【作者】 陈庆江；

【导师】 杨蕙馨；

【作者基本信息】 山东大学 ， 企业管理， 2012， 博士

【副题名】组织间知识转移的视角

【摘要】 20世纪80年代中期以来,国际服务外包作为一种新的生产组织方式,在全球范围内大规模发展。国际服务外包为发展中国家企业通过承接国外先进企业的外包业务,融入全球生产体系提供了机遇。然而,现实中有的企业通过承接国际服务外包提高了自身技术能力,并迅速向价值链高端转移,而另外一些企业则长期被锁定于全球价值链低端。本研究旨在揭示上述国际服务外包接包企业发展差异的内在原因,指导其更好地通过承接国际服务外包,利用其中的知识转移提高自身竞争力,并最终提升在全球价值链中的地位。本研究将国际服务外包视为一种发包企业主导的企业间知识整合机制。以此为基础,从组织间知识转移的视角探讨国际服务外包对接包企业技术能力的影响和作用机制。研究包括两个子问题：第一,国际服务外包双方组织间知识转移的影响因素,主要从双方主体和关系特征层面分析国际服务外包中组织间知识转移的影响因素及其作用机制；第二,国际服务外包双方组织间知识转移对接包企业技术能力的影响,主要分析国际服务外包中转移的不同类型知识对接包企业技术能力不同维度的影响。根据研究需要和不同研究阶段,有针对性地使用文献研究、实地访谈和问卷调查等研究方法。研究首先以国际服务外包、企业技术能力以及组织间知识转移的相关研究成果为基础进行理论分析,并结合实地访谈进行探索性研究,提出概念模型与研究假设。为验证概念模型和研究假设,选取国际服务外包中典型的软件外包产业,进行问卷调查。利用北京、大连和山东三地8个城市104家国际软件外包接包企业的问卷调查数据,验证研究假设和概念模型。本研究主要使用社会科学通用统计软件包(SPSS13.0),综合利用描述性统计、相关性分析和多元回归等统计方法对数据进行处理和分析。研究就国际服务外包对接包企业技术能力影响和作用机制问题取得了一系列理论发现,具体有以下五个方面：第一,国际服务外包是一种发包企业主导的企业间知识整合机制。与制造外包相比,知识作为关键生产要素的地位在国际服务外包中更加明显,与外包服务和流程相关的知识是国际服务外包接包企业最重要的生产资源。国际服务外包作为一种企业间关系契约,能够以较高的效率进行知识转移和整合。国际服务外包知识整合机制中,外包双方知识整合动因和机制存在很大差异。发包企业的知识整合侧重于外部整合,即通过国际服务外包使用接包企业的专业化知识；接包企业则是内外部整合并重,即通过国际服务外包获取发包企业的技术和管理知识并将其内部化。这种差异导致国际服务外包中发包企业主动转移的知识具有任务特定性,并呈明显的“片断化”特征。第二,国际服务外包主体和关系层面各特征要素对外包双方组织间知识转移的影响和作用机制不同。在当前国际服务外包分工体系下,拥有绝对知识优势的发包企业在外包双方组织间知识整合过程中占据主导地位,其交易导向直接决定接包企业所能获取知识的类型和范围。外包双方关系资本作为一种促进知识转移实现的非正式机制和风险控制手段影响知识转移。国际服务外包双方在民族文化、组织文化、共同语言和身份认同等方面存在较大差异,这种情况下,外包双方关系资本对组织间知识转移的影响更显著。接包企业实现吸收能力在外包双方组织间知识转移中发挥了关键的整合作用。由于发包企业所转移知识的“片断性”特征,相对于潜在吸收能力的“获取”作用,接包企业实现吸收能力对外部知识的“整合”作用更大。第三,通过国际服务外包实现的两类知识转移中,隐性知识转移对接包企业技术能力提升的作用较大,而显性知识转移的作用则相对有限。