组织合法性视角下制度压力对企业社会绩效的影响机制研究
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摘要
改革开放三十年以来,中国在取得巨大经济成就的同时也凸显了“用工歧视、环境污染、质量低劣、缺乏信誉、逃税和贿赂”等社会责任问题。但也有许多企业开始将公司和社会均衡发展确立为自身的发展战略,并注意平衡各方利益、逐步改善和提高公司的社会绩效。在企业社会绩效与企业经济绩效存在目标冲突的背景下,对企业社会绩效影响因素和驱动机制的研究一直是理论界关注的重点。目前战略管理学界主要从企业竞争优势和资源基础观视角对“企业社会绩效与企业财务绩效”的内在关系进行了深入探索,但经过三十年的实证检验,上述问题的研究结论不但没有获得统一,反而显得更加复杂。此外,战略管理学界对于“企业如何面对社会议题、如何进行战略反应”等企业社会责任研究中的核心问题,也缺乏深入的探究。
本研究基于组织社会学的新制度主义研究范式,以组织合法性需求为切入点,试图发掘制度压力对企业社会战略反应和企业社会绩效的内在影响机制和企业社会战略反应的中介机制,并将基于组织身份和组织文化相关研究,探索不同组织文化导向对以上作用机制的调节作用。具体来看,本文将围绕以下几个问题进行深入研究：(])企业履行社会责任是不是广泛存在组织合法性的动机,哪些外部制度压力对企业社会绩效有显著影响；(2)企业在受到外部制度压力时会形成怎样的战略反应,其内在反应过程是什么,制度压力影响企业社会战略反应的作用机理是怎样的；(3)企业社会战略反应对企业社会绩效的影响程度如何,它在制度压力与社会绩效之间充当了什么样的角色；(4)外部制度压力对企业社会绩效的影响机制在不同的企业中有区别吗,组织文化导向是否会对上述作用机制产生影响。
本研究首先通过五家不同行业的企业进行了探索性案例研究,应用案例数据、理论阐述和模型构建三者相互印证的分析思路,探究了企业感知的制度压力、企业社会战略反应和企业社会绩效之间的逻辑关系,提出了外部制度环境对企业社会战略反应和社会绩效都将产生正向影响,而社会战略反应也会正向影响企业社会绩效的理论命题,从而初步论证了本研究构思的合理性。其次,本研究将企业社会责任管理和社会绩效的产生机制放置于制度环境之中,基于新制度理论、战略规划理论以及组织文化导向的相关研究成果,通过文献展开和分层解析,对探索式案例得出的研究命题进行了更深入的理论诠释,一定程度上揭示了组织合法性视角下“制度压力-社会战略反应-社会绩效”以及“组织文化导向一制度压力与社会绩效关系”两种内在作用机理,构建了本研究的理论模型。再次,本研究详细报告了验证理论假设所需问卷的设计过程和主要内容,量表设计依据和测度指标来源,样本选择依据和问卷回收过程,以及主要研究方法,通过结构方程建模、层级回归分析等统计方法对220份有效问卷所获得的数据对15个研究假设进行了规范的实证检验。最后,本研究对文章的主要结论和观点进行了进一步讨论和分析,归纳了本研究的理论意义和管理启示,并在汇报本研究不足的基础上提出进一步研究的方向。
通过上述研究工作,本研究得出了以下结论：(1)企业感知的制度压力对企业的社会战略反应和企业社会绩效都有明显的正向驱动作用；(2)企业感知的制度压力可以区分为规制、规范和认知三种类型,对企业社会战略反应和企业社会绩效的影响显著性和程度各有不同；(3)企业社会战略反应是影响企业社会绩效的重要内在能力,它在不同类型的制度压力和企业社会绩效中承担了不同性质的中介作用；(4)竞争文化导向在外部制度压力和企业社会绩效之间起到了正向调节作用。
总体来看,本研究突破了企业社会绩效影响因素研究中一直努力探究却又无法定论的“企业经济绩效与企业社会绩效”旧有论证思路,实现了以下研究进展：(1)突破了资源基础观视角的研究范式和仅从企业内部出发的原子主义观点,在企业社会绩效与企业竞争优势无一致性结论的背景下提出了新的企业社会责任驱动机制,具有一定的开拓性；(2)凸显了一直被企业社会责任研究者忽视的“企业社会战略反应”过程,从整合社会计划、激励员工参与和评估社会责任三个维度揭示了企业提高社会责任管理能力的内部过程；(3)系统构建并实证检验了“外部制度压力一社会战略反应-企业社会绩效”以及“不同文化导向——制度压力与社会绩效关系”两种分析模型,实现了制度和战略在社会责任影响因素中的融合分析,也为权变地分析外部环境和企业社会绩效的关系提供了相对新颖的研究思路。
Since the reform and opening up three decades, a lot of social issues have emerged although the great economic achievements, such as "employment discrimination, environmental pollution, poor quality, and tax evasion and bribery". On the other hand, many companies have begun to establish balanced development strategies of enterprises and society. They begin to balance the interests of the public and themselves and improve the corporate social performance. In the context of the objects conflict which exists between the corporate social performance and the corporate financial performance, the questions of the influencing factors and driving mechanism of the corporate social performance have become the focus by the management scholars. Strategic management scholars now mainly focused on the relationship between the corporate social performance and the corporate financial performance under the perspective of the enterprise competitive advantage or the Resource-based View. But after three decades of empirical tests, the conclusion has not been given uniform but is more complicated. Meanwhile, the key questions that "how do the enterprises face social issues and what strategies do the response to the institutional pressures" are also needed in-depth research in the corporate social responsibility research literatures.
