【作者】 寇跃；

【导师】 贾志永；

【作者基本信息】 西南交通大学 ， 企业管理， 2013， 博士

【摘要】 组织行为学与人力资源管理领域著名学者Guest (2011)指出,过去20年中所涌现出的人力资源管理文献源源不断地证实了HRM与组织绩效之间存在正相关性。然而,二者之间“为什么会存在正相关的关系以及这种正相关的关系是如何产生的?”一直是悬而未解的理论问题。他指出,就这一领域最新理论研究进展而言,目前进入了一个可以称之为“不断增加的复杂性”(growing sophistication and complexity)研究阶段。不断增加的复杂性促使HRM理论研究沿着两个方向拓展延伸：第一,在什么条件下,HRM会对组织绩效产生正相关性的影响?第二,HRM促进组织绩效改善的作用过程是什么?前一方向关注的理论焦点集中在了组织情境对HRM与组织绩效之间关系的影响上,后一方向则形成了HRM的多层理论。Colbert (2004)的复杂资源基础观(RBV)阐述了基于HR准则、HR政策、HR活动以及HR活动输出结果四个层级的HR体系构架(Architecture)与特定的组织情境之间因循着内在一致的逻辑联系。Wright与Nishii (2010)的战略人力资源管理(SHRM)多层理论模型则从组织行为内在一致性的视角提出：HRM对组织绩效的作用过程是一个从组织层面的常规惯例到员工个体层面的认知程式,认知程式带来“协同性”的员工行为,并由此“跃”回到组织层面HR绩效结果的转化过程。复杂RBV关于“HR体系构架与组织情境之间内在一致性的逻辑联系”以及多层理论模型“基于组织行为内在一致性的多层因果关系逻辑推理”构成本文两个维度的逻辑推理主线(图1-1)。在此基础上,本文构建了一个多层体系构架模型,实现了两条逻辑主线的统一,阐述了异质性、高绩效与协同性并举的员工战略行为开发原理,进而对SHRM的“黑箱”作用机理给出了一个基于完整多层因果关系链的整体性阐释(图3-14)。具体而言,本文研究进行了如下三个方面的理论拓展：(1)提出规划性HR活动通过与组织路径依赖和差异化的社会情境契合,能够输出“基于组织与员工共赢发展理念的组织社会规范”；通过与组织路径依赖和差异化的任务情境契合,能够输出“基于职位胜任的可观测、可衡量的高绩效组织行为规范”。社会规范与行为规范共同构成组织层面的HR行为准则(principles),他们是组织整个HR管理工作的行动指南。以此为依据,组织能够进一步编制形成涵盖HR战略目标、理念方针与政策体系(policies)等具有内在一致性的HR战略规划,为组织实现战略目标提供前瞻性的HR保障。(2)提出实务性HR活动通过与写在HR战略规划中的目标、理念、方针、政策的纵向(外部)契合,能够以制度化的方式将各项HR政策转化为可实施的HRM制度；基于组织职业生涯管理(OCM)平台设计及其标准融合与激励相融机制,组织能够实现各项实务性HRM制度的系统化内部契合,进而培育引导每一位员工个体形成角色匹配、发展相融与理念一致的认知程式以及相应的异质性、高绩效与协同性并举的现实性员工战略行为。(3)除上述两方面所进行的理论拓展外,本文还在组织层面的HR行为准则与员工个体层面的认知程式之间嵌入了基于知识课程体系(组织显性知识载体)与内训师资队伍(组织隐性知识载体)“双知识”组合的可习得、可传授知识规范,改进了原有多层理论模型中组织常规惯例向员工认知程式直接转化面临的理论抽象性高与现实可实施性低的不足。通过上述三方面的理论拓展,本文不仅从HR体系构架内在一致性的视角阐释了组织HR行为准则、HR政策体系以及实务性HRM制度系统的由来以及三个HR系统层级与特定的组织情境之间的内在逻辑联系；而且从组织行为内在一致性的视角对SHRM“黑箱”作用过程给出了一个从组织层面HR行为准则到“双知识”组合的知识规范再到员工个体认知程式转化的更为清晰合理的理论阐述。正如Guest (2011)所指出的,多层理论分析依赖于纵向数据,这意味着我们在研究方法上进入一个更加复杂层面的同时,实证研究也将变得更加困难,特别是如果研究目标还是跨组织而非组织内研究时将更是如此。因为对多层分析而言,想要获得足够数量企业内部情境的详细信息,将是一件让人望而却步的事情。此外,有限的纵向数据往往又会带来一个问题：我们无法知晓好的HR实践活动是何时进入以及由谁引入企业的,这使得有必要增加对那些原创性HR活动(genesis of new HR practices)的研究。因此,一个替代性办法是选择那些采取了原创性HR活动并取得不错组织效果的企业进行研究,并由此识别出导致成功的原因。本文基于复杂RBV与多层理论深度整合而成的SHRM多层体系构架模型,在理论构建上延续了Wright与Nishii (2010)多层理论模型构建中的多层因果关系逻辑推理研究方法。通过将Becker与Huselid (2006)的SHRM契合观、Wright与McMahan(2011)的多情境整合构想引入SHRM的多层理论分析中,本文拓展了Wright与Nishii (2010)多层理论模型的假定前提,进而在研究方法上将SHRM的多层理论分析建立在了完整的多层因果关系逻辑推理上。同时,在HR体系构架内在一致性的逻辑阐述上,也弥补了Colbert (2004)类比推理(analogical reasoning)研究方法上的不足。在实证研究方面,本文采用了基于创新实践的案例研究方法。最后,在研究结论与展望部分,概述了本文对SHRM“黑箱”机理的研究发现与理论贡献,同时也总结了本文研究中存在的不足,并对进一步研究提出了展望。更多还原

