我国中小高技术企业知识联盟中的知识转移影响因素研究

【作者】 李建明；

【导师】 苏勇；

【作者基本信息】 复旦大学 ， 企业管理， 2008， 博士

【摘要】 绪论中提出了本文的研究目的。在上世纪八十年代后,西方由工业经济全面转向知识经济,同一时期“中国制造”成了国际分工体系的重要组成部分,为我国的腾飞奠定了坚实的基础。但是我们要清醒地看到,我国是制造业大国,但还不是制造业强国,在产业经济结构、生产技术水平、研发投入水平和科技成果转化等方面与发达国家有着很大的差距。随着人民币汇率上升和要素价格持续上涨等因素,我国原来倚重的成本优势逐步削弱,竞争力明显下降。中国的发展方向应该从“中国制造”向“中国创造”转变。为实现这一战略目标,就必须大力发展高技术产业。发达国家的经验表明,高技术产业的发展对宏观经济的带动作用相当明显,各国都优先将高技术产业的发展作为其发展战略的重要组成部分。高技术产业的发展,在很大程度上取决于是否拥有一大批健康发展的高技术企业,尤其是中小高技术企业。高技术企业是近几十年才发展起来的新兴企业群体,具有与传统企业不同的许多特点,企业规模普遍偏小,企业的生存和发展都需要依赖外界的知识来源,而知识联盟就是一种有效获取外部知识的手段。因此,深入研究我国中小高技术企业利用知识联盟进行知识转移,研究影响转移有效性的因素,并提出相应的建议,就有着很重要的现实意义。通过研究,将有助于建设一批水平高、效益好、管理科学、发展后劲强的高技术企业群,并使其成为我国未来经济的支柱。第二章是文献综述,对知识的定义、知识管理、知识转移、知识联盟和企业资源理论进行了全面的回顾。在此基础上,提出了以往研究的不足,并由此提出了自己的研究构思和总体框架。本文是基于知识管理理论、战略联盟理论、博弈论和统计学等理论对我国中小高技术企业的非股权式知识联盟(不含合资企业)中的知识转移影响因素进行理论研究和实证调查,力图发现在这种转移行为中的内在模式和关键影响因素。第三章对是从知识管理的角度对我国中小高技术企业进行了分析。首先对我国中小高技术企业和大型高技术企业的特点进行了对比,归纳了七个不同特征;随后对这些企业的市场优势的根源进行了分析,认为知识优势是其能力优势、产品优势乃至市场优势的根本;再对高技术企业的知识资源和知识结构进行了阐述,认为企业的知识结构是一种过程,不断地转变、融合和合并,企业需要从内部和外部两方面建立知识流通的渠道,企业知识的来源和演化具有网络性。中小高技术企业从本质上需要从外界吸取知识资源,知识联盟就是又能保持企业独立又十分有效的吸收知识的方式。知识联盟是企业以知识为媒介的合作,相互交换互补资源,以实现各自的战略目标并获取长久竞争优势。文中提出了知识联盟选择矩阵,企业可根据知识资源的战略重要性和自身的能力水平适当地选择是否进行联盟。该章还对高技术企业知识联盟的成因进行了讨论,认为其具有比较优势效应、资源互补效应、降低知识成本效应和协同创新效应,知识联盟符合中小高技术企业的特点,与企业的成长具有内在的一致性。根据我国中小高技术企业的实践,本文列举了五种最常见的联盟行为:联合研发、技术许可、知识型外包、战略供应链和咨询顾问,并分别对每种形式进行了具体阐述。中小高技术企业从外部获得知识技能主要有三种模式:直接购买、知识联盟和建立合资企业,本文基于知识转移成本的角度对这三种模式进行了比较,综合考虑了知识转移成本、知识保护成本、合作运营成本和未来收益等因素,绘制了合作成本曲线,反映了各种模式的有效区间。该章的最后对企业在联盟中是否采取协作行为的动机采用博弈论方法进行了分析。第四章对我国中小高技术企业知识联盟中的知识转移概念开展了深入的研究,提出了知识转移的概念,并提出了四种知识转移类型:相似性转移、差别性转移、战略转移和专家转移,根据各种类型的特点,构建了一个决策树对各种类型的知识转移的应用提出了自己的见解。对知识转移的概念和类型进行讨论后,针对联盟中知识转移过程进行了划分,分成交往、表达、组合和吸收阶段,其中交往阶段中主要是联盟隐性知识的社会化过程,而表达阶段中是联盟隐性知识的外部化过程,组合阶段是联盟显性知识的组合化过程,吸收阶段是联盟显性知识的内部化过程。将联盟中的知识转移按照两个维度进行划分,一个是知识资源的水平或者垂直互补关系,另一个是企业间的关系导向或者任务导向,按照这两个维度将联盟知识转移具体分成四种模式:水平互补—关系导向模式、水平互补—任务导向模式、垂直互补—关系导向模式、垂直互补—任务导向模式,并将前文归纳的联合研发等五种联盟行为按照这四种模式分别予以讨论。第五章对我国中小高技术企业知识联盟中的知识转移影响因素进行了研究,首先在前人研究的基础上,构建了我国中小高技术企业在知识联盟中的知识转移影响因素模型,认为有九个因素影响知识转移的效果:知识性质、知识输出方的战略动机、输出方的知识输出能力、知识接收方的战略动机、接收方的吸收能力、知识距离、文化距离、组织距离和信任距离。首先讨论的影响因素是转移的知识的性质,提出联盟中转移的知识有三个特性:内隐性、复杂性和专属性。影响因素还有知识输出方和知识接收方的因素。除了双方参与战略联盟的战略动机外,知识输出方还要具备知识输出能力,善于将转移的知识表达清楚,这和三个因素有关:输出方的知识存量、输出方对要转移知识的掌握程度和输出方的联盟经验。知识接收方应具备较强的吸收能力,善于从外部消化和复制新知识,善于将隐性知识进行编码。影响知识转移的因素还有知识距离、文化距离、组织距离和信任距离。知识距离指的是联盟双方在知识技能上的差距,具体包含三方面的内容:知识结构的互补性、知识技能的类似性和知识差距的匹配性;文化距离是指联盟伙伴企业之间的文化差异,影响到其思维和行为模式的不同;组织距离是指伙伴企业之间的地理距离、组织结构差异和行业差异;信任距离就是指伙伴之间的信任程度,互相之间相信对方不会用欺骗手段获取利益的程度。该章在每个影响因素的论述中提出了相关的九个假设。论文的第六章是实证研究的介绍,针对问卷设计、样本选择和效度信度检验进行了解释,实证调查的对象主要是上海市的中小高技术企业,主要来源是上海市高新技术成果转化服务中心和上海市诸多创业投资公司的投资对象。该章最后根据问卷的结果对九个假设是否成立给出了结论,而SPSS主因子分析的结果将放在7.2节中详细展开。第七章是结论和讨论部分。根据实际调查中得到的事实,将中小高技术企业与大型企业在知识联盟中的行为进行了对比,在获取关键技术的首选方法、参与联盟的动机、偏好的联盟方式和联盟伙伴的选择等四个方面进行了比较。实证表明,目前中小高技术企业在五种联盟方式中,最为常见的是联合研发,相对最少的是技术许可;在这五种联盟形式中,技术许可对吸收管理知识没有很大的帮助;企业考虑采用知识联盟时,最优先考虑的因素是能否增强产品竞争力和提升整体竞争力,而是否能吸收管理知识并不属于重点考虑范围。问卷中要求访问对象列举三个联盟知识转移的最主要的障碍,提到最多的是联盟双方的目的,特别是经济利益和利益分配问题,其次是企业文化、员工的观念和学习热情,排在第三的是双方的信任程度。第二节中使用SPSS软件对知识转移的九个影响因素进行主因子分析,在对3因子到6因子模型进行综合比较后,确定采用5因子模型,5个因子是信任因子、文化因子、知识因子、知识输出方战略动机因子和知识接收方战略动机因子,我们把知识输出方和知识接收方的战略动机因子合为一体,成为战略动机因子,这样就成为4因子模型。该章接着对这四个因子逐一展开论述,并对我国中小高技术企业提出了相应的建议。文中提出信任是知识转移中的最为关键的影响因素之一,尤其在我国这样一个重视“人治”和人际关系、目前法律制度还不十分健全的社会中,信任有着超乎寻常的意义,在实际合作中,建议企业应充分重视契约合同的履行,并在各个层面进行高效的沟通,保证双方奠定良好的信任关系。文化因子也是影响知识转移的重要因素,文化类型一致固然可以促进合作,但有文化差异也并不是一件坏事,双方要在信任的基础上,认识到文化差异对创新的促进作用,并采用折中、融合等跨文化管理办法,特别是应建立一支跨文化团队负责联盟合作的推进。知识因子方面,我们认为知识的显性化对知识转移十分重要,而实践中信息技术(IT)对此大有帮助,在转移的四个阶段都推荐了各类IT技术或软件,借助这些工具可以使要转移的知识较好地显性化并被组合和吸收:战略动机因子方面,文中归纳了中小高技术企业的战略动机的类型,在战略层面上分成四类,在具体操作层面上有六种目的,但归根结底是将经济利益放在首要位置,这是和企业的规模密切相关,因为中小企业的生存危机感特别强,将短期获利放在重中之重的位置,文中建议企业高管层除了重视利益外应对本身未来的“知识地图”有个清醒的认识,使知识联盟为此服务。该章的最后总结了本文的不足和今后的进一步研究方向。更多还原

