征，较为系统地分析了基于二元网络的中国海归企业组织学习对技术创新绩效的影响机制，并回答了以下几个问题：（1）海归企业二元网络的内在差异机理是什么？（2）二元网络对企业组织学习的作用机制如何？（3）海归企业组织学习对技术创新绩效的作用机制如何？（4）技术和市场不确定性对企业组织学习和技术创新绩效关系的影响机理如何？为了回答这些问题，本文结合调查问卷和案例等方法，进行了以下相应的研究，主要包括（1）结合社会学的社会网络和社会文化等相关理论，遵循社会文化差异到信任差异再到社会网络差异的逻辑，系统深入的分析了海归企业二元网络的内在差异机理，从而为海归企业二元网络的测量建立了理论基础；（2）在文献分析和海归企业二元网络机理的基础上，提出了相关的假设，构建了基于结构方程的概念模型。然后通过问卷调查和结构方程分析等方法，对假设进行了验证；（3）在前述研究的基础上，引入了市场不确定性和技术不确定性两个行业环境变量，通过数据分析验证了组织学习与技术创新绩效之间的权变关系；（4）最后通过跨案例方法对二元网络、组织学习和技术创新之间的关系进行了验证。通过分析研究，本文得出以下结论：（1）海归企业的二元网络对组织学习与技术创新绩效的正向影响。研究发现，就国外社会网络的特征变量结构洞和联结强度而言，结构洞的直接影响和间接影响都不显著，而联结强度对技术创新绩效的直接影响和间接影响显著。联结强度对技术创新的间接影响说明国外社会网络的联结强度促进了利用性学习，从而促进了技术创新绩效。直接影响说明联结强度可以直接促进技术创新绩效。但是联结强度对探索性学习有一定的阻碍作用。总体而言，国外社会网络对海归企业的影响主要集中在联结强度这一维度，而且总体上较好的促进了企业的技术创新绩效。就国内社会网络特征变量的政府关系和商业关系而言，政府关系和商业关系的直接影响都不显著，而通过利用性学习的间接影响都显著,说明对技术创新绩效的正向影响均完全通过利用性学习较好的促进了企业的技术创新绩效。商业关系对探索性学习的作用不显著，说明通过探索性学习的间接影响不存在，即探索性学习对商业关系对技术创新绩效的中介作用不存在。总体而言，国内社会网络对海归企业技术创新绩效的影响主要集中在组织的利用性学习。（2）海归企业组织学习的内部负向作用及对技术创新绩效的正向影响。利用性学习对技术创新绩效的作用和探索性学习对技术创新绩效的作用都是显著的正向作用，说明海归企业的组织学习明显促进了企业的技术创新绩效。而且利用性学习的影响系数明显大于探索性学习的影响系数。就探索性学习和利用性学习之间的关系而言，探索性学习对利用性学习的作用为负向显著，说明二者之间存在对立关系。（3）海归企业组织学习对技术创新绩效的权变影响。组织学习对技术创新绩效的权变影响主要是由于市场不确定性和技术不确定性造成的。本研究主要考察在不确定性高即市场和技术波动大和不确定性低即市场和技术比较稳定的情形下，组织学习对技术创新影响的变化状况。结果显示，市场不确定性和技术不确定性两个调节变量都负向调节利用性学习对技术创新绩效的作用关系，正向调节探索性学习和技术创新绩效的关系。也就是说在市场和技术高不确定性的情形下，加强探索性学习更能促进技术创新绩效，而在市场和技术较稳定的情形下，加强利用性学习更能促进技术创新绩效，这也为企业平衡探索性学习和利用性学习提供了一定的指导。本文研究的贡献主要包括：(1)以往的研究均是在不同的社会文化环境下，对不同主体的社会网络分别进行研究，本文首先引入了二元网络的概念，将同一主体同时具有的两个不同的社会网络纳入研究。从本土化的管理研究视角出发，在一定程度上整合了社会网络和关系的相关理论，将不同的测量方式纳入研究框架，构建了二元网络理论，更贴近海归企业的社会现实情形，是一种理论整合运用的尝试。(2)本文结合社会网络理论和组织学习理论，构建了海归企业的技术创新机制框架，通过基于国内外社会网络的不同度量方式，深入剖析了海归企业基于二元网络并以组织学习为中介的技术创新机制，对中国海归企业的发展模式研究建立了一定的基础。(3)由于海归企业集聚在高科技行业，而高科技行业不同于传统行业和其他行业，技术发展迅速，而且需要跟踪国外前沿的最新发展，同时要适应多变的市场，因而技术和市场不确定性波动比较大。本文则聚焦于这种行业特征，揭示了市场和技术不确定性对组织学习和技术创新绩效关系的权变作用，在一定程度上建立了海归企业探索性学习和利用性学习的平衡理论。本文研究的实践启示包括：(1)海归企业应该加强跨文化的学习，实施在中国情境下的再本土化，从而适应中国本土化的经营环境。(2)海归企业应充分发挥国外社会网络优势，并着力打造国内社会网络。(3)海归企业应根据不同的产业环境平衡组织学习，培养权变管理能力。政府应在政策制定上，根据相关行业状况，适当支持海归企业的探索性学习。(4)政府和企业应联手打造海归企业集群，实施整体突进，增强和发挥海归企业的集群化优势，基于产业链的来进行资源的优化配置。更多还原

【Abstract】 With the economic globalization, the rapid development of network economy andknowledge economy and intense global competition, after more than30years of rapideconomic development in our country, the economy is in urgent need of the comprehensivetransformation, a comprehensive upgrade of industrial structure and a new round of economicdevelopment characterized by the industry transformation and upgrade driven by innovationsof is imperative. The model of "introduction of technology "and "Market for Technology "have already not suit for technology innovation, industry chain extension to high-end andoptimizing the structure of export products, because gradient transfer strategy ofmonopolying high-end and the core technology of multinational company, our country’stechnological progress is linear and slow, then difficuty to make leapfrog technologicalprogress and realize leap-forward pursuing. At the same time, high-end manufacturing jobsback to the United States, the low end jobs are transferring to other developing countries, andthe US actually has overtaken China as the world manufacturing factory, the reality is veryserious.In such a background, returnees come back and entrepreneur, promote industrydevelopment of the new economy, new technology, the Internet, IT, communication et al,inject vitality into the many traditional industries, returnee enterprise experience rapiddevelopment, they bring new enterprise management mode, financing mode and developmentphilosophy, and directly promote economic development through technological innovation,but also lead and promote the corporate culture in our country, the returnee enterprise havegradually become one of the backbone of the new economy and high-tech industries in ChinaIndigenous research in Chinese management is developing rapidly, which leads to thecontextual function of social culture and the issue of the applicability of Western managementtheory.Study on the Indigenous research of the Western social network theory in sociologyand management has expanded, but systemic and comparative study is lack. And currentlyacademic research about returnee enterprise serious lag behind reality, especially literatureabout technology innovation and development mode of China returnee enterprises is scarce.Therefore, taking returnee enterprise as the research sample, using various methods, andcombining unique advantages and characteristics of returnee enterprise, comparativelysystematically analysis and verify the mechanism of organizational learning impact on technology innovation performance based on ambidextrous network of returnee enterprise,then answer the following questions：1) What is the mechanism of intrinsic differences in theambidextrous network of the returnee enterprise?