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论文编号：	6188
作者编号：	1120110756
上传时间：	2014/6/5 13:32:56
中文题目：	中国跨国公司海外社会资本向创新绩效的转化机制研究-基于组织学习能力的视角
英文题目：	A Study on the Transformation Mechanism of Overseas Social Capital into Innovation Performance of Chinese Multi-National Corporation: based on the View of Organizational Learning Capability
指导老师：	吴晓云
中文关键字：	海外社会资本；组织学习能力；创新；知识转移；中国跨国公司
英文关键字：	Overseas Social Capital; Organizational Learning Capability; Innovation; Knowledge Transfer; Chinese Multi-National Corporation
中文摘要：	近年来，随着经济全球化趋势的日益明显，海外市场呈现出新的特征，人才、技术等创新性资源的流动性逐渐增强。为了能突破国外技术的垄断，中国跨国公司逐渐通过创新战略的实施，掌握具有自主知识产权的关键技术，从而在一些重要领域占据国际领先位置。在全球化的背景下，企业创新战略的实施都是与资源投入息息相关的，中国跨国公司在自主创新的同时，还在不断加强与东道国当地市场的有机结合，以拓宽创新性资源的来源。“走出去”的中国跨国公司与东道国市场网络成员进行资源的融合，将海外市场的知识、人才、技术和资本等资源进行系统的整合，通过在海外市场的社会关系网络将这些资源转化为实际的创新产出。随着价值链全球配置的逐渐深化，中国跨国公司通过海外市场中的社会网络关系与海外企业在研发、制造、营销等各个环节进行合作，以充分利用海外市场的知识资源进行创新实践。可见，海外社会资本对于中国跨国公司海外经营的成败至关重要。目前理论界在关于社会资本的研究中，更多地是将社会资本理论用于解释知识的创造、获取和转移过程，研究社会资本与绩效的关系。并且绝大部分研究只是限定于本土市场，对于海外社会资本的理论和实证研究还相对较少，尤其将海外社会资本与中国跨国公司的海外创新实践相结合的研究还存在很大空白，不足以指导中国跨国公司在海外市场的经营活动。同时，也较少有研究将社会资本与组织学习相结合，并在此基础上对组织学习能力的方式和类型进行分析。然而，基于理论和实践的需要，组织学习被作为是研究社会资本向创新绩效转化机制的重要工具，而且在探索式学习和利用式学习这两种主要的学习能力之间实现一个平衡也是十分必要的，但是理论界对于如何实现这种平衡还没有得出定论。这些问题关系到中国跨国公司在海外市场创新战略的实施和长远发展，但是现有的研究还没有针对这些问题给出明确的解决方案。鉴于此，本研究将研究主题和研究目标设定为：根据社会资本理论和组织学习理论以及中国跨国公司在海外市场创新的特征，构建和开发具有可操作性的海外社会资本、组织学习能力以及创新绩效的构成维度，探讨不同类型的海外社会资本与组织学习能力的关系，进而探究对海外市场创新绩效的影响机制，以期获得中国跨国公司海外社会资本向创新绩效转化的一般规律，从而能够针对中国跨国公司的实际情况，为制定和实施组织学习和创新相关战略提供一定的理论指导和管理建议。在此基础上，本研究主要开展了以下系统性的工作：第一，说明了对中国跨国公司海外社会资本向创新绩效的转化机制进行研究的重要性和必要性，以及文章的研究思路；第二，系统地梳理了社会资本、组织学习、创新以及知识转移领域的相关文献，奠定了本研究的理论基础；第三，在文献回顾和访谈调研的基础上，建立中国跨国公司基于组织学习能力的海外社会资本向创新绩效转化机制的关系模型，并且将组织学习能力作为中介变量，将环境的动态性作为调节变量，将行业因素考虑在控制变量中，在对概念模型的各个构成维度进行讨论的基础上提出研究假设；第四，探讨了对概念模型和研究假设进行实证检验的方案设计，在文献整理和访谈调研的基础上，开发出测量量表，向样本企业发放问卷并获得一手数据；第五，对所获得的样本数据进行统计和分析，根据实证结果对研究假设进行检验，并且对结果进行分析和讨论。本研究通过相关文献的整理和对实证数据的分析，得出以下结论：第一，海外社会资本是中国跨国公司重要的战略性资源，海外社会资本有助于跨国公司在海外市场通过创新战略的实施形成核心竞争力和竞争优势；第二，组织学习是对海外社会资本进行利用和转化的重要途径，中国跨国公司通过组织学习能力的培育，将海外社会资本中所蕴含的知识向创新绩效进行转化，其中对探索式学习能力的培育会带来突破式创新绩效，对利用式学习能力的培育会带来渐进式创新绩效；第三，根据探索式学习能力和利用式学习能力的高低可以将两种学习能力组成四种匹配战略，四种战略所带来的创新绩效类型存在一定的差异性，跨国公司应根据自身需要选择相应的战略类型；第四，环境的动态性会对跨国公司海外社会资本的利用和转化过程产生影响，调节海外社会资本与组织学习能力关系的强度和方向。本研究的理论贡献和创新点主要体现在以下四个方面：第一，通过文献梳理和访谈调研，归纳总结了社会资本的概念内涵、构成维度和作用机制，并且将社会资本的概念拓展到海外市场，丰富了社会资本理论的研究，创新性地将社会资本理论应用于中国跨国公司的海外创新实践，填补了相关研究的空白；第二，将社会资本的概念与组织学习和创新相结合，理清了社会资本构成维度与组织学习和创新的关系，挖掘出不同类型的海外社会资本对于组织学习能力的影响，以及所带来的创新绩效的差异性，提出了组织学习能力的匹配战略与不同类型创新绩效之间的对应关系；第三，在模型构建方面，创新性地引入探索式学习能力和利用式学习能力作为中介变量，并且将环境的动态性作为调节变量，分析和检验了中国跨国公司海外社会资本、组织学习能力和创新绩效之间的关系；第四，在实证研究方面，本研究通过对研究层面、研究对象的选择，在以往关于跨国公司海外经营相关研究的基础上，结合中国跨国公司的具体特征开发出相应的测量量表，并在此基础上对研究假设进行实证检验。
英文摘要：	In recent years, with the development of economic globalization, the overseas market has shown new features, the liquidity of innovative resources such as talents and technology have gradually enhanced. In order to break the monopoly of foreign technology, Chinese Multi-National Corporation gradually occupies the leading position in some important areas, through the implementation of innovation strategy, and grasps the key technologies with independent intellectual property rights. Under the background of globalization, the innovation strategy of enterprises are closely linked with the input of resources, when Chinese Multi-National Corporation makes progresses in self-dependent innovation, they continue to strengthen the organic combination with the foreign local market at the same time in order to broaden the sources of innovative resources. As Chinese Multi-National Corporation which "Going out" integrate the resources with host market network members, they also integrate the knowledge, talent, technology, capital and other resources from overseas market. Through the overseas social network, Chinese Multi-National Corporation turns these resources into