基于知识管理的企业间合作创新研究
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摘要
随着世界经济一体化的发展和全球性技术竞争的加剧,单纯的竞争已不适应当前的形式。合作创新、借助外部的力量是企业寻求发展的必经之路。
本文对国内外合作创新的定义内涵及模式进行了介绍和评述。以知识管理(知识共享与转移)、企业核心能力和合作创新的三方互动模型为研究主线,研究了基于知识管理的企业间合作创新机理。分析了知识管理的基本构成要素在合作创新中的作用和影响,并建立了合作创新过程中的知识共享和转移模型,着重分析其运作机理。本文还通过合作和竞争双向的博弈分析,深入地研究了合作创新的内在竞合特性。将d’Aspremont的两阶段双寡头博弈模型扩展为三方三阶段模型,着重分析了技术扩散和技术互动等因素在合作创新中的影响及作用。并用博弈模型分析了在合作创新在模式和利益分配上的选择行为。构建了针对于合作创新中合作竞争的评价指标体系和评价模型,并进行了实证分析。对企业间合作创新的各种风险进行了分类介绍,依据合作创新的组建时序建立了合作创新的风险控制机制。对国内外的企业间合作创新政策进行分析和比较,并在此基础上给出了我国促进合作创新的政策建议,而且从企业本身的角度提出了更多的意见和建议。
With the Integration of world economy and the global intensifying technique competition, it is difficult for the enterprises to fight with the global competitors with different scale and strength. So, the enterprises should cooperate with others, and combine the knowledge or technology resources from different aspects. In the interest of not falling behind the competitors, rising their own adaptation and rapid reaction ability, and occupying more market share, cooperative innovation is the necessary route for the enterprises applying for outside power.
Cooperative innovation among the enterprises refers to that many subjects of innovation behavior invest together, participate together, take the achievement together and share the risks together during the whole technical innovation process. Cooperative innovation among the enterprises includes long-period cooperation with strategic intent, for example, strategic technical alliance and network organizations; it also includes short-period cooperation for some special items, for example, research contract and licence agreement. The intensive cooperations refer to those with the forms of joint venture or incorporation, which belong to the same business licence. The pervasive cooperations carry out with the network organizations, which means every participant keeps its independence, but cooperates with others only within some fields or in some time, like research cooperation organization, strategic alliance and virtual organization etc.. The most common cooperation innovation goes with the communication between the enterprises, the corresponding learning and influencing will happen in many relative fields.
Based on the research of forefathers, this thesis does analysis on internal operational mechanism and external game activities of cooperative innovation from knowledge management angle. The main contents are as followings: theories analysis, internal mode of cooperative innovation, external game analysis, performance evaluation, risks and precaution and government policies analysis.
This thesis analyzed the mechanism of cooperative innovation based on knowledge management according to the interwork model of three aspects (knowledge management, core competence and cooperative innovation). Firstly, this thesis explained the effects of knowledge management basic elements within cooperative innovation, they are distinguishing and acquisition of knowledge, sharing and transferring of knowledge and application and innovation of knowledge. Based on that, we built a knowledge sharing and transferring model to explain its interwork. This model is a horizontal and vertical cross model. The horizontal part explains how knowledge follow within the cooperative innovation participants; and the vertical part expresses how the knowledge transforming from explicit to implicit and vise versa. This model has four stages. The first stage is knowledge sharing stage; explicit knowledge is intergrated among cooperation members. The second stage is knowledge transferring stage; explicit knowledge is transformed to implicit knowledge within the enterprises. The third one is knowledge application stage; implicit knowledge is used for the innovation program. The last one is knowledge requiring stage; lacking knowledge correspond to the innovation leads the next circulation. Secondly, according to the knowledge character of enterprises core competence, it analyzed the inter reaction between knowledge management and core competence. And then it analyzed the inter reaction between the cooperative innovation and core competence from core competence rigidity and knowledge cooperation surplus two aspects. At last this thesis gives the unitary model for the interaction among knowledge management, core competence and cooperation innovation. The process of knowledge transforming applying and innovating embodies in the strategy and innovation activities. At the same time core competence accelerates the compromising of innovation, which does good to the knowledge accumulation. So, the essence of cooperation innovation is application and extension for the enteprises’knowledge. Knowledge management, core competence and cooperation innovation react each other, they build the knowledge transforming process and promote the knowledge further accumulation. In accordance with the game theory methods this thesis analyzed the external behavior of cooperative innovation based on knowledge management. By means of cooperative and competitive bi-directional game analysis, it deeply studied on internal co-competitive character of cooperative innovation. This thesis built a game model with three participants and three action periods based on d’Aspremont’s game model. In the first period, the enterprises need to decide to compete or cooperate; in the second period, the enterprises should make a decision on the research investment; in the last period, they choose the products amount and maximize the benefit. This model mainly explained some aspects’activity, for example, technology diffusing and transferring. The result we get are: knowledge diffusing is very important for the enterprises to choose coopartion innovation or not. Which strategy can help enterprise to achieve more advantage technology, the company will choose that one. During the cooperation process, the more nearly the cooperation member communicated, the less investment for innovation needed. But the enterprise who has advantage technology will invest less in R&D compare with those have no advantages. Furthermore, the thesis analyzed the cooperative innovation mode selection and benefit distribution. We find the distribution parameter depends on the core technology superiority, and when it invest more it will get more, otherwise it is nor fair to the other members.
