中国民营企业合法性战略及其反哺机制研究——基于组织与制度协同演化的视角

From system theory, resource allocation of market mechanism and non-market mechanism exist in the transition economics at the same time. Limitation of the external market is largely due to the government that holds the configuration rights to produce critical resources. Based on the background of transition of economic system in China, private enterprises, through strategic choices, overcome “legitimacy” and improve the social identity of themselves, which has a significance effect to its resource acquisition. From the perspective of evolution of system and coordination, combined with the enterprises` resource, this project aims at trying to break through the existing limitations for research. Addition, because of transition of China`s economic system, it will discuss the legal acquisition for private enterprises of market and non-market strategy for mechanism and path. Meanwhile, with transition of system and organization`s dynamical evolution, it will examine the system under the background of the spillover effect of the organization`s evolution and institutional environment, and gain the ability of organizational financing mechanism for resources. Moreover, the innovation of this project is to open the box of “situational effect” and discuss the legal strategy for stressful private enterprises , so as to explore the effective solution for private enterprises to exist in the dilemma, and, under the transition of China`s unique economic situation, promote the innovation and development of theory in the strategy management practice. .It`s crucial for private enterprises to obtain legitimacy to its survival and development. Transition economies are in different institutional environments, compared with mature market economy and system background. In the transformation of economic, the interaction between system change and organizational evolution becomes common. But if we only stress the importance of system of strategy, it will never be enough. The more important is the reason why institutional factors matter for strategic traits, and which degree does institutional factors and variables has and what way does it has to influence enterprise strategic behavior and choice? On the other hand, what`s the influence do the results of the enterprise strategy implementation have on the environment system? Will it lead to institutional change? Is the direction of institutional change consistent with the organizational evolution in the future? .Based on the above review of the research at home and abroad, this project attempts to break the existing research limitations. From the perspective of evolution organization, and coordination and combined with the enterprise's resource, this project will discuss the legal choice for strategic path and mechanism under the transition of economic system in China. With institutional change and organizational dynamical evolution, this project examines the system under the background of the spillover effect of the organiz

制度理论认为，在转型经济体中资源配置的市场机制和非市场机制同时存在，外部市场的局限性很大程度上是由于政府掌握着关键性生产资源的配置权。基于我国转轨经济的制度背景，民营企业通过战略选择，克服“合法性门槛”，提高社会对于组织的认同，对其资源获取和成长有着重要意义。本项目拟尝试突破现有的研究局限，基于组织与制度协同演进的视角，结合企业的资源基础，探讨在中国转轨经济的制度背景下，民营企业的市场化战略和非市场化战略的合法性获取机制和路径，并将制度变迁和组织演进动态化，考察制度背景下的组织演进的溢出效应，以及溢出效应对组织的制度环境，组织资源获取能力的反哺机制。本项目的创新之处在于打开“情境效应”的黑箱，探讨制度压力下民营企业的合法性战略，为破解我国转轨经济过程中民营企业的制度困境提供可借鉴的思路，同时在战略管理实践中促进中国转型经济独特情境下理论的创新和发展。

项目研究对象为中国民营企业，围绕民营企业的合法性战略来展开研究。民营企业的合法性战略的研究从几个方面切入：就民营企业家的个人特质而言，我们的研究具体包括：民营企业主创业前职业流动对其创业企业的影响研究，民营企业家的社会背景对企业研发投资行为的影响研究，民营企业家的社会背景对企业环境责任的影响研究。 民营企业的合法性战略研究还包括：民营企业国际化以及环境治理研究，民营企业专利质量的影响因素研究，民营企业家社会阶层来源对企业社会责任行为的影响研究，民营企业家社会阶层来源与其互联网媒介使用研究。主要的研究结论包括：中国转轨经济体制背景下，较之非精英阶层而言，体制内外的精英们较易于获得“制度租金”，即便短期企业绩效不佳，其拥有的“制度租金”也能使企业存活下来。但长期而言，精英阶层创立的企业可能会陷入“制度陷阱”阻碍其绩效的提升，特别是精英企业在创新投入方面的不足可能是导致其长期绩效不佳的重要原因。我们的研究还发现高铁开通能显著降低所在城市企业的破产风险，且这一关系在不同城市环境下均获得了稳健的结果。同时，高铁开通对竞争性行业、民营企业以及制造业企业均呈显著的正向影响，也即基础设施建设能够有效降低企业的破产风险。更进一步的研究得出，信息透明度、股市反应和资源有效流动是降低企业破产风险的主要机制。而在私营企业主的互联网媒介使用研究方面，我们的结论包括：作为同一阶层群体，私营企业主的互联网媒介使用呈现差异性，来源于高社会阶层的私营企业主更偏好通过互联网发表观点和信息搜索，且结果不受行业、地域和同期群的影响；在创业前有显著阶层流动的个体也偏向于使用互联网媒介。线下关系降低了高阶层来源私营企业主的互联网媒介使用，但却提升了低阶层来源私营企业主的互联网媒介使用，线下关系和互联网使用之间的关系也受到了私营企业主阶层来源的调节。本文其他研究结论包括：企业的研发投入与政府的摊派费用之间呈倒U型的非线性关系，也即研发投入极少和极多的民营企业所面临的政治风险较小，研发投入居中的企业则面临较大的政治风险，且此非线性关系受到企业的政治关联和政治环境的不确定性的调节影响。