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论文编号：	253
作者编号：	20050750
上传时间：	2008/6/18 10:12:52
中文题目：	创新方式选择与企业绩效关系实证
英文题目：	An empirical study on relation
指导老师：	张玉利教授
中文关键字：	探索性创新、开发性创新、环境不
英文关键字：	Exploratory innovation; Exploi
中文摘要：	内容摘要 在环境复杂多变和竞争日益激烈的情况下，创新作为获取和维持竞争优势的一种手段，对于企业的成长与发展至关重要。由于不同的创新方式对企业的影响各不相同，因此，对于处于不同环境和具有不同特征的企业而言，如何根据环境和自身特点选择合适的创新方式则成为企业需要解决的关键问题。 基于组织行为适应的探索与开发理论，本文立足企业层面，选取创新方式为研究对象，利用251份有效调查问卷，通过因子分析、调节回归分析等方法，剖析了探索性创新和开发性创新两种方式如何影响企业绩效的作用机制。在具体内容上，本文检验了两种创新方式及其平衡性对绩效的影响，并考察了在特定的环境不确定性、冗余资源以及组织结构特性条件下，如何选择和权衡两种创新方式才更有利于促进绩效的作用机制。 通过对理论假设的实证检验，本文的主要结论和发现如下：第一，探索性创新和开发性创新是提高企业绩效的两种重要途径，但对不同的绩效指标发挥的作用存在差异，而且它们之间的平衡更有助于绩效的提升。其中，开发性创新更有利于改善成长性绩效，探索性创新则更有利于提高赢利性绩效。通过有效的管理，两种创新方式可以在企业内部取得协调与平衡，进而有效提升整体绩效。如果不能有效协调这两种创新方式，使之长期处于一种不平衡状态，则势必有损于绩效，影响到企业未来长期发展。 第二，根据环境不确定性程度合理选择或平衡好两种创新方式更有利于改善企业绩效。在高环境动态性条件下，探索性创新更有利于提升绩效，而在高环境竞争性条件下，开发性创新更有利于促进绩效。随着环境不确定性程度的升高，两种创新方式之间积极的平衡互动作用逐渐增强，在环境动态性和竞争性程度都较高的情况下，两种创新方式之间的平衡可以显著提高绩效。 第三，利用不同冗余资源是强化两种创新方式对绩效促进作用的重要手段。不同的冗余资源在两种创新方式与绩效关系之间发挥不同调节作用。已吸收冗余对开发性创新与绩效的关系起着正向促进作用，而未吸收冗余对探索性创新与绩效的关系起着正向促进作用。冗余资源的充分挖掘和利用，在一定程度上有效缓解了两种创新方式间的资源竞争。当两种冗余资源都较多的情况下，两种创新方式可以得到有效协调与平衡，并促进企业绩效。 第四，两种创新方式对绩效的促进作用有赖于组织结构特性的相应匹配。组织分权化对探索性创新与绩效间的关系起着正向促进作用，组织正式化对开发性创新与绩效间的关系起着正向促进作用，而组织联通性在创新与绩效关系间没有显示出调节作用。在具体匹配过程中，只有在结构与任务良好匹配情况下，两种创新方式的绩效水平才能得到显著提高。 本论文的理论价值和创新之处主要在于：第一，基于要素互动的行为适应视角，考察了创新方式选择如何影响企业绩效的机制。弥补了以前研究较多地关注在创新要素、内容以及对结果的感知而忽略了行为层面的创新活动研究，同时也克服了现有研究考察角度单一而且缺乏紧密整体逻辑性，有助于深化探索与开发理论视角下的创新研究。第二，基于中国企业经验数据从多个角度检验了两种创新方式的平衡性对企业绩效的影响。为此方面研究提供了中国情景的证据支持，从不同方面深化和加强了此方面研究，同时有助于研究超越仅仅对创新方式（或行为）的某一方面与绩效关系的关注，强调了不同创新方式之间的相互作用及其对绩效的影响。第三，把冗余资源作为权变因素纳入分析框架并验证了其重要调节作用。弥补了现有研究由于忽略资源角色而不能有效解释两种创新方式之间的权衡及其与绩效关系的缺陷。这为此方面研究提供了新的视角，可以启发未来研究紧紧围绕两种创新活动之间的关系，深入挖掘其中关键影响因素，并考察它们之间的相互匹配效果，以更深刻揭示创新活动规律。 本论文共分为六章。第一章绪论部分主要阐释了研究背景、问题以及研究价值，介绍了研究内容和方法，并从总体上概括论文研究过程和结构。第二章文献综述部分主要是对研究的理论基础和相关研究成果进行系统性回顾和评述，归纳本研究的理论出发点。第三章主要基于理论推导，构建了两种创新方式在环境不确定性、冗余资源和组织结构三种权变因素影响下的对绩效作用机制概念模型，并根据它们之间的关系进行理论分析，提出相关研究假设。第四章是研究设计和方法，主要依据以前研究，为创新方式、环境不确定性、冗余资源和组织结构特性等变量选择衡量维度和度量方法，并形成问卷测度量表。第五章是实证分析，利用调查数据对相关假设进行了实证检验，并对验证结果进行分析和讨论。第六章对整体研究进行总结和展望。归纳主要研究结论，指出主要创新点，明确学术贡献和实践价值，指明不足和未来研究方向。
英文摘要：	Abstract As environmental complexity and competitiveness intensifies, it is uppermost for firm to obtain and maintain competitive advantages by means of innovation so as to gain continuous growth. Because of exerting different influences on firm, different innovations must be considered carefully. Hence, it becomes a key issue for different firms to select appropriate innovation’s ways to acquire competitive advantages continuously according to environment and their own characteristics. Based on the theory of exploration and exploitation of organization adaptation, this dissertation investigates how exploratory and exploitative innovations affect performance at firm level. Not only that the effect of exploratory and exploitative innovations and the balance between them on performance is examined, but the effect on performance is respectively examined under environmental uncertainty or with slack resource existing or matching with different organizational structures, which can explain how exploratory and exploitative innovations promote performance effectively by separating or integrating them. In this study, the questionnaire survey was used for data collection. A total of 251 valid questionnaires were got back and the ratio of valid ones is 41.6%. According to the data analysis, some methods, such as confirmatory factor analysis and multiple linear regression, were used to verify the hypotheses deriving from the conceptual model. With the theoretical development and quantitative analysis, the findings are showed as follows: Firstly, exploratory and exploitative innovations are two of the important approaches to promote performance, which can play different roles on growth and profitability, the interacting of them can promote performance effectively. Being always used with reference to a firm’s ex-ante strategic objectives in pursuing innovation but not used in an ex-post outcome sense, exploratory and exploitative innovations can make firms act strategically with initiative. In process of innovation, exploitative innovation is more beneficial to improve growth and exploratory innovation is more beneficial to enhance profitability. The two innovations can be integrated and balanced through being managed effectively so as to advance performance in whole. If they are not synthesized effectively and have been in an unbalance for long time, the future development of firm will become weak. Secondly, it is more in favor of promoting performance to make a appropriate choice or tradeoff between exploratory and exploitative innovations according to environmental uncertainty. Exploratory innovation can promote performance more effectively in more dynamic environment and exploitative innovation can improve