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论文编号：	13033
作者编号：	1120160802
上传时间：	2022/3/8 9:42:28
中文题目：	管理层组织认同、研发投资与经济后果研究 ——来自中国上市公司的经验证据
英文题目：	Managerial Organizational Identification, R&D Investment and Economic Consequence——Evidence from China''''''''s Listed Companies
指导老师：	程新生
中文关键字：	管理层组织认同；研发投资；创新绩效；公司业绩
英文关键字：	Managerial organizational identification; R&D investment; Innovation performance; Corporate performance
中文摘要：	微观层面资金和人力资源的有效配置对上市公司核心竞争力的培育和业绩提升发挥着关键作用，充分释放人力资本在公司投资决策制定与创新战略实现过程中的潜力是提升上市公司业绩的重要途径，更是实现国家高质量发展的重要战略支撑。组织认同作为个体重要的心理特征，能有效降低员工离职倾向并促进成员为组织目标竭尽全力，并驱动组织创造性行为和结果的产生。而中国“集体主义”情境强调团队领导力对组织行为整合的重要作用，并且认同的心理学概念在社会化、角色冲突以及群体关系为主导的组织行为中更具适用性。因此，本文以管理层组织认同作为出发点展开研究。同时，创新投入和产出可区分以及业绩体现公司总体生产经营状况的特征，为对组织认同的短期、长期以及更全面的经济后果检验提供了重要前提，因此，本文将研发投资、创新绩效和公司业绩作为研究落脚点。那么，中国“集体主义”情境下上市公司中管理层组织认同是否有利于研发投资水平提升？进一步地，管理层组织认同会引发创新绩效、公司业绩层面更积极的经济后果吗？管理层组织认同通过何种路径机制对公司研发投资以及进一步的经济后果产生影响？截至目前，上述问题尚未引起学术界的广泛关注。本文以2007-2019年中国A股上市公司为样本，围绕管理层组织认同是否对公司研发投资存在影响、进一步引发何种创新绩效与公司业绩、其作用机制如何展开理论分析与实证检验。 本文共分为六章。第一章，绪论。阐明本文研究背景及问题、研究意义、研究思路、框架和研究方法的同时，阐述了本文可能的创新点。第二章，理论基础与文献述评。对组织认同相关理论内容进行阐述及分析，同时分别从组织认同、企业创新的投入产出两个方面对已有研究进行系统回顾并做文献述评，从而引出本文研究动机与研究问题。第三章，管理层组织认同对研发投资影响的实证分析。首先，在对中国集体主义情境以及管理层组织认同动机进行理论分析的基础上，从组织认同的激励约束视角对管理层组织认同与研发投资之间的关系进行阐述，并提出相应假设；其次，在选定实证样本并进行变量定义的基础上，构建实证检验模型；最后，对管理层组织认同与研发投资的相关关系展开实证检验并对结果进行分析。第四章，管理层组织认同的经济后果研究：创新绩效与公司业绩。围绕管理层组织认同对创新绩效、公司业绩的影响进行理论分析的基础上展开实证检验。第五章，管理层组织认同影响公司创新的机制分析。首先分别从管理层预期任期在管理层组织认同与研发投资之间的中介作用进行理论分析并提出相应假设；其次从管理层工作努力程度在管理层组织认同与创新绩效之间的中介作用进行理论分析并提出相应假设；再次，通过构建中介效应检验模型对相关假设展开实证检验，并进一步检验管理层组织认同促进公司业绩的中介机制。第六章，研究结论、政策建议与未来展望。在凝练本文研究结论的基础上，为监管部门以及上市公司提出相应的政策建议，并提出本文不足以及未来可能的研究方向。 通过理论分析与实证检验，本文主要结论为： 第一，本文从个体心理特征对于个体行为激励约束作用视角展开分析与检验，发现组织认同有助于管理层成员将组织规范内化为个体及团队行为规范、将组织价值目标实现内化为个人价值目标实现，从而为企业长期价值持续增长的创造性行为提供内在心理驱动力，最终促进公司创新与公司业绩。通过本文实证检验结果可知，管理层组织认同度越高，上市公司研发投资、创新绩效、公司业绩水平越高。进一步检验发现管理层成员股东身份认同对探索式创新研发投资的显著促进作用与管理层价值实现认同对利用式创新研发投资的明显提升作用相协同，有利于企业双元性创新战略的实现。因此，管理层组织认同的心理特征有助于推动微观企业研发投资决策制定及长期创新战略实现。 第二，企业人力资本驱动的创新活动有利于实现企业长期价值增长，但是研发投资决策的制定与长期战略的实现对团队决策视野长度、为企业付出的努力水平具有较高要求。本文在理论分析的基础上，对管理层组织认同通过何种路径提升研发投资水平及创新绩效展开了中介效应的实证检验。结果证实，组织认同水平较高的管理层成员预期任期越长，从而有利于公司长期投资决策的制定，同时较高的管理层组织认同度驱动成员为实现组织长期价值目标付出更多努力，从而促进创新绩效和公司业绩的提升。 第三，企业在产权性质、组织复杂性方面的特征对管理层投资决策制定及实施效力、企业创新战略的贯彻与执行方面存在明显影响。基于产权性质的横截面检验结果表明：总体上，管理层组织认同对研发投资和创新绩效的促进作用在非国有上市公司中更加明显；具体地，非国有上市公司中管理层成员股东身份认同对研发投资和创新绩效的积极作用更明显，国有上市公司中管理层成员价值实现认同对研发投资和创新绩效的促进作用更加显著。基于组织复杂性的横截面检验结果表明：总体上，组织复杂程度越低的上市公司中管理层组织认同对研发投资和创新绩效的提升作用显著，在组织复杂程度高的上市公司中则不然；具体地，组织复杂性程度低的上市公司中管理层成员股东身份认同对研发投资和创新绩效的促进作用表现明显，而组织复杂性程度高的上市公司中管理层价值实现认同对研发投资和创新绩效的促进作用显著。
英文摘要：	Efficient allocation of fund and human resources plays a key role in cultivating the core competitiveness of the listed company and its performance, full release of human capital in investment decision making and the potential in the process of innovation strategy implementation in the company is an important embodiment of corporate governance, but also a high quality important strategic support the development for the nation. Organizational identification, which is an important psychological character, can effectively reduce employees' turnover tendency and do their best for organizational goals, then effectively drive organizational creative behaviors. The Chinese collectivism context emphasizes the importance of team leadership in the integration behavior within an organization, and the psychological concept of identification is more applicable in the socialization, role conflict, and group relationship-oriented organizational behavior. Therefore, this dissertation takes managerial organizational identification as the starting point. At the same time, the characteristics of distinction of innovation input and output, and the firm performance reflect the company's overall production, which provide important prerequisites for the