【Abstract】 The study purpose of this paper is put forth in the Prelude. Since 1980s, the western economy began to fully transfer from the industrial economy into the knowledge-based economy and the contemporary "Made in China" was an important part of international division of labor system, and the "Made in China" provided solid foundation for the great leap of economy of China. However, we must be soberly aware that our country is only a big manufacturing country but not a powerful manufacturing country, and there are still great disparities between our country and the developed countries in the aspects of industrial and economic structures, production technology level, R&D investment level and transformation of scientific and technological achievements, etc. In company with the factors such as RMB exchange rate rising and continuously rising of factor prices, the cost advantages on which our country formerly relied is weakened, so the competitiveness is significantly reduced. The development direction of China should realize transferring from "Made in China" into "Created in China".In order to achieve this strategic objective, we should make great efforts to develop hi-tech industries. The experience of developed countries shows that the development of hi-tech industries has significant driving action on the macro-economy, so all the countries regard giving the highest priority to the development of hi-tech industries as an important part of their development strategy. To a large extent, the development of hi-tech industries depends on whether there are a great deal of hi-tech enterprises healthily developed or not, especially medium- and small-sized hi-tech enterprises.Hi-tech enterprises are new enterprise cluster emerging in the last decades; they have many characteristics different from traditional enterprises. The scale of the enterprises is generally on the small side, so their R&D capacity, especially the R&D capacity for core technologies, is relatively poor, and the existence and development of such enterprises need to depend on the external knowledge sources, and the knowledge alliance is one of the effective means to gain the external knowledge sources. Therefore, further study on how the medium- and small-sized hi-tech enterprises of our country to take advantage of the knowledge alliance to carry out knowledge transfer, and study on the mechanism of knowledge transfer, and putting forth corresponding suggestions, will be helpful for pushing the existing hi-tech enterprise to grow healthily. The study will help establish a great deal of hi-tech enterprise clusters with high technology level, good economic benefit, large scale, and scientific management, and to make them become the mainstay of our economy in the future.ChapterⅡis an overview of the reference literatures, and has a comprehensive review on the definition of knowledge, the knowledge management, the knowledge transfer, the knowledge alliance and A Resource-Based View of Firm. Based on this, this chapter puts forth the insufficiencies in the existing studies, and thus puts forth the author’s own study conception and overall framework. Based on knowledge management theory, strategic alliance theory, game theory and statistics methodology, etc, this paper carries out theoretical study and empirical investigation on the knowledge transfer mechanism occurring in the non-ownership knowledge alliance (excluding joint ventures) of the medium- and small-sized hi-tech enterprises, trying hard to find the inherent laws and critical influencing factors in such transfer actions.ChapterⅢanalyzes the medium- and small-sized hi-tech enterprises of China from the view of point of knowledge management. Firstly, this chapter concludes seven features of such enterprises, and thinks that the most valuable assets are the owners of the knowledge and expertise, and the enterprises should have more powerful dynamic capacity, and should continue learning. And this chapter expounds the knowledge resources and knowledge structure of hi-tech enterprises and thinks that the knowledge structure of an enterprise is a kind of process, in which the knowledge