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论文编号：	4194
作者编号：	1120080728
上传时间：	2012/6/5 14:26:20
中文题目：	联盟网络与创新绩效关系的跨层次研究——以中国基于TD-SCDMA标准的3G产业为例
英文题目：	Cross-level Analysis of Alliance Network and Innovation: Evidence from China 3G Industry based on TD-SCDMA
指导老师：	谭劲松教授、林润辉教授
中文关键字：	创新绩效，战略联盟，联盟网络，跨层次，动态分析
英文关键字：	Innovation Performance, Strategic Alliance, Alliance Network, Cross-level Analysis, Dynamic Analysis
中文摘要：	随着企业间分工的发展以及技术复杂性的提高，企业间联盟以及在此基础上形成的联盟网络已经成为创新的组织基础。联盟网络如何促进创新绩效的提升成为理论界和实践界共同关注的问题。本文采用了案例与模拟相结合的方法，以网络理论和跨层次理论为基础，同时加入时间维度，突破了以往单层次、静态网络创新机制研究的局限，论证了联盟网络中不同层次要素及其交互作用对企业和二元联盟创新绩效的影响机理，分析了产业网络的创新和演进机制。本文的主要发现和结论有以下三个方面：第一，联盟网络整体结构属性对企业网络位置与其创新绩效关系发挥调节作用。企业占据优势网络位置有利于其创新绩效的提高：企业网络中心性越高，其创新绩效越高；企业占据结构洞越多，其创新绩效越高。联盟网络的整体结构属性对上述关系具有调节作用：联盟网络密度负向调节企业的网络中心性和结构洞与其创新绩效的关系。因此，企业在制定创新战略时，不仅要考虑自身在联盟网络中的位置，而且要分析联盟网络的整体结构属性特别是网络密度，从网络嵌入的视角进行综合分析。第二，二元联盟自身属性、网络位置会影响其创新绩效，而且联盟网络整体结构属性对上述关系具有调节作用。随着企业间联盟的日益加强，二元联盟已经成为创新的单元。二元联盟的结构对等性、联系强度和网络中心性越高，其创新绩效越高；联盟网络的整体结构属性——集聚系数也对上述关系发挥调节作用：集聚系数负向调节二元联盟的结构对等性与其创新绩效的关系，正向调节二元联盟的网络中心性与其创新绩效的关系。第三，产业网络发展过程中，网络结构和治理机制随之变化，促进了产业的创新和发展。中国基于TD-SCDMA标准的3G产业中，联盟网络结构的演进主要体现在：企业的数目和类型不断增多，企业间联盟的数目和类型也日益丰富，建立了TD技术论坛和TD-SCDMA产业联盟，而且政府相关机构也参与其中。网络治理机制主要体现在：产业内企业拥有共同的期望和愿景，积极的投入到该技术标准的研发和推广过程中；企业间存在多种形式的联盟关系，企业的经理人和技术专家也存在一定程度的流动；政府制定有利的产业发展政策，TD-SCDMA产业联盟的建立也有利于成员企业间专利的共享和相互学习。本文的主要创新之处体现在以下三个方面。第一，针对单层次企业创新机制研究的不足，分析联盟网络整体结构属性对企业网络位置与其创新绩效关系的调节作用，得到网络密度负向调节企业网络位置属性与其创新绩效的关系。跨层次企业创新模型的构建和验证深化了网络视角的企业创新机制研究。第二，针对网络视角的二元联盟创新机制研究缺乏的问题，构建跨层次模型分析二元联盟的创新机制。本文弥补了以往研究只考虑二元联盟自身属性与其创新绩效的关系而忽略了其网络嵌入性，分析得到网络集聚系数负向调节二元联盟自身属性与创新绩效的关系，正向调节二元联盟网络位置与创新绩效的关系，拓展了对二元联盟创新机制的理论认识。第三，针对静态研究无法揭示产业网络与产业创新关系演进的问题，加入时间维度，分析产业网络的创新与演进机制，得到网络结构和网络治理机制随着产业演进不断变化，共同促进了产业网络的创新。本研究克服了以往研究将网络创新与产业演进单独进行分析的局限，深化了对产业网络创新与演进机制的认识。本文共分为七章，具体结构安排如下：第一章绪论部分介绍了本文的研究背景、研究问题、研究目标和研究意义等，并从总体上概括本文的技术路线和研究框架。第二章文献综述对与本研究相关的理论基础和研究成果进行归纳、梳理和述评。第三章构建完整的多层次理论研究框架，介绍案例选择和模拟模型的开发。第四章构建了一个跨层次分析框架，分析企业在联盟网络中的位置对其创新绩效的影响，以及联盟网络整体结构属性对上述关系的调节作用。第五章构建跨层次理论框架分析二元联盟的创新机制，讨论二元联盟的自身属性、网络位置属性以及联盟网络整体属性对其创新绩效的影响。第六章以中国基于TD-SCDMA标准的3G产业发展历程为例，分析产业网络演进过程中网络结构和网络治理机制对产业创新的影响。第七章对全文进行总结和展望，归纳论文的主要研究结论，指出本文的主要创新点，并指出研究的不足以及未来可能的研究方向。
英文摘要：	With the division of work among firms and rise of technological complexities, inter-organizational alliances and the alliance network have become important prerequisites for innovation. Concerns over alliance network and innovation have grown significantly during the last two decades. Not only has the issue become a hot topic in the business press and among business and political leaders, but a body of academic literature has also emerged, especially on how factors at multi-levels in alliance networks work on innovation performance. Cross-level and dynamic innovation based on alliance networks become a hot spot of academic attention. Based on network theory and multilevel theory, we investigate how factors at different levels work on the innovation performance of firms and dyadic alliances. We also investigate the interaction among alliance network structure, governance mechanism and industrial innovation in the evolution process of industrial alliance networks. Combination of case study and simulation has been adopted. Hypotheses on innovation mechanism of firms and dyadic alliances are tested with hierarchical linear model testing of data from simulation. Data from the evolution of the 3G industry based on TD-SCDMA standard in China is used to reveal the dynamic innovation mechanism of industrial alliance network. With theoretical deduction, simulation and case study, the foundings are showed as follows: First of all, properties of the overall alliance network (network density) can significantly moderate the relationship between firms’ network status (centrality and structure holes) and innovation performance, besides the direct relationship between firms’ network status and innovation performance. Network density is a negative moderator. Consequently, firms should take an embedded perspective, not only consider their status in the alliance network, but also structural characteristics of the overall alliance network, when making strategic decisions, especially those on innovation. Secondly, structural equivalence, strength, and network status can affect the innovation performance of dyadic