【作者】 谭敏；

【导师】 刘志迎；

【作者基本信息】 中国科学技术大学 ， 管理科学与工程， 2014， 博士

【副题名】创新二元性的前因、后果及调节

【摘要】 随着创新2.0时代的到来,技术创新已然成为企业获取竞争优势的重要途径。越来越多的企业将技术创新作为驱动企业长期发展的关键战略,创新战略的实施效果也由此成为企业关注的核心问题。探索式创新和利用式创新是两种不同的技术创新战略。前者是指大幅度的、激进式的创新活动,其目的在于探索新的可能性,强调突破现有知识基础。虽然探索式创新能够为企业带来新知识,但是过度地追求新知识或新技术会导致企业陷入“失败陷阱”。后者是指小幅度的、渐进式的创新活动,其目的在于对现状的改进,强调对现有知识的整合与利用。虽然利用式创新能够引导企业充分利用既有知识或技术,但是过分地关注和依赖现有技术会导致企业陷入“成功陷阱”。这就为企业技术创新管理实践提出了一个现实问题：如何突破企业技术创新的“失败陷阱”和“成功陷阱”?因此,为突破两类技术创新陷阱,越来越多的学者开始强调探索式创新与利用式创新平衡的必要性,“创新二元性”问题也由此得到了学术界的关注。本文在现有研究基础上,把握研究前沿、重视理论价值,主要关注的科学问题包括：(1)企业创新二元性的形成机理是什么?(2)企业创新二元性对企业绩效产生什么影响?(3)哪些情景因素调节创新二元性与企业绩效关系?具体而言,本研究基于二元组织理论、战略管理理论及领导理论,首先以领导行为和战略导向为研究切入点,分别揭示领导行为与战略导向对创新二元性的前因影响机制；然后实证检验创新二元性对企业绩效的影响作用；在此基础上,以二元组织文化为研究切入点,揭示二元组织文化在创新二元性与企业绩效关系中的调节机制。这些研究探索,较好地弥补了现有研究的不足。本研究得到的主要结论包括：1.领导行为对创新二元性的前因影响。从单一领导行为角度来看,个体领导的交易型领导行为和变革型领导行为,分别对后向组织学习过程和前向组织学习过程具有促进作用,由此对利用式创新和探索式创新产生影响,并最终影响组织创新二元性。回归分析结果也充分表明,单一的交易型领导行为或变革型领导行为与组织创新二元性存在显著的正向关系。从个体领导的行为整合角度来看,虽然单一的交易型领导行为或单一的变革型领导行为对创新二元性的具有促进作用,但个体领导对两种领导行为的有效整合,则更有利于组织创新二元性的实现。回归分析结果表明,交易型领导行为和变革型领导行为的交互作用对创新二元性具有显著的正向影响。此外,本文以中位数为分界点,将交易型领导和变革型领导分别分为高低两组,然后将其组合分为四种领导类型,通过方差分析研究个体领导行为整合对创新二元性的影响。方差分析结果表明,四类领导在企业创新二元性表现上具有显著差异。具体来说,当个体领导同时重视实施交易型领导行为和变革型领导行为的时候,企业能获取最高水平的创新二元性。因此,个体领导同时实施交易型领导行为和变革型领导行为对于创新二元性的实现具有至关重要的作用。2.战略导向对创新二元性的前因影响。从单一战略导向角度来看,组织的市场导向或技术导向,分别对创新二元性的利用式创新或探索式创新具有促进作用,由此影响组织创新二元性。回归分析结果也充分表明,单一的市场导向或技术导向与企业创新二元性具有显著的正向关系。从战略导向整合角度来看,虽然单一的市场导向或单一的技术导向对创新二元性均具有促进作用,但企业对两种战略导向的有效整合,则更有利于组织创新二元性的实现。回归分析结果表明,市场导向与技术导向的交互作用对创新二元性具有显著的正向影响。此外,本文进一步以中位数为分界点,将市场导向和技术导向分别分为高低两组,然后将其组合分为四种企业类型,通过方差分析研究战略导向整合对创新二元性的影响。方差分析结果表明,四类企业在创新二元性表现上具有显著差异。具体来说,当企业同时重视实施市场导向和技术导向的时候,企业能够获取最高水平的创新二元性。因此,企业同时实施不同战略导向对于创新二元性的实现具有至关重要的作用。3.创新二元性与企业绩效的关系。目前学术界关于创新二元性与企业绩效关系的研究结论呈现不一致性,一些研究支持创新二元性对企业绩效具有正向影响的观点,另一些研究则未证实两者之间的显著性正向关系。本研究以中国高新技术企业为研究对象,实证检验了创新二元性与企业绩效关系,回归分析结果也充分表明,创新二元性对企业绩效具有显著的正向影响。由此可见,企业同时实施探索式创新与利用式创新,对于提升企业绩效具有重要价值。4.创新二元性与企业绩效关系的调节机制。为了解释创新二元性与企业绩效实证研究结果的不一致,一些学者开始从权变视角出发,探讨创新二元性对绩效影响的调节机制。现有研究关注的调节变量主要有外部环境因素、社会网络因素和组织内部因素,鲜有研究探讨组织文化对创新二元性绩效效果的调节作用。本研究以组织文化为研究切入点,实证检验了二元组织文化在创新二元性与企业绩效关系中的调节机制,回归分析结果表明,二元组织文化在创新二元性与企业绩效关系中起正向调节作用。由此可见,从鼓励“组织多样性”和塑造“共同愿景”两个层面构建良好的二元组织文化,对强化创新二元性对企业绩效促进作用具有重要价值。更多还原

