【作者】 郭美轩；

【导师】 卢艳秋；

【作者基本信息】 吉林大学 ， 技术经济及管理， 2014， 博士

【摘要】 跨国技术联盟是经济知识化和经济全球化的必然产物，是经济技术创新国际化和跨国战略联盟发展两种趋势的综合统一体，其发展趋势越来越多的集中于合作创新方面。跨国技术联盟合作创新的兴起，使全球经济竞争的格局发生着巨大转变，为企业国际化的发展战略创造了前所未有的战略机遇。跨国技术联盟是企业联盟的一种，是大型跨国企业为合理配置资源、保持竞争优势、协同规避风险而以各种方式结成的，以技术合作、技术交流、技术创新为主的合作关系。这就决定了它的合作目标、合作范围、合作管理、合作诉求，都与其它合作甚至其它类型的联盟不同。合作目标方面，跨国技术联盟与普通企业和联盟只以生存为目的创新不同，它着眼于持续竞争力的获得，并面向国际市场。合作范围方面，跨国技术联盟的合作更集中于技术层面，并且由于合作企业本身就具有一定的实力，所以联盟的知识更多的涉及高精尖技术、全球范围内的领先技术。管理方面，跨国技术联盟是多个大型跨国企业的组合，需要均衡各方利益，随时应对突发事件，使得联盟的管理较其它合作模式更为复杂。合作诉求方面，每一联盟成员都想尽量缩短磨合期，以最小成本，在最短时间内，取得最多、最有价值的成果，同时还要实现联盟整体的竞争优势即成员的共赢。跨国技术联盟是一个特殊的联盟形式，联盟内组织学习的每一个环节都更大程度的受到联盟特征的影响。企业为缔结跨国技术联盟而挑选合作伙伴的重要条件之一就是资源的互补性和彼此能够给予对方的技术支持，联盟成立后关系稳固的首要前提是联盟成员间是否能够树立互信的合作态度。在组织学习中，联盟成员间学习方式、交流频率和沟通方式的差异直接影响到知识在联盟内的流动，而联盟竞争战略的制定、任务的下达和完成效率都取决于成员之间价值取向、发展目标、管理理念的相似程度。这些都是联盟成员在联盟缔结期间表现出的关系特质，也就是属于跨国技术联盟的更有针对性的联盟特征。在跨国技术联盟这样一个规模巨大的组织里，联盟成员之间通过有效组织学习实现自身技术创新，是关系到联盟是否能够卓有成效运转的关键因素之一。本研究通过系统的文献梳理，具体分析跨国技术联特征、联盟组织学习、联盟合作创新绩效等研究要素的含义，从联盟成员的嵌合性、联盟成员的相似性、联盟成员的互动性三个层面分析跨国技术联盟特征，从知识获取、知识整合、知识利用三个维度分析跨国技术联盟组织学习。在此基础上详细分析了要素之间的相互影响，并构建理论模型。以问卷形式收集数据并使用统计软件LISREL8.80和SPSS21进行数据处理，进行实证检验，得出了跨国技术联盟特征通过组织学习影响联盟合作绩效的结构方程模型及相关路径系数。最后得出的结论有：(1)跨国技术联盟特征对知识获取有正影响，其中包括联盟成员的相似性对知识获取有显著的正影响、成员的嵌合性对知识获取有显著的正影响、联盟成员的互动性对知识获取有显著的正影响。(2)跨国技术联盟特征对知识整合有正影响，其中包括联盟成员的相似性对知识整合有显著的正影响、联盟成员的嵌合性对知识整合有显著的正影响、联盟成员的互动性对知识整合有显著的正影响。(3)跨国技术联盟特征中只有联盟成员的相似性对知识利用有显著的正影响。(4)组织学习三个环节都对跨国技术联盟合作创新绩效有影响，其中包括知识获取对合作创新绩效有显著的正影响、知识整合对合作创新绩效有显著的正影响、知识利用对合作创新绩效有显著的正影响。(5)组织学习三个环节间的相互影响，其中包括知识获取对知识利用有显著的正影响、知识整合对知识利用有显著的正影响。(6)跨国技术联盟特征对联盟合作创新绩效的影响，其中包括联盟成员的嵌合性对联盟合作创新绩效有显著的正影响、联盟成员的互动性对联盟合作创新绩效有显著的正影响。(7)组织学习的中介作用，其中包括知识获取和知识整合对联盟特征影响合作创新绩效起中介作用、知识利用对联盟特征中的成员相似性影响合作创新绩效起中介作用。本文的创新点主要体现在以下几个方面：第一，针对跨国技术联盟这一特殊联盟形式，基于联盟成员在联盟缔结期间表现出的关系特质，将联盟特征划分为联盟成员的嵌合性、联盟成员的互动性、联盟成员的相似性。具体含义为，联盟成员的嵌合性指在跨国技术联盟内联盟伙伴之间的信任程度、联系的紧密程度以及技术互补和支持的程度，联盟成员的互动性指在跨国技术联盟内联盟伙伴之间交流、沟通、互动的频率，联盟成员的相似性指跨国技术联盟内联盟伙伴之间在技术水平、经营策略、公司文化、组织结构等方面的相似程度。第二，将跨国技术联盟特征、组织学习、合作创新绩效整合在一个理论框架中，建立了跨国技术联盟特征影响组织学习进而影响联盟合作创新绩效的相互关系模型，使研究更具有针对性。第三，本研究立足跨国技术联盟的理论基础，通过对相关影响要素的理论研究和实证检验，提出并验证了跨国技术联盟成员相似性、嵌合性、互动性通过组织学习对联盟合作创新产生正影响，为今后跨国技术联盟合作创新实证研究的发展提供了新的思路，使研究成果更具有现实指导意义。第四，从知识管理的角度分析跨国技术联盟组织学习，提出并验证了组织学习从知识获取、知识整合、知识利用三个层面对合作创新绩效产生正影响。同时对知识获取、知识整合、知识利用对联盟特征和合作创新绩效的中介作用进行了验证。更多还原

【Abstract】 Multinational technical alliance is the result of economic globalization andknowledge-based economy inevitably. And it is the comprehensive entity of twotrends of multinational strategic alliance development and economic technologicalinternational innovation. The developping trend of multinational technical alliancefocuses on the cooperation innovation. The rising of multinational technical alliancecooperative innovation change the pattern of global economic competition and offerthe strategic opportunity for the development strategy of enterpriseinternationalization.Continuous innovation is the essential choice of the enterprise survival anddevelopment under the uncertainty increasing global competition environment. Thenew enterprise who can learn and integrate knowledge in a global context will havecompetitive edge in future development and superior resources to make thetechnological innovation come true. In order to speed up the pace of the cooperativeinnovation, the enterprise must to rapid accumulation of knowledge, technology, etc.Through organizational learning alliance partners for new skills and knowledge, theenterprise can change and improve the structure, technology, experience and level oforiginal knowledge quickly, and change the original