质量管理实践对企业创新绩效的作用机制研究：创新心智模式的中介效应
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摘要
随着全球经济一体化和网络化不断推进,质量对维系企业生存与发展的重要性日益凸显,亦为诸多质量管理实践的导入与推行提供了新契机。与此同时,在复杂动态的环境下,创新愈加成为企业获取持续竞争优势的通用赢家准则。如此,在以卓越绩效模式为代表的质量管理实践盛行的当下,此两种异质性管理实践是否存在冲突?即质量管理实践是有利促进或抑制创新?其作用的过程机制如何?这是一个亟待破解的重要理论与实践问题。遗憾的是,现有的研究结论仍存分歧,这种分歧性结论易于引起实践者的迷惑。由此,厘清质量管理实践对创新绩效的影响,揭示其影响的过程机理,形成逻辑一贯的有效解释就显得尤为迫切。
本文围绕质量管理实践如何影响企业创新绩效这一核心问题展开研究,藉借并融合质量管理理论、社会认知理论、创新理论与情境理论等,依照“输入—加工—输出”研究范式,沿循“实践—认知—绩效”的分析逻辑,建立“质量管理实践—创新心智模式—创新绩效”的理论框架,逐层深入地探究以下四个逻辑紧密相关的子问题：(1)中国情境下质量管理实践对企业创新绩效有何影响?(2)创新心智模式构念内涵及其维度如何表征?(3)其作用于质量管理实践与创新绩效的内在机制是什么?(4)不同情境下质量管理实践对创新绩效影响有何变异性表现?为了解答上述研究问题,本文综合应用文献研究、实地访谈、扎根研究与实证分析等多种研究方法,通过四个子研究逐层深入地进行论述。
子研究一基于相关研究成果的系统梳理,在辨析质量管理实践的内涵及其构成要素基础上,探索识别中国情境下质量管理实践的结构表征,以此为基础,提出研究的理论假设与概念模型,并应用结构方程建模技术对质量管理实践与创新绩效的关系进行实证分析。研究结果表明,本土质量管理基础实践包括领导承诺、顾客导向和员工参与对产品及过程创新绩效具有显著的正向促进作用,并且持续改进与过程管理核心实践子维度对产品及过程创新绩效也具有显著的提升作用,但供应商关系对产品与过程创新绩效的积极影响没有得到支持。此外,基础实践与核心实践的交互作用对产品及过程创新绩效的正向影响也得到证实。
子研究二应用扎根研究的方法,以15家导入质量管理实践的企业原型为样本,通过对24位企业相关人员的深度访谈获取充分的现场数据信息,采用三级编码方法(开放式编码、主轴编码和选择性编码)对访谈资料进行分析提取,深入发掘出创新心智模式的概念内涵与维度结构。扎根研究结果表明,创新心智模式是一个多维构念,包含风险认知、自主行动和共存包容三个子维度。基于扎根研究结论并结合以往研究成果,论文进一步开发了创新心智模式的测量工具,探索性因子分析(EFA)与验证性因子分析(CFA)结果表明,创新心智模式量表具有较好的信度和效度,实证结果进一步支持了创新心智模式的三维结构模型,也为后续中介机制的探寻奠定了基础。
在扎根研究基础上,子研究三深入探讨并检验了质量管理实践作用创新绩效的过程机制。通过对源自9个省(市)的大样本数据结构方程分析发现,基础实践能够促进形成风险认知、自主行动和共存包容的心智模式,进而正向影响产品和过程创新绩效。而风险认知和自主行动在核心实践与产品及过程创新绩效之间的中介作用也得到证实,但共存包容的中介作用在本研究中没有得到证实。总体上,质量管理实践对产品与过程创新绩效具有正向促进作用,而这种促进作用正是通过创新心智模式为中介来实现的。子研究四引入市场动态性和技术战略导向两类调节变量,细致考察了不同情境下质量管理实践对创新绩效影响的变异表现。多元层级回归分析的结果表明：市场动态性对基础实践与产品创新绩效具有显著的调节作用,但对过程创新绩效的调节不显著,而核心实践对过程创新绩效的影响也受市场动态性的负向调节,但其对产品创新绩效的调节影响不显著；技术战略导向能够显著促进基础实践对产品与过程创新绩效的正向影响,并对核心实践与过程创新绩效关系也具有正向调节作用,但其对核心实践与产品创新绩效关系的调节影响不显著。
与已有研究相比,本文构建了“实践—认知—绩效”的研究框架,论文的理论贡献主要体现在以下三个方面：
(1)推进并丰富了本土质量管理实践对创新绩效影响的相关研究。本文基于中国实践情境,较系统地考察了本土质量管理实践(基础实践、核心实践及其两者的交互作用)对创新绩效的影响,并融入权变管理的思想,深入发掘了不同情境下其影响的变异表现。论文的研究不仅有益于澄清西方学界的研究争议,深化对质量管理实践作用情境和边界的理解,而且也积极推进并丰富了本土质量管理实践与创新的相关研究。
(2)探索并检验了创新心智模式的概念构思。以心智模式构念为切入点,运用扎根理论方法挖掘出创新心智模式的构思内涵与维度结构,并开发了中国情景下创新心智模式的测量量表。扎根于多个实践原型基础上抽取的创新心智模式结构表征及其测量工具的开发,不仅拓展了一般心智模式构念的内涵,深化了我们对心智模式概念的认识与理解,也为探索企业创新本源过程提供了新的经验证据和研究思路。
(3)厘清并揭示了质量管理实践影响创新绩效的过程机制。本文从社会认知视角(心智模式)进行切入,在扎根研究的基础上,深入揭示了质量管理实践通过创新心智模式的中介传导影响创新绩效的过程机制。论文的研究初步实现了在过程机制的探寻中从行为表象的分析转向认知机理的构建,从而为全面透视质量管理实践对创新绩效的作用机制提供了崭新的研究视角,在一定程度上推动了质量管理实践研究的实质性进展。
