【作者】 马富萍；

【导师】 李燕萍；

【作者基本信息】 武汉大学 ， 企业管理， 2011， 博士

【摘要】 在低碳经济时代,以技术创新为支撑的高技术化发展模式是资源型企业实现可持续发展的必然选择,资源型企业技术创新绩效的提升是中国经济能否实现低碳发展的决定因素。随着技术创新的复杂性与不确定性的增加,单一企业所拥有的资源无法满足技术创新的需求,而能够从外界获取技术创新所需资源的高层管理者社会资本便成为影响技术创新绩效的重要因素。因此,探讨高层管理者社会资本对技术创新绩效的影响已成为学术界研究的重要课题。综观现有研究可以发现,虽然已有研究证实了高层管理者社会资本对技术创新绩效的促进作用,但缺少以资源型企业为样本的研究,对于高层管理者社会资本影响技术创新绩效的机理及其作用情境的研究仍显不足,并且相关变量的测量还存在一定的局限。本研究以来自内蒙古、山西以及甘肃等10个自然资源富集地区的201家资源型企业为研究样本,以社会资本理论、资源观理论以及技术创新理论为理论基础,综合运用文献研究、问卷调查、深度访谈和数理统计分析等研究方法以及SPSS和AMOS等数理统计工具,围绕“高层管理者社会资本如何作用于技术创新绩效”这一基本研究主题,深入地研究了以下三个问题：(1)开发与修订变量的测量量表。在借鉴前人相关研究成果以及征求学术界与企业界专家意见的基础上,本研究开发了技术创新绩效与环境规制的测量量表,修订了高层管理者社会资本与资源获取的测量量表。其中高层管理者社会资本包含“政治性社会资本——商业性社会资本——公共性社会资本”三个维度；资源获取包括“信息资源获取——知识资源获取——资金资源获取”三个维度；技术创新绩效包括“技术创新经济绩效——技术创新生态绩效”两个维度；环境规制包括“命令—控制性环境规制——激励性环境规制——自愿性环境规制”三个维度。(2)揭示高层管理者社会资本对技术创新绩效的作用机制。本研究通过引入资源获取这一中介变量,打开了高层管理者社会资本对技术创新绩效影响的“黑箱”,构建了“高层管理者社会资本——资源获取——技术创新绩效”的理论框架,并运用结构方程模型等研究方法对中介作用进行了实证检验,由此揭示高层管理者社会资本对技术创新绩效的作用机制。(3)考察在不同的情境下高层管理者社会资本对技术创新绩效的作用机制。本研究在高层管理者社会资本与资源获取之间引入高层管理者持股这一调节变量,以及在资源获取与技术创新绩效之间引入环境规制这一调节变量,并运用多元线性回归分析等研究方法对调节作用进行了实证检验,由此揭示在不同的情境下高层管理者社会资本对技术创新绩效的作用机制。通过上述研究工作,本研究主要得出如下结论：(1)开发与修订的变量测量量表具有较高的信度与效度。通过采用信度分析、探索性因子分析以及验证性因子分析等研究方法,本研究对开发与修订的变量测量量表进行了信度与效度检验。经过小样本预测试以及大样本检验,各变量的维度划分是符合中国情境的,并且各变量的测量量表均具有较高的信度与效度。(2)高层管理者社会资本对技术创新绩效的影响是以资源获取为完全中介实现的,并且这种影响是多维度的。具体而言,政治性社会资本对技术创新绩效的影响是通过信息资源获取与资金资源获取的完全中介作用实现的；商业性社会资本对技术创新绩效的影响是通过信息资源获取与知识资源获取的完全中介作用实现的；公共性社会资本对技术创新绩效的影响是通过信息资源获取、知识资源获取以及资金资源获取的完全中介作用实现的。(3)高层管理者持股以及环境规制在高层管理者社会资本对技术创新绩效的作用机制中发挥着调节作用。具体而言,高层管理者持股对高层管理者社会资本与资源获取之间的关系具有正向的调节作用：激励性环境规制与自愿性环境规制对资源获取与技术创新绩效之间的关系具有正向的调节作用,而命令—控制性环境规制对资源获取与技术创新绩效之间关系的调节作用不显著。上述的实证研究结论,使得资源型企业能够明确如何从高层管理者社会资本的培育与发展、高层管理者股权激励的有效推进以及环境规制政策工具的合理使用这三个层面来提升技术创新绩效,从而为资源型企业实现从以高物耗、高能耗、高排放以及高污染为特征的粗放型发展模式向以技术创新为支撑的高技术化发展模式的转变提供有意义的理论指导与政策建议。更多还原

