【作者】 缪悦；

【导师】 曹兴；

【作者基本信息】 中南大学 ， 工商管理， 2012， 博士

【摘要】 企业社会责任问题日益引起理论界及社会各界的关注,在激烈的市场竞争中,商业道德和社会责任已成为企业获取竞争优势、实现可持续发展的关键环节,成熟的企业将企业社会责任与企业战略联系起来,企业社会责任已从过去“商人的社会责任”完全变成了一种战略竞争力资源,并与企业高层决策紧密联系。回顾以往文献,企业高管团队研究的更多关注团队特征相关研究,而企业社会责任研究特别是实证研究成果集中在企业社会责任与企业绩效的关系研究。鉴于此,本文尝试将高管团队理论与企业社会责任相融合,围绕高管团队的社会责任取向、企业社会责任战略选择、战略模式演变阶段特征及企业绩效过程机制等问题,展开了一系列的实证研究。首先通过多重案例比较研究,对四家有代表性的企业进行对比分析,从反映其高管团队社会责任取向及企业社会责任战略特点的关键事件中,总结企业高管团队社会责任企业战略选择过程中多要素系统中的初步规律。研究发现,企业高管团队社会责任取向可以分为经济绩效导向(偏重经济责任和基本法律责任)和社会绩效导向(偏重伦理责任、慈善责任)两种,并通过内部人责任、外部人责任、公共责任等三个方面的具体关键事例,结合企业高管团队社会责任取向,将企业社会责任战略分为消极型、反应型、积极型和主动型四大类。通过多重案例比较研究进一步发现,在高管团队人员特征、社会责任取向、企业社会责任选择、社会责任演变、社会责任表现及企业绩效之间确实存在某种具体的内在联系,从而为后续研究奠定了初步的构思框架。其次提出和验证了高管团队社会责任取向及其社会责任战略选择之间的关系。研究结合相关文献及访谈内容设计了高管团队社会责任取向及企业社会责任战略问卷,对湖南省、北京市、深圳市等地区企业进行取样,在156家企业高管团队的478份有效问卷基础上进行分析。探索性和验证性因素分析结果表明,高管团队社会责任取向包括经济责任取向、法律责任取向及伦理责任取向三个维度；企业社会责任战略导向包含经济绩效导向及社会绩效导向两个维度。结构方程建模结果显示,高管团队社会责任取向对于企业社会责任战略导向的选择作用明显,同时方差分析结果显示,企业高管团队社会责任取向受到个人异质性及企业异质性的影响。通过深度访谈,探讨不同个体特征企业,特别是高绩效企业高管团队在不同生命周期社会责任战略模式演变的规律。访谈结果显示,高绩效企业在不同的生命发展周期中,可能采取不同的社会责任战略模式,即消极应对、积极反应、超前行为及相互影响社会责任战略。访谈结论通过问卷佐证研究得到了进一步的验证,即通过对76家高绩效企业的社会责任战略模式在不同阶段的频次分析,结果显示,企业社会责任战略在企业不同发展阶段存在显著差异。最后提出和验证高管团队社会责任战略选择与企业绩效的过程模型。运用156家企业高管团队的478份有效问卷进行结构方程建模,结果显示高管团队企业社会责任战略选择显著影响企业社会责任表现,但对企业绩效没有直接作用,而是通过企业社会责任表现来对企业绩效产生影响。本文还从政府、社会及企业等三个层面提出了加强中国企业社会责任建设的对策及实施路径。本文主要创新工作如下：(1)首次将高管团队社会责任取向、社会责任战略选择、企业社会表现及企业绩效建立在同一个理论框架体系中,明确了这四者之间的作用关系,验证了企业社会表现的中介作用,在一定程度上突破以往社会责任的研究范畴,丰富了相关理论知识。(2)相对于已有的模型,本文构建了一个与真实系统更加相符的企业社会责任过程传导模型。将企业高管个人特质、企业特质及其外部作用纳入同一模型,并通过实证方法探索企业社会责任取向与战略选择、责任表现及企业绩效之间的内在联系,这可能有助于企业对其承担社会责任的理解提高到一个新的高度,为企业将社会责任纳入企业战略的制定与选择提供了一定的理论参考。(3)突破了现有研究对企业社会责任战略的一般的阶段划分,运用演化思路揭示出高绩效企业社会责任战略模式演变的规律及阶段性特征。更多还原