【Abstract】 Guest (2011), the famous scholar in Organizational Behavior and HRM, pointed out that most researches on HRM in the past20years had proved that there is positive association existing between HRM and organization performance. But questions as to"why there exists such positive association" and "how it came into being" remain unresolved. Guest believes that recent theorectial study in this field has entered into a stage of growing sophisticaiton and complexity, which pushes the theoretical study of SHRM to extend and evolve in two directions-the first one is, under what condition, there exists positive association between HRM and organization performance? The second is the exact process in which HRM improves organizaiton performance. The former focuses on the effect of organizaiton context on the relationship between HRM and organization performance, while the latter leads to the formation of the Multi-level Theory of SHRM.Proposed by Golbert (2004), RBV expounds that internal consistent logic relationship exists between the HR architecture and a specific organization context, with the former based on HR principles, HR policies, HR practices and HR products. Proposed by Wright and Nishi (2010), the Multi-level Theory Model put forward that the process of HRM’s effect on organizaiton performance is actually a transformation from organizational regular routines to individual scheme, and a "leap" from individual coordinated behavior to organizational HR performance.The two dimensional and major logic reasoning sequence is comprised by RBV’s view that there exists an internal consistent logic relationship between HR achitecture and organization context and Multi-level Theory Model’s view that multi-level cause and effect logic reasoning based on organization’s internal consistence. The dissertation constructs a multi-level system model of SHRM to achieve a combinaiton of the two logic sequences and elaborates a principle of strategic human resource development inside organizations, which demonstrates differentiation, high performance and coordination. Based on a complete multi-level cause and effect logic link, the dissertation provides an overall explanation for SHRM "Black Box". Specifically, the dissertation explores theoretically in the following three aspects:(1) put forward that HR practices fit with organization dependent and differentiated social context to produce organizational social norms based on win-win development of both organization and idividual; HR practices fit with organization dependent and differentiated task context to produce observable and measurable high performance organizational behavioral norms. Social norms and behavioral norms comprise HR behavioral principles and they serve as the guidline of the overall HR management inside an organization. According to this, organizations can further formulate internal consistent HR strategic plans including HR targets, notions and policies, which provide forseeable gurantee for organizations to achieve their strategic targets.(2) Put forward that actual HR practices fit longitudinally with the goals, notions, guidlines and policies written in HR strategic programs; based on the design of organizational career management (OCM) and the design of standard combination and incentive convergence, organizations can achieve an internal systematic fit of each actual HR systems, which further guide the employees to form a scheme characterized by role matching, development alignment and consistent notions and corresponding strategic behaviors of employees demonstrating differentiation, high performance and coordination.(3) Besides the above theoretical elaboration and expansion, the dissertation also embeds acquirable and impartable "double knowledge" norms combined by knowledge curriculum system(organizaiton’s explicit knowledge vehicle) and a teaching team of internal training (organization’s implicit knowledge vehicle). This avoids the abstractness and poor feasibility existing in the direct transformation of organization’s normal practice into employee’s cognitive scheme in previous multi-level theoretcial model.Through the above theoretical expansion in three aspects, the dissertation explains the origin of organization’s HR behavioral, principle HR policies and actual HRM systems and the innate logic relations between three HR system levels and a given organizational context from the angle of HR system consistency. It also provides a more reasonable theoretical explanation for the process of SHRM Black Box effect, namely, the transformation from HR behavioral principle on organizational level to knowledge norms of"double knowledge" combination, then to employee’s individual cognitive scheme.As is pointed out by Guest (2011), multi-level theoretical analysis depends on longitudinal data, which means that empirical studies will become increasingly difficult as we attempt to enter into a more complex level in research method, and this is especially true when the research target is not inside one organization but a cross-organizational one. The reason lies in that it would be a daunting task for multi-level analysis to acquire sufficient detailed information of organizations internal context. In addition, the limited longitudinal data brings yet another question:we can’t know for sure as to when and by whom the good HR activities were introduced into the organizations, which makes it necessary to conduct researches on the original HR practices. Therefore, an possible alternative would be to choose some enterprises that have adopted original HR practices with desirable effect and conduct researches on them in order to identify the reasons for their success.The multi-level architectural model, integrated by RBV and multi-level theory, carries on the method of cause-and-outcome logic reasoning displayed in Wright and Nishii’s multi-level model construction. Through the introduction of Becker and Huselid’s SHRM fit view, and the multi-context integration of Wright and McMahan, the dissertation expands the assumption of Wright and Nishii’s multi-level theoretical model, and establishes the multi-level theoretial analysis of SHRM on the complete cause-and-outcome logic reasoning. The logic consistent HR architecture makes up for the inadequacy of Colbert’s analogical reasoning. The dissertation uses the method of case study based on creative practice.Finally, the dissertation summarizes the research findings and theoretial contributions to SHRM Black Box, points out the drawbacks of the present work and calls for further studies on the same subject.更多还原