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论文编号：	9980
作者编号：	1120140824
上传时间：	2018/6/6 14:27:12
中文题目：	基于双元柔性的能力导向型人力资源实践系统与组织适应性绩效关系研究
英文题目：	Research on the Relationship between Capability –Oriented Human Resource Practice System and Organizational Adaptability Performance—Based on the Dual Flexibility
指导老师：	李新建
中文关键字：	能力导向型人力资源实践系统；双元人力资源柔性；组织结构扁平化；组织适应性绩效
英文关键字：	Capability–Oriented Human Resource Practice System; Dual Human Resource Flexibility; Flattening of Organizational Structure; Organizational Adaptive Performance
中文摘要：	互联网与知识经济时代，企业所处的竞争环境越发充斥着复杂性与不确定性，伴随着战略柔性、流程柔性及职能柔性等不同层面的柔性特质在越来越多的组织中得以实现，并逐渐成为企业获取可持续竞争优势新的来源，具备适度的柔性特质成为企业获得生存的重要保障，有关组织柔性特质的研究已然引起学术界的高度重视。在众多组织因素中，人力资源及其管理无疑是最具战略性价值的因素，人力资源柔性在企业可持续发展中的作用也愈益凸显出重要性。因此，人力资源柔性的培育与作用发挥成为学术界尤其需要关注的重要议题，亦是当今企业特别是我国企业管理实践面临的重大挑战之一。然而，对于人力资源柔性作用机制的研究仍有待进行深层次的挖掘与完善，主要表现在：（1）现有研究主要沿着英国学者阿克金森于上世纪80年代中期提出的柔性企业框架展开，即主要将人力资源柔性分为数量柔性与功能柔性，后续研究多基于此进行了理论与实证探讨，但结论却存在诸多争议。大多数研究认为人力资源柔性，无论是数量柔性还是功能柔性，都迎合了企业竞争的需要，从而有利于组织获取可持续的竞争优势，但也有研究认为人力资源柔性是一把双刃剑，不排除其对组织绩效存在的负向影响。从学术角度看，争议的存在首先源自于研究者在人力资源柔性这一概念的内涵、属性及维度界定方面不甚清晰，以及在基础解释理论方面的缺乏。在研究思路与研究视角方面上的不统一也是争议存在的原由之一。已有研究或将人力资源柔性作为单一构面的整体概念开展探讨，或将其所包含的不同维度以独立思维进行割裂性、而非整合性的研究。而且已有研究多基于策略视角将人力资源柔性单纯地视为企业一种特定的政策或管理工具，并未上升到组织能力的高度展开探讨。这种非系统化的研究思路和有局限的分析视野无疑限制了对企业人力资源柔性研究的深化，也无法探究数量柔性和功能柔性这两种柔性能力的本质特征、相互关系及其对组织绩效的作用机制。（2）战略人力资源管理理论认为，企业的人力资源管理职能就是通过增强人力资源的获取、配置和开发能力来实现组织目标，获取组织的竞争优势。当今，外部环境的急剧变化引致了人力资源管理模式的颠覆性变革，人力资源管理模式向创新、敏捷、专业化和网络化等方向演进，并逐渐呈现出主体多元、形态多样等诸多特点。如人力资源职能外包、非正式/非典型用工、基于组织联盟关系等多种形式的人力资源管理措施不断涌现，深层次地影响了组织内部的异质性和复杂结构化。我国大多数企业的人力资源开发和管理起步较晚，但通过对先进管理思想和模式的借鉴，并与本国文化与体制的有机融合，正朝向改革与创新的方向发展。因此，面对更加纷繁复杂的外部环境和内部条件，如何使得企业的人力资源实践系统能够保持自身的定力与特质，并能够针对性地提升组织基于人力资源的柔性能力，是每一位企业管理者都必须认真思考和慎重决策的问题。本研究认为人力资源柔性的两个维度——数量柔性与功能柔性——在性质与功能方面既存在本质差异，也存在内在联系；它们通过不同的方式及路径对企业的管理效能及组织绩效产生影响的同时，彼此之间也会发生不可分割的影响与作用，因而有必要对其进行更深层次的整合性分析。实际上，数量柔性和功能柔性作为人力资源柔性的重要组成部分，需以系统化的思维对其进行思考，不仅应该重视它们各自的作用机理，更应当重视两者之间的关系及其作用发挥，以此深入揭示人力资源柔性的本质特征及对组织战略的作用机理。鉴于此，本文尝试以双元思维和能力视角，审视人力资源柔性，并以此为基础探究符合国内企业当前情境的“人力资源实践系统—组织绩效”作用机理，将有助于更加清晰地揭示动态环境下战略人力资源管理对组织绩效的“黑箱”机制。基于以上理论和实践背景，本文旨在探讨以下几个问题：（1）如何从能力视角对人力资源柔性重新进行理论界定，以更深入和全面地解析双元人力资源柔性的内涵？并以此为切入点，进一步深入探讨其包括哪些特定的、与之相匹配的前因变量，以及其对组织绩效究竟存在怎样的影响作用？（2）依据战略人力资源管理理论，能力导向型的人力资源实践系统应该如何被定义？其特征何在？又包括哪些具体的管理实践方式？它们对人力资源柔性，特别是双元人力资源柔性又具有什么作用？（3）双元人力资源柔性在能力导向型人力资源实践系统与组织绩效（主要为适应性绩效）的作用关系中存在怎样的中介效应？（4）在“能力导向型人力资源实践系统——双元人力资源柔性——组织适应性绩效”的逻辑链条中，组织自身的扁平化结构特征，是否可成为重要的边界条件或调节因素？本文的主要研究内容为：首先，通过文献梳理和逻辑推理，提出并界定了能力导向型人力资源实践系统、双元人力资源柔性核心概念的内涵，并且寻找出本文的研究基础与理论依据；其次，基于对中国企业的深度挖掘，通过质性研究明确双元人力资源实践的内涵，分析能力导向型人力资源实践系统的构成内容，在此基础上对相关核心概念之间的关系做进一步的确定与细分，以构筑能力导向型人力资源实践系统、双元人力资源柔性与组织适应性绩效的之间的逻辑关系与研究框架；再次，在整体研究框架的基础上，搭建了实证分析框架，提出了系列实证研究假设；最后，通过对测量工具的选择和修订、小样本的预调研等步骤之后，进行了较大样本的数据采集和定量分析，对理论假设进行了实证检验。实证验证沿着两条轨迹进行：其一，分别探讨数量柔性与功能柔性的前因变量和对组织适应性绩效的影响效应，主要得出以下研究结论：（1）能力导向型人力资源实践系统对组织适应性绩效存在积极显著的影响作用；（2）数量柔性对组织适应性绩效存在积极显著的影响作用；（3）功能柔性对组织适应性绩效存在积极显著的影响作用；（4）能力导向型人力资源实践系统对数量柔性和功能柔性均存在积极显著的影响作用；（5）数量柔性与功能柔性在能力导向型人力资源实践系统与组织适应性绩效的关系中均存在中介作用；（6）组织结构扁平化在数量柔性以及功能柔性与组织适应性绩效的关系中均具备显著的调节效应；（7）组织结构扁平化对数量柔性以及功能柔性在能力导向型人力资源实践系统与组织适应性绩效关系中的中介作用具备调节作用。其二，对双元人力资源柔性，即对数量柔性和功能柔性互补关系进行探讨，主要得出以下研究结论：（1）能力导向型人力资源实践系统对数量柔性与功能柔性互补存在积极显著的影响作用；（2）数量柔性与功能柔性互补对组织适应性绩效存在积极显著的影响作用；（3）数量柔性与功能柔性互补在能力导向型人力资源实践系统与组织适应性绩效的关系中存在中介作用；（4）组织结构扁平化在数量柔性和功能柔性互补与组织适应性绩效的关系中具备调节效应；（5）组织结构扁平化对数量柔性与功能柔性互补在能力导向型人力资源实践系统与组织适应性绩效关系中的中介作用具备调节效应。本研究可能的创新之处在于：（1）将双元性理论引入人力资源柔性研究，进一步挖掘了数量柔性与功能柔性之间的关系，提出“双元人力资源柔性”的概念，并通过质性访谈与扎根理论研究明确了两者之间在企业实践中表现为互补关系；（2）在文献梳理的基础上，提出“能力导向型人力资源实践系统”的概念，并在程序化扎根理论研究过程中发现其内涵包含了8项贴近中国企业情境的柔性能力导向的人力资源实践方式：广泛的培训、工作轮换、工作扩大化、多元化雇佣、员工关怀、信息分享、职业成长机会以及团队作业实践，并通过实证研究分析验证了该实践系统对双元人力资源柔性以及组织绩效的影响作用；（3）从柔性和能力相结合的视角，构建了“能力导向型人力资源实践系统——双元人力资源柔性——组织适应性绩效”的逻辑框架，为揭示“人力资源管理——组织绩效”过程的“黑箱”机制进行了新的尝试；（4）将组织结构扁平化作为战略人力资源柔性研究的边界条件之一进行了探讨，将组织变革因素纳入人力资源柔性管理研究之中。对于管理实践的启示在于：（1）强调了培育企业人力资源柔性，以及发挥两种柔性能力之间协同作用的重要性。本研究证明数量柔性与功能柔性之间的互补能够实现企业资源的合理利用和组织可持续竞争优势的获取，这对企业人力资源综合柔性能力的培育具备一定的指导意义；（2）通过研究发现的能力导向型人力资源实践系统所包含的具体人力资源实践方式，可为企业培育组织柔性能力提供借鉴；（3）本研究发现组织结构扁平化在双元人力资源柔性与组织适应性绩效的关系中具备显著的调节作用，当组织结构扁平化水平较高时，双元人力资源柔性更能够改善组织产出，为组织结构与人力资源管理变革实践的相互促进提供了依据。
