A Review on the Technology Transfer Models ... - EuroJournals
A Review on the Technology Transfer Models ... - EuroJournals
A Review on the Technology Transfer Models ... - EuroJournals
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European Journal of Social Sciences – Volume 10, Number 4 (2009)<br />
A <str<strong>on</strong>g>Review</str<strong>on</strong>g> <strong>on</strong> <strong>the</strong> <strong>Technology</strong> <strong>Transfer</strong><br />
<strong>Models</strong>, Knowledge-Based and Organizati<strong>on</strong>al Learning<br />
<strong>Models</strong> <strong>on</strong> <strong>Technology</strong> <strong>Transfer</strong><br />
Sazali Abdul Wahab<br />
Graduate School of Management, Universiti Putra Malaysia<br />
43400 Selangor, Malaysia<br />
E-mail: saw639@gmail.com<br />
Raduan Che Rose<br />
Faculty of Ec<strong>on</strong>omics & Management, Universiti Putra Malaysia<br />
43400 Selangor, Malaysia<br />
E-mail: rcr@putra.upm.edu.my<br />
Jegak Uli<br />
Faculty of Educati<strong>on</strong>al Studies, Universiti Putra Malaysia<br />
43400 Selangor, Malaysia<br />
E-mail: jegak@ace.upm.edu.my<br />
Haslinda Abdullah<br />
Faculty of Ec<strong>on</strong>omics & Management, Universiti Putra Malaysia<br />
43400 Selangor, Malaysia<br />
E-mail: hba@putra.upm.edu.my; drhaslinda@gmail.com<br />
Abstract<br />
The main objective of this paper is to c<strong>on</strong>tribute to <strong>the</strong> existing <strong>Technology</strong> <strong>Transfer</strong> (TT)<br />
literature by reviewing <strong>the</strong> evoluti<strong>on</strong> and development of <strong>the</strong> previous TT models which<br />
include <strong>the</strong> traditi<strong>on</strong>al TT model, models developed after 1990s, o<strong>the</strong>r related <strong>the</strong>oretical<br />
foundati<strong>on</strong>s underlying TT models, and <strong>the</strong> current TT models which have str<strong>on</strong>g influence<br />
of knowledge-based view (KBV) and organizati<strong>on</strong>al learning (OL) perspectives. Since <strong>the</strong><br />
current management researchers have a str<strong>on</strong>g focus <strong>on</strong> TT within strategic alliance and<br />
o<strong>the</strong>r collaborative ventures, this review highlights <strong>the</strong> significant influence of KBV and<br />
OL perspectives <strong>on</strong> inter-firm TT models. This review attempts to help stimulate <strong>the</strong><br />
directi<strong>on</strong> of both future <strong>the</strong>oretical and empirical studies <strong>on</strong> inter-firm technology transfer<br />
specifically 1) <strong>on</strong> how KBV and OL perspectives could play significant role in explaining<br />
<strong>the</strong> complex relati<strong>on</strong>ships between <strong>the</strong> supplier and recipient in inter-firm technology<br />
transfer 2) <strong>the</strong> tradeoffs that involve between properties of technology, protecting<br />
proprietary technologies, competitiveness of <strong>the</strong> supplier, willingness to transfer<br />
technology, and learning attitudes of <strong>the</strong> recipient in strategic alliances and JVs, and 3) <strong>on</strong><br />
how KVB and OL perspectives could be integrated in a holistic model to explain <strong>the</strong><br />
relati<strong>on</strong>ships between knowledge transferred, <strong>the</strong> recipient, <strong>the</strong> supplier, relati<strong>on</strong>ship<br />
characteristics and degree of technology transfer.<br />
Keywords: <strong>Technology</strong> <strong>Transfer</strong> <strong>Models</strong>, Knowledge-Based View, Organizati<strong>on</strong>al<br />
Learning, Inter-Firm, Collaborative Joint Ventures.<br />
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1. Introducti<strong>on</strong><br />
Based <strong>on</strong> a review of literature, technology transfer (TT) is not a new thing. Researchers have traced<br />
back TT process to <strong>the</strong> pre-history of <strong>the</strong> human species: where TT largely involved tacit knowledge<br />
which is evoluti<strong>on</strong>ary prior to explicit knowledge (D<strong>on</strong>ald, 1991; Ma<strong>the</strong>ws and Roussel, 1997). As<br />
<strong>the</strong>re were no written languages until 3000 BC, TT had mainly occurred through language; which were<br />
supplemented by equati<strong>on</strong>s and diagrams which c<strong>on</strong>stitute as <strong>the</strong> major means of explicit transfer of<br />
technological knowledge (Gorman, 2002). The spoken language and gestures have explicitly<br />
transferred technological knowledge in friendly encounters. However, much of pre-historic TT<br />
between people occurred when people with superior agricultural technology assimilated or eliminated<br />
those who could not reproduce as rapidly (Diam<strong>on</strong>d, 1997).<br />
Segman (1989) who c<strong>on</strong>ducted a historical review of TT, traced <strong>the</strong> TT process from <strong>the</strong><br />
Neolithic times, <strong>the</strong> role of Arabs played in transferring technologies from East to West and <strong>the</strong><br />
transfer of English textile expertise to <strong>the</strong> American textile industry in <strong>the</strong> 18 th and 19 th Centuries. In<br />
<strong>the</strong> 18 th Century, despite <strong>the</strong> English law preventing knowledge migrati<strong>on</strong>, France eventually managed<br />
to obtain ‘specialized steel making know-how’ by importing English workers and through industrial<br />
espi<strong>on</strong>age. The success of <strong>the</strong> American textile industry in THE 18 th and 19 th Century was due to <strong>the</strong><br />
transfer of knowledge and expertise by <strong>the</strong> English textile industry (Camer<strong>on</strong>, 1960; Irwin and Moore,<br />
1991). Previous studies have shown that certain industries collapsed, for example <strong>the</strong> English clock and<br />
watch industry, due to <strong>the</strong> industry resistance to <strong>the</strong> opportunities of TT (Irwin and Moore, 1991). The<br />
main objective of this paper is to review <strong>the</strong> evoluti<strong>on</strong> and development of TT models in terms of focus<br />
of each model, strengths and limitati<strong>on</strong>s of <strong>the</strong> models, and finally to highlight <strong>the</strong> significance<br />
influence of knowledge-based view (KBV) and organizati<strong>on</strong>al learning (OL) perspectives, which have<br />
str<strong>on</strong>g <strong>the</strong>oretical foundati<strong>on</strong>, <strong>on</strong> <strong>the</strong> current TT models. This review limits its perimeter by focusing<br />
<strong>on</strong> <strong>the</strong> inter-firm TT between two unaffiliated organizati<strong>on</strong>s.<br />
2. Approaches to <strong>Technology</strong> <strong>Transfer</strong> (TT)<br />
Previous studies <strong>on</strong> TT have employed different approaches to shape and govern <strong>the</strong> TT efforts. TT as<br />
a domain covers all activities around technological development. Few TT models were developed after<br />
<strong>the</strong> World War II to govern <strong>the</strong> implementati<strong>on</strong> of TT activities and <strong>the</strong>ir applicati<strong>on</strong> to marketplace<br />
(Devine et al., 1987; Tenkasi and Mohrman, 1995). Am<strong>on</strong>g <strong>the</strong> traditi<strong>on</strong>al TT models developed were<br />
<strong>the</strong> appropriability model, disseminati<strong>on</strong> model, knowledge utilizati<strong>on</strong> model, and communicati<strong>on</strong><br />
model. In <strong>the</strong> 1970s studies have adopted “<strong>the</strong> ec<strong>on</strong>omic internati<strong>on</strong>al trade approach” in developing a<br />
linear model of TT (Bessant and Francis, 2005). In <strong>the</strong> 1980s research <strong>on</strong> TT emphasized <strong>on</strong> <strong>the</strong><br />
effectiveness of <strong>the</strong> specific technology being transferred which in general is within a broader c<strong>on</strong>text<br />
of ec<strong>on</strong>omic development (Hope, 1983). The 1990s approach emphasizes <strong>on</strong> <strong>the</strong> significance of<br />