国际服务外包中,组织间知识转移的任务特定性决定发包企业主动转移的显性知识主要是一些“片断化”知识,这些“片断化”知识很难直接转化为接包企业技术能力。由于发包企业对两类知识转移感知风险的差异以及隐性知识的难以分割性,国际服务外包中隐性知识转移的系统性和整体性程度相对较高。接包企业获取的非正式协调规则、组织惯例等隐性知识,能够整合发包企业转移的“片断化”知识并赋予其意义,同时将这些知识与组织内部分散于不同成员和部门的专业化知识相结合,转化为整体的技术能力。第四,国际服务外包双方组织间知识转移对接包企业常规性技术能力有显著影响,对创新性技术能力的影响则相对较小。引导接包企业提升其常规性技术能力,提高其在现有产品和服务上的供应效率,而不是进行高风险的产品和服务创新,是发包企业自身利益最大化的理性选择。发包企业从其自身利益出发,倾向于引导接包企业发展与自己互补业务环节上的常规性技术能力。另一方面,国际服务外包分工特点决定接包企业的业务主要集中于特定产品或服务生产过程中一个或少数几个业务环节。接包企业在这些环节和区段上经验和专业化知识的积累,以及相对稳定的短期财务收益,都可能降低接包企业探索新技术机会的意愿,不利于创新性技术能力提升。第五,外包双方组织间知识转移在国际服务外包主体和关系层面特征影响接包企业技术能力的过程中发挥中介作用。国际服务外包发包企业交易导向、外包双方关系资本以及接包企业实现吸收能力等外包主体和关系层面特征主要通过双方组织间知识转移,特别是其中的隐性知识转移影响接包企业常规性技术能力。以发达国家对发展中国家的国际服务外包为研究背景,探讨外包对接包企业技术能力的影响是一个新的研究主题。本研究主要从以下三个方面推动了这一领域的理论探索：第一,从组织学习理论和基于知识的企业理论出发,结合外包双方知识整合动因和机制的差异,将国际服务外包视为一种发包企业主导的企业间知识整合机制,构建了新的国际服务外包研究框架。第二,从组织间知识转移视角,系统探讨了国际服务外包对接包企业技术能力的影响,并通过外包双方组织间知识转移的中介效应揭示了上述影响的实现机制。针对国际服务外包本质特征的微观作用机制分析,提升了理论研究深度及其对现实的解释和指导作用。第三,在对组织间知识转移以及接包企业技术能力进行解构的基础上,揭示了国际服务外包主体和关系层面特征要素对双方组织间知识转移的不同影响和作用机制,以及不同类型知识转移对接包企业技术能力两个维度的影响差异。基于本文的研究结论,从下述两个方面提出接包企业利用国际服务外包中的组织间知识转移提升其技术能力的策略和建议：第一,接包企业提升其在国际服务外包中知识获取效果的策略。首先,接包企业应根据其自身条件和知识获取需要,有选择地承接战略性较强的外包业务。其次,接包企业可通过其行为选择影响外包双方关系质量,与发包企业建立密切的长期合作关系。最后,接包企业应通过“干中学”、“实践社区”等方式培养其消化和利用外部知识的能力,这是提高接包企业知识学习效果的内部条件。第二,接包企业利用国际服务外包中知识转移实现技术能力提升的策略。首先,通过国际服务外包实现的两类知识转移中,隐性知识转移对接包企业技术能力提升的作用较大,而显性知识转移的作用则相对有限。接包企业应以国际服务外包中隐性知识转移为突破口,将其从发包企业获取的“片断化”知识整合形成相对完整的技术能力。其次,国际服务外包中的组织间转移对接包企业常规性技术能力有显著影响,但对创新性技术能力的提升作用相对较小。接包企业应将国际服务外包中的知识学习与知识本地化、知识创造并重,以提升其创新性技术能力。更多还原

