【作者】 高章存；

【导师】 汤书昆；

【作者基本信息】 中国科学技术大学 ， 管理科学与工程， 2008， 博士

【摘要】 从实践领域看,目前世界正在经历着一场深刻的经济、技术和管理的变革,企业组织赖以生存和发展的环境正在发生根本的变化。以往成功的经营战略和模式以及传统的管理理念已经日渐失去效力。概括地说,我们正转向一个全新的知识经济时代。与传统的工业经济形态具有本质区别的是,知识成为一种关键的要素和资源;知识工作者作为一种新的社会阶层,成为知识经济时代创造价值的主导力量;以学习能力为核心的知识管理已经成为企业获取持续竞争优势的根本性手段和全新的管理范式。从理论研究领域看,自二十世纪九十年代以来,知识管理和组织学习发展成为管理科学一个极具价值的前沿研究领域和研究热点;企业知识、组织学习与企业能力方面的理论研究,在国际范围内被看作一种显学。尽管如此,从知识增长和学习能力的角度来重新审视和考察原有经济学和管理学背景下的组织学习理论,无论在方法上还是在内容上都是一种创新。面对风起云涌的企业知识管理和组织学习浪潮,理论上亟需相应的研究来总结、发掘、发展企业的经验,从而来指导我国企业的经营和管理实践。基于此,本文的选题正是在经济知识化、全球化和信息化的宏观背景下,将企业学习能力作为研究对象,从理论上以新的研究视角分析企业学习能力的概念模型和理论框架,以期诠释当前企业组织学习管理实践所涉及的一系列基本理论问题,具有一定的学术创新性和前瞻性。概括地说,本文主要研究内容如下:一是在对企业学习能力相关理论文献进行充分调研的基础上,通过对企业学习能力研究的理论进程和代表性的学术范式与观点进行较为全面、系统的梳理、归纳、分析和比较,将企业学习能力理论分为主体能力观、过程能力观以及主体——过程综合能力观进行阐述,表明了企业学习能力研究在理论上具备相对独立的空间和地位,展示当代企业学习能力理论研究的概貌、脉络和发展空间,进而借鉴和吸收该领域取得的主要理论成果,同时针对现有研究的不足之处,找准企业学习能力理论的研究重点、方向和切入点,为本文研究的概念模型和分析框架奠定逻辑起点和理论基础。二是在对企业学习能力理论比较分析的基础上,运用经济学与管理学交叉的理论视角,研究企业学习能力的基本内涵和特征,界定企业学习能力理论的相关基本概念;紧扣基于知识增长的企业学习能力本质属性和动静二重性特征,借助于动态能力分析框架和价值链分析工具,提出基于知识增长的企业学习能力理论构成维度和结构模型。三是对知识分类的理论观点进行全面的梳理和分析,批判性地提出了关于知识分类的三分法和灰性知识概念,指出灰性知识不仅是一种客观存在的知识状态,更是企业学习能力作用下实现知识增长的重要一环。同时,紧扣企业学习能力的知识与认知属性,分析企业学习能力的作用机理实质上是企业认知活动过程,并针对目前企业知识创造理论模型的缺陷,从认知心理学这一全新的视角,提出企业学习能力作用下的知识增长IMCM过程模型,对传统的知识分类理论观点和Nonaka的SECI知识创造模型进行了修正。最后,对企业学习能力的要素联结机制进行了分析,阐明了企业学习能力要素在激发知识增长过程中的联结机理,并建立了相应的分析模型。四是根据前文对企业学习能力内涵、特征、结构与作用机理的理论研究成果,提出企业学习能力评价的概念模型和研究假设,采取规范的社会调查统计分析方法,设计企业学习能力评价的调查问卷,运用SPSS11.5统计软件工具对调查问卷进行统计处理和分析,提出了我国企业学习能力评价的构成维度和评价指标。其次,以此为基础,在管理实践上提出我国企业学习能力建设的政策与建议。在实践操作层面,提出我国企业学习能力培育和提升的政策措施。本文的研究创新主要表现在:(1)首先在选题上,摒弃了在泛知识管理的层面上探讨企业组织学习的传统研究思路,也不是一般性地从企业核心能力和竞争优势的视角来分析学习能力,而是立足于经济学与管理学交叉学科的视角,以知识增长为切入点研究企业学习能力,从而将企业知识理论与组织学习理论有机地融合起来,直接触及学习能力的本质內涵。(2)较为全面系统地比较和分析了企业学习能力的理论文献,分析了企业学习能力的主要理论范式和特征,揭示了主要的理论缺陷和突破方向。当然,也为本文的研究奠定了坚实的理论基础。(3)在理论界首次分析了基于主体的静态性和过程的动态性为一体的企业学习能力二重性特征,提出了基于知识增长的企业学习能力理论构成维度和相应的分析模型。(4)在对传统的知识分类观点进行综合分析比较的基础上,批判性地提出了关于知识分类的三分法和灰性知识概念。同时,紧扣企业学习能力的知识与认知属性,从认知心理学这一全新的视角,提出企业学习能力作用下的知识增长IMCM过程模型,对传统的知识分类理论观点和Nonaka的SECI知识创造模型进行了修正。(5)运用SPSS11.5统计软件工具对调查问卷进行统计处理和分析,提出了我国企业学习能力评价的构成维度和评价指标,保障了本文研究结果的逻辑与现实一致性,提高其理论成果的科学性和指导实践的实用性与可信度。更多还原

