企业利用外部知识能力与企业绩效的关系研究
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摘要
本文研究的核心问题是在全球知识创新和流动加剧的“开放式创新”背景下企业实现绩效的战略及其具体手段。从企业利用外部知识的能力对企业绩效的作用机理作为出发点，分析企业内外部知识平台在其中发挥的支持作用及其影响要素；并剖析了企业绩效转化的两个重要知识经营因素：知识审计与企业知识资产经营活动对于实现企业绩效作用机理。
根据文献综述和已有研究，首先分析了在全球知识创新的环境下，企业利用外部知识的能力是企业获取动态核心能力的根本手段；并阐述利用外部知识过程中知识平台的作用机理；从企业内部知识平台、外部知识平台、知识平台支持要素等平台三要素以及知识默会性、嵌入性等角度解释这些要素对企业获取外部知识，并进行整合、吸收、创新以及知识保护过程的作用机制和及其影响因素。
在此基础上，分析企业知识审计与知识资产经营战略对于企业绩效的实现机制。将企业知识审计战略划分为对产业知识特性的审计、企业知识供需审计和企业知识平台审计三个部分，剖析各自对实现企业绩效的机理。本文同时分析企业的知识资产经营是企业实现绩效的重要手段，并归纳了四种知识资产经营的主要模式，进而分析企业选择匹配的知识资产经营模式对于实现企业绩效的机理。
在获取的265份有效问卷之后，对被调研者的基本信息进行了描述性统计。采用SPSS统计分析软件分别进行变量测量的项目分析、探索性因素，并分析测试了问卷的效度与信度，初步确定变量关系及其数据质量，为验证概念模型和相关假设做好准备。
最后运用结构方程模型对研究模型和假设进行了验证，并采用统计软件LIEREL8.7进行数据处理。在对问卷题项确定观察变量是否足以反映潜伏变量之后，分别对前置变量对于中间变量、中间变量与调节变量对于后置变量的单因素分析；最后将所有模型的前置变量与后置变量合在一起进行分析，验证综合模型的合理性，把基本假设与模型的统计结构进行比较，并分析统计意义和经济意义。
在问卷调查与统计分析基础上，进一步采用深度的跨案例分析方法，结合中德5个企业的跨案例，进一步验证论文概念模型和基本假设的正确性，并将案例研究的结论进行总结和比较分析。
主要的研究结论如下：
(1)在全球知识创新、知识流动加剧的背景下，企业利用外部知识的能力是企业最重要的能力之一；建设有利于知识流动的平台促进企业利用外部知识、并对知识资产进行有效经营，是企业获取长期综合绩效的根源。
(2)本研究证实，企业的知识平台要素对企业利用外部知识的过程发生作用。企业的内部知识平台要素、外部知识平台要素、知识平台支持要素等对于企业利用外部知识能力的作用，在本研究的企业问卷分析和案例分析过程的结果均证实是起到一定的支持作用。
(3)研究结果表明，特定的知识平台特征通过影响企业利用外部知识的能力，而影响企业的长期绩效。
(4)企业有效的知识审计与知识资产经营战略是实现企业绩效的重要手段。统计数据和案例比较分析均表明，多样化的知识经营能力与企业绩效之间存在着正相关关系。但需要与提升企业利用外部知识的能力的同时才能发生作用。
本论文最根本的创新点在于，提出在全球知识创新和流动条件下，企业利用外部知识的能力是企业最重要的能力之一；建设有利于知识流动的平台以促进企业利用外部知识、并对知识资产进行有效经营，是企业获取长期综合绩效的根源。
在此基础上衍生的理论创新点还包括：
(1)从新的研究视角的拓展“开放式创新”理论，从企业利用外部知识和企业平台组织模式的视角分析“开放式创新”理论。
(2)拓展了企业知识平台理论。在综合前人对于知识平台研究基础上，提出了关于知识平台构成的系统要素；同时分析了知识平台对于企业利用外部知识的作用机理，以及促进其在企业利用外部知识过程发挥作用的因素特征。
(3)拓展了知识审计和知识资产经营对企业绩效的作用机理和模式的分析。
(4)构建了企业利用外部知识能力、知识平台、以及知识经营等各个要素对于企业长期绩效之间的综合作用模型。
本研究结合中外企业的调研和案例分析，实证结果对于提升企业利用外部知识能力、建设企业知识平台、知识资产经营战略等企业实践也有一定的管理启示。
The core research question of this dissertation is to explore the relations among utilization of external knowledge, the knowledge platform and performance of enterprises in an era of open innovation. With the accerating global knowledge innovation and flow, the open innovation strategy is key to enterprises. And research on the other two important knowledge management factors which influence the performance of enterprise, that's knowledge audit activity and interllectural property operation regarding promoting the mechanism for enterprise performance.
