转型经济背景下后发企业启发式规则、研发网络边界拓展与创新追赶
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摘要
转型经济背景下的后发企业在本土与全球与发达国家跨国企业展开全方位竞争。在不具有国际领先级别的技术和市场能力,且需要在复杂制度情境下做出战略抉择等后发劣势下,许多企业都通过构建全球研发网络提升自身创新能力,进而取得了醒目成功(例如吉利等都跻身于世界五百强)。本文以此现象为切入点,探究在转型经济背景下,后发企业如何通过研发网络边界拓展实现创新追赶?
为回答这个总的研究问题,本文设计并展开了四个子研究。首先,针对子研究问题一“后发企业如何通过研发网络边界拓展实现创新追赶”,本文采用多案例研究的方法,以浙江省四家高新技术企业为例,探索和总结转型经济背景下后发企业通过研发网络边界拓展实现创新追赶的过程与机制。其次,为了进一步概化多案例研究的部分结果,检验多案例研究主要逻辑的适用性,本文针对子研究问题二“企业内部知识基如何影响后发企业研发网络组织、地理和知识边界拓展与创新追赶的关系”,通过对浙江省具有省级高新技术研究开发中心资质的926家样本企业两年数据的统计分析,讨论和检验研发网络组织、地理和知识边界拓展作用于创新追赶的机制和现存知识基对于这些机制的调节作用。第三,进一步分析后发企业如何从中国独特的制度因素中形成机会创造型和机会获取型启发式规则,进而影响研发网络边界拓展的战略抉择在转型经济背景下显得十分重要,本文针对子研究问题三“启发式规则如何影响后发企业研发网络边界拓展的战略抉择”,通过规范分析,讨论并提出了启发式规则与研发网络边界拓展的理论框架。最后,为了更清晰地提供一个完整“转型经济背景下后发企业通过研发网络边界拓展实现创新追赶”的图景,本文针对子研究问题四“启发式规则如何影响后发企业开展研发网络边界拓展的战略抉择,进而实现创新追赶”,以吉利集团为背景,采用嵌套式的案例研究来刻画“启发式规则——研发网络边界拓展——创新追赶”的过程机制。
研究结论如下。第一,四个浙江省高新技术企业的多案例研究发现,后发企业研发网络组织边界、地理边界和知识边界拓展方式之间相互补充,共同驱动后发企业的研发网络演化,同时在不同追赶阶段,后发企业针对不同边界拓展方式,分别采用制度化和整合化机制,在研发网络中实现探索式创新和利用式创新的均衡以及内部研发和合作研发的协同,最终实现创新追赶。具体而言,首先,后发企业需要通过研发网络组织边界的逐步拓展,在制度化和整合化机制的管理下,获取互补性资源,同时构建社区,进行交互式学习,进而从正式或者非正式的跨组织边界研发网络中学习以获取和创造知识。其次,在合适的时间构建本地、跨区域以及全球研发网络能够一定程度上帮助企业获取新市场(跨区域市场和全球市场)的技术知识以及其他来源的知识,并且有效地避免交流和协调成本。最后,后发企业在追赶的不同阶段进行知识宽度拓展以及知识深度拓展至关重要。正是由于基于边界拓展的研发网络构建活动,一方面通过知识获取提升自身创新能力,另一方面反过来提升在合作创新中的知识创造能力,内部研发和外部合作的协同,帮助后发企业实现探索式创新和开发式创新的均衡,最终实现创新追赶。
第二,以浙江省926家企业的大样本实证分析证实了研发网络边界拓展在帮助企业获取有价值知识的同时还需面临高昂的成本,并且内部知识基和外部合作存在协同作用。具体而言,首先,后发企业研发网络的组织边界拓展和创新绩效有着倒U型的关系。其次,后发企业研发网络地理边界拓展对技术创新绩效有着正向影响的关系。再次,后发企业研发网络知识边界拓展对技术创新绩效有着正向影响的关系。最后,企业内部知识基对后发企业研发网络组织边界拓展对创新绩效的影响存在调节作用：后发企业研发网络组织边界拓展与技术创新绩效之间的倒U型关系会随着现存知识基的增加而变平缓；后发企业研发网络地理边界拓展与技术创新绩效之间的线性正向关系会随着现存知识基的增加而增强；后发企业研发网络知识边界拓展与技术创新绩效之间的线性正向关系会随着现存知识基的增加而增强。
第三,通过规范分析,本研究详细讨论了战略管理中启发式规则的源起、定义和内涵,提出并比较了机会创造型启发式规则和机会获取型启发式规则的区别,而后分析了转型经济背景下制度环境和市场环境的独特特征下启发式规则的作用。在此基础上,以认知和行动双重性战略形成框架为基础,搭建了启发式规则与研发网络边界拓展战略抉择的理论模型,提出机会创造型和机会获取型启发式规则是后发企业在制度环境复杂性和市场环境复杂性中创造和获取机会,实现研发网络组织边界拓展、地理边界拓展和知识边界拓展的关键所在。
第四,以吉利为背景的嵌套式案例研究发现,制度转型和对自身后发缺陷的感知会影响研发网络边界拓展的相关战略抉择,进而帮助后发企业实现创新追赶,在这一过程中启发式规则(组织认知层面)和组织惯例(组织行为层面)扮演了重要角色。具体而言,首先,制度环境和自身能力的感知对于后发企业的组织认知和行为不仅有限制作用,也有使能作用。从企业把制度感知成为一个意义系统的角度出发,特别是通过机会创造型启发式规则,不论是文献中提及的弱制度、制度缺失、制度支持或者制度转型过程等,均有可能发挥其使能作用,使得企业做出有利于快速追赶的战略抉择。其次,启发式规则和组织惯例作为组织认知和组织行为层面的核心变量对于后发企业通过感知制度和自身能力做出研发网络边界拓展战略抉择扮演着重要角色。再次,基于组织、地理和知识边界拓展的研发网络构建战略直接后果是创新能力和创新绩效的提升,这些后果进一步反馈于后发企业感知到的制度环境和技术能力与市场能力的差距,进而开始新一阶段的追赶。
