【作者】 陈颖；

【导师】 吴晓波；

【作者基本信息】 浙江大学 ， 企业管理， 2014， 博士

【摘要】 中小企业在一个产业的演变,乃至国家的国民经济中发挥着重要的作用。而中小企业的发展又面临着资源紧缺、缺乏正式的内部流程、外部合法性较低等多种不利因素的限制。尽管以往的研究都意识到知识和学习对于中小企业获取竞争优势的重要性,但对于像中国这类转型经济体中的中小企业而言,后发追赶的技术情境和非连续、多层次的市场特性又提出了“是对新知识学习还是改善既有知识”的两难困局。组织二元性领域的相关研究认为企业可以通过结构分离、情境设计、领导行为和组织间网络来克服这一困境,然而,中小企业有着其特殊的情境,这类情境不仅影响着中小企业是否可以采用以上方式来实现组织二元性,还决定了其能否以低于收益的成本来实现组织二元性。在识别这些以往研究空白的基础上,本研究围绕着“中小企业组织二元性对企业绩效的影响机制”这一核心问题展开研究。通过将组织学习置于技术和市场两个领域,并引入“跨领域二元性”这一概念,本研究又细分为三个子研究：(1)中小企业专业化、单一领域二元性和跨领域二元性这三种战略行为对企业绩效有着怎样不同的作用；(2)中小企业外部的环境动态性如何调节专业化、单一领域二元性和跨领域二元性和企业绩效的关系；(3)中小企业内部的跨职能协作如何调节专业化、单一领域二元性和跨领域二元性和企业绩效的关系。本文结合采用了理论研究和实证研究,对以上三个子问题进行了逐步深入的论述。通过逻辑分析和理论推导,本文提出了“跨领域二元性”这一概念,并依据问卷调查的方法收集数据,进而采用探索性因子分析和验证性因子分析来检验测量的信度和效度,最后通过层次回归的方法得到了以下结论：第一、中小企业专业化、跨领域二元性和单一领域二元性对企业绩效有着不同的影响作用。基于197份中小企业的问卷数据,本研究发现,中小企业专业化和跨领域二元性对企业绩效的有着显著的正向作用。中小企业技术领域的二元性对企业绩效的作用不显著,中小企业市场领域的二元性对企业绩效有着显著的负向作用。第二、环境动态性是影响中小企业以上三种战略行为和企业绩效关系的重要情境因素。环境动态性负向调节中小企业完全利用和企业绩效的关系。环境动态性正向调节中小企业市场二元性和企业绩效的关系。环境动态性负向调节中小企业跨领域二元性和企业绩效的关系。第三、跨职能协作是影响中小企业以上三种战略行为和企业绩效关系的重要情境因素。跨职能协作正向调节中小企业完全探索和企业绩效的关系。跨职能协作正向调节技术二元性、市场二元性和企业绩效的关系。跨职能协作正向调节跨领域二元性和企业绩效的关系。以上的研究结论有助于更为深入的理解“中小企业组织二元性对企业绩效的影响机制”这一问题,具体而言,本研究有以下几个研究贡献：第一、提出了跨领域二元性这一概念,丰富和发展了平衡探索和利用的新途径。在以往结构分离、情境设计、领导行为和组织间网络等实现组织二元性的基础之上,本研究提出了跨领域,即在技术和市场两个领域平衡探索和利用的新途径。这一研究尝试不仅深化了组织二元性领域的理论内涵,还为中小企业在面临平衡困境时提供了新的思路和解决方式。第二、实证检验了中小企业三种战略行为对于企业绩效的不同作用机制,进一步拓展了组织二元性的适用范围。基于对中小企业特殊情境的关注,本研究实证检验了中小企业采用专业化(探索或利用的某一种)、单一领域二元性(技术或市场)、跨领域二元性三种行为对于企业绩效的不同作用机制,较好的回答了组织二元性是否有利于中小企业获取竞争优势这一问题,对组织二元性的适用条件进行了有益的补充和拓展。第三、从外部因素和内部因素考察了中小企业专业化、跨领域二元性和单一领域二元性对企业绩效影响作用的权变特征。通过引入环境动态性和跨职能协作这两个调节变量,本研究发现了中小企业上述三种战略行为和企业绩效的权变特征,有利于更为细致、深入地了解中小企业专业化、跨领域二元性和单一二元性对于企业绩效的影响机制。更多还原

