【作者】 陈亮；

【导师】 陈忠；

【作者基本信息】 上海交通大学 ， 管理科学与工程， 2009， 博士

【摘要】 进入二十一世纪,国家将自主创新,建设创新型国家作为面向未来的重大战略。而企业作为实施这一重大战略的主体,其创新能力成为最关键问题。同时,在知识经济时代,尤其对于知识密集型产业,企业的竞争力越来越依赖于企业已积累的知识和企业学习、运用和创造知识的能力。而企业的知识活动最后都要分解为员工个人的知识活动,也就是说员工个人知识活动的效率和效果决定着企业知识活动的效率和效果,决定着企业的创新能力。目前,已有大量文献研究员工知识活动的影响因素。其中,一些学者研究组织因素对员工知识活动的影响,例如企业文化、组织氛围、Nonaka的“ba”理论、激励制度等;一些学者研究知识本身的特性对员工知识活动的影响,例如知识的可靠性、因果关系和知识的应用背景等;一些学者从员工的心理角度进行研究,例如考察员工的动机、心理安全感、是否对权力产生畏惧等;还有一些学者研究员工间的关系对员工知识活动及绩效的影响,例如强关系、弱关系、信任和激能关系等。系统科学认为系统的结构决定功能,仅仅针对员工个体的研究是无法对企业所有员工的整体行为进行全面了解的。因此,一些学者开始关注员工所构成的网络:员工知识网络和员工关系网络,并已取得了相应的成果:员工在员工知识网络的位置影响着员工的知识创造和绩效;员工在关系网络的位置及其结构影响着员工的知识活动和绩效。这些研究成果又引发了一些深入的思考:员工关系网络与员工知识网络的关系如何?两者对员工绩效的影响如何实现,是协同作用,还是一方以另一方为中介施加影响?而且,已有学者对员工间关系进行了细分:强关系、弱关系、能力型信任关系、友善型信任关系和激能关系。那么这些不同类型的关系网络对员工知识网络影响如何,是否一致呢?一方面,学者们通过研究发现员工关系网络对于企业知识流及绩效发挥着非常重要的作用,另一方面,企业管理者投入了大量的财力和人力在企业内部开展着各种管理,那么企业的这些管理实践活动对于企业员工关系网络的影响如何,哪些是正面影响,哪些是负面影响?此外,员工所积累的知识是员工开展知识活动的前提和基础,然而目前针对员工知识存量的测量难以避免片面性的质疑,如何才能全面地测度员工知识存量呢?而且,员工在企业知识传递中所承担的角色不同,那么传统的企业员工评价方法是否能对这些角色进行正确区分呢?本文应用社会网络分析方法和复杂网络理论,基于企业知识基础论和社会资本理论,针对这些问题进行了深入研究,下面将主要研究结论和主要创新点总结如下:一、提出一个新的员工知识存量测度方法,实证知识员工与非知识员工知识积累方式的差异企业的知识和学习、应用创造知识的能力是企业可持续竞争优势的重要源泉。企业所有的知识活动都必然要分解为员工的个人知识活动;这些活动都是以员工的个人知识存量为基础的。很多学者为了测度知识存量,或者仅仅测度显性知识,或者通过某一个角度来测量意会知识,都无法避免片面性的质疑。基于员工知识网络,本论文提出了一个新的员工知识存量测度方法,并实证研究了员工知识积累的途径,提出知识员工知识存量主要受当前企业工作经验的影响,而非知识员工知识存量主要受产业内工作经验的影响。该结论加深了知识密集型企业和劳动力密集型企业主要差别的了解。二、基于员工知识网络对企业关键员工进行细分企业从员工绩效和对于组织重要性的视角来评价员工重要性的传统方法在知识经济时代,尤其是知识密集型行业,越来越难以适应新竞争所带来的新要求。由于企业员工知识网络是企业知识的主要载体,尤其是企业意会知识的唯一载体,因此本论文从企业员工知识网络的角度区分了关键员工,阐述不同关键员工:知识源、知识桥梁和明日之星的特点及其对企业的风险,并从知识网络抗损性来研究关键员工对企业知识网络的影响。三、员工关系网络通过员工知识网络的中介作用对员工绩效施加影响企业员工关系网络分别对员工知识活动、员工绩效有着重要的影响,同时员工知识网络也显著地影响着员工绩效。那么员工关系网络与知识网络对绩效的影响是协同作用,或者是一方以另一方为中介而施加影响呢?本论文的实证研究结果指出,员工关系网络通过员工知识网络的中介作用而影响员工绩效的。该实证研究的另一个贡献在于实证了员工在知识网络中的联系多样性显著地影响着员工的绩效。四、员工不同关系类型的关系网络对员工知识网络的影响不同有学者分别阐述了员工间存在着不同类型的关系,例如强关系、弱关系、能力型信任关系、友善型信任关系和激能关系等,并指出这些关系对员工间的知识传导行为有影响。这些不同类型的员工间关系对于员工知识传导行为的影响程度是否一致,或者哪一个影响更大呢?本论文实证了强关系网络、能力型信任关系网络和激能关系网络显著地影响着员工知识网络,而员工友善型信任关系网络对员工知识网络的影响不显著。五、组织沟通的模式决定了员工关系网络的演化大量的研究证明员工关系网络对于知识传导和绩效有着非常显著的影响。然而目前却鲜见关于企业组织因素对员工关系网络影响的文献。这主要是由于目前研究员工关系网络的文献收集数据的方式是问卷调查,而问卷调查无法实时跟踪员工关系网络的变化,而且也不可能在短时间内多次使用。本论文应用复杂网络理论的方法和建模思想,提出并详细介绍了员工关系网络生长模型,借助仿真实验探索了企业员工关系网络演化过程,发现组织鼓励员工团队内部和跨团队沟通的努力程度显著地影响着员工关系网络结构,而这些结构又与企业、个人的绩效密切相关。针对仿真模型研究的一个典型缺陷:缺乏外部有效性,本论文将仿真实验数据及其理论上的逻辑结果分别与本研究所搜集的经验数据、其他学者的案例研究进行比较,结果证明两者比较相符,说明该模型及其基于该模型的研究结论是可信且有效的。本论文的实践意义在于:企业可以利用本论文提出的员工知识存量测度方法,来了解本企业员工以及本企业知识积累的主要途径;同时可以借鉴本论文提出的基于员工知识网络评价关键员工的方法,全面了解本企业员工所承担的不同角色,并挖掘出关键员工,有针对性地采取不同管理措施;由于企业科层组织化管理,企业内部各种有形和无形的边界使得大部分员工只熟识本部门或同一项目组的员工,很少有机会能跨部门甚至跨组织向其他人请教问题。而员工知识网络受员工关系网络影响,该结论为企业管理实践提供了思路。企业管理者为了扩展员工寻求帮助的范围,应该从扩展员工所认识朋友的范围着手。而本论文另一个研究结论:关于组织沟通模式对企业员工关系网络的影响,为企业管理实践提供了操作目标。企业可以从鼓励和支持员工团队内和跨团队沟通着手。企业组织应该为员工提供各种便利,为员工跨部门沟通,跨项目组沟通创造机会:企业既要通过组织各种集体活动来创造正式的沟通机会,也可以提供咖啡间或者休闲茶吧,提倡不同部门的员工一块午餐等来创造非正式的沟通机会。同时,企业组织还应该鼓励中高层领导多与一线员工沟通,增加公司中高层领导与一线员工交流的机会。而对于员工个人来说,员工应该有意识并主动地与不同项目组、部门以及公司中高层管理者联系。而且本论文研究实证员工强关系网络、能力型信任网络、激能关系网络影响着员工知识网络。因此企业在不断拓展员工的朋友范围同时,还要不断优化员工的朋友结构,并提升员工间的关系质量。更多还原

【Abstract】 Since the entry into the twenty-first century, the government set the self-innovation, building innovative country as the national major stratigies. The enterprises, however, are the main entities to carry out these stratigies, and the innovation capability is the key point. In the time of knowledge ecomomy, especially for the knowledge-intensive industry, the firms’competences are increasingly relying on their accumulation of knowledge and the capability of learning, leveraging and creating knowledge. But the knowledge activities of organizations will be broken down to the individuals’knowledge activities, or in other words, the efficiency and effectiveness of in’ividuals’ knowledge activitivies determine those of the firm’s knowledge activities, also determine the firm’s innovation capability.Till now, a lot of researches have devoted to studying the influential factors of employees’knowledge activitities. Some researchers focus on the organizational factors’effects, such as the organizational culture, climate, the“ba”theory initiated by Nonaka, the motivation mechanism. Some analyse the influence of characteristics of knowledge on those activities, e.g. the unproveness of knowledge, causal ambiguity and context. Some study from the perspective of individual’s psychology, such as the motivation, psychological safety, power and fear. Others study the impact of interpersonal