摘 要 团队断裂带、交互记忆系统与团队绩效关系研究 为在日渐激烈的市场竞争中获得优势，通过组建团队完成工作任务逐渐成为 企业所采取的主要工作形式之一。近年来，雇员多元化逐渐成为企业人员结构的 一项基本特征，由此导致企业中工作团队成员属性特征日益多样化。成员属性特 征多样化在为团队注入活力的同时，也为团队管理与团队有效性带来了挑战。一 方面，在成员的性别、年龄、国籍、学历、专业、职能背景等多重相同或相似属 性特征的动态聚合作用下，团队极易被分割为多个内部同质但彼此异质的子团队， 这种子团队之间的假想分界线即为团队断裂带。团队断裂带不可避免，且已经成 为企业团队管理中不可回避的问题，因此需要正视团队断裂带对团队过程与团队 结果的影响。另一方面，团队多样化还表现为成员知识与技能等专长属性特征差 异，如何有效管理、协调团队成员的异质性专长并实现成员的专长互补，促进成 员在团队工作过程中的协作配合，以充分发挥团队认知资源价值成为组织面临的 一项重大挑战。 根据上述实践问题，本研究基于 I-P-O 模型、协同论等相关理论，构建了描 述团队断裂带、交互记忆系统与团队绩效关系的研究模型，旨在揭示团队断裂带 （社会分类断裂带与信息认知断裂带）、交互记忆系统对团队绩效的影响，以及 交互记忆系统在团队断裂带（社会分类断裂带和信息认知断裂带）与团队绩效关 系间的中介作用，探索式学习与利用式学习在交互记忆系统与团队绩效之间的中 介作用。具体而言，本研究主要包括以下内容： 首先，通过对国内外有关文献的梳理与归纳，了解团队断裂带、交互记忆系 统、探索式学习、利用式学习以及团队绩效的发展脉略与研究现状，以期掌握已 有研究存在的不足以及有待深入挖掘的研究领域。 然后，在界定团队断裂带（社会分类断裂带、信息认知断裂带）、交互记忆 系统、探索式学习、利用式学习与团队绩效概念的基础上，基于相关理论推导变 量间可能存在的逻辑关系，并据此构建相应的研究模型。同时提出 13 条研究假 设，用于揭示团队断裂带（社会分类断裂带、信息认知断裂带）与交互记忆系统吉林大学博士学位论文 II 对团队绩效的作用机理，认为：社会分类断裂带对团队绩效存在消极影响，信息 认知断裂带、交互记忆系统、探索式学习与利用式学习均有助于提高团队绩效， 且交互记忆系统能够分别中介两类团队断裂带对团队绩效的影响，交互记忆系统 还可通过探索式学习与利用式学习间接影响团队绩效。 之后，研究通过问卷调查法收集数据，调研对象为企业中的项目团队领导及 成员，最终获得来自 44 个项目团队的 255 份有效问卷数据。运用数据同源偏差 检验、信度检验、效度检验等方法检验问卷数据的可信度与有效性，并通过多元 回归分析与 Bootstrap 方法检验研究假设。数据分析结果显示：社会分类断裂带 对团队绩效存在显著的消极影响，信息认知断裂带对团队绩效存在显著的积极影 响，且交互记忆系统能够部分中介社会分类断裂带、信息认知断裂带与团队绩效 的关系，交互记忆系统对团队绩效不仅存在显著的积极影响，还可通过探索式学 习与利用式学习间接影响团队绩效。 最后，对实证分析结果展开讨论，并根据研究结论提出管理实践启示，以期 为实践发展提供理论指导。并在文章最后提出本文可能存在的创新点，以及未来 有待深入研究的方向。 本研究主要有如下贡献： 一是厘清了团队断裂带与团队绩效的关系，即基于成员属性特征差异，将团 队断裂带划分为社会分类断裂带与信息认知断裂带，并分别探讨两种团队断裂带 对团队绩效的影响，且通过实证研究检验社会分类断裂带、信息认知断裂带对团 队绩效的作用差异，解释了已有研究中存在分歧的原因。研究结论有助于管理者 理性看待团队断裂带，在组建团队时充分考虑团队成员的属性特征，为管理者在 招募团队成员时提供参考。 二是进一步打开了团队断裂带对团队绩效的“作用黑箱”，丰富了团队断裂 带与团队绩效关系间中介机制的研究。即引入交互记忆系统变量，分析交互记忆 系统在团队断裂带（社会分类断裂带、信息认知断裂带）与团队绩效关系间的中 介作用，并通过实证分析验证了交互记忆系统的中介效用。 三是丰富了交互记忆系统作用于团队绩效中介机制的研究，即引入探索式学 习与利用式学习作为交互记忆系统与团队绩效关系间的中介变量，并通过数据分 析验证了两种学习的中介作用。研究结论有助于管理者充分意识到团队成员拥有摘 要 III 的差异化专长对团队绩效的重要作用，在组建团队时应充分考虑团队整体的认知 结构，并重视不同学习方式的积极作用。 四是推广了 ASW 算法的应用，已有关于团队断裂带的研究主要通过 Fau g 算法测量团队断裂带强度，但 Fau g 算法的弊端在于仅考虑将团队划分为两个子 团队的情境，与现实团队的分裂情况可能存在差异，ASW 算法具备不限制子团 队个数的优势且更具有普适性，有助于提高研究结论的可靠性。 关键词： 团队管理，团队断裂带，I-P-O 模型，交互记忆系统，团队绩效Abstract V Abstract Research on the Relationship among Team Faultlines, Transactive Memory System and Team Performance In order to gain advantages in the increasingly fierce market competition, it has gradually become one of the main work forms adopted by enterprises to complete work tasks by organizing teams. In recent years, employee diversification has become a basic feature of enterprise personnel structure, which leads to the increasingly diversified attributes of team members in enterprises. The diversity of membership attributes not only brings vitality to the team, but also challenges team management and team effectiveness. On the one hand, under the dynamic aggregation of the same or similar attributes such as members' gender, age, nationality, educational background, profession and functional background, teams are easily divided into multiple homogeneous but heterogeneous sub-teams, the hypothetical dividing line between these sub-teams is the team faultlines. Team faultlines is inevitable and has become an unavoidable problem in enterprise team management. Therefore, we need to face up to the impact of team faultlines on team process and team performance. On the other hand, team diversification is manifested in the differences of members' expertise, such as knowledge and skills. How to effectively manage, coordinate and complement the heterogeneous characteristics of team members, and promote the collaboration of team members in the process of team work, so as to achieve the value of team cognitive resources is one of the major challenges facing organizations. According to the above practical problems, based on I-P-O model, synergetics and other related theories, the study constructs a research model describing the relationship among team faultlines (social categorization faultlines and information recognition faultlines), transactive memory system and team performance, aiming to reveal the impact of team faultlines and transactive memory system on team performance, the mediating role of transactive memory system in the relationship吉林大学博士学位论文 VI between team faultlines (social categorization faultlines and information recognition faultlines) and team performance, and the mediating role of exploratory learning and exploitative learning in the relationship