【作者】 范闾翮；

【导师】 熊伟；

【作者基本信息】 浙江大学 ， 企业管理， 2013， 博士

【摘要】 近年来,我国频繁出现质量失信问题,影响经济社会稳定健康发展。国家、学界、信用评级机构积极进行质量信用评价,推出质量信用评价方案,帮助公众识别企业质量信用状况,同时激励企业自律。然而,质量信用的基础理论内涵相对匮乏。如果不能令人满意的解析质量信用概念的内涵及影响因素,而直接开展实际评价工作,所得结果可能存在一定的风险性。因此,有必要首先对质量信用概念进行深入的理论探析,以更好的支撑实际评价工作。本文围绕这一问题展开研究,分为质量信用理论含义释义(子研究一)、质量信用影响因素(子研究二)等研究。在子研究二中,以表征组织道德的组织伦理氛围(Business Ethical Climate)以及表征组织质量管理能力的质量管理实践活动(Quality Management Practices, QMP)为自变量,建立“道德——信用”、“能力——信用”的路径时,发现伦理氛围对质量管理的实施存在潜在影响效应,继而进行论证,构成子研究三。子研究一致力于解决质量信用定义、组成维度等。首先针对当前研究不加区分的使用质量诚信、质量信誉、质量声誉等相似概念、甚至一份研究中同时出现质量信用与质量诚信的现象,在比较中西方信用与诚信思想发展脉络、两者内涵的异同、各自所属研究领域、研究范式和方法以及与组织理论相结合的研究后发现,信用概念与契约紧密相连,涉及多方参与者；诚信概念则表征个体道德品质修养,与他人无关。而组织提供不符合质量要求的产品,未能满足顾客期望或需求,本质上即是对与顾客缔结契约的违背,因此,质量问题更应视为“信用”问题,即质量信用的概念比“质量诚信”的更具有理论的合理性。结合经济学中的契约理论,我们提出质量信用的内涵：“对质量契约的遵守”。而后分析多位质量管理大师对质量的经典定义,将质量定位于“符合性”与“服务”层面,进一步将质量契约区分质量社会契约、质量经济契约、质量心理契约三种类型,分别表示企业必须符合社会法律规范要求；履行顾客经济订购合同中有关产品合格、性能、可靠性等方面的要求；满足并超越顾客对于质量心理期望。质量社会契约与质量心理契约属于隐性契约,质量经济契约属于显性契约。由于质量信用是对质量契约的遵守程度,质量信用相应解析成三个维度：质量社会信用、质量经济信用、质量心理信用。而所有三种契约都是不完备的,企业难以完全符合上述契约,因此,不能按照两分法简单评价企业是否具有质量信用,而应从实现水平高低的角度理解质量信用。在理论推导出质量信用的三维结构后,子研究一选择反映型指标,着手开发质量信用测度体系,并对维度进行验证。通过文献回顾、专家咨询以及实际访谈等形式,借鉴扎根理论的编码方法,初步选取21项可测量质量信用的预选指标。而后参照综合评价理论中指标筛选优化的一般原则和方法,通过隶属度分析、相关性分析、鉴别度与因子分析,逐步精简成8项指标三个因子,其中因子一包括“符合规范标准”与“产品安全”,命名为质量社会信用；因子二包括“遵守订购合同”、“质量水平”、“性能表现”,命名为质量经济信用；因子三则包括“响应速度”、“服务态度”、“承担质量责任”,命名为质量心理信用。后续探索性因子分析结果显示出该测验具有较好的结构特征,验证性因子分析结果则显示出良好的区分效度与聚合效度,质量信用的三维结构以及测度体系的合理性得到证实。子研究二致力于寻找质量信用影响因素。尽管已有企业信用研究通过建立回归模型,业已得出很多影响因素,但评价研究范式的出发点与特性决定了所得结论的片面性。相关文献的论述部分暗示出组织道德品质与组织经营能力是影响企业信用风险的关键因素,本文沿循此观点,建立伦理氛围、质量管理、质量信用之间关系的概念模型与假设。通过236份有效问卷的结构方程模型,证实了组织伦理氛围影响质量信用、质量管理影响质量信用的关系。对于伦理氛围而言,关爱型伦理氛围与规则型伦理氛围积极影响质量信用的三维度；工具型氛围消极影响质量经济信用与质量心理信用,但对质量社会信用的影响效应不显著；法律法规性氛围积极影响质量社会信用与质量经济信用,但对质量心理信用的影响效应不显著。对于质量管理实践而言,顾客导向对质量信用的三维度均有显著影响；管理承诺、员工参与、过程管理、供应商管理、持续改进积极影响质量经济信用与质量心理信用,而对质量社会信用的影响不显著。此外,研究表明,竞争程度对以上所有效应均具有正向调节作用。子研究三致力于检验组织伦理是否影响质量管理实践的实施。面对QMP在企业经常遭遇失败的情况,研究人员开始关注企业伦理。他们通过理论分析,大多认为伦理能促进QMP的实施,但这一观点未得到实证支持。我们通过结构方程建模发现,伦理氛围对质量管理实践的实施确有显著影响,但不同维度的路径、方向、强弱不尽相同。所有类型的伦理氛围维度均不会对质量管理的管理承诺维度产生影响；关爱型伦理氛围与规则型伦理氛围积极影响顾客导向、员工参与、过程管理、供应商管理、持续改进等维度；工具型伦理氛围对顾客导向、供应商管理产生消极影响；法律法规型伦理氛围不对任何质量管理维度产生影响。综合三项子研究的结论及多层回归分析,质量管理活动在组织伦理氛围影响质量信用的关系中发挥了部分中介作用,即支持“伦理氛围——质量管理实践——质量信用”的路径,这与制度理论(institutional theory)关于制度通过影响微观事件(microevents)影响宏观结果(macro-outcomes)的观点相吻合。组织伦理氛围作为一种全员共享的对伦理道德的感知(Victor&Cullen,1988),无疑是组织的一种制度力量,通过影响质量管理实践这一微观活动(TQM),影响组织对于社会与顾客的质量信用这一宏观结果。本文是对已有研究的深化与拓展,其意义与创新在于(1)对质量信用概念的理论性做出初步讨论,明确了质量信用的内涵、维度,并开发了测度体系；(2)由于伦理氛围、质量管理实践均对质量信用表现出显著影响效应,确认了“道德品质——信用”、“能力——信用”这一为研究人员所推测但未经过严谨证明的观点；(3)伦理氛围对于质量管理活动与质量信用的显著影响拓展了组织伦理氛围结果(outcomes),拓宽以员工行为或态度为结果变量的传统思路,表明伦理氛围同样会在运作管理层面产生影响,很好的响应了Simba&Cullen(2012)的研究建议;(4)首次以规范严谨的实证研究论证了组织伦理对质量管理实践能产生影响的理论观点。更多还原

