知識轉(zhuǎn)移的基本理論

1、第二組期末論文第一部分知識轉(zhuǎn)移的基本理論趙春宏引言隨著知識經(jīng)濟(jì)的到來，知識成為最重要的生產(chǎn)要素。知識轉(zhuǎn)移作為知識管 理的一部分，已成為企業(yè)取得競爭優(yōu)勢的基礎(chǔ)，而知識轉(zhuǎn)移的效果與效率直接影 響一個組織的生存與發(fā)展。因此，研究知識如何在不同的個體、團(tuán)隊和組織之間 流動轉(zhuǎn)移，成為當(dāng)前知識管理研究領(lǐng)域的一個熱點。本文試從知識轉(zhuǎn)移的概念、 分類、過程和影響因素這四個方面，總結(jié)一些學(xué)者關(guān)于知識轉(zhuǎn)移研究的主要觀點， 重點梳理一些學(xué)者在知識轉(zhuǎn)移領(lǐng)域所取得的研究成果。一、知識轉(zhuǎn)移的概念1977年Teece1提出了知識*移的思想,認(rèn)為企業(yè)通過技術(shù)的國際轉(zhuǎn)移,能 積累起大量跨國界應(yīng)用的知識。在此后的研究中，知識轉(zhuǎn)移

2、逐漸成為了知識管理 的一個熱點，有許多學(xué)者都對知識轉(zhuǎn)移做出了解釋，并常常與知識共享、知識擴(kuò)散等概念相關(guān)聯(lián)。Jensen和Meckling 2解釋知識轉(zhuǎn)移時認(rèn)為,知識轉(zhuǎn)移包括存儲 知識、處理知識的能力和知識輸入、輸出大腦的途徑。Szulanski3認(rèn)為知識轉(zhuǎn)移是指知識跨組織或個體邊界的有目的、有計劃的知識共享；這里， Szulanski把 知識轉(zhuǎn)移視為一種特殊的知識共享機(jī)制。Davenport和Prusak4認(rèn)為知識轉(zhuǎn)移包括知識傳遞(擴(kuò)散)和知識吸收(應(yīng)用)兩個過程；其中，接收知識意味著對信息的 充分理解并能夠據(jù)此采取行動。如果知識沒有被吸收，那么這一知識就不能說已 經(jīng)轉(zhuǎn)移了 ；提供知識并不代表

3、轉(zhuǎn)移知識。Holtham指出知識轉(zhuǎn)移是一種溝通的 過程，知識不像商品可以自由傳遞，學(xué)習(xí)知識的時候，即知識轉(zhuǎn)移時，必須有 重建的行為，而且要具備應(yīng)有知識，才能完成轉(zhuǎn)移。由此，可以看出，知識轉(zhuǎn)移 涉及到知識發(fā)送方和知識接收方兩個主體，客體是知識，客觀條件是傳輸?shù)耐?徑，目標(biāo)是能夠利用知識來指導(dǎo)行為。從以上學(xué)者對知識轉(zhuǎn)移(Knowledge Transfei)的理解，我們有必要對知識共 享(Sharing)、知識轉(zhuǎn)移(Transfer)、知識擴(kuò)散(Dissemination) 這三個概念做一 區(qū)分：Davenport認(rèn)為，知識轉(zhuǎn)移=知識擴(kuò)散+知識吸收；知識擴(kuò)散只涉及到知識 提供者發(fā)送知識，而未包括接

4、收者對知識的吸收和應(yīng)用。另外，知識轉(zhuǎn)移比較強(qiáng)調(diào)由組織主導(dǎo)、較正式、有明確知識目標(biāo)，以及提供者與接受者有明確的流動方 向類型的知識流動；而知識共享比較強(qiáng)調(diào)非正式、 水平式、自由式和個人平等的 學(xué)習(xí)。二、知識轉(zhuǎn)移的分類從所轉(zhuǎn)移知識的類型，將知識劃分為顯性知識和隱性知識， 知識轉(zhuǎn)移可分為 隱性轉(zhuǎn)移和顯性轉(zhuǎn)移。根據(jù)知識存在的層次，可以分為個體、團(tuán)隊和組織三個層 次，知識轉(zhuǎn)移就發(fā)生在個體與團(tuán)隊之間、個體與組織之間、團(tuán)隊與組織之間、組 織與組織之間以及個體之間、團(tuán)體之間、組織之間。Nancy M. Dixon6對團(tuán)隊與團(tuán)隊之間的共有知識的轉(zhuǎn)移做了分類。Nancy M. Dixon首先對共有知識做了定義：即