between transactive memory system and team performance. Specifically, the study mainly includes the following contents: First of all, through combing and summarizing the literature at home and abroad, we can understand the development process and research status of team faultlines, transactive memory system, exploratory learning, exploitative learning and team performance, so as to grasp the shortcomings of existing research and the research fields that need to be further explored. And then, on the basis of defining the concepts of team faultlines, transactive memory system, exploratory learning, exploitative learning and team performance, the paper proposes the possible logical relationship between variables based on relevant theories, and constructs a research model. At the same time, 13 hypotheses are put forward to reveal the mechanism of team faultlines and transactive memory system on team performance, i.e., social categorization faultlines has a negative impact on team performance, information recognition faultlines, transactive memory system, exploratory learning and exploitative learning all contribute to improving team performance, and transactive memory system can mediate social categorization faultlines and information recognition faultlines on team performance, transactive memory system can also indirectly affect team performance through exploratory learning and exploitative learning. The study collects data through questionnaire survey, taking project teams in enterprises as research objects, and obtains 255 valid questionnaires from 44 project teams. The reliability and validity of the collected data are tested by homologous deviation test, reliability test and validity test, and the research hypotheses are tested by using multiple regression analysis and Bootstrap method. The results of data analysis show that social categorization faultlines has a significant negative impact on team performance, information recognition faultlines has a significant positive impact on team performance, and transactive memory system can partly mediate the relationship between social categorization faultlines, information recognitionAbstract VII faultlines and team performance. Transactive memory system not only has a significant positive impact on team performance, but also indirectly affects team performance through exploratory learning and exploitative learning. In the end, the paper discusses the results of empirical analysis and puts forward practical enlightenment in order to provide theoretical guidance for the development of practice. Finally, the possible innovation points and future research directions are proposed. The main contributions of the study are as follows: Firstly, the relationship between team faultlines and team performance is clarified. Based on the difference of members' attributes, the team faultlines is divided into social categorization faultlines and information recognition faultlines, and the effects of two kinds of team faultlines on team performance are discussed respectively. Empirical studies are conducted to examine the differences in the roles of social categorization faultlines and information recognition faultlines in team performance, and to explain the differences in existing studies. The conclusion of the study is helpful for managers to rationally view team faultlines, fully consider the attributes of team members in team formation, and provide references for managers in recruiting team members. Secondly, it further opens up the black box of the role of team faultlines on team performance, and enriches the research on the intermediary mechanism between team faultlines and team performance. That is, introducing the variables of transactive memory system to analyze the mediating effect between team faultlines (social categorization faultlines and information recognition faultlines) and team performance, and verifying the mediating effect of transactive memory system through empirical analysis. Thirdly, the paper enriches the research on the mediating mechanism of transactive memory system on team performance, i.e., exploratory learning and exploitative learning are introduced as mediating variables between transactive memory system and team performance, and the mediating effects of the two kinds of learning are verified by data analysis. The