【作者】 陈伟；

【导师】 张旭梅；

【作者基本信息】 重庆大学 ， 企业管理， 2011， 博士

【摘要】 知识经济时代,共享知识资源进行合作创新成为供应链中各成员企业创造新价值、节约成本、挖掘利润的一个重要战略。知识交易作为供应链企业间知识共享和转移的有效手段,可以降低供应链成员企业获取、创造知识的成本和风险,提高知识的运用效率,协调和优化供应链成员企业的知识水平,从而有效促进供应链的合作创新。基于知识交易的决策主体视角,本文对供应链企业间知识交易的三个关键问题进行了研究:供应链企业间的知识需求与知识交易方式、供应链企业间知识交易的创新效应、供应链企业间知识交易的契约机制。首先,分析了供应链中知识的属性及其经济学特性,以制造商为核心企业的供应链为例建立了供应链企业间的知识需求模型,通过分析各成员企业间的知识需求,以此清楚刻画出供应链企业间知识交易的知识需求。此外,结合知识交易是否跨越企业边界及跨越的何种边界,建立了供应链企业间的知识交易层次模型,进一步明晰了各层次间(个人层次、部门层次与企业层次)知识交易的渠道和特点。另外,以知识市场理论为基础,建立了供应链企业间知识市场构成要素的概念模型,结合构成要素的概念模型分析了供应链企业间知识市场的影响因素,并按知识的属性、知识交易的意愿、知识交易的目的和知识交易的契约形式对供应链企业间的知识交易方式进行了分类。研究结果为供应链成员企业参与知识交易奠定了理论基础。其次,利用斯塔克尔伯格(Stackelberg)两阶段动态博弈理论建立数理模型定量分析了供应链企业间知识交易的创新效应,通过交易双方获得的创新绩效客观地刻画了供应链企业间知识交易的创新效应。以数理分析结果为理论基础,本文建立了供应链伙伴特性、知识交易与创新绩效关系的概念模型,以深入揭示供应链伙伴特性影响下知识交易对创新绩效的影响路径与作用机理,其中供应链伙伴特性包括文化相容、资源依赖和知识距离等三个方面内容。利用结构方程模型结合256家供应链上下游企业的调查数据对上述概念模型进行了实证研究,实证研究结果不仅揭示了知识交易对创新绩效的直接影响,而且深入揭示了供应链伙伴特性影响下知识交易的中介效应。研究结果为供应链成员企业参与知识交易提供了决策依据。最后,运用委托代理理论设计了双边道德风险下供应链企业间知识交易的正式契约及关系契约激励机制并对两种契约机制进行了比较分析,数理模型研究结果显示双边道德风险下供应链企业间知识交易的关系契约相较于正式契约更有利于促进供应链企业间的知识交易。以上述数理分析结果为基础,结合关系交易理论和交易成本理论,本文构建了关系机制与正式契约对供应链企业间知识交易影响的概念模型。利用多元回归模型结合256家供应链上下游企业的调查数据对上述概念模型进行了实证研究,实证研究结果在验证数理模型结果有效性的基础上,更深入揭示了关系机制和正式契约对供应链企业间知识交易的影响路径与作用机理。研究结果为供应链企业间知识交易的契约机制设计提供了理论依据和指导。更多还原

【Abstract】 In the era of the knowledge economy, it is important for supply chain members to share knowledge and conduct cooperative innovation so as to create new values, save costs and dig profits. As a practical way to share and transfer knowledge among members in supply chain, knowledge trading can effectively cut down the costs and risks for supply chain members to get and create knowledge, raise the efficiency of knowledge application and coordinate knowledge level among supply chain members, thus helping cooperative innovation of supply chain. Based on the perspectives of decision-maker of knowledge trading among members in supply chain, the three issues such as knowledge demand and trading modes among members in supply chain, innovation effect of knowledge trading among members in supply chain and contracts mechanism of knowledge trading among members in supply chain have been studied in this thesis.First of all, the property of knowledge in supply chain and its economic features are analyzed. A knowledge demand model is built based on an example of a manufacturer dominant supply chain. Then the model defines all the demands in knowledge trading among members in supply chain. In addition, a knowledge trading level model is also established by concerning whether knowledge trading steps over the firm boundary and what boundary it step over. Then the channels and traits of knowledge trading level (in personal, in departmental and in enterprise) would be clearly defined, which is the basis for supply chain members participating knowledge trading. In addition, the conceptual model of elements in knowledge market of supply chain is proposed based on the knowledge-market theory, and the influencing factors of knowledge market in supply chain are analyzed combining the above conceptual model. Then the knowledge trading modes are divided from the attribute of educational knowledge, the willingness of knowledge trading, the target of knowledge trading and the contracts knowledge trading. The results can lay a theoretical foundation for knowledge trading among members in supply chain.Secondly, the innovation effect of knowledge trading among members in supply chain is studied with mathematical model by the theory of stackelberg two-stage game. The innovation effect is described objectively by innovation performance of participants acquired in the process of knowledge trading among members in supply chain. Based on above results of mathematical analysis, a conceptual model for the relationship among partner characteristics, knowledge trading and innovation performance is proposed in order to reveal the impacts of knowledge trading on innovation performance in depth and empirically tested using the data collected from 256 enterprises in supply chain with the structural equation model. The partner characteristics in the model are described from cultural compatibility, resource dependence and knowledge distance. The empirical results reveal not only the direct impact of knowledge trading on innovation performance, but also reveal the mediating effect of knowledge trading on relationships between supply chain partner characteristics and innovation performance. The results can provide a basis for decision making of knowlwdge trading participants in supply chain.Finally, the formal contract and relational contract of knowledge trading are designed with principal-agent theory, and then the incentive effects of contracts are analyzed. The conclusions indicate that the relational contract is more conducive to promoting knowledge trading among members in supply chain. Based on above results of mathematical analysis, relational exchange theory and transaction cost theory, a conceptual model for the impact of relational mechanism and formal contract on knowledge trading among members in supply chain is proposed and empirically tested using the data collected from 256 enterprises in supply chain with the multiple regression model. The empirical results reveal not only the effectiveness of results of mathematical analysis, but also reveal the effect path and action mechanism of relational mechanism and formal contract on knowledge trading among members in supply chain in depth. The results can provide a theoretical basis and guidance for designing contract mechanisms of knowledge trading among members in supply chain.更多还原