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论文编号：	14837
作者编号：	1120191042
上传时间：	2024/6/25 10:45:23
中文题目：	制造业企业数字化转型、人力资本结构与创新持续性
英文题目：	Digital Transformation, Human Capital Structure and Innovation Persistence of Manufacturing Firms
指导老师：	张玉利
中文关键字：	制造业企业；数字化转型；人力资本冗余；人力资本结构高级化；创新持续性
英文关键字：	manufacturing firms; digital transformation; human capital slack; human capital structure upgrading; innovation persistence
中文摘要：	纵观历史，历次工业革命大体遵循“科学-技术-产业-组织-管理”的发展逻辑，即新的科学发现与理论推动新技术的发展，进而出现新的产业，改变社会生态，从而需要与之相对应的组织形式和管理模式。当前，数字技术的蓬勃发展推动产业数字化和数字产业化，对生产生活产生了广泛而深刻的影响，数字化已然被认为是新一轮工业革命。在国家政策导向和企业发展需要的双重驱动下，很多企业纷纷开展数字化转型，特别是制造业企业。那么，此种转型到底对组织和管理带来了何种影响？从制造业企业发展实践来看，数字化转型使得人力资本结构发生巨大变化，成为数字化转型改变组织的典型表现。数字技术最本质的功能是连接，实施数字化转型将有助于企业与内外部不同主体保持知识和资源等方面的关联，还能够促使企业创新来源的边界发生变化，使得企业呈现长期性的持续创新状态。由此，制造业企业数字化转型所带来的人力资本结构和创新持续性的改变是数字化时代组织和管理变化的典型表现，是具有现实意义的研究议题。 数字化转型与企业创新的相关研究在广度上覆盖面较大，形成了数字化转型对不同创新指标、不同类型创新、不同主体创新的广泛探讨。但在研究深度方面，相关研究还有进一步拓展的空间。一方面，当前数字化转型对企业创新的影响研究更多从传统静态视角关注数字化转型对创新程度的影响，忽略了动态视角下数字化转型的持续创新效应，对数字化转型带来的企业创新持续性的变化缺乏有力的解释；另一方面，对于数字化转型对企业创新的影响机理，已有研究主要从信息流动、组织效率、知识整合、生产方式、创新资源和交易成本等角度考虑，忽略了组织内部变革因素的作用。数字化转型对组织变革与重塑的影响研究多注重数字化转型对组织整体的影响，对于数字化转型所造成的人力资本结构改变等组织内部变革的研究相对缺乏。人的转型是数字化转型的关键，人力资本结构变化反映了组织整体的人员变化情况，是组织内部变革与重塑的重要表现，人力资本的构成情况对于创新活动具有长期且深远的影响。因此，有必要串联起数字化转型、人力资本结构和创新持续性，关注三者间的关系和作用机制。 鉴于现实背景的启发和现有研究的不足，本研究围绕制造业企业数字化转型所带来的组织和管理变化这一底层逻辑，基于知识基础理论和人力资本理论探讨以下三个紧密关联的具体问题：（1）制造业企业数字化转型对创新持续性产生什么影响，对创新投入持续性和创新产出持续性的影响有何差异？（2）制造业企业人力资本冗余能否在数字化转型和创新投入持续性之间发挥传导作用？该问题关注数字化转型如何通过影响人力资本冗余作用于创新投入持续性。（3）制造业企业人力资本结构高级化能否在数字化转型和创新产出持续性之间发挥传导作用？该问题关注数字化转型如何通过影响人力资本结构高级化作用于创新产出持续性。在这三个研究问题中，研究问题一是后两个研究问题的基础，研究问题二和研究问题三是基于同一构念的不同角度对研究问题一的深入挖掘，三个研究问题之间紧密关联，共同服务于数字化转型的作用结果研究，解释数字化转型、人力资本结构与创新持续性之间的关系。 针对上述三个研究问题，分别设置了三个子研究展开探讨，首先进行理论分析提出相关假设，然后展开实证检验。以2008-2021年沪深A股制造业上市企业为样本，从官方权威资料和主流数据库搜集各变量的原始数据，最终共得到由3015家制造业上市企业的23341个观测值构成的非平衡面板数据集。在进行实证检验后，得出如下结论：（1）数字化转型与创新投入持续性之间存在倒U型关系，而对创新产出持续性具有正向影响，当数字化转型程度足够高时，制造业企业无需持续进行创新投入就能产生持续性的创新产出；（2）人力资本密集度对数字化转型和创新产出持续性的关系具有负向调节作用，但未对数字化转型和创新投入持续性的关系发挥调节作用；（3）数字化转型对人力资本冗余具有负向影响，人力资本冗余与创新投入持续性之间存在U型关系，人力资本冗余在数字化转型和创新投入持续性之间发挥非线性中介作用；（4）产权性质对数字化转型和人力资本冗余的关系具有调节作用，当产权性质为国有时，数字化转型对人力资本冗余的负向影响更大；（5）数字化转型对人力资本结构高级化具有正向影响，人力资本结构高级化对企业创新产出持续性具有正向影响，人力资本结构高级化在数字化转型和创新产出持续性之间发挥中介作用；（6）产权性质和行业竞争对数字化转型和人力资本结构高级化的关系具有调节作用，一是当产权性质为国有时，数字化转型对人力资本结构高级化的促进作用将减弱，二是行业竞争越激烈，数字化转型对人力资本结构高级化的促进作用将增强。 对于数字化转型作用结果和创新持续性影响因素的相关研究，以及知识基础理论与人力资本理论在数字化时代的应用，本研究均具有一定的理论贡献：（1）基于动态视角发现创新持续性是数字化转型的重要作用结果，拓展了数字化转型与企业创新领域的研究视角和范畴，有助于将数字化转型作用于企业创新的理论研究向纵深推进；（2）关注数字化转型战略实施后制造业企业人力资本结构的变化，不仅丰富了数字化转型对组织变革与重塑的影响研究，还深化了数字化转型作用于创新持续性的过程机理研究；（3）提出数字化转型是创新持续性最重要的驱动因素，为数字化时代制造业企业创新持续性差异的根源提供了较为新颖的视角；（4）纳入人力资本结构解释创新持续性，从组织变革的视角丰富了企业创新持续性的形成机理研究；（5）综合使用知识基础理论和人力资本理论解释数字化转型的赋能作用，揭示了二者之间的内在联系，丰富了两大理论在数字化时代的应用研究。
英文摘要：	Throughout history, industrial revolutions have generally followed the development logic of “science-technology-industry-organization-management”. That is to say, new scientific discoveries and theories drive the development of new technologies, which leads to the emergence of new industries and changes in the social ecology, requiring corresponding organization form and management model. Currently, the rapid development of digital technologies is driving industrial digitalization and digital industrialization, which has a profound impact on production and life. Digitalization is already regarded as the new industrial revolution. Driven by both national policy guidance and needs of firm development, many firms are engaged in digital transformation, especially manufacturing firms. This raises a question, what are the organizational and managerial impacts of such a transformation? From the perspective of development practice of manufacturing firms, digital transformation has brought great changes in human capital structure, which has become a typical manifestation of digital transformation changing organization. The most essential function of digital technologies is connectivity. The implementation of digital transformation helps firms maintain knowledge and resource connections with different internal and external actors. It