【作者】 卫武；

【导师】 田志龙；

【作者基本信息】 华中科技大学 ， 管理科学与工程， 2004， 博士

【摘要】 随着全球经济一体化趋势的加剧,爱泼斯坦(1969)认为“企业已经步入政治竞争的时代”,政府或政府政策作为一种竞争工具,能拓展企业的外部生存空间,为企业创造有利的竞争环境。企业竞争环境和政府政策之间存在一种相互影响的关系。政府政策的不确定性导致企业商业交易费用的增加,而企业是否成功地运用政治权力获得潜在的利益,直接关系到企业的经营业绩及企业竞争力。企业在认真制定市场竞争策略去战胜对手赢得市场的同时,无不重视政治策略的制定与实施,通过影响政府政策的决策过程,从而获得各种政府资源,提高企业政治绩效水平。在许多企业里,这已成为企业战略管理的重要内容。企业为谋求有利于自己的市场环境而影响政府政策与法规制定和实施过程的策略称为企业政治策略(Corporate political strategy),实施上述策略的行为称为企业政治行为(Corporate political action)。而企业政治绩效(Corporate political performance)是指企业在经营活动过程中制定和实施政治策略影响政府决策过程所消耗的政治资源与所获得的政治和经济利益之间的关系。因此,本文认为企业为了实现它们的政治目标,组织和控制各种政治资源与能力,制定与实施政治策略影响政府决策过程,从而获得各种政治和经济利益,这在某种程度上说明企业政治策略与企业政治绩效之间存在一定的关联性。本文从不同研究视角分析了政治科学、经济学、管理科学和企业理论等相关学科对企业政治策略与行为的解释,评述了国内外学者对有关企业政治策略与行为方面的研究现状,而从战略管理角度来看,上述理论与实证研究都是基于一个潜在假设——“企业政治活动能够对组织绩效产生显著的影响”,并由此引出对我国企业政治策略与企业政治绩效之间的关联性研究。本文主要分为理论研究和实证研究两个部分:理论部分主要是通过对企业政治策略与企业政治绩效这两个研究对象之间关系的分析,综合国内外相关文献分别提出了两个理论模型;实证部分主要是通过访谈、调查问卷和企业网站收集相关的数据,对理论部分所提出的各种变量之间的关系进行验证。 <WP=5>在理论研究中,本文首先指出作为一种前摄性的策略,企业政治行为已经成为企业整体战略决策中的一个组成部分,而企业制定与实施政治策略通常面临三种政治决策:政治策略方式(交易和关系)、参与层次(单独和集体)、政治策略类型(直接参与、代言人、信息咨询、调动社会力量、政治关联、财务刺激、制度创新),从这三个方面可以深入地分析行业结构特征、产品多元化程度、组织资源、政治经验、企业规模等各种因素对企业政治策略形成过程的影响,从而建立企业政治策略的决策树理论模型;其次,本文认为企业政治策略与行为可以创造各种政治和经济利益,通过对政治效率和政治有效性分析,一个标准的企业政治绩效评价系统分为政治优势源泉、政治竞争能力与优势、政府资源、财务绩效和市场绩效四个阶段以及效率、有效性和适应性三个维度,而一个环境的企业政治绩效评价系统分析偶然性变量、反应性变量和绩效变量对企业政治绩效评价过程的影响,从而建立一个相对完整的企业政治绩效评价系统(简称CPPA)理论模型。其中,这两个理论模型结合中国特点对企业政治策略类型、企业政治资源与能力类型、企业政治绩效类型进行了探讨,为后文中有关我国企业政治策略的有效性以及它们与企业政治绩效关联性的实证研究作了理论上的铺垫。在实证研究中,本文首先认为一个企业政治策略的有效性取决于其政治目标的实现程度,即企业与政府和社会公众关系的改善程度以及它们的扶持程度,而一个有效的企业政治策略的特点主要表现在潜在价值、难以模仿和组织资源三个方面。根据企业应对外部环境变化以及政治策略导向性分析对我国企业政治策略类型进行分类,并运用组织边界延伸理论对我国企业政治活动强度进行划分,在此基础上,采取问卷调查方式收集相关数据,并运用方差分析、相关分析和回归分析从这两个方面研究我国企业政治策略与其有效性之间的关系,从而解释了为什么有些企业政治策略的效果很好,而有些企业政治策略的效果很差,这不仅可以帮助我国企业选择最合适的政治策略来影响政府决策过程,而且可以提高我国企业制定与实施政治策略的水平。其次,本文认为政府在企业政治活动中主要扮演三种角色——消费者、投资者和裁判员,而这种角色转换反映了企业政治资源与能力、企业政治策略对企业政治绩<WP=6>效的直接或间接影响,特别是企业研发战略、企业国际化战略、企业横向一体化战略等竞争性战略以及企业政府合同的间接影响。因此,基于企业政治策略与企业政治绩效关联性的理论模型以及10个研究假设,本文以我国企业作为研究对象,利用问卷调查获得的数据,运用因子分析法对企业政治资源与能力、企业政治策略以及企业政治绩效进行研究,从实证角度再次验证并解释我国企业政治资源与能力、企业政治策略以及企业政治绩效的类型与层次,采用结构方程方法对我国企业政治资源与能力、企业政治策略、政府合同、企业竞争性战略与企业政治绩效之间关系进行分析,并验证了其中的大部分研究假设以及主要观点,对前人有关的部分结论提供了数据支持。从理论上讲,许多企业政治行为与策略理论和更多还原

