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论文编号：	1922
作者编号：	2002016
上传时间：	2010/5/6 9:18:56
中文题目：	企业非技术知识创新经济评价理论与模型研究
英文题目：	enterprise knowledge non-technical knowledge
指导老师：	刘志远
中文关键字：	企业知识 非技术知识 创新 经济评价
英文关键字：	nterprise knowledge non-technical knowledge innovation economic evaluation
中文摘要：	本文通过对现有国内外有关企业知识理论、知识创新理论、知识创新评价理论等文献的梳理，揭示出了目前企业知识理论存在的问题点，即对企业知识的认知描述解释不一。归纳来讲主要有三种不同的认知观点：第一种观点是以哈耶克等为主要代表的包涵技术知识与非技术知识的全面知识论观点；第二种观点是以兹维•格里里奇等为代表的技术知识论观点；第三种观点是以德鲁克为代表的非技术知识论(其本人并没有明确使用这一词汇)观点。正是由于这种差异的存在，导致了后继的学者们对企业知识理解不一的状况。这一问题的存在，产生的直接后果是导致企业知识界定模糊，从而对企业知识特征的研究粗糙肤浅；产生的间接后果是对企业知识的深入研究，包括企业资源要素相互关系和企业知识创新经济评价等理论研究缺失了重要的前提。 本文从这一问题点入手，首先将企业知识划分为企业技术知识和企业非技术知识两类，并对企业非技术知识进行了界定，即企业非技术知识是指存在于企业全体劳动者头脑之中，并伴随劳动者体力劳动而投入的，用于沟通与协调个体、群体、组织之间关系的非物化知识。其次对企业非技术知识的一般特征和自有特征给予了揭示，即企业非技术知识和企业技术知识共有且与人力和物力资源相区别的一般特征为持续积淀性、质变性及其不可逆转性、规模报酬递增性；企业非技术知识与技术知识相区别的自有特征为非物化性、相对分散性、相对难言性、相对的排他性和异质性、效用上的相对波动性和非溢出性、经济价值上的难以量化性。其中，是否能够物化是区分技术知识与非技术知识的最本质的特征。基于这一观点，我们可以认为非技术知识不仅包括无法物化的隐性知识，还包括可以通过文字表达的无法物化的显性知识；而技术知识仅指能够物化到劳动资料、劳动对象以及实物产品生产成果中的那部分显性知识与隐性知识。由此可以看出，技术知识与非技术知识分类是有别于显性知识与隐性知识分类的一种新的知识分类方式。第三，在将企业知识划分为技术知识和非技术知识的基础上，以现实企业为对象，又将企业生产经营活动资源要素划分了六类，即土地、劳动力、资金、物力、技术知识、非技术知识，并对这六类资源要素之间的相互关系以及同企业经济增长之间的相互关系进行了系统化的研究，主要研究结论为：一是劳动者是劳动力、技术知识和非技术知识三个资源的主体，其中，劳动力资源指劳动者付出体力劳动的资源，技术知识资源既指劳动者付出技术知识的脑力劳动的资源，又指附载于物力中的技术知识资源，非技术知识资源指劳动者付出技术知识以外的脑力劳动的资源；二是资金与物力、与技术是同一事物的不同表达形式。其中，物力是技术知识的物化载体，资金是物力资源的价值表现形式，也是技术知识的物化价值表现形式，资金总量不仅反映物力资源总量，更反映物化技术知识资源总量。基于企业生产经营活动资源要素相互关系以及与经济增长之间的相互关系可以得出，假设把土地资源、劳动力资源、技术扩散导致的资金和物力资源等均视为等价交换的价值转移情况，在此前提条件下，企业经济增长的唯一源泉就是知识创新，即技术知识创新与非技术知识创新，企业经济增长就是企业知识创新价值的体现。 在取得上述理论研究成果的基础上，本文通过对生产函数法应用局限性的揭示，上升理论引入了因素分析法，并利用因素分析法建立了一个与生产函数法考虑资源要素相同的新的评价模型——三要素—三因素评价模型。主要研究结论为：新方法的建立，考虑了技术系数的变动情况，与生产函数法相比显示出了更多的科学性和应用的有效性；新方法的建立与应用，回避了 、 值的确定问题，从而解决了一直缠绕学术界有关生产函数法如何有效实际应用这一难题；从测评结果角度讲，新方法的创建具有取代一般生产函数法的效果，即在生产函数法的适用条件下，采用新方法和采用生产函数法所获得的评价结果完全相同，这意味着二者具有相互替代性；从新方法的模型中可以得出， 值的大小不仅反映了外延扩大再生产的速度，而且也标志着在经济增长中的作用力，因此，可称其为外延因子； 值的大小反映了内涵扩大再生产的速度以及在经济增长中的作用力，因此，可称其为内涵因子； 值大小反映了外延与内涵相互转化的速度以及在经济增长中的作用力，因此，可称其为转换因子。在建立了新模型的基础上，利用企业生产经营活动资源六要素的相互关系以及与经济增长关系的研究结论，转化建立了含有企业非技术知识创新的经济评价模型——六要素—三因素评价模型。为了检验给出的评价模型的可操作性以及应用效果，本文将其应用到了工业和商业两个领域进行评价分析，从测评结果获得的结论为：劳动力增长贡献份额与技术进步贡献份额的变动，呈现为互补性，这一规律性变化在实践中得到了验证；技术进步贡献份额与非技术创新贡献份额的变动，呈现为互补性，这一规律性变化在实践中也得到了验证；在“十五”期间，对于我国规模较大的企业来讲，无论是工业企业还是商业企业都普遍树立了控制单纯外延扩大再生产的思想并落到了实处，另外，都普遍提高了管理等非技术知识能力与水平，并且见到了效果；在“十五”期间，我国大中型工业企业普遍树立了加速技术进步的思想并量力而行地落到了实处，但是，商业企业依靠劳动力增长所做贡献要大于依靠技术进步所做贡献，这或许是工业与商业之间的重要差异。
英文摘要：	By combing the existing domestic and foreign literature on enterprise knowledge theory, knowledge innovation theory, knowledge innovative evaluation theory, etc, the paper reveals the problem of the existing enterprise knowledge theory, that is, there is different description for cognition on enterprise knowledge. In summary, there are three kinds of viewpoint. The first is the comprehensive knowledge theory including technical knowledge and non-technical knowledge, which is represented by Hayek; the second is the technical knowledge theory, which is represented by Zvi Griliches; the third is non-technical knowledge theory, which is represented by Drucker(he himself does not explicitly use the term). It is because of these differences that lead to the condition that later scholars have different comprehension for enterprise knowledge. Because of this problem, the direct consequence is there is no clear definition on enterprise knowledge so that the study for the characteristics of enterprise knowledge is superficial. The indirect consequence is there is no important premise for the thorough study for enterprise knowledge; the study includes the relation of enterprise resource elements and the economic evaluation of enterprise knowledge innovation. The paper starts with this problem. Firstly, classify the enterprise knowledge into two types: enterprise technical knowledge and enterprise non-technical knowledge. and define the enterprise non-technical knowledge, that is, it is a non-materialization knowledge that exist in the minds of all manual laborers input, with the manual labor and is used for communicating and coordinating the relationship among individual, group, organization. Secondly, reveal the general and own characteristics of the non-technical knowledge of enterprise, that is, the general characteristics that exist in both the non-technical knowledge and technical knowledge of enterprise and are different from the one of human and material resources are continued deposition, qualitative change and irreversibility, increasing returns to scale. The own characteristics of non-technical knowledge that is different from the one of technical knowledge are non-materialization, relative dispersion, relative indescribability, relative exclusiveness and heterogeneity, relative fluctuation and non-overflows of effectiveness, indeterminateness on economic value. Among these, whether materialization is the most essence characteristics that distinguish between technical knowledge and non-technical knowledge. Based on this view, the non-technical knowledge includes not only the implicit knowledge which unable to materialize but