本文的主要创新点在于：第一,构建多层次研发网络边界拓展对创新追赶的协同作用机理模型；第二,理论提出和实证检验了研发网络边界拓展与企业内部知识基对于后发企业追赶的影响机制；第三,理论提出和案例探索了后发企业进行研发网络边界拓展战略抉择实现创新追赶的认知和行为机制。这些结论对于后发企业追赶文献以及研发网络文献有着重要贡献,对于后发企业管理者有一定的启示。
Recently, firms in transitional economies have spurred increasing competition with advanced economy multinational enterprises (AMNEs) domestically or/and globally. Typically, as latecomer firms, they do not possess superior technological and managerial resources, and have to make strategic choices for catching-up under complex institutional framework. But some of them (e.g., Geely, Huawei) masterfully build global R&D network for improving innovation capability and compete with AMNEs domestically and globally. This dissertation thus focus on how these firms in transitional economies achieve catching-up with AMNEs by spanning their R&D network boundaries.
In order to illustrate specific answers, this dissertation contains four studies. First, by conducting a multiple case study of four high technology firms in Zhejiang Province in China, an innovation catch-up model through R&D network boundary spanning activities has emerged. Second, for verifying the generalizability of the findings from previous case study, the study uses a sample of926firms in Zhejiang Province of China to examine the relationship between R&D network organizational, geographical, and knowledge boundary spanning and innovation catch-up, and how existing knowledge base moderates these relationships. Third, after theoretical elaboration, this dissertation builds a theoretical framework that explains how organizational heuristics influence R&D network boundary spanning strategies. Fourth, by conducting embedded case studies in the setting of Zhejiang Geely Holding Group (Geely for short) in China, this study focuses on three stages of its catching-up process, and tries to understand how Geely made R&D boundary spanning choices when facing difficult institutional environments and latecomer disadvantages in respective stage to achieve catching up successfully.
