I 摘要 全球经济一体化发展的同时，国际贸易环境却日趋恶化，贸易争端裹挟着技 术壁垒，地缘政治禁锢着技术转移，市场竞争倒逼着技术创新。如此国际大环境 背景下，我国企业由要素驱动型向创新驱动型的战略转移就显得尤为必要。根据 创新程度和意图，企业的创新活动可分为探索式创新和利用式创新。由于组织资 源的有限性和内外部环境的动态性，企业需要适时适境的对这两种创新活动进行 协调。遗憾的是，关于两种创新方式协调平衡的相关研究中存在着几种不同的观 点，目前学者们仍未就此达成完全一致。此外，侧重不同创新方式的企业所生产 的创新程度存在差异的新产品在市场中的绩效如何，这也将进一步影响着企业创 新平衡策略的制定和实施。而多数创新策略的相关研究将此过程做为“黑箱”处 理，只研究了企业创新战略（投入）等因素与创新绩效间关系。 本研究希望从企业内部和集群网络两个视角系统的分析动态环境下企业两 种创新方式与企业绩效的关系。并希望在此基础上，从供应链视角对两种创新程 度差异的新产品进行市场分析。为达到以上研究目标，本文主要进行了以下研究： 第一，在企业资源观视角下对探索式创新与利用式创新的平衡机制进行了研 究。本文在动态市场环境下考虑了组织资源对企业创新模式的约束机制，加入了 竞争优势作为中介变量，分析了在不同的企业规模及市场竞争程度下，创新模式 内部的两种创新方式与企业成长绩效的作用机理。通过与天津市科委合作，对天 津市内的1250家科技企业展开调查研究和问卷分析，实证结果支持了两种创新 方式的平衡与企业绩效间存在倒“U”型关系，并且企业规模和市场竞争程度能 够显著调节该关系：企业规模的增大，能够促使最佳创新平衡所对应的两种创新 方式的投入差缩小，最大企业绩效增大；市场竞争程度的激烈化拉大了最佳创新 平衡所对应的两种创新方式的投入差，最大企业绩效降低。 第二，从集群视角入手，分析了集群企业所拥有的网络关系数量和强度对于 两种创新方式及平衡机制的影响机制。本文通过选取天津市科技企业集群中的电 子信息、生物医药、能源环保及新材料等四类创新型产业集群中的712家企业为 研究对象，实证确认了集群企业所拥有的集群关系亦能显著影响两种创新方式的 平衡与企业绩效间的倒“U”型关系。具体的，集群企业所拥有的关系数量与企 业的探索式创新能力正相关，并促使最佳创新平衡向探索式创新方向倾斜；集群 企业所拥有的关系强度与企业利用式创新能力正相关，并促使最佳创新平衡向利 用式创新方向倾斜。此外，企业的吸收能力能够显著强化集群关系的数量和强度 对于创新平衡与企业绩效间关系的调节作用。 天津大学博士学位论文 II 第三，从供应链角度分析了不同创新模式下形成的两种创新程度差异的新产 品的市场关系。首先，按照创新方式和创新程度的不同，将创新产品分为普通新 产品和突破式新产品。比较分析了供应链中不同博弈模式下两种新产品的最优价 格策略及促销资源的最佳分配比例。其次，按照市场竞争阶段，分别分析了创新 程度差异对于新产品市场需求量的影响和供应链合作模式对于新产品市场占有 率的影响。最后以突破式新产品为例，对供应链合作推广与改进新产品的问题进 行了研究，发现制造商为零售商的推广宣传活动提供一定比例的成本补贴将有助 于提升新产品的市场认知度和契合度，同时能提高双方的利润值。因此，供应链 视角下的两种创新产品的市场分析结果表明，两种新产品由于在生产成本、促销 效率和创新度等方面存在差异，因此它们的市场绩效不同，这会影响着企业创新 策略的制定和创新方式的选择。但是，企业在创新战略实施的过程中，如果以成 本分担等方式提升供应链各成员关于新产品推广与改进的合作积极性，能够显著 改善新产品的市场绩效，进而提高企业的创新绩效，这也将反过来影响企业对于 创新战略的选择。 关键词：探索式创新，利用式创新，创新平衡，集群关系，供应链，突破式新 产品 ABSTRACT III ABSTRACT With the development of global economic integration, the international trade environment is deteriorating day by day, trade disputes are accompanied by technical barriers, geopolitical constraints on technology transfer, and market competition forces technological innovation. In such an international context, it is very necessary for Chinese enterprises to shift from factor driven to innovation driven strategy. This study hopes to systematically analyze the relationship between the two innovation approaches and firm performance in a dynamic environment from the perspective of firm and cluster network. On this basis, we hope to analyze the market of two new products with different degrees of innovation from the perspective of supply chain. To achieve the above research objectives, this paper mainly conducted the following research: First, the balance mechanism of exploratory innovation and exploitative innovation is studied from the perspective of enterprise resource view. In this paper, the constraint mechanism of organizational resources on enterprise innovation mode is considered in the dynamic market environment, and competitive advantage is added as the intermediary variable, and the relationship between the two innovation approaches and firm growth performance under different firm size and market competition degree is analyzed. Through cooperation with the Tianjin science and technology commission, we administered the questionnaire to 1250 innovative firms in Tianjin city, the empirical results support the inverted "U" shape existing in the relationship between balance of the two kinds of innovation and firm performance. However, the inverted "U" shape can be moderated significantly by the firm size and degree of market competition. Is that, with the increase of firm size, the best investment difference between the two kinds of innovation should be decreased, and the maximum firm performance increases; the intensification of market competition widens the investment difference of the two innovation methods corresponding to the best innovation balance and reduces the maximum enterprise performance. Second, from the perspective of cluster network, this paper analyzes the influence mechanism of the number and strength of network relations had by cluster firm on the two innovation approaches and balance mechanism. Based on the selection of 712 Tianjin innovative firm in the cluster of electronic information, 天津大学博士学位论文 IV biological medicine, energy & environmental protection and new materials as the research object, the empirical results confirmed cluster relationship had by the firm can significantly influence the two innovation approaches and the inverted "U" relationship between the innovation balance and firm performance. Specifically, the number of cluster relationships had by cluster firm is positively correlated with the exploratory innovation ability of firm, and the optimal innovation balance is inclined to the exploratory innovation direction. The strength of cluster relationship had by cluster firm is positively related to the ability of exploitative innovation, and the optimal balance of innovation is inclined to exploitative innovation. In addition, the absorptive capacity of cluster firm can significantly enhance the moderating effects of number and strength of the cluster relationship on the inverted "U" relationship between the innovation balance and firm performance. Thirdly, the market relationship of two new products with different degrees of innovation is analyzed from the perspective of supply chain. We found that the market analysis results of two kinds of new products from the perspective of supply chain show that the two kinds of new products have different market performance due to their differences in production cost, promotion efficiency and innovation degree, which will affect the formulation of firm innovation strategies and selection of innovation approaches. However, in the process of implementing the innovation strategy, if the cooperation enthusiasm of each member of the supply chain on the promotion and improvement of new products is improved by means of cost sharing, the market performance of new products can be significantly improved, so as to improve the innovation performance of firms, which will in turn affect the choice of innovation strategy of firms. KEY WORDS: Exploratory innovation, Exploitative innovation, Innovation balance, Cluster relationship, Supply chain, Breakthrough new product 目录 V 目录 摘要 .... I ABSTRACT .................... III 目录 ... V 第1章 绪论 ..................... 1 1.1 选题背景与意义 . 1 1.1.1 选题背景与问题提出 .............. 1 1.1.2 研究目的与意义 ...................... 6 1.2 研究框架与内容 . 8 1.3 研究方法与技