This thesis also built a relevant index system and evaluate model corresponding to the different evaluated objects. It includes 38 indexes. And we used the AHP method to confirm the index weight and used empirical example tested and verified furtherly.
And then this thesis introduced various risks of cooperative innovation respectively, and according to the time schedule of cooperation it set up a risk control mechanism.It introduced foreign cooperative innovation policies, including Japan, US and EU; it further gave some suggestions for the homeland government and enterprises.
本文对国内外合作创新的定义内涵及模式进行了介绍和评述。以知识管理(知识共享与转移)、企业核心能力和合作创新的三方互动模型为研究主线,研究了基于知识管理的企业间合作创新机理。分析了知识管理的基本构成要素在合作创新中的作用和影响,并建立了合作创新过程中的知识共享和转移模型,着重分析其运作机理。本文还通过合作和竞争双向的博弈分析,深入地研究了合作创新的内在竞合特性。将d’Aspremont的两阶段双寡头博弈模型扩展为三方三阶段模型,着重分析了技术扩散和技术互动等因素在合作创新中的影响及作用。并用博弈模型分析了在合作创新在模式和利益分配上的选择行为。构建了针对于合作创新中合作竞争的评价指标体系和评价模型,并进行了实证分析。对企业间合作创新的各种风险进行了分类介绍,依据合作创新的组建时序建立了合作创新的风险控制机制。对国内外的企业间合作创新政策进行分析和比较,并在此基础上给出了我国促进合作创新的政策建议,而且从企业本身的角度提出了更多的意见和建议。
With the Integration of world economy and the global intensifying technique competition, it is difficult for the enterprises to fight with the global competitors with different scale and strength. So, the enterprises should cooperate with others, and combine the knowledge or technology resources from different aspects. In the interest of not falling behind the competitors, rising their own adaptation and rapid reaction ability, and occupying more market share, cooperative innovation is the necessary route for the enterprises applying for outside power.
Cooperative innovation among the enterprises refers to that many subjects of innovation behavior invest together, participate together, take the achievement together and share the risks together during the whole technical innovation process. Cooperative innovation among the enterprises includes long-period cooperation with strategic intent, for example, strategic technical alliance and network organizations; it also includes short-period cooperation for some special items, for example, research contract and licence agreement. The intensive cooperations refer to those with the forms of joint venture or incorporation, which belong to the same business licence. The pervasive cooperations carry out with the network organizations, which means every participant keeps its independence, but cooperates with others only within some fields or in some time, like research cooperation organization, strategic alliance and virtual organization etc.. The most common cooperation innovation goes with the communication between the enterprises, the corresponding learning and influencing will happen in many relative fields.
Based on the research of forefathers, this thesis does analysis on internal operational mechanism and external game activities of cooperative innovation from knowledge management angle. The main contents are as followings: theories analysis, internal mode of cooperative innovation, external game analysis, performance evaluation, risks and precaution and government policies analysis.
