基于知识的企业动态能力研究：嵌入性前因及创新绩效结果
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摘要
随着信息技术的快速发展和全球化进程的进一步深入,加之近期国际金融危机导致的经济动荡,企业所面临的环境正日趋复杂多变。如何应对动态环境带来的挑战或是如何利用动态环境创造的机会已经成为众多企业战略管理决策中的核心议题,也成为学术界研究讨论的焦点问题。在继承和发展资源观和企业演化等理论的基础上,动态能力理论提出,企业只有通过创造性地整合、构建和重构资源或能力,获取基于创新的经济租金即熊彼特租金,才能在快变的环境中获得竞争优势。动态能力理论较好地解释了处于变化迅速且难以预测环境中的特定企业是怎样和为何能够获取竞争优势,然而现有的动态能力研究却存在概念界定过于模糊和宽泛的问题,导致动态能力难以观测、定量化实证研究缺乏等,阻碍了研究的进一步深入。
在各种类型的资源中,知识资源被越来越多的学者认为是最具战略价值的核心资源。知识观学派更是明确指出企业是具有异质性的知识体,企业能力本质上是知识的整合,企业的竞争优势源于对知识的创造、更新及应用。与此同时,构建创新网络已经日渐成为企业获取知识并提升创新绩效的重要手段。而在理论研究中,网络嵌入性被普遍认为对企业的技术创新有重要影响。然而对于网络嵌入性究竟透过何种机制作用于企业创新绩效,特别是网络嵌入性与动态能力之间存在怎样的联系,现有研究仍然没有给出明确的解答。
在这样的背景下,本研究从动态能力理论出发,借鉴和融合知识观理论及网络嵌入性理论,提出了如下四个研究问题:(1)如何从知识观的视角界定动态能力?哪些要素构成了基于知识的动态能力?如何度量基于知识的动态能力?(2)企业网络嵌入性如何影响基于知识的动态能力?(3)基于知识的动态能力如何影响企业创新绩效?(4)环境动态性如何影响企业网络嵌入性?
本研究采用了理论研究与实证研究相结合、定性研究与定量研究相结合的方法,通过三个子研究的层层展开对上述问题进行了分析和解答。
子研究——基于知识的动态能力概念、构成与测度。该部分研究首先通过文献梳理,指出了现有动态能力研究中存在的一系列概念和操作上的问题。随后,基于知识资源被普遍视为核心资源以及动态能力研究与知识观研究日趋融合的背景,明确提出了基于知识的动态能力的概念界定,并将其分为知识获取能力、知识创造能力和知识整合能力三类构成要素,讨论了各类能力的意义和表现形式,还对其与一些相近概念之间的区别与联系进行了辨析。在此基础上,采取管理学研究中规范的量表构建方法,设计了基于知识的动态能力的测度量表,并通过问卷调查和探索性因子分析、验证性因子分析以及信度分析等统计方法检验了该量表的可靠性和有效性。
子研究二——基于知识的动态能力与网络嵌入性及创新绩效关系研究。该部分研究首先通过对五家中国制造业企业的细致而规范的探索性多案例研究,初步构建关于基于知识的动态能力与网络嵌入性及创新绩效关系的假设。随后结合文献整理,对假设做修正与完善,正式提出概念模型。最后通过问卷调查、探索性因子分析和结构方程建模等定量化实证方法对模型和假设进行了检验,从而深入剖析了网络嵌入性透过基于知识的动态能力最终作用于创新绩效的机制。
子研究三——环境动态性与网络嵌入性关系研究。该部分研究首先同样通过探索性多案例研究,提出了关于环境动态性与网络嵌入性关系的假设。随后通过文献展开和理论分析,特别是根据环境动态性影响基于知识的动态能力的价值和运用条件,因而激发或驱使企业调整嵌入性属性这一逻辑推导,对初始假设命题进行了细化,正式提出概念模型。最后通过问卷调查和统计分析的方法对模型和假设进行了检验,从而揭示了环境动态性对网络嵌入性的影响关系,且结合子研究二的结论展现了环境动态性透过网络嵌入性作用于基于知识的动态能力的机制。
通过上述分析论证,本研究得出如下主要观点和结论:
(1)基于知识的动态能力可以表述为“企业获取、创造和整合知识资源以感知、应对、利用和开创市场变革的能力”。基于知识的动态能力包括了知识获取能力、知识创造能力和知识整合能力这三类基本能力要素。
(2)企业在合作网络中的结构嵌入性和关系嵌入性对于不同的基于知识的动态能力要素有着不同的影响。具体而言,结构嵌入性中的合作伙伴多样性对知识整合能力有着显著的正向影响;关系嵌入性中的信任、共同解决问题和承诺对于知识获取能力均有显著的正向影响;共同解决问题还对知识整合能力有显著的正向影响。
(3)知识整合能力对于创新绩效有着显著并直接的正向影响,而且知识整合能力在知识获取能力和知识创造能力对创新绩效的影响中起了完全中介作用,即知识获取能力和知识创造能力对创新绩效的作用均透过其对知识整合能力的影响而产生。
(4)技术环境动态性对企业合作网络的结构嵌入性和关系嵌入性有显著的正向影响。具体而言,技术环境动态性对结构嵌入性中的合作伙伴多样性有着显著的正向影响;技术环境动态性对信任、共同解决问题和承诺三种关系嵌入性属性具有显著的正向影响。
本研究在如下方面进行了创新并做出了理论贡献:
(1)基于知识的动态能力概念界定的明确提出及其构成要素的识别使得动态能力的概念更为明确、对象更为聚焦、边界更为清晰,有助于克服动态能力研究中概念宽泛、难以观测等问题,提升研究的严谨性和系统性,将促进动态能力研究特别是定量研究的发展,也将推动动态能力与知识观研究的进一步融合。
(2)剖析了基于知识的动态能力、网络嵌入性以及创新绩效之间的影响关系,证实了多样性、信任、共同解决问题和承诺等不同网络嵌入属性分别对知识获取能力和知识整合能力具有显著的正向影响,也证实了知识整合能力对创新绩效具有关键性的正向影响,从而建立了“网络嵌入性——动态能力——创新绩效”的理论框架,进一步打开了网络嵌入性作用机制的黑箱,为网络环境中的动态能力及创新研究的深入开展创造了条件。