is continuously transformed, melted and combined. And the enterprises need to establish knowledge flow channels both internally and externally, and the sources and evolution of enterprise knowledge have network characteristics.Essentially, medium- and small-sized hi-tech enterprises need to absorb knowledge sources from the outside, and the knowledge alliance is a method to absorb knowledge, which can not only keep the enterprise in an independent position but also is very effective. The knowledge alliance means that the enterprises form an alliance via knowledge media and exchange complementary resources to realize respective strategic objectives and to gain permanent competitive advantages. According to the strategic importance of knowledge resources and their own capacities, the enterprises should properly choose whether to form an alliance each other, therefore, a knowledge alliance selection matrix is established based on this. This chapter discusses the causes of the knowledge alliance, and thinks that the knowledge alliance of hi-tech enterprises has comparative advantage effect, resource complementary effect, knowledge cost reduction effect and synergy innovation effect, etc. The knowledge alliance matches the characteristics of medium-and small-sized hi-tech enterprises and the knowledge alliance has inherent consistency with the growth of the enterprises.Based on the practice actions of the medium- and small-sized hi-tech enterprises of China, this paper enumerates five most common alliance actions: joint R&D, technical license, knowledge type outsourcing, strategic supply chain and consulting, and this paper expounds all these kinds of alliance actions in detail.There are three main modes for the hi-tech enterprises to gain outside knowledge and expertise: direct purchasing, knowledge alliance and founding joint venture. This paper carries out comparisons for these three modes from the view of point of knowledge transfer cost, and takes into comprehensive consideration the factors such as knowledge transfer cost, knowledge protection cost, cooperative operation cost and future earnings, etc, and outlines the cooperative cost curve, reflecting the respective valid interval of each mode. The final part of this chapter carries out analysis on the motive of whether the enterprise takes cooperative actions in the alliance or not, based on the game theory.ChapterⅣcarries out further study on the concept of knowledge transfer in the knowledge alliance, and puts forth the concept of knowledge transfer, and puts forward four knowledge transfer types of medium- and small-sized hi-tech enterprises: near transfer, far transfer, strategic transfer and expert transfer, and according to the characteristics of all types of knowledge transfers, one decision-making tree is established, and puts forth the author’s own opinions on all types of knowledge transfers.After discussing the concept and types of knowledge transfers, the knowledge transfer process of the alliance is divided into the phases of communication, expression, combination and absorption, among others, the communication phase is mainly the socialization process of the hidden knowledge of alliance, but the expression phase is the externalization process of the hidden knowledge of alliance, and the combination phase is the combination process of the explicit knowledge of alliance, and the absorption phase is the internalization process of the explicit knowledge of alliance.Based on two dimensions, one is the horizontal or vertical complementary relationship of the knowledge resources and the other is enterprise relationship orientation or task orientation, the knowledge transfer in the alliance is divided into four modes: horizontal complementarity - relationship orientation mode, horizontal complementarity - task orientation mode, vertical complementarity - relationship orientation mode and vertical