learning at <strong>the</strong> organizati<strong>on</strong> level as a key element in facilitating technology transfer (Figuereido,<br />
2001).<br />
In late 1980s and early 1990s TT models have started to absorb <strong>the</strong> principles of <strong>the</strong><br />
organizati<strong>on</strong> development movement (French and Bell, 1995). Strategic management researchers have<br />
fur<strong>the</strong>r c<strong>on</strong>tributed to <strong>the</strong> development of TT frameworks based <strong>on</strong> KBV and OL perspectives as <strong>the</strong>se<br />
perspectives have been found to have quite similar dimensi<strong>on</strong>s such as outcomes, processes, barriers<br />
and facilitators (Daghfous, 2004). These perspectives have significantly c<strong>on</strong>tributed to <strong>the</strong> expansi<strong>on</strong> of<br />
TT models since literatures from both KBV and OL perspectives appear to subsume most of <strong>the</strong><br />
c<strong>on</strong>tributi<strong>on</strong>s of <strong>the</strong> TT literatures (Daghfous, 2004).<br />
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3. <strong>Technology</strong> <strong>Transfer</strong> <strong>Models</strong><br />
3.1. The Appropriability Model<br />
This model, which was developed in 1945-1950s, suggests that good or quality technologies sell<br />
<strong>the</strong>mselves (Gibs<strong>on</strong> and Slimor, 1991). The model emphasizes <strong>on</strong> <strong>the</strong> importance of quality of<br />
research, and competitive market pressure in achieving TT and promoting <strong>the</strong> use of research findings<br />
(Devine et al., 1987; Gibs<strong>on</strong> and Slimor, 1991; Tenkasi and Mohrman, 1995). According to this model,<br />
TT process simply occurs when technology has found users or has been discovered by <strong>the</strong> market.<br />
Purposive or deliberate TT mechanism is seen as unnecessary. This model assumes that after <strong>the</strong><br />
researchers develop <strong>the</strong> technology and make technologies available through various forms of<br />
communicati<strong>on</strong>s such as technical reports and professi<strong>on</strong>al journals, <strong>the</strong> users will “automatically show<br />
up at <strong>the</strong> researcher’s door” (Devine et al., 1987).<br />
Gibs<strong>on</strong> and Slimor (1991), in <strong>the</strong>ir three-level TT model, describe <strong>the</strong> first level (technology<br />
development level) as <strong>the</strong> most fundamental level; when technology process can be largely passive<br />
through mediated means such as research reports, journal articles and computer tapes. The underlying<br />
presumpti<strong>on</strong> of <strong>the</strong> appropriability approach is “viewing TT as <strong>the</strong> result of an automatic process that<br />
began with scientific research and <strong>the</strong>n moved to development, financing, manufacturing and<br />
marketing. [One] need not necessarily be c<strong>on</strong>cerned with linkages in <strong>the</strong> technology commercializati<strong>on</strong><br />
process” (Kozmetsky, 1990). However, previous studies have acknowledged that over <strong>the</strong> years<br />
evidence has shown that quality technologies do not usually sell well <strong>the</strong>mselves (Devine et al., 1987;<br />
Gibs<strong>on</strong> and Slimor, 1991).<br />
3.2. The Disseminati<strong>on</strong> Model<br />
This model, which was popularized by Rogers (1983) and Rogers and Kincaid (1982), is developed in<br />
<strong>the</strong> 1960-1970s (Gibs<strong>on</strong> and Slimor, 1991). This approach suggests <strong>the</strong> importance of technology and<br />
innovati<strong>on</strong> to be diffused or disseminated to <strong>the</strong> potential users by <strong>the</strong> experts (Williams and Gibs<strong>on</strong>,<br />
1990). This model assumes that an expert will transfer specialized knowledge to <strong>the</strong> willing user. The<br />
presumpti<strong>on</strong> underlying this model is that <strong>on</strong>ce <strong>the</strong> linkages are established, <strong>the</strong> new technology will<br />
move from <strong>the</strong> expert to <strong>the</strong> n<strong>on</strong>-expert “like water through a pipe <strong>on</strong>ce <strong>the</strong> channel is opened”<br />
(Williams and Gibs<strong>on</strong>, 1990; Gibs<strong>on</strong> and Slimor, 1991). Gibs<strong>on</strong> and Slimor (1991) describe this model<br />
as <strong>the</strong> sec<strong>on</strong>d level of <strong>the</strong>ir model; <strong>the</strong> technology acceptance level. Based <strong>on</strong> <strong>the</strong>ir model, this level<br />
includes <strong>the</strong> expert’s primary resp<strong>on</strong>sibility to select technology and ensure <strong>the</strong> technology is available<br />
to a receptor that can understand and potentially use <strong>the</strong> technology (Gibs<strong>on</strong> and Slimor, 1991).<br />
However, this model suffers from its <strong>on</strong>e-way communicati<strong>on</strong> (unilateral) characteristic with no<br />
involvement from <strong>the</strong> users (Devine et al., 1987; Gibs<strong>on</strong> and Slimor, 1991).<br />
3.3. The Knowledge Utilizati<strong>on</strong> Model<br />
This model, which was developed in late 1980s (Gibs<strong>on</strong> and Slimor, 1991), has a significant influence<br />
<strong>on</strong> TT literature (Szak<strong>on</strong>yi, 1990; Zacchea, 1992). The approach taken by this model is its emphasis <strong>on</strong><br />
1) <strong>the</strong> important role of interpers<strong>on</strong>al communicati<strong>on</strong> between <strong>the</strong> technology developers/researchers<br />
and technology users, and 2) <strong>the</strong> importance of organizati<strong>on</strong>al barriers or facilitators of TT. The<br />
knowledge utilizati<strong>on</strong> approach represents an evoluti<strong>on</strong>ary step which focuses <strong>on</strong> how to organize<br />
knowledge to effective use in <strong>the</strong> technology users setting (Backer, 1991). Gibs<strong>on</strong> and Slimor (1991)<br />
view this model as <strong>the</strong> third level in <strong>the</strong>ir model; technology applicati<strong>on</strong> level. This level is <strong>the</strong> most<br />
involved level of TT where it includes <strong>the</strong> profitable use of <strong>the</strong> technology in <strong>the</strong> market place as well<br />
as o<strong>the</strong>r applicati<strong>on</strong> such as intra-firm processes.<br />
While this approach indicates an appreciati<strong>on</strong> of <strong>the</strong> complexities of <strong>the</strong> TT, researchers have<br />
argued that <strong>the</strong> model suffers from a linear bias (Dimancescu and Botkin, 1986). The underlying<br />
presumpti<strong>on</strong> of this model is that technology moves “hand-to-hand” to <strong>on</strong>e directi<strong>on</strong>, unilaterally from<br />
<strong>the</strong> experts to <strong>the</strong> users, to become a developed idea and eventually a product (Gibs<strong>on</strong> and Slimor,<br />
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1991). This model reduces <strong>the</strong> complex transfer process to chr<strong>on</strong>ologically ordered stages (Gibs<strong>on</strong> and<br />
Slimor, 1991; Sung and Gibs<strong>on</strong>, 2000). The appropriability, disseminati<strong>on</strong> and knowledge utilizati<strong>on</strong><br />
models still suffer from inherent linear bias where <strong>the</strong>se TT models have limitati<strong>on</strong>s in terms of <strong>the</strong>ir<br />
limited applicati<strong>on</strong> in transferring technology across organizati<strong>on</strong>al boundaries (Tenkasi and Mohrman,<br />
1995; Gibs<strong>on</strong> and Slimor, 1991).<br />
3.4. The Communicati<strong>on</strong> Model<br />
Departing from <strong>the</strong> previous three models, several researchers have suggested that <strong>the</strong> communicati<strong>on</strong><br />
