风险投资合约及治理机制实证研究综述

风险投资合约及治理机制是现代金融合约理论重要和新兴的研究领域.面对创业项目的高风险性,风险投资家通过复杂的合约订立和阶段性的资金投入,融合与创业者的代理冲突.重点评述了国内外风险投资合约及其治理机制的相关实证研究成果,指出了未来的理论和实证研究方向.     

虚拟顾客共同创造影响因素的实证研究

以计划行为理论作为主导分析工具,结合社会交换理论、独特性需求理论和刺激寻求理论,构建虚拟顾客共同创造行为影响因素的研究模型。采用问卷调查曾参加虚拟共同创造项目的顾客,获得347份有效样本,使用偏最小二乘法的结构方程进行数据分析。结果表明提高名声期望、获取专长期望、独特性产品需求和刺激性体验需求有助于形成积极的虚拟顾客共同创造态度。虚拟顾客共同创造态度、合作关系感知和虚拟顾客共同创造自我效能对虚拟顾客共同创造意向有显著影响。虚拟顾客共同创造意向、合作关系感知和虚拟共同创造自我效能促进顾客虚拟共同创造行为。     

管理理论的生命力和实用价值———兼论其时代性与时代化

管理理论是科学理论的一个门类.理论,其本质是人类思想和认知的发展,有经典和非经典的区别.经典理论其开创者有超凡的认知能力,思想深邃,成果具有较高的传承价值和较强的生命力.因而,管理理论研究,无论是经典理论的演绎或实践规律的发掘形成学说,其价值和前途均取决于管理思想阐释和思辨的功夫.     

管理者内隐人格观对绩效评估过程的影响

运用眼动测试技术,对持有不同内隐人格观的管理者的绩效评估过程进行了分析。研究表明,实体论管理者在面对员工初期低绩效水平表现时,会以特质判断为基础来进行选择、编码和组织信息,并将绩效差归因于员工本身所具有的特质。渐进论管理者则不存在归因的偏差。面对后期员工的绩效改进表现时,实体论管理者倾向于将绩效的提升归因于环境的改变,忽略员工自身的改变,从而造成对于绩效改进的认可度小于渐进论管理者。     

环境、结构与认知:信号管理的发生机制探析

在对信号管理概念进行回顾的基础上,从外界环境、组织结构、决策者认知3个不同层次,梳理了信号管理发生机制的研究脉络,并结合对信号管理发生的本质认识,即组织决策者选择利用符号性资源解决其所感知到的冲突的决策过程,将信号管理发生机制的多层次研究系统地整合入“冲突识别-冲突解决”的两阶段决策框架.结合该框架,探讨了信号管理发生机制研究中亟待解决的问题,并对未来的研究进行了思考.     

科学理论的使命与本质特征及其对管理理论发展的启示

理论在科学研究与学科发展中具有基础性作用.在科学发展中,理论作为一种人造物,其使命在于帮助人们正确地解释、预测认识对象,并指导相关的社会实践.管理学科在过去30年中理论进步相当缓慢,出现的诸多问题在一定程度上起源于对理论的认识偏差.基于亨普尔对理论的界定,从理论的本质特征出发,进行分析发现,当前主流管理学研究对于理论本身存在着比较普遍的误读,导致管理研究的“理论贡献”不能很好地促进学科发展.鉴于此,为了推动管理理论的发展,管理学界需要正确认识科学理论的使命和本质特征.最后,讨论了所提出的观点对发展管理理论的启示.     

选择中国管理研究发展道路的几个问题——以组织行为学研究为例

在综述中国管理研究发展道路选项的基础上,以组织行为学为例,提出和分析此道路选择涉及的关键问题,并给出发展中国管理研究道路选择的建议。研究表明,现有西方管理学科范式存在突出问题,组织研究将不可避免地面临科学信念与学科范式的转换。对于身处十字路口的中国管理研究而言,只是检验和拓展现有理论或仅开发管理的本土理论都不是长久之计。抓住机遇,致力于发展普适性的管理理论,才是实现管理学科长远、健康发展的正确道路。     

客户关系管理基础理论体系框架探讨

CRM基础理论是整个CRM的基石,但对于CRM基础理论体系的确立并没有一个清晰的说法.识别有价值客户和培育有价值客户忠诚是狭义CRM的两项基本任务,从支持完成这两项基本任务的思路出发,本文提出了一个由客户价值识别理论和客户忠诚理论构成的CRM基础理论总体框架及两大理论本身的基本框架,阐述了两大基础理论的关键研究进展.     