5、員工從完成公司的任務(wù)中學(xué)到的知識，共有知識是know-hoW勺知識，而不是從學(xué)校學(xué)到“ know what”知識，然后利用誰是預(yù)期的知識接受者、任務(wù)的性 質(zhì)、被轉(zhuǎn)移知識的類型等標(biāo)準(zhǔn)提出了知識轉(zhuǎn)移的五種類型：連續(xù)轉(zhuǎn)移(SerialTransfer)、近轉(zhuǎn)移(Near Transfer)、遠(yuǎn)轉(zhuǎn)移(Far Transfei) 戰(zhàn)略轉(zhuǎn)移(Strategic Transfer) 專家轉(zhuǎn)移(Expert Transfer) 0這五種類型的區(qū)分如 表1 :表1、五種類型的知識轉(zhuǎn)移連續(xù)轉(zhuǎn)移近轉(zhuǎn)移遠(yuǎn)轉(zhuǎn)移戰(zhàn)略轉(zhuǎn)移專家轉(zhuǎn)移定義一個團(tuán)隊從某一背 景下完成任務(wù)中所得到的知識，被轉(zhuǎn)移 到團(tuán)隊下一次在不 同背景下完成同樣任

6、務(wù)中一個團(tuán)隊長期從 事的重復(fù)性工作 中獲得的顯形知 識，被其他從事非 正常類似的工作團(tuán)隊再次使用轉(zhuǎn)移一個團(tuán)隊在 從事一種非常規(guī) 的工作時獲得的隱形知識，讓組織 內(nèi)從事類似工作 的別的團(tuán)隊得到完成一項不經(jīng) 常發(fā)生，但對整個組織非常重 要的戰(zhàn)略任務(wù) 所需要的組織的集體知識一個遇到超 出知識范圍 技術(shù)問題的 團(tuán)隊，在組織 中尋求他人經(jīng)驗任務(wù)和 背景相 似性知識接受方(也是知 識發(fā)送方)在新背景 下完成相似的任務(wù)知識接受方所執(zhí) 行的任務(wù)和發(fā)送 方執(zhí)行的任務(wù)相 似，且是在相似背 景下接受方所從事的工作和發(fā)送方的工作性質(zhì)相似，但 背景不同接受方執(zhí)行一 項影響整個組 織的任務(wù)，與發(fā)送方背景不同接受方與發(fā) 送

7、方執(zhí)行不 同的任務(wù)，但 有相似的背景任務(wù)的 性質(zhì)經(jīng)常性，非常規(guī)經(jīng)常性，常規(guī)經(jīng)常性，非常規(guī)不經(jīng)常發(fā)生，非 常規(guī)常規(guī)，但很少 發(fā)生知識的 類型隱形知識，顯形知識顯形知識隱形知識隱形知識，顯形 知識顯形知識舉例一個發(fā)電機(jī)更換團(tuán) 隊更換化工廠的發(fā) 電機(jī)。當(dāng)更換精煉廠 的發(fā)電機(jī)時，團(tuán)隊使用來自化工廠工作 所形成的知識亞特蘭大一家汽 車總裝廠的一個 團(tuán)隊發(fā)明了怎么 在10秒鐘內(nèi)安裝剎車裝置。位于芝 加哥的一個團(tuán)隊 運(yùn)用該知識將時 間縮減了 15秒鐘英國石油的同行幫助：同行們從世界各地趕來幫助 一個團(tuán)隊研究一個特殊的石油勘探場地。這種合作提供了解決問題 的新方法一個公司并購了 ABC公司，6 個月后另外一

