【作者】 石建昌；

【导师】 刘家强；

【作者基本信息】 西南财经大学 ， 劳动经济学， 2011， 博士

【摘要】 中国民营企业伴随着中国改革开放的进程,在经历了30多年的快速发展之后,面临新的发展阶段的挑战,二次创业成为民营企业继续生存和发展必须应对的难题。民营企业二次创业问题的出现已经引起了各界的高度重视,其中人力资源既是暴露二次创业难题的突出点,同时也被认为是实现二次创业成功的积极能动因素。如何通过战略人力资源管理来帮助民营企业成功实现二次创业成为重要的理论和现实研究课题。本研究以中国民营企业为研究对象,以民营企业的二次创业作为针对性目标,立足战略人力资源管理理论基础,在文献研究基础上,综合应用案例研究、问卷调查、以及参与式行动研究等实证研究方法,对民营企业二次创业中的战略人力资源管理展开了严谨、规范的探索,为民营企业二次创业和战略人力资源管理的理论领域拓展理解和知识,并为民营企业的二次创业实践提供参考和借鉴。本研究首先指出民营企业二次创业问题的出现并非仅仅是企业发展阶段的挑战,而有着特定中国社会、政治和经济演进的影响,因此必须从历史演进的角度进行分析。从民营企业在改革开放后发展的角度,以文献研究为基础,结合研究者的长期实地观察和资料收集,本研究指出内部权力利益的矛盾冲突、企业战略的创新挑战、以及资源和能力的瓶颈限制是中国民营企业二次创业所面临的三大核心挑战。内部权力利益冲突涉及股东、高层管理团队和员工之间在权力和利益上的分歧和争夺。民营企业发展战略在新的环境下的实现则要求企业必须创新出新的业务模式、重新选择自我的市场、产品(或服务)定位。同时,企业在资源和能力上也将出现新的需求,这种新的资源和能力需求不但使企业现有的内部资源和能力出现瓶颈,而且还使企业现有的外部资源和能力的缺陷情况也开始突显。二次创业的资源和能力瓶颈意味着企业在财务资本、智力资本和关系资本上的全面重塑需要。民营企业的二次创业成功在于突破在内部权力利益分配、公司战略、以及资源和能力上的三大挑战。战略人力资源管理要在其中做出贡献则需要理清其作用机制,找到正确的作用点。通过采用案例实证研究,本研究发现战略人力资源管理是通过与公司治理、智力资本和组织学习之间的互动来做出贡献。通过作用于公司治理,战略人力资源管理能够帮助企业在本源上理清权力和利益关系；通过作用于智力资本,帮助实现人力资本、社会资本和结构资本的重塑,改善和提高公司的资源和能力水平；通过作用于组织学习,使企业的战略环境分析、战略制订、战略执行得到来自人力的积极支持。并且,战略人力资源管理对民营企业二次创业的作用受到环境不确定性和关系依赖的调节作用。在案例研究提出理论命题之后,本研究通过对战略人力资源管理及相关理论的推理,提出了具体的战略人力资源管理对民营企业二次创业作用机制的理论模型。然后,通过采用问卷调查的方法,本研究的实证数据证明战略人力资源管理对公司治理、智力资本和组织学习有显著的正向作用。任务环境的不确定性正向调节客户资本、人力资本、以及组织资本的创新要素。而制度环境的不确定性则显著地负向调节战略人力资源管理对公司董事会和高层管理人员的治理、客户资本、人力资本的正向表现以及组织结构资本。此外,关系依赖负向地调节战略人力资源管理对人力资本负向表现的作用。为了进一步深化本研究,以合力公司为对象,本研究采取参与式行动研究的方法,通过研究者自身在合力公司推动和贯彻战略人力资源管理的实践,探索民营企业二次创业中导入战略人力资源管理的过程性规律。实证研究发现,在二次创业的开始阶段,公司治理的调整是导入战略人力资源管理的前提,没有在股东会、董事会和高管层面基于财务资本、智力资本和关系资本的权力和利益均衡,战略人力资源管理的导入将无从启动和实现,而支持战略人力资源管理的企业家的存在是关键性因素。紧跟公司治理的调整,公司新的战略创新以及对应的公司资源和能力培育方向确定将为战略人力资源管理的努力方向提供指引,确立战略人力资源管理的政策取向,促进战略人力资源管理具体措施的制订和执行。反之,战略人力资源管理则通过新的人力资源配置、内部胜任力培养机制建立、战略导向的绩效和薪酬体系构建、企业文化塑造来作用于公司二次创业的组织变革,其作用随着二次创业的深入日渐提升。本研究的开展将对民营企业二次创业的研究和对战略人力资源管理的研究结合在了一起,因此对两个领域都有积极的理论贡献作用。在民营企业二次创业方面,本研究提供通过战略人力资源管理作用于二次创业挑战的作用机制模型,将有助于理清二次创业启动和持续发展的问题。此外,本研究将战略人力资源管理引入民营企业二次创业的情景,帮助加深了对战略人力资源作用机制的理解,并且增进了对环境不确定性和关系依赖调节作用的认识,这些都将进一步丰富战略人力资源管理的理论领域,通过本研究的开展,结合相关研究,本研究还提出三方面重点的应用建议：第一,需要以组织变革的角度来看待二次创业中的战略人力资源管理,进而分析企业的个性化战略人力资源管理需求,决定战略人力资源管理政策和措施；第二,以健康公司治理为基础的企业家对战略人力资源管理的认识、理解、传播和身体力行是发挥二次创业中战略人力资源管理作用的前提和关键；第三,改善民营企业外部环境的动态性和复杂性,特别是提高制度环境的稳定性和透明度。此外,在本研究的基础上,未来有必要继续深化以下研究方向：二次创业中的战略人力资源管理创新能力的培育和开发的问题；持续二次创业的问题；核心团队的持续、动态激励约束问题；股东物质资本、智力资本和关系资本对构建健康公司治理的作用问题。更多还原

