【作者】 苏卉；

【导师】 孟宪忠；

【作者基本信息】 上海交通大学 ， 企业管理， 2008， 博士

【摘要】 代工是后进国家企业参与国际分工的一种重要途径。从价值链在全球分离的状况来看,先进企业逐渐将生产制造等低附加价值的环节剥离,而专注于研发、管理、财务、营销等具有相对竞争优势的核心业务,这一过程为后进企业从一些低附加价值环节入手而嵌入全球价值链、获取新的知识提供了有利的机会。高新技术行业代工模式发展比较成熟,且较之于纺织、服装等传统行业,知识更新频繁,知识外溢和知识转移也更易于发生:拥有知识优势的先进企业出于改进生产灵活性、缩短开发周期、获取专业化外部能力、开辟新的战略市场等方面的考虑,在权衡代工合作收益与可能的知识外溢风险的基础上,有动力进行一定程度的知识转移;而由于代工进入门槛低,合作双方容易形成密切的联系,承接代工的企业也可以在与先进企业的紧密合作中有效获取有关制造、设计等方面的知识,考察韩国、台湾等国家及地区电子信息产业中代工企业的成长历程,可以了解后进企业通过代工模式获取知识转移的可能性和有效性。而对于国内高新技术行业众多承接代工的企业而言,这些来自邻邦的成功经验能否复制?是否能够通过代工有效获取知识?代工合作中知识转移的运行机制是什么?什么因素会影响到高新技术业代工合作中知识转移的效率?各因素的影响力如何?更进一步,考虑到国内高新技术业企业参与代工的实际,应该从什么方面着手加强知识管理,更好的获取知识转移?这是国内高新技术行业的企业通过承接代工以促进自身知识积累的关键问题,也是本研究致力解决的基本问题。本研究基于知识管理理论、战略管理理论,采取理论与实践相结合、定性与定量相结合的方法,对于高新技术业代工合作中知识转移的动因、知识转移运行机制、知识转移效率等问题进行了深入研究,本研究的主要内容包括:1、围绕高新技术业代工合作中是.否.存.在.知.识.转.移.的问题,展开知识转移动因的研究;首先从知识移出方的角度进行分析,指出代工合作是高新技术业先进企业全球战略的一部分,在权衡代工合作中知识转移的合作收益与关键知识被模仿和替代风险的基础上,先进企业有动力进行一定程度的知识转移;其次从知识接收方的角度进行分析,在考察韩国、台湾高新技术业代工企业知识获取及能力提升的基础上,分析了后进企业通过代工获取知识转移的可能性;在与合资、对外直接投资等模式相比较的基础上,分析了后进企业通过代工获取知识转移的有效性。另外通过建立三阶段博弈模型,确定了在何种条件下代工合作双方存在转移知识的动力。2、围绕高新技术业代工合作中知.识.如.何.转.移.的问题,展开知识转移运行机制的研究;首先进行了知识转移运行机制的界定,重点考察知识转移过程中各因素之间相互联系、相互作用的关系及对于知识转移过程所产生的效应;知识转移运行机制作为一种动态的系统,其整体功能的发挥主要是通过机制各构成要素的内在联系和作用方式在运行过程中表现出来,其构成要素包括运作环境、运作主体、运作客体、运作目的、运作手段(渠道)等方面;对于高新技术业代工合作中知识转移运行机制的研究,主要从两个层面来进行:一是研究知识转移运行系统与环境作用的一般机制,二是研究知识转移运行系统内部要素之间的作用机制。3、围绕高新技术业代工合作中知.识.转.移.情.况.如.何.的问题,展开知识转移效率的理论及实证研究;确定知识特性、知识来源方特性、知识接收方特性、转移渠道、情境因素为影响知识转移效率影响因素的基本因素,并就各种因素对于知识转移效率的影响展开了具体分析;确定了知识转移效率的测量方式,在回顾既有测量方式的基础上,提出从知识转移结果方面以及从知识转移的过程方面来综合衡量知识转移效率,其中知识转移结果方面考察知识接收方对于转移而来的知识的拥有程度、运用程度及满意程度,知识转移过程方面考察知识转移过程的顺畅程度。将结构方程分析方法引入到高新技术业代工合作中知识转移效率的研究中,建立了包含160个变量的总体结构模型,结合实证调研数据,展开知识转移效率的实证研究。研究发现知识接收方特性是影响知识转移效率的最为关键的因素,这一结论对于国内高新技术业参与代工的企业而言具有非常重要的启示:明确学习意图、完善知识基础、增强吸收能力方是促进自己更好的获取转移知识的关键。本研究最终得出以下主要结论:1、有效获取先进企业的知识转移是高新技术业承接代工的企业从价值链低端升级的基本机制,先进企业在权衡代工合作收益与风险的基础上,有动力进行知识转移,而后进企业通过参与代工导入知识是一种可能、有效的途径;2、知识转移运行机制作为一种动态系统,其整体功能的发挥主要是通过机制各构成要素的内在联系和作用方式在运行过程中表现出来;对于高新技术业代工合作中知识转移运行机制的研究,可以分两个层面进行:一是研究知识转移运行系统与环境作用的一般机制,二是研究知识转移运行系统内部要素之间的作用机制。3、知识特性、知识来源方特性、知识接收方特性、转移渠道、情境因素是影响高新技术业代工合作中知识转移效率影响因素的基本因素;知识转移效率的测量可以综合知识转移结果以及知识转移过程两个方面来进行;4、对于高新技术业代工合作中知识转移效率的实证研究可以引入结构方程分析方法,以综合考虑各种影响因素之间的相互作用。实证研究结果显示:知识接收方特性是影响知识转移效率最为关键的因素;知识转移渠道的直接影响作用较弱,但其所发挥的中介作用却得到了数据的部分支持;情境因素对于知识特性、知识来源方特性以及知识接收方特性作用的发挥起着显著的支持作用。5、理论及实证研究结论对于国内众多参与代工的企业存在许多有价值的启示:要充分利用全球生产网络的形成所带来的机遇,积极通过代工合作获取可能的知识转移,但同时也要认识到先进企业的知识移出是建立在收益风险权衡基础上的理性决策,唯有明确学习意图、完善自身知识基础、增强吸收能力方是促进自己更好的获取知识转移的关键所在。本研究的创新主要体现在以下三个方面:1、系统分析了高新技术业代工合作中知识转移的动因,建立三阶段博弈模型,确定了代工合作双方在何种条件下存在转移知识的动力;2、界定了知识转移运行机制的内涵,从知识转移运行系统与环境作用的一般机制以及知识转移运行系统内部要素之间的作用机制两个层面展开了高新技术业代工合作中知识转移运行机制的研究,以深入了解高新技术业代工合作知识转移过程中各因素之间相互联系、相互作用的关系以及所产生的效应;3、将结构方程分析方法引入到高新技术业代工合作中知识转移效率的研究中,建立了包含160个变量的总体结构模型,结合实证调研数据,确定了影响知识转移效率的关键因素,检验了相关理论假设的数据支持情况,并得出了对于国内代工企业有效开展知识管理有价值的启示。更多还原

【Abstract】 Subcontracting is an important approach for enterprises in developing countries to participate in global division. From the condition of value chain globally separation, advanced enterprises have the trend to delaminate low value added parts such as producing and manufacturing, and concentrate on core businesses such as R&D, management, financial, marketing which can bring comparative advantage for them. This process provides new opportunity and condition for advancing enterprises to gain new knowledge by embedding in global value chain starting from the low value added parts. Subcontracting mode has developed quite mature in high technology industry, and comparing to textile and clothing industry, the knowledge renew is more frequent, knowledge outflow and knowledge transfer is more easier in high technology industry. On the base of weighing subcontracting cooperation benefits and knowledge outflow risks Advancing enterprises enjoyed knowledge advantages have motivation to make a certain degree of knowledge transfer on considering improving manufacturing flexibility, shortening exploration cycle, gaining specialized capability and exploring new strategic market. The subcontracting enterprises can efficiently gain manufacturing and designing knowledge in the process of tightly cooperation with advanced enterprises. On investigating subcontracting enterprise’s growth in