【作者】 王涛；

【导师】 杨蕙馨；

【作者基本信息】 山东大学 ， 企业管理， 2012， 博士

【摘要】 20世纪90年代以来,随着科学技术的迅猛发展,世界经济逐步迈入了全球化时代,在这一时代,以网络信息科技为主导的技术革命使知识成为了企业组织生产要素中最重要的组成部分,在价值创造中发挥的效力已逐渐超过人、财、物等传统生产要素。产业集群作为经济全球化条件下各国经济实现快速发展的一个重要战略模式,其不仅具有利于实现规模经济的空间上的地理集聚效应,而且其作为促进产业内部实现技术和知识的创新一种知识系统,还为企业获取知识、提升竞争优势提供了可能。知识转移的效果取决于知识本身被传送、解释和吸收的难易程度,对于集群内的企业来说,他们不仅具有合作关系而且彼此之间还存在着相互竞争,因而会造成知识尤其是隐性知识的转移与共享困难,而主动且有意识地进行知识转移是提高集群企业知识转移的效率与效果的最佳途径。如何实现有效的知识转移,促进集群企业的知识获取、内化和创新,提升集群内企业的创新能力,是集群企业发展过程中面临的重要问题。在对国内外产业集群、知识及知识管理、知识转移以及知识转移影响因素等相关文献进行评述的基础上,对已经取得的相关研究成果进行了系统梳理。从知识转移的过程视角出发,借鉴Cummings&Teng的知识转移影响因素理论分析框架,综合考虑知识转移的各主要影响因素,从知识源企业、知识接受企业、转移知识本身以及所处情境四个方面进行分析,分析知识转移各关键影响因素对知识转移效果的影响。文中结合产业集群的特点,将集群的情境分为组织内部的情境以及组织外部的集群情境,在此基础上结合集群企业知识转移主体、转移的知识,构建了产业集群内企业企业间知识转移模型。该模型的建立与采用的分析框架,对改进目前理论研究领域存在的对产业集群、知识管理以及知识转移的关联性研究相对缺乏,以及对产业集群的研究大多集中于经济效益方面的现状,具有较为重要的理论开拓意义,期望为集群企业实现成功的知识转移提供理论指导。通过对集群环境下企业知识转移影响因素的实证分析,揭示了各因素间相互关系以及对知识转移效果的影响,使集群企业能够充分认识影响知识转移效果的变量,对于我国集群企业从具体的背景和环境出发识别利于自身成长的知识,对相关因素进行有效控制与调节,更加有效地实现知识转移,进而增加知识存量改善知识基础,促进知识创新和应用具有重要的现实指导意义。研究中主要采取文献研究与演绎推理、调查问卷、数理统计分析等研究方法。首先,通过搜集和整理国内外有关产业集群、知识及知识管理、知识转移、知识转移影响因素、知识转移效果等研究文献,对已有理论研究成果进行系统梳理,结合相关企业实践形成理论研究模型和理论假设。其次,从知识属性、知识发送企业、知识接受企业和集群情境四个维度出发,总结和提炼知识转移效果的影响因素,挖掘其内涵,辨识其间的复杂交互关系,并综合理论领域学者们反复使用的成熟量表,提出各变量的测量办法,据此设计调查问卷。最后,在抽样和企业调研的基础上,采取数理统计的方法对所获得的数据和资料进行分析,以实现对所构建的理论研究框架和相关假设进行验证。论文共分六个章节。第一章绪论,主要介绍研究背景,提出有关问题,对论文的研究意义和目标进行阐述,介绍研究方法,技术路线,逻辑框架和创新点。第二章文献综述,系统梳理国内外有关产业集群、知识及知识管理的相关理论,分析评述在知识转移及知识转移影响因素方面所取得的研究成果,在此基础上界定论文涉及到的知识、知识管理、知识转移以及知识情境等相关概念,并对相关研究进行评述。第三章理论模型与研究假设,借助前人的理论分析框架,将中观产业层面的产业集群的发展阶段及群内企业的合作方式,以及微观企业层面的企业间组织距离、关系距离、知识距离等情境因素引入此分析框架,构建产业集群内企业间知识转移的影响因素模型,并对所涉及的相关要素进行评述界定,提出相应假设。第四章变量的测量与评价,以前人研究中所使用的测量指标为基础,结合本研究的实际需要,依据相关的概念定义对测量指标进行添加、删除或修改,确定影响因素的可操作性衡量指标,并对测量题项进行信度和效度分析。第五章统计分析与模型检验,介绍集群企业知识转移调查问卷的设计与发放过程,分析处理所获取的样本数据,利用SPSS统计分析软件所建立的理论模型以及相关假设进行实证检验。第六章研究结论与展望,根据实证研究结果,从对集群企业知识转移要素进行有效管理和控制的角度对提高集群企业知识转移效果的部分措施进行了讨论,从集群内知识转移主体、知识转移机制以及知识转移外部环境等方面给出提升集群知识转移效果的对策建议。论文的主要结论为：第一,产业集群内企业间的知识转移是一个复杂的过程,这一过程会受到四类要素的综合影响,它们是知识源企业相关因素、知识接受企业相关因素、知识属性、知识转移的情境因素。第二,知识源企业、知识接受企业和知识属性是传统的知识管理研究的基本影响因素。知识源企业因素包括发送意愿和发送能力,它们均与知识转移效果高度正相关；知识接受企业因素包括接收意愿和吸收能力,它们也与知识转移效果高度正相关；知识属性包括模糊性和嵌入性,它们均会在一定程度上对知识转移效果产生阻碍作用。第三,知识转移的情境因素独立于其它三类影响要素,对企业间知识转移的过程和效果均产生直接和间接的作用。它包括微观企业情境和中观产业情境两个维度,微观企业情境包括组织距离、关系距离和知识距离,它们均与知识转移效果呈显著负相关关系,且在其它三类因素与知识转移效果的相关关系中起调节作用;中观产业情境包括合作方式和集群发展阶段,它们也能够有效的调节其它三类因素与知识转移效果的关系,这是本文力求创新的重点之一。第四,在企业实践中,集群企业要找出影响知识转移效果的因素,并对各因素进行有效地管理和控制,以不断加强有助于知识转移的因素,尽可能地削弱或克服不利于知识转移的因素,以提升知识转移的实施效果。综上所述,在知识资源逐渐取代传统资源,成为社会经济增长的主要驱动力的时代,在产业集群已成为全球化经济中各国经济实现快速发展的重要战略模式的背景下,企业应当积极参与产业集群等合作方式,主动辨识影响知识转移效果的各类因素,从主体、客体、情境等方面入手,探求不同因素对知识转移效果的作用,掌握因素之间的复杂交互关系,以此为基础对各因素进行管理和控制,有效实现组织间的信息交流、知识共享与传播,以加速对内外部知识的融合与创新,为企业发展提供智力支持,为集群发展提供强大动力。更多还原

【Abstract】 Since the nineteen nineties, along with the rapid development of science and technology, the world economy has entered the era of globalization. In this era, the network information science predominated technology revolution make knowledge become the main element in production factors. By replacing the traditional labor, capital and so on as the most important resources, it has become the main driving force of value creation. As a new kind of typical development model of regional economy, industrial clusters are capable of bringing fierce regional economy effect, and improving industrial competitiveness. Through the information communication among organizations and knowledge sharing and transmission inside the industrial clusters, the innovation of knowledge is able to provide strong power for the development of industrial clusters and powerful support for the improvement of the industrial competitiveness.The transfer of knowledge depends on the scale of difficulty in the knowledge’s transmission, explanation and assimilation. For the enterprises within a cluster, they cooperate as well as compete with each other, which will cause the difficulty of transfer and sharing of knowledge, tacit knowledge in particular. So, transferring knowledge actively and consciously is the best way to improve the efficiency of knowledge transfer between enterprises within a cluster. How to realize effective knowledge transfer, to