【Abstract】 In practice, the current world is undertaking a profound transformation in economy, technology and management, the environment which the enterprises rely on for existence and development has been changing fundamentally. The former successful operation strategy and pattern as well as the traditional management are losing their potency day after day. Generally speaking, we are running into a new era of knowledge-based economy. What is the essential difference from the traditional industrial economy is knowledge is becoming the key factors and resources. The intellectuals have emergence as a new kind of social class and the leading force to create values in the epoch of knowledge-based economy. Knowledge management, the core part of which is learning capability, has become the fundamental way and new managerial paradigm for keeping the sustainable competitive advantage. Taking the viewpoints from theoretical research area, the knowledge management and organizational learning has developed into one of the extremely valuable front line field and hot topic in the management science since 1990s; the researches about the enterprise knowledge, organizational learning and company competence, are regarded as a focus area in the international scope. However, it is an innovation to review and reassess the theory of organizational learning under the background of the former economic and management science from the perspective of the knowledge growth and learning capability both in the methodology and substantiality. Facing the tide of the enterprise knowledge management and organizational learning, theoretically it urgently needs the corresponding research for summarizing, excavating and developing the enterprise’s experience, thus instructing the enterprise’s operation and management practice in our country. Taking these into consideration, the selected topic of this article is, precisely under the macroeconomy background based on the knowledge, globalization and information, taking the enterprise learning capability as the object of study, analyzing theoretically the conceptual model and theory frame of the enterprise learning capability by the new research perspective, annotating a series of fundamental theory questions which the current enterprise’s organizational learning practice involves, which has certain academic innovation and foresightedness.Broadly speaking, the main contents of this article are as follows:Firstly, based on the sufficient investigation about the relevant literature of enterprise learning capability, combing, inducting, analyzing and comparing the theory advancement and representative academic models and viewpoints of the enterprise learning capability comprehensively and systematically, carrying on the elaboration for dividing the enterprise learning capability theory into the subject ability view, the process ability view as well as the subject-process synthesizing capacity view, indicating the enterprise learning capability theoretically has the relatively independent space and the status, demonstrating the general picture, the step and the space of development of enterprise learning capability at present age, then absorbing and profiting from the main achievement which this domain obtains, simultaneously aiming at the deficiency of the existing research, looking for the key point, the direction and the breakthrough point of the enterprise learning capability accurately, establishing the logical start and theoretical base for the conceptual model and analysis frame of this article.Secondly, based on the comparative analysis about the theory of enterprise learning capability, from the perspective crossing the economic and management science, research into the basic connotation and characteristic of the enterprise learning capability, define the basic relevant concept of the enterprise learning capability; focusing on the essential attribute and duality characteristics of dynamic and static of the enterprise learning capability which based on the knowledge growth, with the aid of analysis tool of dynamic ability frame and the value chain, proposing the constitutional dimension and structural model of the enterprise learning capability based on the knowledge growth.Thirdly, combing and analyzing the viewpoint of knowledge classification comprehensively, critically proposing the tri-classification methodology and grey knowledge concept, pointing out grey knowledge is not only one kind of objective existence, but also the important link which realize the knowledge’s growth under the function by the enterprise learning capability. Meanwhile, threading up the attribute of knowledge and cognitive about the enterprise learning capability, analyzing that the mechanism of enterprise learning capability is essentially the enterprise cognition activity process, and aiming at the flaw of the theory of enterprise knowledge creation at the present, from this new perspective of cognitive psychology, proposing the IMCM process model of knowledge growth under the function by the enterprise learning capability, carrying on the modification to the traditional knowledge classification and the Nonaka’s SECI knowledge creation model. Finally, carrying on the analysis to the joint mechanism of constitutional factor of enterprise learning capability under the process of knowledge growth, and setting up the corresponding model.Fourthly, depending on the research results about the connotation, the characteristic, the structure and the mechanism of the enterprise learning capability, proposing the conceptual model and hypothesis about the appraisal of enterprise learning capability, adopting the formal ways on social investigation and statistical analysis, designing the questionnaire of the enterprise learning capability appraisal, carrying on processing and analyzing the questionnaire by the SPSS11.5 statistics software tool, proposing the constitutional dimension and appraisal index of the learning capability for the enterprises in China. Furthermore, take the above mentioned as the foundation, proposing the suggestion about building the learning capability for Chinese enterprise in practice.The innovation of this article mainly displays in: (1) In selecting topic, it is neither the traditional ways of studying the enterprise learning in the general area of knowledge management, nor the general perspective of analyzing the learning capability from the core competence and competitive advantage, but is from the viewpoint of crossing the economic and management science, which takes the knowledge growth as the breakthrough point, thus has combined the theory of enterprise knowledge and organizational learning organically, and grasped the essential connotation of the learning capability directly. (2) Has compared and analyzed the literature of the enterprise learning capability comprehensively and systematically, has analyzed the main theory model and characteristic of the enterprise learning capability, has promulgated the main flaw and breakthrough direction. Certainly, also has laid the solid rationale for this article research. (3) In the theorists has firstly analyzed the duality characteristics of dynamic and static of the enterprise learning capability based on the subject’s static state and the process’s dynamic state, has proposed the constitutional dimension and the corresponding analysis model of the enterprise learning capability theory based on the knowledge growth. (4) Based on the generalized analysis and comparison to the traditional knowledge classification viewpoint, has critically proposed tri-classification methodology and grey knowledge concept. At the same time, has focused on the attribute of knowledge and cognition about the enterprise learning capability, from the new perspective of cognitive psychology, has proposed knowledge growth IMCM process model under the function by the enterprise learning capability, has carried on the revision to the traditional knowledge classification theory viewpoint and the Nonaka’s SECI knowledge-creating model. (5) Has carried on processing and analyzing the questionnaire by the SPSS11.5 statistics software tool, has proposed the constitutional dimension and appraisal index of learning capability for our country enterprise, has ensured the consistency in logically and realistically for the findings of this article, has enhanced the scientific performance for the theory results and the usability and reliability for practice.更多还原