also helps firms to change the boundaries of their innovation sources, making them exhibit long-term persistent innovation states. Therefore, changes in human capital structure and innovation persistence brought about by digital transformation become typical manifestations of organization and management change in the digital age. It is a research topic with practical implication. Research on digital transformation and firm innovation covers a wide range, forming a broad discussion on different innovation indicators, different types of innovation, and different actors’ innovation. However, in terms of research depth, there is still room for further expansion of relevant research. On the one hand, current studies on the impact of digital transformation on innovation mainly focus on the impact of digital transformation on the degree of innovation from the traditional static perspective, ignoring the persistent innovation effect of digital transformation from the dynamic perspective. There is a lack of powerful explanations for the persistent change of firm innovation brought by digital transformation. On the other hand, the influencing mechanism of digital transformation on firm innovation has been studied mainly from the angle of information flow, organizational efficiency, knowledge integration, production mode, innovation resource and transaction cost. The role of internal organization change has been ignored. Research on the impact of digital transformation on organization change and reshaping mostly focuses on the impact of digital transformation on the overall organization. However, there is relatively little research on internal organization change caused by digital transformation, such as human capital structure. Employee’s transformation is the key to digital transformation. The change of human capital structure is an important manifestation of internal organization change and reshaping, reflecting the change of the overall personnel of organizations. The composition of human capital has a long-term and profound impact on innovation activities. Therefore, it is necessary to pay attention to the relationship and mechanism among digital transformation, human capital structure, and innovation persistence. In view of the inspiration from the practical background and the shortcomings of existing research, this study focuses on the underlying logic of organization and management change brought about by digital transformation of manufacturing firms. Based on the knowledge-based theory and human capital theory, it explores the following three closely related specific questions: (1) What impact does digital transformation have on innovation persistence in manufacturing firms, and what are the differences between the impacts of digital transformation on innovation input persistence and innovation output persistence? (2) Can human capital slack play a mediating role in the relationship between digital transformation and innovation input persistence in manufacturing firms? This question focuses on how digital transformation affects innovation input persistence by affecting human capital slack. (3) Can human capital structure upgrading play a mediating role in the relationship between digital transformation and innovation output persistence in manufacturing firms? This question focuses on how digital transformation affects innovation output persistence by affecting human capital structure upgrading. Among these three research questions, the first research question is the foundation of the latter two, the second research question and the third research question are the in-depth explorations of the first research question based on different perspectives of the same construct. The three research questions are closely related and jointly serve the research of the effect of digital transformation, explaining the relationship among digital transformation, human capital structure, and innovation persistence. In response to the above three research questions, this study carries out three sub-studies, putting