【作者】 郑文智；

【导师】 林峰；

【作者基本信息】 华侨大学 ， 企业管理， 2011， 博士

【摘要】 社会对企业的期望在不断攀升,企业承担社会责任己经发展成为国际潮流。特别是企业对员工的社会责任,国际社会予以了高度的重视,如与之相关的SA8000,ISO26000等逐步出台,跨国公司迅速响应并得以推广执行。随着“用工荒”的普遍性与人口红利的逐步丧失,我国社会与企业也开始重视员工关系管理,如《劳动合同法》的出台与执行,民营企业人力资源管理开始走上制度化与规范化的道路。在此背景下,与员工相关的责任管理问题,受关注的范围、层次与强度快速升级,如何合理分配与解决企业与社会所应当承担的员工责任问题,民营企业又应如何管理相关责任,成为迫切需要深入研究的理论问题。然而,股东与其他相关者的利益冲突也日益凸显,各利益主体的期望的相关性低,“责任”与“责任”之间往往不相容的。例如,国内外对劳资关系的研究与实践存在较大的争议,相关学科间的理论基础与立场不一,缺乏统一有效的解决机制。近年来,有学者基于企业社会责任(CSR)与利益相关者理论,开始从综合的角度研究劳资之间的关系,提出了基于员工视角的企业社会责任理论。已有研究大致可分为三类:规范性研究、实证性研究和对策性研。对这一议题所涉及的相关术语较多,有“企业员工社会责任”;“基于员工视角的企业社会责任”等10多种,众多的术语不但不统一,还易于产生误解。在回顾相关理论的基础上,本文首先提出“雇主社会责任”一词,试图厘清目前理论上的术语混乱。它指的是企业作为雇主,应当对其最重要的内部利益相关者——员工承担相应的社会责任,其核心是要兼顾员工与企业的利益诉求。它超越法律层次的雇主责任,还包括道德与伦理等责任,它要求企业基于员工需求,实施人本管理,以实现员工权益、员工成长以及企业利益的共同发展。如何实现共同发展的目标?需要解决的具体问题有:基于员工权益与成长的需求有哪些?不同发展阶段的民营企业应当如何满足员工的各种需求,承担哪些责任,承担这些责任与员工行为、员工态度以及组织绩效间的关系如何,怎样管理?本文结合理论研究与实证研究的方法,试图回答上述问题。主要研究工作有:(1)以企业社会责任为基础,综合人力资源管理(HRM)与劳动关系(IR)等学科关于企业与社会对员工的责任进行分析,提出具体的理论分析框架。借助于2007全球金融危机以来宏观数据,分析了国有企业相对于民营企业在金融危机期间的优异绩效表现中的员工关系管理因素。借鉴国有企业员工关系管理的经验,结合系统管理理论与战略社会责任理论,提出民营企业获得责任竞争力的路径与策略。即全文的理论分析框架:民营企业与外部的社区环境实现良性互动(被动责任),积极地履行内部利益相关者责任(主动责任),只有建立在此二者基础上竞争力,企业才能更好地承担中间责任(包括消费者、外部资本与人才等其他利益相关者的责任),以吸引中间流动性要素的流入,实现良性循环的可持续竞争优势。(2)通过相对科学的方法探索相关测量量表,借助于实地访谈和网络问卷调查等方式,以获取了较为翔实的实证资料。以全国范围内28省的110个市县的1145名民营企业员工为研究对象,进行了8个多月的实地调研。由于缺乏基于CSR的现行的、能够兼顾HR与IR的指标体系与员工需求量表可供参考。本文首先要编制测量量表,对1家企业的HR管理人员与员工、6所高校的9名专业研究人员进行了深度访谈,通过专家评定,设计了初步的调研问卷。其次,再进行了两轮问卷设计和调查,其中问卷A的有效问卷89份,问卷B有效问卷754份。A问卷是借助员工认知、提取主因子、所设计的影响因素——责任行为——影响结果的综合初始量表,B问卷是用于大规模调研并验证量表的信度与效度,构建结构方程的最终问卷。这些都为本研究的实证分析提供了翔实的一手资料。(3)运用结构方程模型等分析雇主社会责任的逻辑特征。结合理论框架与经验数据,本文运用因子分析、结构方程模型、博弈论等对雇主社会责任进行综合分析,得出以下主要结论:第一、雇主社会责任行为与组织绩效间的关系说明,民营企业承担雇主社会责任应当基于生命周期。对于民营中小企业,她们大部分处于生命周期的初始阶段或成长阶段,应当把组织竞争力作为第一目标。解决“用工荒”等人才不足问题,可以通过满足员工的成就需要与基本保障需要,运用“待遇留人”与“环境留人”,以及在此基础上的“事业留人”等策略。对于民营大中型企业,她们大都处于生命周期的成熟阶段。承担雇主社会责任,以保障企业可持续发展的长期竞争力,应当兼顾员工KSA、组织气氛与组织竞争力等目标。大中型民营企业不但要满足员工的基本保障需要与成就需要,还应当重视员工的家庭需要与公平公正等需要。这结论也检验了我国民营企业员工的需要层次。第二、雇主社会责任在影响因素与组织绩效间的中介现象,印证了今天中国民营企业喜欢承担高层次责任的现实。从总体上看,作为中介变量,雇主社会责任在前因变量与结果变量间的中介作用不明显。特别在目前比较盛行结果(目标)导向管理的企业中,民营企业是否承担雇主社会责任,主要取决于企业的竞争力等结果变量。而存在的唯一有效的中介效应是承担社会公平公正责任有利于改善组织气氛,换句话说,为了改善组织的气氛,民营企业可以通过承担公正与公平的责任来实现。这解释了组织气氛不良的中国民营企业为什么喜欢做慈善事业、捐款、招聘弱势个体,善待被歧视的群体,并加以宣传与推广的现象。因为,在没有把雇主社会责任融入企业经营环节的观念、没有对组织内部员工承担基本的保障责任的时候,承担公正责任在短期内能快速提升员工对组织的认可,实现改善组织气氛的功效。第三、基于和谐员工关系管理的雇主社会责任管理目标、要借鉴多元理论的不同结论。员工关系管理相关的理论研究主要集中于HRM与东方管理理论两方面。但对于绝大部分民营中小企业来说,往往都只做了一些简化的工作,容易陷入管理误区。强调HRM却只注重招聘与薪酬考核等制度化管理,导致过于强调企业的规章制度、扼杀了文化的兼容性、挫伤了员工的积极性;强调传统文化管理却只关注“人际关系”对企业表层现象的影响,把员工关系管理工作等同于凭人际经验与技巧等,处理人际关系,就事论事,致使传统文化的放射功能不强,员工价值观混乱。本文的经验数据也论证了通过组织内关系策略对组织气氛与组织竞争力没有直接的影响作用。因此,科学有效的员工关系管理应当是HRM与传统文化在企业管理过程中的一定程度(基于情境)的结合。第四、和谐的企业员工关系建设不仅取决于劳资双方及其行为选择,也需要外部相关机制的完善。雇主社会责任的国内实现有待于企业HR部门的能力与付出。但现有民营企业内部治理机制更多地只能解决或满足员工成就需要与基本保障需要责任。而对于大部分民营企业,只有提升了竞争力,或把组织目标定位于组织气氛时,才会关注家庭需要与组织的公平与公正需要的责任。这对于中国大部分民营企业是很难实现的,要满足员工的家庭需要与公正需要责任,要借助于外部治理机制来共同实现。而企业的经济利益才是使企业承担社会责任的根本动因,应当通过建立社会保障体制,配合外部的法律机制与市场机制加强对组织公平与公正责任的承担;引导与建设员工的社会良性网络,推动企业建立支持型的组织文化,实现员工的家庭与工作平衡。论文的创新点主要集中在以下几个方面:(1)提出“雇主社会责任”概念,构建了责任竞争力的分析框架。民营企业通过承担相应的雇主社会责任,其竞争力将得到极大的提升。企业责任与竞争力之间不止是加法的关系,而将是几何级数的关系,未来企业的竞争力必将来源于社会责任,特别是对员工的社会责任。我国企业特别是民营企业在承担社会责任方面具有较大的盲目性与非理性。首先,没有分清企业所应承担的最紧迫的责任是什么,对于不同的责任,有些是主动的,如经济责任等,有些是被动的,如法律责任等,由于企业缺乏战略规划与理性分析,导致相关责任都变成了被动责任。其次,企业缺乏合适的责任标准,往往盲目套搬外部的现成指标,如SA8000,员工满意度等,相关的指标有些是被动的,也有是主动的。如何区分与整合,并制定与企业实际相关的指标体系与管理策略,成为本文的重点与创新点。(2)基于员工需求的全国范围内的实地调研,把研究落到实处。已有研究更多的是一种规范研究,缺乏系统实证分析使责任管理策略失去了必要的研究基础。本文通过对全国范围内民营企业员工的调查,在了解员工需求的基础上,分析影响员工行为与组织绩效的责任因素,设计相应的管理策略与机制。(3)提炼出雇主社会责任的四大因子,做出了组织内关系需要责任是一个结果变量的判断。通过经济数据所获得的基于员工认知的雇主社会责任包含五大因子,即满足员工的基本保障、成就需要、家庭与工作平衡需要、公平公正的需要以及组织内关系需要的责任。结构方程模型显示,前四个因素对组织绩效关系显著,组织内关系因子与组织绩效变量的关系不显著。本文因此认为要提升组织绩效,需要改善组织气氛,但不应该把改善关系当作一种雇主责任策略行为,从而否定了许多民营企业的类似的关系管理行为(把结果变量当作行为变量)。雇主无法通过处理好组织内关系去改善组织气氛,也没有必要为了关系融洽而特意去处理好组织内相关关系,雇主承担了员工的四大社会责任,是最好的组织内关系策略,能实现组织气氛的融洽。更多还原