8、個地方的另外一個公司，使用 在ABC項目上 所學(xué)知識來并購DEF技術(shù)人員向 網(wǎng)絡(luò)發(fā)郵件， 詢問如何增 加年久的監(jiān) 視器的亮度， 7位專家給出 了答案三、知識轉(zhuǎn)移的過程基于對知識轉(zhuǎn)移過程的現(xiàn)實觀察，許多學(xué)者提出了有關(guān)知識轉(zhuǎn)移的模型， 其 中Hanse認(rèn)為知識轉(zhuǎn)移包括搜索和轉(zhuǎn)移兩階段，較為著名的是SzulanskP在1996年提出的四階段模型。模型如圖1,首先是初始階段，主要是識別有價值的知識， 并決定是否轉(zhuǎn)移該知識；其次是實施階段，雙方建立起適合知識轉(zhuǎn)移的渠道，提供 方向接受方傳遞知識；再次是調(diào)整階段，主要是接受方對于被轉(zhuǎn)移的知識進(jìn)行調(diào) 整，并能夠在新的情境中應(yīng)用。最后是整合階段，接受方通過制度

9、化將獲得的新知 識融合成為自身的規(guī)范或習(xí)慣。初始*在Szulansk研究的基石上，對Szulansk的模型進(jìn)行了重新修改，Kwan and Cheung8在2006年提出了新的四階段模型。如圖2所示模型間的轉(zhuǎn)換對應(yīng)關(guān)系、 新的四階段模型。其中，將Szulansk的模型的開始階段分為動機(jī)和匹配階段；實 施和調(diào)整階段合并為實施階段，因為這兩個階段的決定因素很大程度上是相似 的；最后的階段定義為保持階段，是為了解釋知識貶值(Argote, 1999 )的現(xiàn)象并且反映通過知識轉(zhuǎn)移來反映企業(yè)達(dá)到可持續(xù)績效的重要性；另外，Kwan andCheung為動機(jī)與匹配是一個反復(fù)的過程(模型中用雙箭頭表示)，這樣

10、更好地描 述了實踐中的知識轉(zhuǎn)移過程。圖2-Szulanfki 模型一Kwan and Cheung 模型+,四、知識轉(zhuǎn)移的影響因素Szulanski從內(nèi)部知識粘性入手細(xì)分了從提供方到接受方進(jìn)行轉(zhuǎn)移的四個階 段，同時又鑒別了影響知識轉(zhuǎn)移的四類因素：知識特性、知識發(fā)送方、知識接收 方和轉(zhuǎn)移環(huán)境。知識特性：知識的模糊性程度會影響知識轉(zhuǎn)移的方式和效果。 顯性知識相對 來說轉(zhuǎn)移效率高；隱性知識更多的只能通過個人之間的面對面的溝通交流來實 現(xiàn)，很難有效的提高轉(zhuǎn)移效率。知識發(fā)送方：知識轉(zhuǎn)移的發(fā)生，首先要有一個愿意共享的知識源的存在。 知 識發(fā)送發(fā)是否有動機(jī)與他人共享知識，是自發(fā)的愿意共享還是來自外力的驅(qū)動。

11、 例如，跨國公司中分部與分部之間的知識轉(zhuǎn)移包括分部與分部之間自發(fā)的知識轉(zhuǎn) 移，還有在總部調(diào)動下分部之間的知識轉(zhuǎn)移。知識接收方：從知識發(fā)送方獲取知識的愿望和學(xué)習(xí)能力是影響知識轉(zhuǎn)移效果 的重要因素。轉(zhuǎn)移環(huán)境：包括企業(yè)的組織結(jié)構(gòu)、企業(yè)文化和制度安排等方面。 有些組織結(jié) 構(gòu)形態(tài)支持某些知識的傳播而另一些則妨礙知識的轉(zhuǎn)移。另外，知識轉(zhuǎn)移中兩主體的關(guān)系、兩主體特征的相似度、知識的相容性等也 會影響知識轉(zhuǎn)移的效果。五、結(jié)論和評述知識經(jīng)濟(jì)凸顯了知識的重要作用，而現(xiàn)代科技所表現(xiàn)出的高度分化和高度綜 合的特點，決定了任何單一組織都難以同時具備創(chuàng)新所需要的知識和能力。同時,全球性市場競爭的高度不確定性，高技術(shù)研發(fā)的

