【作者】 陈茜；

【导师】 刘志迎；

【作者基本信息】 中国科学技术大学 ， 工商管理， 2018， 博士

【摘要】 技术作为推动经济内生增长的核心要素,对产业升级和企业发展有着决定性作用。特别是随着我国经济进入新常态,全面推进技术创新的发展模式在商业体系中迅速兴起,企业必须牢牢把握技术发展脉络,将短期经济效益与长期竞争优势进行有机协调,才能在经济转型背景下实现永续经营和基业长青。短期收益提升依赖于创新效率提高与产品改良升级,与利用性创新密切相关,而远期价值增值则依赖于由探索性创新带来的创新柔性。探索性创新与利用性创新在资源配置、认知方式、·运营结构等方面存在很多矛盾与冲突,企业实现创新二元性需要面对诸多挑战。如何制定高瞻远瞩的技术创新战略,达成探索性创新与利用性创新在组织内的平衡与协调,推进创新二元性的实现,是企业亟需解决的关键问题。因此,揭示创新二元性的实现机制,探讨创新二元性的形成机理,已经成为企业和学术界的关键研究课题。企业实现创新二元性的关键是要解决稀缺资源在探索性创新和利用性创新之间的竞争性分配问题。这为企业带来了两个层面的挑战。第一个层面是高管团队认知层面。高管团队需要将稀缺资源在两种竞争性创新活动之间进行合理配置,从而推动创新二元性战略的实现。第二个层面是组织层面的资源获取。除了通过高管团队对稀缺资源进行合理配置,企业也需要通过扩大资源储备量的方式,保障对利用性和探索性创新的创新资源供给。因此,本文选取高管团队交互记忆系统与企业开放式创新,从高管团队认知资源与企业创新开放两个视角出发,分别探讨两者及其共同作用对创新二元性的影响机制。特别是近年来,交互记忆系统在高管团队认知领域中的应用已引起学者们的广泛关注,但其对创新二元性的影响机理仍缺乏深入的探讨。另外,虽然学者们已经证明开放式创新对企业创新的积极影响,但先前研究多是探究某种特定的开放活动对企业创新的影响,鲜有文章系统讨论开放式创新与创新二元性之间的关系和内在机理,企业如何在开放中扩大创新资源储备以满足不同的战略需求是理论界亟需解决的问题。因此,探究高管团队交互记忆系统、企业开放式创新及两者的交互作用与创新二元性的关系及影响机理,有助于系统揭示创新二元性的实现机制。高阶理论和知识基础观为本研究提供了理论框架。探索性创新与利用性创新都是以知识为基础的创新活动。知识基础观指出,企业通过开放性活动从外部获取创新知识,能够有效提高技术能力并增加企业的稀缺资源储备量。高阶理论是解释高管团队对组织战略影响机制的框架,该理论认为组织内资源的利用和分配,以及企业战略的选择和制定均取决于高管团队的认知资源;高阶理论的权变视角也将高管团队的认知资源视为影响企业开放活动有效性的权变因素,认为高管团队通过对外部资源进行评估、选择并应用于相应战略,能够有效提高由企业开放带来的创新价值和收益。因此,本研究基于高阶理论和知识基础观,详细探讨了高管团队交互记忆系统、企业开放式创新对创新二元性的作用机制,以及两者交互作用对创新二元性的影响。本文以探究创新二元性的实现机制为主线,以创新二元性理论、高阶理论和知识基础观为基础,结合交互记忆系统理论、开放式创新理论、共享式领导理论、目标导向理论等相关文献,从以下三部分内容进行研究:(1)探究高管团队交互记忆系统对创新二元性的作用机制,同时检验共享式领导行为在两者关系间的中介作用,探讨高管团队不同类型的目标导向对这一过程的调节作用;(2)探究内向式开放式创新、外向式开放式创新对创新二元性的作用效果,并检验组织学习型目标导向在两者关系间的中介作用;(3)探究高管团队交互记忆系统在企业开放式创新与创新二元性关系中发挥的调节作用,以及高管团队外部建议搜寻对交互记忆系统调节作用的权变影响。通过以上三项研究,揭示高管团队交互记忆系统和企业开放式创新对创新二元性的影响机理,并验证企业开放式创新与高管团队交互记忆系统的交互作用对创新二元性的影响机理。本研究通过问卷调研法和实证分析法,利用多元回归分析、结构方程模型对相关假设进行检验,得出的主要结论包括:(1)高管团队交互记忆系统对企业创新二元性具有正向影响,高管团队共享式领导行为在交互记忆系统与创新二元性的关系间发挥着中介作用。团队学习型目标导向或绩效趋近型目标导向越强,交互记忆系统对共享式领导行为的影响越大,相应的对创新二元性的促进作用越强,然而绩效规避型目标导向在交互记忆系统和共享式领导关系中的调节作用不显著。(2)企业内向式开放式创新对创新二元性的实现有正向影响,外向式开放式创新也对创新二元性具有正向影响。组织学习型目标导向在内向式开放式创新与创新二元性、外向型开放式创新与创新二元性的关系间起到显著的中介作用。(3)高管团队交互记忆系统在开放式创新与创新二元性的关系间起到显著正向调节作用,当高管团队交互记忆系统越强时,内向式开放式创新与创新二元性的关系越强,且外向式开放式创新对创新二元性的正向影响也越强。高管团队外部建议搜寻正向调节交互记忆系统对开放式创新与创新二元新之间关系的调节作用,当高管团队进行外部建议搜寻时,交互记忆系统的正向调节作用会被增强。本研究的理论贡献包括:(1)揭示了高管团队实现创新二元性区分与整合要求的内在机理,拓展了高阶理论的应用,从理论上阐释了高管团队认知资源对企业创新战略的影响,提供了从高管团队认知领域出发研究创新二元性实现机制的新思路。(2)阐释了跨组织的知识流动在区分和整合企业知识库方面的重要作用,明确了组织文化与开放式创新的共生关系,对理解开放型企业的技术创新实现路径、从企业开放的视角完善创新二元性实现机制,进一步揭示组织内、外部因素对实现创新二元性区分与整合机制的互补作用,具有一定创新性。(3)证实了高管团队认知资源对企业开放性活动有效性的权变影响提供了理解企业创新开放与高管团队认知资源共同作用影响创新二元性的新视角。本文的研究结论为企业管理者构建分布式认识结构、鼓励高管团队进行集体决策、积极引进外部知识并进行外部商业化、营造以学习为目标导向的组织氛围提供了实践依据与决策指导。更多还原

【Abstract】 As the key element which can promote economic growth,technology plays an important role in industrial upgrading and enterprise development.In particular,as the economy of China has entered the new normal,technological innovation has been famous in the business system.Under the situation that the economic system is changing,firms must follow the trend of technological development and organically coordinate short-term economic benefits and long-term competitive advantages in order to achieve success.The increase of short-term revenue depends on the improvement of innovation efficiency and the upgrading of products,and is closely related to the achievement of exploitative innovation.The long-term value-added depends on the flexibility of innovation which is the outcome of exploratory innovation.Exploratory innovation and exploitative innovation make some tensions and conflicts in resource allocation,cognitive style,and operational structure.The achievement of innovation ambidexterity provides many challenges to the company.How to formulate a far-sighted innovation strategy,achieve the balance and coordination of exploratory innovation and exploitative innovation within an organization,and promote the realization of the innovation ambidexterity are the key issues that firms need to solve urgently.Therefore,exploring the realization mechanism of innovation ambidexterity has become a crucial research subject for firms and scholars.Innovation ambidexterity literature suggests that if firms want to realize innovation ambidexterity,they must resolve the tension