【作者】 江毅；

【导师】 赵晶；

【作者基本信息】 中国地质大学 ， 管理科学与工程， 2013， 博士

【副题名】IT竞争力向动态能力的转化

【摘要】 随着因特网及衍生的电子商务技术的出现,企业的分销渠道和相关的商业模式和商务活动都将受到影响。电子商务在企业和渠道伙伴间的应用,使企业的渠道管理和营销行为呈现出新的特点,能够更深入地感知市场动态和客户需求,因此给企业提供了获得新的价值创造机会。然而,随着IT与企业间商务流程的嵌套,当前许多用来检验IT价值的商务模型常表现出与不断变化的商业现实的不同步性。一个重要的原因在于许多企业管理者并不能有效地剥离IT技术与传统的商务功能,不能明晰IT是如何通过影响企业各种商务活动,进而帮助企业创造价值。同时,当前企业仍旧将优化传统业务流程作为使用IT的主要目的,并没有从战略竞争的角度合理有效地进行IT应用,也因此不能明晰IT是如何通过响应动态市场,进而帮助企业创造价值。与此同时,许多企业在展开企业间IT应用时,忽视了对企业间因素在实施新技术过程中的协调控制,加之市场环境的动荡,企业似乎无法将基于IT的动态能力与变化的市场实现有效地契合,从而导致电子商务的实施效果不甚理想。由此可见,在动态环境下,企业间通过IT应用创造价值的过程涵盖了商务提升、企业间管理、环境适配等多个难以控制的机制,本文则试图明晰这一复杂的过程,来帮助企业管理者更清楚地了解动态环境下的IT价值创造路径。信息系统领域、供应链领域和营销领域的学者针对这一议题也已开始了相关的研究。IS领域的学者关注到单个企业和企业间的相关变量对价值产生的直接作用,如IT资源、能力及其它互补性因素等,偏重IT在企业间合作流程中削减流程成本、优化流程结构的作用,而忽视了IT对改善合作关系、应对市场变化等商务功能的变革作用。供应链领域和营销领域对企业间IT应用的研究更关注于提升企业交流、协同和治理商务的交互行为,以及对企业获取竞争优势的影响,关系结构也出现了交互或调节的作用关系。但是,由于各自领域研究角度的限制,尚未从IT技术、企业间管理与市场环境的整合视角研究企业IT价值的形成过程,未能认知技术能力向动态能力转化过程中复杂的协调控制关系和关联作用规律,因而表现出与不断变化的商业实践的不同步性,也无法全面揭示企业间如何利用IT展开竞争行为以及在什么条件下创造价值。本研究首先对当前IT价值的主要构念和研究范式进行梳理,对当前研究进展和分析逻辑进行总结,尤其是针对企业间IT应用研究分别从IS领域、供应链领域和营销领域的主要议题进行综述,分析当前主流的研究特点以及局限性。在此基础上,总结了与企业间IT价值创造相关的主要理论,包括动态能力理论、扩展的资源基础理论和权变理论,进而提出本研究的研究框架。本研究提出由IT竞争力、动态能力和竞争绩效二个结构维度以及关系治理、市场环境两个调节维度构成的研究框架。其中IT竞争力主要反映企业间IT应用的技术特征,包括流程合作能力和知识共享能力：动态能力则强调企业感知和响应动态市场的商务特征,包括关系能力、企业敏捷和运作创新。该框架试图探究企业通过IT嵌入合作流程形成IT竞争力后,如何形成适应不断变化市场的动态能力,展开竞争活动,进而提升企业的竞争绩效。研究框架将动态环境下的IT价值创造过程共分为两个阶段：动态能力的形成阶段和竞争绩效的形成阶段,分别代表了企业间的IT应用过程和市场竞争过程。具体地,动态能力的形成阶段体现为IT竞争力和动态能力两个维度之间的转换过程,涵盖了企业在新兴IT技术下,技术能力和动态能力之间的转化关系,反映了技术能力对商务环节的变革作用,其中纳入调节维度企业间关系治理探究其对该过程的权变影响；竞争绩效的形成阶段则重点描述动态能力产生竞争绩效的关联作用关系,并纳入市场环境维度,考量动态能力和环境的适配机制,揭示企业如何在动态的市场环境中利用动态能力展开竞争行为,进而创造价值。依据研究框架,提出本研究的三个实证研究内容：动态环境下的企业IT价值创造过程的阶段特征和作用机制、关系治理在企业间IT应用过程中的调节作用机制,以及动态能力和市场环境的适配作用机制,并根据研究内容分别提出相应的理论假设。本研究基于184家企业的调查数据,采用OLS回归方法分阶段分析动态能力的形成过程和竞争绩效的产生过程,通过偏最小二乘PLS建模方法对企业价值创造路径进行整体分析：采用调节效应分析,分别验证企业间关系治理和市场环境对企业间IT应用过程和市场竞争过程的权变影响。主要得出以下三个方面的研究结论：1、动态环境下的IT价值创造路径包括两个阶段：动态能力的形成阶段和竞争绩效的形成阶段,分别描述了企业间的IT应用过程和市场竞争过程。这两个阶段前后衔接,揭示了企业从IT技术应用到IT的商务效果直至价值创造的过程。具体地,动态能力的形成阶段体现为流程合作能力和知识共享能力对关系能力、企业敏捷和运作创新的直接作用关系,这一过程反映了企业间IT应用过程中技术能力对动态能力的变革作用机制,其中知识共享能力在该转化过程中起到了核心作用；竞争绩效的形成阶段则重点描述了企业的关系能力、企业敏捷和运作创新对竞争绩效的直接作用关系。该结论证明了企业需要通过流程合作和知识共享,构建企业IT竞争力,进而促进企业间协同,提升企业对外部市场的敏捷能力,以及企业自身的运作创新能力,最终产生价值的作用关系。该结论重新界定了IT使能的企业电子商务变革效应以及在动态环境中获取价值的路径,体现了动态能力作为关键中介能力的变革和动态作用特征,较全面地反映了动态环境下的IT价值创造的阶段特征和作用机制。2、企业间IT应用过程中,企业间关系治理对流程合作能力具有调节作用,并促进了流程合作能力在IT应用过程中对关系能力和企业敏捷的直接作用。该结论从企业间关系的独特视角,论证了关系治理对动态能力形成过程的影响,区别于当前以企业内生能力为主的动态能力研究,为解释动态能力的形成过程增添了新的研究思路。同时,结论也印证了诸多理论对于企业间合作关系作用的阐述,如关系理论提出组织的关键资源可能会在组织边界之外,企业与伙伴如果做一些特定关系资产投资,并且以统一的方式整合资源,就能够提高价值链的生产率,因此这种联系有可能成为竞争优势的来源；扩展的资源基础理论认为合作关系可以通过整合参与合作企业所拥有的独特能力或者特权来创造出新的稀缺的和不可模仿的能力。而从实证结果看,关系治理既是企业间IT应用过程的催化剂,也是动态能力的直接使能者。这表明了伙伴关系的维持和发展,有利于建立稳定的企业间战略合作联盟,帮助企业通过合作关系获取伙伴的各种有价资源,以响应不断变化的市场。3、本文通过分别验证产品复杂和市场竞争对动态能力的调节效应发现,产品复杂促进了企业敏捷对竞争绩效的正向作用,市场竞争抑制了关系能力对竞争绩效的正向作用,而促进了运作创新对竞争绩效的正向作用。该结论证实了动态能力和市场环境之间存在一种适配作用机制,影响着企业IT价值的形成。其特征表现在不同动态能力在不同的市场环境下对竞争绩效存在不同的作用效果。这种针对不同商务流程的复杂的权变影响在先前的研究中并未被研究者认识到,是本研究的首次发现。虽然先前已有部分学者研究了环境因素对价值的权变影响,如Eve D.Rosenzweig针对产品复杂、环境丰富和市场变动对企业电子化合作的权变作用进行了实证研究；Karthik等人发现了需求不确定性、产品动荡和B2B供应链整合三方交互对企业绩效具有负面影响。但这些研究主要围绕着企业IT应用过程探究市场环境的调节作用,而本研究将价值创造过程划分为企业间IT应用过程和市场竞争过程,纳入的产品复杂和市场竞争两个环境变量主要作用于市场竞争过程,事实上,企业的竞争活动与市场波动更加紧密和具有关联性,且对企业管理者更加具有实践指导意义。本研究的创新点主要表现为：1、本研究将基于IT的能力区分为表示IT功能的IT竞争力和表示商务功能的动态能力,从而深入剖分IT竞争力和动态能力之间的转换过程,重新界定了IT使能的企业电子商务变革效应以及在动态环境中获取价值的路径,并同时考虑了企业间关系治理和市场环境两个调节维度对价值形成过程的权变影响,诠释了企业间技术应用、战略竞争、关系治理以及环境适配等多种复杂的行为特征。本研究框架不仅突破了当前以业务流程优化为IT应用核心的单一研究模式,同时也拓展了当前IT价值研究模型在动态环境中的应用。2、本研究创新性地引入不同类型的动态能力作为企业价值创造的重要中介维度,并通过实证分析论证了以关系能力、企业敏捷和运作创新为核心的具有下游渠道销售特征的动态能力对价值创造的作用关系。虽然当前不少研究认可了动态能力和企业竞争优势之间的关系,但缺乏足够的实证证据加以验证,相关研究多以IT灵活性或供应链敏捷等某一角度探究企业如何通过IT响应市场变化。本研究从IT的战略应用角度,基于动态能力的三类主要特征进行变量选择和设计,体现企业间IT应用在不同方面的商务变革作用,不仅丰富了动态能力理论的相关研究,同时对于企业管理者剖析IT价值获取的来源路径更具有重要的创新意义。3、本研究纳入了产品复杂和市场竞争两个环境调节变量,发现市场环境对企业的竞争活动既有正向的促进作用,也有负向的抑制作用。在产品复杂和市场竞争较高的市场环境下,企业需要积极发展敏捷和创新能力,将促进形成企业的竞争绩效;而企业的关系能力在市场竞争强度较高的环境下,其对竞争绩效的作用却会受到抑制。该结论不仅丰富了先前研究关于市场环境对绩效作用的相关结论,也是首次关注到市场环境和不同层面的动态能力之间的适配作用,更突出了市场环境自身的复杂特性对企业展开竞争活动所带来的诸多不确定性,从动态的角度阐述了不同动态能力在不同环境下的适配过程,在理论和实践中都具有重要的创新意义。本研究是对企业下游渠道中与渠道销售伙伴合作创造价值过程的新探索,通过揭示商务能力的IT化过程,不仅扩展了当前电子商务价值理论的研究,将IT技术与商务管理有机地结合在一起,同时考虑了合作环境下企业间关系治理以及产品复杂和市场竞争等环境因素的调节作用,丰富了当前合作价值及其竞争优势的相关研究,具有重要的学术价值。与此同时,本文通过大量的案例调查,紧密地接触到我国供应链下游企业的管理实践,研究结论更具有管理实践意义,通过剖析企业与下游伙伴之间的IT应用过程和市场竞争过程,对促进我国相关行业的电子商务发展具有十分重要的指导意义。更多还原

