后发企业吸收能力“由外至内”逻辑建构研究

发布时间：2018-04-25 20:07

本文选题：后发企业吸收能力 + “由外至内”逻辑　；参考：《电子科技大学》2017年博士论文

【摘要】：传统的吸收能力研究表明,吸收能力是企业内部研发的副产品,并需要一定的先前相关知识,能够帮助企业利用外部的新知识,同时也能够帮助企业更准确地预测未来的技术发展,实现“财富眷顾有准备的企业”,这体现的是吸收能力“由内至外”逻辑。尽管如此,新兴市场中的后发企业面临着发展的双重劣势,由于自身资源不足,没有足够的资源来用于内部的研发投入与创新。因而,后发企业吸收能力的逻辑区别于西方传统的吸收能力逻辑。本文以后发企业吸收能力作为研究对象,整合资源依赖理论和悖论视角,通过探索后发企业为什么以及如何可以建构吸收能力“由外至内”逻辑,以期能够为“没有准备的后发企业为什么也可以获得财富的眷顾?”一个较为满意的回答。本文具体研究了后发企业吸收能力“由外至内”逻辑建构的驱动条件,包含行为动态与过程动态的驱动机制。第一,通过规范分析,本文深入探讨了后发企业吸收能力开发的资源依赖逻辑,表明后发企业必须建立与外部的资源依赖结构才能够建构吸收能力新的逻辑。具体地,由于后发企业的资源需求,需要通过组织间知识转移而从外部转移知识,同时也面临外部环境的影响,需要其与外部建立资源依赖关系,并将嵌入在一个外部资源双依赖结构之中,在技术上依赖于国外领先企业,在市场上受到国内顾客的压力。进一步地,后发企业的外部资源依赖结构将影响其外部知识获取,导致其双元行为。与此同时,由于后发企业的学习效应,其所嵌入的外部资源依赖结构又是动态变化的。第二,采用政策捕获方法,收集了后发企业管理者的外部知识获取行为倾向的2160个观察值数据,检验了资源双依赖下后发企业已经具备或可以控制的资源与能力(如顾客需求、自身的内部能力)对其外部知识获取行为倾向的影响,以揭示这些已经具备或被控制的资源与能力如何驱动后发企业的学习。本文发现,顾客需求、后发企业的知识转换能力都正向影响后发企业的技术购买与技术模仿倾向。相比技术模仿,顾客需求将使后发企业更倾向于技术购买;相比技术购买,后发企业更高的知识转换能力将使其更倾向于技术模仿。尽管如此,本文也发现,后发企业的研发能力负向影响技术购买与技术模仿(但不显著)。当研发能力较高时,相比“非技术模仿”,后发企业更愿意“非技术购买”。第三,采用纵向、嵌套式的多案例研究,本文探索了资源双依赖下后发企业吸收能力构建的悖论均衡的动态过程,提出了一个“由外至内”的动态均衡过程框架。该框架揭示了资源双依赖下后发企业响应冲突的惯性逻辑与悖论整合的动态均衡过程。具体地,由于面临资源双依赖结构及其所引致的技术与市场间的总体冲突,后发企业并未直接地应对这一总体冲突,而是对这一冲突进行惯性承接:在从认知上接受冲突持续存在的前提下,运用自身已经具备的资源与能力来承接这一总体冲突,以缓冲冲突的直接冲击,进而将这一总体冲突分解为技术与市场领域内的嵌套冲突。在惯性承接冲突的基础上,后发企业将嵌套冲突的矛盾但又相互关联的要素始终构成为一个总体,继而转移、平衡嵌套冲突,并实现冲突转移与冲突平衡间的动态互动,这是悖论整合的动态过程。最终,后发企业可以通过惯性承接与悖论整合的过程而形成响应资源双依赖结构及其所引致的冲突的悖论均衡过程,以激发其对外部知识的能动的消化、吸收,并释放潜在。最后,在前文研究内容的基础上,本文综合分析了后发企业吸收能力“由外至内”逻辑建构的外部资源依赖的驱动条件、包含了双元行为与悖论均衡的动态过程的中间机制,从而揭示了后发企业为什么以及如何可以建构吸收能力“由外至内”逻辑,最终也能够有效地回答“为什么没有准备的后发企业也可以获得财富的眷顾?”。本文的创新点主要体现在:第一,本文将资源依赖视角引入后发企业吸收能力研究,并整合悖论视角,建构了后发企业吸收能力“由外至内”的逻辑。区别于西方传统的吸收能力逻辑,后发企业可以通过建立与外部的资源依赖关系,以驱动后发企业保持行为双元与过程动态均衡的悖论活性,从而促进后发企业建构吸收能力“由外至内”的逻辑。第二,基于悖论视角,本文从行为层面与过程视角揭示了驱动后发企业持续释放潜在的吸收能力内核机制:双元行为与悖论均衡的动态过程。通过保持行为双元与悖论均衡的动态过程,后发企业可以持续地释放潜在(如后发企业研发能力使其更不倾向于技术购买),并激发了后发企业对外部新知识的持续的吸附。第三,本文揭示了后发企业由利用转换到探索的组织学习倾向。组织学习的基本倾向是从探索转向利用,但后发企业实现了由利用到探索的逆向式的组织学习,这也同样支持了后发企业吸收能力“由外至内”的逻辑。这些研究发现也为当前研究带来了重要的理论启示与管理启示。
[Abstract]:The study of traditional absorptive capacity shows that absorptive capacity is a by-product of enterprise's internal research and development, and it needs certain prior knowledge, which can help enterprises to use new knowledge of the outside world, and can also help enterprises to predict future technological development more accurately, and realize "rich and ready enterprises", which embodies absorptive capacity. "From inside to outside" logic. In spite of this, the post enterprises in emerging markets face the dual disadvantage of development. Because of their lack of resources, there are not enough resources to be used for internal R & D input and innovation. Therefore, the logic of the absorptive capacity of the post enterprises is different from the traditional Western absorptive logic. As an object of research, it integrates the theory of resource dependence and the perspective of paradox. By exploring why and how the post enterprises can construct the absorptive capacity "from outside to inside" logic, it is expected to be able to answer a more satisfactory answer for why the "unprepared post enterprise can get wealth." The driving conditions of the logical construction of the enterprise absorptive capacity "from outside to inside" include the driving mechanism of the behavior dynamic and the process dynamics. First, through the normative analysis, this paper deeply discusses the resource dependence logic of the development of the absorptive capacity of the post enterprises, which shows that the post enterprises must build the absorption capacity of the external resources to build the absorptive capacity. The new logic, in particular, needs to transfer knowledge through inter organization knowledge transfer and external environment, as well as external environment, which requires its dependence on external resources, and will be embedded in an external resource dual dependency structure, depending on the foreign leading enterprises in the market, and in the market. Further, the external resource dependence structure of the post enterprise will affect the acquisition of external knowledge and lead to its dual behavior. At the same time, the external resource dependence structure is dynamically changed because of the learning effect of the post enterprise. Second, the policy capture method is adopted to collect the post enterprises. The 2160 observation value data of the manager's external knowledge acquisition behavior tendency, test the influence of the resource and ability (such as customer needs, own internal ability) that the resource and ability that the back and back enterprise have had or can control under the dual dependence of the resource, to uncover these