promote the acquisition, reusing and innovation of the knowledge within a cluster, and to improve the innovation ability of the enterprises within a cluster, are important issues during the development of enterprises.The paper is based on the review of relevant literature which analyzed the domestic and foreign industrial clusters, knowledge and knowledge management, knowledge transfer, factors on knowledge transfer and so on, and sorts the literature out. From the knowledge transfer process perspective, and drawn from the theory framework of knowledge transfer of Cummings and Teng. this paper analyzes the crucial factors affecting knowledge transfer and their effectiveness from the aspects of knowledge-source enterprise, knowledge-receiving enterprise, knowledge transfer itself and the context. Taking the features of industrial cluster into consideration, the paper divides the cluster context into organizational and outside organizational one and further constructs the knowledge transfer model within the industrial cluster contexts with a combination of knowledge transfer subject, knowledge transferred.This model and framework has great theoretical significance, by making up for a lack of the study on the correlation of industrial cluster, knowledge management and knowledge transfer, and by improving the present studies, which pay most attentions to economic benefits. At the same time, the study of the factor affecting the knowledge transfer enables the enterprises within the clusters to understand well the process of knowledge transfer and the variables affecting the process, and to identify the favorable knowledge, to gain the access to the knowledge of high quality, to transfer the knowledge effectively, and to promote the knowledge innovation and application of industrial clusters. What’s more, the study helps the enterprises increase their knowledge stock. and transform the knowledge into their ability, which lay a foundation for knowledge innovation in turn.This paper applies to the methods of literature review and deduction, questionnaire and mathematical statics analysis. First, the paper collects the relevant studies on industrial cluster, knowledge and knowledge management, knowledge transfer and its affecting factors and effectiveness, then sorts them out. and forms theoretical models and hypothesis by combining the industrial practices. Second, from the aspects of knowledge attributes, knowledge-sending enterprises, knowledge-receiving enterprise, the cluster context, this paper summarizes the factors affecting knowledge transfer, their connotations, and their interactive relationships. It then states the ways of measuring the variables by the widely-used scales. Based on this, questionnaires are designed. At last, by choosing the samples and adopting mathematical statics, the paper analyzes the data to examine the constructed theoretical research models and hypothesis.There are six chapters in this paper. The first chapter is an introduction of the research background, which puts forwards the issues and explains the research goal and its meaning. It also gives a brief view of the research content, the whole structure and the innovational point. The second chapter is the literature review. It sorts out such theories as the foreign and domestic industrial cluster, knowledge and knowledge management, knowledge transfer, and the factors which affect the knowledge transfer. This chapter also redefines some relevant concepts, including the knowledge, the process of the knowledge management, the knowledge transfer and the knowledge contexts and reviews the relevant research. The third chapter is about the theoretical model and research hypotheses. Based on the research of the knowledge type, level and the main characteristics, it analyses the knowledge flow within the industrial cluster and the localized knowledge spillover, clarifying the main body of the knowledge transfer and analyzing its mechanism within the industrial cluster. It builds the knowledge transferring model and explains how the elements affect the knowledge transfer mechanism in details. On