供应链企业间知识转移风险的识别_评估及防控研究
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摘要
随着科学技术的不断发展和全球竞争的不断加剧,市场竞争逐渐由企业与企业之间的竞争转变为供应链与供应链之间的竞争,知识作为企业的重要战略资源,已成为供应链企业获得竞争优势和可持续竞争力的关键,通过转移和共享供应链上的知识资源,可以有效提高供应链的运作效率和整体竞争力。然而,知识转移却使供应链企业不可避免地面临或带来知识转移风险。因此,研究供应链企业间知识转移的风险防范问题无论是对提高供应链的整体运作效率,还是对供应链企业谋求进一步发展都具有重要而深远的意义。
令人遗憾的是：目前供应链企业间知识转移的风险管理问题并未引起人们的足够重视,供应链企业在关注知识转移优势的同时却忽视了知识转移过程中存在的风险,导致供应链知识转移过程中产生许多不必要的损失,进而影响知识转移的绩效和供应链的整体运作效率。理论界,对供应链知识管理的研究主要集中于对供应链中的知识共享与转移、知识学习与吸收、知识转移的实现的研究,对知识转移风险的研究比较少,仅有的对知识转移风险的研究也只是一些零碎的研究,专题性的、系统性的研究还几乎没有,供应链知识转移风险管理理论和方法体系还没有形成。
因此,本文结合结合风险管理和供应链知识管理等相关理论知识,基于已有研究,将“供应链企业间知识转移风险的识别、评估及防控研究”作为研究选题,开展了如下研究工作：
(1)围绕供应链企业间知识转移风险研究所涉及的四个主要方面一供应链中的知识、供应链中的知识转移、知识转移风险和风险管理以及供应链企业间知识转移风险管理的相关概念和理论进行相关论述,分析了供应链企业间知识转移风险产生的原因和风险特征,基于一般风险管理理论,将供应链企业间的知识转移风险管理划分为风险识别、风险分析与评估及风险防控三个部分,进而奠定供应链企业间知识转移风险的识别、评估及防控的理论基础。
(2)基于对供应链企业间知识转移风险识别原则和风险识别方法的分析,提出本文所采用的知识转移风险识别方法,在文献研究、专家访谈的基础上提出了知识转移风险的识别假设,并通过问卷调查和统计分析的方法,对供应链企业间知识转移的风险进行了识别,得出了6个关键风险,即转移主体风险、知识特性风险、供应链结构风险、协作风险、转移环境风险和转移方式风险和20个风险因素变量。
(3)基于现有知识转移影响因素作用路径研究成果,分析了供应链企业间知识转移风险因素与风险后果之间的影响路径,建立了供应链企业间知识转移风险作用路径的概念模型、提出路径假设,并对路径假设进行了检验,供应链企业间知识转移风险的作用路径得以揭示,实证结果表明,供应链企业间的知识转移风险因素有些是直接作用与风险后果的,有些是通过影响其他风险因素而间接地扩大或缩小知识转移的风险后果。
(4)以通过风险识别得出的供应链企业间知识转移风险因素集建立供应链知识转移风险评估指标体系,进而根据研究问题建立了基于灰色模糊关系的供应链企业间知识转移风险灰色模糊综合评估模型,在此基础上,对三一重工与其所处供应链上的其他企业间的知识转移风险进行了评估。基于灰色模糊关系的灰色模糊综合评价模型在供应链企业间知识转移风险评估中的运用,不仅弥补了模糊综合评价方法忽视太多次要信息而影响评估效果的缺陷,也为风险防控体系的构建提供了依据和有益指导。
(5)借鉴风险管理的思路,从供应链企业间知识转移风险防控策略的选择、风险对策和风险防范机制等三个方面构建了供应链企业间知识转移风险的防控体系。
With the rapid development of science and technology and the increasing global competition, market competition has been becoming competition between supply chains from that of enterprises. As an important strategic sources of firms, knowledge has been a critical factor for firms of supply chain to obtain competitive advantage and sustainable competitive power. The overall operational efficiency and competitive power of supply chain can be improved through transferring and sharing intellectual resources in supply chain. However, knowledge transfer makes the firms face knowledge transfer risks. Therefore, it is meaningful to the improvement of supply chain operation efficiency and to the further development of supply chain members to exploring the knowledge transfer risk in supply chain.
Unfortunately, in the practice, knowledge transfer risk management in supply chain has not arouse sufficient attention of peoples. Supply chain members ingore the existence of knowledge transfer risks while they are concerning to knowledge transfer advantages, and the results is that the members bear many unnecesary loss in the process of knowledge transferring, which then affect the performance of knowledge transfer and the overall operational effeciency of supply chain. In theoretical circles,the researches on knowledge management of supply chain mainly focus on knowledge sharing and transfer, knowledge learning and knowledge absorption, and the realization of knowledge transferring. Though there are some related literatures which explore the knowledge transfer risks, most of them are prevention methods and countermeasures on a single risk or some risks, system of theory and method of knowledge transfer risk management of supply chain has not formed yet.
