基于团队过程视角董事会效能的研究

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摘要

20 世纪 90 年代以来，在经济全球化的直接影响下，公司治理问题开始得到世

界范围内的广泛关注，并进而形成了公司治理改革的全球化浪潮。董事会既作为

公司内部控制的一个重要工具，同时也是公司内部治理的核心，从安全的角度在

股东的权益和代理契约的实现方面提供了制度保障，随着国内外公司治理制度的

变迁，目前已经由“董事会中心主义”取代了以往“股东大会中心主义”的公司

内部治理制度。因此，发挥处于内部治理核心地位的董事会的作用、强化董事会

的效能和提高董事会的运作效率已经成为目前亟待完善的公司治理的核心问题。

目前国内外相关文献研究往往是从董事会的特征着手，分析其对董事会效能

的影响，忽视了董事会团队的内部互动过程。造成的结果是，虽然董事会特征的

输入变量可能一致，但由于动态演化的过程发生变化，导致结果的巨大差异，甚

至矛盾，其根本原因在于董事会特征及其多样性并不能有效替代团队过程。本文

以安徽江淮汽车集团股份有限公司为研究对象，以团队过程为分析视角，综合整

体网分析、结构方程、回归分析等实证研究方法，揭示董事会团队运作过程与董

事会效能之间的相互联系，希望本文的研究能够提高对于董事会团队运作规律及

其内部要素的相互作用机制的解释能力，进而能为提高董事会效能提供良好的借

鉴。

本文的研究思路是首先对董事会效能的概念、董事会团队过程的界定及研究

现状进行了综述，在分析并总结国内外学者对董事会研究的基础上，本文认为，

抓住了董事会的团队过程就抓住了它的产出，进而提出了从团队过程视角对董事

会效能进行研究。

其次，提出研究假设，并对董事会团队过程和效能的影响因素进行阐述并分

析，据此设计了一套调查问卷，同时，使用 UCINET6.0 软件对部分指标进行测度，

并使用 SPSS16.0 统计软件，对回收的有效问卷进行了信度和效度的分析，为下面

董事会效能研究架构的进一步验证提供依据。

再次，以问卷分析结果为支撑，使用结构方程分析法为主、回归分析法为辅，

对研究假设进行验证，计算过程中借助了AMOS7.0 软件。

接着，本文对验证结果进行分析，结合董事会的背景，对如何提高董事会效

能从团队过程的角度上提出了一些建议。

最后，本文总结了主要的研究结论与不足及进一步的研究方向。

本文的主要研究结论为：认知冲突对董事会的战略决策有负向影响，对董事

会监督有正向作用，但对董事会凝聚力的负向作用不显著；情绪冲突对董事会的

战略决策、凝聚力有负向作用，但对董事会监督的负向作用不显著；信任对董事

会的战略决策、监督、凝聚力都有正向影响，并且冲突在信任对董事会战略决策

过程中具有中介作用；沟通对董事会的战略决策、监督、凝聚力都有正向影响；

权力对董事会战略决策有正向作用，但对监督的负向作用不显著。

关键词：董事会团队过程董事会效能

ABSTRACT

Since the 1990s, under the direct influence of economic globalization, corporate

governance issues began to be widespread, and thus the formation of the wave of

globalization of corporate governance reformed. Take a look at the history of the

development of company, the company's internal governance is undergoing changes to

the Board centrism system by the general meeting of centrism. Provide safety measures

on governance as an important core of the internal control tools and internal governance

structure, the board of directors repesent the company's equity capital and management

contract of employment. Therefore, to play the role of the board of directors of the

central position in the internal governance, strengthen the effectiveness and improve the

efficiency of the operation of the board has become an urgent need to improve the core

issues of corporate governance.

