企业高层管理团队行为特征对创新绩效的影响研究
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摘要
21世纪,随着全球经济一体化的发展,无论是国家、地区还是企业,都面临着比以往任何时候都严峻的资源和环境约束,以及以信息技术变革为主要特征的激烈竞争,创新已成为国家之间、地区之间以及企业之间形成核心竞争优势的最主要手段。在一个快速变化的环境中,企业为了吸引新的客户、满足顾客多样化和个性化的需求,必须选择创新。企业对创新的探求意味着对未来发展机会的把握,可以为企业带来持续的竞争优势。但影响企业创新绩效的因素有哪些?企业的创新绩效如何衡量?提升企业创新绩效的内在路径是什么?如何才能发现并克服创新面临的障碍并建立和培育企业创新文化和氛围?这些问题是每个企业的高管人员面临并需着力解决的挑战,也是学者们持续关注并力求解决的问题。
企业资源观和能力观认为,企业的高层管理团队不仅是一个资源、知识和能力的综合体,而且是企业内部和外部环境的汇聚点,还是建立企业战略优势的关键。优秀的高层管理团队表现为对外能识别商业环境的变化、预见新的商业机遇并采取相应的措施,对内关注和采取适当的手段激励员工,充分调动员工工作的积极性和创造性,给公众传递强有力的优势信号。
本文将高阶理论作为理论基础,采用文献分析法和问卷调查法,通过系统梳理国内外领导理论、团队理论和创新理论的相关文献,对企业高层管理团队的行为特征与创新绩效的关系展开系统研究。基于行为视角对高管团队特征与创新绩效的主效应、团队绩效的中介作用和团队成员同质性和异质性的调节效应进行理论分析并实证检验,进一步揭示中国情境下企业高层管理团队行为特征影响创新绩效的内在机理,对高阶理论进行扩展,并通过实证为这一理论提供经验支持。
本文首先基于领导理论、高阶理论、团队理论和企业创新理论的相关研究文献,构建了研究的理论模型并提出了相应的研究假设;在此基础上设计了企业高层管理团队行为特征变量的信息共享、决策参与、团队合作、有效沟通和目标达成五个维度的测量量表,团队绩效变量及决策力、内聚力和满意度三个维度的测量量表,创新绩效变量的探索式创新绩效、开发式创新绩效及管理创新绩效三个维度的测量量表以及高层管理团队人口统计学特征的同质性和异质性变量的测量量表,结合专家和学者的访谈意见,编制了结构化的调查问卷,通过小样本的预测试并修订后形成最终的调研问卷。随后选取了西安、深圳、成都、北京、南京、上海六个城市550余家企业进行问卷调查,最终回收了124个高管团队包含504名高层管理者的有效问卷：接着从内部一致性信度、建构效度、收敛效度和区分效度等方面,运用探索性因子分析和验证性因子分析方法对样本数据进行了质量评估,通过对ICC和Rwg指标对数据进行组内一致性检验确保能将个体层次的数据聚合到团队层次。最后,应用SPSS17.0和Amos7.0统计软件,通过多元线性回归分析方法检验了企业高层管理团队特征对创新绩效影响的主效应、团队绩效的中介效应以及团队同质性和异质性的调节效应,揭示了企业高层管理团队特征影响创新绩效的内在机理。
研究结果表明：第一,企业高层管理团队行为特征变量的信息共享、团队合作和有效沟通维度对探索式创新绩效、开发式创新绩效和管理创新绩效均具有显著正向影响,而决策参与维度对开发式创新绩效、目标达成维度对探索式创新绩效影响并不显著；第二,企业高层管理团队行为特征变量的各维度对团队绩效变量的决策力、内聚力和满意度维度均具有显著正向影响；第三,团队绩效变量的各维度对创新绩效变量的各维度均具有显著正向影响；第四,团队绩效变量在企业高层管理团队行为特征对创新绩效的影响过程中起到中介作用；第五,团队同质性和异质性特征对上述变量间的影响关系起到调节作用,说明引入高层管理团队人口统计学背景特征作为调节变量使团队行为特征对创新绩效影响的内在机理更加清晰,扩展了高阶理论的研究边界。
With the global economic integration, every country, region or enterprise is facing resources and environmental constraints and competition of information technology revolution in the21st century. Innovation has become core competitive advantages between countries, regions the enterprises. In order to attract new customers, meet customer diverse and individual needs, enterprises must select innovation gaining competitive advantage in a rapidly changing environment. Enterprises can bring the sustainable competitive advantage from innovation. However, what are the factors that affect the performance of enterprise innovation? How to measure innovation performance of enterprises? What is the path to enhance corporate innovation performance inherent? How can we identify and overcome obstacles of innovation, establish and foster business innovation culture and atmosphere? These issues not only are faced by every business executives and need to make efforts to solve these challenges, but also scholars are sustaining attention and try to resolve.