With the global economic integration and networking constantly advancing, the importance of quality to maintain the survival and development of firms has become increasingly prominent, which provides new opportunity for firms to introduce and implementation quality management practices. Meanwhile, in complex and dynamic environment, innovation is increasingly become a universal winning order criteria for firms to gain sustainable competitive advantage. So, prevalent now in quality management practices taking excellence performance model as a representative, is there any conflict between this two kinds of heterogeneous management practice? Namely, quality management practice is favorable to promote or inhibit innovation? What is its influencing mechanism? This is an important theoretical and practical issues must be solved urgently. Unfortunately, the existing research conclusions are still differences, and this divergent conclusions will easily cause practitioners confused. Thus, clarifying the effect of quality management practices on innovation performance, revealing the mechanism of how quality management practices impact on innovation performance, forming logic and effective interpretation is particularly urgent.
This dissertation aims to answer the fundamental question of this research, that "how quality management practices impact on firm's innovation performance referencing and integrating quality management theory, social cognitive theory, innovation theory and contingency theory, according to the research paradigm of "input-process-output", following the logic of "practices-cognition performance" establishing the theoretical framework of "quality management practices-innovation mental models-innovation performance", exploring the following four closely related sub-questions step by step:First, how quality management practices influence on firm's innovation performance in Chinese context? Second, what is innovation mental models mean and its dimensions? Third, what is the internal mechanism of innovation mental models impact on quality management and innovation performance? Finally, what are the different effects of quality management on innovation performance in different situations. In order to answer the above-mentioned questions, this dissertation explores these issues gradually and orderly by three sub-researches with combination of literature review, investigation, grounded theory and empirical research etc.
