【作者】 李琳；

【导师】 郭立宏；

【作者基本信息】 西安理工大学 ， 管理科学与工程， 2022， 博士

【摘要】 随着经济全球化的不断深入,越来越多的创新主体开始通过跨国界的知识转移来实现知识的创新、增值和扩散。高效的跨国知识转移不仅有利于研发能力提升、创新资源优化配置和经济可持续增长,还对当前新冠疫情的防控和经济恢复至关重要。然而,并非所有的跨国知识转移都能高效有序的进行。国家之间的制度差异会使知识转移双方具有不同的认知方式和行为习惯并受到两种制度环境的约束,会阻碍跨国知识转移的有效进行,能否克服本国制度的约束并接纳和适应其他国家的制度是跨国知识转移成功与否的关键。学术界从制度距离的角度出发分别探讨了正式制度距离和非正式制度距离对跨国知识转移的影响,但尚未得到明确的结论。近期的研究提出制度距离对跨国知识转移的影响可能取决于知识接收方的国际经验、社会资本、技术能力和整合机制,但较少考虑到外部社会环境的调节作用。此外,大多数研究重点关注组织之间的跨国知识转移,从国家层面开展的跨国知识转移研究也主要集中于基于专利引用的跨国知识转移,忽视了注重人际交流的隐性知识的跨国界转移。针对以往研究的不足,本文重点对以下问题展开研究:(1)制度距离对跨国知识转移程度会产生怎样的直接影响?(2)外部社会环境在制度距离与跨国知识转移的影响关系中是否发挥调节作用?(3)制度距离对不同方式的跨国知识转移的影响机制有何差异?具体而言,根据所转移知识的类型将跨国知识转移分为跨国知识溢出和跨国知识共享,分别讨论正式制度距离和非正式制度距离对不同方式的跨国知识转移的影响,并进一步探究文化严格程度和制度质量水平等外部社会环境因素的调节作用。通过采用2007-2018年15个国家之间的专利引用和专利合作数据进行实证分析,结果表明:(1)非正式制度距离和正式制度距离对跨国知识溢出程度均产生负向影响;(2)知识发送方的文化严格程度对非正式制度距离影响跨国知识溢出程度的调节作用不显著,但会对跨国知识溢出产生直接的阻碍作用,还会加剧正式制度距离对跨国知识溢出的负面影响;(3)知识接收方的文化严格程度在两类制度距离对跨国知识溢出程度的影响中均发挥调节作用但方向相反,即知识接收方的文化越严格,非正式制度距离的负向影响越大,而正式制度距离的负向影响越小,它还能够直接阻碍跨国知识溢出,与制度距离之间产生交互效应;(4)相对制度质量水平会减弱正式制度距离对跨国知识溢出程度的负向影响;(5)非正式制度距离对跨国知识共享程度具有负向影响,但正式制度距离的影响却不显著;(6)知识共享方的文化严格程度并不会调节正式制度距离与跨国知识共享程度之间的关系,而是直接对跨国知识共享程度产生负向影响;(7)制度质量水平会对跨国知识共享程度产生直接的正向影响,正式制度距离在此过程中发挥负向调节作用。本文的创新之处在于以下三个方面:(1)从国家层面出发构建了制度距离影响跨国知识转移的新理论模型,明确了制度距离与跨国知识转移程度之间的影响关系。以往的研究重点分析了单一维度的制度距离对组织之间跨国知识转移的影响,所得到的结论存在较大争议。本文基于国家之间的专利引用和专利合作的视角,在充分考虑外部社会环境作用的基础上,构建了正式制度距离和非正式制度距离影响跨国知识溢出和共享程度的理论模型并对其进行实证检验,发现非正式制度距离对两类跨国知识转移始终具有负向影响,但正式制度距离对跨国知识转移的影响在不同的知识转移方式和外部社会环境下却存在差异。其中,前者为主流观点提供了实证支持,后者则解释了现有结论不一致的原因。该研究结果明确了各维度的制度距离与跨国知识转移程度之间的关系,拓展了制度距离和跨国知识转移的研究范围;(2)在区分不同方式的跨国知识转移的基础上,比较分析了制度距离对跨国知识溢出和跨国知识共享的影响机理及其差异。以往的研究更多地关注基于专利引用的跨国知识溢出研究,忽视了隐性知识的跨国界转移,由于数据获取困难,大多数学者仅采用了1999年之前的专利引用数据。本文分别将跨国知识溢出和跨国知识共享作为显性知识和隐性知识转移的方式,基于发送者-接受者模型和社会学习理论,沿着“制度距离-知识转移意愿和能力-跨国知识溢出”和“制度距离-人际关系互动-跨国知识共享”的路径剖析了制度距离对两类跨国知识转移的影响机理。在通过Python编程从大规模数据中提取和统计最新的跨国专利引用数据的基础上,对上述两个影响路径进行实证检验和比较分析,发现正式制度距离会阻碍跨国知识溢出,但对跨国知识共享程度的影响却不显著,说明正式制度距离带来的知识共享障碍能够通过人际关系互动来克服。这一发现证实了制度距离对不同方式的跨国知识转移的影响存在的差异,对跨国专利引用数据的更新也在很大程度上提高了研究的时效性,为后续跨国知识转移实证研究的开展提供了数据支持。(3)深入探讨了文化严格程度和制度质量水平的调节作用,揭示了制度距离影响跨国知识转移程度的边界条件。以往的研究集中于跨国知识转移过程中制度距离的主效应分析,并未考虑外部社会环境的调节作用。本文引入文化严格程度和制度质量水平作为外部社会环境因素,研究发现,知识转移双方的文化严格程度和相对制度质量水平在正式制度距离对跨国知识溢出的影响中均发挥调节作用,知识接收方的文化严格程度也加剧了非正式制度距离对跨国知识溢出的负向影响;此外,制度质量水平还会直接阻碍跨国知识共享,文化严格程度对两类跨国知识转移也均会产生直接的负向影响,并在此过程中与制度距离之间产生交互效应。该结果反映了外部社会环境因素在跨国知识转移过程中的关键作用,深化了对不同外部社会环境下跨国知识转移过程的理解。更多还原

【Abstract】 With the development of economic globalization and network informatization,more and more innovators begin to realize knowledge innovation,appreciation and diffusion through crossborder knowledge transfer.Efficient cross-border knowledge transfer is not only conducive to the improvement of innovation capacity,optimal allocation of innovation resources and sustainable growth of economy,but also critical to the current COVID-19 control and economic recovery.However,not all cross-border knowledge transfer can be carried out efficiently.The institutional differences between countries make the knowledge transfer parties have different cognitive ways and behavior habits and be constrained by two institutional environments,which will hinder the effective implementation of cross-border knowledge transfer.Whether the constraints of domestic institutions can be overcome and the institutions of other countries can be accepted and adapted to is the key to the success of cross-border knowledge transfer.From the perspective of institutional distance,the academics have discussed the influence of formal institutional distance and informal institutional distance on cross-border knowledge transfer,but have not reached an explicit conclusion.Recent studies suggest that the effect of institutional distance on cross-border knowledge transfer may depend on the international experience,social capital,technological capability and integration mechanism of knowledge recipient,but seldom consider the moderating effect of external social environment.In addition,most studies focus on knowledge transfer between organizations,and those carried out at the national level also focus on the cross-border knowledge transfer based on patent citation,ignoring the cross-border transfer of tacit knowledge that emphasizes interpersonal communication.In view of the shortcomings of previous studies,the following questions will be focused:(1)what is the direct impact of institutional distance on the degree of cross-border knowledge transfer?