From the enterprise resources theory and capability perspective, enterprises'top management team (TMT) is not only the resource, the focal point of internal and external environment, the complexity of knowledge and capacity, but also the key for establishment of corporate strategic advantage. Excellent TMTs can identify the external business environment changes, foresee new business opportunities, take appropriate measures, and take appropriate methods to motivate employees fully enthusiasm and creativity of the work, and most important pass a strong powerful advantage signal to public.
The paper conducted a systematic study between the behaviors of top management team characteristics and enterprises innovation performance through combining the team theory and innovation theory based upper echelon theory through the methods of literature review and questionnaires. It also conducted the empirical test for main effect between TMT behaviors characteristics and innovation performance based behavior perspective, the mediating role of team performance and the moderating effect of team member's homogeneity and heterogeneity. This can reveal inherent mechanism between TMTs'behavior characteristics affect and innovation performance in Chinese context, and extend upper echelon theory, and provide empirical support through empirical test.
First, paper reviewed the leadership theory, upper echelon theory, team theory and innovation theory and proposed theoretical model and research hypotheses, and then paper designed the measurable variable scales for TMTs'behavioral characteristics, including information sharing, participation in decision making, teamwork, effective communication and goal achievement dimensions, the team performance of dimensions for decision-making power, cohesion and satisfaction, and enterprise innovation performance including exploration innovation, exploitation innovation and management innovation dimensions, and other demographic characteristics of TMT. Combining with experts&researchers'advices, interviews and a small sample pre-testing, it formed investigation questionnaire. Using exploratory factor analysis and confirmatory factor analysis approach to research sample data, this collected from Xi'an, Shenzhen, Chengdu and other cities and formed124valid TMTs and504members by survey questionnaires finally. Data were tested by the construct reliability, Cronbach's reliability, convergent validity&discriminate validity, and conformed that data could be aggregation from individual-level to the team level through consistency within the group index test by ICC and Rwg. Finally, paper verified the main effects, moderator effect and mediator effects by multiple regression analysis using the application statistical software of SPSS17.0and Amos7.0.The results show that:
First, the top management team behavior dimensions, such as information sharing, teamwork and effective communication had significant positive impact on exploration innovation performance, exploitation innovation performance and management innovation performance, and participation in decision making dimension had no significant effect on exploitation innovation, the same as the goal achievement dimension also had no significant effect on exploratory innovation performance.
Second, information sharing behavior, participation in decision making behavior, teamwork behavior, effective communication, and goal achievement of TMTs' behavioral dimensions had significant positive effect on team performance.
Third, the team performance of decision-making power, cohesion and satisfaction of members had significant positive effect on innovation performance, such as explorative innovation performance, exploitative innovation&management innovation performance.
Fourth, the team performance plays a mediator role between the TMTs' behavior characteristics and the enterprise innovation performance.
Fifth, the team demographic homogeneity and heterogeneity plays an moderator effects on the above relationships.
企业资源观和能力观认为,企业的高层管理团队不仅是一个资源、知识和能力的综合体,而且是企业内部和外部环境的汇聚点,还是建立企业战略优势的关键。优秀的高层管理团队表现为对外能识别商业环境的变化、预见新的商业机遇并采取相应的措施,对内关注和采取适当的手段激励员工,充分调动员工工作的积极性和创造性,给公众传递强有力的优势信号。
本文将高阶理论作为理论基础,采用文献分析法和问卷调查法,通过系统梳理国内外领导理论、团队理论和创新理论的相关文献,对企业高层管理团队的行为特征与创新绩效的关系展开系统研究。基于行为视角对高管团队特征与创新绩效的主效应、团队绩效的中介作用和团队成员同质性和异质性的调节效应进行理论分析并实证检验,进一步揭示中国情境下企业高层管理团队行为特征影响创新绩效的内在机理,对高阶理论进行扩展,并通过实证为这一理论提供经验支持。
本文首先基于领导理论、高阶理论、团队理论和企业创新理论的相关研究文献,构建了研究的理论模型并提出了相应的研究假设;在此基础上设计了企业高层管理团队行为特征变量的信息共享、决策参与、团队合作、有效沟通和目标达成五个维度的测量量表,团队绩效变量及决策力、内聚力和满意度三个维度的测量量表,创新绩效变量的探索式创新绩效、开发式创新绩效及管理创新绩效三个维度的测量量表以及高层管理团队人口统计学特征的同质性和异质性变量的测量量表,结合专家和学者的访谈意见,编制了结构化的调查问卷,通过小样本的预测试并修订后形成最终的调研问卷。随后选取了西安、深圳、成都、北京、南京、上海六个城市550余家企业进行问卷调查,最终回收了124个高管团队包含504名高层管理者的有效问卷：接着从内部一致性信度、建构效度、收敛效度和区分效度等方面,运用探索性因子分析和验证性因子分析方法对样本数据进行了质量评估,通过对ICC和Rwg指标对数据进行组内一致性检验确保能将个体层次的数据聚合到团队层次。最后,应用SPSS17.0和Amos7.0统计软件,通过多元线性回归分析方法检验了企业高层管理团队特征对创新绩效影响的主效应、团队绩效的中介效应以及团队同质性和异质性的调节效应,揭示了企业高层管理团队特征影响创新绩效的内在机理。
研究结果表明：第一,企业高层管理团队行为特征变量的信息共享、团队合作和有效沟通维度对探索式创新绩效、开发式创新绩效和管理创新绩效均具有显著正向影响,而决策参与维度对开发式创新绩效、目标达成维度对探索式创新绩效影响并不显著；第二,企业高层管理团队行为特征变量的各维度对团队绩效变量的决策力、内聚力和满意度维度均具有显著正向影响；第三,团队绩效变量的各维度对创新绩效变量的各维度均具有显著正向影响；第四,团队绩效变量在企业高层管理团队行为特征对创新绩效的影响过程中起到中介作用；第五,团队同质性和异质性特征对上述变量间的影响关系起到调节作用,说明引入高层管理团队人口统计学背景特征作为调节变量使团队行为特征对创新绩效影响的内在机理更加清晰,扩展了高阶理论的研究边界。