(2) What is the mechanism of theambidextrous network impact on organization learning?(3) What is the mechanism of theorganization learning impact on technology innovation performance of the returnee enterprise?(4) What is the mechanism of the technology and market uncertainty impact on therelationship between organizational learning and technology innovation performance?To answer these questions, this article make the following the corresponding researchcombined with the methods of questionnaire and case study, mainly including (1) accordingto the related theory of social network and social culture of sociology, follow the social andcultural differences to trust differences,then social network differences in logic, analysis theinherent differences of ambidextrous network in-depth, thus establish the theoreticalfoundation of ambidextrous network of returnees enterprise;(2) based on the literatureanalysis and the mechanism of ambidextrous network, puts forward the relevant hypothesis,the concept of structural equation model of concept model is constructed. Through themethods of questionnaire and structural equation analysis, the hypothesis is verified;(3) onthe basis of the foregoing research, the introduction of market and technology uncertaintyenvironment variables, through data analysis to verify the contingency of the relationshipbetween organizational learning and innovation performance;(4) the last step is to verify arelationship among ambidextrous network, organization learning and technology innovationby the method of multiple cases study.Through the above research, we get the following conclusions:(1) Positive influence ofambidextrous network of the returnee enterprise on organizational learning and technologyinnovation performance.Study found that as for the characteristic variables of overseas socialnetworks, structural holes direct influence and indirect influence on technology innovationperformance is not significant, and the connection strength direct influence and indirectinfluence is significant. Indirect effect of connection strength shows overseas social networkpromotes the organizational learning, so as to promote the technology innovationperformance. Direct effect of the connection strength show connection strength can directlypromote the technological innovation performance. But there is slight negative impact of theconnection strength on explorative study. Overall, overseas social network of returneesenterprises mainly focused on the influence of connection strength, and influence ofconnection strength have a positive influence on technology innovation performance.As forthe characteristic variables of domestic social network, direct effects of the government andbusiness relations are not significant, and indirect effects through exploitive learning aresignificant show that positive influence of the government and business relations ontechnology innovation performance are completely through the use of exploitive learning andthen promote the enterprise technology innovation performance. The impact of Businessrelations on exploratory study is not significant, shows no indirect effects through exploratorylearning exists, namely mediating impact of the exploratory study on relationship between business relationships and technology innovation performance does not exist. In general, theinfluence of domestic social network on returnee enterprises mainly focused on the influenceof the organization exploitive study on technology innovation performance.(2) Internalnegative influence of organizational learning of returnee enterprise and positive influence oforganizational learning on technology innovation performance.Positive effects of exploratorystudy and exploitive study on the technology innovation performance are significant, showthat organizational learning of returnee enterprise significantly promotes the technologyinnovation performance. And the influence coefficient of exploitive study is significantlygreater than the influence coefficient of exploratory study. As for the relationship betweenexploratory study and exploitive study, the impact of exploratory study on exploitive study isnegative significantly, it show the opposite relation does exist between exploratory study andexploitive study.