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论文编号：	9018
作者编号：	1120100803
上传时间：	2016/12/20 9:41:23
中文题目：	创业导向与高绩效工作实践对创业绩效的影响机制研究
英文题目：	Research on the Impact Mechanism of Entrepreneurial Orientation and High Performance Work Practices on Entrepreneurial Performance
指导老师：	杨斌
中文关键字：	创业导向；高绩效工作实践；人力资源柔性；员工柔性；人力资源实践柔性；创业绩效
英文关键字：	entrepreneurial orientation (EO); high perofmance work practices (HPWPs); human resource flexibility (HRF); human resource practice flexibitiy; employee flexibility; entrepreneurial performance
中文摘要：	当今时代竞争异常激烈、产品更迭日益加快，企业的兴衰成败可能发生在倏忽之间。已建成的原有企业（established firms）为了实现存续与更新，也要具有创业导向（entrepreneurial orientation，EO）、成为创业型企业，这样做可能不是为了企业增长，而是为了维持现有市场和规模、甚至是生存。创业绩效本质上是关于企业新产品投放和市场开拓的，是关于快速响应环境变化并谋求一定优势地位的，甚至是关乎企业未来战略发展方向的，因而是新创企业和原有企业都需要的一种组织绩效。 始于20世纪80年代初的创业导向（EO）研究至今仍然是公司创业与战略领域的热点，但已有相关研究在EO作用于组织绩效过程机制方面的探索仍然比较匮乏，尤其是鲜有涉及企业人力资源（HR）方面的因素。考虑到创业型组织的“创新性、先发性和风险承担”三个基本倾向或特征（也是EO的三个基本维度）事实上皆从创业者的个体倾向或特征嫁接而来，而且公司持续的创业创新活动和创业绩效的取得必须依靠员工才能实现，EO相关研究缺乏与HR因素的结合必然是一个重大的、亟待弥补的缺口。 20世纪80年代末开始出现的“高绩效工作实践”（HPWPs）至今已受到学界和实务界的广泛认同和青睐，其在组织生产率、财务绩效、离职率、组织承诺等利用性（exploitative）的“稳态”功效已得到广泛验证。HPWPs因而堪称“最佳实践”，并俨然成了战略人力资源管理（SHRM）实践的代名词。但是，HPWPs仍属于SHRM实践的基础层，还没有体现出SHRM的理念中HR要素需与战略互动并具有前瞻性的观点；而且，HPWPs对企业开发性（explorative）的“动态”因变量（如创业绩效）的影响及其机制有待进一步探索。 人力资源柔性（HRF）概念出现是SHRM研究的一个进展。它将SHRM与战略柔性的观点结合了起来，不仅给SHRM领域带来了新的空间，也对组织的HR方面提出了“新要求”——不仅要帮助组织快速地应对变化而且要为组织创造更多战略选择。然而，Wright和Snell（1998）之后关于HRF的研究都未能企及HRF应有的理论深度和边界，基本没有体现SHRM理念中关于HR作为战略伙伴的思想，更没有体现HR要为组织“创造更多战略选择”而“先人而发”的观点，而且，HRF在构念定义、维度界定与划分、量表等方面都存有问题。 面对以上问题，本次研究尝试以创业绩效为共同因变量、以EO和HPWPs为自变量、发展HRF概念并以HRF为纽带、相向推进EO和SHRM的研究。本文首先回顾了EO、创业绩效和HPWPs的相关研究并初步确定了各自的初始量表；接着针对HRF面临的问题，基于战略柔性和SHRM理论发展了HRF构念，并形成了HRF各个维度的初始量表；然后围绕EO、HPWPs、HRF和创业绩效等这些变量间的关系建立模型和提出研究假设，以尝试从HRF的路径揭示HPWPs和EO对创业绩效的影响机制。 本文通过调研得到的125家的企业问卷（从246家企业中共获得195份有效问卷，其中70份被随机抽取用于探索性因子分析，其余125份用于假设检验），主要使用了Mplus 7.4的结构方程法检验了所提出的各个假设。本文主要有以下贡献或发现： 第一，本文进一步发展和完善了HRF的概念及其量表，并且通过HRF对创业绩效的直接效应和中介效应检验，揭示了HRF（尤其HRF的员工柔性方面）在创业绩效形成过程的中枢性作用，从而以此为契机扩展了SHRM研究的视野。 针对已有相关研究在HRF概念上的界定不清、理论边界和深度退化的现象，本文发展了HRF概念，不仅廓清和界定了员工技能柔性、员工行为柔性和HR实践协调柔性的含义，并且将“先发性”（proactiveness）的观点较为完整地融入HRF概念，这体现在HRF的员工柔性方面纳入了“员工先发性”维度、在HRF的HR实践柔性方面提出了“HR实践先发性”维度。本文还探索了HRF的内部结构，发现HR实践柔性对创业绩效的作用完全被员工柔性中介。 有别于已有员工先发性研究多集中于个体微观层面，本文在组织层面对员工先发性进行了研究，验证了几乎所有关于员工先发性中介作用的假设，在很大程度上揭示了员工先发性对组织的重大意义，这是对员工先发性研究的一次扩展。“HR实践先发性”的提出推进了SHRM中战略性理念的实践化和操作测量化，这是对当前普遍将SHRM实践等同于HPWPs一次突破性尝试。正如员工先发性要以员工先发性行为来衡量，HR实践先发性需要以HR先发性实践为内容和体现；HPWPs和包括HR先发性实践在内的HR协调性实践一起才是更为完整的SHRM实践、才能更完整体现SHRM的理念。 第二，本文验证了HPWPs对创业绩效的正向显著影响，不仅是对关于HPWPs普适性观点的一次印证，还扩展了对HPWPs对组织的开发性功效的认识；本文验证了HPWPs对员工柔性的正向影响作用，并发现HPWPs对创业绩效的影响被员工柔性（尤其是员工先发性）部分中介。本文还讨论了HPWPs的内容和维度方面的争议，通过样本数据识别出HPWPs的6因子结构，但未识别出“内部职业发展”因子，这可能意味着HPWPs的内容有可能会随时代变迁而变化，因而需要给予一定关注。 第三，本文讨论了EO的维度争议，在前人的研究基础上提出EO的“创业支持”维度，并且，从HRF中介作用的角度探索了EO与创业绩效关系的黑箱机制。本文验证了EO（风险承担维度除外）对创业绩效的正向显著影响，还发现EO（风险承担维度除外）与创业绩效的关系被HRF（员工柔性和HR实践柔性）部分地中介。然而，本文没有发现EO的风险承担维度在本文任何假设关系中呈现出任何显著性影响，保守地看这与前人得出的“EO不同维度所产生效应不同”的结论相一致；但是，这也可能暴露出EO在风险承担这一维度构成、抑或是在中国情景下的适用性或许存在问题，值得引起进一步关注。本文还发现了EO的创新和先发性维度对“HPWPs与员工柔性关系”的呈正向调节效应，而创业支持维度却呈现出强背景下的取代性负向（与假设相反）调节效应。 本文不仅从HRF的角度揭示了EO作用于组织绩效的黑箱机制、扩展了对HPWPs在开发性功效方面的认识，而且还通过对HRF及其中介作用的挖掘推进了SHRM理论完善、推进了EO研究与SHRM研究的结合。本文揭示出的EO、HPWPs、HRF与创业绩效的机理关系将对企业实践有一定启示。 但是，本文仍属于框架性研究，模型虽较为复杂但研究层次比较单一，未来研究可以更加精细化，比如在跨层方面推进，探讨员工感知的EO，探讨员工个体动机、行为、心理等方面的变量在EO与员工柔性、组织绩效关系中的作用，也可考虑引入环境动荡性等调节变量进行观察；针对本文样本量较少、横截面数据、共同方法偏差等局限，未来研究可以采取研究局部聚焦、加大样本量、企业内信息源多样化、进行纵向研究等方式展开。在构念方面，HPWPs、EO、HR实践先发性等构念的维度及其构成也可以进一步深化和检验。