model as a replacement of <strong>the</strong> earlier TT models (Williams and Gibs<strong>on</strong>, 1990; Gibs<strong>on</strong> et al., 1990;<br />
Doheny-Farina, 1992). This model perceives TT as “a communicati<strong>on</strong> and informati<strong>on</strong> flow process<br />
with communicati<strong>on</strong> understood to be c<strong>on</strong>cerned with full exchange and sharing of meanings”. This<br />
model suggests technology as “an <strong>on</strong>-going process which involves a two-way interactive process<br />
(n<strong>on</strong>-linear) by c<strong>on</strong>tinuously and simultaneously exchanging ideas am<strong>on</strong>g <strong>the</strong> individuals involved”<br />
(Williams and Gibs<strong>on</strong>, 1990). C<strong>on</strong>sistent with this approach, o<strong>the</strong>r researchers view communicati<strong>on</strong><br />
model of TT follows <strong>the</strong> network communicati<strong>on</strong> paradigm; where feedback is all pervasive and <strong>the</strong><br />
participants in <strong>the</strong> TT process are transceivers ra<strong>the</strong>r than <strong>the</strong> sources and receivers (Gibs<strong>on</strong> and<br />
Slimor, 1991; Irwin and Moore, 1991).<br />
O<strong>the</strong>r researchers acknowledge that feedbacks help <strong>the</strong> participants in <strong>the</strong> transfer process to<br />
reach c<strong>on</strong>vergence about <strong>the</strong> important dimensi<strong>on</strong>s of <strong>the</strong> technology (e.g. Rogers, 1983). To overcome<br />
<strong>the</strong> obstacles and barriers to <strong>the</strong> transfer process, different sets of functi<strong>on</strong>s, activities, and network<br />
must occur simultaneously (Rogers, 1983; Kozmetsky, 1988a, 1988b). The communicati<strong>on</strong> model,<br />
which c<strong>on</strong>sists of characteristics such as two-way communicati<strong>on</strong>, interactive,<br />
interpers<strong>on</strong>al/organizati<strong>on</strong>al communicati<strong>on</strong>, helps to explain <strong>the</strong> failures of <strong>the</strong> previous TT strategies,<br />
which are based <strong>on</strong> <strong>on</strong>e-way unidirecti<strong>on</strong>al communicati<strong>on</strong>, and disseminati<strong>on</strong>/diffusi<strong>on</strong> models (Irwin<br />
and Moore, 1991). Two-way interactive communicati<strong>on</strong> is primarily developed towards overcoming<br />
<strong>the</strong> communicati<strong>on</strong> barriers between <strong>the</strong> technology developer group and <strong>the</strong> user group (Doheny-<br />
Farina, 1992; Dobrin, 1989).<br />
This model assumes that <strong>the</strong>re is “a body of informati<strong>on</strong>, of objective facts, just lying <strong>the</strong>re<br />
waiting to be communicated” (Dobrin, 1989). The underlying presumpti<strong>on</strong> is that knowledge is an<br />
object that exists independently, valid, complete and has universal applicability (Tenkasi and<br />
Mohrman, 1995). The implementer (technology developer) is resp<strong>on</strong>sible for transferring knowledge<br />
correctly through <strong>the</strong> appropriate channels for <strong>the</strong> user to understand; and failure to adopt knowledge is<br />
simply because <strong>the</strong> users fail to understand (Tenkasi and Mohrman, 1995). Although <strong>the</strong><br />
communicati<strong>on</strong> model shows an appreciati<strong>on</strong> of <strong>the</strong> complexities of TT, this model is unable to provide<br />
explanati<strong>on</strong>s <strong>on</strong> 1) <strong>the</strong> complexities of TT in <strong>the</strong> c<strong>on</strong>text of knowledge transferred through<br />
collaborative learning, 2) <strong>the</strong> subjectivity of knowledge, and 3) <strong>the</strong> need for c<strong>on</strong>textual adaptati<strong>on</strong>,<br />
dialoging at <strong>the</strong> level of values, assumpti<strong>on</strong>, and beliefs that takes <strong>on</strong> more acute proporti<strong>on</strong>s with soft<br />
or disembodied technologies (Tenkasi and Mohrman, 1995). This view is c<strong>on</strong>sistent with <strong>the</strong> earlier<br />
studies <strong>on</strong> TT which suggests that <strong>the</strong> focus of <strong>the</strong> current management researchers is <strong>on</strong> TT in<br />
strategic alliances/IJVs, and learning at <strong>the</strong> organizati<strong>on</strong>al level in facilitating TT (Zhoa and Reisman,<br />
1992; Figuereido, 2001).<br />
3.5. <strong>Technology</strong> <strong>Transfer</strong> (TT) <strong>Models</strong> After 1990s<br />
A review of <strong>the</strong> literature reveals that TT researchers have attempted to develop new technology<br />
transfer model distinguishing from <strong>the</strong> traditi<strong>on</strong>al models developed earlier which mainly focus <strong>on</strong> TT<br />
processes. The later models developed by researchers (Gibs<strong>on</strong> and Slimor, 1991; Rebentisch and<br />
Ferretti, 1995; Sung and Gibs<strong>on</strong>, 2000) attempt to address <strong>the</strong> limitati<strong>on</strong>s that arise from <strong>the</strong> traditi<strong>on</strong>al<br />
TT models in terms of <strong>the</strong> applicati<strong>on</strong> in c<strong>on</strong>temporary high-tech industries (Gibs<strong>on</strong> and Slimor, 1991).<br />
Several models developed after 1990s have emphasized <strong>on</strong> 1) <strong>the</strong> important element of communicati<strong>on</strong><br />
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between <strong>the</strong> technology developer and <strong>the</strong> receiver or between different organizati<strong>on</strong>s, 2) <strong>the</strong> levels of<br />
TT, 3) <strong>the</strong> factors which influence TT and KT, and 4) <strong>the</strong> TT processes in IJV (Gibs<strong>on</strong> and Slimor,<br />
1991; Sung and Gibs<strong>on</strong>, 2000; Rebentich and Ferretti, 1995).<br />
3.6. Gibs<strong>on</strong> and Slimor’s Model<br />
This model describes TT from <strong>the</strong> perspective of technology researchers and users through three levels<br />
of involvement. The underlying <strong>the</strong>ories of this model are <strong>the</strong> organizati<strong>on</strong> and communicati<strong>on</strong> <strong>the</strong>ories<br />
(Gibs<strong>on</strong> and Slimor, 1991). This model proposes that TT c<strong>on</strong>sists of three levels of involvement: Level<br />
I (<strong>Technology</strong> Development), Level II (<strong>Technology</strong> Acceptance), and Level III (<strong>Technology</strong><br />
Applicati<strong>on</strong>). This model explains <strong>the</strong> levels of technology transfer involvements and integrates <strong>the</strong><br />
activities involved in <strong>the</strong> traditi<strong>on</strong>al models. <strong>Technology</strong> Development is c<strong>on</strong>sidered as <strong>the</strong> most<br />
important level where <strong>the</strong> transfer process is viewed as passive through transfer means such as research<br />
reports, journal articles, and computer tapes. This level relates to <strong>the</strong> appropriability model: where <strong>the</strong><br />
emphasis is <strong>on</strong> <strong>the</strong> importance of quality of research and competitive market pressure in achieving<br />
technology transfer (Gibs<strong>on</strong> and Slimor, 1991). <strong>Technology</strong> Acceptance level indicates more<br />
involvement of TT. During this level <strong>the</strong> technology developer is resp<strong>on</strong>sible in making certain that <strong>the</strong><br />
technology is made available to <strong>the</strong> receptors that can understand and potentially use <strong>the</strong> technology.<br />
This level of involvement relates to <strong>the</strong> disseminati<strong>on</strong> model: where <strong>the</strong> c<strong>on</strong>centrati<strong>on</strong> is <strong>on</strong><br />
disseminating innovati<strong>on</strong>s to individual users (Gibs<strong>on</strong> and Slimor, 1991). <strong>Technology</strong> Applicati<strong>on</strong><br />
level is <strong>the</strong> most involved level of TT. <strong>Technology</strong> applicati<strong>on</strong> includes commercializing <strong>the</strong> use of<br />