12、高投入和高風(fēng)險特點，技術(shù)壽命 周期的不斷縮短，也促使企業(yè)尋找各種途徑，與其他組織進(jìn)行合作，獲取知識，協(xié) 同創(chuàng)新。因而知識轉(zhuǎn)移研究是當(dāng)今知識管理領(lǐng)域的研究熱點。Teece ,D. Technology transfer by multinational firms : the resource cost of transferring technological know - howJ . The Economic Journal ,1977 ,(87) :242 - 261.Jensen MC, Meckling W H. Specific and general knowledge, and

13、 organizational structureA.In Paul S. Myers(Ed.), Knowledeg management and organizational design C.Newton, MA: Butterworth- Heinemann,1996: 17- 37.Szulanski , G. Exploring internal stickiness : Impediments to the transfer of best practice within the firmJ . Strategic Management Journal (special issu

14、e) ,1996 , (17) :27 - 44.Thomas H Davenport. Working knowledge: how organizations manage what they know M.Harvard Business School Press ,1998.Holtham Clive, Courtney Nigel. Developing managerial learning styles in the context of the strategic application of information and communications technologie

15、sJ. International Journal of Training & Development, 2001, 5(1):22- 34.Dixon N M. Common knowledge: how companies thrive by sharing what they know M.Harvard Business School Press,2000.Szulanski, G, Exploring Internal Stickiness: Impediments to the Transfer of Best Practice Within the Firm. Strategic

16、 Management Journal, 1996. 17: p. 27-43Kwan, M. M. and P.-K. Cheung (2006). The Knowledge Transfer Process: From Field Studies to Technology Development. Journal of Database Management 17：16-32.第二部分Knowledge Transfer in Multi-National CorporationsWeiting Chen 陳煒婷Management Science 0610628095Introduc

17、tionUnder the international dynamic competitive background, knowledge is considered the most valuable strategic resource which generates continuous competitive advantages. For enterprises, the development and maintenance of its competitive advantages depend on its capability to manage its knowledge,

18、 i.e. capability to create, transfer, use and protect its knowledge capital. Most researchers believe that the reason why Multi-national Corporations (MNCs) exist and develop is that MNCs themselves are effective mechanisms of creating and transferring knowledge among nations. Therefore, the knowled

19、ge management and knowledge transfer among MNCs have become subjects of ample international research recently 1.Knowledge transfer and knowledge managementThere are various kinds of knowledge transfer definition. To sum up, they can be divided into three categories.The first category emphasizes the

20、transfer of the knowledge content. For example, researchers abroad apply the simple transfer method to give the definition of the organizational knowledge transfer between the knowledge sources and recipients 2. According to Garavelli etc.3, codification and interpretation are the main cognitive pro

21、cesses involved in knowledge transfer, while codification and interpretation represent upstream and downstream of knowledge transfer respectively. Knowledge objects, constructed through codification, are explained to users by cognitive systems.The second one highlights the profits of sources and rec

22、ipients of knowledge transfer. Knowledge transfer in organizations is the process through which one unit (e.g., group, department, or division) is affected by the experience of another 4. Darr and Kurtzberg 5, go further by arguing that knowledge transfer has occurred when a contributor shares knowl

23、edge that is used by adopter, which differs from others that equate knowledge transfer simply with sharing.Xiaoying Dong 6 also points out that only when new changes occur in the transfer process can the organizational capability of recipients be enhanced actually.The third one combines the above tw

24、o points, which stresses not only the transfer process but also the application and profits. Knowledge transfer is not simply the transfer channels but indeed the innovation process through acquisition and assimilation. According to Dong-Gil Ko, Laurie J. Kirsch etc. 7, knowledge transfer is defined

25、 as the communication of knowledge from a source so that it is learned and applied by a recipient.In comparison, the third category is more comprehensive. Knowledge transfer is accompanied by both the value transfer and the corresponding profits.Knowledge management is a wider concept, which means a