practical innovation output. With the global configuration of value chain, Chinese Multi-National Corporation conduct cooperation in R&D, manufacturing, marketing and other areas through network relationships with foreign organizations in overseas markets, in order to make full use of overseas knowledge resources for innovation practice. So we can find that the overseas social capital is crucial to the success of the foreign business ran by Chinese Multi-National Corporation. At present in the theory study of social capital, social capital theory is used to explain the creation, acquisition and transfer of knowledge, to study the relationship between social capital and performance, and most of the research is limited to the local market. The theory and empirical research on overseas social capital is relatively less, and there is a big gap in the research of overseas social capital and overseas innovation practice of Chinese Multi-National Corporation, which is not enough to guide Chinese Multi-National Corporation in the overseas market. At the same time, there is much less research to combine social capital and organizational learning, based on which to make an analysis to the patterns and types of organizational learning capabilities. Based on the needs of theory and practice, organizational learning is an important tool to study the transformation mechanism of social capital into innovation performance, and it is very necessary to achieve a balance between exploratory and exploitative learning capabilities. However, how to achieve this balance is not conclusive in the theory. These issues are related to the success in overseas market and long-term development for Chinese Multi-National Corporation, but the existing researches have not yet solve these problems and give the clear solution. On this basis, this study will conduct the following research theme and research goal. According to social capital theory, organizational learning theory and the characteristics of innovation conducted by Chinese Multi-National Corporation in the overseas market, we will build and develop workable overseas social capital dimensions, organizational learning capability dimensions and innovation performance dimensions, to explore the relationship between different types of social capital and organizational learning capabilities. And then we will explore the innovation mechanism in the overseas market, which aim to gain the general principle of the transformation and utilization of overseas social capital. So we can provide theoretical guidance and management suggestions for the formulation and implementation of organizational learning strategy and innovation strategy, according to the actual situation of Chinese Multi-National Corporation. This study mainly includes the following systematic work: firstly, we explained the importance and necessity to study the overseas social capital of Chinese Multi-National Corporation, as well as the research plan. Secondly, we systematically reviewed the papers in the field of social capital, organizational learning, innovation and knowledge transfer, which laid the theoretical foundation for this research. Thirdly, based on the literature review and interview investigation, we established the relationship model of the transformation mechanism of overseas social capital into innovation performance based on the organizational learning capability, and introduce organizational learning capability as intermediary variable, took the dynamics of environment as moderating variable and considered the industry factors in the control variables. Then based on the discussion of different dimensions in the conceptual model, we put forward the research hypothesis. Fourthly, we discussed the design of the empirical test on the concept model and research hypothesis, based