“一带一路”合作倡议的推进，对中国高技术企业的产品走出国门创造了良 好的政治条件，也为企业的新产品开发带来新的机遇。企业是为了生存而建立的， 新产品开发的成功与否本质上用于证明企业不仅能够在市场中成长，而且能够在 竞争激烈的商业环境中蓬勃发展。当下商业环境持续变化，客户偏好和期望快速 改变，新技术扩散加速，产品生命周期缩短，产品种类不断增加，导致不确定性 不断增加，进而影响企业组织绩效的变化。因此，不断变化的商业环境是企业成 功竞争的最重要驱动力，企业通过开发和引入新的和创新性产品，以提高、维护 和保持竞争优势。大多数新产品开发活动在所有业务功能上都会经历严重的资源 不足，困扰新产品开发的许多症状都可以直接追溯到这种资源短缺。开放式创新 理论认为，企业越来越多地从外部来源获取技术知识以提高他们的创新绩效。现 如今，企业将从企业间合作网络获得的外部知识广泛用于新产品开发，而且关系 理论和社会资本理论也认为协作研发网络嵌入性成为了企业取得外源知识的重 要机制。就产业和企业来说，分析企业的协作研发网络嵌入性如何影响新产品开 发绩效至关重要。因此，本文围绕协作研发网络嵌入性、知识基础对新产品开发 绩效的影响展开研究，主要包括以下几个内容： （1）协作研发网络嵌入性对企业新产品开发绩效影响的模型构建。以资源 基础理论和协同创新理论为基础,提出了协作研发网络结构嵌入性和关系嵌入性 对新产品开发绩效的影响路径；知识基础作为企业技术创新和新产品开发活动的 主要知识源，是企业经由内外部扩展知识范围、深化知识领域的必然结果，基于 此，分别探讨了知识宽度和知识深度作为协作研发网络嵌入性和新产品开发绩效 的中介机制；企业的知识培育战略离不开所处环境的影响，基于权变理论，分析 了技术动荡性和环境动荡性对知识基础的调节效应。 （2）协作研发网络嵌入性对新产品开发绩效的直接影响研究。以网络中心 度和结构洞测度协作研发网络结构嵌入性，关系强度和关系广度衡量关系嵌入性， 分别探讨了它们对新产品开发绩效的作用机理，据此提出假设。并以我国汽车产 业作为研究对象，根据专利数据构建协作研发网络，结合企业新产品数据和性质 数据，实证检验了研究假设。结果表明：网络中心度和结构洞、关系强度和关系 广度对企业的新产品开发绩效均具有促进作用。 （3）企业知识基础的中介作用。高技术企业通过扩展知识范围或者深化知 识领域来培育知识，首先将知识基础纳入分析框架，揭示了协作研发网络嵌入性 对新产品开发绩效影响的企业“黑箱”，然后探讨了技术多元化对企业新产品开 发绩效的重要作用，以此证明企业将知识范围扩展到不同领域是有意义的；随后 分析了知识宽度和知识深度作为中介变量的作用机制，提出假设；最后实证分析博士学位论文 III 表明，知识宽度在网络中心度、关系强度与新产品开发绩效之间起部分中介作用， 而在网络结构洞及关系广度与新产品开发绩效之间具有完全中介作用；知识深度 则在结构嵌入性与关系嵌入性之间均起部分中介作用。 （4）将环境动荡性作为调节变量，并划分为技术和市场两个维度，分析其 对知识基础影响新产品开发绩效的权变作用，并提出假设；实证分析发现，技术 动荡性及市场动荡性对知识宽度和知识深度均具有正向调节作用。 本文依据资源基础理论、交易费用理论、协同创新理论和知识基础理论，构 建了以知识基础作为协作研发网络嵌入性与新产品开发绩效之间关系的中介变 量，环境动荡性调节知识基础的理论模型，并通过实证分析对提出的假设进行了 检验。研究结论完善和扩展了创新管理和知识基础相关的研究，实践上可以作为 高技术企业借助协作研发网络进行科学的知识管理的重要参考。 关键词：协作研发网络嵌入性；知识基础；环境动荡性；新产品开发绩效协作研发网络嵌入性对企业新产品开发绩效影响的研究 IV Abstract The promotion of " The Belt and Road" cooperation initiative provides favorable economical conditions for the products of China's high-tech firms to go abroad, and has also brought new opportunities to the new product development. Firms are established for survival, and the success of new product development is essentially used to prove that firms can not only grow in the market, but also thrive in the competitive business environment. The continuous change of the current business environment, the rapid change of customer’s preferences and expectations, the acceleration of new technology diffusion, the shortening of product life cycle and the constant increase of product types lead to the constant increase of uncertainty, which further affects the change of organizational performance of firms. Therefore, the ever- changing business environment is the most important driving force for firms to compete successfully. By developing and introducing new and innovative products, firms can improve, maintain and keep their competitive advantages. Most new product development activities experience a severe shortage of resources across all business functions, and many of the symptoms that plague new product development can be traced directly to this shortage of resources. Open innovation theory holds that firms increasingly acquire technical knowledge from external sources to improve their innovation performance. Nowadays, firms widely use the external knowledge obtained from the collaborative network among enterprises to develop new products. In addition, relational theory and social capital theory also believe that the cooperative R&D network embeddedness has become an important mechanism for firm to acquire exogenous knowledge. In terms of industries and firms, it is very important to analyze how the embeddedness of collaborative R&D network affects the performance of new product development. Thus, this paper studies the impact of network embeddedness and knowledge base of collaborative R&D network on new product development performance, mainly including the following contents: (1) Model construction of the impact of embeddedness in collaborative R&D network on firms’ new product development performance. Based on the resource- based theory and collaborative innovation theory, this paper puts forward the influence path of collaborative R&D network structural embeddedness and relational embeddedness on new product