【Abstract】 The issue of corporate social responsibility has attracted more and more attention of the society and the theoretical circles. In fierce competition of the market, business ethics and social responsibility have become the key link of gaining the enterprise competition advantages and sustainable development. Mature business linked the corporate social responsibility up to the corporate strategic, CSR has already changed from the past" businessman social responsibility " into a fully competitive resources strategy, and with the enterprise decision-making closely. Review the previous literature, the study of top management team paid more attention to team characteristics research, while corporate social responsibility research especially the empirical researches focused on the relation of corporate social responsibility and corporate performance. In view of this, this paper attempted to integrate the theory of top management team into CSR, on a variety of issues such as social responsibility orientation of top management team, corporate social responsibility strategy choice, the stage characteristics of strategy mode evolution, and the process mechanism of corporate performance, and etc, launched a series of empirical researches.First, we used multi-cases of four typical enterprises to comparatively analyze the key incidents reflecting TMT CSR orientation and CSR strategy characteristics, concluded the basic rules in the multi-factors system of TMT CSR strategy choice. Based on the literatures and interviews, TMT orientation of CSR could be divided into economic performance guide (regard the economic responsibility and legal liability) and Social performance guide(regard the ethics responsibility and philanthropy responsibility), And through key examples of three specific aspects internal liability, external liability, public liability, combined TMT orientation of CSR, divided Corporate social responsibility strategy into four types:passive, reactive, positive and active. Through multiple case comparison research, we further discoveried that there was some specific relation existed in TMT characteristic, TMT CSR orientation, social responsibility of the enterprise choice, social responsibility strategy evolution, corporate social performance and enterprise performance. Above-mentioned results established a preparatory construct framework for following studies.Secondly, we put forward and validated the relationship between TMT CSR orientation and enterprise CSR strategy choice. Based on literatures and interviews, TMT CSR orientation and enterprise CSR strategy questionnaires were developed, and delivered to enterprises in Hunan Province, Beijing City and Shenzhen City, exploratory factor analysis and confirmatory factor analysis of478valid questionnaires in156TMT orientation of CSR had three dimensions including economic responsibility dimension, legal liability dimension and ethics dimension, CSR strategy had two dimension including economic performance-oriented and social performance-oriented two dimension. The result of structural equation model revealed that TMT orientation of CSR had significant affection on the choice,of enterprise CSR strategy. Meanwhile, ANOVA showed that TMT CSR orientation had significant affected by the TMT individual heterogeneity and enterprise heterogeneity.Through in depth interview, explored the enterprises especially for high performance enterprises CSR strategy pattern evolution rule which had different individual characteristics in different life cycle. Interviews revealed that high performance enterprises in different life cycle, maybe adopt different social responsibility strategy mode:negative response CSR strategy, positive reaction CSR strategy, leading behavior CSR strategy, interact CSR strategy. The interview result were further verified through questionnaire interviews corroborative studies through frequency analysis on76high performance enterprises’ CSR strategy in different stages, the results displayed that the enterprises at different stages of development adopted significant differences CSR strategy.Last, we put forward and validated the process model which reflected corporate TMT CSR strategy choice and enterprise performance by EQS model based on478valid questionnaires in156TMT. The results showed that TMT CSR choice had significant affect on corporate social performance, but had no direct effect on enterprises performance., its effect was through CSR to corporate performance completed.This paper also put forward the countermeasure and implementation path which could strengthen the construction of Chinese enterprise social responsibility from the goverment, NGO and enterpise three dimension.The creative points of this paper are as follows:(1) We put enterprises TMT CSR orientation, TMT CSR strategy choice, corporate social performance, enterprises performance on the same theoretical framework system for the first time, cleared their relations, verified the mediating effect of which corporate social performance had played, broke the previous social responsibility research, enriched the theory of knowledge.(2) Compared with the existing model, this paper constructed a corporate social responsibility process conduction model which was more consistent with real system, we put TMT’s personal traits, enterprise characteristics, external functions into the same model, and searched for the path factors which TMT CSR orientation influencing the enterprises performance by empirical method, revealed the internal contact among TMT CSR orientation TMT CSR strategy choice and enterprise performance, this may contribute to the enterprises on their social responsibility understanding to a new height, help enterprises to include social responsibility in their business strategy formulation and selection.(3) Break through the general division of corporate social responsibility strategy, this paper revealed high performance corporate social responsibility strategy pattern evolution law and phase characteristics by evolution of ideas.更多还原