competitive strategy of theenterprise, to develop more competitive products to increase the vitality of enterprises.The need and process of knowledge in innovation and innovation come frominner-enterprise as well as the innovative network of enterprises. It puts forward anew challenge for the innovative enterprise knowledge creation, knowledge sharingand knowledge management. On the other hand the role of knowledge in such aninnovative enterprise is influenced by many factors.With the expansion of enterprise and development, the purpose of multinationaltechnology alliance change from reduce of the enterprise cost and share the risk of theenterprise to organization learning innovation. Technological innovation has been the foundation of the development of the enterprise that alternative cost control andquality control in the fierce market competition environment. Companies rely on theinnovation ability of oneself is difficult in the modern society that developingdifficulty increasing, technology increasingly complex. But it is hard to promote theinnovative ability of alliance members if just consider the matter from the two anglesof reduce costs and risks about transnational technology alliance. Multinationaltechnical alliance can promote the bidirectional flow of knowledge and techniquebetween enterprises and improve the ability of technology innovation. In this way, thecooperative innovation performance will be improved.Multinational technology alliance is a kind of enterprise alliance. The objectivesof multinational technology alliance are rational allocation of resources, keeping thecompetitive advantage and collaborative risk aversion. The main relationship ofmultinational technology alliance is technical cooperation, technical exchanges andtechnical innovation. So the objectives, scope, management, and demands of thecooperation are different from the other types of alliance. From the point ofcooperation objectives, multinational technology alliance pays attention to sustainablecompetitiveness and faces the international market. It’s different from generalenterprises and alliances who innovate only for the purpose of survival. From thepoint of cooperation scope, multinational technology alliance concentrates on thetechnical level. The enterprises in the multinational technology alliance have certainstrength. So the alliance has more advanced technology and lead-edge technologies ina global context than other alliance. From the point of cooperation management,multinational technology alliance has to balance the interests of all parties in order toready to deal with emergencies. The multinational technology alliance is acombination of several large multinational companies, so the management of it ismore complicated than that in other modality for co-operation. From the point ofcooperation demands, everyone in the multinational technology alliance wants toshorten the period and acquire the more valuable achievements in shorter time. In thisway, the multinational technology alliance will have sustainable competitiveness.Multinational technology alliance is a special form of alliance. Every singledetail of organizational learning in the multinational technology alliance is influencedby the characteristics of multinational technical alliance. The degree ofcomplementary resources and the support that can give each other are the important conditions for enterprises choosing partners. The primary premise of the stablerelationships is