基于开放式创新的技术学习协同与机理研究

【作者】 朱朝晖；

【导师】 陈劲；

【作者基本信息】 浙江大学 ， 管理科学与工程， 2007， 博士

【摘要】 技术创新是企业生存和发展的灵魂。我国企业自主创新能力薄弱,已经成为经济可持续发展的桎梏。国际化和开放式的创新模式,赋予了中国企业极好的机会,可以更广泛、更深入地学习国内外的技术资源,集成全球优势因素提升创新能力和竞争能力。但是国际化和开放只是给中国企业提供了新的机会,并不意味着所有企业都能够在国际化和开放创新过程中获得同样有意义的发展。技术学习的不足和技术学习模式的错位,是当今许多中国企业创新能力落后的根本原因之一。探讨开放式创新模式下,企业如何通过有效的技术学习提升自主创新能力,具有战略性的现实意义。本文正是围绕这一核心问题展开研究。March在1991提出探索性学习和挖掘性学习及其平衡的理论后,探索性学习和挖掘性学习成为组织学习研究的新热点。但是现有的研究更多地集中于探讨两类学习的对立及其企业如何实现平衡上,没有研究者系统地探讨两者之间的协同和动态过程,以及两类学习对创新绩效的作用机理和路径。因此,研究探索性学习和挖掘性学习的协同和作用机理对完善组织学习理论和提供创新实践指导都是十分必要的。在明确了研究背景和研究目标后,作者提出了要解决的主要问题:探索性技术学习和挖掘性技术学习对创新绩效的影响;探索性技术学习和挖掘性技术学习的协同和动态;探索性技术学习和挖掘性技术学习的机理和路径。为解决上述问题,作者在文献研究的基础上,对浙江、江苏、广州等地的20多家企业进行实地调研和深入访谈,并进行了大样本的问卷调查,采用典型案例分析、数理统计和结构方程建模相结合的方法进行研究。本文的主要研究内容和研究成果为以下几个方面:一、组织的持续创新需要多领域的技术能力,这种能力只有通过长期的探索性技术学习和挖掘性技术学习的共同作用获得。基于开放式创新的理论视角,本文首先分析了开放式创新模式对企业获取资源方式的改变,多种外部资源的使用攻破了内部资源稀缺所带来的限制。因此,探索性技术学习和挖掘性技术学习并不是相互对立的,它们之间存在一定的相互依赖性和互补性,企业可以并且需要同时强调探索性技术学习和挖掘性技术学习,并得以提升企业的创新绩效。二、创新需要探索性技术学习和挖掘性技术学习的协同,但这种协同并不是如以前研究者所建议的寻找一个理想的混合比例或者对两者进行资源配置的平衡百分点。本文以U-A模型为基础,结合案例分析和方差分析研究了两类学习的动态。结果表明,从技术创新的变动阶段、过渡阶段到特定阶段,探索性技术学习的重要性程度显著下降;挖掘性技术学习在特定阶段的重要性程度达到最高,其中从过渡阶段与特定阶段,挖掘性技术学习的重要性程度显著提高。因此,企业必须根据技术创新的动态调整他们的探索性技术学习和挖掘性技术学习,而不是保持两类学习的恒定比例。三、采用SEM结构方程建模和经典统计方法对探索性技术学习和挖掘性技术学习促进创新绩效的内在作用机制和路径进行了实证分析,研究结果表明:探索性技术学习和挖掘性技术学习对创新绩效具有显著影响;而两类学习又受到组织战略和领导支持、组织的学习文化、知识的转换和整合机制、内部资源因素、外部企业技术源和外部专业技术源的影响,组织需要全面协同改善自身能够控制的这些因素,并根据不同的学习动态有选择地强调某些因素,从而促进长期的探索性技术学习和挖掘性技术学习的协同,进而提高企业的创新绩效。四、采用多元回归分析,探讨了外部环境的动荡对技术学习和创新绩效的关系的调控性影响。研究结果表明,外部环境的动荡程度对探索性技术学习和创新绩效的关系存在着调控性影响,而对挖掘性技术学习和创新绩效的关系并没有显著的调控性影响。无论环境动荡程度如何,挖掘性技术学习都是企业创新所必不可少的。在环境比较稳定的情况下,企业可以主要通过提炼和重组现有的技术知识获得利益的保障。而在变化的、不稳定的环境下,企业还需要探索新的领域,重新配置现有的资源,开发新的能力。更多还原

