产学研合作契约类型、信任与知识转移关系研究

发布时间：2018-03-11 00:03

本文选题：产学研合作　切入点：契约协调　出处：《华南理工大学》2013年博士论文　论文类型：学位论文

【摘要】：自21世纪以来，全球化的经济增长模式已由传统的物质驱动型向知识驱动型转变。作为组织最重要的战略资源，有价值的、稀缺的知识是企业建立和维持竞争优势的力量源泉。从各国发展实践来看，产学研合作是企业获取外部有价值知识，培育技术能力的关键途径。尽管近年来我国产学研合作取得了长足的发展，但对企业技术能力提升的作用并不明显，其原因在于大学、科研机构的知识未能向企业进行有效的转移并转化为企业自身的创新能力。阻碍产学研合作知识转移的因素既有企业内部的因素，如学习动机和吸收能力，也有外部的合作风险因素，如协作绩效风险和机会主义行为风险。企业内在的学习意愿和吸收能力受到市场竞争、知识产权环境、政策法律等诸多因素的影响，其改善是一个相对复杂而缓慢的过程。而在企业既有的学习动机和吸收能力下，通过完善产学研合作的治理机制，降低合作风险，促进知识转移不失为一种可在短期内见效的办法。组织间治理机制包括正式治理机制（典型表现为正式契约）和非正式治理机制（典型表现为信任）。进一步，契约又分为契约协调和契约控制，，不同类型契约的目标功能存在差异，对知识转移的作用也不尽相同。研究产学研合作中契约类型、信任与知识转移的关系，对于提高组织间知识转移效率，增强企业自主创新能力具有重要的意义。本文对产学研合作、正式契约、信任和知识转移等领域的相关文献进行了全面系统地分析和总结。在此基础上，本文通过多个案例的探索性分析，探讨了契约协调、契约控制和信任对显性知识转移与隐性知识转移的直接影响，分析了学习意愿和吸收能力在其中的调节作用，并进一步研究了两类契约与信任对两类知识转移的交互效应。基于前面构建的理论模型，本文对相关的因素进行了变量测量，并在我国多个省份进行样本数据的收集，共获得213份有效问卷。问卷分析结果显示，各测量项目均具有良好的信度和效度，符合研究要求。理论假设中，除了2个假设未获支持外，其余均通过统计检验。研究结果表明：（1）两种类型契约对两种类型知识转移的影响不尽相同。契约协调能够促进产学研合作的显性知识转移，但对隐性知识转移没有影响；契约控制有利于加速显性知识转移，但却会阻碍隐性知识转移。（2）信任对显性知识转移和隐性知识转移均能产生显著的正向影响，但对隐性知识转移的影响大于对显性知识转移的影响。（3）企业的学习意愿和吸收能力对契约类型、信任与知识转移的关系基本上具有显著的调节作用。（4）契约协调和信任的共同使用增加了显性知识转移和隐性知识转移，而契约控制和信任的共同使用减少了两种类型的知识转移。本文在现有理论的基础上作了进一步的拓展分析，提出了一些新的角度和观点，对已有研究形成了良好的补充和完善，主要研究贡献归纳如下：（1）从契约治理的角度深入探讨了两种类型契约与两种类型知识转移之间的作用关系，提出了影响显性知识转移和隐性知识转移的不同契约机制，弥补了以往研究由于忽视契约和知识转移的分类而得出的片面结论，进一步丰富了联盟治理理论和知识管理理论。（2）深入分析了两种契约类型和信任对两类知识转移的影响，得出契约和信任对两类知识转移的影响存在差异，而不同的契约类型对两类知识转移的作用不尽相同的结论，进一步深化和扩展了已有研究。（3）论证了两种类型契约与信任对知识转移具有不同的交互作用，为现有研究关于契约与信任存在互补还是替代关系的争议提供了合理的解释，丰富了关系治理理论和知识管理理论。（4）探讨了企业学习意愿和吸收能力对契约类型、信任与知识转移关系的调节作用，完善了已有的理论模型。
[Abstract]:Since twenty-first Century, the global economic growth mode has changed from traditional material driven shift to a knowledge driven. As the most important strategic resources of the organization, valuable, scarce knowledge is the enterprise to establish and maintain the competitive advantage of the power source. From the development of practice, cooperative enterprises to get valuable external knowledge. The key way to cultivate the technical ability. Although in recent years the research cooperation has achieved great development, but to promote the enterprise technology ability is not obvious, the reason is that the University, scientific research institution to enterprise knowledge fails to effectively transfer and conversion to the innovation ability of the enterprise itself. The cooperation barriers of knowledge transfer both internal factors, such as motivation and absorption ability, cooperation and external risk factors, such as collaborative performance risk and opportunism risk The enterprise internal. Willingness to learn and absorb the ability of market competition, intellectual property policy and legal environment, influence factors, the improvement is a relatively complex and slow process. In the existing enterprise motivation and absorptive capacity, improving governance through cooperation, reduce the risk of cooperation, to promote knowledge transfer it should be effective in the short term way. Inter organizational governance mechanisms include formal governance (typically formal contracts) and informal governance (typically trust). Further, the contract is divided into contract and contract control, different types of contract objective functions are different, the role of knowledge transfer is not the same. The type of contract of cooperation, the relationship between trust and knowledge transfer, to improve the efficiency of knowledge transfer between organizations, enhance the independent innovation capability of enterprises. It is of great significance.
