【作者】 李王芳；

【导师】 陈劲；

【作者基本信息】 浙江大学 ， 管理科学与工程， 2014， 博士

【摘要】 在知识等无形资本日益取代传统生产要素的当今时代,随着知识体系不断丰富和知识外溢,以及人才流动性日益增强,企业利用专业知识和技术设置壁垒并获得利益的能力被日益削弱。企业的创新与发展需要广泛利用企业外部的知识、人才和信息等资源来构建自身的知识结构。Chesbrough教授提出了开放式创新,为创新管理提供了全新的思维模式,企业应该有效获取、利用和整合内外部知识、技术、人才等创新资源,不仅让企业内部的聪明人为我们工作,还要让企业外部的聪明人也为我们工作,整合各方面力量,形成合力,进而增强企业竞争优势,才能在激烈的竞争环境中生存并获得成功。人是积累和创造知识的主体,围绕人这一要素进行的人力资本开发和管理成为企业人力资本研究和开放式创新研究的热点。在企业创新过程中,参与知识应用、创新活动及影响创新绩效的人力资本构成及特征如何?企业如何通过利用和整合内外部人力资本来提升组织创新绩效?本文正是围绕这些核心要素展开。本论文通过文献综述、探索性案例研究、理论模型构建、企业实地调研与多次访谈、问卷调查、以及统计验证分析等过程,对企业内外部人力资本提升创新绩效的路径进行了理论假设和实证检验。本研究的内容与成果主要是：1.通过理论总结和探索性因子分析对企业内部和外部人力资本及其互动关系进行归类；2.采用SEM模型对内外部人力资本水平与创新绩效的关系进行了实证检验,检验表明企业不同类型人力资本水平或直接或间接正向影响创新绩效。3.研究了企业沟通制度对各类人力资本促进知识积累和知识增值的调节作用。4.企业内外人力资本提升创新绩效的途径。本论文在以下几个方面取得了一些创新性的进展：创新点一：尝试在传统人力资本概念的基础上,提出企业内外部创新型人力资本概念,强调外部人力资本的实际效用和企业内外部创新互动环境的重要性,指出人力资本的存量和流量是发挥作用的基础,能够促使人力资本发挥协同创新作用并实现企业价值增值才是人力资本管理的真正价值所在。创新点二：分析并尝试验证企业内外部人力资本的结构,并分析各类型人力资本的特征。本研究从内／外部、技术型／非技术型等维度出发,分析了不同类型人力资本对企业知识积累和知识增值的不同表现。并且通过研究沟通制度的调节作用,发现了不同类型的人力资本对企业沟通制度反应的差异性。创新点三：综合运用问卷调研、结构方程建模等方法,分析企业内外部人力资本对企业创新绩效的影响,提出企业内外部人力资本的创新作用机理模型。通过引入“组织沟通”这一调节变量,测度了在不同沟通环境中企业内外部人力资本与创新绩效相关性之间的差异。本论文研究通过内外部人力资本、知识与创新绩效的关系研究,在开放创新理论、知识网络理论、人力资本理论、协同创新理论之间架起了联系的桥梁,对相关理论研究进行了拓展与深化,为企业利用内外部人力资本等创新资源,增强创新能力提供了科学有效的理论指导。更多还原

【Abstract】 Nowadays, when intangible capital such as knowledge is gradually replacing traditional factors of production, knowledge system is constantly enriching and spilling over, and the flow of talent continues to increase, it is getting harder and harder for the enterprises to get profits through expertise and technology barriers. Enterprise innovation and development requires extensive use of external resources such as knowledge, talent and information to build their own knowledge system.Professor Chesbrough proposed Open Innovation theory, which provides a brand new mode of thinking for Innovation Management. He advocated that firms should effectively access, utilize and integrate innovation resources, including internal and external knowledge, technology and talents, in order to survive and succeed in the fierce competition. That means we should not only use internal talents but also external talents, creating joint force to enhance our competitive edge.Human is the subject of creating knowledge. Human capital development and management surrounding human has become a hot topic in the enterprise capital research as well as open innovation research. In the process of enterprise innovation, what are the composition and features of human capital, which participates in knowledge application and innovation activities, and influences innovation performance? How would enterprises promote organizational innovation performance by utilizing and integrating internal and external human capitals? This article is trying to answer these questions.This essay is based on literature review, exploratory case studies, theoretical modeling, field research and interviews with companies, questionnaire surveys, statistical analysis and verification process. It provides theoretical assumption and empirical inspection for the way of promoting innovation performance by integrating internal and external human capital. The main results of the study are:1Classified the interaction between internal and external human capital through theoretical summarizing and exploratory factor analysis; 2Testified the relationship between internal and external human capital level and innovation performance by using SEM model. It shows that different levels of human capital would positively influence innovation performance directly or indirectly.3Studied the readjusting effect of enterprise communication system on different human capital to promote knowledge accumulation and increment.4. Provided ways to promote innovation performance by internal and external human expertise.This paper has also made some innovative progress in below aspects:1Tried to propose the concept of internal and external innovation human capital, base on traditional concept of human capital. It emphasizes the importance of the practical benefit of external human capital and the interactional environment of internal and external innovation, and pointed out that the stocks and flows human capital are the fundamental impulse to promote cooperative innovation, and only that helps to realize enterprise increment proves the value of human capital management.2Tried to analyze and verify the structure and describe the features of internal and external human capital.This study analyzed the performance of different human capital on knowledge accumulation and knowledge enhancement.By studying the moderator of organizational communication,measured different relevance of internal and external human capital with communication system.3Used questionnaire survey and SEM to analyze the impact of internal and external human capital on enterprise innovation performance, and provided its mechanism model on innovation. By introducing the moderator "organizational communication", measured different relevance of internal and external human capital with innovation performance in various communication environments.This essay studied the relationship between internal and external human capital and knowledge and innovation performance, connected and expanded open innovation theory, knowledge net theory, human capital theory, cooperative innovation theory, and provided valid scientific guidance for enterprise to enhance innovation ability by internal and external human capital.更多还原