whether alliance members can set up the mutual trust cooperationattitude after establishing a coalition. The differences of learning style,communication frequency and communication mode between alliance members havedirect influence on the flowing of knowledge in the multinational technology alliance.The decision of competitive strategy, the task order and the efficiency of the completedepend on the similarity of the value orientation, development goals and managementconcept. These are the relationship properties between alliance members during thealliance to conclude. We call them the characteristics of multinational technicalalliance.One of the key factors of efficient functioning is technological innovation fromorganizational learning by alliance members in a huge organization just asmultinational technology alliance. Based on the systematic literature review, thearticle analyzes the implication of characteristics of multinational technical alliance,alliance organizational learning and cooperative innovation performance. The articleidentifies three influencing factors of characteristics of multinational technicalalliance as chimerism, similarity and interactivity, and identifies three influencingfactors of organizational learning as knowledge acquisition, knowledge integrationand knowledge exploitation. The article establishes a theory model about theinfluence of the characteristics of multinational technical alliance on cooperativeinnovation performance.Using the data from questionnaires examines the theory model and hypotheses.Carry on analysis on the data using software SPSS21and LISREL8.80, and thenmake discussion on the results. The results of empirical test indicate that, of the26hypothesis,18have passed, while8have not. Regarding to the hypothesis which havepassed, we discuss their significance.There are several innovation points in this paper:(1) This particular union forms for multinational technology alliance, based onthe alliance members to conclude the alliance during the show the relationshipbetween the characteristics. The article identifies three influencing factors ofcharacteristics of multinational technical alliance as chimerism, similarity andinteractivity. Chimerism is the degree of trust and the degree of close of the alliancemembers in the multinational technical alliance. Similarity is the degree of similar of technical level, business strategy, corporate culture, and organization structurebetween the alliance members in the multinational technical alliance. Interactivity isthe frequency of the communication and interaction between the alliance members inthe multinational technical alliance.(2) The article establishes a theory model about the influence of thecharacteristics of multinational technical alliance on cooperative innovationperformance. This study based on the theoretical basis of multinational technologyalliance, through to the related influence factors of theoretical research and empiricaltest, come to the conclusion, the chimerism, similarity and interactivity of alliancemembers positively impact the cooperative innovation performance throughorganizational learning.(3) The article identifies three influencing factors of organizational learning asknowledge acquisition, knowledge integration and knowledge exploitation from theview of knowledge management. Organizational learning have mediation role for thecharacteristics of multinational technical alliance and cooperative innovationperformance.更多还原