【作者】 李辉；

【导师】 刘力钢；

【作者基本信息】 辽宁大学 ， 企业管理， 2014， 博士

【摘要】 全球化所带来的复杂性通常引起“弱情境”出现，这将给组织如何执行战略的选择和实施带来新的挑战。企业必须从孤胆英雄模式向团队领导模式转变，通过团队决策来应对环境的变化。作为负责整个企业组织协调的高管团队，决定了企业在市场竞争中的应变能力和决策能力，从而决定企业发展，关系企业兴衰。优秀的高管团队是企业重要的战略资源和核心竞争力，可形成团队协作效应，利于充分发挥高管团队决策力和协调组织能力，提高决策质量。高管团队特征一直是高阶理论研究的热点，众多研究着重探讨其与组织结果的关系。高管团队决策效果是决定组织绩效的重中之重，这是由于高管团队的决策过程是一个不同利益群体之间相互牵制、相互作用的复杂、微妙的过程，决策效果的好坏直接影响组织绩效。高效的高管团队不能仅满足于某一项决策的高效率，团队成员更要在制定与执行决策中体验到满意感和认同度，形成相互间融洽信任的合作关系，这也是团队保持长期高效决策和可持续发展的关键所在。因此，探讨高管团队特征对高管团队决策效果影响具有现实意义。为使高管团队特征与组织结果关系更稳定，团队过程的中介作用已引起广泛关注。团队过程揭示了如何提高效率或改进绩效、减少成本及制定更优决策。当高管团队组成有所不同时，整合反映团队状况的过程和构成十分必要。只有实现高层管理者资源、信息和决策共享。即当高管团队行为整合时，才能充分发挥其决策力与协调力，提升竞争力，达到满意的决策效果。本研究以企业高管团队特征（包括背景特征和异质性）和决策效果为主题，探讨高管团队的背景特征（年龄、团队任期、教育水平、团队规模）与异质性（年龄异质性、任期异质性、教育学历异质性和教育专业异质性、职业背景异质性）对高管团队决策效果（决策质量、决策承诺一致性、决策理解一致性以及情感接受性）的不同影响效应，以及高管团队背景特征和异质性通过中介变量行为整合对决策效果产生的影响，为我国在现阶段制度环境和文化环境中整合团队优势，提高团队决策效果提供理论支持和实践对策。具体包括：1.探讨高管团队背景特征与异质性对高管团队决策效果的影响。2.探讨高管团队背景特征与异质性对高管团队行为整合的影响。被称认为是打开高阶理论“黑匣子”钥匙的行为整合研究是学术界较为崭新的视角，本文界定行为整合的内涵和维度；3.探讨高管团队行为整合对决策效果的影响。行为整合对决策效果影响的文献还比较鲜见，本文研究行为整合的三个维度（即团队合作、有效沟通、决策参与）与决策效果的关系；4.探讨高管团队行为整合的中介效应。随着高阶理论的日趋成熟，学者们通过在高管团队特征与结果间加入中间变量，以揭开黑箱之谜。本文探讨了行为整合在高管团队特征及异质性与决策效果间的中介效应。通过文献分析和深度访谈确定正式问卷，以辽宁中小企业为样本，进行问卷调查，共收回来自115个团队的391名高层管理者的有效问卷。本研究设计变量，均利用比较成熟的量表进行测度。针对行为整合个别题项的改动，做了题项分析和探索性因子分析。应用SPSS19.0和AMOS17.0等统计软件对问卷中变量进行效度和信度检验。为确保个体数据能聚合成团队层次，采用ICC和Rwg指标，检验组内数据一致性。最后，通过多元回归分析，验证高管团队特征对高管团队决策效果的影响，以及行为整合在高管团队特征与决策效果之间的中介作用。本研究主要发现高管团队特征、行为整合与决策效果间的逻辑关系。高管团队特征是影响决策效果的重要变量，不同特征类型对决策效果的影响程度不同。平均年龄、教育学历异质性、职业背景异质性与决策效果负相关；平均教育水平与决策效果正相关。本研究表明配置结构合理的高管团队是高效发挥团队效能，达到满意的决策效果的客观前提。在组建高管团队要注重团队特征的潜在互补效应，如年龄、职业专长的搭配。具体来说，相对年轻化，受教育程度高，并且教育水平差异较小，拥有相似职业背景的高管团队能发挥团队的总体互补聚合效应，有利于决策效果。高阶理论认为高管成员的心里和认知是通过他们的背景特征和异质性特征得以反映，并影响他们的决策行为及决策效果。但这种反映是有限的，为应对超竞争环境及快速多变的外部市场，高管团队必须有效的处理内外部信息，进行资源和行为的整合，从而提升组织的决策力。因此，高管团队特征可能更多通过行为整合影响决策效果。本文发现，高管团队背景特征对决策效果有间接的影响，要通过行为整合起作用；行为整合在高管团队异质性特征与决策效果间起到部分中介作用；行为整合对决策效果有显著的正向影响。高管团队特征与决策效果的研究属于静态研究，战略决策是一个动态的过程。在揭开特征与结果的黑箱，行为整合是关键过程变量。本文发现，高管团队行为整合过程是一个集体互动学习过程，通过这一过程能充分调动分散在高管团队成员中对内外部环境的认知资源，保证团队多样化知识和观点得到充分融合，使团队成员相互协作，并参与到决策制定和实施过程中。高管团队成员只有进行有效沟通，在决策参与中能够表达自身的看法，充分合作，才能制定出最满意的战略决策，才能保障战略决策的顺利实施。本研究还发现，平均年龄低而平均教育水平高的TMT有助于提升团队的行为整合。这进一步表明，年轻有为、高教育水平的成员构成，是实现高管团队1+1>2的整体团队效能的客观前提。高管团队异质性并没有因为其多样化的资源，而提升团队的行为整合水平。教育学历异质性和职业背景异质性都显著负向影响行为整合。这是因为教育学历异质性和职业背景异质性都属于工作相关的异质性。这种异质性越高，将降低工作任务相关运作过程的效率，降低信息沟通的数量和质量，导致较高的团队冲突和低水平的互动沟通。这也可能与中国的文化背景有关，中国企业的管理者更注重“圈子文化”，团队更注重统一的目标和行为模式，而不是孤立的“个人英雄”。团队内外的界线划分更明显，这种内外团队的认知，降低了高管团队整合资源的能力，不利于达成一致的战略承诺。更多还原

【Abstract】 Globalization brought about by the complexity, which leaded the emergence of the"weak" scenarios, it would result in new challenge to the organization on how toimplement strategic choice and implementation. Enterprise must change from the loneheroes to the team leadership model, and reply the environment change play its valuethrough the team decision. Top Management Team (TMT) is responsible for organizationand coordination of the entire enterprise. It decided the strain capacity anddecision-making ability of enterprises in market competition, which thus decided thedevelopment of enterprise and related between the rise and fall of enterprise. As animportant strategic resource of enterprises and core competency, outstanding TMT willform the team cooperation effect. It will help enterprise to play the decision-making andorganizational coordination ability of TMT, and improve decision quality.The researches on the compositional pattern of TMT have been hot topics of theupper echelons theory, many were about the relationship research between it andorganizational outcomes. The reason why decision effectiveness of TMT was the mostimportant was because decision-making process of TMT was complex and delicateprocess. It was usually affected by different interest groups mutually restricted andinteracted each other. A high-efficient TMT could not only satisfy with high-efficientdecision of a certain decision, but also team members should experience the satisfactionand recognition during decision-making and implementing, and