Can there be a domain-specific knowledge base in HRD? Reflections on the Lille symposium

A conversation recently began amongst senior human resource development scholars from around the world that focused on the prospects for theory development in human resource development (HRD). The opening event in the form of a panel discussion was held at the European HRD conference in Lille, France, in May 2008. This article summarizes and discusses contributions made by the panel participants.     

Should the Model for Risk‐Informed Regulation be Game Theory Rather than Decision Theory?

Risk analysts frequently view the regulation of risks as being largely a matter of decision theory. According to this view, risk analysis methods provide information on the likelihood and severity of various possible outcomes; this information should then be assessed using a decision‐theoretic approach (such as cost/benefit analysis) to determine whether the risks are acceptable, and whether additional regulation is warranted. However, this view ignores the fact that in many industries (particularly industries that are technologically sophisticated and employ specialized risk and safety experts), risk analyses may be done by regulated firms, not by the regulator. Moreover, those firms may have more knowledge about the levels of safety at their own facilities than the regulator does. This creates a situation in which the regulated firm has both the opportunity—and often also the motive—to provide inaccurate (in particular, favorably biased) risk information to the regulator, and hence the regulator has reason to doubt the accuracy of the risk information provided by regulated parties. Researchers have argued that decision theory is capable of dealing with many such strategic interactions as well as game theory can. This is especially true in two‐player, two‐stage games in which the follower has a unique best strategy in response to the leader's strategy, as appears to be the case in the situation analyzed in this article. However, even in such cases, we agree with Cox that game‐theoretic methods and concepts can still be useful. In particular, the tools of mechanism design, and especially the revelation principle, can simplify the analysis of such games because the revelation principle provides rigorous assurance that it is sufficient to analyze only games in which licensees truthfully report their risk levels, making the problem more manageable. Without that, it would generally be necessary to consider much more complicated forms of strategic behavior (including deception), to identify optimal regulatory strategies. Therefore, we believe that the types of regulatory interactions analyzed in this article are better modeled using game theory rather than decision theory. In particular, the goals of this article are to review the relevant literature in game theory and regulatory economics (to stimulate interest in this area among risk analysts), and to present illustrative results showing how the application of game theory can provide useful insights into the theory and practice of risk‐informed regulation.     

企业内部薪酬差距的效应：研究述评

企业内部薪酬差距的设计是薪酬管理中的重要内容。学者们对于薪酬差距的效应的认识有很大差别:竞赛理论认为薪酬差距可以改善员工工作态度、提高个人和组织绩效;行为理论则认为薪酬差距过大会破坏员工的合作关系而有损于个人和组织绩效,这2种观点都得到了一些实证研究的支持。通过对这2种观点的总结和分析对今后的研究会有启发。     

Preventing the Importation of Illicit Nuclear Materials in Shipping Containers

We develop a mathematical model to find the optimal inspection strategy for detecting a nuclear weapon (or nuclear material to make a weapon) from being smuggled into the United States in a shipping container, subject to constraints of port congestion and an overall budget. We consider an 11-layer security system consisting of shipper certification, container seals, and a targeting software system, followed by passive (neutron and gamma), active (gamma radiography), and manual testing at overseas and domestic ports. Currently implemented policies achieve a low detection probability, and improved security requires passive and active testing of trusted containers and manually opening containers that cannot be penetrated by radiography. The annual cost of achieving a high detection probability of a plutonium weapon using existing equipment in traditional ways is roughly several billion dollars if testing is done domestically, and is approximately five times higher if testing is performed overseas. Our results suggest that employing high-energy x-ray radiography and elongating the passive neutron tests at overseas ports may provide significant cost savings, and several developing technologies, radiation sensors inside containers and tamper-resistant electronic seals, should be pursued aggressively. Further effort is critically needed to develop a practical neutron interrogation scheme that reliably detects moderately shielded, highly enriched uranium.     