【Abstract】 As internet and ebusiness technology appear, firms" distribution channel and related business activities will be influnced. The application of ebusiness among firms and their channel partners makes the channel management and marketing take on many new characteristics and respond to dynamic market and customer demand and then get the new value. However, as IT embedded into related business activities more closely, many business models about IT value can’t reflect the reality of business. Managers can’t divide the information technology from traditional business function and can’t know clearly how IT influences all kinds of business activities and then gain competitive advantage. Meanwhile, firms usually omit the leveraging control in the process of applying new technology when firms make IT application among firms. Also with dynamic environment, it seems that firms couldn’t make a fit between IT-based business capabilities and dynamic market. So the process of gaining competitive advantage covers a chain of mechanisms to control difficultely, including business improvement, interfirm management and respond to environment. The target of this study is to probe into such a complex process, to help managers understand the creative path of competitive advantage.Part of research to this topic has been appeared in IS field, supply chain field and marketing field. The research in IS field focused on the direct effect of related variables of single firm and firms, such as IT resources, IT capability and other complementary factors. These research emphasize the effects of IT on decreasing process cost and optimizing process structure in inter collaborative process but omit the effects on improving collaborative relationship and reacting environment. The research in supply chain field and marketing field focus on the effect of IT on improving interfirm communication and cooperation and interactive relationship began to appear in research. But these researches haven’t explored the creative process of business value of IT from the perspective of integration of IT, interfirm relationship and environment. Some complex leveraging control and relationship in the transiting process between technology capability and business capability cann’t be known. Many managers can’t indicate how and when firms gain competitive advantage by applying IT.This study summarizes the main research mode of business value of IT and research on interfirm IT application from IS field, supply chain field and marketing field, and analyzes the main characteristics and limitation. And then the study summarizes some main therories on business value of IT, including dynamic capability view, extended resource-based view and contingency theory, and finaly constructs the research framework.The research framework is made up of IT compentency, dynamic capability, competitive advantage, relationship governance and market environment. The whole framework is divided into two stages:the creative stage of dynamic capability and the creative stage of competitive performance. Specificly, the creative stage of dynamic capability describes the transformative process from IT competency to dynamic capability, covers the relationship between technology capabitily and business capability and reflects the innovated