【Abstract】 Technological innovation is the soul of enterprises for their survival and development. Weakness of Chinese enterprises in indigenous innovation is becoming the shackle of sustainable development. International and open innovation paradigm brings great opportunity for Chinese enterprises to learn technology from domestic and overseas more abroad and deeply, and then integrate international advantage to promote the innovation capability and competitive position. Nevertheless, the opportunity company with international and open innovation does not mean that all enterprises can develop themselves significantly. One of the underlying causations, which result in the undeveloped innovation capability, is the insufficiency and inaccuracy of technological learning. Therefore, it is of strategic practical significance for us to study how enterprises to promote indigenous innovation through effective technological learning under open innovation. This research is carried through around this important problem.Since the publication of March’s pioneering article, the term "exploration" and "exploitation" have increasing come to dominate analyses of organizational learning. Nevertheless, these researches focus more attention to the contradiction between explorative learning and exploitative learning and how to balance them, there’s nearly no researcher to probe into the synergy and dynamics of these two different learning, or their mechanism and path to facilitate innovation performance. So, it is of great significance to study the synergy and mechanism of explorative learning and exploitative learning to development organization learning theoretic system and provide useful practical direction.Based on these backgrounds, this thesis is tried to analyze the following problems. (1) The impact of explorative and exploitative learning on innovation performance. (2) The synergy and dynamics of these two different learning. (3) The mechanism and path of explorative and exploitative learning to facilitate innovation performance. To settle these problems, based on literature research, the author implements research through field investigations and interviews more than twenty enterprises located in Zhejiang, Jiangsu and Guangzhou, and a big-sample questionnaire investigation. With typical case study, mathematic statistic and SEM model, the main contents and results of this research are listed as follows:Firstly, in order to maintain sustainable innovation, organizations need to integrate multi-domain technological capabilities which can cultivate only through combining explorative learning and exploitative learning in long term. Based on the theory of open innovation, this thesis analyzes the impact of open innovation on the paradigm for enterprises to obtain sources, and suggests that access to external resources considerably eases the constraint imposed on organization by the scarcity of internal resources. Consequently, instead of contradiction, there is interdependence and complementary between exploration and exploitation, and enterprises can and need to insist these two different learning types similarly, and then facilitate their innovation.Secondly, sustainable innovation needs synergy of exploration and exploitation in technological learning, but it neither means a perfect rate of two kinds of learning, nor a balance percentage for organization to allocate resources. Based on the U-A dynamic pattern of innovation, through case study and variance analysis, this thesis explores the dynamics of two kind of learning. It is found, that the importance of explorative technological learning descend significantly from fluid, transition to specific stages, while the exploitative one achieves the most important in specific stages. So, it is suggested for enterprises to modulate their exploration and exploitation in technological learning according the dynamics of technological innovation, instead of maintaining an invariable proportion.Thirdly, Structural Equation Modeling (SEM) and classical statistic analysis are used to discuss the mechanism of explorative and exploitative technological learning. The result of empirical research manifests that explorative and exploitative technological learning can facilitate innovation performance significantly; meanwhile, the two kinds of technological learning are affected by the organization strategy and the supports from leaders, the organizational culture which supporting technological learning, the mechanism of knowledge transform and integration, internal resources, and external resources. So, in order to accelerate the synergy between two kinds of technological learning and then promote enterprises innovation, it is suggested that enterprises needs to combine with these controllable factors, and attach more importance to some factors selectively according to the dynamics of learning.Fourthly, through multiple regression analysis, the circumstance turbulence’s modulatory effect on the relation between technological learning and innovation performance. It shows that the turbulence of circumstances has modulatory effect on the relation between explorative technological learning and innovation performance, but has no modulatory effect on the relation between exploitative technological learning and innovation performance. This result suggests that exploitation in technological learning is of the same importance regardless the extent of the circumstance turbulence. In environments with little competitive pressure, enterprises can profit from refining and recombining their existing technological knowledge; while in changing and volatile environments, enterprises must consciously focus on exploring new technology and renewing their resource stock in order to sustain their competitive position.更多还原