【Abstract】 In recent years, the phenomenon of dishonesty in product quality appeared frequently, affecting the healthy and stable development of our society and economy. Under such circumstances, the government, academia, credit rating agencies involve in quality evaluation actively. Such introduction of the quality credit evaluation program does help society to identify the enterprises’ level of quality credit, and plays a role of encouraging enterprises to self-discipline. However, the theory ground of quality credit is paid little attention to. If the connotation of quality credit is not solved satisfactorily and the antecedent factors are not identified, conduct practical evaluation may be risky and the results may not be accurate. Therefore, it is of necessity to deeply analyze the theory of quality credit concept firstly, in order to support the evaluation practices. This paper, aiming at solving such problems, is composed of sub-researches as followings:exploring theoretical implication of quality credit (sub-research1) and identifying influencing factors of quality credit level (sub-research2). In the sub-research2, Business Ethical Climate is taken as a substitution variable of moral character, and Quality Management Practices (QMP) is taken as a substitution variable of quality management capability. We notice that in QMP research domain, ethics is becoming a new potential factor of suceesss of QMP but without empirical verification. Thus, we develop another sub-research3to test such view.Sub-research1aims at solving the definition, connotation and dimensions of quality credit concept. At first, we review and compare main thoughts, development, paradigms, methodologies, approaches, similarities and differences between credit and honesty theory in Western and ancient China and suggest that credit connects with contract and involves several participants, while honesty connects with only individual’s inner moral character and is irrelevant with others. As organizations, the essence of poor quality products is violation of contracts signed between each others. From such perspective, compared to ’quality honesty’, the statement of ’quality credit’ is of more theory rationality. Further, according to contract theory in economics, quality credit can be defined as ’the degree of compliance with quality contract’. After analyzing classic quality definitions made by quality management gurus, this paper chooses ’conformity’ and ’serviceability’ as quality dimensions. Considering the meanings involved, quality contract is then divided into three types: Quality Social Contract, Quality Economical Contract and Quality Psychological Contract. Quality credit can be divided into three forms accordingly:Quality Social Credit (QSCr), Quality Economical Credit (QECr) and Quality Psychological Credit (QPCr), which means the degree that an enterprise complies with social norms, such as laws and codes respectively; the degree that an enterprise complies with ordering contract with customers; the degree that an enterprise complies with psychological contracts with customers, respectively. Through literature reviewing, experts consulting and field interviewing,21reflecting indexes are chosen. Then Membership Analysis, Correlation Analysis, Discriminant Analysis, and Factor Analysis are applied to optimize indexes and8indexes3factors are extracted finally refine. Factor1contains ’conformance to norms and standards’ and ’safety of product’ and is named as QSCr. Factor2contains ’obey ordering contract’,’quality level’,’performance’and is named as