科研团队异质性对创新绩效的影响研究
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摘要
近年来，科研团队作为科技创新的重要发源地，越来越受到学者们的广泛关注。科研团队是由具备不同专业背景或知识技能的研究人员为了完成一项科研任务或目标而形成的学术群体。因此，高异质性是科研团队的一个重要特征，且科研团队的创新成果是个体成员集体贡献的结晶，这些都从客观上要求我们把落脚点放在整合富有高异质性的团队成员身上。本文围绕“科研团队异质性如何影响成员创新绩效”这一基本问题展开研究，深入剖析了科研团队异质性对成员创新绩效的跨层次作用关系，以及团队层面的创新氛围在此关系中发挥的中介作用和团队层面的领导观点采择能力、依存性的调节作用，以期揭开科研团队异质性对成员创新绩效影响机制的“黑箱”。
具体而言，本文逐层深入地探究了以下五个问题：（1）科研团队成员的创新绩效如何衡量？（2）异质性作为团队结构的一种静态描述，对科研团队成员的创新绩效会产生什么样的影响？（3）团队异质性是如何通过整合团队氛围来影响创新绩效的？即创新氛围是否在异质性与成员创新绩效的关系中发挥着中介作用？以及如何发挥中介作用的？（4）在科研团队情境下，领导观点采择的定义是什么？它对团队异质性与创新绩效的作用机制是否会产生影响？如何影响？（5）在科研团队的相关研究中，鲜有研究把依存性作为团队过程和结果关系的调节变量。那么依存性在科研团队中是如何发挥作用的？
基于上述问题，本文在研究设计上采用案例研究和实证研究两种研究方法。案例研究重点提炼了科研团队异质性、创新氛围、创新绩效、领导能力和团队依存性的主要特征，并为实证研究提供初步的理论命题和经验性解释。实证研究则从团队层次和个体层次两种研究视角，通过构建被调节的中介效应模型，采用多层线性模型分析方法，对我国6所“985”高校101个科研团队的配对样本数据展开分析。研究结论以期在理论上深化和丰富科研团队理论体系，在实践上为我国高校科研团队的建设、管理与发展提供理论借鉴和管理启示。主要研究内容如下：
（1）对国内外现有研究做了较为全面的综述。界定了科研团队的概念，对比分析了科研团队主要特征以及科研绩效的衡量方法，回顾了国内外关于异质性、创新氛围、领导力和依存性的相关理论和研究进展。
（2）在理论回顾的基础上，通过案例研究初步构思异质性与成员创新绩效影响机制中可能存在的变量及其关系产生，进而提出本文的理论模型和相关的研究假设。根据研究的主要内容和目的，设计调查问卷，收集样本数据，并检验了问卷的信度和效度。
（3）对相关研究假设进行实证检验。本文利用多层线性模型分析方法，检验了团队异质性通过团队创新氛围对成员创新绩效的作用机制。HLM分析结果表明：任务相关异质性（专业异质性和从事科研时间异质性）有利于提升成员的主观和客观绩效，而身份相关异质性（年龄异质性）则会降低创新绩效。尽管已有研究证实，教育程度差异和性别差异对创新也会产生显著影响，但在本研究中却未得到有效支持。同时，团队异质性对创新绩效的影响并非是直接的。异质性仅是创新过程的输入变量，并不会直接影响创新绩效，而是通过创新氛围的传导作用间接产生影响。
（4）通过构建被调节的中介效应模型，重点考察了领导观点采择能力与团队依存性的调节作用。HLM分析结果表明，当科研团队领导者表现出较高水平的观点采择能力时，专业背景和从事科研时间的异质性通过创新氛围的中介作用，对个体创新绩效产生的正向影响较强，而年龄差异性产生的负向影响较强；反之，异质性产生的影响非常有限。同样，依存性对异质性通过创新氛围对成员绩效的影响效果也会产生正向调节作用。
Over the recent years, research teams as the birthplace of important technologicalinnovation have attracted wide attention from scholars. Research teams are synergicgroups which organize a group of people from different disciplines to engage in creativeand abstract analysis of information and technology. Therefore, integrating individualswith high heterogeneity and enhancing their creative performance is the cornerstone tosolve R&D problems. To open the black-box of mechanism of research member creativeperformance, this dissertation answered the question that “how team heterogeneitiesinfluence member creative performance” by in-depth analysis of the mediating role ofteam climate for innovation(TCI) and the moderating role of leader’s perspective takingand team interdependence.