【Abstract】 Along with the innovation2.0time arrival, technology innovation has become an important way to acquire competitive advantage. More and more enterprises consider technological innovation as the key factor in driving their long-term development. The effect of the implementation of innovation strategy is an essential question that the enterprise concerns. Exploratory innovation and exploitative innovation are two different types of technology innovation strategy. Exploratory innovation refers to the substantial and radical innovation activities. The purpose of exploratory innovation is to explore new possibilities and break through the existing knowledge. It can bring new knowledge for the firm, but the excessive pursuit of new knowledge and technology will lead to "the failure trap". Exploitative innovation refers to the small and incremental innovation activities. The purpose of exploitative innovation lies in the improvement of the status quo. It emphasizes the integration and use of existing knowledge. While exploitative innovation can guide enterprises to make full use of the existing knowledge and technology, paying too much attention to the existing technology will lead to "the success trap". It presents a real problem for enterprises: how to break through the two kinds of trap? Therefore, more and more scholars have stressed the necessity of the balance of exploratory innovation and exploitative innovation From this innovation ambidexterity get more attention.Based on existing research, this paper mainly focuses on the following scientific problems including:(1) what is the formation mechanism of innovation ambidexterity?(2) How does innovation ambidexterity influence firm performance?(3) What factors moderate the relationship between innovation ambidexterity and firm performance? Specifically, based on ambidextrous organization theory, strategic management theory and leadership theory, this paper firstly explores the the effects of leadership and strategic orientation on innovation ambidexterity. Then it empirically studies the impact of innovation ambidexterity on firm performance. On this basis, this paper finally focuses on the moderating effect of ambidextrous organizational culture on the relationship between innovation ambidexterity and firm performance. The paper complements the lack of existing research. Following is the conclusion:1. The relationship between leadership and innovation ambidexterity. From the perspective of a single leadership behavior, transformational leadership behavior and transactional leadership behavior, which respectively promote the feed-forward learning flow and feedback learning flow, thus affect exploratory innovation and exploitative innovation, and ultimately affect innovation ambidexterity. The results of regression analysis also fully show that transactional leadership behavior and transformational leadership behavior relate significantly positively to innovation ambidexterity. From the perspective of the behavior integration, a single transactional leadership behavior or single transformational leadership behavior has a positive effect on innovation ambidexterity, but the integration of two kinds of leadership behaviors is more conductive to the realization of innovation ambidexterity. The results of regression analysis show that the interaction between transformational and transactional leadership is positively related to innovation ambidexterity. In addition, based on the median as the cut-off point, transactional leadership and transformational leadership can be divided into two groups, and the leaders are divided into four types. Then this paper uses analysis of variance to explore the effect of the integration of leadership behaviors on innovation ambidexterity. The results of analysis of variance indicate that the four types of leadership have significant differences in innovation ambidexterity. In particular, when individual leadership attaches great importance to the implementation of transactional leadership behavior and transformational leadership behavior, the firm can obtain the highest level of innovation ambidexterity. Therefore, the simultaneous implementation of transactional leadership behavior and transformational leadership behavior plays an important role in innovation ambidexterity.2. The relationship between strategic orientation and innovation ambidexterity. From the perspective of a single strategic orientation, technology orientation and market orientation, which respectively promote exploratory innovation and exploitative innovation, and ultimately affect innovation ambidexterity. The results of regression analysis also fully show that technology orientation and market orientation relate significantly positively to innovation ambidexterity. From the perspective of strategic orientation integration, a single technology orientation or single market orientation has a positive effect on innovation ambidexterity, but the integration of two kinds of strategic orientation is more conductive to the realization of innovation ambidexterity. The results of regression analysis show that the interaction between technology orientation and market orientation is positively related to innovation ambidexterity. In addition, based on the median as the cut-off point, technology orientation and market orientation can be divided into two groups, and the firms are divided into four types. Then this paper uses analysis of variance to explore the effect of the integration of strategic orientation on innovation ambidexterity. The results of analysis of variance indicate that the four types of firms have significant differences in innovation ambidexterity. In particular, when firm attaches great importance to the implementation of technology orientation and market orientation, it can obtain the highest level of innovation ambidexterity. Therefore, the simultaneous implementation of technology orientation and market orientation plays an important role in innovation ambidexterity.3. The relationship between innovation ambidexterity and firm performance. The present research conclusions presented heterogeneity that the relationship between innovation ambidexterity and firm performance were positive in some researches while they were not positive in others. Using a sample of Chinese high and new technology enterprises, this paper empirically studies the relationship between innovation ambidexterity and firm performance. The results of regression analysis show that innovation ambidexterity has significantly positive effects on firm performance. Therefore, the simultaneous implementation of exploratory innovation and exploitative innovation plays an important role in improving firm performance.4. The moderating mechanism of the relationship between innovation ambidexterity and firm performance. In order to explain the inconsistent conclusion, some scholars begin discussing the moderating mechanism of the relationship between innovation ambidexterity and firm performance from a contingency perspective. The existing research mainly focuses on the external environment factor, social network factor and organization factors. However, little research attention the moderating effect of organizational culture. This paper empirically studies the moderating effect of ambidextrous organizational culture. The results of regression analysis show that ambidextrous organizational culture positively moderates the relationship between innovation ambidexterity and firm performance. Therefore, encouraging "organizational diversity" and shaping "shared vision" plays an important role in strengthening the positive effect of innovation ambidexterity on firm performance.更多还原