The main findings are as follows. First, after analysis of four longitudinal cases in China, this study illustrates how latecomer firms span their organizational, geographical and knowledge boundaries of R&D network to achieve innovation catch-up. The results indicate that latecomer firms need to build cross organizational boundary to acquire complementary resources and to interactive learn within network for new knowledge creation in the building essential knowledge base stage. At the right time, latecomer firms should build local, glocal and global R&D network to acquire heterogeneous knowledge and reduce communication and coordination cost for transition. Moreover, in each different stage, latecomer firms could span knowledge breadth (e.g., increasing knowledge disciplines) and knowledge depth (e.g., increasing knowledge complexity and specialization to build capability). Integrating organizational geographical and knowledge boundaries spanning of R&D network is in favor of innovation catch-up for latecomer firms.
Second, by using926sample firms from Zhejiang Province in China, this research examines how latecomers'R&D boundary spanning activities impact innovation capability catch-up in China's transition economy. The results indicate that there is an inversed U relationship of the R&D organizational boundary spanning activities and innovation performance. Moreover, this research proposes that there are positive significant relationships of the R&D geographical, knowledge boundary spanning activities and innovation performance. And finally, this research puts forward the moderate role of existing knowledge base in the relationship between R&D network boundary spanning and innovation performance.
Third, after theoretical elaboration, this study defines organizational heuristics, and clarifies opportunity creating heuristics and opportunity capturing heuristics, and discusses their different roles played in the transitional economy. Moreover, built upon the duality origins of strategy, this dissertation proposes a theoretical framework of organizational heuristics and R&D network boundary spanning under the context of transitional economy.
Fourth, after theoretical elaboration and embedded case study of Geely, the last research indicates that the dual roles of institutions in both empowering and constraining organizational heuristics for latecomer firms in transitional economics has emerged. Then, this research compares and explores the different organizational processes and their relationships. Moreover, the results indicate that the different organizational processes can facilitate strategic choices making of R&D boundary spanning activities, and the feedback loop of how these choices can help firms deal with the latecomer disadvantages.
This dissertation also discusses the contributions of these studies for catch-up literature and R&D network literature. And managerial implications for managers in latecomer firms are also discussed. Future research directions are the end of this dissertation.