form the harmonious andtrustful relations. It will be an important prerequisite that ensure team long-term effectivedecision-making and sustainable development. Therefore, it is a realistic significance todiscuss the influence between the demographic background characteristics andheterogeneity of TMTS, and decision effectiveness.To ensure the more stable relationship between TMT characteristics andorganizational outcomes, mediating roles of team process was widely noted. The teamprocess revealed how to raise efficiency, improve performance, reduce cost and makebetter decision. When TMT composition was different, it was necessary to integrate teamstatus and composition. Only when the top management of resources, informationsharing and decision making were realized, in other words, only when TMT Behavior was integrated, the abilities to make decisions and coordination were the most.Competitive power was enhanced, resulting in the satisfactory decision effectiveness.The aim of this study was to discuss different effects from background andheterogeneity characteristics of TMT on decision effectiveness, as well as the decisioneffectiveness impacts of mediated variable through the behavioral integration ofbackground and heterogeneity characteristics of TMT. The background characteristicsincluded average age, tenure, the average educational level and team size, andheterogeneity characteristics included age heterogeneity, tenure heterogeneity,educational degree heterogeneity, educational specialization heterogeneity, functionalbackground heterogeneity. The results will help to integrate the team advantagesaccording to the system environment and cultural environment of our country so as toimprove the decision effectiveness of the team and provide theoretical support andpractical strategy. Research can be divided into four aspects including:1. To discuss theeffects of background and heterogeneity characteristics of TMT on decision effectiveness.2. To discuss effects on the behavioral integration of background and heterogeneitycharacteristics of TMT. Behavioral integration is a new perspective in academic field,which is named as the key to open black box of the upper echelon theory. In this study,connotation and dimensionality of behavioral integration were defined.3. To discuss theeffects from behavioral integration of TMT on decision effectiveness. There were a fewliteratures on it. This paper tentatively studied the relationship including three factors:behavioral integration of the team cooperation, effective communication anddecision-making participation.4. To discuss the intermediate effect of behavioralintegration. With the gradual maturity of upper echelons theory, scholars added themediate variable between TMT characteristics and results so as to uncover mysteries ofblack box. This paper discussed the intermediate effects of behavioral integration onpopulation characteristics, heterogeneity characteristics of TMT and decisioneffectiveness.The questionnaire was confirmed through literature analysis and depth interview.Small and medium-sized enterprises in Liaoning province were selected as sample,questionnaire survey was done. The efficient questionnaires from391top managers of115teams were taken back. In this study, the variables designed were measured using the mature scale. The individual items of behavioral integration were changed, and the itemand exploratory factor were analyzed. The validity and reliability of variable in thequestionnaire were analyzed through SPSS19.0and AMOS17.0statistical software. Toensure data from individual level to aggregate on team level, ICC and Rwg were used toinspect group data consistency. Finally, the effects from composition characteristics ofTMT on decision effectiveness as well as intermediate effect of behavioral integrationbetween composition characteristics and decision effectiveness were analyzed andverified through multiple regression analysis.Logical relationships of TMT characteristics, behavioral integration as well