建设项目知识管理的理论研究与实证分析
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摘要
建设项目是一种投资行为和建设行为相结合的投资项目，也是最为常见、最为典型的项目类型。建筑业是我国国民经济的支柱产业，近年来我国每年基本建设投资都在数万亿人民币，且逐年增加，对国民经济影响甚大。建筑企业是面向建设项目的组织，建设项目是其基本的业务活动，因此建筑企业的知识管理能力很大程度上取决于其项目的知识管理能力。然而不同于运作活动，项目的临时性和独特性特点增加了知识管理的难度。为适应不断变化的市场情况，在激烈的竞争中得以生存，建筑企业迫切需要一套完整的、适合企业自身特点的建设项目知识管理理论和方法，实现项目知识的不断积累、有效运用及创新，从而提高企业的核心竞争力。
论文以社会学、管理学、经济学、系统论、控制论、信息论为理论基础，采用定性分析与定量分析相结合、理论研究与实证分析相结合、系统分析与典型剖析相结合的方式开展研究工作。论文介绍了知识管理的发展历程和现状，阐述了知识管理的内涵和研究领域，针对建设项目知识管理的难点，结合项目各阶段知识的分析，构建了面向建设项目的知识管理研究框架，建立了建设项目知识管理的系统模型，分析了建设项目各阶段知识管理的主要内容，剖析了建设项目知识管理的机理，提出了实现项目知识管理的方法，建立了建筑企业项目知识管理的能力指标体系。在此基础上，运用DEA法进行建设项目知识管理绩效评价。最后，通过实证分析，提出知识管理措施的选择方法，从而实现管理绩效的持续改进。
论文研究的主要内容有：
从知识管理发展历程、知识管理方法论的差异、知识管理实施框架、项目管理知识体系以及建设领域的知识管理研究五个方面论述知识管理的国内外研究现状。
阐述知识管理的社会学理论基础、经济学理论基础、管理学理论基础以及系统论、控制论和信息论理论基础，为知识管理的研究提供理论支撑。论述知识的内涵、知识管理的基本观点和理论，提出项目知识管理的定义，从而明确项目知识管理的范畴和研究领域。
从知识管理的层次、知识管理的过程以及项目阶段三个维度，构建建设项目知识管理的系统模型K(T，P，L)，分析建设项目各阶段知识管理的主要内容。以EPC项目为例，分析投标报价阶段、设计阶段、采购阶段、施工阶段、竣工验收阶段知识管理的主要内容，包括各阶段的知识获取、知识共享、知识运用和知识创新。
基于企业能力理论，剖析建设项目知识管理与企业成长的关系。通过有效的知识管理，将项目成员个人以及项目团队所获得的知识有效地转化为企业知识，从而形成企业能力。在此基础上，这些知识进一步支撑企业其它的一系列项目，推动企业的成长。同时，企业的成长又可以不断提升企业能力。从而形成以知识管理为核心的项目知识、企业知识、企业能力与企业成长之间的良性循环。
分析建设项目知识管理的障碍，阐述建设项目活动中各种知识的流动，包括项目阶段间的知识流动、项目各参与方之间的知识流动、项目组织内不同层次间的知识流动、项目与项目之间的知识流动。
探讨建设项目知识管理的方法。首先，知识管理应纳入企业战略之中；其次，建立专门的知识管理构架而实现组织保障；再次，项目知识库的建立为知识的存储和共享提供了技术保证；最后，知识管理的核心是人，组织内应培育知识共享和学习的氛围。
从知识管理过程能力和基础设施能力两方面建立知识管理能力指标体系，知识管理过程能力指标包括知识获取能力评价指标、知识共享能力评价指标、知识运用能力评价指标，基础设施指标包括技术支持能力评价指标、组织支持能力评价指标、文化支持能力评价指标，以及相应的二级指标。
在分析知识管理能力与项目绩效之间的关系的基础上，建立建设项目知识管理绩效评价的概念模型，分析管理系统的输入和输出，确定输入输出指标。评价企业知识管理投入对项目绩效的贡献，从而对知识运用和创新的效率进行度量。
在建设项目知识管理理论基础上进行实证分析，选取CWCEC公司的五个EPC项目作为研究对象，以项目知识管理在各指标上的得分作为系统投入，项目目标在工期、质量和成本三个维度上的实现情况作为系统产出，采用DEA方法评价项目知识管理措施的相对有效性。
In recent years, the annual investment on construction in China has been remaining on the level of thousands of billion Yuan, which plays an important role in the National Economy. Construction companies are typical project-oriented organizations whose core business is undertaking projects. Therefore, their knowledge management (KM) success is determined largely by their ability to manage knowledge in project context. Unfortunately, because of the project's distinguishing characters, its temporariness and uniqueness, it is much more difficult to deal with project KM. However, in order to survive and develop in the fiercely competitive market, construction companies are in urgent need of a complete set of KM measures to accumulate knowledge and utilize previous experience both internally and externally, so as to enhance their competence through innovation.
