【作者】 杨波；

【导师】 徐升华；

【作者基本信息】 江西财经大学 ， 管理科学与工程， 2011， 博士

【摘要】 随着知识经济不断发展,知识已经日益成为企业发展的核心资源。在全球经济一体化的深入发展以及市场竞争环境迅速变化的大背景下,为应对日趋激烈的市场竞争并保持优势地位,现代企业仅依靠自身的知识与技术资源,不能适应这种快速多变的市场需求的发展趋势,这就要求必须从外界积极转移、吸收新知识,获得持续的创新能力和竞争优势。同时,转移吸收先进外部知识资源促进我国高新技术产业的发展与区域经济发展的作用也日益显现。在此背景下,虚拟企业通过对成员企业核心能力和资源的集成,获得在管理、知识技术、资源等方面的竞争优势,并通过分享市场机会和顾客实现共赢的目标,从而在激烈的市场环境中获得竞争优势。知识转移活动贯穿在虚拟企业整个生命周期,虚拟企业的合作过程实际上就是知识转移的过程。因此,有效的知识转移能够极大提高虚拟企业的运作效率和成员企业的创新能力。对虚拟企业的盟主企业来说,其知识管理的关键问题是如何保证成员企业间跨组织的知识转移活动有效实施。因此,研究虚拟企业知识转移活动就显得尤为必要。本文重点研究了虚拟企业知识转移的相关机制以及实际效用。首先,围绕虚拟企业知识转移的相关问题作为研究对象,从虚拟企业组织模式、知识转移的相关概念、知识转移的影响因素、知识转移的博弈与机制以及有关知识转移实证等研究方面对国内外相关文献进行详细梳理和分析。其次,对虚拟企业组织特性,虚拟企业知识转移的能力、过程、模式及网络特性等方面的虚拟企业知识转移特性进行系统的分析和论述,作为后续研究工作的基础。再次,在从三个方面对论文主体展开深入研究：一是采用系统动力学仿真建模方法与主因子分析的实证统计方法共同研究虚拟企业知识转移的主要影响因素；二是对虚拟企业知识转移行为主体的利益关系进行博弈分析,构建演化博弈仿真模型进行知识转移过程的动态演化仿真,在此基础上,研究设计虚拟企业知识转移的相关促进机制,提出虚拟企业知识转移管理策略；三是通过提高企业自主创新能力的内部效用和促进高技术产业发展的外部效用两个维度,对虚拟企业知识转移的实际效用进行实证分析并提出相应建议。本文通过理论探讨、仿真分析及实证研究等研究方法,主要得到以下结论：(1)对虚拟企业的内涵、特性、类型及组织特性进行分析,然后,结合虚拟企业的组织特性对虚拟企业的知识来源、知识转移能力、知识转移一般过程等特性进行了系统的分析和总结；进一步归纳和提出了虚拟企业知识转移基于知识资源互补关系的任务导向水平互补、任务导向垂直互补和关系导向水平互补、关系导向垂直互补四种主要模式。最后,根据虚拟企业网络组织的内涵,结合复杂网络中小世界网络模型,对虚拟企业知识转移的网络特性进行分析、建模,并通过计算机仿真模拟的方法,证明在虚拟企业知识转移网络符合小世界网络特性,在小世界网络中提高成员企业的交流频率和企业聚集程度,能够提升虚拟企业知识转移的能力和效率。(2)通过归纳分析,在前人对知识转移影响因素研究的基础上,总结构建了虚拟企业知识转移影响因素的概念模型,提出12个影响虚拟企业知识转移活动的因素,在定性分析的基础上,采用系统动力学方法对知识转移的因果关系进行分析建模,在Vensim PLE平台上对虚拟企业知识转移影响因素模型进行仿真验证。最后,通过主因子分析法对虚拟企业知识转移影响因素进一步的实证分析,得出虚拟企业知识转移主要受动机因子、信任因子、能力因子、机制因子、知识因子和情境因子的影响。研究结果为虚拟企业博弈关系分析以及机制设计提供了参考与依据。(3)对虚拟企业知识转移的博弈关系进行了研究,应用传统博弈理论,构建虚拟企业知识转移合作竞争博弈模型,并依据演化博弈理论进行演化博弈分析,构建虚拟企业知识转移演化博弈仿真模型,通过NetLogo仿真平台,模拟分析了虚拟企业知识转移的演化趋势,对非对称的虚拟企业成员间的知识转移行为的演化稳定策略和激励机理进行博弈仿真。分析结果验证了各影响因素对虚拟企业知识转移的促进或阻碍作用,反映了虚拟企业知识转移活动的内在机理,并以此提出设计虚拟企业知识转移的相关促进机制,具体包括虚拟企业知识转移的信任机制；虚拟企业知识转移的协调机制；虚拟企业知识转移的激励机制。最后总结提出虚拟企业知识转移管理策略,为我国虚拟企业知识转移活动制定有效管理策略提供了理论和实践的依据。(4)在虚拟企业知识转移对成员企业自主创新能力影响作用的定性分析基础上,通过调查问卷采集样本数据,运用结构方程模型进行知识转移对提升自主创新能力效用实证分析,实证的结果表明虚拟企业在知识转移的过程中实现内外部知识的有效互补和协同,并在此基础上提升成员企业自主创新能力,虚拟企业知识转移的顺利实施对成员企业技术创新和知识创新有正向影响,并且对技术创新绩效的影响比对知识创新绩效的影响更大,而对成员企业管理创新的正向影响假设却不成立,同时也发现技术创新与知识创新之间、知识创新与管理创新之间存在正向关系,管理创新与技术创新之间的正向假设关系不成立。(5)在虚拟企业知识转移对高技术产业发展的促进作用的定性分析基础上,采用我国2000-2009年10年间相关的统计资料作为样本数据,使用生产函数模型构建关于虚拟企业知识转移促进高技术产业发展实证分析的回归模型,采取《中国高技术产业统计年鉴》、《中国统计年鉴》等统计资料26个省市的面板数据从总体和地区两个方面进行回归分析,研究虚拟企业知识转移对高技术产业经济增长的效用。分析结果表明,虚拟企业知识转移对整个高技术产业经济增长的效用很显著。但由于我国区域经济的不均衡发展,导致不同区域内虚拟企业知识转移活动的需求与活跃程度不相同,因而使虚拟企业知识转移效用出现“因地而异”,导致我国企业知识转移的实施也呈现出“东强西弱”的格局。最后在实证分析的基础上提出提高成员企业自主创新能力和促进高技术产业发展的建议,为我国企业制定促进知识转移整体效用的相关制度提供理论依据与实践支持。与国内外同类研究相比,本文的研究创新主要体现在以下3个方面：(1)构建虚拟企业知识转移影响因素的概念模型,采用定性与定量相结合的研究方法,研究得出影响我国虚拟企业知识转移的6个关键因素。本文首先归纳分析提出12个影响虚拟企业知识转移活动的因素假设,在定性分析基础上采用系统动力学的建模仿真方法构建虚拟企业知识转移影响因素仿真模型,进行仿真分析验证假设；并通过实地调研及发放调查问卷形式获得研究样本数据,借助SPSS13统计分析软件对影响虚拟企业知识转移各因素进行主因子分析,实证结果表明虚拟企业知识转移影响因素按重要程度主要受动机因子、信任因子、能力因子、机制因子、知识因子和情境因子的影响。(2)运用博弈论的方法,采用博弈分析与博弈仿真相结合的研究方法,对虚拟企业知识转移活动中的各主体的利益关系进行博弈分析,并构建虚拟企业知识转移演化博弈仿真模型,在NetLogo仿真平台上采用Multi-Agent技术进行知识转移演化动态仿真,研究得出虚拟企业知识转移的内在机理和激励机理,研究设计促进虚拟企业知识转移相关机制。由于知识转移对虚拟企业各有限理性的行为主体利益关系产生动态的影响,博弈分析与仿真相结合的研究方法可以更为全面了解虚拟企业知识转移过程特性和内在机理,而建立在博弈与仿真分析基础上的机制设计,可以更具针对性的解决虚拟企业知识转移活动中所存在的机会主义等问题,并对虚拟企业知识转移的顺利进行提供保障和促进的作用。因此,对虚拟企业知识转移活动进行博弈分析与基于Multi-Agent的演化博弈仿真方法相结合设计相关知识转移机制是十分有效,这一研究方法具有一定的理论价值与创新意义。(3)从虚拟企业知识转移对提升成员企业自主创新能力的内部效用与促进高技术产业发展的外部效用两个视角,分别采用结构方程模型和生产函数回归模型等计量方法和工具进行了理论研究与实证分析,较全面、系统的研究得出我国虚拟企业知识转移对企业创新能力和高技术产业发展的实际促进作用。对虚拟企业知识转移内部效用的研究通过调查问卷和访谈形式,运用结构方程等计量方法进行实证分析；对虚拟企业知识转移外部效用的研究采用了2000-2009共10年我国相关统计资料的面板数据进行分析,并为了充分了解各区域虚拟企业知识转移的实际效用情况,本文还分别对东、中、西部地区进行了分区域的实证分析。根据实证分析,对虚拟企业知识转移的实际效用获得了较为全面的了解,并拓宽了该领域的研究渠道,与目前国内外其它研究相比,本研究所得到的结果更为全面,也更具实践价值。但由于在对虚拟企业知识转移外部效用的研究上部分统计数据缺失,有部分地区企业的知识转移效用情况本文未作研究,今后可以采取实地调研的方式,通过企业或技术开发区获取第一手资料了解知识转移活动具体情况,避免研究中所存在的区域空白。此外,在知识转移主体的博弈研究方面,今后的研究可以扩大虚拟企业联盟知识转移行为的博弈主体,加入政府主体进行三方博弈研究。同时,在博弈仿真方面,可以按照复杂系统的建模方法,完善仿真算法,充分、全面考虑虚拟企业知识转移过程中的复杂因素,设计搭建更加符合真实情境的博弈仿真系统,对企业知识转移活动进行更深入研究。更多还原

