【作者】 韩明华；

【导师】 琚春华；

【作者基本信息】 浙江工商大学 ， 企业管理， 2011， 博士

【摘要】 随着经济全球化的发展,产业集群已经成为全球性的经济发展潮流。知识经济的到来使得知识作为企业获取竞争优势的关键性战略资源得到了普遍认同,知识管理也成为企业保持并进一步扩大自身竞争优势的决定性因素。由于受知识管理理论和企业核心竞争能力理论的影响,对产业集群的研究重点也开始逐渐向集群知识活动及知识管理侧重。作为知识管理活动过程中的一个重要环节,集群内企业间的知识转移是促进集群各个成员与整个集群自主创新能力提高的重要手段。然而,知识转移是一个复杂的活动,集群环境虽为企业间知识和技术的转移提供了便利,但是知识的应用和创新依赖于特定情境,转移来的知识能否适应新的情境将直接影响知识转移的有效性和转移结果。为此,本文以产业集群内的企业作为研究对象,从情境分析的角度对集群企业知识转移机理及情境作用下的集群企业知识转移进行了深入研究,以期通过实现集群企业有效的知识转移,从而更好地促进产业集群内部知识的不断创新与转化。论文首先在文献研究的基础上,结合集群知识的类型、层次和特征,通过分析集群企业知识转移的信任机制、动力机制和过程机制等,明晰集群企业知识转移机理；其次,基于知识的情境嵌入性,对集群环境下企业间知识转移的相关情境进行深入分析,找出其中关键的情境要素；再次,在上述理论研究的基础上构建了集群企业情境知识转移模型,并对各情境要素对集群企业知识转移的作用机制进行深入分析；接着,采用元胞自动机的方法,对集群企业情境知识转移模型中各情境要素对集群企业知识转移的作用进行了动态模拟；最后,通过问卷调查,对情境作用下的集群企业知识转移仿真结果进行了实证检验。全文共分8个章节：第一章,绪论。主要介绍论文的研究背景,提出有关问题,对论文的研究意义和目标进行阐述,明确论文的研究对象和方法,介绍了研究内容、总体结构、技术路线以及创新点等。第二章,相关研究的文献综述。通过对国内外产业集群、知识及知识管理、知识转移以及知识转移情境等相关理论及研究情况的梳理,对论文涉及到的相关概念包括知识、知识管理的过程、知识转移以及知识情境等进行了界定,并对相关研究进行了评述。第三章,集群企业知识转移机理分析。结合集群知识的类型、层次以及主要特征,对产业集群内的知识流动与本地化的知识溢出进行分析,明晰产业集群内知识转移的主体,对集群企业知识转移的信任机制、动力机制以及过程机制进行详细分析,在此基础上提出集群企业的知识转移模型。第四章,集群企业知识转移的情境分析。对情境及知识的情境性进行阐述,分析企业知识情境及其特点,提出了三种不同的集群企业知识转移的情境模式,在此基础上给出了一个集群企业知识转移的多维度情境研究框架,对每类情境维度做出了详细分析,并对每类情境维度的构成子情境要素进行了划分。第五章,集群企业情境知识转移模型的构建。根据第四章的集群企业知识转移多维度情境研究框架以及对构成每类情境维度的各子情境要素的划分,构建集群企业情境知识转移模型,并对模型中各情境要素对集群企业知识转移的作用机制进行了详细分析。第六章,情境作用下的集群企业知识转移的动态演变。在第五章构建的集群企业情境知识转移模型及对各情境要素作用机制分析的基础上,采用元胞自动机的方法,设计了集群企业情境知识转移的CA算法,通过算法的实现对情境作用下的集群企业知识转移的动态演变的仿真,根据模拟结果分析不同情境要素对集群企业知识转移的作用。第七章,情境对集群企业知识转移作用机制的实证研究。本章在设计集群企业情境知识转移问卷的基础上,对部分集群企业进行问卷调查以获取样本数据,通过对所获取的样本数据的统计分析与讨论,对本文所建立的理论模型及仿真结果进行实证检验。在此基础上,从情境管理与控制的角度出发对提高集群企业知识转移效果的部分措施进行了讨论。第八章,研究结论与展望。总结论文研究的主要结论,对本研究的局限性进行分析,并提出未来研究展望的进一步设想。本文主要研究结论如下：1、企业是集群内知识转移的核心主体,产业集群中企业间的知识势差是企业之间进行知识转移的主要动力；信任机制是知识转移的重要前提和基础；过程机制是实现知识转移的途径；2、知识具有情境嵌入性,在产业集群环境下企业间的知识转移不可避免地会受到一系列情境因素的影响,集群企业知识转移有相似性转移、差别性转移以及战略性转移三种情境模式；3、影响集群企业知识转移的情境要素是多维的,主要可分为主体情境维度、所转移知识特性的情境维度以及集群知识转移主体企业间距离情境维度三类。其中,集群知识转移企业的主体情境维度分为集群内的知识发送方企业的主体情境维度和知识接受方企业的主体情境维度,前者包括知识发送方企业进行知识转移的意愿以及知识转移的能力,后者包括知识接受方企业对知识的接受意愿、学习能力以及吸收能力；所转移知识特性的情境维度包括所转移知识的组织记忆性、复杂性以及内隐性；集群知识转移主体企业间距离情境维度包括知识转移主体企业间的知识距离、关系距离以及组织距离。不同的情境要素对集群企业知识转移产生不同的影响作用；4、仿真研究所得到有关于各情境要素对集群企业知识转移影响关系的结果主要包括：集群内知识发送方企业的知识转移意愿、转移能力以及集群内知识接受方企业对知识的接受意愿、学习能力、吸收能力对集群企业知识转移有着显著的正向影响关系；所转移知识的组织记忆性、复杂性以及内隐性对集群企业知识转移有着显著的负向影响关系；集群知识转移主体企业间的知识距离与集群企业知识转移呈现倒“U”关系；集群企业的关系距离(即亲密程度)对集群企业知识转移具有正向的影响关系；一般地,集群知识转移主体企业间的组织文化和企业组织结构的相似性对集群企业知识转移具有正向的影响作用；5、实证研究所得到的检验结果与仿真结果进行比较后,除接受方企业的知识接受意愿的仿真结果得到部分支持、所转移知识的内隐性得到与仿真结果相反的结论以及主体企业间知识距离的仿真结果得到了基本支持外,其他各情境要素对集群企业知识转移的影响作用的仿真结果都得到了实证研究的支持；6、基于仿真分析与实证检验结果,从对集群企业知识转移情境要素进行有效管理和控制的角度提出了提升集群企业知识转移效果的部分对策,包括：提高产业集群知识转移主体企业的知识转移动机与意愿、培养与增强集群内知识源企业与知识接受企业的能力、建立和完善集群知识转移主体企业信任机制、构筑集群知识转移企业基于信任基础上的合作关系等。更多还原

【Abstract】 With the development of economic globalization, industry clusters has become a trend of global economic development. Knowledge economy makes the knowledge as a key competitive advantage in gaining access to strategic resources has been generally accepted. Knowledge management has become the decisive factor that a business to maintain and further expand in competitive advantage. Because of the knowledge management theory and business theory of core competence, the research focus on industrial clusters also began to focuses on cluster knowledge and knowledge management activities. As an important part of knowledge management process, knowledge transfer between enterprises in cluster is the important means to improve the independent innovation capacity of each member and the cluster. However, knowledge transfer is a complex activity. Although, the cluster environment is conducive to knowledge and technology transfer between enterprises in cluster. But, application of knowledge and innovation depends on the specific context; whether the transferred knowledge is able to adapt the new situation will directly affect the effectiveness and results of knowledge transfer. This article took the enterprises in cluster as the research objects to study the mechanism of cluster enterprises knowledge transfer and the problems about cluster enterprises knowledge transfer under contexts from the angle of the context analysis. It expects to better promote the innovation and transformation of knowledge in clusters through realizing effective knowledge transfer between enterprises