26、 systematic method to create, store, transfer and use knowledge. Knowledge transfer and knowledge management is interconnected. In the knowledge competition, the contradiction between the infinite knowledge and limited knowledge storage of units highlights the importance of knowledge transfer in the

27、 overall knowledge management system. As literature and empirical evidence suggests, knowledge transfer is considered a key process in knowledge management especially at international level.Micro-perspective: Knowledge flows in MNCsKnowledge flows are the vectors of knowledge transfer. From the micr

28、o-perspective, it is investigated through two ways: knowledge flow networks and knowledge flow channels 1.Knowledge flow networksThe headquarters and subsidiaries of MNCs are interconnected as network systems, with each being a node. There are several types of knowledge flow in terms of geographic c

29、haracteristics: first, flows among subsidiaries due to the difference in knowledge stock between each subsidiary. This can happen because of self-organized activities among subsidiaries, or intentional control from headquarters. Second, flows among subsidiaries and headquarters. Knowledge transferre

30、d from headquarters to subsidiaries is more synthesized, while the reverse transfer from high-level subsidiaries to headquarters may propel headquarters to develop knowledge creation and integration. Third, flows among units of MNCs (including headquarters and subsidiaries) and host countries, which

31、 are affected by units capability of learning, exploring and exploiting local recourses Fourth, flows among units of MNCs and other countries.Moreover, it is important to note that the extent of knowledge transfer in terms of output and input within a MNC also depends on the different roles of its a

32、ffiliated company 8. The main characteristics of these roles are the following: First, role of global innovator generates high output flow, low input flow. The affiliated company acts as a source of knowledge for other units. Second, role of integrated player generates high output flow and high inpu

33、t flow. Its role is similar to that of the global innovator, but is also implies a responsibility to create knowledge capable of being used by other affiliated companies. It differs in that it is not self-sufficient in the satisfaction of its own knowledge necessities. Third, role of implementer gen

34、erates low output flow and high input flow. It relies on input flows coming from headquarter or the affiliated companies. For this reason, it creates little knowledge by itself. Fourth, role of local innovator generates low output flow and low input flow. The affiliated company takes total responsib

35、ility for the creation of a relevant know-how. Nevertheless, this knowledge is considered to idiosyncratic to have a competitive use out of the country where the affiliated company is located.From other point of views 1, knowledge transfer is interwoven with competitive flows andco-operative flows,

36、where integration, substitution and transplant exist together under the guidance of intentional planning and coordination supplemented with unintentional self-organized operation. Moreover, the knowledge flows within MNCs contain multilateral relation among affiliated individuals and organizations.K

37、nowledge flow channelsThe process of knowledge transfer is realized through channels, which affect the quality and quantity of knowledge transferred 1.The effect of knowledge transfer should be analyzed comprehensively in terms of aspects such as sphere, depth, speed, cost and profits of knowledge t

38、ransfer etc. These depend on the following factors 1:First, the characteristics of knowledge. Explicit and tacit knowledge have huge difference in aspects of transfer media, method, and cost etc. As tacit knowledge character increases, this knowledge becomes less teachable, less codifying, and then

39、less transferable. This knowledge transference is complex and difficult for several reasons, among which the following stand out 8: complex nature; acquisition by means of experience, test and error method; teaching and learning, if possible, is developed by demonstration, observation, imitation and

40、 feedback these activities need close personal contact for a long period of time; organizational learning generates tacit knowledge that is collective and even more difficult to transfer; and although expatriate staff can serve as a substitute for tacit knowledge transference, it becomes a costly pr

41、ocess, because this knowledge might be collective and needs the transference of a large amount of individuals from the headquarter, which might not be practical or even possible.Second, sources and recipients in knowledge transfer. The effectiveness of knowledge transfer depends to some extent on th

42、e strength of the tie between the source and recipient, which is reflected in the ease of communication and in the “intimacy of their overall relationship 9. An arduous relationship might increase the effort needed to resolve transfer-related problems. The eventfulness of the knowledge transfer is a

43、lso likely to depend on the dispositions and abilities of the source and recipient. The motivation of the source may be affected by an incentive to compete or collaborate with the recipient and by the effort required to support the transfer. Furthermore, the source may not be perceived as reliable.