【Abstract】 As the development of knowledge economy, the knowledge has become critical resources and key elements of enterprise development. Due to the global development and the changeable competition environment, modern enterprises no longer depend on their own knowledge and technology study and development, but also must get new knowledge from outside and acquire their own competition predominances by way of coping with the fierce market competition and keeping their own predominances. Meanwhile, the positive influence of advanced outside knowledge resources transfer to promote the high-technology industry development and regional economies has come to rise increasingly. In this case, Virtual Enterpriseobtains competition predominances in the aspects of management, knowledge technology and resources, etc by the enterprise key ability and resources integration. By the way of sharing market chances and customs to realise the win-win goal, it can also get competition predominances from the fierce market. Knowledge Transfer is through the whole cycle of Virtual Enterpriseand the cooperation process of Virtual Enterpriseis actually the process of Knowledge Transfer. Therefore, the effective Knowledge Transfer can improve the operating efficiency of Virtual Enterpriseand independent innovation of member enterprise. The key to core company of Virtual Enterpriseis how to guarantee the effective practice of cross organizational Knowledge Transfer. Consequently, it is important to study the activity of Virtual EnterpriseKnowledge Transfer.The study key of this paper is the related mechanism and actual utility of Virtual EnterpriseKnowledge Transfer. Initially, this paper focuses on the Virtual EnterpriseKnowledge Transfer and its related question, and to analyse the related references at home and abroad from some aspects like the related conception of Virtual Enterpriseorganized mode and Knowledge Transfer, the influence factor of Knowledge Transfer, the mechanism and game of Knowledge Transfer and related Knowledge Transfer utility. Furthermore, by analysing the feature of Virtual Enterprise, Virtual EnterpriseKnowledge Transfer’s ability, process, mode and net feature,etc, to make a foundation for the further study in the future. Last but not least, this paper studies further about the body from three aspects:firtst is to study the main factor of Virtual EnterpriseKnowledge Transfer by adopting dynamic simulation mode method; second is to study the related promoting mechanisms of Virtual EnterpriseKnowledge Transfer by analysing the game relation based on the body of Virtual EnterpriseKnowledg Transfer and constructing evolutionary game simulation mode to have simulation analysis; third is to study the actual utility of Virtual EnterpriseKnowledge Transfer by improving independent innovation ability of inner utility and promoting the outer utility of high-technology enterprise increasing economy. By the way of simulation analysis, theory study method and positive study, this paper gets the following conclusions:(1) The thesis analyses the Virtual Enterprisein the aspect of connotation, property, type and organization feature. Then through combing Virtual Enterprise’s property, it analyses and summarizes Virtual EnterpriseKnowledge Transfer in the aspect of the origin of knowledge, the ability of