alliances, with the moderating effect of the structure of the alliance network. Dyadic alliances became innovation subjects with the development of inter-organizational collaboration. Structural equivalence, strength and network centrality of dyadic alliances can work on their innovation performance. The higher the structural equivalence, strength and network centrality of dyadic alliances, the higher their innovation performance. Characteristics of the overall alliance network can also moderate the above mentioned relationship. Clustering coefficient of the overall alliance network negatively moderates the relationship between structural equivalence and dyadic alliance’s innovation performance, and positively moderates the relationship between network centrality and dyadic alliance’s innovation performance. Last but not least, in the evolution process of industrial alliance network, the network structure and governance mechanism have been improved constantly, and collaborative innovation and adaptive innovation among industrial members promote the development and innovation of the industry. We develop a theoretical model that incorporates alliance cooperation among organizations, maturity of the industrial chain, and accumulation of organizational knowledge, all of which contribute greatly to the development of industrial innovation. The contributions and innovation of this study are showed as follows. First of all, we build a cross-level theoretical model of firm’s innovation mechanism, while previous studies often focus on single-level factors, which can not provide us with a systematic understanding of firm’s innovation mechanism. We concluded that, on the one side the innovation performance of firms is affected directly by their network status, and on the other side the above mentioned relationship was negatively moderated by properties of the alliance network (network density). Secondly, we test the innovation mechanism of dyadic alliances from network perspective, with a cross-level theoretical model, while previous studies always focus on the effect of characteristics of dyadic alliances, to our knowledge no research has been done from cross-level perspective. We extend the theories on dyadic alliance innovation with the conclusion that clustering coefficient negatively moderate the relationship between dyadic characteristics and innovation performance, positively moderate the relationship between dyadic network centrality and innovation performance. Thirdly, this study focuses on the effect of network structure and governance mechanism on industrial innovation and evolution, in order to overcome the limitation of previous studies that separate the mechanism of industrial development and network innovation. Structure of this study is as follows. Chapter One introduces the research context from which the research question is proposed, expounds the significance, contents and methods of this study, and presents the overall structure and research process. Chapter Two makes a literature review of innovation, strategic alliances, network and innovation, and cross-level theory, laying the theoretical foundation of this study. Chapter Three introduces the process of theoretical model development, case selection, simulation model building, and research design. Chapter Four analyzes the innovation mechanism of firms with a cross-level theoretical framework, and concluded that not only firms’ status in the alliance network can work on their innovation performance, the overall properties of the alliance network can also significantly moderate the above relationship. Chapter Five discusses how the structural equivalence, strength and network centrality of dyadic alliances affect their innovation performance, and overall network properties moderate the above mentioned relationship. Chapter Six presentes the relationship and its development between network structure, governance mechanism and industrial innovation, with case study of the 3G industry based on TD-SCDMA standard in China. Chapter Seven summarizes the conclusions, theoretical contribution and innovation points of this study, pointed out its limitations as well as future research directions.
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