technology in <strong>the</strong> marketplace and o<strong>the</strong>r applicati<strong>on</strong> such as intra-firm processes. This level equates<br />
with knowledge utilizati<strong>on</strong> model: where emphases are <strong>on</strong> <strong>the</strong> critical element of interpers<strong>on</strong>al<br />
communicati<strong>on</strong> between technology developers and users, and <strong>the</strong> organizati<strong>on</strong>al barriers and<br />
facilitators of TT (Gibs<strong>on</strong> and Slimor, 1991).<br />
3.7. Sung and Gibs<strong>on</strong>’s Model<br />
This model is developed to have similar objectives as Gibs<strong>on</strong> and Slimor’s (1991) model that is to<br />
address limitati<strong>on</strong>s in <strong>the</strong> traditi<strong>on</strong>al TT models. As an expansi<strong>on</strong> and improvement to <strong>the</strong> three levels<br />
involvement model of TT (Gibs<strong>on</strong> and Slimor, 1991), this model provides plausible explanati<strong>on</strong>s as to<br />
<strong>the</strong> levels and factors affecting knowledge and TT by describing knowledge and TT in four levels of<br />
involvements: Level I (Knowledge and <strong>Technology</strong> Creati<strong>on</strong>), Level II (Sharing), Level III<br />
(Implementati<strong>on</strong>), and Level IV (Commercializati<strong>on</strong>) (Sung and Gibs<strong>on</strong>, 2000).<br />
At <strong>the</strong> creati<strong>on</strong> level, <strong>the</strong> technology developers c<strong>on</strong>duct and develop research into knowledge<br />
and make available of <strong>the</strong>ir result/finding through research publicati<strong>on</strong>, videotapes, telec<strong>on</strong>ference,<br />
news, and anecdotes. TT at this level is c<strong>on</strong>sidered as a passive process where it needs <strong>on</strong>ly minimum<br />
involvement of all participants (Sung and Gibs<strong>on</strong>, 2000). Sec<strong>on</strong>dly, at <strong>the</strong> sharing level, technology<br />
developers and users begin to share resp<strong>on</strong>sibility as <strong>the</strong> success of technology transfer occurs when<br />
knowledge and technology are transferred across pers<strong>on</strong>al, functi<strong>on</strong>al, or organizati<strong>on</strong>al, and<br />
knowledge and technology are well accepted and understood by users (Sung and Gibs<strong>on</strong>, 2000).<br />
Thirdly, at <strong>the</strong> implementati<strong>on</strong> level, success is determined by <strong>the</strong> timely and efficiency of knowledge<br />
and technology transfer, and <strong>the</strong> user’s resources ability to implement. KT and TT may occur through<br />
manufacturing transfer, processes transfer or services and best practice transfer (Sung and Gibs<strong>on</strong>,<br />
2000). Finally, at <strong>the</strong> commercializati<strong>on</strong> level, knowledge and technology is commercially utilized.<br />
The commercializati<strong>on</strong> level is built cumulatively <strong>on</strong> <strong>the</strong> success of creati<strong>on</strong>, sharing, and<br />
implementati<strong>on</strong> levels with <strong>the</strong> help of market strength. Success of <strong>the</strong> implementati<strong>on</strong> level is<br />
measured by return of investment (ROI) and increased market share (Sung and Gibs<strong>on</strong>, 2000).<br />
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3.8. Rebentisch and Ferretti’s Model<br />
Rebentisch and Ferretti (1995) propose an integrated model of TT process developed from <strong>the</strong> insights<br />
derived from <strong>the</strong> study of two IJVs. According to Rebentisch and Ferretti (1995) TT areas require<br />
fur<strong>the</strong>r investigati<strong>on</strong> and integrati<strong>on</strong> particularly <strong>on</strong> 1) <strong>the</strong> effect of <strong>the</strong> interdependencies between <strong>the</strong><br />
technology characteristics and its organizati<strong>on</strong>al c<strong>on</strong>text, and 2) <strong>the</strong> interface between <strong>the</strong> core<br />
competencies of <strong>the</strong> firm and its ability to adopt new technology. The model (Figure 2.3) addresses <strong>the</strong><br />
issues <strong>on</strong> 1) how much effort is required to transfer different types of technologies, and 2) what impact<br />
<strong>the</strong> organizati<strong>on</strong>’s existing competencies might have <strong>on</strong> that process. This model refers TT as “<strong>the</strong><br />
transfer of <strong>the</strong> embodied knowledge assets between organizati<strong>on</strong>s”. The TT process in this model<br />
c<strong>on</strong>sists of four categories that include 1) <strong>Transfer</strong> Scope, 2) <strong>Transfer</strong> Method, 3) Knowledge<br />
Architecture, and 4) Organizati<strong>on</strong>al Adaptive Ability.<br />
The scope of transfer is determined by how much informati<strong>on</strong> is embodied in <strong>the</strong> technology<br />
and what type of technologies a firm seeks to acquire from <strong>the</strong> source. Based <strong>on</strong> this model <strong>the</strong> transfer<br />
scope c<strong>on</strong>sists of four types of technologies: General knowledge, Specific knowledge, Hardware, and<br />
Behaviors. This model categorizes <strong>the</strong> transfer methods in <strong>the</strong> TT process as 1) Impers<strong>on</strong>al<br />
communicati<strong>on</strong>, 2) Pers<strong>on</strong>al communicati<strong>on</strong>, 3) Group interacti<strong>on</strong>, and 4) Physical relocati<strong>on</strong>.<br />
Knowledge architecture is defined as “a characterizati<strong>on</strong> of <strong>the</strong> structure and artifacts into which<br />
knowledge has been embodied in <strong>the</strong> organizati<strong>on</strong>, and describes <strong>the</strong> way organizati<strong>on</strong> stores and<br />
processes informati<strong>on</strong>” (Rebentisch and Ferretti, 1995). Knowledge architecture has four critical<br />
elements which influence TT process 1) technology hardware, 2) experience base, 3) procedures, and<br />
4) organizati<strong>on</strong> power structures. These elements corresp<strong>on</strong>d with <strong>the</strong> level of technology’s complexity<br />
and compatibility with <strong>the</strong> existing organizati<strong>on</strong>, <strong>the</strong> costs and extent of change involved in<br />
implementing it, and <strong>the</strong> possibility of encountering any oppositi<strong>on</strong> (Rebentisch and Ferretti, 1995).<br />
Organizati<strong>on</strong>al adaptive ability is “<strong>the</strong> adopti<strong>on</strong> of <strong>the</strong> organizati<strong>on</strong>’s ability to utilize its resources to<br />
make adaptati<strong>on</strong>s ei<strong>the</strong>r to itself or to a new technology” (Rebentisch and Ferretti, 1995).<br />
Organizati<strong>on</strong>al adaptive ability c<strong>on</strong>sists of staffing and producti<strong>on</strong> flexibility. This model, which is<br />
developed based <strong>on</strong> two IJVs, never<strong>the</strong>less, mainly offers <strong>the</strong> <strong>the</strong>oretical insights of TT process of<br />
hardware or embodied technology (explicit knowledge) where no hypo<strong>the</strong>sis testing and empirical<br />
examinati<strong>on</strong> has been c<strong>on</strong>ducted. Since this model is developed from <strong>the</strong> transferring partner’s<br />
perspective thus it suffers from inherent linear bias in which <strong>the</strong> relati<strong>on</strong>ship and c<strong>on</strong>textual dimensi<strong>on</strong>s<br />
of JVs have not been c<strong>on</strong>sidered.<br />
3.9. O<strong>the</strong>r Related Theoretical Foundati<strong>on</strong>s of <strong>Technology</strong> <strong>Transfer</strong><br />
Besides examining TT models from <strong>the</strong> previous literatures, an understanding of <strong>the</strong> related <strong>the</strong>oretical<br />
perspectives is necessary to relate with <strong>the</strong> practical and empirical aspects. From a review of literature,<br />