Korea and Taiwan, we can acknowledge the possibility and efficiency of advancing enterprises to gain knowledge transfer under subcontracting cooperation. As to domestic subcontracting enterprises in high and technology industry, whether these successful experiences can be copied? Whether they can gain efficient knowledge transfer? What is the operating mechanism of knowledge transfer in subcontracting cooperation? Which factors can have influence on knowledge transfer efficiency? How is the degree of these influences? And further, on considering the practical conditions of domestic subcontracting enterprises in high technology industry, from which aspects do they can strengthen knowledge management to gain knowledge transfer better? Those are key problems for domestic subcontracting enterprises in high and technology industry to promote knowledge accumulation, and also are the basic problems that this thesis engaged to tackle with.Based on theory of knowledge management and strategic management, and combing theoretical and practical research method, qualifying and quantifying method, this thesis makes deep research on knowledge transfer motivation, knowledge transfer operating mechanism, knowledge transfer efficiency in subcontracting cooperation。The contents of this thesis mainly include:Firstly, this thesis researches on the motivation of knowledge transfer around the problem whether there is knowledge transfer in high technology industry subcontracting cooperation. At first, this thesis point out that subcontracting cooperation is a part of advanced enterprises global strategy from the aspect of knowledge sourcing. Advanced enterprises have motivation to make knowledge transfer on the basis of weighing subcontracting cooperation benefits and risks. Then this thesis analysis the possibility and efficiency for advancing enterprises to gain knowledge transfer, on the basis of investigating into the subcontracting enterprises’ capability advancement in Korea and Taiwan, and on comparing with other knowledge transfer mode such as joint venture and FDI. At last, this thesis build three stages game model to analyze on what conditions they would have the motivation to make knowledge transfer.Secondly, this thesis researches on knowledge transfer operating mechanism around the problem how knowledge has been transferred in high technology industry subcontracting cooperation. At first, this thesis clarify the meaning of knowledge transfer operating mechanism, pay attention to the relationship and affects among different factors during the process of knowledge transfer. As a mobile system, the function of knowledge transfer operating mechanism mainly reflect from the inner relationship and affects, it includes operating environment, operating objects, operating aim, operating channel etc. As to the knowledge transfer operating mechanism of high technology industry, this thesis researches from two aspects: one is to research the common mechanism between operating system and environment, the other is to research the affecting mechanism among inner factors of knowledge transfer operating system.Thirdly, this thesis researches on the knowledge transfer efficiency theoretically and practically around the problem of how the knowledge is transferred. This thesis firstly establishes knowledge characteristics, knowledge sourcing characteristics, knowledge recipient characteristics, knowledge transfer channel and context are basic factors influencing knowledge transfer efficiency, then make concrete analysis toward the affects of different factors. Then this thesis establishes the method to measure knowledge transfer efficiency from the aspects of knowledge transfer outcome and process, the outcome of knowledge transfer manifests on the aspects of recipients’owned and usage of knowledge, the degree of satisfaction toward knowledge transfer, the process of knowledge transfer manifests on the aspect of the degree of smooth transferring.On the basis of the above research, this thesis draws structural equation analysis method into the empirical research of knowledge transfer efficiency. Combining with the date of questionnaire, this thesis