in cluster. Firstly on the basis of literature, the paper combined with of the types, layers and features of clusters knowledge, and cleared the mechanism of cluster enterprises knowledge transfer through analyzing the trust mechanism, power mechanism, and process mechanism of industry cluster enterprises. Second, based on context embeddings of knowledge, the paper analyzed the relevant contexts of enterprises knowledge transfer under the cluster environment and found out the key elements of context. Again, based on the above theoretical study, the paper constructed cluster enterprise knowledge transfer context model and analyzed the mechanism of each context factor to cluster enterprises knowledge transfer. It used the CA method to simulate the roles of each context element to cluster enterprises knowledge transfer. Finally, through the questionnaire, the papers studied tests on the simulation results of cluster enterprises knowledge transfer under the action of contexts.Full-text is divided into eight chapters:ChapterⅠ, introduction. Paper introduced the research background, raised the issue of the research, described the significance and objectives, cleared research targets and methods, presented research content, overall structure, technology route and innovation.ChapterⅠ,relevant research literature review. Through sorting out domestic and international industrial clusters, knowledge, knowledge management, knowledge transfer and knowledge transfer contexts related research in theory, this study defined the related concepts including knowledge, knowledge management process, knowledge transfer and knowledge context, etc. It reviewed the related research.ChapterⅢ, analysis the mechanism of cluster enterprises knowledge transfer. Combined with the types, layers and the main features of the industrial cluster knowledge, the paper analyzed the knowledge flows in clusters and localization knowledge spillovers.The study distincted the main body of knowledge transfer in cluster, made a detailed analysis on the trust mechanism, dynamic mechanism and process mechanism of cluster enterprises knowledge transfer, and proposed the model of cluster enterprises knowledge transfer.ChapterⅣ, context analysis of cluster enterprises knowledge transfer. Explaining the context and situational of knowledge and analyzed the enterprises knowledge context and characteristics of it, the paper presented three different context model of cluster enterprise knowledge transfer. On this basis, paper gave a multi-dimensional context study framework of cluster enterprise knowledge transfer, made a detailed analysis on each type of context dimensions, and sub-divided the sub-contextlements constituted the each type of context dimensions.ChapterⅤ, construction of the cluster enterprises context knowledge transfer model. According to the multi-dimensional context study framework of cluster .enterprise knowledge transfer in chapter IV and the sub-context elements divided to each type of context dimensions, the study constructed the cluster enterprises context knowledge transfer model, and analyzed the mechanisms of each context to cluster enterprises knowledge transfer in the model.Chapter VI, the dynamic evolution of cluster enterprises knowledge transfer under contexts. Based on the cluster enterprises context knowledge transfer model built in chapter IV and the analysis on mechanisms of various context elements. The paper used the CA method, designed the CA algorithm of cluster enterprises context knowledge transfer. By the algorithm, it realized the simulation of the dynamic evolution of cluster enterprises knowledge transfer. According to the simulation results, the paper analyzed the role of different context elements to cluster enterprises knowledge transfer.Chapter VII, the empirical study on the mechanism of context to cluster enterprises knowledge transfer. Based on the design of cluster enterprises context knowledge transfer questionnaire, this chapter obtained samples data through surveying to the part of the cluster enterprises. Through statistical analyzing and discussing to obtained sample data, the paper made an empirical test to the theoretical model and simulation results. On this basis, the paper discussed some of the measures