development performance. As the knowledge origin of technological innovation and new product development, knowledge base is the inevitable result of expanding knowledge scope and deepening knowledge from inside博士学位论文 V and outside of firm. Based on this, knowledge breadth and knowledge depth are discussed as the mediate mechanism between the collaborative R&D network embeddednessa nd new product development performance. The knowledge cultivation strategy of an enterprise cannot be separated from the influence of the environment it is in, based on contingency theory, we analyse the moderating effects of technological and environmental dynamics on knowledge base and new product development performance. (2) Research on the direct impact of collaborative R&D network embeddedness of on new product development performance. We use the degree of network centrality and structure hole to measure collaborative R&D network structural embeddedness, and tie strength and tie breadth to measure collaborative R&D network relational embeddedness. The mechanism of their influence on the performance of new product development is discussed and hypotheses are put forward accordingly. We using Chinese automobile industry as the research object, the collaborative R&D network is constructed based on patent data, and the research hypothesis is empirically tested by combining firms’ new product data and property data. The results show that all network centrality, structure hole, tie strength and tie breadth can promote the new product development performance. (3) The mediation effect of firm’s knowledge base. High-tech firms cultivate knowledge by expanding the scope of knowledge or deepening knowledge. Firstly, the knowledge base is brought into the analysis framework, which reveals the "black box" of the impact of the collaborative R&D network embeddedness on the new product development performance. Secondly, the important impact of technological diversification on the new product development performance is analyzed, which proves that it is meaningful for enterprises to extend the knowledge breadth to different fields. Then, the mechanism of knowledge breadth and depth as mediating variables is analyzed and hypotheses are put forward. Finally, empirical analysis shows that knowledge breadth plays a partial mediating role between network centrality, tie strength and new product development performance, while it has a complete mediating role between network structure hole and tie breadth and new product development performance. Knowledge depth plays a partial mediating role between collaborative R&D network structural and relational embeddedness. (4) We introduce environmental dynamics as a moderating variable, and divides it into technological and market dynamics, then analyzes their contingent effects on knowledge base and new product development performance, and proposes hypotheses.协作研发网络嵌入性对企业新产品开发绩效影响的研究 VI The empirical analysis shows that both technical and market dynamics have positive moderating effects on knowledge breadth and knowledge depth and new product development performance. In this paper, we based on the resource-based theory, collaborative innovation theory, transaction cost theory and the knowledge-based theory, build the knowledge base as the mediation variables between the relationship of the cooperative R&D network embeddedness and new product development performance, while the environment dynamics as the moderator of knowledge base and new product development performance, and use the empirical analysis to test the hypothesis. The research conclusion enriches and expands the research related to innovation management and knowledge base, and provides important suggestions for high-tech firms to carry out scientific knowledge management with the help of collaborative R&D network in practice. Key words: Embeddedness of cooperation R&D network; Knowledge base; Environmental dynamics; New product development performance博士学位论文 VII 目录 学位论文原创性声明和学位论文版权使用授权书 ..................I 摘要.......................... II Abstract ................. IV 目录........................VII 插图索引 ................. XI 附表索引 ................XII 第 1 章 绪论 ............. 