Knowledge Transfer, the general process of Knowledge Transfer and etc systematically; it further generalizes and puts forward four major models of Virtual EnterpriseKnowledge Transfer which bases on the complementation relation of knowledge resources, like assignment-guide level complement assignment-guide vertical complement relation-guide level complement and relation-guide vertical complement. Finally, according to the connotation of Virtual Enterprise’s net organization, combining the net model of the small and middle world in the complicated net, it analyses and gives models to the net property of Virtual EnterpriseKnowledge Transfer. And through the simulate ways of internet, it proofs that the ability and effciency of Virtual EnterpriseKnowledge Transfer can be improved once the Virtual EnterpriseKnowledge Transfer net matches the property of small net world well and the communication frequency and enterprise’s assemble degress can be improved in the small net world.(2) Through inductive analysis, summary and creation of a Virtual EnterpriseKnowledge Transfer factor concept model is made based on previous studies. Also 12 factors that influencing enterprise Knowledge Transfer activity are put forward. Analysis and is also created using systematic dynamic studies on the study of the transferring of knowledge. Verification is made on the influencing factor analysis model on Vensim PLE platform. Finally, through the main factor analysis to the Virtual EnterpriseKnowledge Transfer further empirical analysis of the factors affecting Knowledge Transfer, it is concluded that the Virtual Enterprisemainly influenced by motivation factor, trust factor, ability factor, mechanism factors, knowledge factor and situational factors. The results provide reference and basis for the follow-up research of the Virtual Enterprisegame relation and mechanism.(3) This paper studies the dice game of Virtual EnterpriseKnowledge Transfer, applying the traditional game theory, and builds a Virtual Enterprisemodel of Knowledge Transfer in cooperative and competitive game. Based on evolutionary game theory, and on the analysis of evolutionary game, it combines with computer simulation, and through NetLogo simulation platform, to simulate the evolution of Knowledge Transfer in virtual trend of Virtual Enterprisemembers’asymmetrical Knowledge Transfer behavior between the evolutionary stable strategy and incentive mechanism and simulation game. The results confirm the influence of virtual Knowledge Transfer factors promoting or hindering the role, but also reflect the internal mechanism of the Knowledge Transfer activities in Virtual Enterpriseand draw the corresponding conclusions. On this basis, and puts forward the promoting mechanism of Knowledge Transfer in Virtual Enterprisesystem, including its trust mechanism in the Virtual EnterpriseKnowledge Transfer, coordination mechanisms for Knowledge Transfer, and incentive mechanism of Virtual EnterpriseKnowledge Transfer. Finally, it summarizes management strategies of Virtual EnterpriseKnowledge Transfer, which provides theoretical and practical basis for developing effective management strategies in Virtual EnterpriseKnowledge Transfer activities in China.