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论文编号：	7634
作者编号：	1120090696
上传时间：	2015/6/23 16:45:45
中文题目：	心理资本和社会资本对战略领导者风险承担行为影响机制研究
英文题目：	Research on the Effects of Psychological Capital and Social Capital on Strategic Leader’s Risk-taking Behavior
指导老师：	任学锋教授
中文关键字：	战略领导者；心理资本；社会资本；风险承担行为；企业绩效
英文关键字：	Strategic leader; Psychological capital; Social capital; Risk-taking behavior; Corporate performance
中文摘要：	在2014年发布的《财富》世界500强中，中国共有100家企业入围，仅次于美国的123家企业。然而，在国内企业规模和实力不断壮大的同时，决策失误带来的风险成为国内企业面临的最大隐患。据世界银行估计，我国“七五”到“九五”期间，投资决策失误造成的经济损失超过4000亿元，决策失误率达到30%。造成企业决策失误率偏高的原因，除了地方政府对市场经济的干预导致企业无法根据市场规律进行判断；或是企业内部治理结构不完善、管理层次过多，企业内外部信息不对称；还有一个重要原因是企业决策者抢抓机遇的意识造成大量冲动型、冒险型、盲目型、随意型和经验型决策的产生。风险承担对经济绩效的影响已经成为战略管理领域中的关键问题，在战略中的重要性得到越来越多的关注。战略的本质决定了风险是内嵌在大多数决策中的，而战略领导者的风险承担行为被认为对公司战略有着重要影响，是企业决策制定过程中要考虑的根本性问题，对于公司绩效和生存有着重要的意义。如果风险没有被有效控制，企业可能遭遇巨大的灾难。本文在高阶理论、心理资本理论、社会资本理论和行为决策理论相关研究基础上，通过对891位企业战略领导者调研数据的实证分析，检验了心理资本和社会资本对战略领导者风险承担行为的影响机制，得出了以下有意义的结论：第一，社会资本和心理资本与企业绩效存在显著正相关关系。第二，战略领导者风险承担行为对企业绩效有着显著的正向影响，而且战略领导者风险承担行为在心理资本和社会资本与企业绩效间起到部分中介作用。第三，心理资本和社会资本对战略领导者风险承担行为有显著正向影响。第四，社会资本的不同维度对战略领导者风险承担行为的影响不同。具体而言，结合型社会资本与战略领导者风险承担行为呈倒∪型关系，而桥接型社会资本能够对战略领导者风险承担行为施加显著正向影响。第五，管理裁量权对心理资本和社会资本与战略领导者风险承担行为之间的关系起到显著的调节作用。其他有价值的研究发现包括：教育程度会对战略领导者风险承担行为产生显著正向影响、战略领导者在组织内担任高管职位任期对企业绩效具有显著正向影响、是否有先前创业经验能够对战略领导者风险承担行为产生显著正向影响。本文的创新之处主要体现在以下三个方面：第一，从心理资本和社会资本两个视角探讨对战略领导者风险承担行为的影响，将心理资本理论、社会资本理论与高阶理论结合起来，对以往主要基于领导者人口统计学特征或背景特征的高阶理论起到了一定的补充。第二，引进了战略领导者风险承担行为作为中介变量，探讨了心理资本和社会资本如何通过战略领导者风险承担行为影响到企业绩效，揭示了战略领导者特征、风险承担行为之间的作用关系对企业绩效的影响，丰富了行为决策研究的相关理论。第三，引入管理裁量权作为调节战略领导者特征和风险承担行为的变量，通过界定心理资本和社会资本与战略领导者风险承担行为之间关系的边界条件，识别出能够加强或者减弱心理资本和社会资本对战略领导者风险承担行为影响的因素。本文整体结构安排如下：第一章绪论就研究背景、研究问题和研究意义进行了阐述，同时介绍了本文的研究内容、研究方法、研究过程和结构安排。第二章文献综述介绍了本研究的理论基础和继往研究成果对本研究的启示，包括高阶理论、行为决策理论、风险承担理论、心理资本理论和社会资本理论。第三章理论假设与模型构建首先对本研究的核心概念进行了界定，通过理论推导提出本研究的问题假设，并在此基础上归纳总结出本文的总体研究模型。第四章主要介绍了研究设计的基本依据和基本思想，并重点介绍了调查问卷的设计、发放和回收过程，对研究变量的度量以及数据所用分析方法也在本章做统一说明。第五章实证分析与结果对调研问卷所收集的数据进行了分析处理，包括对变量的因子分析、信度检验和相关分析，以及通过多元回归分析对本研究的假设进行了检验，并对数据分析结果进行总结和讨论。第六章研究结论与未来展望总结本研究的主要发现，并对本研究的创新点和实践启示做了介绍，同时指出了研究的局限性和未来研究展望。
英文摘要：	China has a total number of 100 companies listed in the 2014 Fortune 500, which is only slightly less than the number of 123 from America. However, although the scale and strength of Chinese enterprises are growing quickly, risks associated with the fault in decision-making have been considered the biggest pitfall for the domestic companies. According to the World Bank, economic loss due to the decision mistakes is above 400 billion Yuan from the seventh five-year period to the ninth in China, rate of faulty decision is almost 30%. There are a few reasons causing the high rate of decision error, e.g. the local government’ excessive intervention in the market hampers the companies to judge correctly based on the market forces, or the imperfect internal governance structure and too many management levels bring about internal and external information asymmetry. There is still one very important reason not to forget, the consciousness of the enterprise decision makers to seize opportunities has caused impulsive, risky, blind, haphazard and experience-based decisions. The effect of risk-taking on economic performance has been a critical problem in strategic management area, and the importance of risk-taking in strategy catches more and more attention. The nature of strategy determines that risk is embedded in most decisions and strategic leaders’ risk-taking behavior is thought to have important effects on corporate strategy and critical meanings for corporate performance and survival, which in turn is the fundamental problem to consider in decision-making process. The corporate is possible to suffer tremendous loss if risk is not controlled properly. Drawing on the upper echelon theory, psychological capital and social capital theory, as well as decision-making literature, an empirical research of 891 samples of corporate strategic leaders was conducted to test the influence of the psychological capital and social capital on strategic leader’s risk-taking behavior. The empirical result shows that first, psychological capital and social capital both have