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论文编号：	2623
作者编号：	1120070752
上传时间：	2010/6/15 23:53:32
中文题目：	中国国有企业员工参与研究
英文题目：	Research on Employee Involvement in China’s State Owned Enterprises
指导老师：	崔勋
中文关键字：	国有企业　员工参与 参与形式 参与程度 劳动关系
英文关键字：	State Owned Enterprises; Employee Involvement; Employee Involvement Forms; Employee Involvement Degree; Labor Relations
中文摘要：	劳动关系的稳定与协调是社会安定、经济发展的基础，也是企业持续竞争力的来源。员工参与，也被称为组织民主，是指员工通过一定的形式在一定程度上介入组织管理过程，通过与管理层发生交互作用，提高员工对其自身工作及组织政策与实践的影响力。它不仅能有效反映员工诉求，而且还能对员工产生激励，对组织绩效带来积极影响。因此，员工参与为组织目标和员工利益的实现提供了一个双赢的渠道，也在很大程度上成为营建和维系和谐劳动关系的基础。 我国国有企业的员工参与根源于计划经济时代，政府起到了决定性作用，很多参与的形式、程序和内容都是由政府政策规定。一方面，制度变迁的路径依赖使国有企业还在员工参与上保留着传统的做法，另一方面，这种建立在“员工的主人翁”地位基础上的民主管理制度，在国有企业的市场化进程中也受到了很大冲击。随着市场化改革的深入，员工的主人翁地位逐步让位于管理者权威。这种地位和权力的变化带来了国企劳动关系的变革。在变革的漩涡中，国企员工参与经历了怎样的变迁与演化？存在哪些“发展”与“不发展”？员工参与能在多大程度上成为改善官僚化管理体制的杠杆？员工参与在国有企业内的实际运行状况如何？取决于哪些因素，又能为企业和员工带来什么影响？ 本研究针对以上问题，将国有企业员工参与作为研究对象，从以下几点展开研究： 首先，理论和文献分析。本研究对员工参与的概念、动因、理论背景、维度、分类、程度、以及影响因素和产出结果进行了梳理和评析；然后结合学者们对员工参与理论分析模型的研究和劳动关系理论，构建了一个整体分析框架和对国有企业的操作性分析框架。本研究将员工参与作为劳动关系的一个子系统，将其放在劳动关系的背景下进行分析和研究，同时结合人力资源管理的视角来考察企业具体员工参与实践的微观运行。甄选出外部制度驱动、管理者的战略选择与行为、工会和职代会地位、组织文化与氛围以及员工的参与意愿与行为等影响国有企业员工参与的主要因素，将其纳入到分析中国国有企业员工参与的操作化框架中，并认为国有企业员工参与受到上述因素在组织战略层、功能层和工作场所层的综合影响，决定了国有企业员工参与的形式和实际参与程度，从而对组织绩效和员工态度都会产生影响。 其次，中国国有企业员工参与从计划经济到市场经济的历史研究。本研究结合社会经济、国企改革背景与劳动关系状况，对国有企业员工参与从计划经济到市场经济的演变进行了分析。计划经济时期的国有企业员工参与体现出了浓郁的政治性色彩。它基于“人民当家作主”的社会主义理念和共产党的群众路线，是政治民主在经济领域的延伸，具有强烈的政治运动性，由政府自上而下地推动。经济转型期的国有企业员工参与在延续计划经济实践的基础上又呈现出许多新的特征，主要体现在员工参与演进中的路径依赖、管理者权威对员工参与的驱逐、参与形式与效果的形式主义与实用主义并存。在市场经济转型阶段，员工参与的运行状态和运行效果在更大程度上取决于国有企业管理者的价值观和战略选择。 再次，国有企业员工参与动因、影响因素和效果产出的分析。在政府外部制度的推动下，由于少了国有企业的自发行为，在员工参与实践中出现了虚化现象。管理者的领导风格决定了其做出决策的方式，也决定了员工能在多大程度上参与决策，以及在工作中享有多大程度的自主权。职工代表大会和工会在国有企业内处于企业行政附庸的地位，发挥着有限的中介性作用。员工的参与行为会受到参与意愿的影响，参与意愿又取决于员工的参与态度、规范性信念和行为控制认知。这三个变量又会受到诸多因素的影响，使得员工的参与行为呈现出多元化的状态。国企等级严密的科层制、集权型的权威结构、高权力距离的传统特征和强调权威服从的组织文化，给员工参与的推行造成了一定的困扰。员工参与主要通过对员工的激励、达成知识共享以及促进管理者和员工的信赖来发挥对组织绩效和员工态度的积极作用。 最后，通过案例研究和问卷调查对研究结果的验证。案例研究选择了五家案例企业，在对案例企业进行深度访谈、观察等实地调查的基础上，本研究从参与形式和参与的程度两个方面对五家企业员工参与实践进行了具体描述，并对案例企业员工参与的影响因素和效果进行了分析。问卷调查采用大范围方便取样的方式，针对国有企业员工对员工参与的主观感知进行调查和统计分析。研究发现，在不同的企业，员工参与的模式与效果却大体一致，员工对于参与项目的评价也差异不大，说明国企员工参与背后所蕴含的制度规范与理念假设在员工参与和效果产出之间发挥了很大的调节效应；对于和员工切身利益、日常工作密切相关的事项，员工参与能够发挥相对较好的作用，而对于战略经营层次则难以奏效；员工对直接参与机制与效果的认可度均显著高于对间接参与的认可度。基于研究发现，本研究还提出了相应的实践建议。 本研究从劳动关系和人力资源管理的视角，对中国国有企业员工参与进行系统研究，是对这一领域的探索。分析国有企业员工参与的运行机制，发现其“发展”与“不发展”，并提出相应的实践建议，有助于员工参与在国有企业的发展与完善。同时，基于我国学术界对员工参与的研究相对匮乏的现状，本文的研究也是一种有益的探索和补充。
英文摘要：	Harmonious labor relations provide a solid foundation for the stabilization of the society and the development of the economy, as well as the source of enterprises’ competitiveness. Employee involvement (EI), sometimes also named organizational democracy, refers to employees involving in the management and decision process in the organization with a certain kind of participatory forms. Through the interaction between the employees and managers, employees could increase the influence upon their jobs and related organizational policies to some extent. Thus, employee involvement not only could effectively reflect employees’ appeal, but also bring multination and positive performance. Therefore, it can serve as a win-win solution to achieve the goal of both the organization and the employees, and play an important role to establish and maintain the harmonious labor relations. The origin of the employee involvement in the state owned enterprises (SOEs) is the planned economy. At that period, the government took a decisive impact on the forms, process and contents of employee participation. Many SOEs still remain the traditional practices under the influence of the path dependence of institutional development. But at the other hand, in the course of SOEs’ marketization, the democratic management institutions which depend on the employees’ owner status experience heavy collapse. With the development of marketization, manager authority is increasingly dominant. The change of the status and power balance brings transition of labor relations in SOEs. In the central of the transition, what do the development and evolvement of employee involvement in SOEs experience? What are the “developments” and “un-developments”? To what extent could EI change the bureaucratic management? What is the real state of EI in SOEs? What are the antecedents and consequences? To answer the above questions, this dissertation includes the following researches: Firstly, theory and literature research. The author reviews and analyzes the research of the concepts, dive factors, theory