(3)发现了技术环境动态性对企业的多样性、信任、共同解决问题和承诺等网络嵌入属性具有显著影响,反映出企业并非仅仅是网络中被动的接受者,而是会根据环境动态性在对其网络特征的调整上表现出一定的能动性。这一发现对于更为全面和深入地认识动态环境下企业在网络层面上的组织行为特征具有较深远的启发意义。
Along with the rapid growth of information technologies and globalization,and the economic turbulence caused by the recent world-wide financial crisis,the environment for firms is becoming more complex and dynamic.How to tackle the challenge brought by dynamic environment or how to utilize the opportunities provided by dynamic environment has become the key question of strategic management for most firms and focal topic for academia.Based on theories like resource-based view and evolution theory,the theory of dynamic capabilities argues that competitive advantages in dynamic environment can only be attained through innovative integration,building and reconfiguration of resources or competences and gaining Schumpeter Rents.The theory of dynamic capabilities is capable of explaining how and why certain firms can attain competitive advantages in fast-changing and uncertain environment.However the concepts and definitions in existing literatures are so broad and vague that dynamic capabilities are difficult to observe and empirical studies are rare.
Knowledge resources are widely considered as the most valuable ones among all kinds of resources.The school of knowledge-based view conceptualizes firms as heterogenous,knowledge-bearing entities and deems that capabilities of firms are integration of knowledge.Meanwhile,building innovation networks has become a key approach to acquire knowledge and improve innovation performance.Especially, network embeddedness is widely believed to have significant influence on technological innovation.However in existing literatures there are no clear answers to how network embeddedness impact on innovation performance and the relationship between network embeddedness and dynamic capabilities.
Based on the theory of dynamic capabilities,knowledge-based view and network embeddedness,this paper proposes four research questions as follows:(1) How to define dynamic capabilities from the perspective of knowledge-based view? What are elements of knowledge-based dynamic capabilities? How to evaluate knowledge-based dynamic capabilities?(2) How does network embeddedness impact on knowledge-based dynamic capabilities?(3) How do knowledge-based dynamic capabilities impact on innovation performance?(4) How do environment dynamics impact on network embeddedness?