on literature review and interview investigation, we developed the measurement scale, and sent the questionnaires to sample enterprises and get the first-hand data. Fifthly, we conducted statistics and analysis of the sample data, and tested the research hypothesis according to the empirical results, and then analyzed and discussed the results. In this study, through the collation of relevant literature and the analysis of empirical data, we can draw the following conclusions: first, the overseas social capital is an important strategic resource for Chinese Multi-National Corporation. Overseas social capital contributes to the Multi-National Corporation through innovation to form the core competitiveness and competitive advantage in the overseas market. Secondly, organizational learning is an important way for the transformation and utilization of overseas social capital, through cultivating the learning capability, Chinese Multi-National Corporation can turn the knowledge contained in the overseas social capital into innovation performance, in which the cultivation of exploratory learning capability will bring radical innovation performance, and to cultivate the exploitative learning capability will bring incremental innovation performance. Thirdly, the two kinds of learning capabilities can form four matching strategies according to the different levels of the exploratory learning capability and exploitative learning capability. The four kinds of strategies will bring about different innovation performances and the Multi-National Corporation should choose the specific strategy type according to their own needs. Fourthly, the dynamic environment can affect the transformation process of overseas social capital; the dynamics of environment will regulate the strength and direction of the relationship between overseas social capital and learning capabilities. The theoretical contributions and innovative points of this study can be reflected in the following four aspects: first, through the literature review and interviews, we summed up the concept and connotation, the dimensions and mechanism of social capital, and expand the concept of social capital to the overseas market. This paper enriches the research of social capital theory, and innovatively applied the social capital theory to the overseas innovation practice of Chinese Multi-National Corporation, which filled the blank of the related research; second, we combined the concept of social capital, organizational learning and innovation, and sorted out the relationship between dimensions of social capital, organizational learning capabilities and innovation performance, then dug out the effects of different types of overseas social capital on organizational learning capabilities, as well as on the differences between the innovation performances. Then this paper put forward the congruent relationship between organizational learning capability matching strategies and different types of innovation performances; third, in the theoretical model, we introduced exploratory learning capability and exploitative learning capability as the intermediary variable, and the dynamics of environment as the regulating variable, and then analysed and tested the relationship among the overseas social capital, organizational learning capabilities and innovation performance of Chinese Multi-National Corporations; fourth, in the aspect of empirical test, through the selection of research level and research objective, and based on previous studies about social capital and overseas operation of Multi-National Corporation, we developed the corresponding measurement scale combined with the specific characteristics of Chinese Multi-National Corporation, and then carried out the empirical study.
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