Study relevant literature is often proceed from the characteristics of the board, and

analyze their impact on the effectiveness of the Board, internal interactive process was

ignored. Although input variables of the Board may be the same, but because of changes

in the dynamic evolution of the process, leading to the result of the huge difference,

even contradictory, the fundamental reason is that the characteristics of the Board and

its diversity and the team can not be an effective alternative process. Take Anhui

Jianghuai Automobile Group Co., Ltd. for the study, from the team process analysis

perspect to study, the comprehensive overall network analysis, structural equation,

regression analysis, empirical research methods to reveal the mechanism of action of the

Board team operation process between the effectiveness of the Board, in order to this

study for the explanation of the operation of the law and its internal elements of the

board of directors team interaction mechanism to improve the effectiveness of the Board

to provide a good reference.

Research ideas of this paper is the first performance of the Board of Directors of

concept, reviewed the Board team process and research status, analyze and summarize

the scholars on the basis of the Board of Directors, the paper argues, seize Board team

grabthe live its output, then presents a study on the effectiveness of the Board from the

perspective of the team process.

Second, the proposed hypothesis, and the board of directors of the team process

and performance influencing factors described and analyzed accordingly design a

questionnaire to measure some indicators use UCINET6.0 and SPSS16.0 statistical

software the reliability and validity of the analysis of valid questionnaires recovered,

and to provide a basis for the further validation of the effectiveness of the Board in the

following research framework.

Again to the questionnaire results support the use of structural equation

analysis-based, supplemented by regression analysis to verify the hypothesis the

computation process With the AMOS7.0 of software.

Next, we analyze the verification results, combined with the background of the

board of directors, made some suggestions on how to improve the effectiveness of the

Board from the point of view of the team process.

Finally, the paper summarizes the main conclusions of the study and the lack of

and further research directions.

The main conclusions of this paper as follows: the cognitive conflict negatively

influence the strategic decisions of the Board of Directors, has a positive role in the

oversight of the Board, but not a significant negative effect on the cohesion of the Board;

emotional conflict on strategic decision of the Board of Directors, cohesion negative

role in the oversight of the Board of Directors to the role, but not significantly; trust the

Board's strategic decision-making, supervision, cohesion has a positive influence, and

conflict in the trust has a mediating role in the strategic decision-making process of the

Board of Directors; communicate the strategic decision of the board of directors

cohesion, supervision, and has a positive impact; powers of a positive role in the

strategic decisions of the Board, but no significant negative role in oversight.

Keywords: Board， team process ，effectiveness of the Board

摘要 ...................................................................................................................................................... 6

ABSTRACT ......................................................................................................................................... 8

第一章绪论 ...................................................................................................................................... 1

1.1 研究背景与意义 .................................................................................................................... 1

1.1.1 研究背景 ..................................................................................................................... 1

1.1.2 研究意义 ..................................................................................................................... 2

1.3 相关概念界定 ........................................................................................................................ 3

1.3.1 董事会团队过程 ......................................................................................................... 3

1.3.2 董事会效能 ................................................................................................................. 3

1.3.3 整体网 ......................................................................................................................... 3

1.4 研究内容及篇章安排 ............................................................................................................ 4

1.5 研究方法 ................................................................................................................................ 5

1.5.1 文献研究法 ................................................................................................................. 5

1.5.2 问卷调查法 ................................................................................................................. 5

1.5.3 整体网分析方法 ......................................................................................................... 5

1.5.4 结构方程分析方法...................................................................................................... 6

1.5.5 其他计量研究方法...................................................................................................... 7

1.6 技术路线图 ............................................................................................................................ 7

1.7 研究创新 ................................................................................................................................ 9

第二章文献综述 .............................................................................................................................. 10

2.1 董事会效能研究的理论基础 .............................................................................................. 10

2.1.1 委托代理理论 ........................................................................................................... 10

2.1.2 管家理论 ................................................................................................................... 10

2.1.3 社会交换理论 ........................................................................................................... 11

2.2 董事会效能研究综述 .......................................................................................................... 11

