【作者】 李景峰；

【导师】 梁嘉骅；

【作者基本信息】 山西大学 ， 管理科学与工程， 2008， 博士

【摘要】 知识自古以来就处在经济增长和社会发展的核心地位。创造新知识、新思想并使之体现于产品、过程和组织中的能力是人类发展的永恒动力。人类社会在从狩猎向农耕再向机械的巨大转型中，古代埃及、印度、巴比伦和中国都向世界贡献了自己独特的知识体系。工业革命以后，英国、美国等资本主义国家凭借强大的科学技术优势主导着世界经济的发展。目前世界上公认的知识经济型国家包括有美国、日本等。这些国家的创新综合指数明显高于其他国家。改革开放以来，依靠国家改革开放的政策和自然资源、劳动力以及资本的比较优势，我国保持了三十年经济的高速增长，但是这种经济增长面临着与环境和资源紧张关系带来的“增长极限”。要保持经济的持续增长，必须建立以科技创新为前进动力和发展潜力的内涵式扩大再生产的增长方式，依靠科技进步与自主创新提高生产效率。党的十六届五中全会提出贯彻落实科学发展观、加强自主创新能力建设的方略。全国科学技术大会提出了至2020年把我国建设成为创新型国家的奋斗目标，确立了科学技术的优先战略地位。党的十七大报告明确指出：提高自主创新能力，建设创新型国家，是国家发展战略的核心，是提高综合国力的关键。我们清醒地意识到实施科教兴国战略，增强以经济和科技为基础的综合国力，将最终决定中国在国际上的地位。企业既是国家经济的基础和命脉，又是当代科学技术创新的重要舞台；既是推动科学技术进步的重要力量，也是技术创新投入的主体和行为主体。但中国的多数企业还难以担此重任，突出表现在重引进轻消化吸收再创新，关键技术自给率低，以技术创新为核心竞争力的企业还比较少。要想有效提升我国科学技术的国际竞争力和影响力，就必须确立企业技术创新和科技投入的主体地位，增强企业的研发能力，坚持先进技术的引进、消化、吸收和自主创新相结合，实现市场开拓、技术创新和生产经营一体化，提升我国企业有效吸纳、共创、分享全球创新知识的能力。古典经济理论认为，经济增长产生于资本积累和劳动分工，企业应该顺从市场对资源的配置，让资本流向最有效率的生产领域。新古典主义经济学理论将公司视为特定市场上的一系列商业合同或降低交易成本的机构，其内在基因中现实资本和人力资本的结合，通过企业家、机制、技术和文化诸多因素的相互非线性作用，形成企业的涨落。在适应市场竞争中筛选出更有竞争力的企业机制，更领先的创新技术、更优秀的企业家和更积极的企业文化，从而推动企业的成长演化。在知识管理者的视野中，一切形式的物质资本和人力资本，归根结底都是知识积累和储存的方式。知识经济体现的是对知识的增长和物质的节约，即知识通过融入实物资源之中、把实物资源组织起来和增强行为主体的理解力等三种途径实现对实物资源的节约。P．Drucker概括说，知识经济时代中企业存在的理由是挖掘用户需求，生产产品和服务并满足这种需求以创造价值，创新就是企业家们达到这个目的的特效工具。知识管理研究语境下的企业创新活动就是企业知识在现代企业空间中的不断运动以获取最大效用的过程。企业创新活动肇始于市场竞争的压力和企业发展的强烈欲望导致形成的创新动力。这种动力通过推动企业知识的运动而裂变为创新的产品，从而提高企业效益，满足了企业成长的欲望并进一步刺激了这种欲望。最近几十年，由科学理论到应用技术，再由应用技术到终端产品之间的转化速度不断刷新。企业的核心知识也依照知识的创造、转移和应用的路径呈现加速运动。在对企业知识的内在结构进行重新解读的基础上，作者构建了企业知识运动的协同进化模型：技术知识和属性知识的关系就是生产力和生产关系的关系，两者之间相互作用，协同进化，共同形成企业知识生命体的双螺旋结构。企业的这个知识生命体沿时间轴运动表现为知识的生成与演化，沿空间轴运动表现为知识的转移与应用。作者将这个过程表述为企业知识的“生成——转移——应用”。第二章分析企业知识运动研究的基础。首先作者对企业知识等相关概念进行界定，然后对企业知识运动研究状况进行评述。研究发现，Peter Drucker首先提出了“知识管理”的概念，Teece较早地提出了知识转移思想，Ikujiro Nonaka最先系统提出了“企业创造知识”的观点并建立了知识转移的SECI模型。对知识过程管理的研究中涉及知识运动的基本流程，企业作为知识管理的主体日益被重视；但是国内外对“企业知识运动”却鲜有提及。在本文的第三章中，作者试图建立企业知识的协同进化模型。作者认为企业知识包括技术知识和属性知识两大类，技术是一种人类改造世界的知识，属性知识则是机制和文化因素的总称；作者将企业作为开放的复杂系统，以知识为主体对MaxH．Boisot的信息空间予以修正，重新界定并构建了企业知识系统和企业的时空概念。这个企业知识空间以企业知识的创造、转移和应用为基本维度，以企业技术知识和属性知识协同演化为主要表现形式(如表0-1)。第四至八章是本文的主体。作者对企业知识运动的分类、企业内部知识运动过程和知识外溢引起的协同进化分别进行专门论述，重点分析企业如何对知识运动进行组织设计，还结合山西汾酒的案例，试图给出一个企业知识协同演化的运动模板。作者得出的结论是，企业的成长有赖于企业强烈的创新欲望的驱动，知识的生成、转移和应用将使企业容易得到更多的知识，进而成为企业创新的重要激发剂。技术知识要体现其溢出效应进而实现真实的增值，需要管理、市场销售的配合，还需要巨大的投资保障和一切向前看的灵活的企业文化环境建设。而企业家的战略、眼光和风险意识或许是推进企业知识运动中最重要的因素。本文的创新之处体现在三个方面：第一，作者超越知识转移的范畴，首先提出企业知识运动的概念，并认为其内涵是创新驱动的企业知识的生成、转移和应用三个层面，三者之间构成一个不可分割的高度统一的整体。第二，本文对企业知识的内在结构进行全新的解读，提出并论证了技术知识和属性知识协同演化的企业知识运动模型。第三，作者在研究过程尽量突破新古典的静态均衡分析方法，运用复杂系统分析方法，结合真实的企业案例研究企业知识的非线性运动，本文还结合山西汾酒案例对这个模型进行印证。由于各种条件所限，本文未能对企业知识资本进行具体测评，并在微观层次上描述其运动的轨迹。企业知识运动是一种新的概念，这个概念内涵和外延的界定依然存在极大的不确定性。由于汾酒项目展开时间有限，加之企业数据采集的难度，导致案例研究中许多目标未能实现。更多还原

【Abstract】 Since the era of our ancestors, knowledge has been the core factor of economic growth and social development. The creation of new knowledge, new ideas and the capabilities of making them embodied in products, processes and organizations are the eternal dynamic in the development of human beings. From hunting to farming to machinery, Human society has changed a lot in every huge transition. Long time ago, Ancient Egypt, India, Babylon and China have contributed their own unique knowledge system. After the industrial revolution, the United Kingdom, the United States and other capitalist countries dominate the world economic development depending on their strong scientific and technological superiority. At present, United States, Japan, and like this have been recognized to be the countries with knowledge economy in the world, Innovative Composite Index of which is significantly higher than that of other countries.Since the reform and opening up policy has been carrying out, relying on the state’s reform and opening up policy and natural resources, labor and capital comparative advantages, China has maintained a high economic growth rate within 30 years, but the economic growth is faced with the "growth Limit" brought by the tension relationship between the environment and resources. To maintain sustained economic growth, we must establish an expanding reproduction growth mode at the connotation level with the technology innovation as the driving force and the development potential, and increase our productivity efficiency by relying on the scientific and technological progress and independent innovation. In the Sixteenth Plenary Session, the CPC put forward the policy of implementing the scientific concept of development, and strengthening the contribution of independent innovation capacity. And the National Conference on Science and Technology proposed a goal to change China to be an innovation-oriented country