(4) On the basis of qualitative analysis about Virtual EnterpriseKnowledge Transfer making effects to the independent innovation ability of membership enterprise, and through questionnaire to get sample data, it applies structure equation to do demonstrational analysis. The result demonstrates that in the process of Virtual EnterpriseKnowledge Transfer the inter and outer knowledge get complemented and harmony effciently. And under this basis, making the best use of independent innovation effect, it proofs that the smooth implementation of Virtual EnterpriseKnowledge Transfer will make a positive effect to the technological innovation and knowledge innovation of the membership enterprise. And what’s more, the effect to the technological innovation is much more stronger than to the knowledge innovation, while the assumption that a smooth implementation of Virtual EnterpriseKnowledge Transfer will lead a positive effect to the enterprise’s management innovation is false.(5) Based on the qualitative analysis of virtual enterprises Knowledge Transfer in promoting the development of high-tech industry, adopting the relevant statistical information during a 10-year period of 2000-2009 as the sample data, the use of production function model was established to promote Knowledge Transfer on the Virtual EnterpriseEmpirical Analysis of high-tech industry regression model. It takes the panel data in "high-tech industry in China Statistical Yearbook", "China Statistical Yearbook" and other statistics of 26 provinces and cities, and regression analyzing from the two aspects of overall and regions. And it discusses the effectiveness of the in economic growth of high-tech industry. The results show that the effectiveness of Virtual EnterpriseKnowledge Transfer to the entire economic growth of high-tech industries is significant. However, due to the imbalanced development of China’s regional economy, technology, and educational level, it leads to different needs and different level of activity of Virtual EnterpriseKnowledge Transfer in every region, so that it has a "vary" phenomenon on the effectiveness of Virtual EnterpriseKnowledge Transfer, which leads to a "strong west to east" pattern on the implementation of Knowledge Transfer in China. Finally, on the basis of the empirical analysis, it proposes suggestions and strategies of increasing the independent innovation ability of the members and promoting the development of high-tech industry, and provides a theoretical basis and practical support for the policy of promoting the overall effectiveness of Virtual EnterpriseKnowledge Transfer.Compared with the similar study in home and abroad, this paper has some study innovation in the aspects as follows:(1) this paper founds a conceptual model of Virtual EnterpriseKnowledge Transfer’s effect factor which puts forward 12 main factors effecting Virtual EnterpriseKnowledge Transfer. On the basis of qualitative analysis, this paper adopts systematic modeling to emulationally validate the model of Virtual EnterpriseKnowledge Transfer’s effect factor and brings out some corresponding conclusions. Then it acquire a lot of first-hand data about Virtual EnterpriseKnowledge Transfer, by the means of field Research, interviews, and questionnaire. On the fundamental of these, it puts up Factor analysis on the main factors of Virtual EnterpriseKnowledge Transfer, using qualitative analysis combined with quantitative analysis and SPSS, a statistical analysis software. After finding out different influencing degree of different factors of Virtual EnterpriseKnowledge Transfer, it analyses each main factor which affecting Virtual EnterpriseKnowledge Transfer in the positive viewpoint. Finally it turns out that the main factors, which affect Virtual EnterpriseKnowledge Transfer, are incentive factor, trustful factor, ability factor, mechanism factor, knowledge factor, situation factor.