performance more effectively in more competitive environment respectively. With the degree of environmental uncertainty getting higher, active interactions between exploratory and exploitative innovations become stronger. Performance will be facilitated distinctly by pursuing the two innovations simultaneously while both environmental dynamism and competitiveness are at high levels. Thirdly, it is a more important approach to utilize different slacks sufficiently to facilitate exploratory and exploitative innovations to enhance performance. Different slacks are of different characteristics and can moderate the relationships between the two innovations and performance. As firms possessing slack resource, absorbed slack can facilitate actively the relationship between exploitative innovation and performance while unabsorbed slack can facilitate actively the relationship between exploratory innovation and performance. Being excavated and utilized sufficiently, slack resource can alleviate competition on scarce resource between the two innovations effectively at a certain extent. Therefore, when absorbed and unabsorbed slack are at high levels, or are made use of sufficiently, the two innovations can be synthesized or balanced to promote performance distinctly. Lastly, matching with different organizational characteristics suitably, exploratory and exploitative innovations can facilitate performance effectively. In process of innovation, decentralization supports exploratory innovation to facilitate performance distinctly and formalization supports exploitative innovation to enhance performance effectively, while the moderating effects of connectedness on relationships not only between exploratory innovation and performance but also between exploitative innovation and performance are not significant. The results show that there would be other management problems to be paid attention to and the performance level of the two innovations will arise significantly when organizational structures fit with innovation tasks suitably. By empirically examining these relationships, the study contributes to current research in several ways. First, from the perspective of the interaction of key factors in organizational adaptation process, the study developed and examined a conceptual model which explain how the choice or tradeoff between explorative and exploitative innovations affect performance, reinforces the innovation-interrelated researches from the perspective of firm behavior adaptation. Second, providing evidences from China for the research, the study tested how the balance or trade-off between explorative and exploitative innovations affect performance from multi-perspective, emphasized the interaction between the two innovations or between the other key factor and them. Third, the study introduced slack resource into the context of the causality and verified its importance to tradeoff between explorative and exploitative innovations, which brings new findings and enlightens further research to probe into the relationships between the two innovations and performance, at the same time, reinforces the researches which could not explain effectively the relationships between the two innovations and performance because of ignoring the role of resource. The dissertation structure is showed as follows. Chapter 1 explains the research’s logic clues and key issues, and introduces the study context, contents and methods and so on, and shows the study’s procedures and systematic framework. Chapter 2 is the part of literature review which outspreads and focuses on interrelationship between both types of innovations and other key factors such as environment and slack resource and organizational antecedents based on the key issues provided in chapter one, and also shows the theoretical base of the study. Based on theoretical development, a conceptual model is constructed and hypotheses are proposed in chapter 3. Next, chapter 4 clarifies measures of both types of innovations and environmental uncertainty and slack resource and characteristics of organizational structure, and brings forward a questionnaire of scales for the variables based on previous research. Subsequently, the research methodology applied in the empirical study is explained. Chapter 5 describes the procedures for data collection of survey and explains how new scales for the constructs are validated. Subsequently, the regression analyses are conducted to test the hypotheses as proposed in chapter three and the outcomes are discussed. Chapter 6 summarizes overall conclusions and explains the study’s contribution and innovation points in theory and practice aspects. Finally, the dissertation concludes with limitations of the study that provide meaningful pathways for future research.
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