【Abstract】 The expectations of Society for enterprise are rising, and corporate social responsibility(CSR) has become an international trend. The international communities pay much attention to CSR especially for employee. Some rules such as ISO26000 and SA8000 are established and multinationals response quickly and promote the implementation. With the shortage of labor and losing of demographic dividend, Chinese society and enterprises also pay great attentions to employee relations management. Labor contract law is established and implemented. Private enterprise HRM is institutionalized and standardized gradually. Such being the case, the work related to employee responsibility management is receiving attention of broader scope, higher level, and more intensity than ever before. How to distribute and solve the employees responsibility between society and enterprise, how to management relevant responsibility of private enterprise, become an urgent theory problem for further studying.However, the interest conflict between shareholder and other stockholders is also growing, and the relevance of the various interests is insignificant, which lead to a mutual exclusion among many responsibilities. For example, there is much disputation for researches and practices on relations between employee and employer, is no uniform theoretical basis and standpoint among the related subjects, which lead to be lack of unity and effective resolve mechanism.Many scholars have begun to study labor relations based on CSR and stakeholder theories comprehensively in recent years. They bring forward CSR theory on the perspective of employee. On the whole, the existed researches can be classified into three categories. They are normal, descriptive/empirical, and strategic. There are many terms on the same subject such as corporate employee social responsibility, CSR based on employee perspective, and other ten more, which is uniform and liable to misunderstand. Learning from the theory of CSR, the paper put forward a new term—Employer Social Responsibility(ESR) firstly, to clarified the terms of the malfunction. That is as an employer, corporate should be responsible for its most important inner stakeholders—employee. The key of the ESR is to take into account the interests of employee and enterprise. ESR is beyond the employer law responsibilities, including moral and ethical responsibility etc. ESR is based on employee needs, carry out humanism management to achieve employee rights, which can realize a synergy development of employee right and business interests.We need to be sure of following questions to realize the synergy development object. What is the employee needs based on their rights and development? How to satisfy the employee and what responsibility should be taken by different stages private enterprise? How about relationships among ESR and employee behaviors and attitudes and enterprise performance? How to management the responsibility? The paper tries to answer questions above integrating normative and empirical analysis process. The following three parts are the main work of the paper.(1)The paper bring forward framework theory by integrating HRM and IR analysis of social and employer social responsibility based on CSR. Based on macro-data of 2007 global financial crisis, the paper analysis the employee relations management factors of state-owned enterprises better performance than private enterprise during financial crisis. Learning from state-owned enterprises employee management experience, and the system management theory and strategic CSR theory, the paper put forward an analysis framework. That is private enterprise should undertake the inner-active responsibility to strengthen outer-medium responsibility ability, in order to get outer-medium factors inflow, to get the mechanism and path ofresponsible competitiveness and sustainable development. (2) Getting a questionnaire by scientific method, obtaining adequate data by depth interviews and questionnaires.We do an 8 months on-site investigation about 1145 private