In view of this, integrating the risk management theory with supply chain knowledge management theory, this dissertation took "research on knowledge transfer risk identification, assessment and prevention between supply chain members"as researeh subjects on the basis of the existing research. The main research contents and results are as follows:
First, discuss the concepts and theories of the four aspects of knowledge transfer risks between supply chain members:knowledge in supply chain, knowledge transfer in supply chain, knowledge transfer risk and risk management, and knowledge transfer risk management between supply chain members and analyzed the reasons which arouse knowledge transfer risk, and risk characteristics. Then, based on the general theory of risk management, the process of risk management of knowledge transfer between supply chain memebers was divided into three parts in this dissertation, which were risk identifieation, risk assessment and risk prevention, which laid a theoretical foudation for knowledge transfer risk identification, risk assement, and risk prevention between supply chain members.
Second, the method of knowledge transfer risk identification between supply chain members in this dissertation was established after analyzing the principles and the existing method of knowledge transfer risk identification; then, on the basis of the result of literature research review and expert interview, the identification assumption of knowledge transfer risk was propsed. Through questionnaire survey and statistical analysis, the knowledge transfer risks between supply chain members were identified. Six critical risk factors are identified, that is, actors'ability risk, intellectual property risk, supply chain structure risk, coordination risk, transfer environment risk, and transfer way risk, and20risk variables was contained in these six critical risks altogether.
Third, based on the analysis of the risk effect path of risk factors to risk results of knowledge transfer between supply chain members, a concept model of the risk conduction mechanism of knowledge transfer between supply chain members was established, and some relevant theoretical assumptions were put forword, then the structural equation model was used to test the assumptiona, thus the risk pathway of knowledge transfer between supply chain members was revealed. The analysis results show that not all risk factors have influence on the risk results directly, some will enlarge or reduce the risk degree through affecting the other risks.
Fourth,based on the identified risk factors set of knowledge transfer between supply chain members, a risk assessment index system was established. According to the research problem, a grey fuzzy comprehensive assessment model based on grey fussy relationship was constructed, on this basis, an empirical test on the risk assessment of knowledge transfer in Sany Heavy Industry Co., Ltd. was carried on which made up with the shortcoming the preceding method of risk assessment considered only the influence of important factors, but ignored that of the less important ones, further to make researches on issues can not solve the problems in practice for losing too many useful information. At the same time,the risk assessment provided meaningful introduction to the construction of risk prevention system.
Finally, in view of the thought of risk management, a risk prevention and control system of knowledge transfer between supply chain members was established from the three aspects, that is, the selection of risk prevention measures, the risk countermeasures, and the risk prevention mechanism.
令人遗憾的是：目前供应链企业间知识转移的风险管理问题并未引起人们的足够重视,供应链企业在关注知识转移优势的同时却忽视了知识转移过程中存在的风险,导致供应链知识转移过程中产生许多不必要的损失,进而影响知识转移的绩效和供应链的整体运作效率。理论界,对供应链知识管理的研究主要集中于对供应链中的知识共享与转移、知识学习与吸收、知识转移的实现的研究,对知识转移风险的研究比较少,仅有的对知识转移风险的研究也只是一些零碎的研究,专题性的、系统性的研究还几乎没有,供应链知识转移风险管理理论和方法体系还没有形成。
因此,本文结合结合风险管理和供应链知识管理等相关理论知识,基于已有研究,将“供应链企业间知识转移风险的识别、评估及防控研究”作为研究选题,开展了如下研究工作：
(1)围绕供应链企业间知识转移风险研究所涉及的四个主要方面一供应链中的知识、供应链中的知识转移、知识转移风险和风险管理以及供应链企业间知识转移风险管理的相关概念和理论进行相关论述,分析了供应链企业间知识转移风险产生的原因和风险特征,基于一般风险管理理论,将供应链企业间的知识转移风险管理划分为风险识别、风险分析与评估及风险防控三个部分,进而奠定供应链企业间知识转移风险的识别、评估及防控的理论基础。
(2)基于对供应链企业间知识转移风险识别原则和风险识别方法的分析,提出本文所采用的知识转移风险识别方法,在文献研究、专家访谈的基础上提出了知识转移风险的识别假设,并通过问卷调查和统计分析的方法,对供应链企业间知识转移的风险进行了识别,得出了6个关键风险,即转移主体风险、知识特性风险、供应链结构风险、协作风险、转移环境风险和转移方式风险和20个风险因素变量。
(3)基于现有知识转移影响因素作用路径研究成果,分析了供应链企业间知识转移风险因素与风险后果之间的影响路径,建立了供应链企业间知识转移风险作用路径的概念模型、提出路径假设,并对路径假设进行了检验,供应链企业间知识转移风险的作用路径得以揭示,实证结果表明,供应链企业间的知识转移风险因素有些是直接作用与风险后果的,有些是通过影响其他风险因素而间接地扩大或缩小知识转移的风险后果。
(4)以通过风险识别得出的供应链企业间知识转移风险因素集建立供应链知识转移风险评估指标体系,进而根据研究问题建立了基于灰色模糊关系的供应链企业间知识转移风险灰色模糊综合评估模型,在此基础上,对三一重工与其所处供应链上的其他企业间的知识转移风险进行了评估。基于灰色模糊关系的灰色模糊综合评价模型在供应链企业间知识转移风险评估中的运用,不仅弥补了模糊综合评价方法忽视太多次要信息而影响评估效果的缺陷,也为风险防控体系的构建提供了依据和有益指导。
(5)借鉴风险管理的思路,从供应链企业间知识转移风险防控策略的选择、风险对策和风险防范机制等三个方面构建了供应链企业间知识转移风险的防控体系。
