大连理工大学硕士学位论文
摘
要
在当前市场环境下，竞争不断加剧且技术更新迭代速度加快。嵌入合作网络，在各
个合作伙伴之间交换信息等其他资源日渐成为企业提高创新绩效的有效途径。从一般意
义上说，在合作网络中占据结构洞有利于企业获取异质非冗余的知识进行创新。然而，
制度嵌入同样会对企业的知识获取及知识整合产生影响。因此，如何有效地将制度环境
以及结构洞纳入统一的分析框架，以同时考虑这两者对企业创新绩效的影响成为学者们
关注的热点问题。
本文以知识基础观理论、社会网络理论、制度理论以及突破性创新理论为基础，整
合相关理论视角，对结构洞进行分类，构建不同类型跨制度边界结构洞对企业不同类型
创新绩效的综合分析框架。首先，从结构洞异质性角度出发，以行业作为制度边界，根
据焦点企业与其桥接伙伴所处行业的异同对结构洞进行分类，称为跨制度边界结构洞。
若焦点企业与其两个桥接伙伴都处于相同行业，将其称为内部结构洞；若焦点企业与其
中一个桥接伙伴处于相同行业而与另外一个桥接伙伴属于不同行业，将其称为混合结构
洞；若焦点企业与其两个桥接伙伴都处于不同行业，则将其称为外部结构洞。其次，以
知识获取以及知识整合为切入点，分析结构洞以及制度边界对焦点企业获取新知识以及
知识整合效率的影响，从而阐明不同类型的跨制度边界结构洞对创新重组过程的影响机
制。最后，根据不同类型跨制度边界结构洞对创新重组过程影响机制的不同，分别将其
与创新数量以及创新质量建立联系，以探究不同类型的跨制度边界结构洞对不同类型的
创新绩效的影响。
基于理论推导，本文选择将全球生物制药行业作为样本行业，利用该行业 2003-2014
年间的联盟网络及专利数据进行实证分析。结果表明三种不同类型跨制度边界结构洞的
数量对焦点企业的创新数量皆有正向影响，且内部结构洞的影响大于混合结构洞，混合
结构洞的影响大于外部结构洞；外部结构洞的数量以及混合结构洞的数量对焦点企业的
创新质量有正向影响，且外部结构洞的影响大于混合结构洞，而内部结构洞的数量对焦
点企业的创新质量没有显著影响。
本文阐释了不同类型跨制度边界结构洞对焦点企业不同类型创新绩效的作用机理，
对焦点企业如何根据对创新成果的需求，选择桥接属于相同或不同制度领域的合作伙伴，
构建合适的联盟网络具有指导意义。
关键词：联盟网络；制度边界；结构洞；创新绩效
- I -
跨制度边界结构洞对企业创新绩效的影响研究
Research on the Impact of Cross-institutional Structural Hole on
Enterprise's Innovation Performance
Abstract
In the current market environment, competition continues to intensify and technology
updates and iterations are accelerated. Embedding cooperation networks and other resources
such as information exchange among various partners has increasingly become an effective
way for enterprises to improve innovation performance. In a general sense, occupying
structural holes in cooperative networks is beneficial for firms to acquire heterogeneous and
non-redundant knowledge for innovation. However, institutional embeddedness also affects
the knowledge acquisition and knowledge integration of enterprises. Therefore, how to
effectively incorporate institutional environment and structural holes into a unified analytical
framework to jointly consider their impact on corporate innovation performance has become a
hot issue for scholars.
Based on the knowledge-based view theory, social network theory, institutional theory
and breakthrough innovation theory, this paper integrates relevant theoretical perspectives,
classifies structural holes, and constructs a comprehensive analysis framework for different
types of cross-institutional boundary structural holes on different types of enterprise
innovation performance. First, from the perspective of structural hole heterogeneity, with
industry as the institutional boundary, structural holes are classified according to the
similarities and differences between the industries in which the focus enterprises and their
bridging partners are located, which are called cross-institutional boundary structural holes. If
the focal enterprise and its two bridging partners are in the same industry, it is called internal
structural hole; if the focal enterprise is in the same industry as one of its bridging partners but
different from the other, it is called mixed structural hole; if the focal enterprise and its two
bridging partners are in different industries, it is called external structural hole. Secondly,
taking knowledge acquisition and knowledge integration as the starting point, it analyzes the
impact of structural holes and institutional boundaries on the acquisition of new knowledge
and knowledge integration efficiency of focus enterprises, so as to clarify the impact
mechanism of different types of cross-institutional boundary structural holes on the process of
innovation and reorganization. Finally, according to the different impact mechanisms of
different types of cross-institutional boundary structural holes on the process of innovation
and reorganization, they are related to innovation volume performance and innovation quality
-II-
大连理工大学硕士学位论文
performance respectively, in order to explore the effect of different types of cross-institutional
boundary structural holes on different types of innovation performance.
Based on theoretical derivation, this paper selects the global biopharmaceutical industry
as a sample industry, and uses the industry's alliance network and patent data from 2003 to
2014 for empirical analysis. The results show that the number of three kinds of structural hole
all has a positive impact on the innovation volume performance of focus enterprises, and the
impact of internal structural hole is greater than that of mixed structural hole, and the impact
of mixed structural hole is greater than that of external structural hole; The number of external
structural hole and the number of mixed structural hole have a positive impact on the
innovation quality performance of the focus firm, and the impact of external structural hole is
greater than that of mixed structural hole, while the number of internal structural hole has no
significant effect on the innovation quality performance of the focus firm.
This paper explains the mechanism of different types of cross-institutional boundary
structural holes on the different types of innovation performance of focal enterprises, and has
guiding significance for how focal enterprises choose to bridge partners in the same or
different institutional fields according to their needs for innovation achievements, and build a
suitable alliance network.
Key Words：Alliance network; Institutional boundary; Structural hole; Innovation
performance
- III -