Using both theoretical and empirical methods,and qualitive and quantitive methods,this paper conducts three sub-studies to analyze and answer these questions.
Sub-study 1:The concept,constructs and evaluation of knowledge-based dynamic capabilities.On basis of literature review,this sub-study identifies a series of conceptual and operational problems in existing studies.Then the definition of knowledge-based dynamic capabilities is presented and the functions and representation of three kinds of constructs,namely knowledge acquisition capability, knowledge creation capability and knowledge integration capability,are discussed. The comparison of knowledge-based dynamic capabilities and related concepts is also conducted.Afterwards,a scale for knowledge-based dynamic capabilities evaluation is designed by using normative method of scale building and the reliability and validity of this scale are also examined by using questionnaire survey and statistical methods including exploratory factor analysis,confirmatory analysis and reliability analysis.
Sub-study 2:The relationship between knowledge-based dynamic capabilities, network embeddedness and innovation performance.By conducting detailed and normative exploratory multi-case studies,this sub-study proposes hypotheses on the relationship between knowledge-based dynamic capabilities,network embeddedness and innovation performance.Then these hypotheses are refined on the basis of literature review and a conceptual model is put forward.Finally,the model and hypotheses are tested by questionnaire survey and statistical methods including exploratory factor analysis and structural equation model.Therefore the mechanism of how network embeddedness impacts on innovation performance through knowledge-based dynamic capabilities is revealed.
Sub-study 3:The relationship between environment dynamics and network embeddedness.Similarly,hypotheses on the relationship between environment dynamics and network embeddedness are put forward based on exploratory multi-case studies.Then these hypotheses are refined and a conceptual model is put forward through literature and theoretical analysis,especially the discussion on the logic that environment dynamics may influence on the value and condition of using knowledge-based dynamic capabilities and hence stimulate or force firms to reconfigure embeddedness.Finally,the model and hypotheses are tested by questionnaire survey and statistical methods.Hence the influence of environment dynamics on network embeddedness is revealed and the mechanism of how environment dynamics impacts on knowledge-based dynamic capabilities through network embeddedness is also crystallized combined with the conclusion of sub-study 2.
On the basis of above studies,this paper reaches conclusions and viewpoints as follows:
(1) Knowledge-based dynamic capabilities can be expressed as "the capabilities to acquire,create and integrate knowledge in order to sense,tackle,utilize and initiate market change" and comprise three constructs e.g.knowledge acquisition capability, knowledge creation capability and knowledge integration capability.
(2) The structural and relational embeddedness of firm's alliance network has different impacts on different knowledge-based dynamic capabilities.Particularly,the diversity of partners has significant and positive influence on knowledge integration capability;Trust,joint problem solving and commitment have significant and positive influence on knowledge acquisition capability;Joint problem solving also has significant and positive influence on knowledge integration capability.
(3) Knowledge integration capability has significant,positive and direct influence on innovation performance.Knowledge integration capability also functions as a whole mediator in the impact of knowledge acquisition and knowledge creation capabilities on innovation performance which means knowledge acquisition and knowledge creation capabilities impact innovation performance via knowledge integration capability.
(4) Technological environment dynamics has significant and positive influence on structural and relational embeddedness.Particularly,technological environment dynamics has significant and positive influence on diversity of partners; Technological environment dynamics also has significant and positive influence on trust,joint problem solving and commitment.
The main theoretical innovation and contribution of this paper can be summarized as follows:
(1) The definition of knowledge-based dynamic capabilities and identification of their constructs in this paper make the concept clearer,the object more focused and the boundary more definite in dynamic capabilities research.This is helpful to solve problems like "too broad concept" and "hard to observe" and improve the rigour and systematism and hence promote the development of dynamic capabilities research, especially quantitative studies and the integration of the research of dynamic capabilities and knowledge-based view.
(2) The exploration of the relationship between knowledge-based dynamic capabilities,network embeddedness and innovation performance reveals that different network embeddedness attributes including diversity,trust,joint problem solving and commitment have significant influence on knowledge acquisition capability and knowledge integration capability and knowledge integration capability has pivotal impact on innovation performance.Therefore,a theoretical framework-"network embeddedness-dynamic capabilities-innovation performance" is established and the "black box" of the mechanism of network embeddedness is opened.These findings may inspire future research on dynamic capabilities and innovation in the network circumstance.