effect of techonogy to businesss activities; The creative stage of competitive performance focuses on the relationship of creating value by dynamic capability and the fit with environment. It indicates how firms can use dynamic capability to make competitive actions in dynamic environment.Based on the practice of inter firm collaborative ebusiness, this research framework proves the transformative process from IT competency to emergent business capability and then creates competitive performance from the perspecitive of information, knowledge and relationship. It rethinks the path of gaining value by IT-enablcd ebusiness innovation under dynamic environment. It has innovativeness in structure and variables. From the structure, the transformative process between IT compentency and dynamic capability indicates the innovation and dynamic effects of these inmediated capabilties; From the variables, the interactive and sharing effects of IT extends the traditional meaning to explain the process of intcrfirm IT application from a new perspective. Therefore, this new framework can reflect such a complex process in the round.Next, three empirical content based on the research framework are presented:the stage characteristics and mechanism of the creative process of competitive performance by interfirm IT application, the moderating effect of relationship governance on the process of interfirm IT application and the fit mechanism between dynamic capability and environment.Based on survey datas from184firms, this study used OLS regression analysis to examine the creative stage of dynamic capability and the creative stage of competitive performance, and then used PI.S to prove the whole creative path of firms" competitive performance. Finally, this study analysed the moderating effect of relationship governance (in the process of interfirm IT application) and market environment (in the market competitive process). The main results are shown as below:1. The creative process of interfirm business value of IT in dynamic environment is made up of two stages:the creative stage of dynamic capability (interfirm IT application process) and the creative stage of competitive performance (market competitive process). Specificly, the creative stage of dynamic capability describes the transformative process from process collaborative capability and knowledge sharing capability to relational capability, firm agility and operational innovation. It reflects the innovative mechanism of technology capability to business capability in the process of interfirm IT application. The creative stage of competitive performance focuses on the relationship between emergent business capabitliy and competitive performance and the fit between business capabitliy and environment in this process. This result proved the transformative relationship from IT competency to emergent business capabitliy and the process of gaining competitive performance, emphasized the mediating effect of emergent business capabilities.2. There exists a moderating effect of interfirm relationship government to process collaborative capabitliy and it improves the effect on rational capabitliy and firm agility from process collaborative capabitliy in the process of IT application. This result supported the agreement about interfirm collaborative relationship in many theories, for example, relational view indicated that the key resource may exist outside of organizasional boundry and if firm makes some investment on specific relational assets and integrates inner and outer resources, it will increase the productive efficiency on value-chain as such relationship may become the source of competitive performance; Resource-base view indicated that collaborative relationship can create scarce and inimitable capabitliy by