QECr. Factor3contains’responding rapid’,’service attitude’’quality responsibility’ and is named as QPCr. EFA shows good structure character, and CFA shows good convergent and discriminant validity.Sub-research2aims at the issue of influencing factors of quality credit. Despite corporate credit researches have drawn a lot of factors through the establishment of various regression models, the starting point and nature of evaluation paradigm determines the one-sidedness of its conclusion. Literatures suggest that credit is mainly influenced by organizational moral characters and capabilities. Along with such argument, concept models and hypothesis between ethical climate, QMP and quality credit are established. Structural equation modeling (SEM) with236valid questionnaires is conduct and outcomes confirm the impact of organizational ethical climate and QMP on credit quality. For ethical climate, caring climate and rules climate positively influence three dimensions of quality credit; instrumental climate negatively influences QECr and QPCr; laws and codes climate positively influence QSCr and QECr. For QMP, customer orientation positively influence three dimensions of quality credit; management commitment, employee involvement, process management, supplier management and continuous improvement positively influence QECr and QPCr, but not appear a significant impact on QSCr. Besides, competition degree positively moderates all the significant relationships above.Sub-research3aims at verifying if organization ethics influences QMP. Empirical outcomes support that influcement dose exist, but specific relationships between different dimensions differ. Neither of four ethical climate types demonstrates a significant impact; caring and rules ethical climate positively influence customer orientation, employee involvement, process management, supplier management, continuous improvement:instrumental ethical climate negatively influence customer orientation and supplier management; while laws and codes ethical climate does not influence any dimension of quality credit.Combing subresearches with multilevel analysis, we conclude that QMP plays the partial mediating role on the relationship between ethical climate and quality credit. Such conlusion comforms with arguments in institutional theory that micro-events influce macro-events through institutions.This paper contributes to existing researches at the following aspects. Firstly, it discusses the theory meaning of quality credit, including the definition, connotation and dimensions and develops valid measurements. Secondly, as both ethical climate and QMP demonstrate significant influence on quality credit, it confirms the arguments of’organization moral character-credit’and’capability-credit’which have not been rigorous verified yet. Thirdly, this research broadens organization ethical climate as it finds out that ethical climate can also influence variables of organization’s operations management besides traditional variables of employee’s attitude or behavior. Lastly, this paper for the first time verifies that organization ethics has significant impact on QMP.更多还原