before 2020, and established a priority strategic position of science and technology. The report of the 17th National People’s Congress of the Communist Party of China clearly pointed out: improving the ability of independent innovation and building an innovation-oriented country are the cores of the national development strategy and are the keys to improve our comprehensive national strength. We are soberly aware that implementing the strategy of revitalizing our country by science and education, strengthening our comprehensive national power in the basis of economy, science and technology will be finally decided by the international status of China.Enterprise is not only the country’s economic foundation and lifeline, but also the important arena of contemporary science and technology innovation; not only the important force to promote scientific and technological progress, but also the subject and the actors of technical innovation investment. But most of Chinese enterprises can’t bear this difficult task now, the most prominent of which is that they always devote to introduce while don’t pay more attention to digestion, absorption and the re-innovation, the low rate of self-sufficiency of key technology, and the enterprises with the technological innovation as the core competitiveness are still less relatively. To effectively enhance China’s international scientific and technological competitiveness and its influence, it is necessary to establish enterprises’ principal position in technological innovation and scientific and technological input, enhance their research and development capabilities, insist the introduction, digestion, absorption of advanced technology and integrate with independent innovation, achieve the integration of the market development, technological innovation and integration of the production and operation, and improve our enterprises’ capacities of effectively absorbing, creating, and sharing the global innovative knowledge.Classical economic theory says that the economic growth comes from the accumulation of capital and the division of labors, and enterprises should comply with the resources distribution by market, and let capital flow to the areas with the most efficient productivity. Neoclassical economic theory sees companies as a series of commercial contracts or some institutions to reduce transaction costs in the specific market, in the inherent gene of which the combination of real capital and human capital through mutual Nonlinear effects of factors such as entrepreneurship, mechanisms, technical and cultural, forms the business fluctuation. Selecting more competitive enterprise mechanisms, more advanced innovative technology, better entrepreneurs and more positive corporate culture in the adaptation to the market competition can help to promote the growth evolution of enterprise.In the knowledge manager’s vision, all forms of physical capital and human capital are the way of knowledge accumulation and storage. A knowledge-based economy always reflects the growth of knowledge and material savings, that is, through the three ways of integration of knowledge and physical resources, the organization of physical resources and the enhancement of actors’ understanding capacity to achieve the physical resource conservation. P. Drucker said summarily that the reason for the existence of enterprises is mining customers’ demands, producing products and services to meet these demands in order to create value. And innovation is the entrepreneurs’ effective tools to achieve this aim. Innovation activities of enterprise in the Context of Knowledge Management are the process that the core knowledge moves constantly in the space of modern enterprises to get the most effectiveness.Enterprise Innovation activities originated from the innovation force led by the pressure of market competition and strong development desire of enterprise. Such driving force promotes the enterprise knowledge movement and develops to be innovative products to improve enterprise efficiency, and it meets the enterprises’ growth desire, and further stimulates this desire. In recent decades, the conversion speeds from scientific theory to application technology and from application technology to the end-product has been constantly updated. The core knowledge movement of enterprise has also been accelerated according to the path of knowledge creation, transfer and application. Based on the re-interpreting of the inner structure of enterprise knowledge, the author constructs a co-evolutionary model of enterprise knowledge movement: The relationship between