(3) Contingent effect of organization learning of returnee enterprise ontechnology innovation performance.Contingent effect of Organizational learning ontechnology innovation performance is mainly due to the market uncertainty and technologicaluncertainty. This study is to investigate the change of relation between organizationallearning and technology innovation performance under the conditions of the high uncertaintyand low uncertainty. According to the results, market uncertainty and technologicaluncertainty both negatively moderate relation between exploitive study and technologyinnovation performance, both positively moderate relation between exploratory study andtechnology innovation performance. That is to say, in the case of the high market and thetechnology uncertainty, strengthening the exploratory study more can promote thetechnological innovation performance, and in the case of relatively stable situation,strengthening the exploitive study more can promote the technological innovationperformance, this also provides some guidance for balancing the exploitive study andexploratory study.These research results indicate that, this paper makes a little contribution in thefollowing areas:（1）Previous researchs are about the social networks of subjects in differentsocial and cultural environment respectively. This paper first introduced the concept ofambidextrous network to study the two different social networks of the same subject at thesame time. From the localization of the management study perspective, to a certain extent,integrating with theory of social networks and guanxi, taking the different measure methodinto the research framework, builds the theory of ambidextrous network, closely reflect to thereality of returnee enterprise, it is an attempt to integrate different theories（.2）Combining thetheory of social network and organizational learning theory to study the technologyinnovation mechanism of returnee enterprise.Based on organizational learning and socialnetwork theory, this paper analyzes the impact mechanism of ambidextrous social network ofthe returnee enterprise on organizational learning. Especially through the different measureway of social networks domestic and oversea, investigates the mediation mechanism oforganizational learning of technology innovation based on ambidextrous network of thereturnee enterprise.(3)Returnee enterprises gathered in the high-tech industry where is different from traditional industry and other industries, technology is developing rapidly inhigh-tech industry and the need to track the latest development of frontier abroad, at the sametime to adapt to the changeful market, technology and market uncertainty are change greatly.This study focuse on the characteristics of high-tech industry, reveals the contingent effect oforganization learning of returnee enterprise on technology innovation performance due totechnology and market uncertainty, and establish the balance mechanism of exploratory studyand exploitive study of the returnee enterprise to a certain extent.Our study have some implications to practitioners and policy makers:(1)Returneeenterprises should strengthen cross-cultural management learning, implementreacclimatization in Chinese context, so as to adapt to the local business environment.(2)Returnee enterprises should give full play to the advantage of overseas social networks andfocus on expanding internal social network.(3) Returnee enterprises should be based on avariety of industry environment to balance organizational learning and develop the capacityof contingency management. The Government should appropriately support the exploratorystudy of Returnee enterprises in accordance with the relevant industry conditions.(4) TheGovernment and Returnee enterprises should join forces to build enterprise clusters andReturnee enterprises should make progress as a whole, enhance and play advantage ofenterprise cluster and optimize the allocation of resources based on industry chain.更多还原