2.2.1 董事会特征与效能.................................................................................................... 11

2.2.2 董事会团队过程与效能............................................................................................ 12

2.2.3 董事会效能研究概况................................................................................................ 14

2.3 简要述评 .............................................................................................................................. 15

2.4 本章小结 .............................................................................................................................. 15

第三章研究总体设计 ...................................................................................................................... 17

3.1 研究思路与总体框架 .......................................................................................................... 17

3.1.1 研究思路 ................................................................................................................... 17

3.1.2 研究的总体框架 ....................................................................................................... 17

3.2 变量测量及数据收集 .......................................................................................................... 19

3.2.1 团队过程变量的测量................................................................................................ 19

3.2.2 董事会效能的测量.................................................................................................... 20

3.2.3 凝聚力、权力结构指标的量化 ................................................................................ 20

3.2.4 数据收集 ................................................................................................................... 23

3.3 本章小结 .............................................................................................................................. 24

第四章董事会团队过程与效能的关系研究 ................................................................................... 25

4.1 研究假设 .............................................................................................................................. 25

4.1.1 董事会团队过程与董事会战略决策效能的关系 .................................................... 25

4.1.2 董事会团队过程与董事会监督效能的关系 ............................................................ 26

4.1.3 董事会团队过程与董事会内部成员凝聚力的关系 ................................................ 27

4.1.4 董事会战略决策、监督、凝聚力效能间的关系 .................................................... 28

4.2 研究过程 .............................................................................................................................. 29

4.3 问卷信度与效度检验 .......................................................................................................... 29

4.3.1 问卷的信度分析 ....................................................................................................... 30

4.3.2 问卷的效度分析 ....................................................................................................... 30

4.4 研究结果 .............................................................................................................................. 33

4.4.1 样本描述 ................................................................................................................... 33

4.4.2 董事会团队过程与效能关系的结构方程验证分析 ................................................ 34

4.4.3 冲突的中介效应检验................................................................................................ 39

4.5 本章小结 .............................................................................................................................. 41

第五章实证研究结果与讨论 .......................................................................................................... 42

5.1 实证研究结果 ...................................................................................................................... 42

5.2 研究结果讨论 ...................................................................................................................... 42

第六章对策建议 .............................................................................................................................. 45

6.1 建立有效的冲突管理机制 .................................................................................................. 45

6.2 建立以信任为基础的董事会团队文化............................................................................... 45

6.3 进行有效地沟通 .................................................................................................................. 46

6.4 董事会成员的选拔 .............................................................................................................. 46

6.5 提高董事会团队凝聚力 ...................................................................................................... 46

第七章研究限制与展望 .................................................................................................................. 48

7.1 研究限制 .............................................................................................................................. 48

7.2 研究展望 .............................................................................................................................. 48

参考文献 ............................................................................................................................................ 49

攻读硕士学位期间发表的论文和承担科研项目 ............................................................................. 53

致谢 ................................................................................................................................................ 54

附录 A调查问卷 ............................................................................................................................... 55

附录 B调查企业目录 ........................................................................................................................ 57

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摘要：

摘要20世纪90年代以来，在经济全球化的直接影响下，公司治理问题开始得到世界范围内的广泛关注，并进而形成了公司治理改革的全球化浪潮。董事会既作为公司内部控制的一个重要工具，同时也是公司内部治理的核心，从安全的角度在股东的权益和代理契约的实现方面提供了制度保障，随着国内外公司治度的变迁，目前已经由“董事会中心主义”取代了以往“股东大会中心主义”的公司内部治度。因此，发挥处于内部治理核心地位的董事会的作用、强化董事会的效能和提高董事会的运作效率已经成为目前亟待完善的公司治理的核心问题。目前国内外相关文献研究往往是从董事会的特征着手，分析其对董事会效能的影响，忽视了董事会团队的内部互动过程。造成的结...

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