complementarity -task orientation mode, and the five alliance actions such as joint R&D, etc concluded above are respectively discussed based on these four modes.ChapterⅤstudies on the knowledge transfer mechanism in the alliance. Firstly, on the basis of the former studies, the knowledge transfer model in the knowledge alliance of medium- and small-sized hi-tech enterprises of China is established, and this paper thinks that there are nine factors which impact on the results of knowledge transfer: knowledge property, knowledge distance, confidence distance, culture distance, organization distance, strategic motive of knowledge exporting party, knowledge exporting capacity of exporting party, strategic motive of knowledge receiving party, the absorption capacity of receiving party.The influencing factor firstly discussed is the property of the knowledge to be transferred, and the paper puts forth that there are three characteristics of the knowledge to be transferred in the alliance: implicity, complexity and exclusiveness. The influencing factors also include the factors of the knowledge exporting party and the knowledge receiving party. In addition to the strategic motives of both parties participating in the strategic alliance, the knowledge exporting party should have knowledge exporting capacity, being good at expressing clearly the knowledge to be transferred, and this is related to three factors: the knowledge stock of the exporting party, the extent to which the exporting party masters the knowledge to be transferred and the alliance experience of the exporting party. The knowledge receiving party should have stronger knowledge absorption capacity, being good at assimilating and copying new knowledge from the outside, and being good at coding the hidden knowledge.The factors impacting on the knowledge transfer also include knowledge distance, culture distance, organization distance and confidence distance. The knowledge distance means the disparity between both parties of the alliance in the knowledge and expertise, including three specific aspects: the complementarity of knowledge resources, the similarity of knowledge and expertise and the matchability of knowledge disparity. Culture distance means the cultural disparity between alliance partnership enterprises, which has impact on their differences in thinking and behavior modes; organization distance means the geographic disparity, organizational disparity and industrial disparity between alliance partnership enterprises; confidence distance means the confidence degree between partners, which is the extent to which one party believes that the other party will not use fraudulent means to gain profits.ChapterⅥof this paper introduces the empirical study. Firstly, this chapter puts forth questionnaire design, sample selection and actual survey. And the main objects to be surveyed are the medium- and small-sized hi-tech enterprises in Shanghai, and the main sources include Shanghai New High Technology Service Center and the investment targets of many venture investment companies in Shanghai. After carrying out statistic analysis on the questionnaire answers, all the original hypothesis models are affirmed, only the hypothesis that the geographic distance between enterprises in the organization distance can influence on the knowledge transfer is not in the confidence interval of 95%, that is, the influence form the geographic distance on the knowledge transfer is not significant.ChapterⅦincludes conclusion and the discussion section. Based on the feedback of the questionnaires, at present, in the five types of alliances, the most common alliance type for the medium- and small-sized hi-tech enterprise is joint R&D, and the most unfrequent type is the technical license; among the five alliance types, technical license is not helpful for knowledge absorption and management, and the knowledge type outsourcing has