According to the literature review and the related research, first the exterior knowledge process and the knowledge platform function mechanism are analyzed. Then the internal and external knowledge platform is discussed, including the three essential factors of platform as well as the knowledge tacticness and imbedibility nature and other essential support factors of knowledge platform. External knowledge management process, which is summarized as acquisition, intergration, absorption, innovation and protection process, is explained with the knowledge platform function mechanism as well as through exterior knowledge management mechanism, in order to achieve long-term performance.
Moreover, the function mechanisms of knowledge audit activity and interllectual property operation management regarding the enterprise performance are illustrated. The enterprise knowledge audit activity is divived into a three-process system, that's industrial knowledge characteristic audit, audit for knowledge supply and demand of enterprise and audits for knowledge platform of the enterprise. This article further analyzes the intellectual property operation management process and modes. On the basis of these, the decision process for the appropriate intellectual property operation management patterns regarding the enterprise performance is discussed.
After gaining 265 effective questionnaires on enterprises, basic information the descriptive statistics has been carried out. Using the data, the exiploring factor analysis (EFA) of all the varialbls has separately been tested, and the validity and the reliability of the questionnaires, as well as the data quality has been anylized with the adoption of the software, LISTREL 8.70, prepared for the confirmation factor analysis (CFA) model and the correlation hypotheses.
Finally using the structure equation model (SEM), the anylsis of research models and the 12 hypotheses have been carried out, making use of the survey data with the statistical software LIEREL8.7. Factor analysis of the enterprise knowledge audit activities, the intellectual property management and utilization of external knowledge process ability related to the enterprise performance has been conducted. Finally the comprehensive models combining the independent variables and the dependent variables have been analyzed, to teste the rationality of unified confirmation model with the basic hypotheses, and the statistical and the economic significance has been illustrated.
After the questionnaire survey and the statistical analysis, chapter 8 demonstrates a depth case analysis, taking a case of Chinese Enterprise, to further confirm the conceptual model and the basic accuracy of the hypothesis, and come to an end with summarry and compararison of the case research conclusions.
The main research conclusions list as follows:
(1) Under the background of accerating global knowledge innovation and intensifying flow, the ability of utiliazation for external knowledge is one of the most important abilities of enterprise, and can lead to long-term performance.
(2) The results show that, the positive relations between enterprise's essential function of knowledge platform factors and untilization of external knowledge in the enterprise has been confirmed.
(3)The findings indicate that, the specific characteristics of knowledge platform when using external knowledge influence the ability of enterprise, thus affects the long-term performance of enterprises.
(4) Effective knowledge audit activities is also influential factors to the performance of enterprise. This result also demonstrates that, enterprise's long-term performance is also affected by the intellectual property operation management capacity. The statistical data analysis indicates that, diverse intellectual propety operation capacity is positively related to the performance of enterprise.
(5) Both the result of structure equation modelling analysis on the questionnaire, and the case study indicate that, the ability of external knowledge utilization, the essential knowledge platform factors, the knowledge audit activities, intellectual property operation capacity and other essential factors, impact the long-term performance of the enterprises.
The main theoretical and managerial contributions lie in:
(1) From the new research angle, the open innovation theory is push foward further. That's taking the view of external knowledge utilization and the knowledge platform to analyze the open innovation theory.
(2) Knowledge platform theory has been developed. On the basis of the researches that predecessor conducted regarding the knowledge platform research, on the one hand this research a comprehensive framework of knowledge platform is proposed; on the other hand, the mechanism to utilization exterior knowledge relate to knowledge platform is demonstrated.
(3) Initially the concept of intellectual property operation management as well as its function mechanism to the enterprise performance has been put forward.
(4) A comprehensive model regarding long-term performance of enterprise with the capabilities of using external knowledge, knowledge platform, knowledge audit activities, as well as the intellectual property operation management and so on, has been tested.
