【作者】 万青；

【导师】 陈万明；

【作者基本信息】 南京航空航天大学 ， 管理科学与工程， 2012， 博士

【摘要】 知识密集型服务业（KIBS）员工的创新绩效不仅影响我国企业核心竞争力的增强，对国民经济结构调整也具有重要意义。在知识经济时代，由于所需的知识愈加全面和复杂，创新主体在创新过程中不断进行的知识扩散与接收对其创新绩效愈加重要。但就研究现状看，从知识扩散角度研究KIBS员工创新绩效的成果较少。基于此，本研究按照“概念内涵——因素识别——影响机理——激励机制”的研究主线，采取理论分析和实证研究相结合的方法，对KIBS员工创新绩效的影响机制进行了分类和分层的分析。总体来看，研究分四部分。第一部分对近年来国内外知识扩散以及KIBS相关研究发展趋势和最新成果进行综述；第二部分主要是对KIBS员工创新绩效影响因素进行理论分析；第三部分的目的是对影响因素进行实证检验；第四部分主要是构建KIBS员工创新激励的框架与机制运行规则。本研究的主要结论如下：（1）知识扩散在KIBS员工创新过程中普遍存在，从知识扩散角度分析创新绩效更能够有效的把握其影响机理。本研究首先比较了知识扩散与知识共享两组较为常见的概念，分析了二者间的区别与联系。本研究认为，知识扩散是一种覆盖范围更广泛的知识流动方式，知识共享更加精确但局限性较大，知识扩散的精确性较低但具有成本优势、覆盖范围更大。因此，可将知识共享看作知识扩散的一类情况，在这种情况下知识的扩散得到良好的控制，其目的性和有序性显著提高。因此，从知识扩散的角度对KIBS员工的创新进行研究，能够更全面、更完整的识别知识流动及其相关因素对于KIBS员工创新绩效的影响，同时也有利于保证合理、有效的创新激励措施的制定。（2）创新绩效影响因素的作用机理各不相同，且分处于个体和组织两个层面。从知识扩散视角能够甄别出个人创新意愿、知识扩散路径、知识吸收能力和组织创新氛围四种创新绩效的影响因素。结果表明，前三个变量属于个人层面的影响因素，而组织创新氛围则属于组织层面的影响因素。在个人层面，描述了创新意愿同创新绩效的正向关系，揭示了吸收能力的调节作用和知识扩散路径的中介作用；在组织层面，阐释了创新氛围的调节作用。随后，通过对调查数据的多元线性回归和多层线性分析，验证了依据概念模型提出的假设。同时还发现，在吸收能力的不同阶段，知识扩散路径对创新绩效的促进作用存有差异。因此，对知识扩散路径的选择要同员工的知识吸收能力相匹配。（3）知识吸收能力在KIBS员工创新体系中起到显著的调节作用。学术界对于吸收能力在创新体系中的角色有中介变量和调节变量两种观点。为更好的判断吸收能力的作用，以确保实证结论的有效，基于吸收能力中介作用和调节作用设定了的两个概念模型，同时针对两个模型和理论分析的结论提出了相应的假设，并加以验证。研究结果显示，KIBS员工吸收能力的中介作用没有通过检验，但其在知识扩散路径与创新绩效间的调节作用则比较显著。（4）KIBS员工创新激励机制有特殊的运行空间和运行规则。本研究发现，传统的创新激励理论并不完全适用于KIBS员工的创新激励。产生激励困境的原因不仅是由于可订约性低，还在于影响因素的多层次性和外界创新环境的不确定性。结果显示，对于KIBS员工创新激励来说，应在知识、员工个体和组织创新氛围三维激励框架中选取相应的激励方式组合，同时还需针对组织创新氛围等环境的不同对激励组合进行动态调整，在激励无效或是创新受挫的情况下，还应根据项目、员工个体以及激励环境和成本的差异，选择回溯路径以寻求创新激励支点。更多还原