backgrounds, dimensions, forms, degree, antecedents and consequences of employee involvement. Based on the theory models and labor relations theory, this paper brings forward a systematic model and an operational framework of EI in China SOEs. EI is regarded as a sub-system of labor relations. The research perspective is under the context of labor relations. Human resource management perspective is also combined to investigate the organizational behaviors of specific EI practice in the enterprises. The main influence factors of EI in China SOEs are government institutions, the behavior and strategic choices of management, the status of the trade union and staff congress, the organizational culture and climate and the employees’ EI intention and behaviors. Under the impact of the above factors at the three-tier of workplace, functional and strategy, the employee involvement of SOEs has different forms and degrees, which will decide the organizational performance and employees’ work attitudes. Secondly, the paper traces the historical development of EI in China SOEs from the planned economy to the market economy with the analysis of the social and economic backgrounds. The SOEs’ EI practices have a strong political characteristic, which established on the basis of ensuring the people's role as masters of the country. Thus the EI practices reflected the political democracy extending in the economic areas. With the strong political motility, it was spread under the authority of the governments. The SOEs’ EI practices in the transition period continue the planed economy but also present many new characteristics, such as the management authority’s dominance and the utility orientation and so on. At the market economy, the function and consequences of EI depend more and more on the value and strategic choice of SOEs’ management. Thirdly, the analysis of antecedents and consequences of SOEs’ EI practice. With the dominance of government institution, while lack of SOEs’ spontaneity, the employee involvement practices become a mere formality. The leadership styles of managers decide management behavior and the extent to which employees could involve in the management decision and the self determination in their own job. The staff congress and the trade union in the SOEs are attached to the bureaucracy, and they could only exert limited mediate influence between the management and the employees. The employees’ EI behaviors are influence by their involvement intention, which depend on the attitude, normative beliefs and perceived behavioral control. Many factors can exert impact on the above variables to make the employees’ EI behavior diversifying. The hierarchy and centralized authority structure and high power distance traditional culture and in the SOEs bring some obstacles to the EI practice. Through the multination, knowledge sharing and trust between the managers and employees, employee involvement programs could effectively improve the organizational performance and employee work emotion. Lastly, the empirical research with the method of case study and questionnaire. Five state owned enterprises are chose as the case sample. The author investigated the five companies and carried on observation and interviews. The findings are described in the paper and the antecedents and consequences are analyzed. The questionnaire research has taken a big sample and investigated the perceptions of SOEs’ employees toward EI practices. In different companies, the modes and effects of EI are almost the same, as well as the employee’s evaluation, which shows there are same institutional and ideology assumptions playing as the moderating role behind. The employee involvement mechanism plays more effective in issues of employee’s welfare and daily work than the strategic decision. Employees give more recognition to the effectiveness of direct EI programs than that of indirect ones. Based on the research findings, the paper brings forward some practical suggestions. The dissertation systematically explores the employee involvement in China SOEs from the perspective of labor relations and human resource management. The function mechanism is analyzed, the development and un-development of EI is discovered, and the corresponding practical suggestion is raised to improve the EI practice in SOEs. Meanwhile, this research is a useful exploration and complementation to the research literature which can make up the research vacancy in this area to some extent.
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