Specifically, this dissertation is going to be answered from five aspects:(1) How tomeasure individual innovation performance in research teams?(2) What are therelationships between team heterogeneities and individual innovation performance?（3）How do the team heterogeneities stimulate and improve research team member creativeperformance by the mediating role of TCI? And how does TCI play as a mediatingvariable?(4) How does leader’s perspective taking play as a moderating variable?(5)How does team interdependence play as a moderating variable?
Based on the above issues, this dissertation used two research methods, includingcase study and empirical research. In the case study, this dissertation summarized andanalyzed the main features of the heterogeneity of research team, TCI, innovationperformance, leadership, and team interdependence. And some theoretical propositionsand empirical explanation for the empirical research were suggested. In the empiricalresearch, team-level and individual-level viabilities were studied by constructing amoderated mediation model. Specifically, in accordance with HLM method proposed byMuller, et al., this dissertation expanded the empirical study of150research team fromChina’s six "985" universities. The main research contents as following.
Firstly, this research comprehensively reviewed the domestic and internationalexiting research1iteratures, defined the concept of research team, and did a comparative analysis to summarize the main features of research team. Then this research reviewedexiting1iteratures of heterogeneity’s definition, classification and related researches;this research also reviewed exiting1iteratures of TCI’s dimension and related researches.In addition, this research reviewed the theories and related research of perspectivetaking and team interdependence.
Secondly, On the basis of abundant literature and documents, this research formeda preparatory conception of possible variables and the relationship between teamheterogeneities and member creative performance, and then puted forth the researchhypothesis and research model. Then the research detailed empirical study of thequestionnaire design process and measured scale reliability and validity.
Thirdly, hierarchical linear modeling results using101leader-member dyads ofresearch teams indicated that task-related heterogeneities (professional heterogeneityand scientific tenure heterogeneity) are conducive to improve research team member’subjective and objective performance, and age heterogeneity has a negative effect.Despite previous studies have demonstrated that educational heterogeneity is related toinnovation significantly, this hypothesis was not supported by this HLM analysis. Thisresearch also suggested that some characteristics of team diversity play a cross-levelimpact on member creative performance through team climate for innovation.
Fourthly, by building a moderated mediation model, this research also focused onthe effects of the mediating role of leader perspective taking ability and teaminterdependence. The moderating pattern showed that the relationship between teamclimate for innovation and member performance becomes stronger as leader perspectivetaking growing from low to high. Furthermore, the conditional indirect effect test alsoshowed that the mediating effect of team climate for innovation on diversity–memberperformance linkage is significant only when the level of leader perspective taking ishigh. The same mediating effect of team interdependence was supported.
具体而言，本文逐层深入地探究了以下五个问题：（1）科研团队成员的创新绩效如何衡量？（2）异质性作为团队结构的一种静态描述，对科研团队成员的创新绩效会产生什么样的影响？（3）团队异质性是如何通过整合团队氛围来影响创新绩效的？即创新氛围是否在异质性与成员创新绩效的关系中发挥着中介作用？以及如何发挥中介作用的？（4）在科研团队情境下，领导观点采择的定义是什么？它对团队异质性与创新绩效的作用机制是否会产生影响？如何影响？（5）在科研团队的相关研究中，鲜有研究把依存性作为团队过程和结果关系的调节变量。那么依存性在科研团队中是如何发挥作用的？
基于上述问题，本文在研究设计上采用案例研究和实证研究两种研究方法。案例研究重点提炼了科研团队异质性、创新氛围、创新绩效、领导能力和团队依存性的主要特征，并为实证研究提供初步的理论命题和经验性解释。实证研究则从团队层次和个体层次两种研究视角，通过构建被调节的中介效应模型，采用多层线性模型分析方法，对我国6所“985”高校101个科研团队的配对样本数据展开分析。研究结论以期在理论上深化和丰富科研团队理论体系，在实践上为我国高校科研团队的建设、管理与发展提供理论借鉴和管理启示。主要研究内容如下：
（1）对国内外现有研究做了较为全面的综述。界定了科研团队的概念，对比分析了科研团队主要特征以及科研绩效的衡量方法，回顾了国内外关于异质性、创新氛围、领导力和依存性的相关理论和研究进展。
（2）在理论回顾的基础上，通过案例研究初步构思异质性与成员创新绩效影响机制中可能存在的变量及其关系产生，进而提出本文的理论模型和相关的研究假设。根据研究的主要内容和目的，设计调查问卷，收集样本数据，并检验了问卷的信度和效度。
（3）对相关研究假设进行实证检验。本文利用多层线性模型分析方法，检验了团队异质性通过团队创新氛围对成员创新绩效的作用机制。HLM分析结果表明：任务相关异质性（专业异质性和从事科研时间异质性）有利于提升成员的主观和客观绩效，而身份相关异质性（年龄异质性）则会降低创新绩效。尽管已有研究证实，教育程度差异和性别差异对创新也会产生显著影响，但在本研究中却未得到有效支持。同时，团队异质性对创新绩效的影响并非是直接的。异质性仅是创新过程的输入变量，并不会直接影响创新绩效，而是通过创新氛围的传导作用间接产生影响。
