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论文编号：	14084
作者编号：	1120180937
上传时间：	2023/6/8 22:21:22
中文题目：	企业绩效反馈对数字创新的影响研究 ——基于企业行为理论的解释
英文题目：	Research on the Effect of Firms’ Performance Feedback on Digital Innovation ——An Explanation Based on the Behavioral Theory of the Firm
指导老师：	张玉利
中文关键字：	数字创新；企业行为理论；绩效反馈；数字创新外部合作；向上竞争期望
英文关键字：	Digital innovation; Behavioral theory of the firm; Performance feedback; External cooperation on digital innovation; Upward competitive expectation
中文摘要：	数字创新是新一轮科技革命与产业变革的重要突破口。从国家战略布局来看，数字创新将从根本上推动全球科技、产业和经济力量的重新配置已经成为全球共识，数字创新也因此成为各国竞相争抢的国际竞争制高点。就企业发展实践而言，通过数字创新培育可持续竞争优势，也是企业以创新精神创造长期价值的关键。然而，企业发展数字创新也面临着“知易行难”困局。数字创新推进并非易事，其于企业而言也绝不是一个理所当然的战略选择，有关企业因何会真正下定决心开展数字创新的问题应该受到关注。同时，立足于实践观察，企业对数字创新的态度并非一味高涨，而是会随着自身经营状况以及发展需求进行灵活的动态调整。面对数字创新，做多少，怎么做，何时做，都是企业需要权衡的现实抉择难题。 已有研究强调了数字创新在构建组织长期竞争力、运营效率提升等方面展现出的优势，并据此主要从组织准备、组织形态、组织特征以及组织外部环境因素等方面对可能影响企业数字创新的因素进行了探讨，认为理解企业如何更好地投入与实施数字创新是当前工作的重点。然而，这种预设分析思路也导致了一些潜在的研究不足。一方面，已有研究大多遵循的是一种“事后假设”，默认数字创新对于企业发展绝对有益，试图从“如何（How）”或“通过何种方式/手段（By What）”等行动先决条件思路对有关组织如何更好地实施和推进数字创新进行探讨，而缺少探究企业为何（Why）会开展数字创新的具体研究。另一方面，前述研究偏好也相当于隐含地假定企业管理者为了完成数字创新目标，会理性地配置或准备组织资源与能力，而忽略了管理者的有限理性。基于此，未来研究有必要对企业开展数字创新的内生动机予以考察。 本研究主要围绕如下两个紧密关联且层层递进的研究问题展开分析。其一，核心研究问题是，中国制造业企业决定开展数字创新的动机是什么？具体地，本研究尝试从企业行为理论视角切入，探讨企业的绩效表现反馈会如何影响企业对数字创新的决策？其二，在前述核心研究问题的基础上，一个延伸研究问题是，企业为何会以外部合作的方式推进数字创新？具体地，企业在入局数字创新后，其绩效参照策略是否会发生调整？以及这种调整又将如何影响企业数字创新外部合作的参与强度？ 紧扣上述研究问题，首先系统性回顾了数字创新研究领域的发展情况，以及企业行为理论的研究演化。其次，通过对中国沪深两市A股上市制造业企业2008-2020年的专利申请数据进行文本编码处理，搭建起一个扎根于中国制造业企业数字创新的大样本数据库。在此基础上，围绕上述研究问题展开实证分析与检验，并由此得出以下主要研究结论：（1）企业数字创新受到企业绩效反馈程度的影响，且不同的绩效反馈信息会驱使企业适时地调整数字化投入，进而导致企业在绩效期望落差以及绩效期望顺差等不同情形下展开非对称的数字创新决策。（2）特定绩效反馈状态的持续时间也会影响到企业数字创新，且在时间维度的介入下，这种影响机制会变得更具动态性和复杂性，导致绩效反馈持续度影响企业数字创新的机制与单期绩效反馈程度影响企业数字创新的机制有所不同。（3）企业绩效反馈与数字创新之间的关系受到行业竞争环境的影响。针对本研究所关注的不同绩效反馈情形，行业竞争强度主要通过影响组织对主要经营问题的界定进而作用于企业绩效反馈与数字创新之间的关系。（4）企业在入局数字创新后的参照组选择策略可能向上偏移，并且基于这种向上竞争期望而形成的绩效期望落差将进一步驱使企业提升参与数字创新外部合作的强度，以实现企业数字创新的快速追赶。（5）企业向上竞争期望落差与其数字创新外部合作之间的关系还会受到产业以及区域等不同环境条件的影响。综上所述，企业行为理论不仅能够预测企业的数字创新战略决策，也能为理解企业数字创新的推进与调整提供新鲜见解。 通过对上述研究问题的解答，本研究对于数字创新研究领域做出了如下四点研究贡献：（1）对接经典企业行为理论，拓展了数字创新研究框架。（2）纳入绩效期望反馈的跨期效应，为企业数字创新战略调整提供了一种基于行为学的动态化解释。（3）通过将企业推进数字创新的方式进一步细化并落实到外部合作参与之上，在更细微维度下揭示了企业开展数字创新的思路和手段，拓展了企业数字创新的研究范畴。（4）根据不同细分研究问题引入情境边界条件，挖掘出行业以及区域等不同层面的环境因素对企业在绩效反馈驱动下开展数字创新相关活动的约束或激励机制，丰富了针对企业数字创新的理论解释，也增强了研究理论模型以及研究结论的情境适用性。而针对企业行为理论本身，本研究的理论贡献包括：（1）依托企业数字创新的复杂决策情境，重新整合不一致的组织搜索逻辑，发展了企业行为理论的核心解释机制。（2）将绩效反馈跨期效应纳入到研究中，拓展了企业行为理论的分析框架。（3）通过对企业参照组选择策略的讨论和检验，丰富了企业行为理论的分析视角。
英文摘要：	Digital innovation represents a significant breakthrough in the latest round of scientific and technological revolution and industrial transformation. From a national strategic perspective, there is now a global consensus that digital innovation will have a fundamental impact on the reconfiguration of global science, technology, industry, and economy. Therefore, digital innovation becomes the commanding heights of international competition, with all countries vying to establish a leading position. Regarding the development practices of firms, cultivating sustainable competitive advantages through digital innovation is a new focal point for businesses to generate long-term value with an innovative spirit. However, firms face the dilemma of “easy to know but difficult to do” when developing a digital innovation strategy. Advancing a digital strategy is not an easy feat, nor is it a natural strategic choice for firms. Therefore, it is important to pay attention to why firms are truly committed to pursuing digital innovation activities. Additionally, based on practical observations, firms’ attitude towards