to improve the effect of cluster enterprises knowledge transfer from the perspective of context management and control.Chapter VIII, the conclusions and prospects. In the chapter, it summarized the main conclusions of thesis, analyzed the limitations of this study, and proposed the future research prospects.The conclusions of this study as following:1, Enterprises are the core subjects of knowledge transfer in cluster. Knowledge potential difference between enterprises in industry cluster is the main driver knowledge transfer, trust mechanism is an important prerequisite and infrastructure for knowledge transfer and process mechanism is a means of knowledge transfer.2, Knowledge is context embedded. The knowledge transfer between enterprises in industry cluster will inevitably be influenced by a series of context factors. There are three cluster enterprises knowledge transfer context patterns including similar metastasis, difference transfer and strategic transfer.3,The context factors influenced the cluster enterprises knowledge transfer are multidimensional, which can be divided into the main context dimension, the transferred knowledge characteristics context dimension and the distance context dimension between the knowledge transfer main enterprises in cluster. Among them, the main cluster knowledge transfer enterprises context dimension is divided into the sender enterprises context dimension and recipient enterprises context dimension. The former includes the knowledge transfer willing and capacity of the sender enterprise, the later includes the knowledge accept wishes, knowledge learning and absorptive capacity of the recipient enterprises. The transferred knowledge characteristics context dimensions include the organizational memory, complexity and tacit of transferred knowledge. The distance context dimension between the knowledge transfer main enterprises include cluster knowledge distance, relationship distance and organizational distance between the knowledge transfer main enterprises. Different context elements have different influence on cluster enterprises knowledge transfer.4,Simulation research obtained the results about the relationships of the context factors influence to cluster enterprises knowledge transfer include:the sender wishes of knowledge transfer, knowledge transfer capabilities of the sender enterprises, the knowledge accept wishes, knowledge learning and absorptive capacity of the recipient enterprises have significant positive influences to cluster enterprises knowledge transfer. The organizational memory, complexity and tacit of transferred knowledge have significant negative effects to cluster enterprises knowledge transfer. The knowledge distance between the knowledge transfer main enterprises has an inverted "U" relationship with cluster enterprises knowledge transfer. Generally, relationship distance and organizational distance between the knowledge transfer main enterprises have positive influence to cluster enterprises knowledge transfer.5,Comparing the results of empirical research and simulation, except the simulation results of the knowledge accept wishes are partly supported, the simulation results of the transferred knowledge tacit obtained the opposite conclusion, as well as the simulation results of the knowledge distance between the knowledge transfer main enterprises are basically supported, other context factors simulation results on the influence to cluster enterprises knowledge transfer have been supported by empirical research.6, Based on the results of simulation analysis and empirical test, paper proposed partial strategies to enhance the effect of cluster enterprises knowledge transfer from the point of effective management and control the context elements of cluster enterprises knowledge transfer, which included:improving the motivation and willingness to transfer knowledge of knowledge transfer main enterprises in industrial cluster, culturing and enhancing the capacity of the knowledge source enterprises and knowledge accept enterprises in industrial cluster, establishing and improving the trust mechanism between the knowledge transfer main enterprises in cluster, building cooperation relationship between cluster knowledge transfer on trust-based,etc.更多还原