（4）通过构建被调节的中介效应模型，重点考察了领导观点采择能力与团队依存性的调节作用。HLM分析结果表明，当科研团队领导者表现出较高水平的观点采择能力时，专业背景和从事科研时间的异质性通过创新氛围的中介作用，对个体创新绩效产生的正向影响较强，而年龄差异性产生的负向影响较强；反之，异质性产生的影响非常有限。同样，依存性对异质性通过创新氛围对成员绩效的影响效果也会产生正向调节作用。
Over the recent years, research teams as the birthplace of important technologicalinnovation have attracted wide attention from scholars. Research teams are synergicgroups which organize a group of people from different disciplines to engage in creativeand abstract analysis of information and technology. Therefore, integrating individualswith high heterogeneity and enhancing their creative performance is the cornerstone tosolve R&D problems. To open the black-box of mechanism of research member creativeperformance, this dissertation answered the question that “how team heterogeneitiesinfluence member creative performance” by in-depth analysis of the mediating role ofteam climate for innovation(TCI) and the moderating role of leader’s perspective takingand team interdependence.
Specifically, this dissertation is going to be answered from five aspects:(1) How tomeasure individual innovation performance in research teams?(2) What are therelationships between team heterogeneities and individual innovation performance?（3）How do the team heterogeneities stimulate and improve research team member creativeperformance by the mediating role of TCI? And how does TCI play as a mediatingvariable?(4) How does leader’s perspective taking play as a moderating variable?(5)How does team interdependence play as a moderating variable?
Based on the above issues, this dissertation used two research methods, includingcase study and empirical research. In the case study, this dissertation summarized andanalyzed the main features of the heterogeneity of research team, TCI, innovationperformance, leadership, and team interdependence. And some theoretical propositionsand empirical explanation for the empirical research were suggested. In the empiricalresearch, team-level and individual-level viabilities were studied by constructing amoderated mediation model. Specifically, in accordance with HLM method proposed byMuller, et al., this dissertation expanded the empirical study of150research team fromChina’s six "985" universities. The main research contents as following.
Firstly, this research comprehensively reviewed the domestic and internationalexiting research1iteratures, defined the concept of research team, and did a comparative analysis to summarize the main features of research team. Then this research reviewedexiting1iteratures of heterogeneity’s definition, classification and related researches;this research also reviewed exiting1iteratures of TCI’s dimension and related researches.In addition, this research reviewed the theories and related research of perspectivetaking and team interdependence.
Secondly, On the basis of abundant literature and documents, this research formeda preparatory conception of possible variables and the relationship between teamheterogeneities and member creative performance, and then puted forth the researchhypothesis and research model. Then the research detailed empirical study of thequestionnaire design process and measured scale reliability and validity.
Thirdly, hierarchical linear modeling results using101leader-member dyads ofresearch teams indicated that task-related heterogeneities (professional heterogeneityand scientific tenure heterogeneity) are conducive to improve research team member’subjective and objective performance, and age heterogeneity has a negative effect.Despite previous studies have demonstrated that educational heterogeneity is related toinnovation significantly, this hypothesis was not supported by this HLM analysis. Thisresearch also suggested that some characteristics of team diversity play a cross-levelimpact on member creative performance through team climate for innovation.
Fourthly, by building a moderated mediation model, this research also focused onthe effects of the mediating role of leader perspective taking ability and teaminterdependence. The moderating pattern showed that the relationship between teamclimate for innovation and member performance becomes stronger as leader perspectivetaking growing from low to high. Furthermore, the conditional indirect effect test alsoshowed that the mediating effect of team climate for innovation on diversity–memberperformance linkage is significant only when the level of leader perspective taking ishigh. The same mediating effect of team interdependence was supported.
引文
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