digital strategy is not always fixed, but rather flexible and dynamically adjusted in accordance with their own business conditions and development needs. In the face of digital innovation, the real challenge for firms lies in deciding how much to invest, how to execute, and when to act, all of which require careful consideration and informed decision-making. Previous studies highlights the benefits of digital innovation in fostering long-term organizational competitiveness and enhancing operational efficiency. Building on this, researchers primarily discuss the factors that may affect firms’ digital innovation, with a focus on aspects such as organizational readiness, structure, characteristics, and external environmental factors. It is believed that gaining a deeper understanding of how firms can effectively invest in and implement digital innovation is the key focus of current research. Nevertheless, it is important to acknowledge that this type of presuppositional analysis may also result in potential research limitations and gaps. On one hand, a majority of existing research follows an “ex post assumption” and presupposes that digital innovation unquestionably benefits firms’ development. Such studies focus on discussing “how” or “by what means” organizations can effectively implement and promote digital innovation. However, there is a dearth of research based on “ex ante” analysis. On the other hand, the aforementioned research preference also implicitly assumes that firm managers will rationally allocate organizational resources and capabilities to achieve digital innovation goals, while ignoring the reality of bounded rationality among managers. Therefore, it is crucial to examine the endogenous motivation of firms in pursuing digital innovation strategies in the future. This study primarily focuses on the following two closely related and progressively significant research questions. First, the primary research question is centered around understanding what drives Chinese manufacturing firms to pursue digital innovation. Specifically, this study attempts to explore how the performance feedback based on industrial competition aspiration affects the decision-making of firms on digital innovation from the perspective of behavioral theory of the firm. Second, building upon the aforementioned core research questions, the extended research question is to delve into the reasons why firms engage in external collaborations to promote digital innovation strategies. More specifically, this study aims to investigate whether the performance reference strategy is modified after firms adopt digital innovation strategies, and how such an adjustment would impact the level of firms’ participation in external collaborations for digital innovation. Closely related to the above-mentioned research issues, this study firstly systematically reviews the development of the research field of digital innovation and the research evolution of the behavioral theory of the firm. Secondly, a large-scale database of digital innovation behaviors of Chinese manufacturing firms is built through text encoding processing of patent data of A-share listed manufacturing firms in Shanghai and Shenzhen from 2008 to 2020. On this basis, empirical analysis and testing are conducted to address the aforementioned research questions, resulting in the following main research conclusions:（1）The digital innovation decisions of firms are influenced by the level of performance feedback. Depending on the type of performance feedback information received, firms may adjust their digital activities