short-term, long-term, and more comprehensive economic consequences test of organizational identification. This dissertation takes R&D investment, innovation performance and company performance as finishing point. Then, in the context of collectivism, does managerial organizational identification improve the R&D investment level in China's listed company? Furthermore, will managerial organizational identification lead to more positive economic consequences in terms of innovation performance and company performance? What is the path and mechanism through which managerial organization identification acting on the R&D investment and further economic consequences? Up to now, the above questions have not aroused widespread attention from academics. Based on the sample of Chinese A-share listed companies from 2007 to 2019, this dissertation carries out theoretical analysis and empirical test on whether managerial organizational identification has an impact on corporate R&D investment, what kind of innovation performance and corporate performance it further causes, and how its mechanism works. This dissertation is divided into six chapters. The first chapter, introduction. This part expounds the research background and research questions, research ideas, framework and research methods, as well as the possible innovation points of this dissertation. The second chapter, literature review and theory basis. This chapter systematically reviewed the existing literature from the two aspects of organizational identification and the input and output of corporate innovation, and the relevant theories and their analysis of organizational identification are elaborated respectively which leads to the research motivation and research question of this dissertation. The third chapter empirically analyzes the impact of managerial organizational identification on R&D investment. Firstly, based on the analysis of situation of collectivism in China and theoretical analysis of organizational identification motivation, the relationship between organizational identification and R&D investment is expounded from incentive constraint perspective of organizational identification, and corresponding hypotheses are proposed. Secondly, the empirical test model is constructed on the basis of selecting samples and defining variables. Finally, an empirical test is carried out on the correlation between organizational identification and R&D investment and the test results are analyzed. Chapter four, the economic consequences of managerial organizational identification: innovation performance and company performance. Based on the theoretical analysis of the impact of organizational identification on innovation performance and corporate performance, empirical tests are carried out. Chapter five, analyzes the mechanism of managerial organizational identification affecting R&D investment. Firstly, the mediating mechanism between managerial organizational identification and R&D investment is theoretically analyzed from the perspectives of managerial expected tenure and relevant hypotheses are proposed. Secondly, theoretical analysis is made from the mediating effect of management's work effort on organizational identification, innovation performance, and corresponding hypotheses are proposed. Then, through the construction of the mediation effect test model to carry out empirical test of related hypotheses. Then the hypothesis about the mechanisms is tested empirically by constructing corresponding models，and further examine the intermediary mechanism of how managerial organizational identification promote the corpoate performance. Chapter six, research conclusions, policy recommendations and future prospects. On the basis of summarizing the research conclusions of this dissertation, corresponding