The data sources of survey originate mainly from both Chinese Enterprise, also including parts in Germany and other countries. So the conclusions have braod value. The final research findings are valuable in the practical business management.
Classification Code: F931
根据文献综述和已有研究，首先分析了在全球知识创新的环境下，企业利用外部知识的能力是企业获取动态核心能力的根本手段；并阐述利用外部知识过程中知识平台的作用机理；从企业内部知识平台、外部知识平台、知识平台支持要素等平台三要素以及知识默会性、嵌入性等角度解释这些要素对企业获取外部知识，并进行整合、吸收、创新以及知识保护过程的作用机制和及其影响因素。
在此基础上，分析企业知识审计与知识资产经营战略对于企业绩效的实现机制。将企业知识审计战略划分为对产业知识特性的审计、企业知识供需审计和企业知识平台审计三个部分，剖析各自对实现企业绩效的机理。本文同时分析企业的知识资产经营是企业实现绩效的重要手段，并归纳了四种知识资产经营的主要模式，进而分析企业选择匹配的知识资产经营模式对于实现企业绩效的机理。
在获取的265份有效问卷之后，对被调研者的基本信息进行了描述性统计。采用SPSS统计分析软件分别进行变量测量的项目分析、探索性因素，并分析测试了问卷的效度与信度，初步确定变量关系及其数据质量，为验证概念模型和相关假设做好准备。
最后运用结构方程模型对研究模型和假设进行了验证，并采用统计软件LIEREL8.7进行数据处理。在对问卷题项确定观察变量是否足以反映潜伏变量之后，分别对前置变量对于中间变量、中间变量与调节变量对于后置变量的单因素分析；最后将所有模型的前置变量与后置变量合在一起进行分析，验证综合模型的合理性，把基本假设与模型的统计结构进行比较，并分析统计意义和经济意义。
在问卷调查与统计分析基础上，进一步采用深度的跨案例分析方法，结合中德5个企业的跨案例，进一步验证论文概念模型和基本假设的正确性，并将案例研究的结论进行总结和比较分析。
主要的研究结论如下：
(1)在全球知识创新、知识流动加剧的背景下，企业利用外部知识的能力是企业最重要的能力之一；建设有利于知识流动的平台促进企业利用外部知识、并对知识资产进行有效经营，是企业获取长期综合绩效的根源。
(2)本研究证实，企业的知识平台要素对企业利用外部知识的过程发生作用。企业的内部知识平台要素、外部知识平台要素、知识平台支持要素等对于企业利用外部知识能力的作用，在本研究的企业问卷分析和案例分析过程的结果均证实是起到一定的支持作用。
(3)研究结果表明，特定的知识平台特征通过影响企业利用外部知识的能力，而影响企业的长期绩效。
(4)企业有效的知识审计与知识资产经营战略是实现企业绩效的重要手段。统计数据和案例比较分析均表明，多样化的知识经营能力与企业绩效之间存在着正相关关系。但需要与提升企业利用外部知识的能力的同时才能发生作用。
本论文最根本的创新点在于，提出在全球知识创新和流动条件下，企业利用外部知识的能力是企业最重要的能力之一；建设有利于知识流动的平台以促进企业利用外部知识、并对知识资产进行有效经营，是企业获取长期综合绩效的根源。
在此基础上衍生的理论创新点还包括：
(1)从新的研究视角的拓展“开放式创新”理论，从企业利用外部知识和企业平台组织模式的视角分析“开放式创新”理论。
(2)拓展了企业知识平台理论。在综合前人对于知识平台研究基础上，提出了关于知识平台构成的系统要素；同时分析了知识平台对于企业利用外部知识的作用机理，以及促进其在企业利用外部知识过程发挥作用的因素特征。
(3)拓展了知识审计和知识资产经营对企业绩效的作用机理和模式的分析。
(4)构建了企业利用外部知识能力、知识平台、以及知识经营等各个要素对于企业长期绩效之间的综合作用模型。
本研究结合中外企业的调研和案例分析，实证结果对于提升企业利用外部知识能力、建设企业知识平台、知识资产经营战略等企业实践也有一定的管理启示。
The core research question of this dissertation is to explore the relations among utilization of external knowledge, the knowledge platform and performance of enterprises in an era of open innovation. With the accerating global knowledge innovation and flow, the open innovation strategy is key to enterprises. And research on the other two important knowledge management factors which influence the performance of enterprise, that's knowledge audit activity and interllectural property operation regarding promoting the mechanism for enterprise performance.