Based on related literature review, analyzing the conception and dimensions of quality management practices, the first sub-research firstly identifies the structural dimensions of quality management practices under Chinese context, then, the research hypothesis and theoretical model is proposed, and structural equation modeling is applied to analyze the relationship between quality management practices and innovation performance. The results indicate that local infrastructure practices including leadership commitment, customer orientation and employee participation have positive effect on product and process innovation performance, and continuous improvement, process management core practices also are beneficial to the improvement of product and process innovation performance, but the positive relationship between supplier relations and product and process innovation performance is not verified. In addition, the interaction effect of infrastructure practice and core practice has positively influence on product and process innovation performance is also confirmed.
In the second sub-research, grounded theory is applied to conduct research, we select15enterprises which introduced quality management practices as research sample, and in-depth interviews with24related members of the firms have been conducted to collect sufficient field data, then, open coding, axial coding, and selective coding have been used to analyze the interview data, which helps to discover the conception and its internal construct of innovation mental models. Grounded theory analysis results show that the innovation mental models are a multidimensional construct, including three sub-dimensions, they are:risk perception, initiative action and mutual tolerance. Based on the grounded theory analysis conclusions and previous related research, we further develop the measurement tools of innovation mental models, the exploratory factor analysis (EFA) and confirmatory factor analysis (CFA) results show that, the scale of innovation mental models has qualified reliability and validity, the empirical results further support that innovation mental models are the three-dimensional structural model, the result also laid the foundation for subsequent mediation mechanism exploration.
On the basis of the grounded research, the third sub-research deeply explores and examines the mechanism of how quality management practices impact on innovation performance. Through the analysis of a large sample of data from nine provinces (municipalities) using structural equation modeling, we find that infrastructure practices can promote formation the mental models of risk perception, initiative action and mutual tolerance, then positive influence on product and process innovation performance. And the mediation role of risk perception and initiative action between core practices and product and process innovation performance has also been confirmed, but the mediation role of mutual tolerance has not been confirmed in this study. Overall, quality management practices can positively promote firm's product and process innovation performance, and this positive effect is achieved through the mediation role of innovation mental models.
Two types of moderating variables including market turbulence and technology-oriented strategy are introduced in the fourth sub-research, we detailed investigate the variation effects of quality management practices on innovation performance in different contexts. Multi-level regression analysis show that, market dynamics significantly moderates the relationship between infrastructure practices and product innovation performance, while the moderating effect is not significant for process innovation performance, and the relationship between core practices and process innovation performance is also negatively moderated by the market dynamics, but the moderating effect is not significant for product innovation performance; technology-oriented strategy can significantly promote the effects of infrastructure practice on product and process innovation performance, and it can also positively moderates the relationship between core practices and process innovation performance, but it cannot moderate the relationship between core practices and product innovation performance.
Compared with the previous studies, we build the research framework of "practices-cognition-performance", and the main theoretical contributions are as following:
First, this dissertation promotes and enriches local research of the effect of quality management practices on firm's innovation performance. Based on Chinese practice context, we systematically investigated the influence of local quality management practices (infrastructure practices, core practices and their interaction effect) on innovation performance, and integrating contingency management theory to deeply explore its variation effect in different context. The dissertation can not only be beneficial to clarify the debate of Western scholars, deepen understanding the context and boundaries of the role of quality management practices, but also effectively promote and enrich the local related research of the relationship between quality management practices and innovation.
Secondly, we identify and test the construct of innovation mental models. Taking mental models as starting point, we use grounded theory method to discover the construct meaning and its dimension of innovation mental models, meanwhile, the measurement tools of innovation mental models under Chinese context are developed. Refining the structural dimensions of innovation mental models and developing its measurement tools based on several practice prototype, will not only expands the meaning of general mental models, deepen our knowledge and understanding of the conception of mental models, but also provides new empirical evidence and research ideas to explore the original process of innovation of the firm.