The dissertation is based upon various fundamental theories including sociology, economics, management, system approach, cybernetics and information theory, research methodology being combinations of qualitative and quantitative analyses, normative and positive analyses, theoretical analysis and case study. The dissertation reviews the state of arts, expounds the knowledge essence and basic viewpoints of KM, analyzes the mechanism and sets up a research framework for KM in project context. On theoretical basis, the dissertation studies in detail obstacles to project knowledge management, knowledge contents of construction projects and knowledge flows among various levels. Also involved are a set of measuring index to evaluate the knowledge management abilities and a performance evaluation model based on Data Envelop Analysis (DEA). The main contents of the research are as follows:
The state of arts is reviewed from five perspectives including the developing history of KM, different KM methodologies, KM executing framework, knowledge body of project management and KM in construction trade.
Theoretical fundamentals for the research are introduced including sociology, economics, management, system theory, cybernetics and information theory. Through expounding the knowledge essence and basic viewpoints of KM, the dissertation gives the definition of KM in project context and determines the research boundary.
A concept model is set up from three dimensions like levels of knowledge management, knowledge management process and project stages, which is entitled as K (T, P, L). Taking EPC projects as example, major knowledge contents and knowledge management process are analyzed covering stages including bidding, design, procurement, construction, quality checking and trial test.
The dissertation analyzes the relationship between the enterprise growth and the success of project KM. Effective knowledge management helps in accumulating individuals' knowledge to form group knowledge which then turns into organizational knowledge. Knowledge accumulated from previous projects will certainly facilitate the success of following projects, which promotes continuously the growth of the enterprise. Meanwhile, the enterprise growth will in return increase the KM abilities, forming a reinforcing cycle.
The dissertation expounds the origins and features of project knowledge for construction companies, and according to the staged knowledge contents, illustrates the knowledge flows within construction projects.
Summed from the above analysis, the dissertation puts forward a set of measures for construction companies to conduct project KM. Firstly, KM should be emerged into strategy; secondly, a specific organization should be established to deal with KM; thirdly, a knowledge repository shall act as technical guarantee for knowledge sharing; and finally, the learning atmosphere should be fostered within the project team and the company.
It also put forward a set of index to describe the KM state of the company which is divided into two categories as process ability and infrastructure ability. Process abilities consist of subcategories like acquisition, sharing and utilization; infrastructure abilities consist of technological, structural and cultural aspects.
In order to reveal the contribution of KM measures to the success of project management, a model is suggested to evaluate the KM efficiency with DEA adopted as the quantitative tool. In this model, knowledge management abilities of the organization are considered as inputs and achievement of project goals are considered as outputs.
In the end, a case study is conducted to demonstrate how to use the method of KM efficiency analysis. Five EPC projects from an engineering company are selected, the KM measures and project performances being given values and treated as inputs and outputs respectively in the analyzing mathematic model.
论文以社会学、管理学、经济学、系统论、控制论、信息论为理论基础，采用定性分析与定量分析相结合、理论研究与实证分析相结合、系统分析与典型剖析相结合的方式开展研究工作。论文介绍了知识管理的发展历程和现状，阐述了知识管理的内涵和研究领域，针对建设项目知识管理的难点，结合项目各阶段知识的分析，构建了面向建设项目的知识管理研究框架，建立了建设项目知识管理的系统模型，分析了建设项目各阶段知识管理的主要内容，剖析了建设项目知识管理的机理，提出了实现项目知识管理的方法，建立了建筑企业项目知识管理的能力指标体系。在此基础上，运用DEA法进行建设项目知识管理绩效评价。最后，通过实证分析，提出知识管理措施的选择方法，从而实现管理绩效的持续改进。
论文研究的主要内容有：
从知识管理发展历程、知识管理方法论的差异、知识管理实施框架、项目管理知识体系以及建设领域的知识管理研究五个方面论述知识管理的国内外研究现状。
阐述知识管理的社会学理论基础、经济学理论基础、管理学理论基础以及系统论、控制论和信息论理论基础，为知识管理的研究提供理论支撑。论述知识的内涵、知识管理的基本观点和理论，提出项目知识管理的定义，从而明确项目知识管理的范畴和研究领域。
从知识管理的层次、知识管理的过程以及项目阶段三个维度，构建建设项目知识管理的系统模型K(T，P，L)，分析建设项目各阶段知识管理的主要内容。以EPC项目为例，分析投标报价阶段、设计阶段、采购阶段、施工阶段、竣工验收阶段知识管理的主要内容，包括各阶段的知识获取、知识共享、知识运用和知识创新。
基于企业能力理论，剖析建设项目知识管理与企业成长的关系。通过有效的知识管理，将项目成员个人以及项目团队所获得的知识有效地转化为企业知识，从而形成企业能力。在此基础上，这些知识进一步支撑企业其它的一系列项目，推动企业的成长。同时，企业的成长又可以不断提升企业能力。从而形成以知识管理为核心的项目知识、企业知识、企业能力与企业成长之间的良性循环。
分析建设项目知识管理的障碍，阐述建设项目活动中各种知识的流动，包括项目阶段间的知识流动、项目各参与方之间的知识流动、项目组织内不同层次间的知识流动、项目与项目之间的知识流动。
探讨建设项目知识管理的方法。首先，知识管理应纳入企业战略之中；其次，建立专门的知识管理构架而实现组织保障；再次，项目知识库的建立为知识的存储和共享提供了技术保证；最后，知识管理的核心是人，组织内应培育知识共享和学习的氛围。
从知识管理过程能力和基础设施能力两方面建立知识管理能力指标体系，知识管理过程能力指标包括知识获取能力评价指标、知识共享能力评价指标、知识运用能力评价指标，基础设施指标包括技术支持能力评价指标、组织支持能力评价指标、文化支持能力评价指标，以及相应的二级指标。