【Abstract】 The workers in the Knowledge-Intensive Business Services KIBS has become the importantresources determine the enterprise’s survival and development. The innovation performance ofKIBS employees not only can enhance the core competitiveness of our enterprise, but also has theimportant meaning to the national economy structural adjustment. In the era of knowledgeeconomy, because of the knowledge that the innovation should required become more and morecomprehensive and complex, the employees will continue in the conduct of knowledge diffusionand reception in the innovation process. That’s the phenomenon should not be ignored. But thestudies from the perspective of knowledge diffusion results of KIBS employees in the presentsituation are less. Based on this, the study has analyzed the influence mechanism of the KIBSemployees’ innovation performance, in accordance with the main line of research, which is "theconcept of connotation-Identification of factors-affect mechanisms-innovation incentives", andthe methods the study used combine the theoretical analysis and empirical analysis.The overall, the research has four parts. The first part gives the domestic and foreign summary ofnew academic achievement of knowledge diffusion and the KIBS related research; The second partis mainly the theoretical analysis of the influencing factors of the KIBS employees innovation; Thethird part the goal of study is carries on the empirical analysis to the influencing factors; The fourthpart is mainly constructs the KIBS workers’ innovation frame and the rules of mechanism. Themain conclusions as follow:(1)The knowledge diffusion in the KIBS workers innovation is universal, the analysis ofinnovation performance from the perspective of knowledge diffusion can be more effective. Thisresearch has first compared the knowledge diffusion and the knowledge shares, two groups of morecommon concepts, and analyzes their difference and the relationship. The analyzes shows that theknowledge diffusion is a knowledge flowing way which is more widespread, and knowledgesharing disperses more precisely, the knowledge diffusion’s accuracy is low, but has the costadvantage; the coverage area is bigger too. So knowledge sharing can be regarded as the a kind ofknowledge diffusion, in this case, the knowledge diffusion is under the good control, its sense ofpurpose and the ordered nature is obviously enhanced. Therefore, conducts the research from theview of knowledge diffusion to the KIBS workers’ innovation can be more comprehensive,simultaneously is also advantageous to guarantee rationale and the effective innovation incentivemeasure formulation.(2)The mechanism of the innovation influencing factor’s action is various, and branch inindividual level and organization level. From the view of knowledge diffusion four innovationperformance influencing factors such as innovation aspiration, the knowledge diffusion path,knowledge absorption and the organization innovation atmosphere can be discriminated. The result indicated that the first three variables belong to individual level, the organization innovationatmosphere belongs to the organization level. At the individual level, the research describes thepositive relationship between innovative intention and innovative performance, reveals theregulatory effect of knowledge absorptive capacity and the intermediary effect of knowledgediffusion paths. At the organizational level, the research focuses on the interpretation of theregulatory effects of innovative atmosphere. Then, upon the survey data, the methods of multiplelinear regression and hierarchical linear analysis are employed to verify the hypotheses based onconceptual model. The research also indicates that in the different stages of absorptive capacity, thepromoting effects on the innovative performance through knowledge diffusion paths are various.Therefore, the choices of the knowledge diffusion paths should be matched with the workers’knowledge absorptive capacity.(3)Knowledge absorptive capacity in the KIBS workers’ innovates system plays the remarkablecontrol action. There has not an explicit conclusion on the roles absorptive capacity of knowledgeworkers plays on innovation performance.. For the better absorbancy’s function judgment, twoindependent absorptive capacity conceptual models based on the absorbancy intermediary actionand the regulatory action has established. The results showed that the intermediary role ofabsorptive capacity is not as obvious as its regulatory role. And the further division on the form ofregulation found that the regulation effectiveness of the absorptive capacity mostly work on therelationship between knowledge diffusion path and innovation performance, and also work on therelationship between innovative atmosphere and innovation performance. In addition, the researchconfirmed that the absorption capacity plays a the negative regulatory role between the informalcommunication and innovation performance.(4)The KIBS workers’ innovation incentive mechanism have special run space and rules. Theresearch discovered that because of the problems of contractibility and multi-level of theinfluencing factors, the motivation dilemma is inevitable in the knowledge workers’ innovationprocess. The result showed that the KIBS workers’ innovation incentive mechanism shouldconstructs framework which built the operation space through three dimensions such as knowledge,environment and knowledge workers. Meanwhile the incentive combination should be dynamicadjusted in connection with the innovative atmosphere. In situation of the incentive invalid or theinnovation suffered setbacks, according to the differences of projects, the workers individual aswell as the incentive environment and the cost, the incentive combination should has the choicerecollection way to sought the innovation drive pivot.更多还原