Based on the neo-institutional paradigm of the organizational Sociology, this thesis takes the organizational legitimacy needs as the entry point and attempts to explore the internal mechanism of the influences of the external institutional pressures on the corporate social strategic response and the corporate social performance and the mediate effects of the corporate social strategic response. Besides, based on the organizational identity theory and the research results of organizational culture, this study will research on the moderator effects of the different organizational culture orientations on the relationships above-mentioned. Specific point of view, this article will focus on the following issues step by step:(1) Whether the legitimacy needs are the key motivations to push enterprises to fulfill their social responsibilities in China, and what external institutional pressures played significant impacts on the corporate social performance? (2) What social strategic response will the enterprises from when faced the external institutional pressure? What is its intrinsic reaction process and what is the internal mechanism of the impacts of the institutional pressures on the corporate social strategic response? (3) To what extent does the corporate social strategic response influence the corporate social performance, and what roles does it take between the institutional pressures and the social performance? (4) Will the impacts of the external institutional pressures on the corporate social performance be different between firms? Will different organizational culture orientations have impacts on the above-mentioned mechanisms?
Firstly, using an exploratory case study method which covers 5 different industries and taking the analysis process of the mutual confirm of the case data, theory and the frame, this thesis explore the relationships between the perceived institutional pressures of the enterprise, the corporate social strategic response and the corporate social performance. The Study demonstrates the rationality of the research design by proposing proposition that the institutional pressures will have a positive effect on both the corporate social strategic response and the corporate social performance and that the corporate social strategic response will have a positive effect on the corporate social performance. Secondly, the thesis places the management of the corporate social responsibility and the generation mechanism of the corporate social performance in the institutional environment. Based on the neo-institutional theory, strategic planning theory and organizational culture orientation research findings, and explore, through the literature review and hierarchical analysis, this study takes more in-depth theoretical interpretation of the propositions derived from the exploratory case studies. This thesis constructs the theoretical model of the study by revealing the internal mechanism of the relationships of the "institutional pressures-corporate social strategic response-corporate social performance" and the "organizational culture orientation-the relationship of the institutional pressures and the corporate social performance". Thirdly, this study provides the details of the questionnaire design process, the main contents of the questionnaire, the design basis of the scale, the source of the indicators, the principle of the sample selection, and the return process of the questionnaires, as well as the major research methods. The thesis does the empirical tests of the 15 research hypothesizes based on the obtained data from 220 effective samples through structural equation modeling, hierarchical regression analysis and other statistical methods. Finally, the study describes the main conclusions of the thesis and does some further discussion and analysis related to the conclusions. After summarizing the theoretical contributions and management implications, the thesis reports the lack of the study and the direction of the further study.
Through the research work above, this study reaches the following conclusions. (1) The enterprise perceived institutional pressures have significant positive influences on the corporate social strategic response and the corporate social performance. (2) The institutional pressures include regulatory pressure, normative pressure and cognitive pressure, and the significance and the extents of the impacts of thesis three pressures on the corporate social strategic response and the corporate social performance are different. (3) The corporate social strategic response has significant influence on the corporate social performance, which plays different types of mediate effects on the relationships of the different institutional pressures and the corporate social performance. (4) The competition cultural orientation plays a positive moderator role between the relationship of the external institutional pressures and the corporate social performance.
Overall, this study goes beyond the old research idea of "corporate economic performance and corporate social performance", which remains mixed conclusions, and achieves the following research progress:(1) The study goes beyond the Resource-based View and the view of atomic doctrine, and proposes the new corporate social responsibility driven mechanism in the context of the fuzzy conclusion of the relationship between the corporate social performance and the corporate competitive advantage. (2) The thesis highlights the "corporate social strategic response" process which has been neglected by the researchers. The author reveals the ways and process of how to improve the management capacity of the corporate social responsibility from three dimensions, which are the integration of the social programs, encourage employee participation and the evaluation of the corporate social performance. (3) The thesis constructs and empirically tests two kinds of analytical ideas of "external institutional pressures-corporate social strategic response-corporate social performance" and " organizational culture orientation-the relationship of the institutional pressures and the corporate social performance" and realizes the integration of the institutions and corporate strategies in the analysis of the factors of the corporate social performance. Also, the study provides some new ideas for contingency understanding of the relationship between the external environments and the corporate social performance.