(2)Does external social environment play a moderating role in the relationship between institutional distance and cross-border knowledge transfer?(3)What are the differences in the influence mechanisms of institutional distance on different forms of cross-border knowledge transfer?Specifically,according to the knowledge type,cross-border knowledge transfer can be divided into cross-border knowledge sharing,cross-border knowledge spillover.The influence of formal institutional distance and informal institutional distance on cross-border knowledge transfer in different ways is discussed respectively,and the moderating role of the external social environment factors which are cultural tightness and institutional quality is furtherly explored.Based on the data of patent citation and patent cooperation between 15 countries from 2007 to 2018,the empirical analysis shows that:(1)Both of the informal institutional distance and the formal institutional distance have a negative impact on the degree of cross-border knowledge spillover;(2)The moderating effect of the cultural tightness of knowledge sender is not significant in the influence of informal institutional distance on transnational knowledge spillover,which is significant in the influence of formal institutional distance on cross-border knowledge spillover.However,it can directly hinder cross-border knowledge spillover and intensify the negative impact of formal institutional distance on cross-border knowledge spillover;(3)The cultural tightness of knowledge recipient plays a moderating role of both in the influence of two types of institutional distance on crossborder knowledge spillover but in the opposite direction.The tighter of the culture of knowledge recipient is,the greater the negative influence of informal institutional distance is,and the smaller the negative influence of formal institutional distance is;(4)Relative institutional quality can weaken the negative influence of formal institutional distance on the degree of cross-border knowledge spillover;(5)Informal institutional distance has a negative impact on the degree of cross-border knowledge sharing,while the influence of formal institutional distance is not significant;(6)The cultural tightness of knowledge sharing member does not regulate the relationship between formal institutional distance and the degree of cross-border knowledge sharing,but has a directly negative impact on the degree of cross-border knowledge sharing;(7)The institutional quality has a direct positive impact on the degree of cross-border knowledge sharing,which is weakened by formal institutional distance.The innovation of this research includes the following three aspects:(1)A new theoretical model of institutional distance influencing cross-border knowledge transfer is constructed at the national level,and the influence relationship between institutional distance and cross-border knowledge transfer degree is clarified.Previous studies have focused on the influence of institutional distance in a single dimension on cross-border knowledge transfer between organizations,and the conclusions are controversial.As a consequence,a theoretical model of formal and informal institutional distance influencing cross-border knowledge spillover is built and empirically tested,which is based on the perspective of the patent citation and patent cooperation between countries,and fully considering the effect of external social environment.It is found