1 1.1 研究背景与研究意义 .................. 1 1.1.1 研究背景 ......1 1.1.2 研究意义 .......................... 2 1.2 研究问题与研究内容 .................. 4 1.2.1 研究问题 .......................... 4 1.2.2 研究内容 .......................... 4 1.3 研究方法与研究思路 .................. 5 1.3.1 研究方法 .......................... 5 1.3.2 研究思路 .......................... 6 第 2 章 理论基础与文献综述 .................. 8 2.1 理论基础 ...... 8 2.1.1 资源基础理论 ................... 8 2.1.2 交易费用理论 ................. 10 2.1.3 协同创新理论 ................. 12 2.1.4 知识基础理论 ................. 14 2.2 协作研发网络嵌入性研究综述 . 16 2.2.1 网络嵌入性理论 ............. 16 2.2.2 网络嵌入性的分析框架 .. 17 2.2.3 协作研发网络嵌入性的概念 ..20 2.3 高技术企业新产品开发绩效研究综述 .................... 21 2.3.1 新产品开发绩效的内涵 .. 21 2.3.2 新产品开发绩效的测量方法 ......................... 22 2.3.3 网络嵌入性与新产品开发绩效 ..................... 24 2.4 企业知识基础研究综述 ............ 26 2.4.1 企业知识的来源分析 ..... 26 2.4.2 企业知识基础的特征 ..... 27协作研发网络嵌入性对企业新产品开发绩效影响的研究 VIII 2.4.3 协作研发网络嵌入性与企业知识基础 .......... 29 2.4.4 知识基础与新产品开发绩效 ......................... 29 第 3 章 理论分析与模型构建 ................ 32 3.1 新产品开发绩效的动因及影响因素 ........................ 32 3.1.1 新产品开发绩效的动因分析 ......................... 32 3.1.2 新产品开发绩效的影响因素分析 .................. 36 3.2 协作研发网络嵌入性分析 ........ 37 3.2.1 协作研发网络中知识转移博弈 ..................... 37 3.2.2 协作研发网络嵌入性对新产品开发绩效的影响 .......................... 40 3.2.3 协作研发网络嵌入性的维度划分 .................. 42 3.3 协作研发网络嵌入性影响新产品开发绩效的理论模型 ......................... 47 3.3.1 直接效应概念模型 ......... 47 3.3.2 中介效应概念模型 ......... 47 3.3.3 调节效应概念模型 ......... 49 3.4 本章小结 .... 50 第 4 章 协作研发网络嵌入性对新产品开发绩效的直接影响 ............................. 51 4.1 协作研发网络结构嵌入性对新产品开发绩效的影响 ............................. 51 4.1.1 网络中心度对新产品开发绩效的影响 .......... 51 4.1.2 结构洞对新产品开发绩效的影响 .................. 52 4.2 协作研发网络关系嵌入性对新产品开发绩效的影响 ............................. 53 4.2.1 关系强度对新产品开发绩效的影响 .............. 54 4.2.2 关系广度对新产品开发绩效的影响 .............. 55 4.3 实证研究设计 ........................... 55 4.3.1 研究样本 ........................ 55 4.3.2 变量测量 ........................ 57 4.3.3 模型选择 ........................ 63 4.4 实证结果与分析 ....................... 64 4.4.1 描述性统计 ..................... 64 4.4.2 回归结果分析 ................. 65 4.5 本章小结 .... 67 第 5 章 焦点企业知识基础的中介效应 . 68 5.1 知识基础对企业新产品开发绩效的影响 ................. 68 5.1.1 知识宽度对新产品开发绩效的影响 .............. 68 5.1.2 知识深度对新产品开发绩效的影响 .............. 69 5.1.3 技术多元化对新产品开发绩效的影响 .......... 70博士学位论文 IX 5.2 协作研发网络嵌入性对企业知识基础的影响 ......... 72 5.2.1 结构嵌入性对知识基础的影响 ..................... 72 5.2.2 关系嵌入性对知识基础的影响 ..................... 73 5.3 知识基础的中介作用 ................ 74 5.3.1 知识基础对结构嵌入性影响新产品开发绩效的中介作用 ........... 74 5.3.2 知识基础对关系嵌入性影响新产品开发绩效的中介作用 ........... 76 5.4 实证研究设计 ........................... 77 5.4.1 研究样本与变量 ............. 77 5.4.2 模型选择 ........................ 79 5.5 实证结果 .... 79 5.5.1 知识基础对企业新产品开发绩效影响的实证分析 ...................... 80 5.5.2 网络嵌入性对企业知识基础影响的实证分析 .............................. 83 5.5.3 知识基础的中介作用实证分析 ..................... 86 5.6 本章小结 .... 91 第 6 章 环境动荡性对知识基础影响新产品开发绩效的调节作用 ..................... 92 6.1 理论分析与研究假设 ................ 92 6.1.1 技术动荡性对知识宽度的调节作用 .............. 93 6.1.2 技术动荡性对知识深度的调节作用 .............. 94 6.1.3 市场动荡性对知识宽度的调节作用 .............. 95 6.1.4 市场动荡性对知识深度的调节作用 .............. 96 6.2 实证研究设计 ........................... 97 6.2.1 研究变量 ........................ 97 6.2.2 模型选择 ........................ 98 6.3 实证结果与分析 ....................... 99 6.3.1 描述性统计 ..................... 99 6.3.2 行业技术动荡性对知识基础影响的调节效应 .............................. 99 6.3.3 行业市场动荡性对知识基础影响的调节效应 ............................ 103 6.4 本章小结 .. 108 第 7 章 实证结果讨论与管理建议 ...... 109 7.1 实证结果讨论 ......................... 109 7.1.1 协作研发网络嵌入性对新产品开发绩效的影响 ........................ 109 7.1.2 知识基础对新产品开发绩效的影响 .............111 7.1.3 焦点企业知识基础的中介作用 ....................111 7.1.4 环境动荡性对知识基础的调节作用 .............113 7.2 管理启示与政策建议 ...............114协作研发网络嵌入性对企业新产品开发绩效影响的研究 X 7.2.1 管理启示 .......................114 7.2.2 政策建议 .......................116 7.3 本章小结 ...118 结论........................119。。。。。。以下内容略