英文摘要：	The environment of competition around the enterprises is full of complexity and uncertainty in the era of Internet and knowledge economy. The multilevel flexible characteristics, such as strategic flexibility, process flexibility and functional flexibility, have been implemented and viewed as a new source for companies to gain competitive advantages in more and more organizations. Academic community has paid more attention to the researches about organizational flexibility. Among many organizational factors, human resource is one of the most strategic value factors. And the role of human resource flexibility in the sustainable development of enterprises has become increasingly prominent. As a result, how to cultivate human resource flexibility and make it work has become an important issue that deserves academia especially to focus on, and also became one of the biggest challenges for management practice in modern enterprises, especially for Chinese enterprises. However, the existing literature on human resource flexibility mechanism need to excavate deeply and perfect, mainly because: (1) the existing researches on the human resource flexibility are mainly based on the flexible enterprise framework, which was proposed in the mid of 1980s by British scholar Dickinson, namely human resource flexibility is mainly divided into numerical flexibility and functional flexibility. The later scholars did many theoretical and empirical researches on this issue, while they did not achieve consistent conclusion. Most research conclusions suggest that the human resource flexibility, both numerical flexibility and functional flexibility cater the competitive needs and they are beneficial for organizations to obtain sustainable competitive advantages. However, there are also many scholars see human resource flexibility as a double-edged sword, which means they acknowledge its negative impacts on organizational performance. From the academic perspective, the controversy originates from the scholars did not define a clear conception of human resource flexibility, which includes connotation, properties and dimensions, and lack of theoretical foundation for explaining these concepts as well. Secondly, the non-uniform research approach and perspective also result in the controversy. Many researchers consider human resource flexibility as a single structure to study or perform fragmented studies be based on independent thinking rather than do an integrated research. Based on tactic perspective, other researchers regard human resource flexibility as a strategic tool, rather than a organizational capability. This nonsystematic research ideas and limited analytical obstruct the conduction of in-depth research on human resource flexibility, but also bring out difficulties in exploring essential characteristics of numerical flexibility and functional flexibility, their interrelationship as well as the mechanism of how they affect organizational performance. (2) According to the strategic human resource management theory, the function of human resource management is to achieve organizational goals by effectively configuring and managing the human resource of the organization，and by improving the overall human resource capacity of the organization. However, the dramatic change of external environment leads to disruptive changes of human resource management. Human resources management are evolving to show characteristics of innovative, agile, professional and networked with multiple subjects and diverse form. A variety of human resource management measures appear constantly, such as human resources outsourcing, informal/atypical employment, organizational alliance etc., which have deeply effected the heterogeneity and complex structured within the organization. As the situation of Chinese enterprises, the human resource development and management started later compared to western countries, however, it is developing towards the direction of reform and innovation by referring to advanced management theories and practices, and integrating into domestic culture or system. Therefore, confronting of the complicated external environment and internal conditions, managers need to consider how to enable human resource practice system fit the context in China. This study argues that the