no influence on the knowledge absorption; when the enterprises decide whether to take advantage of the knowledge alliance, give highest priority to considering whether to enhance the product competitiveness and improve overall competitiveness, and whether to absorb and manage knowledge is not covered in the important consideration scope. In the questionnaire, the surveyed objects are required to enumerate three main obstacles for the knowledge transfer of alliance, the number one is the purpose to form an alliance of both parties, especially economic interests and interest distribution, the second is enterprise culture, employees’ conception and learning enthusiasm, and the third is the confidence degree between both parties.After carrying factor analysis on the nine factors in the knowledge transfer model by SPSS, and after carrying out comprehensive comparison for 3-factor to 6-factor models, we determine to use 5-factor model, and the five factors are confidence factor, culture factor, knowledge factor, factor of strategic motive of knowledge exporting party and the factor of strategic motive of knowledge receiving party. We combine the factor of strategic motive of knowledge exporting party and the factor of strategic motive of knowledge receiving party into one strategic motive factor, then 4-factor model is formed.This chapter discusses these four factors one by one in detail, and puts forth corresponding suggestions for hi-tech enterprises. This paper puts forth that confidence is one of the most critical influencing factors in the knowledge transfer, especially in the society of our country in which people pay more attention to "rule by men" and interpersonal relations, and there are not a complete legal system at present, so the confidence has uncommon sense. In the actual cooperation, this paper recommends that the enterprises should pay more attention to the performance of the agreements and contracts, and should carry out effective communications at all levels, ensuring that both parties establish an excellent confidence relationship. Culture factor is also one important factor influencing on knowledge transfer. To be sure, homogeneous culture type can facilitate cooperation, but cultural difference is not a bad thing. Both parties should recognize that the cultural difference can facilitate innovation based on mutual confidence, and should use transcultural management methods such as compromising, melting, etc. especially, both parties should establish a transcultural team to be in charge of pushing the alliance cooperation.In the aspect of knowledge factor, we think that the explicit of knowledge is very important for knowledge transfer, but in the practice, the information technology is very helpful for this, so we recommend various information technologies or softwares at the four phases of knowledge transfer, with the aid of such tools, the knowledge to be transferred will be implicit, combined and absorbed on a better basis. In the aspect of strategic motive factor, this paper concludes the types of strategic motives of hi-tech enterprises. At the strategic level, the strategic motives can be divided into four categories, but in the specific operation level, there are 6 purposes, but after all, the economic interests are placed in the number one position, and this is closely relative to the scale of the enterprise, because the existence crisis consciousness of medium- and small-sized enterprises is very strong, they will focus on the short-term profits. This paper recommends that in addition to pay more attention to the economic interests, the management level of enterprises should be soberly aware of the knowledge and expertise needed by the enterprise in the future and to make the knowledge alliance to serve this. In the last part of this paper, the insufficiencies of this paper and the further study direction in the future are concluded.更多还原