<strong>the</strong> o<strong>the</strong>r relevant <strong>the</strong>ories which are found to be related to TT are <strong>the</strong> internati<strong>on</strong>al trade (IT) <strong>the</strong>ory,<br />
foreign direct investment (FDI) <strong>the</strong>ory, KBV perspective and OL perspective.<br />
The internati<strong>on</strong>al trade <strong>the</strong>ories, which c<strong>on</strong>sist of <strong>the</strong> classical trade <strong>the</strong>ory (Ricardo, 1817), <strong>the</strong><br />
factor proporti<strong>on</strong> <strong>the</strong>ory (Hecksher and Ohlin, 1933), and <strong>the</strong> product life cycle <strong>the</strong>ory (Vern<strong>on</strong>, 1971;<br />
Wells, 1968, 1969), are related to TT studies as <strong>the</strong>y provide plausible explanati<strong>on</strong>s <strong>on</strong> how trades<br />
between countries c<strong>on</strong>tribute to <strong>the</strong> flow of producti<strong>on</strong>s or goods and services which have brought<br />
al<strong>on</strong>g <strong>the</strong> technology embedded in <strong>the</strong>m. The foreign direct investment <strong>the</strong>ories are related to TT<br />
studies as <strong>the</strong>se <strong>the</strong>ories provide explanati<strong>on</strong>s <strong>on</strong> how FDIs by MNCs become <strong>the</strong> main channel for<br />
intra-firm technology transfer; where technology is transferred to MNCs’ subsidiary or affiliates in <strong>the</strong><br />
host countries. FDI <strong>the</strong>ories c<strong>on</strong>sist of <strong>the</strong> market imperfecti<strong>on</strong> <strong>the</strong>ory (Hymer, 1960, 1970;<br />
Kindleberger, 1969; Caves, 1971), internati<strong>on</strong>al producti<strong>on</strong> <strong>the</strong>ory (Dunning, 1980),<br />
internati<strong>on</strong>alizati<strong>on</strong> <strong>the</strong>ory (Buckley, 1982, 1985; Buckley and Cass<strong>on</strong>, 1976), and transacti<strong>on</strong> cost<br />
<strong>the</strong>ory (Williams<strong>on</strong>, 1975; Ouchi, 1980; Williams<strong>on</strong> and Ouchi, 1981).<br />
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However, for <strong>the</strong> purpose of this review, which focuses <strong>on</strong> <strong>the</strong> cross border and inter-firm TT of<br />
tacit and explicit knowledge (software and hardware technology), <strong>the</strong> relevant <strong>the</strong>ories underlying <strong>the</strong><br />
current TT model are KBV and OL perspectives. This study c<strong>on</strong>tends that as TT does not <strong>on</strong>ly require<br />
transmissi<strong>on</strong> of knowledge but also knowledge absorpti<strong>on</strong> and use (Devanport and Prusak, 1998, 2000)<br />
<strong>the</strong>se perspectives, which are interrelated, would enable this study to capture and explain <strong>the</strong> distinct<br />
characteristics and behavioral factors of <strong>the</strong> actors and facilitators/barriers involved such as <strong>the</strong><br />
attributes of knowledge transferred, attitudes of both technology supplier and recipient, as well as <strong>the</strong>ir<br />
relati<strong>on</strong>al and c<strong>on</strong>textual factors (Szulanski, 1996). The streams of literature <strong>on</strong> TT, KBV and OL<br />
perspectives are quite similar al<strong>on</strong>g various dimensi<strong>on</strong>s for example <strong>the</strong> outcomes, processes, barriers<br />
and facilitators (Daghfous, 2004).<br />
4. Knowledge-Based View Related <strong>Models</strong><br />
4.1. Kogut and Zander’s Model<br />
Kogut and Zander (1992) are am<strong>on</strong>g <strong>the</strong> first researchers who established <strong>the</strong> foundati<strong>on</strong> for <strong>the</strong><br />
knowledge-based <strong>the</strong>ory of <strong>the</strong> firm when emphasizing <strong>the</strong> strategic importance of knowledge as a<br />
source of competitive advantage. Their work is focused <strong>on</strong> <strong>the</strong> idea that “what firms do better than<br />
markets is <strong>the</strong> creati<strong>on</strong> and transfer of knowledge within <strong>the</strong> organizati<strong>on</strong>”. Knowledge, which c<strong>on</strong>sists<br />
of informati<strong>on</strong> and know-how, is not <strong>on</strong>ly held by individuals but is also expressed in regularities by<br />
which members cooperate in a social community. Firms as social communities act as “a repository of<br />
capabilities” determined by <strong>the</strong> social knowledge embedded in enduring individual relati<strong>on</strong>ships<br />
structured by organizing principles (Kogut and Zander, 1992). The organizing principles refer to as<br />
“<strong>the</strong> organizing knowledge that establishes <strong>the</strong> c<strong>on</strong>text of discourse and coordinati<strong>on</strong> am<strong>on</strong>g<br />
individuals with disparate expertise and that replicates <strong>the</strong> organizati<strong>on</strong> over time in corresp<strong>on</strong>dence to<br />
<strong>the</strong> changing expectati<strong>on</strong>s and identity of its members” (Kogut and Zander, 1996).<br />
This view was fur<strong>the</strong>r articulated and empirically tested in Kogut and Zander (1993). They<br />
assert that 1) firms are efficient means by which knowledge is created and transferred, 2) a comm<strong>on</strong><br />
understanding is developed by individuals and groups in a firm through repeated interacti<strong>on</strong> to transfer<br />
knowledge from ideas into producti<strong>on</strong> and markets, 3) what a firm does is not depending <strong>on</strong> <strong>the</strong><br />
market’s failure ra<strong>the</strong>r <strong>the</strong> efficiency in <strong>the</strong> process of transformati<strong>on</strong> relative to o<strong>the</strong>r firms, and 4) <strong>the</strong><br />
firm’s boundary is determined by <strong>the</strong> difference in knowledge and <strong>the</strong> embedded capabilities between<br />
<strong>the</strong> creator and <strong>the</strong> users (possessed with complementary skills) and not market failure. Kogut and<br />
Zander (1996) fur<strong>the</strong>r extend <strong>the</strong>ir discussi<strong>on</strong> <strong>on</strong> <strong>the</strong> c<strong>on</strong>cept of identity by asserting that individuals<br />
are “unsocial sociality” where <strong>the</strong>y have both a desire to become a member of community and at <strong>the</strong><br />
same time also have a desire to retain <strong>the</strong>ir own individuality (Kogut and Zander, 1996). As firms<br />
provide a normative territory to which members identify, costs of coordinati<strong>on</strong>, communicati<strong>on</strong>, and<br />
learning within firms are much lower which allow more knowledge to be shared and created within<br />
firms.<br />
4.2. N<strong>on</strong>aka’s Model<br />
A stream of literatures has found c<strong>on</strong>sistent support for Kogut and Zander’s (1992) model of<br />
organizati<strong>on</strong> knowledge creati<strong>on</strong> and transfer (N<strong>on</strong>aka, 1994; N<strong>on</strong>aka and Takeuchi, 1995; N<strong>on</strong>aka et<br />
al., 1996) for example 1) knowledge should be <strong>the</strong> basic unit of analysis for explaining a firm’s<br />
behavior, and 2) organizati<strong>on</strong> knowledge is socially c<strong>on</strong>structed. This group of researchers proposes a<br />
model of knowledge creati<strong>on</strong>, which complements Kogut and Zander’s (1992) model, by proposing a<br />
model for understanding <strong>the</strong> knowledge creati<strong>on</strong> process in organizati<strong>on</strong>s in which organizati<strong>on</strong>al<br />
knowledge is created through a c<strong>on</strong>tinuous dialogue between tacit and explicit knowledge.<br />
This model proposes four modes of knowledge c<strong>on</strong>versi<strong>on</strong> 1) from tacit knowledge to tacit<br />
knowledge (socializati<strong>on</strong>); a process of pers<strong>on</strong>alized form of tacit knowledge growth in which an<br />