Thirdly, this dissertation clarifies and reveals the mechanism of how quality management practices impact on innovation performance. We conduct our research from the point of social cognitive perspective(mental models), on the basis of grounded research, and the mechanism of how quality management practices effect on innovation performance by the mediation role of innovation mental models is deeply revealed. This dissertation preliminary realized to explore the process mechanism from analysis the behavior representation to build cognitive theory. Which provides new perspective on comprehensive studying how quality management practices impact on innovation performance, and promotes the substantive progress in the research of quality management practices to a certain degree.
本文围绕质量管理实践如何影响企业创新绩效这一核心问题展开研究,藉借并融合质量管理理论、社会认知理论、创新理论与情境理论等,依照“输入—加工—输出”研究范式,沿循“实践—认知—绩效”的分析逻辑,建立“质量管理实践—创新心智模式—创新绩效”的理论框架,逐层深入地探究以下四个逻辑紧密相关的子问题：(1)中国情境下质量管理实践对企业创新绩效有何影响?(2)创新心智模式构念内涵及其维度如何表征?(3)其作用于质量管理实践与创新绩效的内在机制是什么?(4)不同情境下质量管理实践对创新绩效影响有何变异性表现?为了解答上述研究问题,本文综合应用文献研究、实地访谈、扎根研究与实证分析等多种研究方法,通过四个子研究逐层深入地进行论述。
子研究一基于相关研究成果的系统梳理,在辨析质量管理实践的内涵及其构成要素基础上,探索识别中国情境下质量管理实践的结构表征,以此为基础,提出研究的理论假设与概念模型,并应用结构方程建模技术对质量管理实践与创新绩效的关系进行实证分析。研究结果表明,本土质量管理基础实践包括领导承诺、顾客导向和员工参与对产品及过程创新绩效具有显著的正向促进作用,并且持续改进与过程管理核心实践子维度对产品及过程创新绩效也具有显著的提升作用,但供应商关系对产品与过程创新绩效的积极影响没有得到支持。此外,基础实践与核心实践的交互作用对产品及过程创新绩效的正向影响也得到证实。
子研究二应用扎根研究的方法,以15家导入质量管理实践的企业原型为样本,通过对24位企业相关人员的深度访谈获取充分的现场数据信息,采用三级编码方法(开放式编码、主轴编码和选择性编码)对访谈资料进行分析提取,深入发掘出创新心智模式的概念内涵与维度结构。扎根研究结果表明,创新心智模式是一个多维构念,包含风险认知、自主行动和共存包容三个子维度。基于扎根研究结论并结合以往研究成果,论文进一步开发了创新心智模式的测量工具,探索性因子分析(EFA)与验证性因子分析(CFA)结果表明,创新心智模式量表具有较好的信度和效度,实证结果进一步支持了创新心智模式的三维结构模型,也为后续中介机制的探寻奠定了基础。
在扎根研究基础上,子研究三深入探讨并检验了质量管理实践作用创新绩效的过程机制。通过对源自9个省(市)的大样本数据结构方程分析发现,基础实践能够促进形成风险认知、自主行动和共存包容的心智模式,进而正向影响产品和过程创新绩效。而风险认知和自主行动在核心实践与产品及过程创新绩效之间的中介作用也得到证实,但共存包容的中介作用在本研究中没有得到证实。总体上,质量管理实践对产品与过程创新绩效具有正向促进作用,而这种促进作用正是通过创新心智模式为中介来实现的。子研究四引入市场动态性和技术战略导向两类调节变量,细致考察了不同情境下质量管理实践对创新绩效影响的变异表现。多元层级回归分析的结果表明：市场动态性对基础实践与产品创新绩效具有显著的调节作用,但对过程创新绩效的调节不显著,而核心实践对过程创新绩效的影响也受市场动态性的负向调节,但其对产品创新绩效的调节影响不显著；技术战略导向能够显著促进基础实践对产品与过程创新绩效的正向影响,并对核心实践与过程创新绩效关系也具有正向调节作用,但其对核心实践与产品创新绩效关系的调节影响不显著。
与已有研究相比,本文构建了“实践—认知—绩效”的研究框架,论文的理论贡献主要体现在以下三个方面：
(1)推进并丰富了本土质量管理实践对创新绩效影响的相关研究。本文基于中国实践情境,较系统地考察了本土质量管理实践(基础实践、核心实践及其两者的交互作用)对创新绩效的影响,并融入权变管理的思想,深入发掘了不同情境下其影响的变异表现。论文的研究不仅有益于澄清西方学界的研究争议,深化对质量管理实践作用情境和边界的理解,而且也积极推进并丰富了本土质量管理实践与创新的相关研究。
(2)探索并检验了创新心智模式的概念构思。以心智模式构念为切入点,运用扎根理论方法挖掘出创新心智模式的构思内涵与维度结构,并开发了中国情景下创新心智模式的测量量表。扎根于多个实践原型基础上抽取的创新心智模式结构表征及其测量工具的开发,不仅拓展了一般心智模式构念的内涵,深化了我们对心智模式概念的认识与理解,也为探索企业创新本源过程提供了新的经验证据和研究思路。
(3)厘清并揭示了质量管理实践影响创新绩效的过程机制。本文从社会认知视角(心智模式)进行切入,在扎根研究的基础上,深入揭示了质量管理实践通过创新心智模式的中介传导影响创新绩效的过程机制。论文的研究初步实现了在过程机制的探寻中从行为表象的分析转向认知机理的构建,从而为全面透视质量管理实践对创新绩效的作用机制提供了崭新的研究视角,在一定程度上推动了质量管理实践研究的实质性进展。
