【作者】 李林生；

【导师】 施国洪；

【作者基本信息】 江苏大学 ， 创新管理与中小企业发展， 2012， 博士

【摘要】 国家创新的关键主体是企业,中小企业在企业创新中承担了重要责任,阿克斯(1982)对美国34个创新型行业的企业创新数目进行比较,发现中小企业在14个行业中创新占据优势地位。创新绩效是评价创新过程和结果的重要标尺,对中小企业行为起导向作用。随着创新研究的深入发展,企业创新绩效也逐渐成为研究的热点话题。目前的中小企业创新绩效研究基本都是从股东角度展开,这种单一主体评价模式有着天生的弊端,无法解决中小企业创新绩效研究的主体性问题：从管理水平、成本效益和评价能力方面考虑,中小企业一般不具备独立评价创新绩效的条件和能力,单纯从股东角度进行的研究无从立足,难以投入生产。因此,本文从社会责任角度研究中小企业创新绩效,根据利益相关者理论,选取中小企业最主要的四个利益主体：股东、员工、政府和债权人,研究和分析了它们的创新绩效需求,从而实现了多元主体评价。从本质上讲,创新是新知识产生的过程。在德鲁克看来,知识是“人类所特有的资源”,“知识总是体现在人的身上,由人携带,由人创造、丰富和完善,同时它由人应用,由人传授和学习,也由人利用或滥用”。人的因素在知识产生中起着至关重要的作用。从企业创新的过程讲,创新是一项具有时间跨度、部门跨度的活动,一个典型的创新活动需要经历思想形成、产品构想、机型设计、小批试制、批量生产、市场营销六个阶段,需要部门内部和部门间通力协作,对中小企业的组织协作能力要求很高。因此,本文选择研究人力资源配置对中小企业创新绩效的影响。已有的中小企业创新绩效研究成果表明,人力资源配置因素对中小企业创新绩效具有显著影响力,但极少有文献将人力资源配置因素单独划分成块,研究其作用方式和作用路径,因此对于人力资源方面的指标也是零散而不成体系的。本文针对传统数理统计三层模型的缺陷,提出了数理统计四层模型,在形式化数据层和客观世界层中增加了数据模型层,数据模型层对客观世界进行抽象,从而解耦了形式化数据层对客观世界层的依赖。并使用网络组织下的人力资源配置模型对其进行了实现。人力资源配置模型的组织形式是有向网络图,以员工为节点,以关系为连线,以人的属性为节点属性。结构学派认为企业的行为由外部行业环境和企业在行业中的竞争位置决定,战略理念是“伺机而动”；资源学派认为企业应该注重对企业内部资源进行分析,挖掘企业内部自身潜力,战略理念为“量力而行”。针对结构学派和资源理论的研究现状,本文借鉴二者思想,提出概念模型构建的理论基础：资源决定行为,行为决定绩效。本研究以网络组织下的人力资源配置模型为自变量,以社会责任角度的中小企业创新绩效为因变量,以企业创新行为为中介变量,建立了人力资源配置对中小企业创新绩效影响的概念模型。在文献研究和企业实地调研的基础上,本研究编写了调查问卷量表,进行了小样本测试,对量表题项、结构和表述方法进行了改进。接着在江苏、安徽和浙江三地,进行了大规模问卷调查,最终获取有效问卷212份,对所获得数据进行了信度检验和验证性因子分析。然后根据概念模型提出的假设构建了初始结构方程模型,并对其进行了拟合。根据拟合所获得的各项参数对模型进行修改,得到最终影响模型,最后对实证结果进行了总结和分析。研究得出了以下结论：1.人力资源配置对企业创新行为有着显著的影响作用。人力资源的结构因素直接影响着企业内部协作的效率和成本,也对新知识的产生起着至关重要的作用。2.企业创新行为对社会责任角度中小企业创新绩效有显著的影响。但对于不同的利益相关者,中小企业创新绩效是矛盾统一的结合体。3.人力资源配置通过企业创新行为来影响社会责任角度中小企业创新绩效。理论研究和中介效应验证结果证明,人力资源配置并不直接影响中小企业创新绩效,需要通过企业创新行为来起作用。4.管理创新、工艺创新和产品创新的影响因素和影响路径不同。更多还原

【Abstract】 The key role of national innovation is enterprises, and the small and medium enterprise (SME) undertakes important responsibility in enterprise innovation. Akers found SME occupied the advantage position in the innovation of 14 industries in comparison with the enterprise innovation number of 34 innovative industry in the United States. The innovation performance is a very important scale of evaluating the innovation process and results, which will guiding the enterprise development. With the increasing development of innovative researches, the enterprise innovation performance is becoming a hot topic, which is shown the blockbuster expansion in the past two years.The research of SMEs innovation performance is processed from the point of shareholder, and the single subject evaluation model has inherent shortfalls, which can not solve the subjectivity of SMEs innovation performance. Because the SMEs has not the conditions and capabilities of independently evaluating the innovation performance from management level, cost effectiveness and evaluation capacity, the research point from the shareholder is infeasible and impractical. The article on SMEs innovation performance research is from the perspective of social responsibility. The four benefit main bodies which are shareholders, employees, government and creditors are selected based on the theory of stakeholder. The innovation performance need is researched and analysed, and the aim of plural subject evaluation is attained.The innovation is the process of producing new knowledge in essence. The knowledge is a unique human resources, and knowledge is always reflected, carried, created, enriched, perfected, applied, teached and learned by people in Drucker’s view. It is the human factor that plays a vital role in knowledge generation. The innovation is a activities which spans the time and department from the corporate innovation process, and a typical innovation includes the six parts which are ideological formation, product ideas, design models, a small group of trial, mass production and marketing. The six parts need strong organizational collaboration capabilities on SMEs between the each department and inter-depatment collaboration. So the paper selects the allocation of human resources as the impact factor for the innovation performance of SMEs.The research on SMEs innovation performance shows that human resource allocation remarkably affects the SMEs innovation performance. But there are very few literatures which divide the human resource allocation into each part and research functional way and path, so the index of human resources is scattered and immethodical. The paper gives the mathematical statistics four layers model, which adds data model layer into formal data layer and the objective world layer which is an abstract about objective world in order to decouple the dependence of formal data layer on objective world layer. The human resource allocation model under the network organization (referred to as the allocation of human resources network) is used to realize, he organizational form of the allocation of human resources network model is network map which node, ligature and node attributes is staff, relationship and person’s property.The paper constructs the conceptual model about human resources allocation network affecting SMEs innovation performance taking human resource allocation network, social responsibility of SMEs innovation performance and enterprise innovation behavior as independent, dependent and intermediary variable. The research questionnaire scale is designed based on literature review and field research of enterprise which is tested in the small sample, and the items, structure and formulation of the questionnaire scale is adjusted. The large-scale questionnaire survey in which 212 valid questionnaires are obtained is taken in Jiangsu and Anhui provinces, and the data reliability test and confirmatory factor is analyzed. The initial structure equation model is constructed and fitted according to the hypothesis put forward by the conceptual model. The final impact model is obtained by revising model based on all kinds of parameters in the way of fitting. Finally, the empirical results are summarized and analyzed.The following conclusions are obtained:1. The human resource allocation network significantly affects the enterprise innovation behavior.2. The enterprise innovation behaviour significantly affects SMEs innovation performance in the social responsibility angle.3. Through the enterprise innovation behavior, the human resource allocation network affects the SMEs innovation performance social responsibility angle.4. The influence factors and path is different in management innovation, process innovation and product innovation.更多还原