本文選題：產學研合作　切入點：契約協調　出處：《華南理工大學》2013年博士論文　論文類型：學位論文

【摘要】：自21世紀以來，全球化的經濟增長模式已由傳統的物質驅動型向知識驅動型轉變。作為組織最重要的戰(zhàn)略資源，有價值的、稀缺的知識是企業(yè)建立和維持競爭優(yōu)勢的力量源泉。從各國發(fā)展實踐來看，產學研合作是企業(yè)獲取外部有價值知識，培育技術能力的關鍵途徑。盡管近年來我國產學研合作取得了長足的發(fā)展，但對企業(yè)技術能力提升的作用并不明顯，其原因在于大學、科研機構的知識未能向企業(yè)進行有效的轉移并轉化為企業(yè)自身的創(chuàng)新能力。阻礙產學研合作知識轉移的因素既有企業(yè)內部的因素，如學習動機和吸收能力，也有外部的合作風險因素，如協作績效風險和機會主義行為風險。企業(yè)內在的學習意愿和吸收能力受到市場競爭、知識產權環(huán)境、政策法律等諸多因素的影響，其改善是一個相對復雜而緩慢的過程。而在企業(yè)既有的學習動機和吸收能力下，通過完善產學研合作的治理機制，降低合作風險，促進知識轉移不失為一種可在短期內見效的辦法。組織間治理機制包括正式治理機制（典型表現為正式契約）和非正式治理機制（典型表現為信任）。進一步，契約又分為契約協調和契約控制，，不同類型契約的目標功能存在差異，對知識轉移的作用也不盡相同。研究產學研合作中契約類型、信任與知識轉移的關系，對于提高組織間知識轉移效率，增強企業(yè)自主創(chuàng)新能力具有重要的意義。 本文對產學研合作、正式契約、信任和知識轉移等領域的相關文獻進行了全面系統地分析和總結。在此基礎上，本文通過多個案例的探索性分析，探討了契約協調、契約控制和信任對顯性知識轉移與隱性知識轉移的直接影響，分析了學習意愿和吸收能力在其中的調節(jié)作用，并進一步研究了兩類契約與信任對兩類知識轉移的交互效應。基于前面構建的理論模型，本文對相關的因素進行了變量測量，并在我國多個省份進行樣本數據的收集，共獲得213份有效問卷。問卷分析結果顯示，各測量項目均具有良好的信度和效度，符合研究要求。理論假設中，除了2個假設未獲支持外，其余均通過統計檢驗。研究結果表明：（1）兩種類型契約對兩種類型知識轉移的影響不盡相同。契約協調能夠促進產學研合作的顯性知識轉移，但對隱性知識轉移沒有影響；契約控制有利于加速顯性知識轉移，但卻會阻礙隱性知識轉移。（2）信任對顯性知識轉移和隱性知識轉移均能產生顯著的正向影響，但對隱性知識轉移的影響大于對顯性知識轉移的影響。（3）企業(yè)的學習意愿和吸收能力對契約類型、信任與知識轉移的關系基本上具有顯著的調節(jié)作用。（4）契約協調和信任的共同使用增加了顯性知識轉移和隱性知識轉移，而契約控制和信任的共同使用減少了兩種類型的知識轉移。 本文在現有理論的基礎上作了進一步的拓展分析，提出了一些新的角度和觀點，對已有研究形成了良好的補充和完善，主要研究貢獻歸納如下：（1）從契約治理的角度深入探討了兩種類型契約與兩種類型知識轉移之間的作用關系，提出了影響顯性知識轉移和隱性知識轉移的不同契約機制，彌補了以往研究由于忽視契約和知識轉移的分類而得出的片面結論，進一步豐富了聯盟治理理論和知識管理理論。（2）深入分析了兩種契約類型和信任對兩類知識轉移的影響，得出契約和信任對兩類知識轉移的影響存在差異，而不同的契約類型對兩類知識轉移的作用不盡相同的結論，進一步深化和擴展了已有研究。（3）論證了兩種類型契約與信任對知識轉移具有不同的交互作用，為現有研究關于契約與信任存在互補還是替代關系的爭議提供了合理的解釋，豐富了關系治理理論和知識管理理論。（4）探討了企業(yè)學習意愿和吸收能力對契約類型、信任與知識轉移關系的調節(jié)作用，完善了已有的理論模型。
[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.

【學位授予單位】：華南理工大學
【學位級別】：博士
【學位授予年份】：2013
【分類號】：F276.4;F272.9

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