【作者】 王迪；

【导师】 张翼；

【作者基本信息】 西南财经大学 ， 金融学， 2021， 硕士

【摘要】 创新是国家经济发展的重要抓手,习近平总书记曾说过:“不创新要落后,创新速度慢了也要落后”。随着市场经济体制的建立,我国经济得到了快速发展,企业之间的竞争加剧,竞争形式也越来越多样化,在这样的环境下,企业想要生存并获得更加长远的发展,需要创新为其提供发展动力,更好地采取差异化战略,增强企业在市场的竞争力。当前,在影响企业创新的相关研究中,大多数学者认为高管背景特征会对企业创新产生影响,企业是进行创新的主体,这个创新主体的指挥者是企业家们,他们通过制度与管理等创新方式激发企业的创新动力和建立企业的创新体系。根据高层梯队理论,高管的某些背景特征会对公司治理和高管决策行为产生重要影响,当前国内外相关文献多以管理者个人特征,包括董事长的年龄、性别、学术背景、任职经历、成长经历、从军经历等来研究对企业创新的影响,但是少有学者从高管的党员身份出发研究对企业创新的影响。因此,本文基于我国的社会主义制度和文化将党员身份特征纳入高管背景特征之中,把民营企业董事长党员身份作为研究对象,探究董事长的党员身份和企业创新之间的关系。本文把2009-2018年沪深A股上市民营企业作为研究对象,对董事长党员身份和企业创新之间的关系进行分析研究,探究董事长的党员身份会对企业创新产生怎样的影响。本文将企业的研发投入占营业收入的比作为被解释变量,用来衡量企业创新,把董事长是否为中共党员作为解释变量,检验党员董事长对企业创新产生的影响,然后通过分组检验的方式考察了企业规模、董事长政治关联、市场化程度对党员身份和企业创新的影响,得到如下研究结果:(1)拥有党员身份的民营企业董事长对企业创新具有显著的正向促进作用。(2)把衡量企业规模的变量进行排序,分别把前三分之一和后三分之一的样本分为大规模企业和小规模企业样本,结果发现在大规模企业中,董事长的党员身份对企业创新具有正向促进作用。(3)董事长的党员身份对企业创新的正向促进作用在董事长没有政治关联的样本中显著,在董事长有政治关联的样本中不显著。(4)在市场化程度高的地方,董事长的党员身份对企业创新的具有正向促进作用。根据以上研究结果,本文认为党员身份不仅拓展了高管背景特征相关研究,而且也验证了董事长的党员身份这个背景特征确实可以促进企业的创新,在提高企业创新积极性方面,政府加大地区市场化进程的推进、企业合理利用高管政治关联以及在规模较大的企业中董事长的党员身份都能够发挥更大的作用。更多还原

【Abstract】 Innovation is a significant instrument for national economic development.General Secretary Xi Jinping once said,"If we do not innovate,we will lag behind,and if the speed of innovation is slow,we will lag behind." With the establishment of the market economy system,obtained the rapid development of economy in our country,the fierce market competition intensifies,competition becomes more and more diversified.in such circumstances,enterprises would like to survive and obtain more long-term development,they need to provide power for the development of its innovation,preferably take differentiation strategy to strengthen the competitiveness of the enterprises in the market.At present,the influence the related study of enterprise innovation,most academicians consider that executives background characteristics will influence enterprise innovation,enterprises are the main subject of innovation,the innovation main body of the commanders are entrepreneurs,they inspire enterprise innovation power and the establishment of the innovation system of the enterprise through the system and management innovation.According to the upper echelon theory,some background characteristics of the senior managers and executives will influence decision-making behavior in corporate governance.the present domestic and foreign related literatures to managers more personal characteristics includes the president of the age,gender,academic background,job experience,growing experience,military experience to study the influence on enterprise innovation.However,few scholars from the party membership of executive research influence enterprise innovation.Thus,on account of China’s socialist system and culture,the paper includes the feature of party status into the background trait of senior executives,and takes whether the chairman of private enterprises having party position as the object of study to study the relation between the chairman’s party membership and enterprise innovation.This paper adopts A-share listed private enterprises in Shanghai and Shenzhen Stock Exchange from 2009 to 2018 as research objects for analyzing the relationship between chairman’s party membership and enterprise innovation and proposing research hypothesis.According to the ratio of operating income corporate innovation input measuring enterprise innovation,president of the board for party members as explanatory variables,this paper tests party chairman of the board of directors on the impact of enterprise innovation,Next,then through the grouping variables,the enterprise scale,the chairman of political association and degree of marketization of this paper tests how do Party members affect enterprise innovation.finally,the results are as follows:(1)chairman of private enterprise with the status of party membership has a significant positive role in promoting enterprise innovation.(2)Ranking the variables that measure the size of enterprises,dividing the first third and the last third of samples into large and small enterprises respectively,the result indicates that in large enterprises,the party membership of the chairman exert a more significant positive impact on enterprise innovation.(3)The positive effect of chairman’s party membership on enterprise innovation is very meaningful in the sample with no political association of chairman,but not significant in the sample with political association of chairman.(4)In the regions with high degree of marketization,the positive effect of chairman’s party membership on enterprise innovation is more profound.On account of the above research conclusions,this paper discusses that the party members’ identity not only widen the executives related research background characteristics,but also the chairman’s party membership is confirmed the background characteristics can promote the innovation of the enterprise.in terms of promoting enterprise innovation motivation,the government increased with the advancement of marketization,enterprise selection without a political association executives and larger companies can play a more important role.更多还原