relationships on employee’s knowledge activities and performance, such as the strong ties, weak ties, trust and energy. System science argues the structure of system determines its function, therefore these researches only focusing on the individual-level can not help to grasp the collective activities of all the employees. Then some scholars turn their attentions onto the network embedded with employees: the interpersonal relationships network and knowledge network, and also make some achievements: the positon in the knowledge network affects the individual’s knowledge creation and performance; The position and structure in the interpersonal relationships network influence the employee’s knowledge activities and performance. And these achievements bring about other deeper thinking: what is the relationship between the interpersonal relationships network and knowledge network? How do they utilize their influence on the individual performance jointly, or one serves as intermediate for the other? Furthermore, some scholars divide the interpersonal relationship into other parts: strong ties, weak ties, competence-based trust, benevolence-based trust and energy. So how do these different types of relationships affect the knowledge network, and are these affects identical? Focusing on the interpersonal relationships network, what kind of organizational factors dominate the evolution of the interpersonal relationships network? Besides, the employee’s accumulation of knowledge is the premise and foundation of his knowledge activities, but the current knowledge measurements can not avoid the question about one-sidedness, then how can we measure the individual knowledge stock from a comprehensive perspective? What’s more, employees play different roles during the process of knowledge transfer, then will the traditional employee evaluation methods be suitable to discriminate these roles accurately? Employing the Social Network Analysis (SNA) and complex network theory, the dissertation attempts to answer these questions discussed above. The major results and innovative points are listed below:1. New method to measure the employees’knowledge stock is proposed, this research demonstrats the different means of accumulating knowledge between the knowledge workers and non-knowledge workersThe firm’s accumulation of knowledge and its capabilities of learning, leveraging and creating knowledge is the major source of enterprise’s sustainable competitive advantage. The firm’s knowledge activities will be broken into the individuals’knowledge activities, and these activities are based on the individual knowledge stock. Many scholars make efforts to measure the knowledge stock, or only focusing on the explicit knowledge, or focusing on other capital embedded with knowledge, but these means can not avoid the question of one-sidedness. Based on the knowledge network, this dissertation proposed one new method to measure knowledge stock, and analysed the means of accumulating knowledge with empirical data, and demonstrated that the knowledge workers’knowledge stock is mainly influenced by the firm-specific tenure, while the non-knowledge workers’knowledge stock by the industry-specific tenure. This result shed a light on the difference between knowledge-intensive firms and labour-intensive firms.2. Different roles of employees are discriminated based on the knowledge networkThe traditional methods to evaluate the key employees based on the performance and significance for the organization are becoming increasingly unsuitable in the time of knowledge economy, especially for the knowledge-intensive industry. As the knowledge network is a major carriage of firm’s knowledge, this dissertation discriminated different types of key employees: knowledge source, knowledge bridge and future star, from the perspective of knowledge network, and also stated their properties and the corresponding risk. These key employees’influence on knowledge network is also explored from the perspective of knowledge network resilience.3. Knowledge network serves as an intermediate role between interpersonal relationships network and performanceThe firm’s interpersonal relationships network affects the employees’knowledge activities and performance respectively, and the knowledge network influence the individual performance significantly. So will the interpersonal relationships network influence the