policy suggestions are put forward for regulatory authorities and listed companies, then the shortcomings of this dissertation and possible research directions in the future are proposed. Through theoretical analysis and empirical testing, the main conclusions of this dissertation are as follows: Firstly, this dissertation analyzes and tests individual psychological characteristics as incentives and constraints on individual behavioral, and finds that organizational identification helps management members internalize organizational norms into individual and team behavioral norms and internalize organizational value goal into individual value goal, thus providing the inner psychological driving force for creative behaviors for sustainable long-term corporate value growth and ultimately promoting innovation performance and company performance. The results of the empirical tests in this dissertation show that, the stronger the managerial organizational identification bring higher level of R&D investment, innovation performance and the company performance of listed companies. Further tests find that the significant promotion effect of shareholder identification on exploratory R&D investment is synergistic with the significant enhancement effect of value-realization identity on exploitative R&D investment. Therefore, as psychological characteristics, the managerial organizational identification can promote the decision-making of R&D investment and the realization of long-term innovation strategy of micro enterprises. Secondly, the enterprise human capital drive innovation activities to achieve long-term value growth enterprise, but the R&D investment decision-making and the realization of the long-term strategy have higher requirements for managerial decision horizon length and their effort for the enterprise. On the basis of theoretical analysis, this paper conducts a mediating test on the organizational identification of management to improve the R&D investment and innovation performance. The results confirm that the longer tenure of management with higher organizational identification is expected, which is conducive to the long-term investment decision making of the company. Meanwhile, the higher organizational identification drives the management to make more efforts to achieve the long-term value goal of the organization, which promotes the improvement of innovation performance and corporate performance. Thirdly, the characteristics of corporate in terms of property rights and organization complexity have significant effects on managerial investment and the implementation of corporate innovation strategies. The results of the sub-sample test based on the nature of property rights show that, in general, the promotion effect of managerial organizational identification on innovation is more obvious in non-state enterprises; the positive effect of shareholder identification on corporate innovation is more obvious in non-state enterprises; the promotion effect of value-realization identification on corporate innovation is more significant in state-owned enterprises. The results of the sub-sample test based on organization complexity show that, the enhancement effect of management organizational identity on corporate innovation is significant in listed companies with lower organizational complexity, comparing to listed companies with higher organization complexity; further, the promotion effect of shareholder identification on corporate innovation is significantly demonstrated in the sample with low organizational complexity, while the promotion effect of value-realization identification on corporate innovation is more significant in the sample with high organizational complexity.
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