With the global economic integration, every country, region or enterprise is facing resources and environmental constraints and competition of information technology revolution in the21st century. Innovation has become core competitive advantages between countries, regions the enterprises. In order to attract new customers, meet customer diverse and individual needs, enterprises must select innovation gaining competitive advantage in a rapidly changing environment. Enterprises can bring the sustainable competitive advantage from innovation. However, what are the factors that affect the performance of enterprise innovation? How to measure innovation performance of enterprises? What is the path to enhance corporate innovation performance inherent? How can we identify and overcome obstacles of innovation, establish and foster business innovation culture and atmosphere? These issues not only are faced by every business executives and need to make efforts to solve these challenges, but also scholars are sustaining attention and try to resolve.
From the enterprise resources theory and capability perspective, enterprises'top management team (TMT) is not only the resource, the focal point of internal and external environment, the complexity of knowledge and capacity, but also the key for establishment of corporate strategic advantage. Excellent TMTs can identify the external business environment changes, foresee new business opportunities, take appropriate measures, and take appropriate methods to motivate employees fully enthusiasm and creativity of the work, and most important pass a strong powerful advantage signal to public.
The paper conducted a systematic study between the behaviors of top management team characteristics and enterprises innovation performance through combining the team theory and innovation theory based upper echelon theory through the methods of literature review and questionnaires. It also conducted the empirical test for main effect between TMT behaviors characteristics and innovation performance based behavior perspective, the mediating role of team performance and the moderating effect of team member's homogeneity and heterogeneity. This can reveal inherent mechanism between TMTs'behavior characteristics affect and innovation performance in Chinese context, and extend upper echelon theory, and provide empirical support through empirical test.
First, paper reviewed the leadership theory, upper echelon theory, team theory and innovation theory and proposed theoretical model and research hypotheses, and then paper designed the measurable variable scales for TMTs'behavioral characteristics, including information sharing, participation in decision making, teamwork, effective communication and goal achievement dimensions, the team performance of dimensions for decision-making power, cohesion and satisfaction, and enterprise innovation performance including exploration innovation, exploitation innovation and management innovation dimensions, and other demographic characteristics of TMT. Combining with experts&researchers'advices, interviews and a small sample pre-testing, it formed investigation questionnaire. Using exploratory factor analysis and confirmatory factor analysis approach to research sample data, this collected from Xi'an, Shenzhen, Chengdu and other cities and formed124valid TMTs and504members by survey questionnaires finally. Data were tested by the construct reliability, Cronbach's reliability, convergent validity&discriminate validity, and conformed that data could be aggregation from individual-level to the team level through consistency within the group index test by ICC and Rwg. Finally, paper verified the main effects, moderator effect and mediator effects by multiple regression analysis using the application statistical software of SPSS17.0and Amos7.0.The results show that:
First, the top management team behavior dimensions, such as information sharing, teamwork and effective communication had significant positive impact on exploration innovation performance, exploitation innovation performance and management innovation performance, and participation in decision making dimension had no significant effect on exploitation innovation, the same as the goal achievement dimension also had no significant effect on exploratory innovation performance.
Second, information sharing behavior, participation in decision making behavior, teamwork behavior, effective communication, and goal achievement of TMTs' behavioral dimensions had significant positive effect on team performance.
Third, the team performance of decision-making power, cohesion and satisfaction of members had significant positive effect on innovation performance, such as explorative innovation performance, exploitative innovation&management innovation performance.
Fourth, the team performance plays a mediator role between the TMTs' behavior characteristics and the enterprise innovation performance.
Fifth, the team demographic homogeneity and heterogeneity plays an moderator effects on the above relationships.
引文
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