establishes structural equation model including 160 variables. This thesis concludes that among which knowledge recipient characteristics has the most remarkable influence, this conclusion has very important enlightenment for domestic subcontracting enterprises, the key factors for subcontracting enterprises to gain better knowledge transfer lie on definitude learning intention, improving knowledge basis and strengthening absorptive capability. This thesis ultimately draws the following conclusions:Firstly, gaining advanced enterprises’knowledge transfer efficiently is the basic mechanism for domestic subcontracting enterprises in high technology industry to advance from lower stage in global value chain, advanced enterprises have motivation to make knowledge transfer on weighing the subcontracting cooperation benefits and risks, while advancing enterprises gaining knowledge transfer through subcontracting is an possible and efficient approach.Secondly, knowledge transfer operating mechanism is a mobile system, the function of knowledge transfer operating mechanism mainly reflects from the inner relationship and affects. As to the knowledge transfer operating mechanism of high technology industry, this thesis researches from two aspects: one is to research the common mechanism between operating system and environment, the other is to research the affecting mechanism among inner factors of knowledge transfer operating system.Thirdly, knowledge characteristics, knowledge sourcing characteristics, knowledge recipient characteristics, knowledge transfer channel and context are basic factors influencing knowledge transfer efficiency, the measurement of knowledge transfer efficiency can synthesizing knowledge transfer outcome and process. Fourthly, structural equation analysis method can be used in the empirical research of knowledge transfer efficiency on considering the mutual relationship among different factors. The outcome of empirical research manifests that knowledge recipient characteristics has the most remarkable influence, the direct influence of knowledge transfer channel is relatively weak, while the channel influence towards them receive the empirical supporting partly. Context has significant supporting faction toward knowledge characteristics, knowledge sourcing characteristics and knowledge recipient characteristics.Lastly, the conclusion of theoretical and empirical research has very important enlightenment for domestic subcontracting enterprises, they should grasp the opportunity of global production networks and gaining knowledge from subcontracting cooperation as much as possible, but at the same time, they should realize that as to advanced enterprises, knowledge transfer is a rationale strategy comparing cooperation benefits and risks, the key factors for subcontracting enterprises to gain better knowledge transfer lie on definitude learning intention, improving knowledge basis and strengthening absorptive capability.The innovation of this thesis reflects on the following aspects:Firstly, this thesis analyzes the motivation of knowledge transfer systematically, and established three stages game model to analyze the condition of knowledge transfer during subcontracting cooperation;Secondly, this thesis clarifies the meaning of knowledge transfer operating mechanism, and makes research from two aspects: one is the common mechanism between knowledge transfer operating mechanism and environment, the other is the mutual influencing mechanism among the inner factors of knowledge transfer operating system, to acknowledge the mutual relationship and influences and the corresponding affects;Thirdly, this thesis draws structural equation analysis method into the empirical research of knowledge transfer efficiency in high technology industry, and establishes the whole structural model including 160 variables. Combing with the empirical investigation, this thesis establishes the crucial factors as to knowledge transfer efficiency, and testing the date supporting conditions of relevant theoretical hypothesis, then draws instructive conclusions for domestic subcontracting enterprises to make efficient knowledge management.更多还原