accordingly, leading to asymmetrical digital innovation behaviors under different scenarios of performance expectation gaps and surpluses. （2）The duration of performance feedback also plays a role in shaping the digital innovation activities of firms. Moreover, with the intervention of the time dimension, this influence mechanism will become more dynamic and complex, resulting in differences between the mechanisms of performance feedback duration and single-period performance feedback in influencing firm’s digital innovation. （3）The relationship between firms’ performance feedback and digital innovation decision-making is influenced by the competitive environment of the industry. According to the different performance feedback situations concerned by this study, the industry competition affects the relationship between firm performance feedback and digital innovation primarily by influencing the organization’s perception and definition of major business problems. （4）Once firms adopt a digital innovation strategy, their reference group selection strategy may shift upwards. This shift can create a performance expectation gap that drives firms to intensify their participation in external cooperation for digital innovation, thereby enabling rapid catch-up in the digital innovation space. （5）The relationship between firms’ upward competition expectation gap and their external cooperation on digital innovation will also be affected by different environmental conditions such as industry and region. In conclusion, the behavioral theory of the firm can not only predict firms’ digital innovation strategy decisions, but also provide fresh insights into the promotion and adjustment of firms’ digital innovation strategy. By answering the above research questions, this study provides four significant contributions to the digital innovation research field: （1）Expanding the research framework of digital innovation by connecting with the classical behavioral theory of the firm. （2）Offering a behavior-based dynamic explanation for how firms adjust their digital innovation strategies over time by incorporating the duration of performance feedback into the analysis. （3）Further refining and implementing the way of promoting digital innovation strategy to external cooperation, revealing the nuanced ideas and methods employed by firms in carrying out digital innovation activities in a more subtle dimension, and thus expanding the research scope of firms’ digital innovation. （4）Situational boundary conditions are introduced to investigate the constraints or incentive mechanisms of environmental factors at different levels, such as industry and region, for fims to carry out digital innovation-related activities driven by performance feedback. This enriches the theoretical explanations for firms’ digital innovation behaviors and enhances the situational applicability of the theoretical model and research conclusions. As for the behavioral theory of the firm, the theoretical contributions include: （1）Relying on the complex decision-making situation of digital innovation, reintegrating inconsistent organizational search logic, and developing the core explanation mechanism of the behavioral theory of the firm. （2）The intertemporal effect of performance feedback is included in the research, which expands the analytical framework of the behavioral theory of the firm. （3）The analysis perspective of the behavioral theory of the firm is enriched through the discussion and testing of the reference group selection strategy.
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