two dimensions of human resource flexibility are quite different in character and function. They impact the enterprise management efficiency and organizational performance in different ways. Therefore, it is necessary to carry out a deep analysis on numerical flexibility and functional flexibility. In fact, both numerical flexibility and functional flexibility are important composition of human resource flexibility. In specific, they should be understood in a systematic way, not only the mechanism of how numerical flexibility and functional flexibility respectively should be pay attention to, but also should the relationship between them should be valued. And then explore the essential characteristics of human resource flexibility. So, it is necessary to carry out in-depth studies on the relationship between numerical flexibility and functional flexibility on the basis of previous researches. Based on the theoretical analysis and practice requirements, this study attempts to explore and solve the following problems: (1) How to redefine human resource flexibility from the perspective of ability? And How to analyze the connotation of dual human resource flexibility deeply? Further, we will discuss the former dependent variable and the result variable. (2) According to the strategic human resource management theory, what are the characteristics of human resource practice system based on Chinese enterprise practice? And what specific practices should be included in the human resource practice system? How does the human resource practice system affect the human resource flexibility, especially the dual-element human resource flexibility? (3) What is the role of dual human resource flexibility in the relationship between human resource practice system and organizational performance (mainly adaptive performance)? (4) Can the flatting feature of organizational structure become an important contingent variable in the logical chain of "human resource practice system-dual human resource flexibility-organizational adaptive performance"? The main research content of this article are: at first, this paper defines the connotation of capability–oriented human resources practice system and dual human resources flexibility through literature review and logical reasoning, and finds out the research foundation and theoretical basis; Secondly, on the basis of the discovery of Chinese enterprises, this paper defines the connotation of dual human resources, analyzes the constitution of capability–oriented human resources practice system and determines the relationship between the core concepts in order to build the logical relationship and research framework between capability–oriented human resources practice system, dual human resources flexibility and organizational adaptive performance. Thirdly, it sets up the empirical analysis framework on the basis of overall research framework, and proposes a series of empirical research hypotheses. Finally, the paper proceeds data collection and quantitative analysis after the selection and revision of measuring tools and small sample preliminary research, through which the theoretical assumptions are empirically tested. Therefore, empirical test is carried out along two tracks: at first, it discusses numerical flexibility and functional flexibility respectively, and the main conclusions are as follows: (1) Numerical flexibility has positive influences on organizational adaptive performance. (2) Functional flexibility has positive influences on organizational adaptive performance. (3) The capability–oriented human resource practice system has positive influences both on numerical flexibility and functional flexibility. (4) The capability–oriented human resource practice system has positive influence on organizational adaptive performance. (5) Numerical flexibility and functional flexibility have mediating effects in the relationship between capability–oriented human resource practice system and organizational adaptive performance. (6) The flattening of organizational structure moderates the relationship between numerical flexibility and functional flexibility and organizational