本研究基于组织社会学的新制度主义研究范式,以组织合法性需求为切入点,试图发掘制度压力对企业社会战略反应和企业社会绩效的内在影响机制和企业社会战略反应的中介机制,并将基于组织身份和组织文化相关研究,探索不同组织文化导向对以上作用机制的调节作用。具体来看,本文将围绕以下几个问题进行深入研究：(])企业履行社会责任是不是广泛存在组织合法性的动机,哪些外部制度压力对企业社会绩效有显著影响；(2)企业在受到外部制度压力时会形成怎样的战略反应,其内在反应过程是什么,制度压力影响企业社会战略反应的作用机理是怎样的；(3)企业社会战略反应对企业社会绩效的影响程度如何,它在制度压力与社会绩效之间充当了什么样的角色；(4)外部制度压力对企业社会绩效的影响机制在不同的企业中有区别吗,组织文化导向是否会对上述作用机制产生影响。
本研究首先通过五家不同行业的企业进行了探索性案例研究,应用案例数据、理论阐述和模型构建三者相互印证的分析思路,探究了企业感知的制度压力、企业社会战略反应和企业社会绩效之间的逻辑关系,提出了外部制度环境对企业社会战略反应和社会绩效都将产生正向影响,而社会战略反应也会正向影响企业社会绩效的理论命题,从而初步论证了本研究构思的合理性。其次,本研究将企业社会责任管理和社会绩效的产生机制放置于制度环境之中,基于新制度理论、战略规划理论以及组织文化导向的相关研究成果,通过文献展开和分层解析,对探索式案例得出的研究命题进行了更深入的理论诠释,一定程度上揭示了组织合法性视角下“制度压力-社会战略反应-社会绩效”以及“组织文化导向一制度压力与社会绩效关系”两种内在作用机理,构建了本研究的理论模型。再次,本研究详细报告了验证理论假设所需问卷的设计过程和主要内容,量表设计依据和测度指标来源,样本选择依据和问卷回收过程,以及主要研究方法,通过结构方程建模、层级回归分析等统计方法对220份有效问卷所获得的数据对15个研究假设进行了规范的实证检验。最后,本研究对文章的主要结论和观点进行了进一步讨论和分析,归纳了本研究的理论意义和管理启示,并在汇报本研究不足的基础上提出进一步研究的方向。
通过上述研究工作,本研究得出了以下结论：(1)企业感知的制度压力对企业的社会战略反应和企业社会绩效都有明显的正向驱动作用；(2)企业感知的制度压力可以区分为规制、规范和认知三种类型,对企业社会战略反应和企业社会绩效的影响显著性和程度各有不同；(3)企业社会战略反应是影响企业社会绩效的重要内在能力,它在不同类型的制度压力和企业社会绩效中承担了不同性质的中介作用；(4)竞争文化导向在外部制度压力和企业社会绩效之间起到了正向调节作用。
总体来看,本研究突破了企业社会绩效影响因素研究中一直努力探究却又无法定论的“企业经济绩效与企业社会绩效”旧有论证思路,实现了以下研究进展：(1)突破了资源基础观视角的研究范式和仅从企业内部出发的原子主义观点,在企业社会绩效与企业竞争优势无一致性结论的背景下提出了新的企业社会责任驱动机制,具有一定的开拓性；(2)凸显了一直被企业社会责任研究者忽视的“企业社会战略反应”过程,从整合社会计划、激励员工参与和评估社会责任三个维度揭示了企业提高社会责任管理能力的内部过程；(3)系统构建并实证检验了“外部制度压力一社会战略反应-企业社会绩效”以及“不同文化导向——制度压力与社会绩效关系”两种分析模型,实现了制度和战略在社会责任影响因素中的融合分析,也为权变地分析外部环境和企业社会绩效的关系提供了相对新颖的研究思路。
Since the reform and opening up three decades, a lot of social issues have emerged although the great economic achievements, such as "employment discrimination, environmental pollution, poor quality, and tax evasion and bribery". On the other hand, many companies have begun to establish balanced development strategies of enterprises and society. They begin to balance the interests of the public and themselves and improve the corporate social performance. In the context of the objects conflict which exists between the corporate social performance and the corporate financial performance, the questions of the influencing factors and driving mechanism of the corporate social performance have become the focus by the management scholars. Strategic management scholars now mainly focused on the relationship between the corporate social performance and the corporate financial performance under the perspective of the enterprise competitive advantage or the Resource-based View. But after three decades of empirical tests, the conclusion has not been given uniform but is more complicated. Meanwhile, the key questions that "how do the enterprises face social issues and what strategies do the response to the institutional pressures" are also needed in-depth research in the corporate social responsibility research literatures.
