CEO价值观对企业创新投入、过程与绩效的影响——基于高阶理论与委托代理理论的融合视角

Based on an integrative perspective of upper echelons theory and principal-agent theory, this project investigates the impacts of CEO values on firm innovation behaviors, both on the process and outcome. Specifically, our work mainly focuses on a significant type of values, called “self-regarding” versus “other-regarding”，and three essays are presented to separately investigate the impacts of CEO values on firm innovation at sequential stages: R&D investments (resource allocation), information hierarchy span (information sourcing), and implementation (open innovation). Several boundary conditions are considered in each study from both external environment and internal governance.. This project adopts qualitative analysis as well as the empirical analysis based on questionnaire survey and second-hand data. It is mainly based on a cross-stage and large-scale survey data carried out in cooperation with the China Entrepreneur Survey System (CESS), which is under the guidance of the Development Research Center of the State Council. This work makes pivotal theoretical contributions to strategic management literature such as organizational innovation, upper echelons theory, and agency theory. Managerial implications and policy suggestions are also proposed.

本课题将基于高阶理论与委托代理理论相融合的视角研究CEO价值观对企业创新过程和绩效的影响。具体地，本研究将聚焦于自我/利他导向的价值观，根据企业创新活动的流程依次研究CEO价值观对创新投入（资源分配）、创新信息跨层级传递（信息来源）和创新方式（开放式创新）及绩效的影响，同时从外部环境和内部治理的角度分析了CEO价值观对企业创新行为影响的边界条件。. 本课题采用质性分析、问卷调查与二手数据相结合的实证研究方法，主要基于与国务院发展研究中心指导下的中国企业家调查系统（CESS）合作开展的跨阶段、大规模的问卷跟踪调查数据。本项目研究成果将对战略管理学研究有较大的理论贡献，弥补了组织创新、高阶理论、委托代理理论中的某些不足或研究空白。与此同时，课题组将基于研究发现对管理实践和政策制定提出合理化建议。