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individual passes <strong>on</strong> knowledge to ano<strong>the</strong>r individual, 2) from tacit knowledge to explicit knowledge<br />
(externalizati<strong>on</strong>); a process when individuals take existing knowledge, add <strong>the</strong>ir tacit knowledge and<br />
create something new that can be shared throughout <strong>the</strong> organizati<strong>on</strong>, 3) from explicit knowledge to<br />
explicit knowledge (combinati<strong>on</strong>); a process where knowledge is gained by combining and<br />
syn<strong>the</strong>sizing existing explicit knowledge from different sources, and 4) from explicit to tacit<br />
knowledge (internalizati<strong>on</strong>); a process where new explicit knowledge is internalized within members<br />
of <strong>the</strong> organizati<strong>on</strong> to create new tacit knowledge (N<strong>on</strong>aka, 1994; N<strong>on</strong>aka and Takeuchi, 1995).<br />
Even though each of <strong>the</strong>se modes may independently create knowledge, <strong>the</strong> organizati<strong>on</strong>al<br />
knowledge creati<strong>on</strong> processes <strong>on</strong>ly occur when all <strong>the</strong> four modes are organizati<strong>on</strong>ally managed and<br />
dynamically interacted. This process which is highly iterative c<strong>on</strong>stitutes ‘knowledge spiral’ which<br />
happens mainly through informal networks of relati<strong>on</strong>s in <strong>the</strong> organizati<strong>on</strong> starting from <strong>the</strong> individual<br />
level, <strong>the</strong>n moves up to <strong>the</strong> group (collective) level and eventually to <strong>the</strong> organizati<strong>on</strong>al level. It creates<br />
a ‘spiraling effect’ of knowledge accumulati<strong>on</strong> and growth which promotes organizati<strong>on</strong> innovati<strong>on</strong><br />
and learning (N<strong>on</strong>aka, 1994; N<strong>on</strong>aka and Takeuchi, 1995).<br />
4.3. Grant’s Model<br />
Departing from Kogut and Zander (1992, 1993), N<strong>on</strong>aka (1994) N<strong>on</strong>aka and Takeuchi (1995), and<br />
N<strong>on</strong>aka et al. (1996), Grant (1996a, 1996b, 1997) propose a different model of knowledge creati<strong>on</strong>.<br />
Grant (1996a) has fur<strong>the</strong>r articulated <strong>the</strong> <strong>the</strong>oretical arguments of knowledge-based view, which<br />
c<strong>on</strong>siders knowledge creati<strong>on</strong> as “an individual activity ra<strong>the</strong>r than an organizati<strong>on</strong>al activity”. Several<br />
assumpti<strong>on</strong>s underlying <strong>the</strong> model are described as follows:<br />
1) Knowledge is <strong>the</strong> important productive resource in terms of its c<strong>on</strong>tributi<strong>on</strong> to value added and<br />
its strategic significance.<br />
2) Knowledge c<strong>on</strong>sists of informati<strong>on</strong>, technology, know-how, and skills. Thus, different types of<br />
knowledge vary in <strong>the</strong>ir transferability. The critical distincti<strong>on</strong> is between ‘explicit knowledge’;<br />
which is capable of articulati<strong>on</strong> and transferable at low cost, and ‘tacit knowledge’; which is<br />
manifested <strong>on</strong>ly in its applicati<strong>on</strong> and is not amenable to transfer. The ease with which<br />
knowledge can be transferred also depends up<strong>on</strong> <strong>the</strong> capacity of <strong>the</strong> recipient to aggregate units<br />
of knowledge.<br />
3) Individuals are <strong>the</strong> primary agents of knowledge creati<strong>on</strong> and <strong>the</strong> principal repositories of<br />
knowledge especially tacit knowledge. If individual’s learning capacity is bounded, knowledge<br />
creati<strong>on</strong> requires specializati<strong>on</strong>, where increased depth of knowledge normally requires<br />
sacrificing breadth of knowledge. At <strong>the</strong> same time, producti<strong>on</strong> typically requires <strong>the</strong><br />
applicati<strong>on</strong> of many types of knowledge.<br />
4) Most knowledge is subject to ec<strong>on</strong>omies of scale and scope. This is especially <strong>the</strong> case with<br />
explicit knowledge that, <strong>on</strong>ce created, can be deployed in additi<strong>on</strong>al applicati<strong>on</strong>s at low<br />
marginal cost (Grant and Baden-Fuller, 1995; Grant, 1997).<br />
While knowledge resides within individuals and firms c<strong>on</strong>sist of multiple individuals with<br />
specialized knowledge, <strong>the</strong> firms’ role is to integrate this knowledge to enable it to produce products<br />
and services. Firms exist because of <strong>the</strong>ir efficient ability in creating c<strong>on</strong>diti<strong>on</strong>s where many<br />
individuals can integrate <strong>the</strong>ir specialist knowledge (Grant, 1996a). Specialized knowledge can be<br />
integrated within firms through four mechanisms 1) through rules and directives; where rules are<br />
standards which regulate <strong>the</strong> interacti<strong>on</strong>s between individuals and directives are what <strong>the</strong> specialists<br />
establish to guide <strong>the</strong> n<strong>on</strong>-specialists, 2) through sequencing; a mechanism to organize producti<strong>on</strong><br />
activities in a time-patterned sequence such that each specialist’s input occurs independently through<br />
being assigned a separate time slot, 3) through routines; where <strong>the</strong> signals and resp<strong>on</strong>ses developed by<br />
teams over time allow <strong>the</strong> complex interacti<strong>on</strong>s between individuals in a relatively automatic fashi<strong>on</strong>,<br />
and 4) through group problem solving and decisi<strong>on</strong> making; a mechanism used to perform unusual,<br />
complex, and important tasks that requires extensive pers<strong>on</strong>al interacti<strong>on</strong>s and communicati<strong>on</strong>s.<br />
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Comm<strong>on</strong> knowledge is important as a means through which multiple individuals can communicate to<br />
integrate knowledge (Grant, 1996b).<br />
4.4. Spender’s Model<br />
As opposed to traditi<strong>on</strong>al models of knowledge creati<strong>on</strong> within organizati<strong>on</strong>s (Kogut and Zander,<br />
1992; N<strong>on</strong>aka, 1994; Grant, 1996a, 1996b), Spender (1996) proposes a dynamic ra<strong>the</strong>r than a static<br />
knowledge-based <strong>the</strong>ory of <strong>the</strong> firm. Knowledge is viewed as “a process or a competent goal-oriented<br />
activity ra<strong>the</strong>r than as an observable and transferable resource” (Spender, 1996). As knowledge is<br />
dynamic in nature and c<strong>on</strong>tained within actor network, a firm is a dynamic, evolving, quasiaut<strong>on</strong>omous,<br />
organic system of knowledge producti<strong>on</strong> and applicati<strong>on</strong> (Spender, 1996). A firm is a<br />
system of knowing activity and not a system of applied abstract knowledge (Spender, 1996). O<strong>the</strong>r<br />
prop<strong>on</strong>ents of this view are Blacker (1995) and Orlikowski (2002). Blacker (1995) argues that<br />
traditi<strong>on</strong>al approach to knowledge is “compartmentalized and static” and fur<strong>the</strong>r suggests that ra<strong>the</strong>r<br />
than discussing knowledge, it is more beneficial to discuss <strong>the</strong> process of knowing. Orlikowski (2002)<br />
suggests that <strong>the</strong> perspective which focuses <strong>on</strong> <strong>the</strong> knowledgeability of acti<strong>on</strong> (perspective <strong>on</strong><br />
knowing) that is <strong>on</strong> knowing may be value in a perspective ra<strong>the</strong>r than knowledge.<br />
4.5. Szulanski’s Model<br />
Szulanski (1995) adopts a different approach to KT by adopting a communicati<strong>on</strong> metaphor in<br />
analyzing intra-firm transfer of best practice in a manner analogous to <strong>the</strong> transmissi<strong>on</strong> of a message<br />