the basis of those analyses, the paper comes up to the hypotheses. The forth chapter is about the questionnaire and variable design. It firstly designs the questionnaire to study the knowledge transfer in certain contexts and then chooses some companies as sample to get data. The fifth chapter is mainly about statistical analysis and empirical study. By analyzing the data which gets from the sample and discussing the result, we use the empirical study to verify the model and the relevant hypotheses and draw a conclusion. The sixth chapter gives some suggestions to the knowledge transfer within the industrial cluster, aiming to heighten the knowledge transferring effect from the main body, mechanism, and the outside environment of the knowledge transferring. According to the results, we discuss some measures to heighten the knowledge transferring effects by managing and controlling the relevant factors.The major conclusions of the paper include:first, the process of the knowledge transfer among the enterprises within a industrial cluster is complicated and is affected by four major elements, including relevant factors of knowledge-source enterprises, relevant factors of knowledge-receiving enterprises, knowledge attributes and contexts of knowledge transfer. Second, knowledge-source enterprises, knowledge-receiving enterprises, knowledge attributes are basic affecting factors for traditional knowledge management studies. The factors of knowledge-source enterprises contain the willingness and capacity of sending knowledge, which is highly and positively related to knowledge transfer effectiveness. Knowledge attributes include ambiguity and embed ability, which to some extent hinder the knowledge transfer effectiveness. Third, the context of knowledge, independent of the other three elements and affecting directly as well as indirectly the process and effectiveness of knowledge transfer among enterprises, include the two dimensions of micro context and medium context. The former include the distance of organizations, the distance of relationship, and the distance of knowledge, all of which are clearly negatively related to knowledge transfer effectiveness and which adjust the relationship of the other three elements and knowledge transfer effectiveness. The latter, including means of cooperation and development phase of industrial cluster, can adjust effectively the relationship of the other three elements and knowledge transfer effectiveness, too, which is an important innovation of this paper. Fourth, in the practice of knowledge transfer, in order to explore the knowledge resources within a cluster, improve the efficiency of knowledge transfer, an enterprise within a cluster should identify the factors affecting knowledge transfer, and manage and control them effectively, highlighting the favorable factors and diminishing unfavorable ones. Besides, the enterprises within a cluster should manage knowledge transfer independently as well as enforce the collaboration and seek to the help of industrial associations and government to achieve more.In conclusion, in an ear when knowledge resources replace the traditional resources as the major agent of economic increase, and with industrial cluster as a significant strategy for the nations to realize the fast economic development in a time of economic globalization, the enterprises should participate actively in industrial clusters and other cooperation forms, actively recognize all factors influencing the effectiveness of knowledge transfer. During this process, the enterprise should take the initiative to identify the many factors contributing to the effectiveness of knowledge transfer and their impact as well as their interactive relationships from the aspects of subject, object and context. Based on this, the enterprise can manage and control the factors to maximize the effectiveness of information exchange, knowledge share and spread, accelerate the integration of its internal and external knowledge, and provide intellectual support for its development as well as powerful motives for the cluster’s development.更多还原