【Abstract】 In the era of low-carbon economy, the high-tech development model supported by technological innovation has become the inevitable choice for the sustained development of resources-based enterprises, and the improvement of technological innovation performance for resources-based enterprises has become the determinants whether Chinese economy can realize low-carbon development. With the increasing of complexity and uncertainty of technological innovation, the resources owned by single enterprise can’t meet the needs of technological innovation, however, top managerial social capital that can acquire external rsources has become the key factor for technological innovation. Therefore, exploring the impact of top managerial social capital on technological innovation performance has become important academic subject. However, the overview of related research shows that although the existing research had confirmed that top managerial social capital had active role on technological innovation performance, the research based on the sample of resources-based enterprises is not exist, the research on mechanism and context of how top managerial social capital impacts technological innovation performance are still inadequate, and the measurement scales about relevent variables have still some limitations.This study takes 201 resources-based enterprises as the research sample, from 10 areas with rich natural resource, including Inner Mongolia, Shanxi and Gansu etc., takes social capital theory, resource-based view theory and technological innovation theory as theoretical basis, integrates research methods such as literature research, questionnaires, interviews and analysis of mathematical statistics etc., focuses on the basic research topic of "how top managerial social capital impacts technological innovation performance", explores the following three questions:(1) This study develops and perfects variables measurement scales. On the basis of refering to relative research results and commenting advices from academic experts and business experts, this study develops measurement scales of technological innovation performance and environmental regulation, and perfects measurement scales of top managerial social capital and resource acquisition. Frameworks of demensions are established, including top managerial social capital with "political social capital—commercial social capital—public social capital", resource acquisition with "information resource acquisition—knowledge resource acquisition—capital resource acquisition", technological innovation performance with "technological innovation economic performance—technological innovation ecological performance", environmental regulation with "command-control environmental regulation—incentive environmental regulation—voluntary environmental regulation". (2) This study reveals the mechanism of top managerial social capital on technological innovation performance. Through introducing the mediator of resource acquisition, the study opens the "black-box" of the mechanism of top managerial social capital on technological innovation performance, establishes thetheoretical framework of "top managerial social capital—resource acquisition—technological innovation performance", applies structural equation modeling to testify the mediating role, thus reveals the mechanism of top managerial social capital on technological innovation performance. (3) This study explores the mechanism of top managerial social capital on technological innovation performance in different contexts. This study introduces the moderator of top managerial stockholding between top managerial social capital and resource acquisition, and the moderator of environmental regulation between resource acquisition and technological innovation performance, applies multiple linear regression analysis to testify the moderating role, thus explores the mechanism of top managerial social capital on technological innovation perfonnance in different contexts.Through above study, some conclusions are as follows:(1) Variables measurement scales have high reliability and validity. This study tests the reliability and validity of variables measurement scales with research methods, such as reliability analysis, exploratory factor analysis and confirmatory factor analysis etc. Through small sample pre-test and large sample test, frameworks of demensions of variables are consistent with Chinese contexts, and variables measurement scales have high reliability and validity. (2) Top managerial social capital indirectly influences technological innovation performance through the complete mediating role of resource acquisition, and the impact is multi-dimensional. In detail, political social capital indirectly influences technological innovation performance through the complete mediating role of information resource acquisition and capital resource acquisition; Commercial social capital indirectly influences technological innovation performance through the complete mediating role of information resource acquisition and knowledge resource acquisition; Public social capital indirectly influences technological innovation performance through the complete mediating role of information resource acquisition, knowledge resource acquisition and capital resource acquisition. (3) Top managerial stockholding and environmental regulation play moderating role in the mechanism of top managerial social capital on technological innovation performance. In detail, top managerial stockholding plays positive moderating role between top managerial social capital and resource acquisition; Incentive environmental regulation and voluntary environmental regulation play positive moderating role between resource acquisition and technological innovation performance, but command-control environmental regulation has no positive moderating role between them.Through above empirical results, resources-based enterprises can know how to improve technological innovation performance through training and development of top managerial social capital, effective promote of top manager equity incentive, and reasonable use of policy tools of environmental regulation, which will provide theoretical guidance and policy recommendations on realizing the change from extensive development model with high material consumption, high energy consumption, high emission and high pollution to high-tech development model supported by technological innovation.更多还原