in the allocation of scarce resources between exploratory and exploitative innovations.This brings two challenges to the company.The first challenge is at the cognitive level of the top management team.The top management team needs to rationally allocate scarce resources between the two competitive innovation activities so as to promote the realization of innovation ambidexterity.The second challenge is the acquisition of resources at the organizational level.In addition to the rational allocation of scarce resources by top management teams,companies also need to meet the different needs of innovative resources between exploratory innovation and exploitative innovation through expanding the amount of resource reserves.In this study,we focus on the transactive memory system in top management teams and open innovation of the enterprise.From the perspectives of the top management team’s cognitive resources and enterprise open activities,we explore the influence mechanisms of each and their interactive effect on innovation ambidexterity.Particularly,in recent years,the application of transactive memory system in the cognitive field of top management team has attracted widespread attention,but its effects on innovation ambidexterity is still lacking in-depth discussion.In addition,although scholars have already demonstrated the positive impact of open innovation on innovation-related outcomes,most of the previous research is based on a specific form of open innovation to explore its impact on innovation performance.There are very few articles systematically discussing the relationship between open innovation and innovation ambidexterity.How firms expand their resource reserves through open activities to meet the different strategic needs is an urgent issue for the theoretical literature.Therefore,exploring the mechanisms of the top management team’s transactive memory system and open innovation on innovation ambidexterity has great theoretical value and practical contributions.Upper echelons theory and knowledge-based view provide the theoretical framework for this study.The knowledge-based view suggests that firms can effectively expand their scarce resources reserves by obtaining necessary resources from outside and improving their technological capabilities through open activities.Upper echelons theory is the framework that explains the top team’s decision-making mechanism for organizational strategy and performance.This theory suggests that the use and distribution of resources within an organization,as well as the selection and formulation of corporate strategies,are all dependent on the cognitive resources of the top management team;The contingency perspective of upper echelons theory also considers the cognitive resources of the senior management team as contingent factors that affect the effectiveness of firms’ open activities.Scholars agree that the top management team can effectively improve the value and benefits of open activities by evaluating,selecting and applying the external resources to the corresponding strategies.Therefore,based on upper echelons theory and knowledge-based view,this study explores the effects of top team’s transactive memory system,open innovation,and their interactive influence on innovation ambidexterity.Taking the realization mechanism of innovation ambidexterity as the main line,based on the innovation ambidexterity literature,upper echelons theory,and knowledge-based view,and combining theory and viewpoints such as transactive memory system,open innovation,goal orientation,and shared leadership,this article conducts three studies:(1)Examining the influence mechanism of the top team’s transactive memory system on innovation ambidexterity,analyzing the mediating role of shared leadership behaviors,and exploring the moderating role of the different types of team goal orientation;(2)Exploring the effects of inbound open innovation and outbound open innovation on innovation ambidexterity,and analyzing the mediating role of organizational learning goal orientation;(3)Exploring the moderating role of