44、A capable and trustworthy source is more likely to influence the behavior of the recipient. Likewise, the recipient may be more or less motivated to seek or accept knowledge from the outside. Lack of motivation may result in procrastination, passivity, feigned acceptance, sabotage, or outright rejec

45、tion in the implementation and use of new knowledge. Recipients may also vary in their absorptive capacity their ability to exploit outside sources of knowledge. Furthermore, to reap the rewards of a transfer, recipients must be able to discard old practices and sustain new ones. Evidence from studi

46、es of innovation, planned organizational change, and organizational learning suggests that the challenge of abandoning old ways of doing things and of preserving new ones can be significant 9.Finally, the organizational context where the transfer is embedded may affect the eventfulness of the transf

47、er. Ultimately, the organizational context affects the willingness and ability of organizational subunits to complete transfer related tasks. Its influence occurs through norm and value setting, through fiat or incentives, and through counsel and support. An organizational context that facilitates t

48、he inception and development of transfers is frequently referred to as fertile . In contrast, a context that hinders the gestation and evolution of transfers is said to be barren . In a barren organizational context,transfer related problems are more difficult to resolve 9.Macro-perspective: Environ

49、ment of MNCsThe very existence of a MNC lies in its ability to internalize externalities by putting together local and international resources and activities at a more efficient rate than markets do. Therefore, the characteristics of host countries (including natural resources, labor resources, geog

50、raphic environment, technologic level, political and economic policies, market size, infrastructure, policies of import, export and tax, etc) have great impact on knowledge transfer in MNCs.Followed are the main factors that have been widely discussed in research 1.First, social capital is considere

51、d the lubricant during the knowledge transfer, which provides development platform for knowledge communication network. Knowledge exists in social relations among cooperating units of a community without fixed boundaries. The close social ties build confidence and trust among units, propelling them

52、to construct knowledge alliances.Second, industry cluster is defined as the geographic cluster gathered by the interconnection network of different sizes of co-operative enterprises and organizations. Most MNCs which have intensified R&D are based on industry cluster.Third, cross-culture management

53、is very important. Cultural differences may create bottlenecks that either impede or eliminate the potential for successful knowledge transfer. Lack of culture integration or even contradiction of cultures will make the subsidiaries deviate from their headquarters, which gives great discount on the

54、effectiveness of internal knowledge transfer. Using Hofstedes cultural distance of power distance, individualism/collectivism, uncertainty avoidance, and masculinity/femininity, it is argued that the location of subsidiaries along each of these cultural dimensions will significantly impact the possi

55、bility of knowledge transfer between subsidiaries 10.Individualism/collectivism (IC) is the degree to which self-interest. It reflects the concerns of individuals with their own well-being versus the well-being of others.Power distance (PD) is based on peoples perception of inequality. It reflects t

56、he non-symmetrical nature of relationships that may exist between subsidiaries.Uncertainty avoidance (UA) is the reluctance to deal with ambiguity and is directly related to the willingness to embrace change.Masculinity/femininity (MF) is the willingness to promote societal values. In masculine cult

57、ures, there is a preference for assertiveness. Priority is given to results and rewards which are based on ambition and competitiveness. In feminine cultures, assertiveness is downplayed and differences are resolved through compromise and negotiation.What should be taken into account is that countri

58、es and their cultures evolve over time 10. Anecdotal evidence suggests that many MNCs are locating their subsidiaries in areas where there are a significant number of individuals with prior exposure to other cultures. Therefore, changes in the societys culture will affect how knowledge transfer goal

59、s are achieved.Intra-MNC knowledge transferBased on the previous analysis, the knowledge transfer within MNCs subsidiaries can be investigated through the following model, which includes factors of operational structure, integrative mechanisms and subsidiary control mechanisms 11. According to the e

60、mpirical research 11, these factors are significant under the significant level of 0.05.Operational structureSubsidiaries operate within an operational structure of relationships and links to other units.This operational structure is constituted by the actual physical and transactional flow between