With the rapid development of science and technology and the increasing global competition, market competition has been becoming competition between supply chains from that of enterprises. As an important strategic sources of firms, knowledge has been a critical factor for firms of supply chain to obtain competitive advantage and sustainable competitive power. The overall operational efficiency and competitive power of supply chain can be improved through transferring and sharing intellectual resources in supply chain. However, knowledge transfer makes the firms face knowledge transfer risks. Therefore, it is meaningful to the improvement of supply chain operation efficiency and to the further development of supply chain members to exploring the knowledge transfer risk in supply chain.
Unfortunately, in the practice, knowledge transfer risk management in supply chain has not arouse sufficient attention of peoples. Supply chain members ingore the existence of knowledge transfer risks while they are concerning to knowledge transfer advantages, and the results is that the members bear many unnecesary loss in the process of knowledge transferring, which then affect the performance of knowledge transfer and the overall operational effeciency of supply chain. In theoretical circles,the researches on knowledge management of supply chain mainly focus on knowledge sharing and transfer, knowledge learning and knowledge absorption, and the realization of knowledge transferring. Though there are some related literatures which explore the knowledge transfer risks, most of them are prevention methods and countermeasures on a single risk or some risks, system of theory and method of knowledge transfer risk management of supply chain has not formed yet.
In view of this, integrating the risk management theory with supply chain knowledge management theory, this dissertation took "research on knowledge transfer risk identification, assessment and prevention between supply chain members"as researeh subjects on the basis of the existing research. The main research contents and results are as follows:
First, discuss the concepts and theories of the four aspects of knowledge transfer risks between supply chain members:knowledge in supply chain, knowledge transfer in supply chain, knowledge transfer risk and risk management, and knowledge transfer risk management between supply chain members and analyzed the reasons which arouse knowledge transfer risk, and risk characteristics. Then, based on the general theory of risk management, the process of risk management of knowledge transfer between supply chain memebers was divided into three parts in this dissertation, which were risk identifieation, risk assessment and risk prevention, which laid a theoretical foudation for knowledge transfer risk identification, risk assement, and risk prevention between supply chain members.
Second, the method of knowledge transfer risk identification between supply chain members in this dissertation was established after analyzing the principles and the existing method of knowledge transfer risk identification; then, on the basis of the result of literature research review and expert interview, the identification assumption of knowledge transfer risk was propsed. Through questionnaire survey and statistical analysis, the knowledge transfer risks between supply chain members were identified. Six critical risk factors are identified, that is, actors'ability risk, intellectual property risk, supply chain structure risk, coordination risk, transfer environment risk, and transfer way risk, and20risk variables was contained in these six critical risks altogether.
Third, based on the analysis of the risk effect path of risk factors to risk results of knowledge transfer between supply chain members, a concept model of the risk conduction mechanism of knowledge transfer between supply chain members was established, and some relevant theoretical assumptions were put forword, then the structural equation model was used to test the assumptiona, thus the risk pathway of knowledge transfer between supply chain members was revealed. The analysis results show that not all risk factors have influence on the risk results directly, some will enlarge or reduce the risk degree through affecting the other risks.
Fourth,based on the identified risk factors set of knowledge transfer between supply chain members, a risk assessment index system was established. According to the research problem, a grey fuzzy comprehensive assessment model based on grey fussy relationship was constructed, on this basis, an empirical test on the risk assessment of knowledge transfer in Sany Heavy Industry Co., Ltd. was carried on which made up with the shortcoming the preceding method of risk assessment considered only the influence of important factors, but ignored that of the less important ones, further to make researches on issues can not solve the problems in practice for losing too many useful information. At the same time,the risk assessment provided meaningful introduction to the construction of risk prevention system.
Finally, in view of the thought of risk management, a risk prevention and control system of knowledge transfer between supply chain members was established from the three aspects, that is, the selection of risk prevention measures, the risk countermeasures, and the risk prevention mechanism.
引文
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