significant positive relationship with corporate performance. Second, strategic leader’s risk-taking behavior has a direct significant relation with corporate performance; and it acts as a partial mediator in the relationship between psychological capital, social capital and corporate performance. Third, psychological capital and social capital have significantly positive impact on strategic leader’s risk-taking behavior. Fourth, different dimensions of social capital have different impacts on risk-taking behavior. Bonding social capital has an inverted U-shaped relationship with strategic leader’s risk-taking behavior, whereas bridging social capital has a positive relationship with strategic leader’s risk-taking behaviors. Fifth, managerial discretion is proved to have strong moderating effect on the relationship between psychological capital, social capital and strategic leader’s risk-taking behavior. Other valuable findings include educational level has a significantly positive effect on strategic leader’s risk-taking behavior, tenure of being at the top position has a significantly positive effect on corporate performance, pre-entrepreneurial experience also promotes strategic leader’s risk-taking behavior. The main innovative points of this research is summarized as the following: first, by integrating psychological capital theory, social capital theory and upper echelon theory, the research explores the effects of psychological capital and social capital on strategic leader’s risk-taking behavior, which supplements the previous literatures mainly focusing on the leaders’ demographic or background characteristics. Second, strategic leader’s risk-taking behavior is regarded as the mediating variable, and the research investigates the influencing mechanism of psychological capital, social capital on corporate performance by means of strategic leader’s risk-taking behavior, uncovers the effects of interaction of characteristics of strategic leader and risk-taking behavior on corporate performance, which enrich the relevant studies in the decision-making research area. Third, managerial discretion is treated as the moderating variable between strategic leader’s characteristics and risk-taking behavior, and defines the boundary conditions between psychological capital, social capital and strategic leader’s risk-taking behavior, which enables us to find those factors in either weakening or strengthening the relationship between psychological capital, social capital and strategic leader’s risk-taking behavior. The whole structure of the thesis is arranged as the following: Chapter one discusses the research background, research problem and significance, concepts, methodology, process and structural arrangements of the research are also included in this chapter. Chapter two introduces the theoretical foundation of the study and the enlightenments previous studies brings, including upper echelons theory, decision-making theory, risk-taking theory, psychological capital theory and social capital theory. Chapter three first defines the core variables, then raises the hypotheses of the research through theoretical derivation, the research model is concluded at the end of the chapter. Chapter four mainly introduces the basic principles and ideas of this study, the questionnaire is emphasized in the process of design, distribution and callback, the measurement of research variables as well as analytical methodologies of data are also briefed. Chapter five mainly deals with the data analysis, including factor analysis, reliability test and correlation analysis of the variables, multiple regression technique is applied to analyze the relationship between independent variables, dependent variables, moderating variables and mediating variables. The results of data analysis is summarized and discussed then. Chapter six states the major findings of this research, while listing the creative conception, research and practical implications, it also points out the limitations of the study and talks about the research direction for further investigation.
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