【Abstract】 SMEs(Small and Medium-sized Enterprises)have played an important role in the industry evolution and national economy. However, due to the lack of resources, fomal management process and external legitimacy, the development of SMEs has its own limits. Although previous researches have paied attention to the role of knowledge and organizational learning of SMEs in obtaining competitive advantage, the unique context of transional economies such as China has provided learning dilemma to its SMEs. The late-comer’s technology catch-up context and the discontinuous, multi-layered market characteristics have raised the question "Should SMEs explore new knowledge or exploit its current knowledge". In order to resolve this conundrum, researches in organizational ambidexterity field have put forword structural separation, context designing, leadership and network as the mechanisms by which firms could realize ambidexterity. Nevertheless, SMEs have its own features, which indicate SMEs could not realize organization ambidexterity by the mechanisms above or could not realize ambidexterity at a low cost.Based on this research gap, this dissertation focuses on how SMEs organization ambidexterity influences its performance. Specifically, this research aims at exploring three questions:(1) How SMEs specialization, within domain ambidexterity and cross domain ambidexterity affect its performance;(2) How envirionmental dynamism moderates the relationship between SMEs specialization, within domain ambidexterity, cross-domain ambidexterity and performance;(3) How Inter-functional coordination moderates the relationship between SMEs specialization, within domain ambidexterity, cross domain ambidexterity and performance.Aiming at answering these questions, this research combines theoretical and empirical research methods. Firstly, through the logic analysis and theory derivation, we put forward the concept of cross domain ambidexterity. Then, data has been collected by a survey, and EFA and CFA have been used to testify the reliability and validity. Finally, the hierarchical regression results indicate the conclusions below:(1) SMEs specialization, within domain ambidexterity and cross-domain ambidexterity affect performance in different ways. SMEs specialization and cross-domain ambidexterity is positively related with performance. While within market domain ambidexterity has a negative effect on performance, within technology domain ambidexterity does not have a significant effect on performance.(2) Environmental dynamism significantly moderates the relationship between SMEs specialization, within domain ambidexterity, cross-domain ambidexterity and performance. Specifically, environmental dynamism negatively moderates the relationship between "pure exploitation" and performance. Besides, when the environmental dynamism is high, the negative relationship between within market domain ambidexterity and performance will be lower. Moreover, although the cross-domain ambidexterity has a positive effect on performance, when environmental dynamisn is high, this positive effect will be lower.(3) Inter-functional coordination significantly moderates the relationship between SMEs specialization, within domain ambidexterity, cross-domain ambidexterity and performance. Specifically, Inter-functional coordination positively moderates the relationship between "pure exploration" and performance. Similarly, Inter-functional coordination positively moderates the relationship between within domain and cross-domain ambidexterity and performance.The above research findings could deepen our understanding the relationship between SMEs organization ambidexterity and their performance. The main contributions of this research are as follows:Firstly, previous researches have put forward structural separation, context designing, leadership and network as the mechanisms of balancing the exploration and exploitation. By proposing the cross-domain ambidexterity, this research provides a new way of balancing expoloration and exploitation, which could enrich the meaning of ambidexterity and provide guidances in management practices.Secondly, this study has empirically compared the effect of SMEs specialization, within domain ambidexterity and cross-domain ambidexterity on performance. The research findings not only answer the question of whether organizational ambidexterity would benefit the SMEs, but also extend the theoretical boundary of organizational ambidexterity to some extent.Finally, this study has identified and empirically verified the contingent attributes of the relationship between SMEs specialization, within domain ambidexterity and cross-domain ambidexterity and performance by introducing the environemental dynamism and inter-functional coordination, which could help us deepen our understanding of the above three strategies of SMEs.更多还原