that informal institutional distance always has a negative impact on two types of crossborder knowledge transfer,however,the influence of formal institutional distance on cross-border knowledge transfer is different in different knowledge transfer ways and external social environments.The former result provides empirical support for the prevailing view,while the latter result explains the reasons for the inconsistency of existing conclusions.The results clarify the relationship between institutional distance and the degree of cross-border knowledge transfer,and expand the research scope of institutional distance and cross-border knowledge transfer;(2)On the basis of distinguishing different ways of cross-border knowledge transfer,the differences between the influence mechanism of institutional distance on cross-border knowledge spillover and cross-border knowledge sharing are comparatively analyzed.Previous studies have focused on cross-border knowledge spillover based on patent citation,ignoring the cross-border transfer of tacit knowledge.Due to the difficulty of data acquisition,most scholars only used patent citation data before 1999.Actually,cross-border knowledge spillover and cross-border knowledge sharing should be respectively regarded as the ways of explicit knowledge transfer and tacit knowledge transfer.Based on senders-recipients model and social learning theory,the influence mechanism of institutional distance on two types of cross-border knowledge transfer is analyzed along the path of "institutional distance-willingness and ability of knowledge transfercross-border knowledge spillover" and "institutional distance-interpersonal interaction-crossborder knowledge sharing".Based on extracting and collecting the latest cross-border patent citation data from large-scale data by Python programming,empirical test and comparative analysis of the above two influence paths are conducted.It is found that formal institutional distance will hinder cross-border knowledge spillover,but has no significant influence on the degree of cross-border knowledge sharing.It shows that the barriers to knowledge sharing caused by formal institutions distance can be overcome through interpersonal interaction.This finding confirms the difference in the influence of institutional distance on different ways of cross-border knowledge transfer,and the update of cross-border patent citation data also greatly improves the timeliness of research and provide data support for subsequent empirical research on cross-border knowledge transfer.(3)The moderating effects of cultural tightness and institutional quality are explored,and the boundary conditions of institutional distance influencing the degree of cross-border knowledge transfer are revealed.Previous studies focused on the main effect analysis of institutional distance in the process of cross-border knowledge transfer without considering the moderating effect of external social environment.When culture tightness and relative institutional quality are introduced as the external social environment factors,it is found that the cultural tightness and relative institutional quality of knowledge transfer parties both play a moderating role in the influence of formal institutional distance on cross-border knowledge spillover,and the cultural tightness of recipient also intensifies the negative impact of informal institutional distance on cross-border knowledge spillover;In addition,institutional quality will directly hinder cross-border knowledge sharing,and cultural tightness has a direct negative impact on both types of knowledge transfer,which has an interaction effect with institutional distance.The results reflect the key role of external social environment factors in the process of cross-border knowledge transfer and deepen the understanding of the process of cross-border knowledge transfer under different external social environment.更多还原