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MBA论文_高阶梯队理论视角下研发投入影响因素及调节机制研究

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摘要
研发投入是企业重要的决策内容之一,具有高风险高不确定性的特征,容易
引起股东和经理人之间的冲突,最终研发投入决策内容也是企业内部多种势力“斗
争”的结果。为了能够帮助企业更好地做出研发投入决策,更合理地提升企业绩
效,发展研发投入决策相关理论,本文选取研发投入作为研究主题。
近年来,上市公司被举牌、争夺控制权的事情时有发生,控制权争夺战已成
为常态,控制权是如何影响容易引发企业内部各方冲突的研发投入决策的,是本
文关注的问题之一;中国上市公司民营化历程一直在进行, 2017年将进入到民营
化改革关键年份,民营化事件如何影响我国上市公司的创新参与热情,是本文关
注的又一大问题;
在回答上述两大问题之前,本文意识到,人们观念上认为研发投入非常重要,
但究竟怎么重要、企业行为会怎样调节等机制尚未探索清楚。因此本文首先利用
来自全国 17个省市自治区的 176份问卷,将研发投入人和钱的因素、企业行为结
合起来研究研发投入对企业绩效的影响机制。同时,鉴于企业社会资本已成为企
业配置资源的第三种重要手段,影响着做出决策所需信息的质量、数量和内容,
本文利用沪深两市上市公司的二手数据,研究企业社会资本在研发投入决策中的
作用,以及基于社会资本做出的研发投入决策对企业经营绩效产生怎样的影响。
综上,基于高阶梯队理论、制度逻辑理论、社会资本理论和研发投入决策相
关内容,本文利用 2007-2015年中国所有上市公司数据,1)考察实际控制人所拥
有的控制权、不同专业背景领导者、研发投入三者的关系。实证结果表明控制权
是不同专业背景领导者与研发投入之间的调节变量,技术背景领导者对研发投入
的影响随着实际控制人控制权的增加而降低;社科背景领导者对研发投入的影响
随着实际控制人控制权的增加而增加。2)利用混合截面模型的两步处理效应方法,
探索得知:民营化进一步释放了技术型领导者的研发热情,激发企业的创新参与
意愿;3)利用多元回归、分位数回归等方法,发现:只有厅局级以上的政府类社
会资本才能有效影响研发投入,兼职带来的社会资本能够调节结构嵌入和认知嵌
入型社会资本对研发投入的影响;董事长的不同类型社会资本有助于提升企业盈
利能力,而 CEO的社会资本则有助于降低企业的风险水平。
关键词:高阶梯队理论;研发投入;制度逻辑理论;委托代理理论;社会资本
I

Abstract
Abstract
The fate of modern corporate rests to an increasing extent on competitive
advantage gained from innovation and high R&D expenditure. However, R&D
expenditure, which has the characters of high risk and highly indeterminacy, always
easily arouses conflict between managers and shareholders. Every R&D expenditure
decision is a result of compromise with many powers. R&D expenditure represents
firms’ willing on innovation and could help firms to build competitive adventure. In
order to help firms make scientific R&D expenditure decision and promote performance,
this paper took R&D expenditure as research subject.
Listed companies always contend for control rights and present a written report to
stock exchange and CSRC for control rights nowadays. So, how control rights influence
R&D expenditure, a decision which causes many forces’ conflict usually, is one of the
main topics in this paper. The privatization and the mixed ownership reform have
implemented from 2003 in China. According to government’s policy, privatization
reform will enter into critical year in 2017. What’s the influence of privatization reform
on technical leader and firms’ innovation willing is another main topic in this paper.
Before answering the former two questions, firstly, this paper use 176
questionnaire datas from 17 provinces of China in clarify why R&D expenditure is so
important. Combining the capital of R&D expenditure and researchers of R&D
expenditure, linking with firms’ behavior, this paper answered the mechanism between
R&D expenditure and firms’ performance. Meanwhile, Social capital becomes the third
important force to resource allocation, and it determines the quantity, quality and
content of decision making for the leaders. Based on the research results that researchers
could regard leaders’ social capital to firms’ social capital, this paper explore the
mechanism from firms’ social to R&D expenditure, and the mechanism from R&D
expenditure to firms’ performance. Therefore, social capital is the third main topic in
this paper.
Then, based on upper echelon theory, institutional logic theory, social capital and
researches on R&D expenditure, this paper used all the listed companies from 2007 to
2015 to do further research and found that: 1)control rights is the moderator between
II

Abstract
different functional background leaders and R&D expenditure. It makes negative
influence on technical leaders’ preference on R&D expenditure while it makes positive
influence on sociological leaders’ contradict on R&D expenditure. 2) using two-stage
method for mixed section treatment effect model, the results told us that privatization
releases technical leaders’ enthusiasm on R&D expenditure and then it will be helpful to
motiving firms’ innovation participating willing. 3) using multi regression, quantile
regression and other regression methods, this paper found that only Bureau level with
government ties and other higher level with government ties would have influence on
R&D expenditure, otherwise, there is no significant influence on R&D expenditure.
Besides, chairmen’s different kinds of social capital make positive influence on firms’
profitability through R&D expenditure while CEO’s different kinds of social capital
would help firms to reduce risk through R&D expenditure.
Key Words: upper echelons theory; R&D expenditure; institutional logic theory; agent
theory; social capital;
III
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