from a source to a recipient within a given media or c<strong>on</strong>text (Timbrell et al. , 2001). While knowledge<br />
transfer is a distinct experience ra<strong>the</strong>r than diffusi<strong>on</strong>, best practice transfer should be regarded as “a<br />
process ra<strong>the</strong>r than a transacti<strong>on</strong> or event” (Szulanski, 1995). Szulanski (1996) proposes an intra-firm<br />
transfer of best practice model which views intra-firm transfer of best practice as “an unfolding<br />
process” in which organizati<strong>on</strong>al routines are replicated through four stages of processes: 1) initiati<strong>on</strong>,<br />
2) implementati<strong>on</strong>, 3) ramp-up, and 4) integrati<strong>on</strong>.<br />
Initiati<strong>on</strong> is described as comprising all events that lead to <strong>the</strong> decisi<strong>on</strong> to transfer. A transfer<br />
commences when both a need and <strong>the</strong> knowledge to meet that need coexist within <strong>the</strong> organizati<strong>on</strong>,<br />
possibly undiscovered. When <strong>the</strong> need is discovered, it triggers a search for potential soluti<strong>on</strong>; a search<br />
that leads to <strong>the</strong> discovery of superior knowledge (Szulanski, 1996). Implementati<strong>on</strong> begins with <strong>the</strong><br />
decisi<strong>on</strong> to transfer in which resources flow between <strong>the</strong> knowledge recipient and <strong>the</strong> source, <strong>the</strong><br />
transfer-specific social ties between <strong>the</strong> source and <strong>the</strong> knowledge recipient are established, and <strong>the</strong><br />
transferred practice is normally adapted with <strong>the</strong> objectives to suit <strong>the</strong> anticipated needs of <strong>the</strong> recipient<br />
to preempt problems experienced in a previous transfer of <strong>the</strong> same practice, and to facilitate <strong>the</strong><br />
introducti<strong>on</strong> of new knowledge less difficult to <strong>the</strong> recipient (Szulanski, 1996). Ramp-up commences<br />
when <strong>the</strong> recipient begins to use <strong>the</strong> transferred knowledge. At this level <strong>the</strong> recipient’s primary<br />
c<strong>on</strong>cern is to identify and resolve unexpected problems that restrict its ability to match or exceed <strong>the</strong><br />
transfer performance expectati<strong>on</strong> (Szulanski, 1996). Integrati<strong>on</strong> starts when satisfactory result is<br />
achieved by <strong>the</strong> recipient from <strong>the</strong> transferred knowledge and <strong>the</strong> transferred knowledge is c<strong>on</strong>verted<br />
into <strong>the</strong> firm’s routine (Szulanski, 1996).<br />
Szulanski (1996) has explored <strong>the</strong> origin of internal stickiness and identified four sets of factors<br />
which are likely to have significant influence <strong>on</strong> <strong>the</strong> difficulty of knowledge transfer: i) characteristics<br />
of <strong>the</strong> knowledge transferred, ii) <strong>the</strong> source, iii) <strong>the</strong> recipient, and iv) <strong>the</strong> c<strong>on</strong>text in which <strong>the</strong> transfer<br />
takes place. Central to Szulanski’s (1996) model of intra-firm knowledge transfer, which builds <strong>on</strong> <strong>the</strong><br />
previous TT literature (Le<strong>on</strong>ard-Bart<strong>on</strong>, 1990; Teece, 1977; Rogers, 1983), is <strong>the</strong> importance of<br />
examining all <strong>the</strong> four sets of factors simultaneously in an eclectic model. Few researchers have<br />
developed <strong>the</strong>ir intra and inter-firm knowledge transfer framework based <strong>on</strong> this model (for example<br />
Szulanski, 2000, 2003; Gupta and Govindarajan, 2000; Minbaeva, 2007; Sim<strong>on</strong>in, 1999a, 1999b,<br />
2004).<br />
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5. Organizati<strong>on</strong> Learning Related <strong>Models</strong><br />
5.1. Argyris and Sch<strong>on</strong>’s Model<br />
Argyris and Sch<strong>on</strong> (1978) develop a three-fold typology of organizati<strong>on</strong>al learning: 1) single-loop, 2)<br />
double-loop, and 3) triple-loop (deutero) learning. Single-loop learning is described as “<strong>the</strong> errordetecti<strong>on</strong>-and-correcti<strong>on</strong><br />
process; where errors are detected and corrected to allow an organizati<strong>on</strong> to<br />
change its methods and rules to improve what is being d<strong>on</strong>e within existing programs or policies”. As a<br />
result, <strong>the</strong> organizati<strong>on</strong> achieves its current objective more efficiently. In additi<strong>on</strong> to <strong>the</strong> errordetecti<strong>on</strong>-and-correcti<strong>on</strong>,<br />
double-loop learning involves “change of <strong>the</strong> value of an organizati<strong>on</strong>’s<br />
<strong>the</strong>ory-in-use”. This form of learning occurs when errors are detected and corrected in ways that<br />
involves <strong>the</strong> changes in an organizati<strong>on</strong>’s underlying norms, policies and objective. Triple-loop or<br />
deutero learning is “learning how to learn”; where <strong>the</strong> organizati<strong>on</strong>al members’ cognitive changes as a<br />
result of reflecting and inquiring into <strong>the</strong>ir previous learning experiences. Triple-loop learning is also a<br />
process how to execute single and double-loop learning (Argyris and Sch<strong>on</strong>, 1978).<br />
5.2. Mills and Friesen’s Model<br />
This model describes <strong>the</strong> ways how organizati<strong>on</strong>s learn and focuses <strong>on</strong> <strong>the</strong> sources of knowledge. The<br />
model explains that an organizati<strong>on</strong> learns through individuals in <strong>the</strong> organizati<strong>on</strong>. These individuals<br />
are hired because of <strong>the</strong>ir specific competencies or knowledge which may be gained through <strong>on</strong> <strong>the</strong> job<br />
training or formal training. Learning is an individual phenomen<strong>on</strong>, which benefits <strong>the</strong> organizati<strong>on</strong><br />
entirely through <strong>the</strong> individuals (Mills and Friesen, 1992). OL should involve systemizing knowledge<br />
into its practices, processes, and procedures that are <strong>the</strong> reutilizati<strong>on</strong> of knowledge. When individuals<br />
do not use knowledge or resign, <strong>the</strong> knowledge will still remain with <strong>the</strong> organizati<strong>on</strong> which c<strong>on</strong>stitutes<br />
OL. If an organizati<strong>on</strong> acquires or merges with o<strong>the</strong>r organizati<strong>on</strong>, OL occurs when <strong>the</strong> acquiring<br />
organizati<strong>on</strong> absorbs <strong>the</strong> acquired organizati<strong>on</strong> practices and procedures, or adds to its pers<strong>on</strong>nel <strong>the</strong><br />
knowledge embodied in <strong>the</strong> acquired organizati<strong>on</strong>’s processes and pers<strong>on</strong>nel (Mills and Friesen, 1992).<br />
5.3. Nevis, DiBella and Gould’s Model<br />
Nevis et al. (1995) propose a three-stage model of OL: 1) knowledge acquisiti<strong>on</strong>, 2) knowledge<br />
sharing, and 3) knowledge utilizati<strong>on</strong>. Knowledge acquisiti<strong>on</strong> refers to <strong>the</strong> development or creati<strong>on</strong> of<br />
skills, insights, and relati<strong>on</strong>ship. Knowledge sharing relates to <strong>the</strong> disseminati<strong>on</strong> of knowledge that has<br />
been learned. Knowledge utilizati<strong>on</strong> is <strong>the</strong> integrati<strong>on</strong> of learning to make it widely available; where it<br />
can be generalized to new envir<strong>on</strong>ments. OL may occur in a planned or informal ways. Knowledge and<br />
skill acquisiti<strong>on</strong> occur not <strong>on</strong>ly through acquisiti<strong>on</strong> but also through knowledge sharing and utilizati<strong>on</strong><br />
(Nevis et al., 1995).<br />
5.4. N<strong>on</strong>aka’s Knowledge Spiral Model<br />
