摘要
煤炭产业作为我国基础能源产业，随着国家经济增长的减速而出现周期性波动。煤炭企业在这种行业周期性波动的影响下，经营盈利状况和发展能力受到严重挑战。为了使煤炭企业健康稳定发展，减少周期性风险影响，需要提高煤炭企业的适应环境变化的应变速度和应变能力，保持煤炭企业“战略—组织—环境“的动态适应性。要实现这个目标，煤炭企业高层管理者除具备战略领导力外，更重要的是具备适应变动环境下的胜任能力。这是本文选题研究煤炭企业高层管理者胜任特征模型的初衷。
高层管理者的胜任特征与胜任特征模型，是一个十分复杂的理论与实践课题。本文利用文献研究方法对国内外的相关文献和相关研究方法进行归类整理，结合煤炭行业组织行为特征，利用事件访谈和问卷调查法、所掌握的访谈信息和大样本数据信息，对煤炭企业高层管理者的胜任特征要素进行归纳、整理和分类提炼。应用组织行为理论、组织领导理论、领导角色理论、人力资源相关理论和胜任特征研究方法，对煤炭企业高层管理者的胜任特征要素、胜任特征基本模型、胜任特征的能力、胜任特征的角色进行了深入研讨和分析，构建了煤炭企业高层管理者“4个行为维度、6个能力维度、30个胜任特征要素”的胜任特征结构模型，应用信度和效度分析工具进行模型的统计验证，论文研究内容和研究结果，对科学识别和评价煤炭企业高层管理的胜任特征能力提供了有益的探索。
论文主要工作与创新：
（1）利用社会认知理论，结合煤炭企业高层管理者所处组织职位和及其职位对应的角色工作关系，提出煤炭企业高层管理者4维胜任特征行为模型。包括向上维度行为、向下维度行为、横向维度行为，维系三重行为的平衡行为。利用4维胜任特征的行为模型，在第5章重点研究任职者不同维度行为对应的角色及角色胜任特征。向上行为维度对应是执行者角色，向下维度是领导者和教练角色、横向行为维度是协调者和联络者角色，维系三重行为的平衡行为对应的角色转换，重点分析4维行为特征所承担不同角色应具备的角色胜任能力，为探索煤炭企业高层管理者的胜任特征基本要素，提供了方向。
（2）全文采用结构化分析方法和行为理论，按照煤炭企业高层管理者“胜任特征基本要素决定胜任能力，胜任能力决定胜任行为、胜任行为决定工作绩效”的递进式逻辑关系，对本文整体研究内容和章节进行结构化的构建，在形成论文成果的同时，同时构建了管理者胜任特征模型的整体分析框架。结合煤炭企业行业特征分析煤炭企业高层管理者的胜任特征基本要素、研究胜任特征的能力维度，分析任职者的担当不同角色的角色胜任特征要素，并对胜任特征结构模型检验。最后利用各章研究结论，形成煤炭企业高层管理者4个行为维度、6个能力维度的胜任特征结构模型。
（3）论文运用事件访谈法和文献研究归纳，提出煤炭企业高层管理者应具备的6大胜任能力特征因子，即执行力、领导力、辅导力、协调胜任力、联络胜任力和角色转换力。为提高任职者的胜任特征能力，具有较强的借鉴价值。
（4）论文研究成果验证煤炭企业高层管理者的胜任特征结型是存在多维结构的
Coal industry becomes China's basic energy industry, with the country's economicgrowth slowdown and cyclical fluctuations. Coal companies in this industry under theinfluence of cyclical fluctuations in operating profitability and development capacity isseriously challenged. In order to make healthy and stable development of coal enterprises,reduce cyclical risks, the need to improve coal enterprises to adapt to environmentalchanges strain rate and strain the ability to maintain coal enterprises' strategy-Organization-Environment "dynamic adaptability. To achieve this goal, in addition to thecoal business executives with strategic leadership, but more importantly is the competenceto adapt to changes in environment. This is the topic of this article which studies theoriginal intention of the coal business executive competency feature model.
Competency model and competency of senior managers, is a very complextheoretical and practical issues. In this paper, the method of literature, research literatureand relevant research methods and abroad classify and organize the coal industryorganizations combine behavioral characteristics, using the event interviews andquestionnaires, interviews mastered the use of a large sample of information and data oncoal enterprises. Elements of competency of senior managers to summarize, organize andclassify refining. The ability to apply the theory of organizational behavior, organizationalleadership theory, leadership theory, the theory of human resources and competencyresearch methods, the coal business executives competency elements, basic competencymodel, competency, competency roles were in-depth discussion and analysis of the coalbusiness executives to build "four behavioral dimensions, six ability dimensions,30competency elements" of competency structural model, structural equation model forstatistical validation model, the paper studies the structure and contents research results,scientific competency ability to identify and evaluate coal enterprises senior managementprovides a useful exploration.
The main work and innovation:
（1）According to this senior managers roles and organizational level, comprehensiveliterature, from corporate strategy to improve the performance objectives dimensionsproposed three-dimensional roles in the organization's senior managers and seniormanagers combined role of coal, building the coal business executives three-dimensionalmodel based on the role of competency. Research through empirical test of the model wasdone to ensure the validity of the content and competency model structure. Corporatestructure for the competence of senior managers to identify and evaluate is possible.
（2）The paper according to event interview tools and scenario analysis, the coal business executives competency basic elements for system analysis, assume the role ofaround three senior managers to establish a leadership role corresponding to the threeassociation: association management executives up, down, or horizontal associationmanagement association leaders and coaches and management is the coordinator andcontact person. Between top-level executives in the organization system, the use oforganizational leadership theory, put forward the basic competency of senior managerscompetency elements. The results show that three senior managers assumed the role andrelationship of three shows that leadership position in which senior managers need to havethe ability to balance the role of coordinating the work of conversion capabilities andobjectives, the role of the tripartite relationship effectively resolve conflicting,Implementation and organizational development objectives consistent direction.
（3）Verify the coal business executives competency model three-dimensionalcharacter, get the whole model is a close and the presence of six-dimensional structure.Raise the level of competence of senior managers, must conduct a comprehensivedevelopment and to enhance the six aspects. The results show that the role of the coalbusiness executive dimensional competency model includes six factors, namely execution,leadership, coaching strength, coordination competence, competence and characterconversion contact force.
（4）Three-dimensional character verification coal business executive competency toproduce a more significant positive impact on their job performance. Job PerformanceStructure coal business executive consists of task performance and performance. Testresults of the six-dimensional competency model and job performance of the coal businessexecutives show that there is a significant positive correlation, corresponding correlationcoefficient from0.458to0.861.Research findings effectively explains senior managersimprove their leadership competencies important to improve job performance andrationality for coal enterprises to improve organizational performance that providesimproved orientation.
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