【Abstract】 With the enhancement of the global economic integration, Epstein(1969)argued that “political competition follows in the wake of economic competition”, and that the government and government policies may be viewed as a competitive tool to expand the living space of enterprises, and to create the environment most favorable to their competitive efforts. There is a substantial interdependence between firm competitive environment and government policy. The uncertainty of government policy results in the increase of transaction costs, but whether firms apply political power to receive private gain has a direct relation with their business and competitiveness. When they formulate competitive strategies to win the product market, all of firms will develop and execute political strategies, and obtain all kinds of government resources by influencing government decision process, thus to improve their political performance, which has become a central task in the field of strategy management. In fact, corporate political strategy means that firms influence the formulation and execution of government policy and regulation to obtain the environment favorable to their competitive efforts, and the action in the course that firms implement the above-mentioned strategies is called corporate political action. Additionally, corporate political performance means the relationship between the political resources and political benefits in the course that firms formulate and implement political strategies to influence government policy. Therefore, the author of this dissertation argues that in order to achieve their political goal, firms apply all kinds of political resources and capabilities, and influence the government decision-making process by formulating and implementing political strategies, thus obtain a lot of political and economic benefits, which indicates that there is a certain relationship between corporate political strategy and corporate political performance in a way.This paper explains the incentives of corporate political strategy and action from different disciplines such as political science, economics, management science and enterprise’s theory, etc., and commented the current research status quo on corporate <WP=8>political strategy and action at home and abroad. However, strategy management theory argues that these theoretical and empirical studies are all based on a underlying proposition——“corporate political activity has a significant and positive effect on firm performance”. Thus it can see the beginning research of the relation between corporate political strategy and corporate political performance. This paper is mainly divided two parts into theoretical and empirical study: the former one analyzes the relationship between corporate political strategy and corporate political performance, and puts forward two theoretical models by integrating relevant literature; the latter one collects relevant datum by means of interview, questionnaire and enterprises’ web, and tests the relationship among all kinds of variables of theoretical study.In theoretical study, this paper firstly believes that as a proactive strategy, corporate political action has become a part of firm overall strategy. Firms that have decided to formulate and develop political strategy usually face three sequential political decisions: (1) approach to political strategy (relational and transactional); (2) participation level (individual and collective); (3) specific strategy (direct participation, prolocutor, information consultation, mobilization public, business political relation, financial incentive, system innovation). Moreover, all kinds of factors in three aspects such as industry structure character, degree of product diversification, organization resources, political experience, etc. have an effect on the process of corporate political strategy formulation. Based on this analysis, this paper provides a decision-tree model of political strategy. Secondly, this paper thinks corporate political strategy and action can create pol更多还原