在分析知识管理能力与项目绩效之间的关系的基础上，建立建设项目知识管理绩效评价的概念模型，分析管理系统的输入和输出，确定输入输出指标。评价企业知识管理投入对项目绩效的贡献，从而对知识运用和创新的效率进行度量。
在建设项目知识管理理论基础上进行实证分析，选取CWCEC公司的五个EPC项目作为研究对象，以项目知识管理在各指标上的得分作为系统投入，项目目标在工期、质量和成本三个维度上的实现情况作为系统产出，采用DEA方法评价项目知识管理措施的相对有效性。
In recent years, the annual investment on construction in China has been remaining on the level of thousands of billion Yuan, which plays an important role in the National Economy. Construction companies are typical project-oriented organizations whose core business is undertaking projects. Therefore, their knowledge management (KM) success is determined largely by their ability to manage knowledge in project context. Unfortunately, because of the project's distinguishing characters, its temporariness and uniqueness, it is much more difficult to deal with project KM. However, in order to survive and develop in the fiercely competitive market, construction companies are in urgent need of a complete set of KM measures to accumulate knowledge and utilize previous experience both internally and externally, so as to enhance their competence through innovation.
The dissertation is based upon various fundamental theories including sociology, economics, management, system approach, cybernetics and information theory, research methodology being combinations of qualitative and quantitative analyses, normative and positive analyses, theoretical analysis and case study. The dissertation reviews the state of arts, expounds the knowledge essence and basic viewpoints of KM, analyzes the mechanism and sets up a research framework for KM in project context. On theoretical basis, the dissertation studies in detail obstacles to project knowledge management, knowledge contents of construction projects and knowledge flows among various levels. Also involved are a set of measuring index to evaluate the knowledge management abilities and a performance evaluation model based on Data Envelop Analysis (DEA). The main contents of the research are as follows:
The state of arts is reviewed from five perspectives including the developing history of KM, different KM methodologies, KM executing framework, knowledge body of project management and KM in construction trade.
Theoretical fundamentals for the research are introduced including sociology, economics, management, system theory, cybernetics and information theory. Through expounding the knowledge essence and basic viewpoints of KM, the dissertation gives the definition of KM in project context and determines the research boundary.
A concept model is set up from three dimensions like levels of knowledge management, knowledge management process and project stages, which is entitled as K (T, P, L). Taking EPC projects as example, major knowledge contents and knowledge management process are analyzed covering stages including bidding, design, procurement, construction, quality checking and trial test.
The dissertation analyzes the relationship between the enterprise growth and the success of project KM. Effective knowledge management helps in accumulating individuals' knowledge to form group knowledge which then turns into organizational knowledge. Knowledge accumulated from previous projects will certainly facilitate the success of following projects, which promotes continuously the growth of the enterprise. Meanwhile, the enterprise growth will in return increase the KM abilities, forming a reinforcing cycle.
The dissertation expounds the origins and features of project knowledge for construction companies, and according to the staged knowledge contents, illustrates the knowledge flows within construction projects.
Summed from the above analysis, the dissertation puts forward a set of measures for construction companies to conduct project KM. Firstly, KM should be emerged into strategy; secondly, a specific organization should be established to deal with KM; thirdly, a knowledge repository shall act as technical guarantee for knowledge sharing; and finally, the learning atmosphere should be fostered within the project team and the company.
It also put forward a set of index to describe the KM state of the company which is divided into two categories as process ability and infrastructure ability. Process abilities consist of subcategories like acquisition, sharing and utilization; infrastructure abilities consist of technological, structural and cultural aspects.
In order to reveal the contribution of KM measures to the success of project management, a model is suggested to evaluate the KM efficiency with DEA adopted as the quantitative tool. In this model, knowledge management abilities of the organization are considered as inputs and achievement of project goals are considered as outputs.
In the end, a case study is conducted to demonstrate how to use the method of KM efficiency analysis. Five EPC projects from an engineering company are selected, the KM measures and project performances being given values and treated as inputs and outputs respectively in the analyzing mathematic model.
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