According to the literature review and the related research, first the exterior knowledge process and the knowledge platform function mechanism are analyzed. Then the internal and external knowledge platform is discussed, including the three essential factors of platform as well as the knowledge tacticness and imbedibility nature and other essential support factors of knowledge platform. External knowledge management process, which is summarized as acquisition, intergration, absorption, innovation and protection process, is explained with the knowledge platform function mechanism as well as through exterior knowledge management mechanism, in order to achieve long-term performance.
Moreover, the function mechanisms of knowledge audit activity and interllectual property operation management regarding the enterprise performance are illustrated. The enterprise knowledge audit activity is divived into a three-process system, that's industrial knowledge characteristic audit, audit for knowledge supply and demand of enterprise and audits for knowledge platform of the enterprise. This article further analyzes the intellectual property operation management process and modes. On the basis of these, the decision process for the appropriate intellectual property operation management patterns regarding the enterprise performance is discussed.
After gaining 265 effective questionnaires on enterprises, basic information the descriptive statistics has been carried out. Using the data, the exiploring factor analysis (EFA) of all the varialbls has separately been tested, and the validity and the reliability of the questionnaires, as well as the data quality has been anylized with the adoption of the software, LISTREL 8.70, prepared for the confirmation factor analysis (CFA) model and the correlation hypotheses.
Finally using the structure equation model (SEM), the anylsis of research models and the 12 hypotheses have been carried out, making use of the survey data with the statistical software LIEREL8.7. Factor analysis of the enterprise knowledge audit activities, the intellectual property management and utilization of external knowledge process ability related to the enterprise performance has been conducted. Finally the comprehensive models combining the independent variables and the dependent variables have been analyzed, to teste the rationality of unified confirmation model with the basic hypotheses, and the statistical and the economic significance has been illustrated.
After the questionnaire survey and the statistical analysis, chapter 8 demonstrates a depth case analysis, taking a case of Chinese Enterprise, to further confirm the conceptual model and the basic accuracy of the hypothesis, and come to an end with summarry and compararison of the case research conclusions.
The main research conclusions list as follows:
(1) Under the background of accerating global knowledge innovation and intensifying flow, the ability of utiliazation for external knowledge is one of the most important abilities of enterprise, and can lead to long-term performance.
(2) The results show that, the positive relations between enterprise's essential function of knowledge platform factors and untilization of external knowledge in the enterprise has been confirmed.
(3)The findings indicate that, the specific characteristics of knowledge platform when using external knowledge influence the ability of enterprise, thus affects the long-term performance of enterprises.
(4) Effective knowledge audit activities is also influential factors to the performance of enterprise. This result also demonstrates that, enterprise's long-term performance is also affected by the intellectual property operation management capacity. The statistical data analysis indicates that, diverse intellectual propety operation capacity is positively related to the performance of enterprise.
(5) Both the result of structure equation modelling analysis on the questionnaire, and the case study indicate that, the ability of external knowledge utilization, the essential knowledge platform factors, the knowledge audit activities, intellectual property operation capacity and other essential factors, impact the long-term performance of the enterprises.
The main theoretical and managerial contributions lie in:
(1) From the new research angle, the open innovation theory is push foward further. That's taking the view of external knowledge utilization and the knowledge platform to analyze the open innovation theory.
(2) Knowledge platform theory has been developed. On the basis of the researches that predecessor conducted regarding the knowledge platform research, on the one hand this research a comprehensive framework of knowledge platform is proposed; on the other hand, the mechanism to utilization exterior knowledge relate to knowledge platform is demonstrated.
(3) Initially the concept of intellectual property operation management as well as its function mechanism to the enterprise performance has been put forward.
(4) A comprehensive model regarding long-term performance of enterprise with the capabilities of using external knowledge, knowledge platform, knowledge audit activities, as well as the intellectual property operation management and so on, has been tested.
The data sources of survey originate mainly from both Chinese Enterprise, also including parts in Germany and other countries. So the conclusions have braod value. The final research findings are valuable in the practical business management.
Classification Code: F931
引文
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