forward relevant assumptions through theoretical analysis and carrying out empirical tests. Shanghai and Shenzhen A-share manufacturing listed firms from 2008 to 2021 were taken as research sample. Original data were collected from official authoritative data and mainstream databases. Finally, this study obtained a non-balanced panel data set composed of 23341 observed values of 3015 manufacturing listed firms. After the empirical test, the main conclusions of this study are as follows: (1) There is an inverted U-shaped relationship between digital transformation and innovation input persistence, but digital transformation has a positive impact on innovation output persistence. When the degree of digital transformation is high enough, manufacturing firms can generate persistent innovation output without persistent innovation input. (2) Human capital intensity has a negative moderating effect on the relationship between digital transformation and innovation output persistence, but does not have a moderating effect on the relationship between digital transformation and innovation input persistence. (3) Digital transformation has a negative impact on human capital slack, and there is a U-shaped relationship between human capital slack and innovation input persistence. Human capital slack plays a nonlinear mediating role between digital transformation and innovation input persistence. (4) The nature of ownership moderates the relationship between digital transformation and human capital slack. When the nature of ownership is state-owned, digital transformation will have a greater negative impact on human capital slack. (5) Digital transformation has a positive impact on human capital structure upgrading, and human capital structure upgrading has a positive impact on innovation output persistence. Human capital structure upgrading plays a mediating role between digital transformation and innovation output persistence. (6) The nature of ownership and industry competition moderate the relationship between digital transformation and human capital structure upgrading. First, when the nature of ownership is state-owned, the positive impact of digital transformation on human capital structure upgrading will be weakened. Second, the fiercer the industry competition, the positive impact of digital transformation on human capital structure upgrading will be enhanced. This study has theoretical contributions to the research on the impacts of digital transformation and the factors affecting innovation persistence, as well as the application of knowledge-based theory and human capital theory in the digital era: (1) Based on the dynamic perspective, it is found that innovation persistence is an important outcome of digital transformation, which expands the research perspective and scope in the field of digital transformation and firm innovation, and helps to deepen relevant theoretical research. (2) Paying attention to the change in human capital structure of manufacturing firms after the implementation of digital transformation strategy not only enriches the research on the impact of digital transformation on organization change and reshaping but also deepens the research on the process mechanism of digital transformation on innovation persistence. (3) It proposes that digital transformation is the most important driving factor of innovation persistence, which provides a relatively new perspective on the root causes of differences in innovation persistence of manufacturing firms in the digital age. (4) Incorporating human capital structure to explain innovation persistence enriches the research on the formation mechanism of firm innovation persistence from the perspective of organization change. (5) It uses knowledge-based theory and human capital theory comprehensively to explain the empowering effect of digital transformation, which reveals the inherent connections between the two theories and enriches the application of the two theories in the digital era.
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