【作者】 郝英奇；

【导师】 刘金兰；

【作者基本信息】 天津大学 ， 管理科学， 2007， 博士

【摘要】 管理学诞生近百年来一直围绕管理职能进行研究,着重从操作层面阐述原理和规范,制度与机制似乎成了管理的外生变量。但是制度对于员工的积极性具有决定性的影响,中国的改革进程已经充分证明了这一点。本文试图从机制的层面解读组织运行的机理,探索积极性产生的机制性原因,通过机制而不是人治进行管理,以期寻求“无为而治”的效果。《老子》是一部哲学诗篇,更是最早的管理学巨著,其“道法自然,无为而治”的管理理念是本文立论的哲学基础。“道”就是自然规律,就是事物运行的内在机理,简而言之:“道”即机制。基于这样的认识再来探讨人性的本质――从生物人的角度来看,人是自利的;从经济人的角度来看,人是自利与利他的统一;从社会人的角度来看,人有自利、利他和中性成份。自利是基因派生的属性,从深层次到表层次逐渐减弱,这即是本文的“层次人”假设。基于这样的假设导出了利益导向原则,以此作为机制设计的主线。人是趋利的,放之于坏的机制,产生无尽的冲突与祸患;放之于好的机制,趋利性恰是组织动力的源泉。利用机制进行管理是通往“无为而治”的必由之路。权力、责任、利益是组织生命的基本元素,三者适当配置构成动力机制的微观结构;导向机制、激励机制、约束机制、控制机制及其置身其中的文化场构成动力机制的宏观结构。导向机制的功能是引导和凝聚人的积极性。根据组织行为学关于需要、动机、行为、目标之间的因果关系,在行为与目标之间,抓住业绩考评这个关键环节,借助于考评体系把个人目标与组织目标捆绑在一起,将人的积极性引导到实现组织目标的轨道上来。激励机制的功能是激发与强化人的积极性。传统的激励机制模型是委托人单方面设计、代理人无奈选择的不平等条约,面对知识经济的新环境,本文设计了剩余共享的激励机制模型。约束机制的功能是整合与集束人的积极性,将人的行为取向整合到组织目标上来。约束机制的构建要遵循利益制衡的原则,利用行为主体之间的利益冲突建立相互制约的耦合,使约束成为系统内在的天然机能。控制机制的功能是纠正偏差,确保组织沿着既定的轨道运行。控制机制的设计要遵从封闭运行的原则,使得各层级的组织单元具有相应的责权利,成为相对独立的“生命体”,采用“复合嵌套控制机制”,抓住关键的控制点,运用政策杠杆驾驭组织运行。管理系统动力机制研究以“物理、事理、人理”为方法论基础,按照设计科学的研究范式,吸收管理学、经济学和新兴交叉学科的研究成果,拓展了一个管理学研究的新视角,对“无为而治”的管理进行了初步的探索。更多还原

【Abstract】 The management theories have been developed for almost a whole century. All studies on management mainly focused on the functions of management itself through analyzing the principles and norms of management from operational perspectives. Consequently, the system as well as the mechanism of management seems to be identified as exogenous variables. Nevertheless, the mechanism of organizational management plays practically decisive role in motivating a member of any organization, which has been thoroughly verified through the reform practice in China. This essay tries to uncover the real effective mechanism of management that drives the organization smoothly running, and probe into the essential cause that makes the members of organization work actively. All of which I study will come into together to form the real effective driving mechanism of management, to achieve the ideal governing status, which I see as“governing by mechanism”instead of ruling .<Tao Te Ching> is a collection of writings or thoughts of Philosophy Tao, as well as the earliest magnum opus on management. The managerial principle“When nothing is done, nothing is left undone. The world is won by letting things take their own course”is the philosophical foundation of this essay. In accordance with Taoism, Tao ( Dao ) - a word translated to English as "The Way," means "the natural flow of things" which implies the "course of nature". To put it simply, it is the mechanism of management in a broad sense. On the basis of such philosophy, to view the nature of human――in term of Human-being biological nature, People’s behavior could be thought as a process of purchasing their own interests; as the Economic Man, their behaviors are the combination of self-interests and public interests; as the socio-person, they are always been identified with the integration of self-interests, public interests and neutralism. The self-interest-driven nature is designed by human’s genes. The strength of which will be gradually weakened off from the inner thought to the outside. This is the hypothesis of“Multilevel Human”of this essay. Based upon such a hypothesis, the principle of interest-oriented will be introduced to act as guideline for designing management mechanism. Since human beings are unexceptionally interests-motivated, given a bad mechanism,endless conflicts and disasters will be aroused; on the other hand, given a good mechanism, such interest-oriented motivation of human could be led to be transferred into the source of motivation of an organization. To manage an organization by the automatically systematic mechanism is the only way to achieve the status of“Nothing is done then nothing is left undone”.Rights and responsibilities and benefits are three fundamental elements of an organization, The micro-structure of the driving mechanism is formed with the well-combined three elements, while the macro-structure of the dynamical mechanism is constructed by the Guiding Mechanism, the Incentive Mechanism, constrained system, controlling system, and the Culture Field. Guidance Mechanism functions as a guidance as well as a collector of human’s enthusiasm. According to the cause-effect relationship among need, motive, behavior and objective in Organization Behavior, from setting an organization objective to putting it into practice, human’s enthusiasm can be guided to fulfill such an objective if personal target and organization objective are in harmony through executing such a key process as assessment. Incentive Mechanism functions as a stimulator and a strengthener of the human’s enthusiasm. The traditional incentive mechanism is an unfair treaty which is designed by principal unilaterally and chose by agents reluctantly. Here propose a profit-sharing incentive mechanism model which is a better solution for knowledge-based economy. Constrained system functions as an integrator and restrictor of the human’s enthusiasm. It serves to regulate human’s behavior towards the organization objectives. Establishment of such mechanism relies on the basis of a benefit balance. Restrictions within an organization can be achieved by balancing the interest conflicts among individuals. The major functions of the controlling system are redressing discrepancies in order to ensure the organization is operated towards the scheduled direction. The establishment of such mechanism relies on the basis of closed operation, guaranteeing the corresponding obligations and rights of relatively independent units along the hierarchy. With such Internal Control Mechanism, when the key checkpoints controlled, the operation of an organization can be achieved.The study of the dynamical mechanism is founded on the basis of the methodology“WSR”and the paradigm“design science”. This essay tries to explore a new way to manage by Taoism philosophy,“Nothing is done then nothing is left undone”, and to search for a scientific model in organization management by integrating management studies, economics and some New Transverse Subjects.更多还原