学校代码10702 密级 公 开
中图分类号 C936 学号 1905210442
硕士学位论文
环境特征、二元创新和企业绩效的关系研究
学位申请人：彭 松 松
指导教师： 宋熊熊 教授
张 晓棠 副教授
学科名称： 企业管理
学位门类：管理学
2022 年 5 月
硕士学位论文
题目：环境特征、二元创新和企业绩效的
关系研究
作者彭松松
指导教师 宋熊熊 专业技术职务教授
指导教师 张晓棠 专业技术职务副教授
学科 企业管理
西安工业大学
2022 年 5 月 中国.西安
An Empirical Study on the Relationship between
Environmental Characteristics, Ambidextrous Innovation
and Firm Performance
by
Peng Songsong
Thesis Submitted to the faculty of the Xi’an Technological University in
Partial Fulfillment of
the Requirements for the Degree of
MASTER
in
Corporate Management
Supervisor: Prof. Michael Song
Supervisor: A.Prof. Zhang Xiaotang
Xi’an Technological University
May 2022
Xi’an, Shaanxi, P.R.China
摘 要
二元创新是提升企业绩效的重要途径。二元创新包含探索式创新和利用式创新。在不
同水平环境特征情境下，二元创新对企业绩效的影响作用有差异。现有研究多引入动态性
和竞争性等环境特征作为调节变量，从单一或部分维度探究其对二元创新与企业绩效之
间关系的影响，忽略了环境特征其他维度的作用。以资源依赖理论为基础，有研究划分环
境特征为包容性、动态性及复杂性三维度。因此，同时探究环境特征三维度如何调节二元
创新与企业绩效之间的关系很重要。
基于企业行为理论，本研究构建环境特征、二元创新和企业绩效之间关系的理论模型，
采用文本分析方法，利用国泰安数据库，收集 382 家中国 A 股上市企业的数据，并运用
多元层次回归和 pick-a-point 方法来验证模型及假设。研究结果表明：第一，探索式创新
对企业绩效为倒 U 型影响，利用式创新对企业绩效为负向影响。第二，环境包容性正向
调节探索式创新与企业绩效之间的曲线关系。随着环境包容性水平不断增高，两者间关系
由半倒U 型变为半 U 型。第三，当利用式创新低于一定水平和高于一定水平时，环境包
容性负向调节利用式创新与企业绩效之间的关系；当利用式创新处于适中水平时，环境包
容性正向调节两者之间的关系。随着环境包容性水平不断增高，两者间关系由 U 型变为
倒 U 型。第四，环境动态性负向调节探索式创新与企业绩效之间的倒 U 型曲线关系。第
五，当环境动态性从较低水平增加至中水平时，环境动态性负向调节利用式创新与企业绩
效之间的关系。随着环境动态性水平不断增高，两者间关系由U 型变为倒 U 型。第六，
环境复杂性负向调节探索式创新与企业绩效之间的倒U 型曲线关系。第七，当利用式创
新处于一定水平范围内，环境复杂性负向调节利用式创新与企业绩效之间的关系；当利用
式创新超出一定水平时，环境复杂性正向调节利用式创新与企业绩效之间的关系。
本研究从企业行为理论视角解释环境特征如何调节二元创新与企业绩效之间的关系，
检验环境特征、二元创新和企业绩效之间关系的理论模型，丰富二元创新与企业绩效之间
关系研究的边界条件，扩展企业行为理论的应用场景，促进环境特征、二元创新和企业行
为理论的融合。本研究指导传统制造和信息科技行业的企业如何在不同水平环境特征下
选择并实施适宜的创新行为来提升绩效。
关键词：环境包容性；环境动态性；环境复杂性；探索式创新；利用式创新；企业绩效
Abstract
Ambidextrous innovation is an important way to enhance firm performance. Ambidextrous
innovation includes exploratory innovation and exploitative innovation. In the context of
different levels of environmental characteristics, the impact of ambidextrous innovation on firm
performance is different. Dynamic, competitiveness and other environmental characteristics are
moderators has been the focus of much recent research. Researchers investigate their effects on
the relationship between ambidextrous innovation and firm performance from a single or a few
dimensions, the role of other dimensions of environmental characteristics is ignored. Based on
the resource dependence theory, scholar discussed three dimensions of environmental
characteristics: munificence, dynamic and complexity. Therefore, it is essential to simultaneously
explore how environmental characteristics moderate the relationship between ambidextrous
innovation and firm performance.
Based on the behavioral theory of the firm, this study develops a theoretical model between
environmental characteristics, ambidextrous innovation and firm performance. To test the model,
we collected the data of 382 companies listed in A share market by using content analysis and
CSMAR database. Multiple hierarchical regression and pick-a-point were used to prove the
model and hypothesis. The empirical results reveal that: First, exploratory innovation has an
inverted U-shaped effect on firm performance, while exploitative innovation has a negative effect
on firm performance. Second, environmental munificence positively moderates the curvilinear
relationship between exploratory innovation and firm performance. When environmental
munificence increases, the relationship between them has changed from the half of inverted U-
shaped to the half of U-shaped. Third, when exploitative innovation is below certain level and
above certain level, environmental munificence negatively moderates the relationship between
exploitative innovation and firm performance; when exploitative innovation is at medium level,
environmental munificence positively moderates the relationship between them. when
environmental munificence increases, the relationship between them has changed from a U-
shaped to an inverted U-shaped. Fourth, environmental dynamic negatively moderates the
inverted U-shaped relationship between exploratory innovation and firm performance. Fifth,
environmental dynamism negatively moderates the relationship between exploitative innovation
and firm performance when environmental dynamism increases from a low level to a medium
level. When environmental dynamic increases, the relationship between them has changed from
a U-shaped to an inverted U-shaped. Sixth, environmental complexity negatively moderates the
inverted U-shaped relationship between exploratory innovation and firm performance. Seventh,
when exploitative innovation is within a certain level, environmental complexity negatively