【作者】 夏铮；

【导师】 俞会新；

【作者基本信息】 河北工业大学 ， 技术经济及管理， 2013， 博士

【摘要】 在当今激烈的竞争环境下，如何通过不断创新来获取竞争优势成为企业聚焦的重点，在这种情况下，有效地开发和利用人力资本可以为企业更好地选择创新方式来提高企业技术创新效率提供借鉴，有助于企业获取优势，增强企业的核心竞争力。因此研究企业人力资本对技术创新的影响具有重要的现实意义。本研究采用实证研究方法，主要探讨了人力资本、动态能力、技术创新的结构维度和测量模型以及三者之间的影响关系。调查方法采取的是便利性抽样和主观抽样，共收集262份有效问卷，在运用多种统计分析方法的基础上对数据进行了深入的分析，研究假设得到验证，并就验证结果进行了详细解释和详细讨论。本研究得出的主要结论、研究贡献以及创新点主要体现在以下几个方面：首先，构建了“企业人力资本—动态能力—技术创新”的整体理论分析框架。本研究在借鉴众多研究成果的基础上，从动态能力这一视角，深入研究和检验企业人力资本、动态能力对不同类型技术创新的影响，能够更好地解释企业人力资本、动态能力与技术创新的关系，有利于推动企业人力资本理论、动态能力理论和创新理论的拓展和应用。其次，构建了企业人力资本对技术创新的影响机制模型。通过对化工行业企业的深入调研，结合理论研究提出从企业人力资本的三个测量维度和技术创新的两个测量维度，并分别设计相应的题项对上述研究维度进行测量，拓展和丰富了企业人力资本对技术创新影响的测量研究内容和研究方法。并且证实了企业研发型人力资本、技能型人力资本和管理型人力资本对探索性创新、开发性创新之间的不同的正向影响关系，明确了企业各类型人力资本对不同类型技术创新的影响机制，提出有效促进企业人力资本以提升创新和竞争优势的建议。再次，构建了企业人力资本对技术创新影响的多元线性回归模型，利用相关性分析和多元线性回归分析方法，构建了企业人力资本通过中介变量—动态能力影响企业技术创新的多元线性回归模型。实证研究得出企业人力资本、动态能力与技术创新之间的影响系数，并根据影响系数分析不同类型的企业人力资本、动态能力的各个因素对技术创新的影响程度。最后，引入BP神经网络建模方法，构建了企业人力资本对技术创新影响的BP神经网络模型，使用软件Matlab2012a模拟出不同的关系曲线，进一步证实了企业不同类型人力资本对动态能力具有推动作用，以及动态能力对技术创新具有推动作用的观点，通过中介检验有效验证了动态能力的中介作用，揭示了以动态能力为中介效应的企业人力资本对技术创新的影响机理，完善了战略管理理论，提出企业进一步提升动态能力、人力资本激励机制的建议，以有效地促进创新。更多还原

【Abstract】 Under the intense competition surroundings nowadays, how to obtain the competitivesuperiorities through the continuous innovation becomes the emphasis of enterprisefocusing. In this case, the effective development and utilization of human capital canprovide a reference for enterprise，which have a better choice of innovative ways toimprove the efficiency of enterprise technological innovation, and contribute to gain someadvantages so as to enhance the core competitiveness of enterprise. Therefore, it is of theimportant and practical significance by researching for the impact of enterprise humancapital on technological innovation.This research adopts the empirical methods which mainly elaborate the structuraldimensions and measurement models of enterprise human capital, dynamic capability andtechnological innovation, as well as the effective relationship among the aforesaid threeaspects. The surveying approaches of convenient sampling and subjective sampling areutilized in collecting262valid questionnaires. Based on various statistical methods, therelated data are profoundly analyzed to verify the proposed research hypotheses, and thenvalidation of the results are explained and discussed in detail.The main conclusions, research contributions and innovative points of this dissertationare mainly embodied as the following aspects:Firstly, the integral theoretical framework of “enterprise human capital-dynamiccapability-technological innovation” is constructed. On the basis of numerous researchresults, this dissertation, from perspective of dynamic capability, profoundly analyzes andverifies the effects of enterprise human capital and dynamic capability on different kinds oftechnological innovations, which can explain the relationship among human capital,dynamic capability and technological innovation. Under such circumstance, it iscontributive to promote the development and application of the theories of enterprisehuman capital, dynamic capability and innovation.Secondly, the effective mechanism models of enterprise human capital ontechnological innovation are also established. By means of the deep survey onto thechemical enterprise, three measuring dimensions of human capital and the twos oftechnological innovation are correspondingly proposed with the combination of theoreticalresearch, and the items are respectively designed to survey the above-mentioned research dimensions, which can expand and enrich the measurement contents and methods of theeffect of enterprise human capital on technological innovations. And also, it confirms that R&D, skilled and managerial enterprise human capital have the different positive impacts onexploratory and exploitative innovations, defines the effective mechanisms of all kinds ofhuman capital on the different types of technological innovations, and proposes the relatedrecommendations for effectively promoting human capital in order to enhance innovationand competitive superiorities.Thirdly, the multiple linear regression models of the impact of enterprise humancapital on technological innovations are constructed. Meanwhile, by using the correlationand multiple linear regression analyses, the multiple linear regression models areestablished with effects of enterprise human capital on technological innovations throughthe mediator variable-dynamic capability. It can be drawn from the empirical research forthe effective coefficients among enterprise human capital, dynamic capability andtechnological innovation. Moreover, the influence degree of different types of enterprisehuman capital and the elements of dynamic capability on technological innovation isanalyzed on the basis of the effective coefficients.Lastly, with the introduction of BP neural network modeling method, BP neuralnetwork models of the effect of enterprise human capital on technological innovation areconstructed. By using software Matlab2012a, various curves are simulated to furtherconfirm the promoting role of different kinds of human capital in dynamic capability, andthe same viewpoint of dynamic capability in technological innovation. Furthermore, theintermediary role of dynamic capability can be validated via intermediary test, themechanism of dynamic capability as mediating effect of human capital on technologicalinnovation is revealed so as to improve the strategic management theory, proposerecommendations for enterprise of further promotion of dynamic capability and the humancapital incentives to promote innovation.更多还原