already possessed or controlled resources and abilities, such as In this paper, we find that the customer needs and the knowledge conversion ability of the post enterprises have a positive influence on the technology purchase and technology imitating tendency of the post enterprises. Compared with the technology imitation, the customer demand will make the post enterprise more inclined to the technical purchase; the higher knowledge conversion ability of the post enterprise will make it more effective compared to the technology purchase. In spite of this, this article also found that the R & D ability of the post enterprises negatively affects technology purchase and technology imitation (but not significant). When the R & D ability is high, compared to "non technology imitation", the latter is more willing to "non technical purchase". Third, using the longitudinal, nested multi case study, this article explores the resources. The dynamic equilibrium process of the paradoxical equilibrium between the two dependent firms' absorptive capacity builds a dynamic equilibrium process framework from outside to inside. This framework reveals the dynamic equilibrium process of the integration of the inertia logic and the paradox in the response conflict of the resource dual dependence. The overall conflict between technology and the market leads to the lack of direct response to this general conflict, but an inertial acceptance of the conflict: using the resources and capabilities already possessed by itself to undertake the general conflict, in order to buffer the direct impact of the conflict, and then take the immediate impact of the conflict. This general conflict is broken down into the nested conflict in the field of technology and market. On the basis of the inertia of the conflict, the post enterprises make the contradictory but interrelated elements of the nested conflict as a whole, then transfer, balance the nesting conflict and realize the dynamic interaction between the conflict transfer and the conflict balance, which is a paradox integration. Finally, the post enterprise can form the process of the integration of the inertia and the paradox through the process of inertia and the paradox in response to the dual dependence structure and the conflict caused by the paradox, in order to stimulate its ability to digest, absorb and release the potential of the external knowledge. Finally, on the basis of the previous research content, this paper analyzes the comprehensive analysis. The driving conditions for the external resource dependence of the enterprise's absorptive capacity "from outside to inside", including the intermediate mechanism of the dynamic process of the equilibrium between the dual behavior and the paradox, reveals why the post enterprises and how to construct the absorbability "from outside to inside" logic, and finally can effectively answer "why no" The innovation point of this article is mainly embodied in the following aspects: firstly, this article introduces the perspective of resource dependence into the study of the absorptive capacity of the post enterprise, and integrates the perspective of the paradox to construct the logic of the absorption ability of the post enterprise from outside to inside. In order to drive the post enterprise to maintain the paradox activity of the dynamic equilibrium between the dual and the process of the behavior, the industry can promote the latter enterprise to construct the logic of "from outside to inside". Second. Based on the paradox perspective, this paper reveals the sustained release of the driving Post Enterprise from the perspective of behavior and process. The underlying mechanism of potential absorbability: the dynamic process of the equilibrium of dual behavior and paradox. By maintaining the dynamic process of equilibrium of the behavior dual and paradoxes, the post enterprise can continuously release the potential (as the R & D capability of the post enterprise makes it less inclined to technical purchase) and stimulates the continuous adsorption of the new knowledge of the external enterprises. Three, this paper reveals the organizational learning tendency from the transformation from the utilization to the exploration. The basic tendencies of organizational learning are from exploration to utilization, but the back hair enterprise realizes the reverse organizational learning from the use to the exploration, which also supports the logic of the "outside to inside" of the absorptive capacity of the post enterprises. Previous research has brought important theoretical enlightenment and managerial implications.

【学位授予单位】：电子科技大学
【学位级别】：博士
【学位授予年份】：2017
【分类号】：F273.1

【参考文献】