为回答这个总的研究问题,本文设计并展开了四个子研究。首先,针对子研究问题一“后发企业如何通过研发网络边界拓展实现创新追赶”,本文采用多案例研究的方法,以浙江省四家高新技术企业为例,探索和总结转型经济背景下后发企业通过研发网络边界拓展实现创新追赶的过程与机制。其次,为了进一步概化多案例研究的部分结果,检验多案例研究主要逻辑的适用性,本文针对子研究问题二“企业内部知识基如何影响后发企业研发网络组织、地理和知识边界拓展与创新追赶的关系”,通过对浙江省具有省级高新技术研究开发中心资质的926家样本企业两年数据的统计分析,讨论和检验研发网络组织、地理和知识边界拓展作用于创新追赶的机制和现存知识基对于这些机制的调节作用。第三,进一步分析后发企业如何从中国独特的制度因素中形成机会创造型和机会获取型启发式规则,进而影响研发网络边界拓展的战略抉择在转型经济背景下显得十分重要,本文针对子研究问题三“启发式规则如何影响后发企业研发网络边界拓展的战略抉择”,通过规范分析,讨论并提出了启发式规则与研发网络边界拓展的理论框架。最后,为了更清晰地提供一个完整“转型经济背景下后发企业通过研发网络边界拓展实现创新追赶”的图景,本文针对子研究问题四“启发式规则如何影响后发企业开展研发网络边界拓展的战略抉择,进而实现创新追赶”,以吉利集团为背景,采用嵌套式的案例研究来刻画“启发式规则——研发网络边界拓展——创新追赶”的过程机制。
研究结论如下。第一,四个浙江省高新技术企业的多案例研究发现,后发企业研发网络组织边界、地理边界和知识边界拓展方式之间相互补充,共同驱动后发企业的研发网络演化,同时在不同追赶阶段,后发企业针对不同边界拓展方式,分别采用制度化和整合化机制,在研发网络中实现探索式创新和利用式创新的均衡以及内部研发和合作研发的协同,最终实现创新追赶。具体而言,首先,后发企业需要通过研发网络组织边界的逐步拓展,在制度化和整合化机制的管理下,获取互补性资源,同时构建社区,进行交互式学习,进而从正式或者非正式的跨组织边界研发网络中学习以获取和创造知识。其次,在合适的时间构建本地、跨区域以及全球研发网络能够一定程度上帮助企业获取新市场(跨区域市场和全球市场)的技术知识以及其他来源的知识,并且有效地避免交流和协调成本。最后,后发企业在追赶的不同阶段进行知识宽度拓展以及知识深度拓展至关重要。正是由于基于边界拓展的研发网络构建活动,一方面通过知识获取提升自身创新能力,另一方面反过来提升在合作创新中的知识创造能力,内部研发和外部合作的协同,帮助后发企业实现探索式创新和开发式创新的均衡,最终实现创新追赶。
第二,以浙江省926家企业的大样本实证分析证实了研发网络边界拓展在帮助企业获取有价值知识的同时还需面临高昂的成本,并且内部知识基和外部合作存在协同作用。具体而言,首先,后发企业研发网络的组织边界拓展和创新绩效有着倒U型的关系。其次,后发企业研发网络地理边界拓展对技术创新绩效有着正向影响的关系。再次,后发企业研发网络知识边界拓展对技术创新绩效有着正向影响的关系。最后,企业内部知识基对后发企业研发网络组织边界拓展对创新绩效的影响存在调节作用：后发企业研发网络组织边界拓展与技术创新绩效之间的倒U型关系会随着现存知识基的增加而变平缓；后发企业研发网络地理边界拓展与技术创新绩效之间的线性正向关系会随着现存知识基的增加而增强；后发企业研发网络知识边界拓展与技术创新绩效之间的线性正向关系会随着现存知识基的增加而增强。
第三,通过规范分析,本研究详细讨论了战略管理中启发式规则的源起、定义和内涵,提出并比较了机会创造型启发式规则和机会获取型启发式规则的区别,而后分析了转型经济背景下制度环境和市场环境的独特特征下启发式规则的作用。在此基础上,以认知和行动双重性战略形成框架为基础,搭建了启发式规则与研发网络边界拓展战略抉择的理论模型,提出机会创造型和机会获取型启发式规则是后发企业在制度环境复杂性和市场环境复杂性中创造和获取机会,实现研发网络组织边界拓展、地理边界拓展和知识边界拓展的关键所在。
第四,以吉利为背景的嵌套式案例研究发现,制度转型和对自身后发缺陷的感知会影响研发网络边界拓展的相关战略抉择,进而帮助后发企业实现创新追赶,在这一过程中启发式规则(组织认知层面)和组织惯例(组织行为层面)扮演了重要角色。具体而言,首先,制度环境和自身能力的感知对于后发企业的组织认知和行为不仅有限制作用,也有使能作用。从企业把制度感知成为一个意义系统的角度出发,特别是通过机会创造型启发式规则,不论是文献中提及的弱制度、制度缺失、制度支持或者制度转型过程等,均有可能发挥其使能作用,使得企业做出有利于快速追赶的战略抉择。其次,启发式规则和组织惯例作为组织认知和组织行为层面的核心变量对于后发企业通过感知制度和自身能力做出研发网络边界拓展战略抉择扮演着重要角色。再次,基于组织、地理和知识边界拓展的研发网络构建战略直接后果是创新能力和创新绩效的提升,这些后果进一步反馈于后发企业感知到的制度环境和技术能力与市场能力的差距,进而开始新一阶段的追赶。
本文的主要创新点在于：第一,构建多层次研发网络边界拓展对创新追赶的协同作用机理模型；第二,理论提出和实证检验了研发网络边界拓展与企业内部知识基对于后发企业追赶的影响机制；第三,理论提出和案例探索了后发企业进行研发网络边界拓展战略抉择实现创新追赶的认知和行为机制。这些结论对于后发企业追赶文献以及研发网络文献有着重要贡献,对于后发企业管理者有一定的启示。
Recently, firms in transitional economies have spurred increasing competition with advanced economy multinational enterprises (AMNEs) domestically or/and globally. Typically, as latecomer firms, they do not possess superior technological and managerial resources, and have to make strategic choices for catching-up under complex institutional framework. But some of them (e.g., Geely, Huawei) masterfully build global R&D network for improving innovation capability and compete with AMNEs domestically and globally. This dissertation thus focus on how these firms in transitional economies achieve catching-up with AMNEs by spanning their R&D network boundaries.