(3) The significant influence of technological environment dynamics on network embeddedness attributes like diversity,trust,joint problem solving and commitment found in this paper reveals that firms are not only passive actors accepting changes in network but can actively adjust their network attributes according to environment dynamics.This finding contributes to more comprehensive and in-depth understanding on network level behavior of firm in dynamic environment.
在各种类型的资源中,知识资源被越来越多的学者认为是最具战略价值的核心资源。知识观学派更是明确指出企业是具有异质性的知识体,企业能力本质上是知识的整合,企业的竞争优势源于对知识的创造、更新及应用。与此同时,构建创新网络已经日渐成为企业获取知识并提升创新绩效的重要手段。而在理论研究中,网络嵌入性被普遍认为对企业的技术创新有重要影响。然而对于网络嵌入性究竟透过何种机制作用于企业创新绩效,特别是网络嵌入性与动态能力之间存在怎样的联系,现有研究仍然没有给出明确的解答。
在这样的背景下,本研究从动态能力理论出发,借鉴和融合知识观理论及网络嵌入性理论,提出了如下四个研究问题:(1)如何从知识观的视角界定动态能力?哪些要素构成了基于知识的动态能力?如何度量基于知识的动态能力?(2)企业网络嵌入性如何影响基于知识的动态能力?(3)基于知识的动态能力如何影响企业创新绩效?(4)环境动态性如何影响企业网络嵌入性?
本研究采用了理论研究与实证研究相结合、定性研究与定量研究相结合的方法,通过三个子研究的层层展开对上述问题进行了分析和解答。
子研究——基于知识的动态能力概念、构成与测度。该部分研究首先通过文献梳理,指出了现有动态能力研究中存在的一系列概念和操作上的问题。随后,基于知识资源被普遍视为核心资源以及动态能力研究与知识观研究日趋融合的背景,明确提出了基于知识的动态能力的概念界定,并将其分为知识获取能力、知识创造能力和知识整合能力三类构成要素,讨论了各类能力的意义和表现形式,还对其与一些相近概念之间的区别与联系进行了辨析。在此基础上,采取管理学研究中规范的量表构建方法,设计了基于知识的动态能力的测度量表,并通过问卷调查和探索性因子分析、验证性因子分析以及信度分析等统计方法检验了该量表的可靠性和有效性。
子研究二——基于知识的动态能力与网络嵌入性及创新绩效关系研究。该部分研究首先通过对五家中国制造业企业的细致而规范的探索性多案例研究,初步构建关于基于知识的动态能力与网络嵌入性及创新绩效关系的假设。随后结合文献整理,对假设做修正与完善,正式提出概念模型。最后通过问卷调查、探索性因子分析和结构方程建模等定量化实证方法对模型和假设进行了检验,从而深入剖析了网络嵌入性透过基于知识的动态能力最终作用于创新绩效的机制。
子研究三——环境动态性与网络嵌入性关系研究。该部分研究首先同样通过探索性多案例研究,提出了关于环境动态性与网络嵌入性关系的假设。随后通过文献展开和理论分析,特别是根据环境动态性影响基于知识的动态能力的价值和运用条件,因而激发或驱使企业调整嵌入性属性这一逻辑推导,对初始假设命题进行了细化,正式提出概念模型。最后通过问卷调查和统计分析的方法对模型和假设进行了检验,从而揭示了环境动态性对网络嵌入性的影响关系,且结合子研究二的结论展现了环境动态性透过网络嵌入性作用于基于知识的动态能力的机制。
通过上述分析论证,本研究得出如下主要观点和结论:
(1)基于知识的动态能力可以表述为“企业获取、创造和整合知识资源以感知、应对、利用和开创市场变革的能力”。基于知识的动态能力包括了知识获取能力、知识创造能力和知识整合能力这三类基本能力要素。
(2)企业在合作网络中的结构嵌入性和关系嵌入性对于不同的基于知识的动态能力要素有着不同的影响。具体而言,结构嵌入性中的合作伙伴多样性对知识整合能力有着显著的正向影响;关系嵌入性中的信任、共同解决问题和承诺对于知识获取能力均有显著的正向影响;共同解决问题还对知识整合能力有显著的正向影响。
(3)知识整合能力对于创新绩效有着显著并直接的正向影响,而且知识整合能力在知识获取能力和知识创造能力对创新绩效的影响中起了完全中介作用,即知识获取能力和知识创造能力对创新绩效的作用均透过其对知识整合能力的影响而产生。
(4)技术环境动态性对企业合作网络的结构嵌入性和关系嵌入性有显著的正向影响。具体而言,技术环境动态性对结构嵌入性中的合作伙伴多样性有着显著的正向影响;技术环境动态性对信任、共同解决问题和承诺三种关系嵌入性属性具有显著的正向影响。
本研究在如下方面进行了创新并做出了理论贡献:
(1)基于知识的动态能力概念界定的明确提出及其构成要素的识别使得动态能力的概念更为明确、对象更为聚焦、边界更为清晰,有助于克服动态能力研究中概念宽泛、难以观测等问题,提升研究的严谨性和系统性,将促进动态能力研究特别是定量研究的发展,也将推动动态能力与知识观研究的进一步融合。
(2)剖析了基于知识的动态能力、网络嵌入性以及创新绩效之间的影响关系,证实了多样性、信任、共同解决问题和承诺等不同网络嵌入属性分别对知识获取能力和知识整合能力具有显著的正向影响,也证实了知识整合能力对创新绩效具有关键性的正向影响,从而建立了“网络嵌入性——动态能力——创新绩效”的理论框架,进一步打开了网络嵌入性作用机制的黑箱,为网络环境中的动态能力及创新研究的深入开展创造了条件。