technical knowledge and attribute knowledge is the one between productivity and production relations, and the two jointly form a double-helix structure of company with life. The enterprise knowledge is described as the formation and evolution of knowledge along with the time dimension, and the knowledge transfer and application along with the space dimension. The author describes the process as "knowledge formation - knowledge transfer - knowledge application."The chapterⅡmakes a research about the base of enterprise knowledge movement. First the author defines the conception of enterprise knowledge and other related concepts, and then reviews the existing studies on the enterprise knowledge movement. By reviewing, we know that Peter Drucker proposed the concept of "knowledge management" firstly, Teece put forward the thought of knowledge transfer earlier, and Ikujiro Nonaka first systematically put forward SECI model of enterprise knowledge creation. Although the researches of knowledge process management refer to the basic process of knowledge movement, and the enterprise as a subject of knowledge management has been gradually paid more attention, the research results about "Enterprise Knowledge movement" are extremely rare at home and abroad.In the third chapter, the author attempts to set up an enterprise knowledge co-evolutionary model. The author thinks that the enterprise knowledge includes the two categories, technical knowledge and attribute knowledge. Technical knowledge is a knowledge used to transform the world by human beings, and attribute knowledge is the collectively form of the mechanism and cultural factors. By making enterprise as an openly complex system, the author amends the meaning of information space of Max H. Boisot, and redefines and builds the enterprise knowledge system and the concept of time and space. The basic dimension of this enterprise knowledge space is the knowledge acquisition, transfer and evolution. And the main form is the co-evolution of the enterprise technical knowledge and attribute knowledge. (Table 0-1)The main body of this article is the chapterⅣtoⅧ. The author studies the classification of enterprise knowledge movement, the knowledge movement in the enterprise and the co-evolution led by knowledge spillover respectively, then mainly analyzes that how to design the enterprise knowledge movement at the organizational level. With the case of Shanxi Fen Wine Group, the author attempts to give a specific movement template of enterprise knowledge co-evolution. The author concludes that the growth of enterprise depends on the driving force of innovation desire. Growth, transfer and application of knowledge will help to achieve more knowledge easily, and will become an important innovation agent of enterprise. Technical knowledge needs to indicate its spillover effect and fulfill its true added value. And it also needs the co-operation of management and market, and a huge investment security and the construction of flexible and looking-forward culture environment. And entrepreneurial strategy, vision and risk awareness are perhaps the most important factors to promote enterprise knowledge movement.There are three innovation points of this paper: puts forward the concept of enterprise knowledge movement first beyond the scope of knowledge transfer, and thinks that its meaning is the three levels of enterprise knowledge driven by innovation: enterprise knowledge formation, transfer and application, and the three constitute an indivisible highly unified whole. Second, the author gives a new interpretation to the internal structure of enterprise knowledge, proposes and demonstrates an enterprise knowledge co-evolution model about the technical knowledge and attribute knowledge. Third, the author tries to breakthrough the new classical static equilibrium analysis methods in the research process, and uses the complex analysis method with the real business case to study the nonlinear dynamic movement of enterprise knowledge. And this paper also confirms this model with the case of Shanxi Fen Wine Group.Because of limitations of some conditions, this paper fails to carry out a specific appraisal of enterprise knowledge capital, and describe its movement trail at the micro level. Enterprise Knowledge movement is a new concept, the definitions of whose connotation and extension are of great uncertainty. Because of the limited time of the research about the project of Shanxi Fen Wine Group, coupled with the difficulty of enterprise data acquisition, many of the objectives of the case study couldn’t be achieved.更多还原