This thesis analyzed the mechanism of cooperative innovation based on knowledge management according to the interwork model of three aspects (knowledge management, core competence and cooperative innovation). Firstly, this thesis explained the effects of knowledge management basic elements within cooperative innovation, they are distinguishing and acquisition of knowledge, sharing and transferring of knowledge and application and innovation of knowledge. Based on that, we built a knowledge sharing and transferring model to explain its interwork. This model is a horizontal and vertical cross model. The horizontal part explains how knowledge follow within the cooperative innovation participants; and the vertical part expresses how the knowledge transforming from explicit to implicit and vise versa. This model has four stages. The first stage is knowledge sharing stage; explicit knowledge is intergrated among cooperation members. The second stage is knowledge transferring stage; explicit knowledge is transformed to implicit knowledge within the enterprises. The third one is knowledge application stage; implicit knowledge is used for the innovation program. The last one is knowledge requiring stage; lacking knowledge correspond to the innovation leads the next circulation. Secondly, according to the knowledge character of enterprises core competence, it analyzed the inter reaction between knowledge management and core competence. And then it analyzed the inter reaction between the cooperative innovation and core competence from core competence rigidity and knowledge cooperation surplus two aspects. At last this thesis gives the unitary model for the interaction among knowledge management, core competence and cooperation innovation. The process of knowledge transforming applying and innovating embodies in the strategy and innovation activities. At the same time core competence accelerates the compromising of innovation, which does good to the knowledge accumulation. So, the essence of cooperation innovation is application and extension for the enteprises’knowledge. Knowledge management, core competence and cooperation innovation react each other, they build the knowledge transforming process and promote the knowledge further accumulation. In accordance with the game theory methods this thesis analyzed the external behavior of cooperative innovation based on knowledge management. By means of cooperative and competitive bi-directional game analysis, it deeply studied on internal co-competitive character of cooperative innovation. This thesis built a game model with three participants and three action periods based on d’Aspremont’s game model. In the first period, the enterprises need to decide to compete or cooperate; in the second period, the enterprises should make a decision on the research investment; in the last period, they choose the products amount and maximize the benefit. This model mainly explained some aspects’activity, for example, technology diffusing and transferring. The result we get are: knowledge diffusing is very important for the enterprises to choose coopartion innovation or not. Which strategy can help enterprise to achieve more advantage technology, the company will choose that one. During the cooperation process, the more nearly the cooperation member communicated, the less investment for innovation needed. But the enterprise who has advantage technology will invest less in R&D compare with those have no advantages. Furthermore, the thesis analyzed the cooperative innovation mode selection and benefit distribution. We find the distribution parameter depends on the core technology superiority, and when it invest more it will get more, otherwise it is nor fair to the other members.
This thesis also built a relevant index system and evaluate model corresponding to the different evaluated objects. It includes 38 indexes. And we used the AHP method to confirm the index weight and used empirical example tested and verified furtherly.
And then this thesis introduced various risks of cooperative innovation respectively, and according to the time schedule of cooperation it set up a risk control mechanism.It introduced foreign cooperative innovation policies, including Japan, US and EU; it further gave some suggestions for the homeland government and enterprises.
引文
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109 Pastor, Maite, Sandonis, Joel. Research joint ventures vs. cross licensing agreements: an agency approach[J].International Journal of Industrial Organization, Elsevier,2002,Vol.20(2),pp.215-249.
110方厚政.企业合作创新的模式选择和组织设计研究.[D]上海:上海交通大学安泰经济与管理学院,2006。
111 Tao, Z.& Wu, C..On the Organization of Cooperative Research and Development: Theory and Evidence. International Journal of Industrial Organization,1997,15: 573-598.
112王安宇.合作研发组织模式选择与治理机制研究。[D]上海:复旦大学管理科学系,2002。
113张于心,智明光。综合评价体系和评价方法[J]。北方交通大学学报,1998(3):392-400。
114许树柏。实用决策方法—层次分析法原理[M]天津:天津大学出版社。1988:5-10
115 Steers, R.M. (1975). Problems in the measurement of organization effectiveness. Administrative Science Quarterly, 20 (December): 546-558
116张清辉,张爱;合作技术创新风险分析[J];经济师; 2003年12期
117 Ruggles, R. (1998). The state of the notion: knowledge management in practice. California Management Review, 40(3), 80-90.
118 Donoghue, L. P., J. G. Harris, B.A. Weitzman (1999), The Knowledge Management Strategies which Create Value, Andersen Consulting Outlook, 1.
119 Mjoen H , Tallman S; Control and performance in international joint ventures [M];0rganization Science; 1997年. 8
120吴贵生.技术创新管理.清华大学出版社.2000年2月
121魏江;企业技术能力研究的发展与评述[J];科学管理研究; 2000年05期; 22-25+35
122 Mayer, R. C., Davis, J. H., & Schoorman, F. D. (1995). An integration model of organizational trust. Academy of Management. The Academy of Management Review, 20(3), 709-734.
123 Gambetta, Diego,“Can We Trust Trust?”, in Gambetta, Diego (ed.) Trust: Making and Breaking Cooperative Relations, Blackwell Publishers, 1990, pp.213-237
124 Farok J Contractor, R Wonchan. How knowledge attributes influence alliance governance choices: A theory development note [ J]. Journal of International Manage-ment, 2002, 8: 11-27.