(3)发现了技术环境动态性对企业的多样性、信任、共同解决问题和承诺等网络嵌入属性具有显著影响,反映出企业并非仅仅是网络中被动的接受者,而是会根据环境动态性在对其网络特征的调整上表现出一定的能动性。这一发现对于更为全面和深入地认识动态环境下企业在网络层面上的组织行为特征具有较深远的启发意义。
Along with the rapid growth of information technologies and globalization,and the economic turbulence caused by the recent world-wide financial crisis,the environment for firms is becoming more complex and dynamic.How to tackle the challenge brought by dynamic environment or how to utilize the opportunities provided by dynamic environment has become the key question of strategic management for most firms and focal topic for academia.Based on theories like resource-based view and evolution theory,the theory of dynamic capabilities argues that competitive advantages in dynamic environment can only be attained through innovative integration,building and reconfiguration of resources or competences and gaining Schumpeter Rents.The theory of dynamic capabilities is capable of explaining how and why certain firms can attain competitive advantages in fast-changing and uncertain environment.However the concepts and definitions in existing literatures are so broad and vague that dynamic capabilities are difficult to observe and empirical studies are rare.
Knowledge resources are widely considered as the most valuable ones among all kinds of resources.The school of knowledge-based view conceptualizes firms as heterogenous,knowledge-bearing entities and deems that capabilities of firms are integration of knowledge.Meanwhile,building innovation networks has become a key approach to acquire knowledge and improve innovation performance.Especially, network embeddedness is widely believed to have significant influence on technological innovation.However in existing literatures there are no clear answers to how network embeddedness impact on innovation performance and the relationship between network embeddedness and dynamic capabilities.
Based on the theory of dynamic capabilities,knowledge-based view and network embeddedness,this paper proposes four research questions as follows:(1) How to define dynamic capabilities from the perspective of knowledge-based view? What are elements of knowledge-based dynamic capabilities? How to evaluate knowledge-based dynamic capabilities?(2) How does network embeddedness impact on knowledge-based dynamic capabilities?(3) How do knowledge-based dynamic capabilities impact on innovation performance?(4) How do environment dynamics impact on network embeddedness?
Using both theoretical and empirical methods,and qualitive and quantitive methods,this paper conducts three sub-studies to analyze and answer these questions.
