【作者】 张睿；

【导师】 于渤；

【作者基本信息】 哈尔滨工业大学 ， 技术经济及管理， 2009， 博士

【摘要】 国家创新能力决定国家竞争力,也决定着一国经济的可持续发展程度,这已经被创新型国家的发展路径所证实。提升我国国家创新能力,关键要依靠作为自主创新主体的我国企业。技术联盟的核心目标是学习和创造新知识,技术联盟不仅使企业获得了互补性资源,还形成了创造这些资源的能力,有利于企业更新和创造新的核心能力,形成持续发展。技术联盟是我国经济社会发展现阶段进行创新型国家建设的必然选择。目前,我国已成立了TD-SCDMA产业技术联盟、钢铁可循环流程技术创新战略联盟、新一代能源化工产业技术创新战略联盟、煤炭开发利用技术创新战略联盟和农业装备产业技术创新战略联盟等等。由于技术联盟中存在诸多因素影响和制约联盟伙伴间知识转移,我国企业在学习和吸收合作伙伴互补性先进知识上还存在诸多不足。因此,成功进行技术联盟组织间的知识转移对促进我国产业技术联盟的成功实施,充分发挥现有的成功技术联盟的示范作用,带动更多产业技术联盟的构建和发展对我国建设创新型国家有着积极的影响。本研究来源于国家自然科学基金项目“哈电站集团自主创新模式与障碍研究”和高校博士点基金项目“基于技术系统的东北地区装备制造技术管理能力提升研究”。本文主要针对技术联盟组织间知识转移类型、过程和影响因素进行理论研究并实证分析技术联盟知识转移影响因素的影响路径和相对影响程度,对技术联盟组织成功实施知识转移具有一定的借鉴意义,具有较强的实际应用价值。本文首先界定了技术联盟和技术联盟知识转移的定义;根据我国现阶段存在的技术联盟形式和组织学习的特点,界定了我国技术联盟的类型;针对各类型的技术联盟,提出了技术联盟组织间的知识转移类型。本文定义了技术联盟组织知识的构成,基于Szulanski和Vito Albino等学者提出的组织间知识转移过程模型和技术联盟组织形式和过程管理的特点,识别出技术联盟知识转移过程的8个要素,提出技术联盟组织知识转移过程模式。其次,本文构建了技术联盟知识转移影响因素概念模型。根据技术联盟知识转移过程模式,在分析技术联盟知识转移各个要素的基础上提出技术联盟知识转移效果的8个影响因素,构建了技术联盟知识转移影响因素概念模型。该模型首次将微观信息经济学中的信息对称性作为知识转移影响因素加以分析,提出联盟主体间较高程度的信息对称性在技术联盟知识转移过程中对提升组织知识识别能力具有积极影响。本文开发了一套调查问卷对技术联盟知识转移影响因素进行了全面测量。本文根据技术联盟知识转移影响因素概念模型中提出的知识转移效果的5条影响因素路径,提出了9个研究假设,并采用信度分析、效度分析、描述性统计分析和结构方程模型等方法对理论假设进行了实证检验及路径分析,确定了技术联盟知识转移影响因素路径及路径系数。研究结果表明:技术联盟中知识源的知识转移能力和知识接收方的知识吸收能力作为外因潜在变量通过积极影响内因潜在变量知识转移情境适应性和知识转移过程对知识转移效果有显著的正向促进作用;联盟主体间信息对称性作为外因潜在变量对知识转移效果的正向积极影响是通过影响内因潜在变量的中介机制形成的,该影响路径中内因潜在变量分别为组织知识识别能力、知识转移方式和知识转移过程;知识转移投入通过正向影响知识转移过程进而促进知识转移效果。最后本文对哈尔滨汽轮机厂与美国GE公司就9FA联合循环机组D10汽轮机技术的技术联盟过程中知识转移的各个影响因素进行了分析,验证了本文研究结论的正确性。验证过程也是本文的研究结论在实际中应用的过程,通过实际个案对企业技术联盟中知识转移影响因素进行分析,便于企业科研管理者理解和使用本文的研究结论,增加了结论的可操作性和实际应用价值。更多还原

【Abstract】 The national innovation ability determines not only competitive strength of the country but also the level of sustainable development of that. The essential goal of technology alliance is a learning and creation of knowledge. The enterprises can acquire the complemental resource and improve its core competitiveness by technology alliance. As a developing country, technology alliance is therefore an inevitable choice for China in the process of national construction at the present stage. At the moment, some technology alliances have been constructed in China, such as TD-SCDMA industry technology alliance, technology alliance of the recycle technology of steel, the new energy and chemical industry technology alliance and so on. Because of many influencing fators which affect or constrain knowledge transfer among partners of technology, it is deficient for enterprises of China to learn and sbsorb advanced complementary knowledge. For this reason, the successful knowledge transfer among alliance partners is helpful for China to construct industry technology alliances and build state innovation system. The paper aims at proposing knowledge transfer process model an influencing factors conceptual model and demonstrating the influencing path during technology alliance according to inter-orgnizations knowledge transfer model, process and influencing factors of that. The research of this article is meaningful and practicle referential for R&D to successfully transfer knowledge in technology alliance.This article is supported by the National Natural Science Foundation of China and the Ph. D.Programs Foundation of Ministry of Education of China, No.20050213027.Firstly, the thesis defines technology alliance and knowledge transfer of technology alliance and bring forth technology alliance mode on a basis of technology alliance institution of China and characrteristics of organization learning. It is put forward that the knowledge transfer process model among technology alliance organizaitions for different technology alliance mode. This treatise also defines the technology alliance organizational knowledge construction. The eight elements related to knowledge transfer of technology alliance is recognized and knowledge transfer process model brought forward according to the inter-orgnization knowledge transfer process model proposed by the scholars ( Szulanski & Vito Albino) , technology alliance mode and the characteristics of process mamagement.Secondly, the paper puts forward the technology alliance influencing factors conceptual model on a basis of the analysis of knowledge transfer process model and relative eight elements. Information symmetry is initiatively brought forth to the process of ananlizing influencing factors of knowledge transfer, which is a concept of microeconomics. The assummption is that the high degree of information symmetry is positively related to knowledge identifying ability in the model.Thirdly, the nine research hypothesizeses are proposed according to the five influencing factors path in the technology alliance influencing factors conceptual model. Then the thesis makes a set of questionnaire to measure the nine influencing factors. The reliability analysis, validity analysis, descriptive statistical analysis and structure equation model are also used for empirical research. The result of the empirical research shows: smooth implementation of knowledge transfer process directly and positively affects effectiveness of knowledge transfer; resources input, knowledge context factors and knowledge transfer means positively affect knowledge transfer through impact implementation process of knowledge transfer; information symmetry positively relates to knowledge identifying ability; the disseminative capability and the absorptive capability directly and significantly affect context applicability.Lastly, the technology alliance between Harbin Turbine Company and Gerenal Electric Company is analyzed to verify this paper’s research conclusion, and the case analysis presentes the research result is correct. At the same time, the demonstration process shows how the conclusion drawn by the paper is used in prctise, which is benefical for R&D to understand and utilize them.更多还原