conclusion of the study helps managers to吉林大学博士学位论文 VIII fully realize the important role of team members' differentiated expertise in team performance. When forming a team, managers should fully consider the cognitive structure of the whole team and pay attention to the positive role of different learning styles. Finally, the application of ASW algorithm is generalized. The existing research on team faultlines mainly uses Fau g algorithm to measure its strength. However, the drawback of Fau g is that it only considers the situation of dividing the team into two sub-teams, which may be different from the actual team. ASW algorithm has the advantage of not restricting the number of sub-teams and is more universal, which helps to improve the reliability of research conclusions. Keywords： Team management，Team faultlines，I-P-O model，Transactive memory system， Team performance目录 IX 目录 摘 要.........................................................................................................I Abstract ......................................................................................................V 第 1 章 绪论.............................................................................................1 1.1 研究背景.........................................................................................1 1.2 研究意义.........................................................................................3 1.3 研究主要内容 ................................................................................4 1.4 研究方法与技术路线 ....................................................................7 1.4.1 研究方法 ..................................................................................7 1.4.2 技术路线 ..................................................................................8 第 2 章 理论基础与文献综述 ................................................................9 2.1 理论基础.........................................................................................9 2.1.1 I-P-O 模型 ................................................................................9 2.1.2 协同论.....................................................................................10 2.2 团队断裂带相关研究 ..................................................................11 2.2.1 团队断裂带理论基础 ............................................................11 2.2.2 团队断裂带内涵与分类 ........................................................13 2.2.3 团队断裂带的测量 ................................................................17 2.2.4 团队断裂带研究成果 ............................................................24 2.3 交互记忆系统相关研究 ..............................................................29 2.3.1 交互记忆系统起源 ................................................................29 2.3.2 交互记忆系统内涵 ................................................................30吉林大学博士学位论文 X 2.3.3 交互记忆系统的测量 ............................................................31 2.3.4 交互记忆系统研究成果 ........................................................32 2.4 探索式学习与利用式学习相关研究 ..........................................39 2.4.1 探索式学习与利用式学习内涵 ............................................39 2.4.2 探索式学习与利用式学习的测量 ........................................41 2.4.3 探索式学习与利用式学习研究成果 ....................................46 2.5 团队绩效相关研究 ......................................................................48 2.5.1 团队绩效内涵 ........................................................................48 2.5.2 团队绩效的测量 ....................................................................49 2.5.3 团队绩效研究成果 ................................................................49 2.6 本章小结.......................................................................................52 第 3 章 研究模型构建 ..........................................................................53 3.1 相关概念界定 ..............................................................................53 3.1.1 团队断裂带 ............................................................................53 3.1.2 交互记忆系统 ........................................................................57 3.1.3 探索式学习与利用式学习 ....................................................59 3.1.4 团队绩效 ................................................................................61 3.2 团队断裂带与团队绩效 ..............................................................63 3.3 交互记忆系统与团队绩效 ..........................................................66 3.4 研究模型的提出 ..........................................................................67 3.5 本章小结.......................................................................................68 第 4 章 研究假设的提出 ......................................................................69目录 XI 4.1 团队断裂带与团队绩效的关系 ..................................................69 4.1.1 社会分类断裂带与团队绩效的关系 ....................................69 4.1.2 信息认知断裂带与团队绩效的关系 ....................................71 4.2 团队断裂带与交互记忆系统的关系 ..........................................74 4.2.1 社会分类断裂带与交互记忆系统的关系 ............................74 4.2.2 信息认知断裂带与交互记忆系统的关系 ............................77 4.3 交互记忆系统与团队绩效的关系 ..............................................80 4.4 交互记忆系统与探索式学习、利用式学习及团队绩效的关系 ................................................................................................................83 4.4.1 交互记忆系统与探索式学习、利用式学习的关系 ............84 4.4.2 探索式学习、利用式学习与团队绩效的关系 ....................86 4.5 研究假设汇总 ..............................................................................89 4.6 本章小结.......................................................................................90 第 5 章 实证研究设计 ..........................................................................93 5.1 调查方法与问卷设计 ..................................................................93 5.1.1 调查方法 ................................................................................93 5.1.2 问卷设计 ................................................................................93 5.2 样本与数据收集 ..........................................................................95 5.2.1 样本选取与调研程序 ............................................................95 5.2.2 数据收集 ................................................................................96 5.3 变量测量.......................................................................................97 5.3.1 团队断裂带的测量 ................................................................97吉林大学博士学位论文 XII 5.3.2 交互记忆系统的测量 ............................................................99 5.3.3 探索式学习与利用式学习的测量 ......................................101 5.3.4 团队绩效的测量 ..................................................................102 5.3.5 控制变量的选取 ..................................................................102 5.4 数据同源偏差检验 ....................................................................102 5.5 信度与效度分析 ........................................................................103 5.5.1 信度检验 ..............................................................................103 5.5.2 效度检验 ..............................................................................104 5.6 个体层次数据向团队层次聚合检验 ........................................107 5.7 本章小结.....................................................................................108 第 6 章 实证分析与结果讨论 ............................................................109 6.1 描述性统计与相关性分析 ........................................................109 6.2 假设检验.....................................................................................110 6.2.1 主效应检验 ..........................................................................110 6.2.2 中介效应检验 ......................................................................113 6.3 结果分析与讨论 ........................................................................117 6.3.1 团队断裂带对团队绩效的直接影响 ..................................117 6.3.2 团队断裂带对团队绩效的间接影响 ..................................120 6.3.3 交互记忆系统对团队绩效的直接影响 ..............................121 6.3.4 交互记忆系统对团队绩效的间接影响 ..............................122 6.4 管理实践启示 ............................................................................123 6.5 本章小结.....................................................................................126目录 XIII 第 7 章 结论与展望 ............................................................................129 7.1 研究的主要结论 ........................................................................129 7.2 研究的创新点 ............................................................................130 7.3 研究局限与未来展望 ................................................................132 参考文献.................................................................................................135 附录.........................................................................................................169 作者攻读博士学位期间取得的研究成果 ............................................175 致谢