N<strong>on</strong>aka (1994) proposes a model describing how organizati<strong>on</strong>al knowledge is created through different<br />
channels of interacti<strong>on</strong> between tacit knowledge and explicit knowledge. N<strong>on</strong>aka (1994) suggests four<br />
modes how knowledge is created through: 1) socializati<strong>on</strong> process (tacit to tacit knowledge creati<strong>on</strong>),<br />
2) externalizati<strong>on</strong> process (tacit to explicit knowledge creati<strong>on</strong>), 3) combinati<strong>on</strong> process (explicit to<br />
explicit knowledge creati<strong>on</strong>), and 4) internalizati<strong>on</strong> process (explicit to tacit knowledge creati<strong>on</strong>).<br />
5.5. Kim’s Model<br />
Kim (1993) proposes an integrative model describing <strong>the</strong> link between individual learning and OL in<br />
which an organizati<strong>on</strong> learns through its individual members is affected ei<strong>the</strong>r directly or indirectly by<br />
individual learning. This model describes OL as not <strong>on</strong>ly a collective individual learning but also<br />
involves <strong>the</strong> transfer mechanism between individual and OL; where individual learning becomes<br />
embedded in an organizati<strong>on</strong>’s memory and structure. In this sense, individual learning affects learning<br />
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at organizati<strong>on</strong>al level by its influence <strong>on</strong> <strong>the</strong> organizati<strong>on</strong>’s shared models. This model stresses that<br />
organizati<strong>on</strong> learns <strong>on</strong>ly through its members and learning does not depend <strong>on</strong> any specific members.<br />
However, individuals can learn without <strong>the</strong> organizati<strong>on</strong>. OL process is viewed from two perspectives:<br />
1) <strong>the</strong> collective learning perspective, and 2) <strong>the</strong> cognitive-outcome perspective. The collective<br />
learning perspective describes how knowledge through individual learning becomes organizati<strong>on</strong><br />
shared knowledge, and <strong>the</strong> cognitive outcome perspective indicates that knowledge acquired through<br />
individual learning can lead directly to individual acti<strong>on</strong> or indirectly to organizati<strong>on</strong>al acti<strong>on</strong> through<br />
knowledge sharing (Kim, 1993).<br />
5.6. IJV Knowledge Management Model<br />
Building <strong>on</strong> Parkhe (1993) and Toyne (1989), Tiemessen et al. (1997) propose a model of OL and KT<br />
in IJVs based <strong>on</strong> input-process-output model. According to this model <strong>the</strong>re are four critical elements<br />
involved in OL and knowledge transfer in IJV: Structure, C<strong>on</strong>diti<strong>on</strong>s, Process, and Outcomes.<br />
Tiemessen et al. (1997) propose three phases of inter-organizati<strong>on</strong>al learning in JV.<br />
The first phase is transfer process where two independent firms form a JV, both firms transfer<br />
and c<strong>on</strong>tribute resources in terms of <strong>the</strong>ir existing stock of competencies. <strong>Transfer</strong> is described as <strong>the</strong><br />
movement/migrati<strong>on</strong> of knowledge between <strong>the</strong> parents firms, directly or indirectly, through activities<br />
such as buying technology, observing and imitating technology used by <strong>the</strong> o<strong>the</strong>r JV’s partner or<br />
modifying/changing <strong>the</strong> existing technologies based <strong>on</strong> <strong>the</strong> partner’s directi<strong>on</strong>. <strong>Transfer</strong> means “to<br />
accept <strong>the</strong> partner’s knowledge, to integrate knowledge into <strong>on</strong>e’s own systems or changing <strong>on</strong>e’s own<br />
resources to imitate knowledge” (Tiemessen et al., 1997).<br />
The sec<strong>on</strong>d phase is transformati<strong>on</strong> process where through joint activities <strong>the</strong>se competencies<br />
are <strong>the</strong>n transformed and enhanced to reflect <strong>the</strong> combined pool of knowledge and skills as well as new<br />
knowledge and skills created from <strong>the</strong> alliance. Knowledge transformati<strong>on</strong> is <strong>the</strong> extensi<strong>on</strong> of existing<br />
knowledge and <strong>the</strong> creati<strong>on</strong> of new knowledge within <strong>the</strong> JV. Thus, transformati<strong>on</strong> is defined as <strong>the</strong><br />
integrati<strong>on</strong>, applicati<strong>on</strong> and leveraging of c<strong>on</strong>tributed knowledge, and <strong>the</strong> creati<strong>on</strong> of new knowledge<br />
as a result of IJV activities. The successful exploitati<strong>on</strong> of an advantage internati<strong>on</strong>ally may require an<br />
adaptati<strong>on</strong> of <strong>the</strong> technology, system, or management practices, or all of <strong>the</strong>m to <strong>the</strong> local envir<strong>on</strong>ment<br />
(Cass<strong>on</strong>, 1993). Collaborating with local partners is crucial in ensuring appropriate and correct<br />
adaptati<strong>on</strong>, and opportunities to improve own capabilities. Through adaptati<strong>on</strong> process, resource<br />
integrati<strong>on</strong> and partnering knowledge are created (Tiemessen et al., 1997).<br />
The third phase is harvesting process where partners harvest knowledge and skills from IJV and<br />
bring back to <strong>the</strong> parent firms. Harvesting is described as “a process of retrieving knowledge that has<br />
already been created and tested from <strong>the</strong> IJV resources in which it resides, and internalizing it into <strong>the</strong><br />
parent firm so it can be retrieved back and used in o<strong>the</strong>r applicati<strong>on</strong>s”. Knowledge harvesting process<br />
is different from transfer and transformati<strong>on</strong> process because <strong>the</strong> process is more difficult and not<br />
straightforward (Tiemessen et al., 1997). Knowledge harvesting by <strong>the</strong> parent firms is c<strong>on</strong>tingent up<strong>on</strong><br />
<strong>the</strong> top management’s active role in JV and proper communicati<strong>on</strong> with <strong>the</strong> JV managers (Lyles,<br />
1988).<br />
6. C<strong>on</strong>clusi<strong>on</strong><br />
This review significantly c<strong>on</strong>tributes to <strong>the</strong> existing TT literature by reviewing <strong>the</strong> evoluti<strong>on</strong> and<br />
development of <strong>the</strong> previous TT models which include <strong>the</strong> traditi<strong>on</strong>al TT model, models developed<br />
after 1990s, o<strong>the</strong>r related <strong>the</strong>oretical foundati<strong>on</strong>s underlying TT models, and <strong>the</strong> current TT models<br />
which have str<strong>on</strong>g influence of KBV and OL perspectives. This review could help shape <strong>the</strong> directi<strong>on</strong><br />
of both future <strong>the</strong>oretical and empirical studies <strong>on</strong> inter-firm technology transfer specifically 1) <strong>on</strong> how<br />
KBV and OL perspectives could play significant role in explaining <strong>the</strong> complex relati<strong>on</strong>ships between<br />
<strong>the</strong> supplier and recipient in inter-firm technology transfer 2) <strong>the</strong> tradeoffs that involve between<br />
properties of technology, protecting proprietary technologies, competitiveness of <strong>the</strong> supplier,<br />
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willingness to transfer technology, and learning attitudes of <strong>the</strong> recipient in strategic alliances and JVs,<br />
and 3) <strong>on</strong> how KVB and OL perspectives could be integrated in a holistic model to explain <strong>the</strong><br />
relati<strong>on</strong>ships between knowledge transferred, <strong>the</strong> recipient, <strong>the</strong> supplier, relati<strong>on</strong>ship characteristics and<br />
degree of technology transfer.<br />
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