期货市场涨跌停板幅度设置的模型研究

涨跌停板幅度规定了期货交易中每日价格波动的范围,是涨跌停板制度的核心,过高的停板幅度不利于抑制价格的剧烈波动,过低的停板幅度又会妨碍期货市场价格发现功能的实现。尽管涨跌停板制度已被期货交易所广泛采用,但对如何设置合理的涨跌停板幅度的研究尚不成熟,实用性较差。本文在国内外学者研究的基础上,基于自履行合约理论和极值理论构建期货涨跌停板幅度设置模型。模型通过合约自履行条件下涨跌停板幅度与保证金水平的关系,获得合理的涨跌停板幅度,并应用极值理论修正了以往模型中期货收益率的正态分布假设,提高了实用性。最后,本文应用该模型对我国铜和天然橡胶期货涨跌停板幅度进行了实际测算。     

Situational leadership theory: A test of three versions

Three versions of the leadership dynamics derived from Hersey and Blanchard's Situational Leadership Theory were identified: (1) the original, 1972, statement of the theory; (2) the revised, 2007, theory; and (3) an alternative statement of the theory's essential principle of differential follower response to “autonomy afforded by the leader” in conjunction with “follower developmental level” (as indexed by employee job experience). Survey data collected from 357 banking employees and 80 supervisors, sampled from 10 Norwegian financial institutions, were analyzed for predicted interactions. Results indicated that the 2007 revised theory was a poorer predictor of subordinate performance and attitudes than the original version. The third, alternative, version (which predicted an autonomy × job experience interaction) offered promise for further exploration of the theory's essential principle that employee outcomes are associated with prescribed leader behaviors in combination with follower developmental level, although this version also did not add substantially to accounting for criterion variance.     

Perception of and reactions to job insecurity: The buffering effect of secure attachment

By bridging attachment theory and cognitive appraisal theory, this study explored the moderating role of secure attachment in one’s perception of (i.e. primary appraisal) and reactions to (i.e. secondary appraisal) job insecurity. Study 1 used individual-level data collected from employees nested in 42 states in the US and state-level unemployment rate derived from U.S. Bureau of Labor Statistics. I found that secure attachment attenuated the negative impact of state-level unemployment rate on individual job insecurity. In Study 2 with data collected at two time points, I found that secure attachment mitigated the negative, lagged outcome of job insecurity on job satisfaction (but not affective commitment). Taken together, I found that secure attachment enabled individuals to positively appraise state-level unemployment rate and constructively cope with job insecurity. Results of both studies converge to support the proposed buffering role of secure attachment in one’s perception of and reactions to job insecurity.     

Acting with the best of intentions… or not: A typology and model of impression management in leadership

Impression management (IM) is important for effective leadership. Followers accept influence from individuals who meet their perceptions of what it means to be a leader, and IM is an important way of impacting those perceptions. Yet, the extant literature on leader IM is fragmented. We unify the literature in this area by creating a multi-dimensional typology and multi-level model of IM in leadership. We examine the multi-dimensional nature of IM as a construct composed of information processing, communicative, and goal-directed components, thereby creating eight IM archetypes. Then, we examine how IM can be used to impact follower perceptions of the leader through the lenses of transformational/charismatic, authentic, and leader categorization theories. This research unites a currently fragmented area of research and sparks new questions about how leader behaviors can be used to influence followers toward multi-level leadership outcomes.     

Putting emergence back in leadership emergence: A dynamic,multilevel, process-oriented framework

The study of leadership emergence has increased substantially over the past few decades. However, due to a lack of integrative theory, we believe limited advancement has been made regarding the full process of leadership emergence. To address this concern, first, we conceptualize the leadership emergence process from a complexity perspective and define emergence as a dynamic, interactive process grounded in three principles of emergent phenomena. Second, we review how previous research has modeled leadership emergence by focusing on the content areas of the lower-level elements, the mechanisms that facilitate their emergence, and the dynamism of the process once it has emerged. Third, based on the findings from the review, we introduce a process-oriented framework of leadership emergence. Fourth, we offer propositions to guide developing and testing emergent leadership processes, and we conclude with recommendations for future leadership process research. Our hope is that by realigning the study of leadership emergence with complexity and multilevel theory, we can reorient this area to focusing more on the process mechanisms within emergence, connecting back to research progress made over 60?years ago.     

经理人股票期权无效性的动态非合作博弈分析

大量学者从不同角度对经理人股票期权的有效性提出了质疑.本文基于现有理论和经验研究成果,分析股票期权收益的重要因素--继任经理人员的努力类型,对股票期权激励效果的影响,构建了经理人员股票期权激励合约的新框架,并建立经理人员之间的非合作动态博弈模型,有效解释了股票期权激励无效的内在原因.