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论文编号：	11880
作者编号：	1120160828
上传时间：	2020/6/23 13:21:05
中文题目：	董事创新经验、情境差异与公司创新
英文题目：	Directors’ innovation experience、Circumstances difference and Corporate innovation
指导老师：	周建
中文关键字：	董事创新经验； 战略嵌入董事创新经验； 战略嵌入公司 创新； 经验专用性情境 差
英文关键字：	Directors'''' innovation experience; Strategic involvement; Corporate innovation; Experience specificity; Circumstances difference
中文摘要：	伴随着2012年以来持续的经济低迷与世界性的产业转移，中国开始积极探寻向“高质量”发展模式转变的有效路径。作为推动经济社会发展的主要力量 “中国式创新”受到政策制定者和实业界的普遍关注，如何驱动中国企业积极、高效的开展创新活动也成为近年来管理学领域研究的重点内容之一。企业创新兼具不确定性高、投资回收期长等特点，要求企业持续的资源投入。现有公司治理领域的相关研究，从董事社会网络和董事人力资本的角度，探究了董事认知能力对上市公司创新的影响。然而，纵观现有研究主要存在以下几个方面的问题：1）基于董事社会网络的相关研究多强调董事共同任职的同期性；2）忽略了董事在其他公司积累的创新经验可能具有较强专用性的特点，未能对董事创新经验与公司创新之间关系可能具有的情境依赖性进行有效检验；3）未能对如何测度公司创新产出进行系统分析与甄别，存在误用测量变量的问题。 本文试图基于董事创新经验具有较强专用性特点的假设，回答“在拥有丰富创新经验的董事嵌入公司创新的过程中，存在哪些内外部情境因素可能引致董事创新经验对公司创新产生差异化影响？”的科学研究问题。 研究内容一主要用于回答分解的研究子问题一，即“董事创新经验对公司创新存在何种影响？”借鉴现有研究，本文以经行业一致性调整的董事在其他公司参与的创新项目的总数量，作为董事创新经验的测度指标，按照董事在公司创新战略决策和创新战略实施的连续战略嵌入过程划分，系统地探究了董事创新经验对企业研发投入强度和创新产出的影响。基于研究内容一的研究结果显示，拥有丰富创新经验的董事嵌入公司创新活动，可能通过降低管理层短视行为、提高公司创新合法性和信心等路径，增强企业的创新意愿，提高企业的研发投入强度。董事创新经验除可以提高企业研发投入强度之外，还可能通过提高公司创新项目选择的有效性和资源配置的有效性，降低公司创新活动中的资源约束，增强企业的创新效率等路径提高企业的创新产出。 研究内容二主要用于回答分解的研究子问题二，即“焦点公司创新能力如何影响董事创新经验对焦点公司创新产出的促进作用？”基于企业吸收能力视角，本文进一步检验了焦点公司创新能力对董事创新经验与公司创新产出之间关系的影响。基于研究二的研究结果显示，焦点公司创新能力对董事创新经验与焦点公司创新产出之间的关系存在显著的促进作用，焦点公司创新能力越高，董事创新经验对焦点公司创新产出的促进作用越强。 研究内容三主要用于回答研究子问题三，即“外部环境差异如何影响董事创新经验对焦点公司创新的促进作用？”作为一个开放的系统，企业需要依赖外部环境获取所需资源以维持自身的可持续发展。外部环境差异可能通过影响资源裕度和企业资源获取能力等，对企业行为产生影响。本文借鉴现有研究，系统探究了焦点公司与董事获取创新经验的经验源公司之间的技术经济环境差异、制度环境差异和社会文化环境差异，对董事创新经验与焦点公司创新之间关系的影响。研究发现，在地理距离小，制度和社会文化环境一致性程度高时，董事创新经验对公司创新的促进作用更强。 研究内容四主要用于回答研究子问题四，即“战略嵌入程度差异如何影响董事创新经验对公司创新的促进作用？”基于研究内容四的研究结果显示，与独立董事相比，嵌入程度更高的非独立董事的创新经验对公司创新活动的促进作用更强；在董事会信息分化程度较低时，独立董事创新经验与非独立董事创新经验对公司创新的促进作用的差异更小。 与现有研究相比，本文具有以下几方面的创新：首先，本文通过对现有研究的归纳整理，提炼了经由董事形成的公司外部创新知识获取路径模型；其次，本文将影响董事创新经验在焦点公司适用性的因素划分为环境维度相关因素、公司维度相关因素、董事维度相关因素，并在此基础上系统检验了多维因素差异对董事创新经验与企业创新之间关系的影响；最后，本文以经行业一致性调整的董事在其他公司参与的创新项目的总数量作为董事创新经验的测度指标，更有效地测度了董事创新经验的强度，弥补了现有研究以虚拟变量测度董事创新经验强度的不足，为理解拥有丰富创新经验的董事嵌入企业创新活动过程对企业行为的影响提供了更加令人信服的证据。 本文考察了董事层面、董事会层面、公司层面和环境层面等四方面情境差异，如何影响董事创新经验对公司创新促进作用效果的作用路径，研究结果表明，并非所有的外部经验均能够对公司创新产生相似的促进作用。只有当外部经验能够较好地适应焦点公司的内外部发展环境时，才能够有效地对公司创新产生促进作用。忽略内外部情境差异，而强行引入外部经验或外部资源，反而可能对企业的发展带来不利的影响。本文为企业如何有效利用外部经验和资源促进自身创新提供了可供借鉴的文献依据，对中国企业有效开展创新活动，加强自主创新能力，实现中国经济向高质量发展模式的转变具有重要的实践指导意义。
英文摘要：	In order to promote the transformation of China's economy to a "high-quality" development model, "Chinese-style innovation" has received widespread attention from policy makers and the industry. How to drive Chinese companies to efficiently carry out innovation activities has also become a research area in management in recent years. Enterprise innovation activities are characterized by high uncertainty and long investment recovery periods, and require continuous tangible and intangible resource input. Existing research on corporate governance has explored the impact of directors' cognitive abilities on corporate innovative behavior from the perspective of directors' social networks and directors' human capital. However, looking at the existing research, there are mainly the following problems: 1) the related research based on directors ’social networks emphasizes the contemporaneity of directors’ common appointments, ignoring the continuity of “relationships” in the Chinese context. 2) The innovation experience accumulated by directors in other companies may have strong specific characteristics, failing to effectively test the contextual dependence that may exist between the director's innovation experience and the enterprise's innovative behavior. 3) Failure to measure the enterprise's innovation output. It is necessary to carry out systematic analysis and screening, and there is a problem of misuse of measurement variables. Based on this, this paper deconstructs the research question into four sub-research questions. Firstly, how does the directors’ innovation experience affect focal firm’s innovation? Secondly, how does focal firm's innovation ability affect the promoting effect of the directors’ innovation experience on the focal firm's innovation output? Thirdly, how does the differences in the external environment between the focal firm and firms where directors obtained innvation experience affect the