also some explicit knowledge which unable to materialize that can be expressed through words; technical knowledge only refer to the explicit knowledge and implicit knowledge that can materialize means of labor, subject of labor and material production. From this the classification about technical knowledge and non- technical knowledge is a new one that is different from the one about explicit knowledge and implicit knowledge. Thirdly, based on the classification about technical and non-technical knowledge, the paper divides the essential resources of production and operation of enterprise into six elements: land, labor, capital, material, technical knowledge and non-technical knowledge, and study the relations between the six types of resources, and the one between the resources and enterprise economic growth. Its main conclusions are: the first, labor workers are the subject of labor, technical and non- technical knowledge, among these, labor resources refer to the one that workers pay manual labor, technical knowledge resources refer to mental labor resources that the labor workers pay technical knowledge, and refer to technical knowledge resources attached to material, non-technical knowledge resources refer to the mental labor resources except technical knowledge. The second, capital material and technology is the different expression for the same thing, which material is materialized carrier for technical knowledge capital is the value form for material and the form for materialized value of technical knowledge, so the total capital not only reflects the total material resources, but also the total resource of materialized technical knowledge. Based on the relations among the resources of the production and operation of enterprise and the one between the resources and economic growth, assuming that the exchange of land resources, labor resources, the capital leading from technological spread and material resources is regarded as equivalent, the only source of enterprise economic growth is knowledge innovation, including technical knowledge innovation and non-technical knowledge innovation, and enterprise economic growth is a reflection of the value of enterprise knowledge innovation. Based on these theoretical studies, the paper reveals the limitations of the application of production function methods introduce and use factor analysis method to establish a new evaluation model: 3 elements-3 factors evaluation mode that is the same as production resources method in considering resource elements. The main conclusion of the study: the new method considers the change of technical coefficient, avoids the determination of the value of 、 and is more scientific and more application effective compared with the production function method. From the evaluation result the new methods may replace general production function method, which is, under applied to production function method, the new method and the production function method are the same in the evaluation results, which means that they have mutual alternative. From the model of new method, the value of not only reflects the speed of extended and expanded reproduction, but also marks the force in economic growth, so it can be called extension factor; the value of reflects the speed of expanding and the force in economic growth, so it can be called intention factor; the value of reflects the speed of the transformation between extension and intension and the force in growth, so it can be called conversion factor. On the basis of establishing the new model, using the conclusions about the relations among the 6 elements of the enterprise production and operation and the one between the resources and economic growth, the paper establishes a economic evaluation model that contains enterprise non-technical innovation—6 elements-3 factors evaluation model. In order to test the operability and application for the given evaluation model, the paper applies the model to industrial and commercial fields, and concludes. The change of contribution share of labor growth and the one of technical progress shows complementarities, which it has been verified in practice. The change of contribution share of technical progress and the one of non-technical innovation shows complementarities, which it has been tested in practice too. During “10th Five-Year Plan”, China’s large-scale industrial or commercial enterprise has generally fostered the idea of the control simply extended and expanded reproduction and it has been implemented. In addition, they have generally raised the level and ability of non-technical knowledge such as management etc., and it has effective. During “10th Five-Year Plan”, China’s large and medium-sized industrial enterprises have fostered the idea of accelerating technological progress according to our ability, and it has been acted. However, in commercial enterprises, the contribution to the labor growth is more than the one of technological progress, which may be important differences between the industrial and commercial.
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