With the global economic integration and networking constantly advancing, the importance of quality to maintain the survival and development of firms has become increasingly prominent, which provides new opportunity for firms to introduce and implementation quality management practices. Meanwhile, in complex and dynamic environment, innovation is increasingly become a universal winning order criteria for firms to gain sustainable competitive advantage. So, prevalent now in quality management practices taking excellence performance model as a representative, is there any conflict between this two kinds of heterogeneous management practice? Namely, quality management practice is favorable to promote or inhibit innovation? What is its influencing mechanism? This is an important theoretical and practical issues must be solved urgently. Unfortunately, the existing research conclusions are still differences, and this divergent conclusions will easily cause practitioners confused. Thus, clarifying the effect of quality management practices on innovation performance, revealing the mechanism of how quality management practices impact on innovation performance, forming logic and effective interpretation is particularly urgent.
This dissertation aims to answer the fundamental question of this research, that "how quality management practices impact on firm's innovation performance referencing and integrating quality management theory, social cognitive theory, innovation theory and contingency theory, according to the research paradigm of "input-process-output", following the logic of "practices-cognition performance" establishing the theoretical framework of "quality management practices-innovation mental models-innovation performance", exploring the following four closely related sub-questions step by step:First, how quality management practices influence on firm's innovation performance in Chinese context? Second, what is innovation mental models mean and its dimensions? Third, what is the internal mechanism of innovation mental models impact on quality management and innovation performance? Finally, what are the different effects of quality management on innovation performance in different situations. In order to answer the above-mentioned questions, this dissertation explores these issues gradually and orderly by three sub-researches with combination of literature review, investigation, grounded theory and empirical research etc.
Based on related literature review, analyzing the conception and dimensions of quality management practices, the first sub-research firstly identifies the structural dimensions of quality management practices under Chinese context, then, the research hypothesis and theoretical model is proposed, and structural equation modeling is applied to analyze the relationship between quality management practices and innovation performance. The results indicate that local infrastructure practices including leadership commitment, customer orientation and employee participation have positive effect on product and process innovation performance, and continuous improvement, process management core practices also are beneficial to the improvement of product and process innovation performance, but the positive relationship between supplier relations and product and process innovation performance is not verified. In addition, the interaction effect of infrastructure practice and core practice has positively influence on product and process innovation performance is also confirmed.