promoting effect of director's innovation experience on focal firm's innovation? Forthly, how will directors’ strategic involvement degree in focal firm’s innovation activities affect the promoting effect of directors’ innovation experience on focal firm's innovation output? Based on the identified research question and decomposed sub-research questions, this research is divided into four main contents. The first research content is mainly used to answer the decomposed sub-research question "how does directors’ innovation experience affect focal firm's innovation?" In order to correct the measurement bias that exists in existing studies, this paper draws on the measurement method of existing studies to use the total number of patents applied by those list firms where directors hold positions such as director, supervisor, and executive officer adjusted by industry consistency, to measure directors' innovation experience. Based on this, the paper explores the impact of directors' innovation experience on the firm's R&D input intensity and innovation output. The findings of this research content showed that, the involvement of directors with rich innovation experience in focal firm’s innovation activities can enhance focal firm’s willingness to innovate and increase focal firm’s R&D input intensity by reducing the short-sighted behavior of executive managers, increasing the legitimacy of firm’s innovation activities, and increasing executive managers’ confidence in carrying out innovation activities. In addition to enhancing focal firm's willingness to innovate, directors with rich innovation experience can also help focal firms to selected out innovation projects with a high probability of success and greater value, improve focal firm’s resource allocation efficiency, and reduce focal firm's resource investment in innovation projects with a low probability of success and less value. In addition, directors who have rich innovation experience can help the focal firm to access resources for innovation or form synergistic innovation relationships with other firms, through their "guanxi" network. Finally, the involvement of directors with rich innovation experience can improve focal firm's ability to innovate and enhance its innovation output. The second component of this study is mainly used to answer the decomposed sub-research question "how does focal firm's innovation ability affect the promoting effect of directors’ innovation experience on the focal firm's innovation output?". Focal firm’s innovation capacity determines the effectiveness for focal firm to utilize the innovation knowledge and experience provided by directors. Based on this, this paper further examined the impact of the focal firm's innovation capacity on the promoting effect of directors' innovation experience on focal firm's innovation output. The results based on this content showed that focal firm’s innovation capacity has a significantly positive moderate effect on the relationship between directors’ innovation experience and focal firm’s innovation output. The higher the focal firm’s innovation capacity, the stronger the promoting effect of directors’ innovation experience on focal firm’s innovation output. Research content three is mainly used to answer the third sub-research question " how does the differences in external environment between the focal firm and firms for directors to obtain innvation experience affect the promoting effect of directors’ innovation experience on focal firm's innovation?" As an open system, enterprises need to rely on external stakeholders to obtain the necessary resources to maintain their own sustainable development. Differences in the external environment may affect firms’ behaviour by affecting their resource adequacy, which in turn affects their ability to acquire resources and their resource acquisition patterns. Drawing on existing researches, this paper systematically explored the impact of the differences in the technological and economic environment, the institutional environment, and the social and cultural environment between focal firms and firms where directors acquired innovation experience (the innovation source firm) on the promoting effect of directors’ innovation experience on focal firm’s innovation. It was found that the geographical distance