英文摘要：	Firms may fail as a result of outdated products, shrinked markets, the existence of replacing products, especially in the fierce competition. Established firms need to have entrepreneurial orientation, engage in frequent entrepreneurial activities, and become entrepreneurial firm, in order to survive and maintain existing markets rather than to achievement growth. Entrepreneurial performance is not unique for new ventures. As this type of performance is, in essence, about introducing new products, exploring new markets, developing sustained capabilities to respond to changes in environments, and thus, gaining competitive advantage, it is a critical performance for almost all firms. Although research about entrepreneurial orientation, which originates in the 1970s, has been a popular research area, there are few studies about the mechanism through which firms’ entrepreneurial orientation influence firms’ performance. For instance, there is little knowledge about the role played by human resource factors in existing literature. As employees are the actual actors of entrepreneurial activities, the lack of research on the role played by human resources is a huge research gap. Therefore, the current study focuses on the role played by human resources in the relationship between firms’ entrepreneurial orientation and entrepreneurial performance. High performance work practices, a concept developed in early 1990s, have been found to have positive effects on productivity, financial performance, organizational commitment, and reduced turnover. These practices have been viewed as best practices due to their contribution to firms’ efficiency and stability. Nevertheless, there is no knowledge about the whether and how high performance work practices influence firms’ entrepreneurial performance, which depends on firms’ contingent and proactive responses to dynamic environments. Thus, this study examines the effect of high performance work practices on firms’ entrepreneurial performance and the underlying mechanism of the of the effect. The concept of human resource flexibility (HRF) is founded on SHRM theories and flexibility theories. It not only brings new opportunities in the HRM area, but also provides new requirements for HR and HRM---HRF needs to help firms to quickly responds to changes in external environment and creates more strategic options for firms. However, after the study done by Wright and Snell (1998), research on HRF has not expand previous studies in terms of both depth and breadth and is flawed in several aspects such as the definition of the construct, the structure and meanings of different dimensions, and measurement. Also, current HRF researches failed to incorporate the argument in SHRM literature that HR is the strategic partner of firms or reflect the idea of strategic flexibility about creating more strategic options and proactiveness. This study focuses on the relationship between entrepreneurial orientation and HPWPs on entrepreneurial performance and the mediating effect of HRF. Based on the above problems and gaps in the current literature, this study develops a comprehensive conceptual model and a series of hypotheses to examine the relationship among the variables of interest. This paper first reviews the literature about entrepreneurial orientation, HPWPs, and entrepreneurial performance and determines measurement for each variable. Next, on the basis of the literature about strategic flexibility and SHRM, this paper further develops the construct of HRF and measurements for all dimensions of HRF. Moreover, this study develops hypotheses about the relationship between entrepreneurial orientation, HPWPs, and entrepreneurial performance, the mediating effect of HR practice flexibility and employee flexibility, and the moderating effects of entrepreneurial orientation. I acquired 195 qualified suvey questionares out of 246 Chinese firms. Hypotheses were tested with the help of SPSS 23 and Mplus 7.4. According to the results, this study contributes to the current literature in the following four ways: This study contributes to the current literature in three ways. First, this study further develops the construct of human resource flexibility and its measurement. This study also explands the current SHRM research through uncovering the critical direct and indirect effects of firms’ human resource flexibility, particularly employee flexibility, on firms’ entrepreneurial performance. Founded on theories about strategic flexibility and the focus of strategy in SHRM research, this paper not defines employee skill flexibility, behavioral flexibility, and HR practice coordinating flexibility, but also incorporates the idea of proactiveness into the concept of human resource flexibility through introducing a new employee flexibility dimension---employee proactiveness and a new HR practice flexibility dimension---HR practice proactiveness. The above development of the concept of human resource flexibility is not only in line with the focus of strategic flexibility on responsiveness and proactiveness, but also consistent with the idea that human resource and human resource management should meet operational requirements and create more strategic options for firms. The development of human resource practice proactiveness accelerates the development of strategic human resource management with respect to operationalization. This paper also develops scales for all dimensions of the human resource flexibility (HRF) construct, particularly the scale for human resource practice proactiveness. Using these scales, this study examines the effect of each HRF dimension on firm’s entrepreneurial performance, the mediating effect of HRF on the relationship between entrepreneurial orientation and entrepreneurial performance, and the mediating effect of employee flexibility dimension on the relationship beteen HPWPs and entrepreneurial performance. Results showed the important effects of HRF on entrepreneurial performance and supported the value and meaning of investigating the relationship between entrepreneurial orientation and HEF, HPWPs and HRF, and HRF and entrepreneurial performance. Although there has been much research on employee proactiveness, this paper does not simply add this idea to the HRF construct. Instead, treating HR practice flexibility, HPWPs, and entrepreneurial orientation as independent variables and entrepreneurial performance as dependent variable, this study expands present research on proactivenss through investigating employee proactiveness at the firm level. Results showed that employee proactivenss has mediating effects on several relationships, implying the critical value of employee proactiveness for firms. Second, this study examines and finds the positive effect of HPWPs on firms’ entrepreneurial performance. This result not only indicates the significance of HPWPs for firms, but also to some extent expands the current knowledge of HPWPs’ influence on firms’ performance. This study also found that the effect of HPWPs on firms’ entrepreneurial performance is mediated by employee flexibility, employee proactiveness in particular. Third, this study develops the dimensions of the entrepreneurial orientation construct and explores the black box of the relationship between firms’ entrepreneurial orientation and entrepreneurial performance through investigating the mediating effect of HRF. Also, this study uncovers the potential problems of the risk-taking dimension of entrepreneurial orientation with respect to construct structure or the applicability in the Chinese context. Forth, this study also discovers the moderating effects of entrepreneurial orientation (except for the risk-taking dimension) on the relationship between HPWPs and employee flexibility. Results showed that the innovation and proactiveness dimension positively moderates the relationship, whereas the innovation support dimension negatively moderates the relationship. In addition, the current study enhances research about both entrepreneurial orientation and SHRM through investigating the effects of entrepreneurial orientation and HPWPs on entrepreneurial performance with the mediation of HRF. Results of this study would facilitate the communication between these two separate research lens and areas.
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