(2) This thesis analyses the interests of each participant in the Virtual EnterpriseKnowledge Transfer activity from the perspective of Game theory, on this basis, apply Evolutionary Game Theory to analyses the Virtual EnterpriseKnowledge Transfer activity and adopt multi-Agent technology to construct computer simulation model on the netlogo simulation platform, conducting a simulation analysis to it. Actually, because of the influence produced by the Virtual EnterpriseKnowledge Transfer to the interests relationship between each behavior participant, the study method which combine the Game analysis and the simulation analysis can learn the characteristics and inner mechanism of enterprise Knowledge Transfer more comprehensive, moreover, the mechanism design based on the game theory and simulation analysis can be more targeted to solve the problems existed in the Virtual EnterpriseKnowledge Transfer activity and foster the Virtual EnterpriseKnowledge Transfer go smoothly. Thus, it is really necessary to design related mechanism on the basis of game theory and multi-Agent simulation analysis; therefore, the study in this thesis has certain theoretical value and innovation significance.(3) According to the inside and outside environment of Virtual EnterpriseKnowledge Transfer, this paper focus on theoretic analysis and demonstrable study, in the viewpoint of Virtual EnterpriseKnowledge Transfer’s inside avail on membership-enterprise’s ability of independent innovation and the outside avail of high-tech industry’s development. To ensure the objectivity, precision and veracity of demonstrable study, the study on Virtual EnterpriseKnowledge Transfer’s inside avail mainly depend on the form of questionnaire and interview, via structural equation and other metrology method. As to the outside avail of high-tech industry’s development, the study adopts a decade’s regional correlative panel- statistics, from 2000 to 2009, to analyze. Moreover, this paper also analyses the east, midland and west by different regionalism, in order to fully understand the actual avail of Virtual EnterpriseKnowledge Transfer in different region. By the demonstrable study, I know more about the actual avail of Virtual EnterpriseKnowledge Transfer and broaden the channel of study. And the demonstrable study on Virtual EnterpriseKnowledge Transfer’s inside avail indicate that the Virtual EnterpriseKnowledge Transfer play an important role in enhancing the ability of independent innovation and promoting the high-tech industry’s economic development. Although Virtual EnterpriseKnowledge Transfer play a more important role in the east than in the midland and west, because of difference in economic development. Compared with other study in home and abroad, this paper’s outcome is more general and of more actual value.However, as data lacking of the study on Virtual EnterpriseKnowledge Transfer outer utility, the Knowledge Transfer utility of some regions are not studied. In the future, the practical research will be taken to get the first-hand information and avoid the distric blank in the study. Besides, the game body of Knowledge Transfer behavior can be expanded and combining with the government body to do the research in the game research. Meanwhile, in the aspect of simulation analysis, the complex system of model method can be taken and every aspect of influence factor both from inner and outer of Virtual EnterpriseKnowledge Transfer will be considered to construct simulation system based on the practice of Virtual EnterpriseKnowledge Transfer.更多还原