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论文编号：	12656
作者编号：	1120160821
上传时间：	2021/6/18 15:13:30
中文题目：	高管特质对高科技企业创新投资的影响研究 ——基于文化差异视角
英文题目：	The Influence of Executive Traits on the Innovation Investment of High-tech Enterprises: Based on the Perspective of Cultural Differences
指导老师：	李莉
中文关键字：	高管特质；文化差异；高科技企业；创新投资
英文关键字：	Executive Characteristic; Cultural Difference; High-tech Enterprises; Innovation Investment
中文摘要：	当前创新驱动发展战略已成为国家重大战略，高科技企业是推动创新发展的主力军，随着国内国际双循环新发展格局的构建，推进高科技企业创新投资水平的进一步提升，对我国加快自主创新步伐至关重要。 非正式制度对促进中国高科技企业的创新投资发挥了关键性的作用（Zingales，2015），其中文化的力量无疑是最重要的一项（蔡宁，2019）。文化能够影响个体的认知和决策（Hofstede，1980）。文化差异会带来个体认知和价值观上的差异，从而形成差异化的特质。高阶理论认为，高管特质能够影响其认知决策，从而影响企业行为（Hambrick，1984）。而已有关于文化与创新的研究普遍关注表层和宏观文化对国家或地区整体创新水平的影响，缺乏对高管个体价值观和企业个体数据的深层文化和微观视角的探讨（潘越等，2017）。因此在具有深厚文化土壤的中国，从这一视角开展研究具有典型性和重要性。 中国文化源远流长，影响深远，在儒家思想影响下具有高集体主义和高权力距离文化的鲜明特性，与西方文化存在较大差异。同时，由于我国幅员辽阔，地理情况复杂，中国各省市间也存在一定文化差异。那么，在中国情境下，文化差异究竟如何影响高管的认知，从而形成差异化高管特质？基于文化差异视角的高管特质又将如何影响高管决策，最终影响高科技企业创新投资？正式制度环境又在其中起着怎样的作用？ 本文深植于中国文化情境及高集体主义、高权力距离的文化特性，探讨国家文化差异与省市文化差异对高管个体价值观和决策的影响，并将落脚点放在企业微观层面的创新投资问题上，分析上述高管特质对高科技企业创新投资的影响机理和作用结果。研究认为，文化差异的作用可能有两方面，一方面是原生文化，即高管个体出生和成长地的文化影响其认知决策进而影响企业创新投资，另一方面是原生文化和非原生文化之间的差异影响高管认知决策进而影响企业创新投资。 对于前者来说，本文基于中国的典型高权力距离和高集体主义文化特性，分析认为对中国高集体主义、高权力距离产生认同的高管，会倾向于服从“上级”的意志，响应国家的号召，将个体利益、企业利益和国家利益结合起来，做出有利于创新投资的决策。对于后者来说，文化认同是解释文化差异视角下高管特质影响企业创新投资的核心要素。文化认同能够削弱文化差异的“成本效应”，增强“学习效应”，从而促进企业创新投资。 此外，已有研究认为正式制度环境会影响高科技企业创新投资的积极性（徐辉和周孝华，2020），从现实情况看中国高科技企业的创新发展也与正式制度环 境演进紧密相关，且二者均存在显著的国家差异和省市差异。中国情境下文化这一非正式制度能够发挥特殊而重要的作用，也离不开中国正式制度环境发展情况的影响。因此在本文在对文化差异视角下高管特质对高科技企业创新投资影响研究的基础上，还考察了正式制度环境的调节作用。 基于上述解释路径，本文选择海外经历和家乡文化作为个体承载的国家文化和省市文化的代理变量进行实证检验，在高管对原生地文化存在认同的分析前提下，研究结果如下：海归高管能够显著促进高科技企业创新投资，其中海外工作经历比海外教育经历的影响更显著；海外经历国与中国的文化差异越大，越能促进创新投资；来自北方的高管能够正向促进创新投资的投入部分，但对创新投资的产出部分却具有负向作用；来自高权力距离、高集体主义文化地区的高管对创新投资的促进作用更显著；高管家乡文化与企业所在地文化不存在差异时，高管家乡文化对创新投资的影响更显著；市场化进程负向调节了海归高管对创新投资促进作用，正向调节了高管家乡文化对创新投资的促进作用，政府与市场的关系和法治环境的调节作用与之类似。 本文的创新之处在于：首先，将经典理论与中国具体实践相结合，将文化差异的视角嵌入到高阶理论的框架当中，揭示了具有文化色彩的“人”的特质对企业创新投资问题的影响机理，拓展和深化了相关理论的研究框架；其次，引入社会学的文化认同理论，剖析了基于文化差异视角的高管特质通过文化认同影响高科技企业创新投资的逻辑，并利用微观层面企业的创新投资数据进行检验，为从非正式制度角度探讨创新投资问题提供微观基础；第三，对中国高集体主义、高权力距离文化展开情境化解读，同时考察了正式制度环境的作用，为从正式制度与非正式制度角度理解创新投资问题提供了来自转型新兴经济体中国的经验证据。 本文结构安排如下：第一章介绍论文的研究背景、主要问题、研究意义、核心概念、创新之处等；第二章梳理相关理论与相关文献，并简要评述；第三章围绕核心研究问题介绍制度背景，给出本文的总体研究框架，形成概念模型；第四章国家文化差异下的高管特质与高科技企业创新投资实证分析；第五章省市文化差异下的高管特质与高科技企业创新投资实证分析；第六章正式制度环境的调节作用检验；第七章结论与展望，全文梳理归纳，给出建议启示，分析不足，提出展望。
英文摘要：	Currently, innovation-driven development strategy has become a major national strategy and high-tech enterprises are the main force in promoting innovation and development. With the establishment of dual-circulation development in the new context, improving level of high-tech enterprises’ innovation and investment is crucial for the independent innovation of China Informal institutions play a key role in promoting innovative investment of Chinese high-tech companies (Zingales, 2015), of which the power of culture factor is undoubtedly the most important one (Cai Ning, 2019). Culture can influence cognition and decision-making (Hofstede, 1980) and cultural differences will bring about differences in individual cognition and values, thus forming differentiated characteristics. Upper-echelons theory believes that the characteristics of executives can affect their cognitive decision-making, thus affecting corporate behavior (Hambrick, 1984). However, existing research on culture and innovation generally stress the impact of surface and macro culture on the overall innovation level of a country or region, and pays little attention to the analysis of cultural on micro perspectives of individual executive and corporate values (Pan Yue et al., 2017). Therefore, it is typical and important to carry out research from this perspective in China. Chinese culture has a long history and far-reaching influence. Under the influence of Confucianism, it has the distinctive characteristics of high collectivism and high-power distance culture, which is quite different from Western culture. Due to the vast territory and complex geographical situation in China, there are also certain level of cultural differences between provinces and cities. As a result, how cultural differences affect the perceptions of executives and form differentiated executive characteristics? How will the characteristics of executive affect executive decisions and ultimately affect the innovation investment of high-tech companies based on the perspective of cultural differences? What is the role of the formal institutional plays in it? This article is deeply rooted in the Chinese cultural context with high collectivism and high-power distance, discusses the impact of national cultural differences and provincial and municipal cultural differences on the values and decision-making of executives and focuses on the innovation investment at the micro level of the enterprise. It analyzes the impact and results of the above-mentioned executive characteristics on the innovation investment of high-tech enterprises and suggests cultural differences may have two effects. On the one hand, the original culture, that is, the culture of the birth and growth place of the executives influences their cognitive decision-making and thus affecting the innovation investment of enterprises. On the other hand, it is the differences