125 Cohen, W.M. and D.A. Levinthal (1990). Absorptive capacity: A new perspective on learning and innovation. Administrative Science Quarterly, 35 (1), 128-152.
126 Daft, L. & R. Lengel, (1986). Organizational Information Requirements, Media Richness and Structural Design, Management Science, 32(5), 554-571.
127 Brouthers K D. Brouthers L E. Wilkinson T J. Strategic Alliances: Choose your partners [J]. Long Range Planning.1995.25(3):18-25
128David Faulkner. International Strategic Alliance: Co-operating to Compete. McGraw-Hill Book Company.1994[M].
129 Georghiou,L.(2001) Evolving Frameworks for European Collaboration in Research and Technology. Research Policy, Vol. 30, No. 6. (June 2001), pp. 891-903.
130 Regina Gusmao (2000),Developing and Using indicators of multilateral S&T cooperation for policy making. Scientometrics,Vol.47.No.3,p.49a
131产业联盟—从内部走向外部的合作创新,科技日报,2006年1月26日
132刘鹤主.国外产业技术政策比较研究[M].北京:中国计划出版社,1999年
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2Kogut B. Joint ventures: Theoretical and empirical perspectives [J].Strategic Management Journal, 1988, (9) : 319 -332.
3 Horton.F.W. Information resources management: concept and cases,Ohio: Association for Systems Management Press,1979
4 Bassi, LJ (1997). Harnessing the Power of Intellectual Capital. Training and Development, 51 (12), pp 25-30
5 Wiig,Karl M. Knowledge management: where did it come from and where will it go?[ J]. Expert Systems with Applications Volume: 13,Issue:1,July,1997,PP 1-14
6 Carl Frappuolo. Defining Knowledge Management. Computer World,1998
7 Nonaka I. Takeuchi H. The Kowledge-Creating Company[M].Newyork: Oxford University Press,1995:75
8 Rob van der Spek, Josef Hofer-Alfeis, et al The Knowledge Strategy Process, The handbook on Knowledge Management, Published by Springer-Verlag, Herdelberg, 2002.
9 Hansen M T, Nohria N, Tierney T. What's your strategy for managing knowledge? [J]. Harvard Business Review, 1999,(2):106-116.
10乌家培;谈信息经济与知识经济[J];情报资料工作; 1998年04期
11邱均平.论知识经济中的知识管理及其实施,图书情报知识,1999(3)
12盛小平.国内知识管理研究综述.中国图书馆学报,2002(3)
13潘芳莲.浅谈知识管理的特点.情报科学,2000,(7):584-587.
14王如富.知识管理的职能及其与组织学习的关系.科研管理. 1999年20卷4期
15徐勇.知识管理的新趋势.南方经济.1999年9期
16 Sakakibara, M..Heterogeneity of firm capabilities and cooperative research and development: an empirical examination of motives. Strategic Management Journal,1997, 18:143-164.
17 H?usler, J., Hohn, H.-W., Lütz, S. (1994), Contingencies of Innovative Networks: A Case Study of Successful Inter-firm R&D Cooperation, Research Policy, 23: 47–66.
18 Bayona Cristina, la-Marco Teresa Garc, Huerta Emilio. Firms’motivations for cooperative R&D: an empirical analysis of Spanish firms [J]. Research Policy, 2001,30: 1289-1307.
19 Shing, K. (1997), The Impact of Technological Complexity and Inter-firm Cooperation on Business Survival, Academy of Management Journal, 40 (2): 339–367.
20 Kogut, B., Joint Ventures: Theoretical and Empirical Perspectives. Strategic Management Journal, 1988, 9: 319– 332
21 Das,T.K., Teng, B.S..A Resourse-based Theory of Strategic Alliance. Journal of Management, 2000,26(1):31-60
22 Pisano, Gary P. (1990), The R and D Boundaries of the firm: a empirical analysis. Administrative Science Quarterly , 35, 153 - 76.
23 Hamel, G. (1991). Competition for competence and inter-partner learning within international strategic alliances. Strategic Management Journal, 12, Summer, 83-103.
24 RoBerts & Berry (1985).Entering new Business: selecting Strategies for success. Sloan Management Review, 47, p80.
25 Nakamura, M., Research Alliances and Collaborations: Introduction to the Special Issue. Management and Decision Economics,2003,24:47-49
26 Teece, D. J. (1980), Economies of scope and the scope of the enterprise, Journal of Economic Behavior and Organization, 1(3), 223–247
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44 Banerjee S,Lin P.Vertical Research Joint Ventures. International Journal of Industrial Organization, 2001, 19: 285-302
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