top team’s transactive memory system on the relationship between the open innovation and innovation ambidexterity,and then investigating the contingency role of the top team external advice seeking on the effects of transactive memory system.Based on the above three studies,the influence mechanism of top team’s transactive memory system and firm’s open innovation on innovation ambidexterity will be revealed,and their interaction mechanism on the attainment of innovation ambidexterity will be validated.Through questionnaire survey and empirical analysis,this study used multiple regression analysis and structural equation modeling to test related hypotheses.The results and contributions are as following:(1)Top management team’s transactive memory system is positively related to innovation ambidexterity,and shared leadership mediates the relationship between transactive memory system and ambidexterity.The higher the top team learning goal orientation or performance approach goal orientation,the stronger the relationship between transactive memory system and shared leadership,and subsequently,higher levels of ambidexterity.The moderating effect of team performance avoidance goal orientation on the relationship between transactive memory system and shared leadership is not verified.(2)Firm’s inbound open innovation has a positive relationship with ambidexterity,and outbound open innovation also has a positive impact on innovation ambidexterity.The organizational learning goal acts as a significant mediation between inbound open innovation and innovation ambidexterity,outbound open innovation and innovation ambidexterity.(3)The top team’s transactive memory system plays a significantly positive moderating role in the relationship between open innovation and innovation ambidexterity.When the top team’s transactive memory system is stronger,the relationship between inbound open innovation and innovation ambidexterity will be stronger,and the stronger is the positive effect of outbound open innovation on innovation ambidexterity.The top team external advice seeking positively moderate on the impact of transactive memory system on the relationship between open innovation and innovation ambidexterity.When the top team conducts higher levels of external advice seeking,the positive moderating effect of transactive memory system is expected to increase.The theoretical contributions are:(1)Revealing the underlying mechanism of how top management teams address the requirement of differentiation and integration for ambidexterity,expanding the application of upper echelons theory,explaining the effects of the top team’s cognitive resources on the company’s innovation strategy,and thus providing a new thought for answering the question of how to achieve innovation ambidexterity from the perspective of top management team’s cognition.(2)Explaining the important role of cross-organizational knowledge flows in differentiating and integrating the firm’s knowledge bases,and clarifying the symbiotic relationship between open innovation and organizational culture;This study makes some contributions in understanding the path of technological innovation in open firms and how to achieve ambidexterity through open activities.(3)Confirming that the top management team’s cognitive resources influence the effectiveness of the firm’s open innovation practices,further revealing the complementary effects of internal and external factors in addressing the the requirement of differentiation and integration for ambidexterity,and providing a new perspective to understand how the interaction between the firm’s open innovation practices and the top team’s cognitive resources determines the attainment of innovation ambidexterity.The conclusions of this article provide practical basis and decision-making guidance for corporate managers to construct distributed cognitive structure,encourage top management teams to make collective decisions,actively import external knowledge and implement external commercialization,and create a learning-oriented organizational atmosphere.更多还原