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论文编号：	8381
作者编号：	1120110786
上传时间：	2016/6/8 17:46:33
中文题目：	场域变迁、身份冲突与组织反应-基于公用事业行业的研究
英文题目：	Field Change, Identity Conflicts and Organizational Responses: Study on China’s Public Sector
指导老师：	武立东教授
中文关键字：	制度逻辑；国有企业分类改革；组织身份；转轨经济体；混合所有制
英文关键字：	institutional logic；classification reform of SOEs；organizational identity；transition economy；mixed ownership
中文摘要：	改革开放三十余年以来，中国已经在经济领域取得了举世瞩目的成绩。国有经济依然稳健地在国民经济中发挥着主导作用，国有企业也逐步走向全世界。截止到2015年底，在财富世界500强中中国国有企业已经达到了88家。当把目光投向国有经济改革的重要历史关口，就会发现上世纪90年代持续进行的一系列经济改革措施，尤其是90年代末进行的国有企业改革为企业取得今天的发展局面奠定了良好的基础。时至今日，国有企业改革又处于新的关键时期。一方面，国有经济的活力还有待进一步提升，混合所有制经济作用的发挥也需要更为完善的机制保证；另一方面，对国有企业的监管长期以来并没有细致地考虑不同企业间的行业或类型差别，亟待对国有企业的功能重新进行界定，分类改革方面有更多进展。然而，在中国处于深度制度变迁的时代背景下，许多理论和视角对于新涌现出的很多制度现象难以提供很好的剖析和阐释。因此，本研究结合制度理论的最新进展和中国经济变革中的实践问题，通过组织场域变迁和多重制度逻辑冲突与组织反应的分析框架对中国经济改革中的制度变迁问题进行深入的分析。 基于以上的考虑，以中国公用事业行业和该行业的国有企业作为研究分析的对象。从理论关注层次的角度来说，本研究既包括了在中观层面对组织场域变迁的分析，又包括在微观层面对企业战略决策实践过程和行为表现的讨论。通过中观与微观层面的讨论，一方面是为了在响应本研究的制度理论分析框架，对制度现象的分析有一个全面的认识，体现出分析框架的理论价值；另一方面是力图通过深入的案例分析和定量实证研究，对制度过程的内在机理与因果关系有更为精准的把握。基于以上思考，将它们进一步转化为本文的研究问题：（1）伴随着市场化改革的进行，公用事业国有企业所在的组织场域是如何演化变迁的呢？（2）面临盈利性与公益性两种身份定位的交叉和模糊以及多重制度逻辑的压力，公用事业国有企业是如何反应的呢？更一般地，这对于国有企业微观决策层面的决策相关方都有哪些影响？相关方如何就企业的战略发展达成一致？其动态过程是怎样的？（3）更进一步地，对于公用事业国有企业来说，是否都遵循着一样的身份定位和制度逻辑？如果不是，那么这些企业组织在行为的表现上有哪些特征和差异呢？而且，感知的组织身份又会对行为表现产生如何的影响呢？ 第一，在公用事业行业在推行市场化改革的过程中，行业改革的路径遵循着渐进式，甚至是出现改革方向反复的现象。通过较长时间跨度（1980年代到2014年）的分析，发现组织场域中主导制度逻辑的变迁总体上是沿着：公益逻辑--市场逻辑--公益逻辑（与市场逻辑共同发挥作用）的路径进行演化的。在公用事业的组织场域变革中，政府不仅具有至关重要的作用还承担着核心制度行动者角色，研究中的制度行动都是“自上而下”地去发起和推动市场化改革，从而使得组织场域具有高度集中化的特征；第二，通过融合战略实践视角和制度逻辑两方面理论，延循着战略背景--战略决策过程--战略结果的整体分析思路，对公用事业行业国有企业“十二五”战略规划的案例分析发现，作为核心利益相关者的政府与公众对企业施加公益性和盈利性身份的双重制度压力，在企业的战略决策交互过程中，战略规划者与战略执行者会动态地采用开放议事规则、合法性转换、战略角色互动和精准因果分析等实践形成统一的战略结果。本研究提出来一个组织应对冲突制度要求的“目标-手段”合法性转换机制，是打开中国国有企业“决策黑箱”的一种尝试。第三，通过选取2009-2014年A股上市的公用事业行业国有公司，通过构建回归模型分析了这些公司的股权结构对公司行为表现的影响，然后将这些公司的感知组织身份对股权结构影响公司行为表现的调节效应进行了检验。结果发现：国有股东的持股比例与公司的绩效呈倒U型关系，国有股东的持股比例与公司的战略风险偏好呈U型关系，而且感知组织身份这一变量对股权结构影响公司的战略风险偏好起到负向调节作用，而对于股权结构和公司绩效之间的关系则没有显著影响。 本研究在如下三方面实现了理论创新：首先，基于制度逻辑、组织场域结构和不同层级政府的角色而形成关于组织场域演化的解释，创新了已有的关于组织场域变革驱动因素的认识；其次，基于制度逻辑、组织身份和战略实践视角形成对组织战略转型决策过程机理的提炼，实现了对处于身份困境中的组织决策的认识创新；最后，基于制度逻辑、感知组织身份表现形成关于组织行为表现差异的解释，从自身认知的角度对组织的战略表现差异提供了创新的认识。 在最后，本研究还从公用事业行业市场化改革、国有企业分类改革和混合所有制改革三个方面提出了若干政策建议，并描述了研究的局限性和未来研究的方向。
英文摘要：	China’s economy has attracted worldwide attentions since the start of “open door policy” more than three decades ago. State-owned economy has remained solid and played leading role in China’s national economy. By the end of 2015, the number of Chinese state-owned enterprises (SOEs) has reached 88 in the World Fortune 500. We will find a series of economic reforms in the 1990s，especially the SOEs’ reform in the end of that period, has laid a good foundation for SOEs to make today’s great achievements, when we set our sights on the important historical junctures of state-owned economic reform. Today, the reform of SOEs is in the new critical period. On the one hand, the vitality of state economy remains to be further enhanced; mixed ownership economy also needs better institutional mechanisms. On the other hand, for a long time, the supervision of SOEs did not carefully consider the difference of industries and types. Therefore, the functions of SOEs need to be re-defined; more progress needs to be made in terms of classification reform. In the context that China is in depth change of institutional environment, many theories and perspectives are difficult to provide good analysis and interpretation for the new emerged phenomenon. Hence, this research combines the latest developments of institutional theory and practice of China’s economic reform. That is, the research uses the framework of field change, conflicts of multiple institutional logics and organizational responses to do in-depth analysis of institutional change issues in China's economic reforms. Based on above considerations, this research takes China’s public sector and SOEs in the sector as object of analysis. From the point view of theoretical levels, this research includes both of the analysis of meso-level—organizational filed change, and micro-level—enterprises’ practical process of strategic decision-making and behavior. On the one hand, it is to response the analysis framework of institutional theory and have a comprehensive understanding of institutional phenomenon. On