In the second sub-research, grounded theory is applied to conduct research, we select15enterprises which introduced quality management practices as research sample, and in-depth interviews with24related members of the firms have been conducted to collect sufficient field data, then, open coding, axial coding, and selective coding have been used to analyze the interview data, which helps to discover the conception and its internal construct of innovation mental models. Grounded theory analysis results show that the innovation mental models are a multidimensional construct, including three sub-dimensions, they are:risk perception, initiative action and mutual tolerance. Based on the grounded theory analysis conclusions and previous related research, we further develop the measurement tools of innovation mental models, the exploratory factor analysis (EFA) and confirmatory factor analysis (CFA) results show that, the scale of innovation mental models has qualified reliability and validity, the empirical results further support that innovation mental models are the three-dimensional structural model, the result also laid the foundation for subsequent mediation mechanism exploration.
On the basis of the grounded research, the third sub-research deeply explores and examines the mechanism of how quality management practices impact on innovation performance. Through the analysis of a large sample of data from nine provinces (municipalities) using structural equation modeling, we find that infrastructure practices can promote formation the mental models of risk perception, initiative action and mutual tolerance, then positive influence on product and process innovation performance. And the mediation role of risk perception and initiative action between core practices and product and process innovation performance has also been confirmed, but the mediation role of mutual tolerance has not been confirmed in this study. Overall, quality management practices can positively promote firm's product and process innovation performance, and this positive effect is achieved through the mediation role of innovation mental models.
Two types of moderating variables including market turbulence and technology-oriented strategy are introduced in the fourth sub-research, we detailed investigate the variation effects of quality management practices on innovation performance in different contexts. Multi-level regression analysis show that, market dynamics significantly moderates the relationship between infrastructure practices and product innovation performance, while the moderating effect is not significant for process innovation performance, and the relationship between core practices and process innovation performance is also negatively moderated by the market dynamics, but the moderating effect is not significant for product innovation performance; technology-oriented strategy can significantly promote the effects of infrastructure practice on product and process innovation performance, and it can also positively moderates the relationship between core practices and process innovation performance, but it cannot moderate the relationship between core practices and product innovation performance.
Compared with the previous studies, we build the research framework of "practices-cognition-performance", and the main theoretical contributions are as following:
First, this dissertation promotes and enriches local research of the effect of quality management practices on firm's innovation performance. Based on Chinese practice context, we systematically investigated the influence of local quality management practices (infrastructure practices, core practices and their interaction effect) on innovation performance, and integrating contingency management theory to deeply explore its variation effect in different context. The dissertation can not only be beneficial to clarify the debate of Western scholars, deepen understanding the context and boundaries of the role of quality management practices, but also effectively promote and enrich the local related research of the relationship between quality management practices and innovation.
Secondly, we identify and test the construct of innovation mental models. Taking mental models as starting point, we use grounded theory method to discover the construct meaning and its dimension of innovation mental models, meanwhile, the measurement tools of innovation mental models under Chinese context are developed. Refining the structural dimensions of innovation mental models and developing its measurement tools based on several practice prototype, will not only expands the meaning of general mental models, deepen our knowledge and understanding of the conception of mental models, but also provides new empirical evidence and research ideas to explore the original process of innovation of the firm.
Thirdly, this dissertation clarifies and reveals the mechanism of how quality management practices impact on innovation performance. We conduct our research from the point of social cognitive perspective(mental models), on the basis of grounded research, and the mechanism of how quality management practices effect on innovation performance by the mediation role of innovation mental models is deeply revealed. This dissertation preliminary realized to explore the process mechanism from analysis the behavior representation to build cognitive theory. Which provides new perspective on comprehensive studying how quality management practices impact on innovation performance, and promotes the substantive progress in the research of quality management practices to a certain degree.
引文
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