基于能力框架的HRST能力建设研究

【作者】 沈漪文；

【导师】 王沛民；

【作者基本信息】 浙江大学 ， 管理科学与工程， 2009， 博士

【摘要】 以科学技术为基础的创新活动将社会生产力和人类文明不断推进到新的阶段。在知识经济时代,资源和资本竞争优势逐渐被劳动力素质以及劳动力素质决定的科学技术竞争优势代替。无论是发达国家还是发展中国家,都把科技人力资源(Human Resource in Science and Technology,简称HRST)视为战略资源和提升国家竞争力的核心要素。胡锦涛同志代表党和国家于2006年郑重提出了“大力加强科技人力资源能力建设”的任务,但由于HRST能力建设这个术语出现的时间不长,在我国学术界还是全新的概念,对它的深入研究则更少。基于此,论文以ICT(information communication Technology)专业为例,对HRST能力建设问题进行探索,期望能填补此项研究空白。论文以HRST为对象,以“能力建设”为主线,以能力框架为依托展开研究。从能力建设的提出及其内涵发展着手,阐明科技人力资源能力建设的内涵和要旨,在对国外ICT能力框架进行比较研究的基础上,建构了HRST能力建设概念模型,并作了相应实证研究,借助理论和实证分析的结果,就能力对职业发展的促进作用进行探讨。本论文的主要工作和结论如下:(1)完善HRST能力建设理论。HRST能力建设是全新的概念,在现有的研究中,无论是从研究的深度还是广度看,该领域中的研究还远远不够,还远未成熟和系统化。论文在研究HRST的内涵、能力建设术语的起源与发展、能力内涵及衡量标准的基础上,提出HRST能力建设的定义,为HRST能力建设理论的完善做出了新贡献。(2)在研究国外ICT能力框架的基础上给出建立能力框架的方法。能力框架是具有一系列定义的广泛使用的分类方案;从需求方的角度描述了所需劳动力的技能种类和结构,是测量和提高劳动力技能的一个重要工具,可以为能力的评价提供一个理性的基础。因此能力框架作为基础框架,对HRST能力建设的开展具有重要作用,但我国目前尚未对能力框架进行过系统的研究。论文在对美国NWCET IT能力标准框架、美国O*NET在线数据库、欧洲career-space框架、英国SFIA和SFIAplus框架以及德国IT高级培训系统等ICT能力框架进行研究的基础上,区分出以职业为导向的模式、以技能为导向的模式和以工作流程为导向的模式这三种能力框架的模式。同时对不同模式的能力框架进行比较,给出建立能力框架的建议。(3)对HRST能力建设的实践进行探索。尽管目前与HRST能力建设有关的活动一直在积极地进行,而且随着对HRST重要性认识的日益提高,对其能力建设的关注度也日益增加,但具体到如何操作的实践研究很少。论文以HRST能力建设的定义为基础,从个人、企业、国家三个层面构建了HRST能力建设概念模型,并通过案例对该概念模型进行了详细说明。国家是HRST能力建设的宏观层面,与国家的可持续发展战略相关,国家为HRST能力建设的顺利开展提供法律制度的保障和支持,具体包括制定法律法规、政策引导、完善资格证书制度及建立能力框架体系等内容。企业是HRST能力建设的中观层面,企业通过HRST能力建设得以可持续发展,具体包括职位描述、建立组织机构、能力评估、能力差距分析、建立小组/识别专家、制定职业发展计划等步骤。个人能力建设是HRST能力建设的微观层面,个人通过能力建设提高自身的能力水平,是个人继续职业发展必须的环节,具体包含职业定位、能力差距评估、选择证书、选择培训方式和培训机构等步骤。(4)提出ICT能力发展模型并予以验证。根据较为通用的划分方法,将能力分为与专业无关的一般能力以及与特定专业相关的能力两大类。论文针对一般能力进行研究,提出能力与专业发展关系的概念模型,指出资源配置能力、信息能力、沟通能力、技术能力、系统能力、基础知识、思维能力、个人素质这8个通用能力项对继续专业发展均有直接影响的假设。通过问卷调查、数据分析得出假设关系成立,即提高这8类能力都能不同程度地促进专业人员的继续专业发展。以此为基础,论文进一步提出资源配置能力、信息能力、沟通能力、技术能力、系统能力这五类能力是关键能力项,对专业发展有直接影响,而基础知识、思维能力、个人素质这3类能力是基础技能项,通过影响前面5类能力间接影响专业发展的假设。通过数据分析,该假设也得到验证。上述结论对HRST能力建设具有重要的启示意义:对于HRST而言,更好实现个人继续职业发展的目标需以基础技能项为基础,有针对性地提高关键能力;对于企业而言,上述研究结果有助于分辨出通用能力项和关键能力项,根据不同岗位采取有针对性的措施来发展所需的能力,利于企业的资源得到合理配置,有效地培养企业所需人才。更多还原

