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论文编号：	6346
作者编号：	2120122530
上传时间：	2014/6/8 23:28:31
中文题目：	董事长和CEO“垂直对”特征与研发支出研究
英文题目：	A Study on the Relationship between the Superior-Subordinate Dyads Characteristics of the Chairman of the Board and CEO and R&D Expenditure
指导老师：	程新生
中文关键字：	垂直对；人口特征；研发支出
英文关键字：	Superior-subordinate dyads; Relational demographic characteristics; R&D expenditure
中文摘要：	面对日益激烈的市场竞争，企业必须不断改变经营战略、提高自身实力才能在激烈的竞争环境中站稳脚跟。近年来，越来越多的企业将发展战略拓展到自主创新上来，期望通过创新投入不断提高公司员工的素质，提升公司的科研技术能力，进而使得公司在技术和产品上都能略胜一筹，在市场上更具有优势。因此，企业对研发支出的投入不断增加。研究表明，相比研发支出较低的企业而言，研发支出较高的企业在市场销售份额、产品利润率等方面表现得更为卓越。 国内外文献对研发支出的影响因素进行了广泛的分析和深入的研究。“高层梯队理论”指出，组织的决策是整个管理者团队知识技能、个人偏好以及价值观等各方面素质的综合体现，因此研究管理者的素质对组织产出的影响具有重要意义，加之人口特征具有易衡量性，使该研究更易于展开。管理者的人口特征，诸如性别、年龄、种族、职业背景以及社会经济基础和财务状况等会影响其个人偏好、认知水平以及价值观，进而会对组织决策产生间接影响。人际吸引理论也指出，人口特征会对团队成员的相互关系产生影响，相互吸引的团队成员之间沟通会很通畅，从而有利于公司的战略部署。 为此，本文以2010-2012年深沪上市公司为研究样本，探讨董事长和CEO“垂直对”的人口特征与公司研发支出之间的关系，从人口特征角度来揭示企业间研发投入程度的差异。研究结果表明，“垂直对”的差异性不利于公司的研发支出，具体而言，教育水平、任期和职业背景的差异不利于公司的研发支出，差异越大，研发投入强度越低。此外，本文分析了“垂直对”的平均年龄、受教育程度以及任期对公司研发支出的影响，发现其平均受教育程度和平均任期与公司的研发支出呈正相关关系，即平均受教育程度高和在公司任期长的“垂直对”会更加注重公司的研发支出投入，而平均年龄对研发支出的影响并不显著。
英文摘要：	In the face of increasingly fierce market competition, the enterprises’ success is rooted to develop effective business strategies to enhance their own strength. Nowadays more and more enterprises focus on self-innovation to improve the work quality of the employees and boost technology level of the whole company, which would lead to more advantage in the market. Therefore, it is not surprising to see increasing expenditure on research and development in many companies. A handful of studies have shown that higher R&D spending companies are more outstanding in market share, margins and etc. Scholars at home and abroad have carried out extensive and in-depth analysis and research about the influence factors of R&D. “Upper echelon theory” points out that strategic choices are largely the outcome of behavioral factors which reflect the idiosyncrasies of decision makers. Those idiosyncrasies include personal preferences, cognitive base and values. However, it is hard to define or assess the psychological process. Observable managerial characteristics are the indicators of the idiosyncrasies that a manager brings to an administrative situation, and examples of such characteristics are gender, age, race, education, functional background, and financial position. According to the “interpersonal attraction theory”, similarities or discrepancies between people can lead to interpersonal attraction which will promote the communication and develop friendship between each other. It is said that interpersonal attraction is beneficial for the top management team to come to an agreement. Based on this theory, this paper tries to reveal the difference of R&D expenditure between enterprises. This paper investigates the relationship between the R&D expenditure and relational demographic characteristics in “superior-subordinate dyads” for Chinese listed companies in Shanghai and Shenzhen. Conclusions of this paper provide support for this theory: differences of demographic characteristics between the chairman of the board and CEO are not conducive to R&D expenditure. To be specific, educational heterogeneity, tenure heterogeneity and heterogeneity in functional backgrounds are negatively related to R&D expenditure. In addition, companies with “superior-subordinate dyads” characterized by higher educational level and higher tenure have or inclined to have more R&D expenditure. However, average age has no significant impact on R&D expenditure.
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