between the original culture and the non-native culture affect the cognitive decision-making of executives and corporate innovation investment. For the former, based on typical high-power distance and high collectivism cultural characteristics in the context of China, it analyzes that executives who identify local high collectivism and high-power distance tend to be obedient and respond to the combination of individual interests, corporate interests and national interests while making decisions, which are conducive to innovative investment. For the latter, cultural identity is the core element that explains the influence of executive characteristics on corporate innovation investment from the perspective of cultural differences. Cultural identity weake the "cost effect" of cultural differences and enhance the "learning effect", thereby promoting enterprise innovation investment. In addition, some studies have suggested that the formal institutional environment will affect the enthusiasm of high-tech enterprises’ innovation investment (Xu Hui and Zhou Xiaohua, 2020). Actually, the innovation and development of Chinese high-tech enterprises are also related to the formal institutional environment in practice, and there are significant national and provincial differences between those two. The informal system of Chinese culture plays a special and important role, and it is also inseparable from the influence of the development of Chinese formal institutional environment. Therefore, based on the study of executive characteristics on high-tech enterprise innovation investment from the perspective of cultural differences, this paper also examines the moderating role of the formal institutional environment. Based on the above analysis, this paper chooses overseas experience and hometown culture as the proxy variables of the national culture and provincial and municipal culture carried by individuals in empirical testing. Under the premise that the executives identify native culture, the results of this paper are as follows: Returnee executives can significantly promote the innovation investment of high-tech enterprises, of which overseas work experience is more significant than overseas educational experience; the greater of cultural difference between overseas experience countries and China, the more innovative investment can be promoted; executives from the north can positively promote innovation investment than the southern ones, however, it has a negative effect on the output of innovation investment; executives from areas with high power-distance and high collectivism culture can be more significantly in promoting innovation investment; hometown culture has a more significant impact on innovation investment when there is no cultural differences between hometown and working place ; the marketization process negatively regulates the role of returnees’ executives in promoting innovation investment, and positively regulates the role of executives’ hometown culture in promoting innovation investment. Also, relationship between market and government, and the regulative effect of legal environment are similar as above. The innovations of this paper are as follows: First, it combines classic theories with specific Chinese context, embeds the perspective of cultural differences into the framework of upper-echelon theory, and reveals the impact of cultural "individual" characteristics on the issue of corporate innovation investment. The influence mechanism expands and deepens the research of related theories; secondly, it introduces the cultural identity theory of sociology, analyzes the characteristics of executives based on the perspective of cultural differences, and analyzes the logic of the influence of high-tech enterprise innovation investment through cultural identity, and testified with micro-level data which provides a micro-foundation for discussing innovation investment from the perspective of informal institutions; thirdly, the contextual interpretation of Chinese high collectivism and high power-distance culture is carried out, and the role of the formal institutional environment is also examined. Providing deeply understanding of innovation investment from the perspective of formal and informal institutions by the evidences from China. The structure of this paper is as follows: Chapter One introduces the research background, main issues, research significance, key concepts, innovations of this paper; Chapter Two analyzes related theories and related literature, and briefly reviews; Chapter Three introduces institutional background, and giving the overall research framework of this paper, also forming a conceptual model in the end; Chapter four conducts the empirical analysis of executive characteristics and high-tech enterprise innovation investment under national cultural differences; Chapter five conducts the empirical analysis of executive characteristics and high-tech corporate innovation investment under cultural differences between provinces and cities; Chapter six tests the regulatory role of the formal institutional environment; Chapter seven gives the conclusions and prospects with suggestions and inspiration, also, analysis of deficiencies and proposing a vision on this paper.
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