asdecision effectiveness were found according to this study. TMT characteristics wereimportant variables, which decided the decision effectiveness. Different characteristicsaffected the decision effectiveness in various degrees. Average age, heterogeneities ofacademic education and functional background negatively affected on the decisioneffectiveness, but average education level positively affected on the decisioneffectiveness. The reason why TMT possessing the reasonable distribution and structurewas the objective prerequisite because the satisfied decision effectiveness obtaineddepended on potency of the team according to our research. When TMT was constructed,it should considered the potential and complementary effects of team characteristics,which included age and professional speciality et al. Particularly, TMT possessing suchcharacteristics as the younger, higher education level lower education heterogeneity aswell as the similar professional background exhibited much larger scale. Such TMTcould play the complementary effect of team and help to get the satisfied decisioneffectiveness. According to the upper echelons theory, thoughts and cognitive ability ofTMT members were affected by their background and heterogeneous characters, andthen affected their decision-making behavior and effectiveness. However, it was limited.To reply the hyper competitive environment and the fast change outer market, TMT musteffectively deal with the inner and outer information, and quickly integrate source andbehave, it would help to promote the decision-making ability of organization. Therefore,TMT characteristics might affect the decision effectiveness through behavioralintegration. TMT background character indirectly affected the decision effectiveness andplayed its role through behavioral integration according to our research. Behavioral integration played its partial mediated role between heterogeneity characteristics of TMTand decision effectiveness. The influence was notable and positive.The studies on TMT characteristics and decision effectiveness were static, butstrategic decision was dynamic. To open the black box of characteristic and result,behavioral integration was the key variable. Behavioral integration of TMT was alearning process inside the interactive team. Through this process, TMT members fullyarouse the cognitive resources, which scattered inner and outer environment. It wouldensure that different knowledges and opinions of TMT could be fully fused. Every teammember could cooperate with each other and particate in decision-making andimplementing. Only TMT members communicated effectively and sufficientcoordination, theris views could be expressed during decision-making. The mostsatisfying decision-making could be lay down. It would help to successfully implementthe decision-making.Furthermore, TMT that possessed lower average age and higher average educationlevel helped to promote behavioral integration of team. It would be the most importantprerequisite that TMT could realized the overall team effectiveness (1+1>2). The reasonwhy the team promoted behavioral integration level was not due to multiple resources ofheterogeneity characteristics of TMT. Heterogeneities of education and functionalbackground negatively affected behavioral integration, major because heterogeneities ofeducation and functional background were related to work. High heterogeneity wouldreduce work efficiency and abate the quality and quantity of information communication,resulting in high team conflict and low interactive communication. It might be relatedwith Chinese traditional culture. The manager in Chinese enterprise paid more attentionto the “circle culture”, and the team paid more attention to the unified goal and behaviormodel, not but the isolated “personal hero”. The inside and outside boundaries of teamwere obviously divided. The internal and external team cognition reduced the ability ofTMT resource integration, which could not reach the strategic commitment agreement.更多还原