the other hand, through case study and quantitative empirical study, it is to get a more accurate understanding on internal mechanism and causal relationship of institutional process. For the above reasons, several research questions are generated: (1) with the market-oriented reform, how does the organizational field of China’s SOEs in public sector change? (2) When facing the ambiguity of organizational identity—profit or public service oriented, and the pressure of different institutional logics, how do the SOEs in public sector response? To be more general, how does that impact on the stakeholders of decision making in SOEs? How do they reach the agreement of strategic development? And what’s the dynamic process? (3) Further, do these SOEs hold the same identity and follow the same institutional logic? If not, what are the characteristics and differences of these SOEs’ behavior? And, how will the perceived organizational identity impact on SOEs’ behavior? The research found that, firstly, the market-oriented reform of public sector follows a path of incremental change, which even move backward. Based on a long period (1980s-2014) analysis, the results show that the main institutional logic of organizational field has changed as: “public service logic—market logic—public service logic (coexisting with market logic)”. The government plays as the key institutional actor and has important impact on changing the organizational filed of public sector, which initiate the “top-down” institutional actions to push the market-oriented reform. Thus, the organizational field is highly centralized. Secondly, from both perspectives of strategy-as-practice and institutional logic, this research analyzes the case of a SOE in public sector to make the 12th Five Year Plan, and follows the step of “strategic background—strategic decision-making process—strategic outcomes”. The result shows that government and the public expect two identities of profit and public service for the SOE. To response to the institutional pressure, during the interactive process of strategic decision making, strategic planners and strategic executors use the following practical strategies to reach a unified strategy results: extensive rules of procedure, change of legitimacy, interactions between strategic roles and accurate causal analysis. The research proposed a legitimacy conversion mechanism of “means-goals”, which is an attempt to open the “decision black box” in SOEs. Thirdly, this research selects China’s A-share listed companies (2009-2014) in public sector as the sample. Then, this research constructs the regression model to analyze the impact of ownership structure on enterprise’s behavior, and test the moderating effect of perceived organizational identity on the relationship between ownership structure and enterprise’s behavior. The results show: the percentage of state ownership has an inverted U-shape relationship with performance, and a U-shape relationship with strategic risk preference; furthermore, perceived organizational identity has a negative moderating effect on the relationship between ownership structure and strategic risk preference, but has no significant effect on that between ownership structure and performance. There are three theoretical innovations: Firstly, based on institutional logic, organizational field structure and the role of governments in different levels, this research explains the change process of organizational field, which contributes new knowledge about driving factors of organizational field change. Secondly, in terms of institutional logic, organizational identity and strategy-as-practice angle, this research generates the mechanism of organizational decision-making process in strategic transition, which has contributions on organizational decision-making in identity dilemma. Thirdly, this research explains the organizational behaviors based on institutional logic and perceived organizational identity, which has contributions on understanding the difference of organizational behavior in terms of cognitive angle. At last, this research proposed several policy suggestions on market-oriented reform of public sector, classification reform of SOEs and mixed ownership reform. This study also describes the limitations and directions for future research.
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