enterprise employees from 110 towns in 28 provinces national wide. Because of lack of present employee questionnaires based on CSR which can integrate HR and IR, the paper must make a questionnaire firstly. A HR director and many employees of 1 private enterprise, and 9 scholars form 6 universities were investigated. We design a preliminary questionnaires by experts assesses. Second, another two rounds of questionnaire were designed. A questionnaire got 89 valid questionnaires by network. B questionnaire got 754 valid questionnaires by network and on spot. A questionnaire is an initial survey extracted from employee feeling, including the main factor were designed about the responsibility behaviors, and the link among influencing factor and ESR its results. B questionnaire is the final questionnaire to large scale investigation, to test the reliability and validity, to construct SEM. So we also test need-hierarchy theory of Chinese private enterprise employee.(3) Revealing the logic characteristics of ESR by empirical analysis. Based on normative analysis and experience data,the paper uses Factor Analysis, SEM,Game Theory to analyze ESR. Main conclusions are as follows.First, the link between ESR and organizations performance indicates that private enterprise ESR behaviors should base on the life cycle. For private SME, most of them are in their initial stage of life cycle, should take organization competitiveness into account firstly. Employee achievement and basic needs should be met to attract labor talent by adopted treatment and environment and career strategy. For private large and medium-sized enterprises, most of them are in their mature stage of life cycle, should take employee KSA and corporate atmosphere and organization competitive into account. Not only Employee achievement and basic needs, but their work-family balance and fair and equity should be met to achieve sustainable development.Second, the ESR mediation effect between influencing factors and organization performance confirmed that private enterprise preferred to take higher level responsibility. As a mediation variable, ESR is un-notable. Especially in those private enterprises take result as their management oriented. Whether they undertake ESR or not depends on the result variable such as competitiveness. The only notable effect can be found in fair & equity responsibility and corporate atmosphere. In other words, private enterprise can undertake fair & equity responsibility to improve corporate atmosphere. It can explain why some private enterprises prefer to do some charity, contributions, recruit some vulnerable individuals and be kind to discriminated groups when their atmosphere are strained. Because undertaking fair & equity responsibility can improve employee approval for organization and improve its atmosphere as well in short term, when private enterprise don’t undertake employee basic responsibility and can’t integrate ESR into its daily management.Third, the aim of ESR management is to get harmonious relations between employer and employee, which should be learning from multiple theories and their different conclusions. The main employment relations theory research focused on RHM and oriental management. But for most of the private SME, they have done some simple work and often fall into management astray. Those emphasized on HRM, who only pay attention to institutional management of recruitment and compensation assessment. Too much institution must weaken culture compatibility and employee enthusiasm. Those emphasized on oriental management, who only pay attention to traditional culture function to enterprise management. They often take employee management as ties management by means of personal experience and skills, which weaken the functions of traditional culture and employee values. The experience data has test that intraorganizational relationship management has no direct impact on corporate atmosphere and