Sub-study 1:The concept,constructs and evaluation of knowledge-based dynamic capabilities.On basis of literature review,this sub-study identifies a series of conceptual and operational problems in existing studies.Then the definition of knowledge-based dynamic capabilities is presented and the functions and representation of three kinds of constructs,namely knowledge acquisition capability, knowledge creation capability and knowledge integration capability,are discussed. The comparison of knowledge-based dynamic capabilities and related concepts is also conducted.Afterwards,a scale for knowledge-based dynamic capabilities evaluation is designed by using normative method of scale building and the reliability and validity of this scale are also examined by using questionnaire survey and statistical methods including exploratory factor analysis,confirmatory analysis and reliability analysis.
Sub-study 2:The relationship between knowledge-based dynamic capabilities, network embeddedness and innovation performance.By conducting detailed and normative exploratory multi-case studies,this sub-study proposes hypotheses on the relationship between knowledge-based dynamic capabilities,network embeddedness and innovation performance.Then these hypotheses are refined on the basis of literature review and a conceptual model is put forward.Finally,the model and hypotheses are tested by questionnaire survey and statistical methods including exploratory factor analysis and structural equation model.Therefore the mechanism of how network embeddedness impacts on innovation performance through knowledge-based dynamic capabilities is revealed.
Sub-study 3:The relationship between environment dynamics and network embeddedness.Similarly,hypotheses on the relationship between environment dynamics and network embeddedness are put forward based on exploratory multi-case studies.Then these hypotheses are refined and a conceptual model is put forward through literature and theoretical analysis,especially the discussion on the logic that environment dynamics may influence on the value and condition of using knowledge-based dynamic capabilities and hence stimulate or force firms to reconfigure embeddedness.Finally,the model and hypotheses are tested by questionnaire survey and statistical methods.Hence the influence of environment dynamics on network embeddedness is revealed and the mechanism of how environment dynamics impacts on knowledge-based dynamic capabilities through network embeddedness is also crystallized combined with the conclusion of sub-study 2.
On the basis of above studies,this paper reaches conclusions and viewpoints as follows:
(1) Knowledge-based dynamic capabilities can be expressed as "the capabilities to acquire,create and integrate knowledge in order to sense,tackle,utilize and initiate market change" and comprise three constructs e.g.knowledge acquisition capability, knowledge creation capability and knowledge integration capability.
(2) The structural and relational embeddedness of firm's alliance network has different impacts on different knowledge-based dynamic capabilities.Particularly,the diversity of partners has significant and positive influence on knowledge integration capability;Trust,joint problem solving and commitment have significant and positive influence on knowledge acquisition capability;Joint problem solving also has significant and positive influence on knowledge integration capability.
(3) Knowledge integration capability has significant,positive and direct influence on innovation performance.Knowledge integration capability also functions as a whole mediator in the impact of knowledge acquisition and knowledge creation capabilities on innovation performance which means knowledge acquisition and knowledge creation capabilities impact innovation performance via knowledge integration capability.
(4) Technological environment dynamics has significant and positive influence on structural and relational embeddedness.Particularly,technological environment dynamics has significant and positive influence on diversity of partners; Technological environment dynamics also has significant and positive influence on trust,joint problem solving and commitment.
The main theoretical innovation and contribution of this paper can be summarized as follows:
(1) The definition of knowledge-based dynamic capabilities and identification of their constructs in this paper make the concept clearer,the object more focused and the boundary more definite in dynamic capabilities research.This is helpful to solve problems like "too broad concept" and "hard to observe" and improve the rigour and systematism and hence promote the development of dynamic capabilities research, especially quantitative studies and the integration of the research of dynamic capabilities and knowledge-based view.
(2) The exploration of the relationship between knowledge-based dynamic capabilities,network embeddedness and innovation performance reveals that different network embeddedness attributes including diversity,trust,joint problem solving and commitment have significant influence on knowledge acquisition capability and knowledge integration capability and knowledge integration capability has pivotal impact on innovation performance.Therefore,a theoretical framework-"network embeddedness-dynamic capabilities-innovation performance" is established and the "black box" of the mechanism of network embeddedness is opened.These findings may inspire future research on dynamic capabilities and innovation in the network circumstance.
(3) The significant influence of technological environment dynamics on network embeddedness attributes like diversity,trust,joint problem solving and commitment found in this paper reveals that firms are not only passive actors accepting changes in network but can actively adjust their network attributes according to environment dynamics.This finding contributes to more comprehensive and in-depth understanding on network level behavior of firm in dynamic environment.
引文
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