adaptive performance. (7) The flattening of organizational structure moderates the mediating effect of numerical flexibility and functional flexibility. Secondly, the study discusses the relationship between numerical flexibility and functional flexibility, and the main conclusions are as follows: (1) The capability–oriented human resource practice system positively influence the complementarity between numerical flexibility and functional flexibility. (2) The complementarity between numerical flexibility and functional flexibility has positive influences on organizational adaptive performance. (3) The complementarity between numerical flexibility and functional flexibility have mediating effects in the relationship between capability–oriented human resource practice system and organizational adaptive performance. (4) The flattening of organizational structure moderates the relationship between the complementarity and organizational adaptive performance. (5) The flattening of organizational structure moderates the mediating effect of complementarity between numerical flexibility and functional flexibility. The innovations of this study are: (1) Introduce the dual theory to the human resources flexibility research field, explore the relationship between numerical flexibility and functional flexibility, bring up the concept of "dual human resources flexibility", and investigate the complementary relationship between the numerical flexibility and functional flexibility in the enterprises practices through qualitative interview and grounded theory research. (2) On the basis of systematic literature review, the study puts forward the concept of " capability-oriented human resources practice system", and in the process of procedural grounded theory research , it finds that the connotation of the concept includes eight capability-oriented human resources practices which are close to the situation of Chinese enterprises: extensive training, job rotating, job enlargement, diversified employment, employees care, information sharing, career growth opportunities, as well as team work practices. The impact of the practice system on dual human resources flexibilities and organizational performances is verified through empirical researches. (3) From the combining perspective of flexibility and capacity, the study sets up the logical framework: capability–oriented human resources practice system-dual human resources flexibility- organizational adaptive performance, which makes a new attempte to reveal the "black box" mechanism in the process of "human resources management-organizational performance". (4) Flattening of organizational structure is discussed as one of the boundary conditions for the research of strategic human resources flexibility, and organizational reform factors are included in the research of human resources flexible management. The revelations for management practices are: (1) emphasize the importance of nurturing the human resource flexibility of the enterprise and the synergy between the two flexible abilities. This study proves that the synergy between the numerical flexibility and functional flexibility can achieve the rational use of enterprise resources and the gain of organizational sustainable competitive advantage, which provides a certain guiding significance for the cultivation of enterprise human resources comprehensive flexible abilities. (2) This study discovers the specific human resource practices which constitute the capability-oriented human resource practice system and it provides references for enterprises to cultivate organizational flexible abilities. (3) The study discovers that flattening of organizational structure has a significant adjustment in the relationship between the dual human resources flexibilities and adaptive performance. When the level of organizational structure flattening is higher, the dual human resources flexibilities can improve more organizational productivity, which provides the basis of the mutual promotion between the organization structure and human resources management reform practices.
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