【Abstract】 Science and technology innovation activities push social productive forces and human civilization forward continuously.Resource advantage and capital advantage will be replaced by labor qualities advantage as well as science and technology advantage in knowledge economy era.HRST is regarded as strategic resources and core element to promote national competitive advantage in developed countries and developing countries.HRST(Human Resource in Science and Technology) capacity building was put forward by HuJingtao in 2006,HRST capacity building is a new concept in China,say nothing of research in-depth.The dissertation takes ICT (information communication Technology) as an example and aims to fill this gap in the research literatureThe study objective of this dissertation is HRST and the main content is about capability building.Based on how the terminology of capability building is put forward and developed,the dissertation clarifies the definition of capability building of HRST,and compares several main foreign ICT competence frameworks,then develops a HRST capacity building conceptual model,finally,the dissertation discussed relationship between competence and professional development.Some important results and conclusions are as follows:(1) theory perfection.HRST is a new concept to us,it is seldom studied by far, thus the theory is immature and unsystematic.Based on study of connotation of HRST,the origin of capacity building and its development,the dissertation clarifies connotation of competence and competence standard,then proposes a new definition, the study makes contribution to the perfection of theory of the capability-building of HRST。(2) giving method for constructing competence frameworks.Competence framework is basic framework for capability building of HRST.Which specifies the demand side of the ICT practitioner labor market,there is no one "correct" approach that can lead to coherent set of recommendations for ICT Practitioner Competence Frameworks in the short term.recommendations are derived by best practice analysis studying major Competence(skills)frameworks already in place in Europe and worldwide,including the US National Workforce Centre for Emerging Technologies (NWCET)IT Skill Standards,O~*NET online of United States,the UK’s SFIA Foundation’s Skills Framework for the Information Age UK and SFIAplus,the Career-Space framework,the German Advanced IT Training System (AITTS/"APO-IT") framework,etc.based on which the dissertation present three kinds of patterns:job orientation,skills orientation and development process orientation,then compares and gives recommendations for building competence frameworks.(3) Practical exploring of capability building of HRST.Activities of capability building of HRST have been actively carried out at home and abroad,and attention to which becomes increasingly pronounced along with the importance of HRST,but research on how to operate is seldom mentioned.Based on clarified definition of capability building of HRST,the dissertation constructs a conceptual model of capability building of HRST from three aspects,and explains this conceptual model through a lot of cases.Nation is the Macro-aspect in capability building of HRST, which makes a strategy of sustainable development,provides legal system guarantee to ensure capability building of HRST work well,including enacting law system, policy instruction,perfecting systems of qualification framework and constructing competence framework system,etc.enterprise capability building is the Mesne-aspect in capability building of HRST,enterprises gain sustainable development through capability building of HRST.capability building of HRST in enterprise aspect comprises:generate job descriptions,set up organization structure,competence assessment,perform gap analyze,select project teams/identify experts,make career development plan.Individual capability building is the Micro-aspect in capability building of HRST,which can improve individual’s ability and is paramount to individual’s continuing professional development,the process of Individual capability building including job position,perform gap analysis,choose certification, choose training provider and training form.(4) The dissertation develops and validates an ICT competence model.The common method divides competence into two types,one is general competence,the other is specific competence.The dissertation aims at analyzing general competence and proposes a model that describes relationship between competence and professional development,which Identifies eight competence,these are resources, information,interpersonal skills,technology,system,basic skills,thinking skills, personal qualities,and Put forward hypotheses that these eight competence influence continuing professional development directly.Questionnaire of investigation and data analyses validate this hypotheses.Then proposes hypotheses further that resources, information,interpersonal skills,technology,system are key competences,which influence personal professional development directly,while basic skills,thinking skills,personal qualities are basic competences,which indirectly influence personal professional development through affecting the five key competences.This hypotheses is validated also.This conclusion has important practice significance in that it suggests that HRST should reinforce key competence selectively during the course of continuing professional development.The conclusion also helps enterprises to distinguish basic competences from key competences,so enterprises can take relevant steps to improve competences that will favor the development of enterprises, which can allocate enterprises resources and train personnel effectively.更多还原