【Abstract】 International service outsourcing has boomed as a new global production organization worldwide since mid-1980s, which offers opportunities of integration into the global production system for firms in developing countries. In the process of undertaking international service outsourcing from advanced foreign outsourcers, many firms in have improved its technological capability and shift to the higher end of the global value chain, while others have been locked in the lower end of the global value chain permanently. This study aims to find the underlying reasons of such differences, which is of special importance in guiding service providers to develop their core competence, and improve their position in global value chain.International service outsourcing was conceptualized as an inter-firm knowledge integration mechanism initiated by service outsourcers in developed countries. Based on this theoretical frame, impact of international service outsourcing on service providers’ technological capability was discussed in perspective of inter-organizational knowledge transfer. Two related topics were explored in the study: first, factors influencing inter-organizational knowledge transfer in international service outsourcing; second, impact of inter-organizational knowledge transfer on service providers’technological capability.Literature research, field interview and social survey were employed in different stage of the study. Based on interview of service providers and literature research in international service outsourcing, inter-organizational knowledge transfer and technological capability, conceptual model and hypotheses were proposed. Social survey was conducted in international software outsourcing industry, which is typical in international service outsourcing. Data of104international software outsourcing service providers was collected and analyzed in SPSS (V.13.0). Descriptive statistics, correlation analysis and multiple linear regression analysis were employed in verifying of the initial conceptual model and research hypotheses.Key findings and implications from the research are as follows:(1) International service outsourcing is an inter-firm knowledge integration mechanism, which is initiated by service outsourcers in developed countries. Compared with manufacturing outsourcing, service-related knowledge is the most important productive resources of service providers. As a kind of relational contract, international service outsourcing may act as efficient knowledge transfer and integration mechanism. There is great difference between outsourcers and providers in motivation and mechanism of knowledge integration. For this difference, knowledge transferred by service outsourcers is task-specific and fragmental.(2) Characteristics of outsourcers and providers, the relationship between them have different impact on inter-organizational knowledge transfer in international service outsourcing. Outsourcers who have absolute knowledge advantage dominate the knowledge integration process. Content and scope of knowledge that service providers can acquire from outsourcers is determined by transaction-orientation of outsourcers. As a kind of risk control mechanisms, relational capital between outsourcer and provider facilitates inter-organizational knowledge transfer. Comparing with potential absorptive capacity, the realized absorptive capacity of service providers plays a key role in the process of knowledge integration in international service outsourcing.(3) Tacit knowledge transfer in international service outsourcing has great impact on service providers’ technological capability, while the role of explicit knowledge transfer is limited. The knowledge transfer in international service outsourcing is task-specific, and the explicit knowledge transferred is some of "fragmentation", which has difficulty in being transmitted to service providers’ technological capability directly. Since differences in perceived risk of two types of knowledge transfer and the attribute of the tacit knowledge, transfer of tacit knowledge is relatively systemic. Tacit knowledge, such as informal rules of coordination, organization routines serve as a kind of informal knowledge integrating mechanism in inter-organizational knowledge transfer.(4) Inter-organizational knowledge transfer has significant impact on routine technological capability of service providers, while its impact on innovative technological capability is limited. Guiding service providers to improve the efficiency of existing products and services, rather than high-risk product and service innovation, is a rational choice of outsourcers. On the other hand, the experience and specialized knowledge accumulation, relatively stable short-term financial benefits may reduce the willingness of exploring new opportunities, which pose barriers for service providers to improve its innovative technological capability.(5) Inter-organizational knowledge transfer mediates the relationships of characteristics of outsourcers and providers, the social ties between them with service providers’technological capability.This study makes several contributions to research on the impact of international service outsourcing on service providers’technological capability. Findings in this study add our knowledge on this topic in the following3aspects:(1) International service outsourcing was conceptualized as an inter-firm knowledge integration mechanism, which was initiated by service outsourcers in developed countries. This insight about the nature of international service outsourcing offers a new frame for research in this field.(2) The impact and mechanisms of international service outsourcing on service providers’technological capability is discussed systemically in perspective of inter-organizational knowledge transfer. And mediation effects of inter-organizational knowledge transfer was found in the relationships of characteristics of outsourcers and providers, the social ties between them with service providers’technological capability.(3) Characteristics of outsourcers and providers, the social ties between them have different impact on inter-organizational knowledge transfer, so do two types of inter-organizational knowledge transfer on service providers’technological capability.Based on the key findings of the study, some suggestions were put forward on service providers’technological capability improvement through knowledge transfer in international service outsourcing:(1) Service providers’knowledge acquisition strategy in international service outsourcing. First, based on its knowledge acquisition needs, service providers should undertake outsourcing business selectively. Business of strategic amplifications should be preferred. Secondly, service providers may enhance the quality of bilateral relations and try to establish a close long-term cooperative relationship with the outsourcers. Finally,"learning by doing" and "communities of practice" may be employed by service providers in developing their ability to digest and use of knowledge acquired from outsourcers.(2) Service providers’strategy to improve their technological capability through knowledge transfer in international service outsourcing. Tacit knowledge in international service outsourcing should be treated as the breakthrough in service providers’knowledge acquisition, which can integrate fragmental knowledge acquired from outsourcers in developing their technological capability. On the other hand, knowledge localization and knowledge creation should be emphasized equally with knowledge acquisition, which is of special importance in developing the innovative technological capability of service providers.更多还原