Based on the neo-institutional paradigm of the organizational Sociology, this thesis takes the organizational legitimacy needs as the entry point and attempts to explore the internal mechanism of the influences of the external institutional pressures on the corporate social strategic response and the corporate social performance and the mediate effects of the corporate social strategic response. Besides, based on the organizational identity theory and the research results of organizational culture, this study will research on the moderator effects of the different organizational culture orientations on the relationships above-mentioned. Specific point of view, this article will focus on the following issues step by step:(1) Whether the legitimacy needs are the key motivations to push enterprises to fulfill their social responsibilities in China, and what external institutional pressures played significant impacts on the corporate social performance? (2) What social strategic response will the enterprises from when faced the external institutional pressure? What is its intrinsic reaction process and what is the internal mechanism of the impacts of the institutional pressures on the corporate social strategic response? (3) To what extent does the corporate social strategic response influence the corporate social performance, and what roles does it take between the institutional pressures and the social performance? (4) Will the impacts of the external institutional pressures on the corporate social performance be different between firms? Will different organizational culture orientations have impacts on the above-mentioned mechanisms?
Firstly, using an exploratory case study method which covers 5 different industries and taking the analysis process of the mutual confirm of the case data, theory and the frame, this thesis explore the relationships between the perceived institutional pressures of the enterprise, the corporate social strategic response and the corporate social performance. The Study demonstrates the rationality of the research design by proposing proposition that the institutional pressures will have a positive effect on both the corporate social strategic response and the corporate social performance and that the corporate social strategic response will have a positive effect on the corporate social performance. Secondly, the thesis places the management of the corporate social responsibility and the generation mechanism of the corporate social performance in the institutional environment. Based on the neo-institutional theory, strategic planning theory and organizational culture orientation research findings, and explore, through the literature review and hierarchical analysis, this study takes more in-depth theoretical interpretation of the propositions derived from the exploratory case studies. This thesis constructs the theoretical model of the study by revealing the internal mechanism of the relationships of the "institutional pressures-corporate social strategic response-corporate social performance" and the "organizational culture orientation-the relationship of the institutional pressures and the corporate social performance". Thirdly, this study provides the details of the questionnaire design process, the main contents of the questionnaire, the design basis of the scale, the source of the indicators, the principle of the sample selection, and the return process of the questionnaires, as well as the major research methods. The thesis does the empirical tests of the 15 research hypothesizes based on the obtained data from 220 effective samples through structural equation modeling, hierarchical regression analysis and other statistical methods. Finally, the study describes the main conclusions of the thesis and does some further discussion and analysis related to the conclusions. After summarizing the theoretical contributions and management implications, the thesis reports the lack of the study and the direction of the further study.
Through the research work above, this study reaches the following conclusions. (1) The enterprise perceived institutional pressures have significant positive influences on the corporate social strategic response and the corporate social performance. (2) The institutional pressures include regulatory pressure, normative pressure and cognitive pressure, and the significance and the extents of the impacts of thesis three pressures on the corporate social strategic response and the corporate social performance are different. (3) The corporate social strategic response has significant influence on the corporate social performance, which plays different types of mediate effects on the relationships of the different institutional pressures and the corporate social performance. (4) The competition cultural orientation plays a positive moderator role between the relationship of the external institutional pressures and the corporate social performance.
Overall, this study goes beyond the old research idea of "corporate economic performance and corporate social performance", which remains mixed conclusions, and achieves the following research progress:(1) The study goes beyond the Resource-based View and the view of atomic doctrine, and proposes the new corporate social responsibility driven mechanism in the context of the fuzzy conclusion of the relationship between the corporate social performance and the corporate competitive advantage. (2) The thesis highlights the "corporate social strategic response" process which has been neglected by the researchers. The author reveals the ways and process of how to improve the management capacity of the corporate social responsibility from three dimensions, which are the integration of the social programs, encourage employee participation and the evaluation of the corporate social performance. (3) The thesis constructs and empirically tests two kinds of analytical ideas of "external institutional pressures-corporate social strategic response-corporate social performance" and " organizational culture orientation-the relationship of the institutional pressures and the corporate social performance" and realizes the integration of the institutions and corporate strategies in the analysis of the factors of the corporate social performance. Also, the study provides some new ideas for contingency understanding of the relationship between the external environments and the corporate social performance.
引文
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