competitive. Consequently, the effective management of employment relations should integrate HRM with traditional culture based on contextual. Fourth, Harmonious employment relationship depends on not only the behavior of employee and employer, but also external social mechanism. The implementation of ESR is up for HR ability and contribution. However, the internal governance mechanisms of most private enterprise can only meet employees’achievement and basic needs. For most of private enterprise, they could meet employees’family and fair & equity needs, when they competitiveness had been promoted, or when they set their goal at corporate atmosphere. It is inconsequent nowadays. To meet employees’family and fair & equity needs need external mechanisms. However, the economic benefit is the fundamental reason for enterprise to undertake responsibility. Social security system must be established, which works together with legal system and market mechanism to promote the enterprise to undertake fair & equity responsibility ; social networks should be led and constructed, which works together with supportive enterprises culture to realize employees’work-family balance.The innovation and unique points are shown below:(1) Putting forward the concept of ESR and constructing a responsible competitive analysis framework. Private enterprise competitiveness should be promoted sharply by undertaking corresponding ESR. The link between responsibility and competitive is more than an addition. It will be a geometric progression. Competitiveness should be derived from CSR especial ESR in the future.Undertaking ESR of Chinese enterprises particularly in private enterprise is blindness and irrational. Firstly, there is no idea about what responsibility is the most urgent. There are many responsibility for the enterprise, some of them are active, such as the economic responsibilities, the other are passive, such as the legal responsibilities. Lack of strategic and intellectual analysis would turn active responsibility to into passive responsibility.Secondly, private enterprise has to copy external index mechanically because of the lack of suitable responsibility performance index such as sa8000 and employee satisfaction. Some of the relevant indexes are passive, the other are active. How to integrate the responsibility and indexes system and to make management strategies is become the focus and innovation of the paper. (2) A nationwide on-spot investigation based on individual needs makes the research more concrete. Much of the present research is normal. Lack of systematically empirical research makes the responsibility management more abstract. Based on private enterprises workplace survey across the country, the paper studies Chinese private enterprises’best responsibility practices of workplace and employment relations management strategies based on employee needs.(3) Making four factors as the ESR abstract, and taking intraorganizational relationship as an outcome variable. The experience data based on employee perception suggests that ESR should have 5 factors, that is meeting employee basic security, achievements, the word-family balanced, fair & equity and intraorganizational relationship needs responsibilities. The structure equation model (SEM) shows that the link between first four factors and corporate performance is notable, while the intraorganizational relationship and corporate performance is not notable. Therefore we suggest that promotion organizations performance should improve organization atmosphere. But we won’t take it as an responsibility behavior, and denied the similar relationship management behavior in many private enterprise. Neither need for employer to handle intraorganizational relationship to improve atmosphere, nor they can do it. To undertake four social responsibilities is the best intraorganizational relationship strategy, which can realize harmonious organization atmosphere.更多还原