In this paper, the cooperation, the formal contract, the related literature of trust and knowledge transfer and other fields were systematically analyzed and summarized. Based on this, this article through the exploratory analysis of a number of cases, discusses the contract coordination, contract control and trust transfer directly influence the transfer and tacit knowledge to explicit knowledge, analysis willingness to learn and the moderating role of absorptive capacity, and further study the interaction effect of two types of contract and trust on the two kinds of knowledge transfer. Based on previous theoretical model, the variable measurement of the related factors, and the sample data collected in many provinces in China, received a total of 213 valid the questionnaire. The questionnaire analysis results showed that the measurement items have good reliability and validity, in line with the research requirements. Theoretical assumptions, in addition to the 2 hypothesis is not supported, the rest were seized by statistics Results. The research results show that: (1) two types of contracts for the two types of knowledge transfer influence is not the same. The contract coordination can promote the cooperation of explicit knowledge transfer, but the transfer of tacit knowledge has no effect; the contract control is conducive to accelerating the transfer of explicit knowledge, but it will hinder the transfer of tacit knowledge (2). Trust in the transfer of explicit knowledge and implicit knowledge can have a significant positive impact, but greater than the effect on the transfer of explicit knowledge of tacit knowledge transfer. (3) the learning willingness and absorptive capacity on the contract type, trust and knowledge transfer basically has a significant moderating effect (4). The common use of contract coordination and trust increases the transfer of explicit knowledge and implicit knowledge, and the common use of contract control and trust to reduce the two types of knowledge transfer.
This paper makes a further analysis of the development on the basis of existing theory, put forward some new point of view and perspective, the existing research form and the perfect complement to the main research contributions are summarized as follows: (1) from the view of contract governance in-depth study of the relationship between the two types of contract and two types of knowledge transfer the proposed transfer of explicit knowledge and implicit knowledge of the different contract mechanism, makes up for previous studies that due to the neglect of classification and knowledge transfer in the contract to further enrich the one-sided conclusion, alliance governance theory and knowledge management theory. (2) analyzed the effects of two types of contract and trust on the two kinds of knowledge transfer the influence that contract and trust on the two kinds of knowledge transfer between different types of contract conclusion and two kinds of the role of knowledge transfer is not the same, to further deepen and Extension of the existing research. (3) demonstrated two types of contract and trust has different influence on knowledge transfer, for the existing research on trust contract and provide a reasonable explanation for the existence of complementary or alternative relationship disputes, enrich the relationship between governance theory and knowledge management theory. (4) discussed the enterprise learning willingness and the absorption ability of the type of contract, the relationship between trust and knowledge transfer regulation, improve the existing model.

【学位授予单位】：华南理工大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：F276.4;F272.9

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