导　　师： 张振刚

学科专业： 1201

授予学位： 博士

作　　者： ;

机构地区： 华南理工大学

摘　　要： 创新网络和吸收能力是企业技术创新的重要影响因素。在开放式创新的大背景下,组织的学习与创新,已经从以个体行为和线性模型为基础的传统过程向高度互动性和反复性的网络化过程演变。大量的研究文献都强调了吸收能力在网络化创新中的重要作用,同时也指出了创新网络会对企业吸收能力和技术创新带来影响,但是这些文献中同时将创新网络、吸收能力以及技术创新纳入同一框架的实证研究并不多。这一研究现状也为其他研究者提供了新的研究契机和研究视角。 基于前人的研究,本论文通过理论演绎构建了网络规模、关系强度、网络中心性与吸收能力、渐进性创新和根本性创新之间相互作用的概念模型,并以广东创新型企业为调查对象进行了实证研究。结果表明：第一,企业吸收能力具有多维性质,具体包括探索式学习、转换式学习和利用式学习三个高阶维度,以及企业对外部知识的识别、消化／吸收、保养、激活、转化和应用六个低阶维度。第二,广东创新型企业外部创新网络的网络规模、关系强度直接影响企业吸收能力和根本性创新,但对于渐进性创新的直接影响并不显著；而广东创新型企业的网络中心性直接影响企业吸收能力,但对于渐进性创新和根本性创新的直接影响却不显著。第三,在网络规模和关系强度对于渐进性创新、以及网络中心性对于渐进性创新和根本性创新的影响中,企业吸收能力发挥的是一种完全的中介效应,而在网络规模和关系强度对于根本性创新的影响中,企业吸收能力起的是一种部分的中介作用。第四,广东创新型企业的外部创新网络规模、以及它们的网络中心性对于根本性创新的总体效应要高于其对渐进性创新的影响,而它们与创新伙伴的关系强度对于渐进性创新的总体效应要高于其对根本性创新的影响。 在上述研究结论的基础上,本研究还进一步实证考察了基于吸收能力的组织学习过程及其互补性对于渐进性创新和根本性创新的影响,以及环境动荡性在其中的调节作用。结果显示,作为企业吸收能力的基本组成,探索式学习和利用式学习除了直接影响广东创新型企业的渐进性创新和根本性创新外,还会通过它们与转换式学习的互补效应发挥促进作用；而转换式学习对于渐进性创新和根本性创新的直接影响都不显著,要通过与其它两种组织学习过程的互补效应发挥促进作用。与此同时,结果还显示,技术和市场环境的动荡程度在企业吸收能力及其三种组织学习过程对于广东创新型企业渐进性创新的影响中发挥着同等的正向调节作用；而在高度动荡的环境中,吸收能力及其利用式学习过程对于广东创新型企业根本性创新具有更大的促进作用。 Both innovation network and absorptive capacity are very important for firm's technological innovation. In the context of open innovation, organizational learning and innovation has evolved from the traditional process based on individual behavior and the linear model to the highly interactive and recurrent network process. Many researchers have emphasized the important role of absorptive capacity in the innovation network, but also pointed out that the innovation network has a great impact on firm's absorptive capacity and technological innovation, however, not many of these scholars considered their relationship at the same framework in their empirical research. The status in quo of research provides a new research opportunities and research perspective for other researchers. Based on previous studies, the conceptual model about the interaction among network size, tie strength, network centrality and organizational absorptive capacity, incremental innovation and radical innovation is constructed and the related research hypotheses are raised, then an empirical study is conducted based on innovation-oriented enterprises in Guangdong Province.The results give us many useful illuminations. Firstly, Enterprise absorptive capacity has a multi-dimensional nature, including exploratory learning, transformative learning and exploitative learning three higher-order factors, as well as the identification, assimilation, maintenance, reactivation, transformation and application of external knowledge outside enterprises six lower-order factors. Secondly, network size and tie strength directly effect Enterprise overall absorptive capacity and radical innovation, but their influences on incremental innovation are not significant. And network centrality directly affects the overall absorptive capacity, but iits influences on incremental and radical innovation are significant. Thirdly, the overall absorptive capacity of innovation-oriented enterprises in Guangdong plays a full intermediary role in the effects of network size and tie strength on incremental innovation and the effects of network centrality on incremental and radical innovation, and plays a part intermediary role in the effects of network size and tie strength on radical innovation at the same time. Fourthly, based on the analysis of our survey sample, the overall effects of network size and network centrality on radical innovation are higher than their effects on incremental innovation, but the overall effects of tie strength on incremental innovation is higher than their effect on radical innovation. On the basis of the above conclusions, the multiple linear regression models are further used to analyze the effects of organizational learning process based on absorptive capacity and its complementarity on incremental and radical innovation, and then the regulatory roles of environmental turbulence are analyzed in above effects.The results show that, as basic composition of firm's absorptive capacity, exploratory learning and exploitative learning still paly a catalytic role through their complementary effect with the transformative learning in addition to the direct effects on incremental and radical innovation of innovation-oriented enterprises, however, transformative learning has no significantly direct impact on incremental and radical innovation and only play a catalytic role through complementary effects with the other organizational learning process.At the same time, the results also show that the degree of turbulence of the technology and market environment play an equally positive regulation in the effects of absorptive capacity and its basic compositions on incremental innovation, but absorptive capacity and its exploitative learning process have a greater role in promoting the radical innovation of innovation-oriented enterprises in Guangdong.

关 键 词： 创新网络 吸收能力 渐进性创新 根本性创新 环境动荡性 创新型企业

分 类 号： [F273.1 F224]

领　　域： [经济管理] [经济管理] [经济管理]