performance jointly with knowledge network, or will one serve the intermediate role for the other? The research result pointed out that the knowledge network moderates the influence of interpersonal relationships network on performance. The other contribution of this research is that the influence of diversity of knowledge network on performance is demonstrated.4. Different types of interpersonal relationships network have various influence on knowledge networkSome scholars suggest that there are different types of relationships between employees, such as strong ties, weak ties, competence-based trust, benevolence-based trust and energy, and that thse relationships affect the employees’knowledge activities. Will the effect of these different types of relationships on individuals’knowledge activities be identical, or which one has stonger effect? This dissertation demonstrated that the strong ties network, competence-based trust network and energy network influence significantly the knowledge network, while the benevolence-based network has non-significant effect.5. The ways of communication between employees determine the evolution of interpersonal relationships networkA lot of researches prove that the interpersonal relationships network significantly influences the knowledge transfer and performance. There are, however, few studies focusing on the organizational factors that affect the interpersonal relationships network. It is just because we cannot monitor the evolution of interpersonal relationships network all the time, and unable to collect these information for a few times in a certain period of time, by using the survey, which is the main method to collect information of interaction between employees. This dissertation proposed the interpersonal relationship network growing model by employing the methods and thought of modeling of complex network theory. The simulation results of the model were compared with the empirical data. The agreement suggested the model fit well with the real interpersonal relationship network. Then this dissertation explored the influencing factors of interpersonal relationships network. And the extensive simulation results proved that the extent to which the organization encourage the employees to communicate within or across the teams, departments determines the structure of interpersonal relationship network, and also affects the individual’s and group’s social capital.The practical significance of this dissertation lies in that: the organization can employ the proposed method to measure employee’s knowledge stock to find the main means of individuals and the enterprise to accumulate knowledge; and the organization can follow the proposed skill to evaluate the key employees based on the knowledge network, grasp the different roles played by the knowledge workers, and locate the key employees and some means can be made to enhance their organization commitment. As a result of divison of labor, the enterprise is divided into departments, teams, and then there are various visible and invisible boundaries which hamper the interactions between employees. Many employees only make acquaintance with those of the focal department or team, and have few chances to communicate across departments or organizations. The demonstration that the knowledge network is affected by interpersonal relationships network, provide guideline for the management practice. The manager can expand the range of individual friends to enhance the amount of friends that he/she can turn to for help. The other result of this research that the ways of communication determine the structure of interpersonal relationships network, also provide the management practice with practical objects. The organization can focus on encouraging the intra-department and inter-department communication. The managers should create chances for the intra-department and inter-department communication between employees. And for the individuals, they should take the initiate activity to communicate with others of different departments, with the superiors. What’s more, the demonstration that strong ties network, competence-based trust network, energy network influence the knowledge network, shows that the organization can help the individuals expand the range of friends, and also help them optimize their structure of acquaintances, and enhance the quality of relationships.更多还原