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论文编号：	9354
作者编号：	2120152454
上传时间：	2017/6/20 17:17:09
中文题目：	CEO职能背景与企业创新绩效的关系研究——基于激励机制的调节作用
英文题目：	Study on the Relationship Between the Functional Background of CEO and Innovation Performance—— Based on the Regulating Effect of Incentive Mechanism
指导老师：	李莉
中文关键字：	创业板上市公司；CEO职能背景；创新绩效；知识基础观
英文关键字：	GEM listed companies；CEO’s functional background; innovation performance; the knowledge based view
中文摘要：	当今国际经济形势错综复杂，国内外市场竞争越发激烈，创新能力和创新绩效对企业的生存与发展至关重要，而CEO作为企业经营管理事务的最高执行官，本身的创新能力和创新意愿对于创新绩效至关重要。根据本文的统计，截止2015年末超过50%的中国创业板上市公司CEO具有技术研发类从业经验，在所有职能背景中占比最高。与其他职能背景的CEO相比，具有技术研发类职能背景的CEO具有丰富的专业知识和研发经验，能够解决研发过程中的疑难问题，也能优化创新资源配置，提升创新绩效；他们在过去的技术研发从业经历中培养了时时监控市场变动的职业素养，对于创新方向的把握也更加灵敏，保证了创新绩效的产生。从整体上看，我国企业的自主创新能力依然薄弱，选聘什么类型的CEO以及如何激励CEO创新能力的发挥以提升企业创新绩效具有很强的现实意义。基于以上背景，本文从知识基础观视角出发，拟对CEO职能背景对企业创新绩效的影响进行研究，同时探究短期激励和长期激励两种激励机制对于二者关系的调节作用。在回顾了知识基础观、激励理论、CEO职能背景及企业创新绩效相关文献的基础上，本文选取2012-2015年创业板上市公司为研究对象，通过CEO的简历搜集职能背景信息，用是否具有技术研发类职能背景作为解释变量，以创新绩效为被解释变量，短期激励和长期激励为调节变量，通过实证分析方法对假设进行检验。研究结果表明，CEO的技术研发类职能背景对于创业板上市公司的创新绩效具有显著正向影响，具有此类CEO的企业创新绩效更好。短期激励与长期激励对于CEO职能背景和创新绩效之间的关系有显著正向调节作用，且长期激励的调节作用更强。研究结果对于我国企业选聘CEO以及激励机制的调整有着借鉴意义，对后续研究具有一定的指导作用。
英文摘要：	The current international economic situation is complex and changeable, market competition is more and more fierce both at home and abroad and innovation capability and innovation performance is related to the survival and development of enterprises. As CEO is the highest managers in enterprises, their ability and willingness to innovate is crucial to innovation performance. More than 50% CEO of GEM listed companies has technical or research working experience, accounting for the highest proportion of all functional background. Compared with other functional background, the CEO with technical or research working experience has rich professional knowledge and research experience, can solve difficult problems in the development process and allocate resources properly. Meanwhile, they have accumulated certain social resources in the past working experience, can grasp the market changes and innovation direction more sensitively. Generally, the independent innovation ability of Chinese enterprises is still weak, what kind of CEO and incentive mechanism can enhance innovation performance of enterprises has a strong practical significance. In view of the above analysis and the Knowledge based view, this paper will study the effect of CEO’s functional background on innovation performance of enterprises, and explore the regulating effect of short-term and long-term incentive mechanism. After reviewing the knowledge based view, incentive theory, related literatures of CEO function background and innovation performance, this paper selects 2012-2015 GEM listed companies as the study object. This paper collects CEO’s functional background information through their resume, chooses whether it has functions of technical and development background as explanatory variable, the innovation performance as explained variable and the short-term and long-term incentive mechanism as the adjustment variables, testing the hypotheses through empirical analysis. The results show that the CEO with technical or development functional background has a significant positive impact on the innovation performance of GEM listed companies. Both Short-term and long-term incentive have positive moderating effect on the relationship between the CEO functional background and innovation performance, but long-term incentive is stronger. The results of this paper can be valuable for enterprises to choose CEO and adjust incentive mechanism.
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