integrating specifice capabitliy and resource of partners. From the results, we can find that partner relationship is not only the catalysator of interfirm IT application, but also has the direct effect on emergent business capabitliy. It indicates that the formation and development of partner relationship is good for steady interfirm strategy alinement and gaining all kinds of valuable resources from collaborative partner.3. From the moderating analysis of product complex and market competence, it is found that product complex improves the positive effect from firm agility to competitive perfonnance and market competence restrains the positive effect of relational capabitliy and improves the positive effect of operational innovation on competitive perfonnance. This result proved that there exists a fit mechanism to influence the creation of competitive and it embodys that different business capabilities will have different effects on competitive performance under different market environment.Such a complex contingency influence focusing on different business process hasn’t been presented in prior research. That’s the first discover in my research though some research mentioned the contingency effect of environment. For example, Eve D. Rosenzweig did some research on the contingency effect from product complex, environment munificence and market variability on firm’s e-collaboration; Karthik N.S. lye et al. found that the interaction of demand uncertainty, product turbulence and B2B supply chain integration has a neglect effect on firm perfonnance.The innovativenesses of this studv are summarized as below:1. This study divied the business capability from technology capabitliy and analysed their relationship and its effect on competitive performance, probe into the complex process of value creation in dynamic environment. Meanwhile, we added two moderating variables:relationshipo governance and market environment and explain the complex traits of interfinn IT application, strategic competitive actions, relationship governance and environment fit. Such a framework extends the prior research mode which focus on operational process.2. This study added the key mediating variables of dynamic capaibities of three kinds and analyzes the relationship from relational capability, firm agility and operational innovation to value creation. Although prior research has much aggrement on the relationship between dynamic capability and competitive advantage, it still lacks enough empirical research to support them. And much research mainly focus on IT flexibility or supply chain agilty to examine how firms can respond the change of market. This study chooses three main traits of dynamic capability to stand different aspects of business innovation by IT application. It extends the research of dynamic capability and has innmovative implication for managers to understand the complex path of value creation.3. This study considered the moderating effects of product complex and market competency and found market environment has not only positive effect but also negative effect on performance. This result enriched prior results of some research on market environment and perfonnance and highlighted the complex traits of market environment and the fit process of different business capabitliy.This study is a new exploration on co-creation process between firms and downstream channel partners. It extends the prior research by combining IT technology and business management and emphasized the moderating effects of interfinn relationship governance and market competency. Meanwhile, this study focused on Chinese new supply chain management with ebusiness technology and it will be good for summarizing the mechanism of value creation and improving industry structure optimization.更多还原