between the focal firm and the innovation source firm, which was used to reflect the differences in the techno-economic environment faced by those two firms, may negatively moderate the promoting effect of directors’ innovation experience on focal firm’s innovation willness and innovation output. The differences in the institutional environment faced by the focal firm and the innovation source firm would reduce the contribution of directors' innovation experience to focal firm innovation willingness and innovation output. The differentiated socio-cultural environment faced by the focal firm and the experience source firm would reduce the contribution of the directors’ innovation experience to focal firm's innovation due to the differentiated management style. Whereas the geographical distance, institutional distance and socio-cultural distance between the focal firm and the experience source firm are smaller, the contribution of the directors’ innovation experience to the firm's innovation willingness and output is stronger. The fourth Research content was used to answer the fourth sub-research question "how does directors’ strategic involvement degree affect the promoting effect of the directors’ innovation experience on focal firm's innovation output?" Independent directors are unable to effectively envolved in focal firm’s innovation activities due to information asymmetry and this will reduce the contribution of independent directors' innovation experience to focal firm’s innovation. Results based on the fourth content showed that non-independent directors’ innovation experience has a stronger contribution to focal firm’s innovation activities compared to independent directors; the difference between the contribution of independent directors’ innovation experience and non-independent directors’ innovation experience to focal firm’s innovation is smaller when the information division between independent directors and non-independent directors is lower. Compared with the existing research, this article has the following aspects of innovation: Firstly, this paper refines the model of the external innovation knowledge acquisition paths of listed companies formed by directors by generalizing existing research; secondly, this paper divides the factors affecting the applicability of directors' innovation experience in the focal company into three dimensions, namely environmental dimension, firm dimension, and director dimension, and on this basis, systematically examines the impact of multi-dimensional differences on the relationship between directors' innovation experience and firm innovation; finally, this paper uses the total number of innovation projects in which directors are involved in other firms, adjusted for industry consistency, as an indicator of directors' innovation experience, which more effectively measures the intensity of directors' innovation experience, and makes up for the lack of existing research in measuring the intensity of directors' innovation experience with virtual variables, providing more convincing evidence for understanding the impact of directors with rich innovation experience on firm behavior by embedding the process of listed firms’ innovation activities. This article shows how contextual differences affect the role of directors’ innovation experience in promoting corporate innovation behavior, and the results show that not all external experiences can have a similar promotion effect on corporate innovation behavior. Only when the external experience can better adapt to the internal and external development environment of the focus company, can the external experience promote the corporate innovation behavior. Ignoring the internal and external development environment differences, and forcing the introduction of external experience or resources may have an adverse impact on the development of the enterprise. This article provides a reference for how companies can effectively use external experience and resources to promote their own innovation behavior. It has important practical significance for Chinese companies to effectively carry out innovation activities, strengthen independent innovation capabilities, and achieve high-quality development models of the Chinese economy.
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