In order to illustrate specific answers, this dissertation contains four studies. First, by conducting a multiple case study of four high technology firms in Zhejiang Province in China, an innovation catch-up model through R&D network boundary spanning activities has emerged. Second, for verifying the generalizability of the findings from previous case study, the study uses a sample of926firms in Zhejiang Province of China to examine the relationship between R&D network organizational, geographical, and knowledge boundary spanning and innovation catch-up, and how existing knowledge base moderates these relationships. Third, after theoretical elaboration, this dissertation builds a theoretical framework that explains how organizational heuristics influence R&D network boundary spanning strategies. Fourth, by conducting embedded case studies in the setting of Zhejiang Geely Holding Group (Geely for short) in China, this study focuses on three stages of its catching-up process, and tries to understand how Geely made R&D boundary spanning choices when facing difficult institutional environments and latecomer disadvantages in respective stage to achieve catching up successfully.
The main findings are as follows. First, after analysis of four longitudinal cases in China, this study illustrates how latecomer firms span their organizational, geographical and knowledge boundaries of R&D network to achieve innovation catch-up. The results indicate that latecomer firms need to build cross organizational boundary to acquire complementary resources and to interactive learn within network for new knowledge creation in the building essential knowledge base stage. At the right time, latecomer firms should build local, glocal and global R&D network to acquire heterogeneous knowledge and reduce communication and coordination cost for transition. Moreover, in each different stage, latecomer firms could span knowledge breadth (e.g., increasing knowledge disciplines) and knowledge depth (e.g., increasing knowledge complexity and specialization to build capability). Integrating organizational geographical and knowledge boundaries spanning of R&D network is in favor of innovation catch-up for latecomer firms.
Second, by using926sample firms from Zhejiang Province in China, this research examines how latecomers'R&D boundary spanning activities impact innovation capability catch-up in China's transition economy. The results indicate that there is an inversed U relationship of the R&D organizational boundary spanning activities and innovation performance. Moreover, this research proposes that there are positive significant relationships of the R&D geographical, knowledge boundary spanning activities and innovation performance. And finally, this research puts forward the moderate role of existing knowledge base in the relationship between R&D network boundary spanning and innovation performance.
Third, after theoretical elaboration, this study defines organizational heuristics, and clarifies opportunity creating heuristics and opportunity capturing heuristics, and discusses their different roles played in the transitional economy. Moreover, built upon the duality origins of strategy, this dissertation proposes a theoretical framework of organizational heuristics and R&D network boundary spanning under the context of transitional economy.
Fourth, after theoretical elaboration and embedded case study of Geely, the last research indicates that the dual roles of institutions in both empowering and constraining organizational heuristics for latecomer firms in transitional economics has emerged. Then, this research compares and explores the different organizational processes and their relationships. Moreover, the results indicate that the different organizational processes can facilitate strategic choices making of R&D boundary spanning activities, and the feedback loop of how these choices can help firms deal with the latecomer disadvantages.
This dissertation also discusses the contributions of these studies for catch-up literature and R&D network literature. And managerial implications for managers in latecomer firms are also discussed. Future research directions are the end of this dissertation.
引文
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