【作者】 杨春方；

【导师】 田志龙； 杜兰英；

【作者基本信息】 华中科技大学 ， 企业管理， 2009， 博士

【摘要】 近年来,企业的社会责任问题已明确列入西方国家几乎所有大企业的议程,企业管理正在从全面质量管理、环境管理走向社会责任管理,社会责任已经成了增强企业竞争优势的新的来源。尽管中国企业的社会责任意识也正在迅速增强,但企业社会责任的总体状况仍然令人担忧,影响了我国经济社会的可持续发展,以及和谐社会目标的实现。现实问题的迫切性要求我们关注中国企业社会责任驱动不足的问题。以往对企业社会责任问题的研究多从社会的视角,从利益相关者的角度出发,而不是从企业自身的决策制定和驱动机制去研究问题,所以笔者选择中国企业的社会责任驱动机制作为研究的对象。文章以文献研究为基础,运用理论研究与实证研究相结合的办法,对企业社会责任的外部驱动机制和内部驱动机制进行了深入系统的研究。在文献研究中,本文首先对企业社会责任思想的起源、历史背景、理论论争的历史发展、社会责任的各种定义、当前国内外的研究趋势进行了介绍,以便从总体上对国内外企业社会责任的研究概况进行把握。然后,对企业社会责任内外部驱动机制的研究文献进行了整理和归纳,对本文研究的相关理论,包括企业社会责任的三元分析模式、交易论、博弈论等进行了介绍,为后面研究的进一步展开提供了理论框架。在文献研究的基础上,本文根据对中国中小企业国际博览会参展企业的问卷调研资料,对企业社会责任驱动的关键因素进行了识别和检验。结果表明,企业决策者的经济动机、道德水平和采购商压力与企业的社会责任水平正相关,而员工、社区、非政府组织、消费者、市场竞争、法制环境、政府干预与企业社会责任水平的关系并不显著。也就是说,除了跨国采购商压力、经济动机与道德水平外,社会与政府几乎不构成企业社会责任的驱动因素。根据以上实证研究的结论,本文运用基于企业、政府、社会三元结构的博弈分析法,从宏观层面上对中国企业社会责任的外部驱动机制进行了分析。中国企业社会责任三方博弈分析的结果表明,由于一个成熟的市民社会的缺失导致的社会责任博弈中最重要的利益主体公众利益代表的缺位,以及地方政府与企业利益的趋同,博弈的最终结果是地方政府与企业合谋,社会责任被当成了发展经济的成本而被“理性”地放弃。中国企业社会责任的外部驱动主要来自于跨国企业全球性的生产扩张及社会责任从发达国家的市民社会向中国生产企业的逆向传递。但这种企业社会责任问题的外资驱动存在诸多问题。在对企业社会责任外部驱动博弈分析的基础上,本文接着对中国企业社会责任内部驱动的有效性进行了实证检验。研究结果表明,总体来看,中国企业社会责任行为与企业绩效水平是一致的,但在不同的地区、企业规模、行业条件下有所不同,东部地区要高于中、西部地区,规模和行业的情况略为复杂。最后,我们得出结论,(1)中国企业社会责任外部驱动机制问题的根本解决在于中国市民社会的成长发育;(2)中国企业应该将社会责任纳入自己的长期发展战略之中,同时要注意自己的资源、所在地区、行业因素与企业社会责任行为的最佳匹配;(3)企业对利润的追求是企业承担社会责任的重要驱动力;(4)企业领导人的道德水平和价值观念是驱动企业社会责任行为的重要因素;(5)大力转变政府职能,培育全体社会成员的社会责任意识,形成促进企业社会责任的良好外部环境;(6)促进企业参与出口贸易,这是提升企业社会责任水平的重要途径。更多还原

【Abstract】 In recent years, Corporate social responsibility (CSR) has been explicitly included in almost all of the western large corporations’ agenda and corporate governance is moving away from total quality management, environment management to corporate social responsibility management. CSR has become a new resource to enhance enterprise competence. Though Chinese enterprises’ CSR consciousness is improving recently, the overall situation is still worrying. It not only influences our country’s economy and society sustainable development but the realization of harmonious society. The urgency of practical requirement demands us to concentrate on Chinese enterprises’ insufficient CSR motivation. Most of the existing studies analyze CSR from the perspective of society rather than corporate own driving mechanism and then we decide to choose Chinese CSR driving mechanism as the subject of the study.Firstly, the paper gives detailed information on CSR literature, such as CSR’s idea origin, historical background, theoretical debate evolution, various definitions and domestic and foreign research development trends. Then the related theories such as three dimension model, exchange theory and game theory are introduced and the theoretical framework of the paper for further research is formed.Secondly the paper identifies and examines CSR’s internal and external driving factors with the data from the 4th China International SMEs fair. The result shows that manager’s economic motive, moral motive and multinational buyer presssure are correlated positively with CSR, but employee, community, NGO, customer, market competition, legal environment, government intervention are not. In other words, except multinational buyers, society and government are not CSR’s external drivers.Thirdly, according to above findings, the paper apply game theory based on the three dimension structure model of enterprise, society and government to analyze CSR driving mechanisms of china in macro level and try to seek the cause of Chinese enterprises’ external CSR driving mechanism absence. Three part game of Chinese enterprises, society and government shows that the absence of mature civil society and subsequent absence of the interest body or public representative in the CSR game and Chinese local governments’s and enterprises’ interests convergence, ultimate result inevitably is that local governments collude with enterprises and CSR is given up as the "cost" of economy development rationally. Chinese enterprises’ CSR driving mechanism comes from the multinational enterprises’ production global expansion and CSR’s reverse transfer from the western mature citizen society. This mechanism can’t resolve the problems of Chinese enterprises’ CSR.Fourthly, the paper examines the effectiveness of Chinese internal profit driving mechanism using questionnaire survey of small and medium enterprises from the 4th China international small and medium enterprises fair. The result shows that, as a whole, Chinese enterprises CSR level is consistent with their performance, but differs with regions, firm sizes and industries. Eastern region’s effectiveness is higher than the central and the western and the situations of firm sizes and industries are more complicated.Finally, we draw conclusions as followings: (1) Chinese enterprises external driving mechanism lies on the Chinese citizen society’s development and growth; (2) Chinese enterprises should incorporate CSR into their long-term strategy and take into account the matchment between the CSR and itself resource, location and industry to achieve profit maximization; (3) Profit pursuit is significant driver of CSR; (4) Mangers’ moral levels and values are important driving factors of CSR; (5) Transforming government functions, cultivating CSR awareness of all members of society are important ways to form a good external CSR environment; (6) Encourage enterprises to participate in export and international competition, which is important way to enhance the level of CSR.更多还原