【Abstract】 Co-evolving with the openness and reform of China, the private enterprises in China are facing new challenges of second pioneering, which influences the survival and development of private enterprises. The difficulties of second pioneering have drawn much attention from different parties. Human resource has been recognized as one main problem that causes the challenges of second pioneering, but also is recognized as the active driver for successful pioneering. How to help private enterprises to achieve successful second pioneering through strategic human resource management(SHRM) has been important theoretical and practical topic. Aiming at the second pioneering of private enterprises in China, this research uses mixed methodology to study the effect mechanisms of SHRM on the second pioneering of Chinese private enterprises.Firstly, this research indicates that the second pioneering problem of Chinese private enterprises is not only just the challenges of firm development stages but rooted deeply in the evolution of Chinese society, political, and economy, which demands a historical-evolutionary perspective. Through systematic literature study for private enterprises in the past three decades, this research indicates that internal interest and power conflicts, strategic innovation difficulty, and limits of resource and capability are the main three challenges for the second pioneering. The internal interest and power conflict are related to the fight among shareholders, senior manger team, and ordinary employees。Strategic innovation difficulty constrains the private enterprises to renew its strategy, business model, and market positioning. At the same time, the limits of resource and capability weaken private enterprises’possibility to develop new business and realize their strategies, which implies the demand of reconfiguring financial, intellectual, and relationship capital for private enterprises.Secondly, this research tries to find out the mechanisms that link SHRM to the resolution of three main challenges of second pioneering. Applying case research method, this research finds that SHRM contributes to the success of second pioneering through interactions with corporate governance, intellectual capital, and organizational learning. Through effect on corporate governance, SHRM can help to clarify power and interest relationships within firms。Through effect on intellectual capital, SHRM can help to reconfigure human capital, social capital, and organizational capita. Through effect on organizational learning, SHRM could support strategic analysis, strategic-making, and strategic implementation. Besides, the effect of SHRM is moderated by environment uncertainty and relationship dependence. The main research propositions are proposed through study in this part.Thirdly, this research proposes and tests the effect framework of SHRM on the second pioneering. Using survey with questionnaire, this research finds significantly positive impacts of SHRM on corporate governance, intellectual capital, and organizational learning. While task environment uncertainty will positively moderate the effect of SHRM on client capital, human capital, and innovation factor of organizational capital, institutional environment uncertainty will negatively moderate the effect of SHRM on governance of director boards and senior managers, client capital, positive orientation of human capital, and organizational structural capital. Besides, relationship dependence will negatively moderate the effect of SHRM on negative orientation of human capital.Fourthly, this research conducts participation action research to deepen the understanding of how to introduce SHRM into private enterprises. Through own management practice at HELI Company, researcher tries to explore the process disciplines of SHRM in the second pioneering private enterprises. The empirical work demonstrates that without the balance of financial, intellectual, and relationship capital at shareholder, director, and senior management level, the introduction and implementation of SHRM will not be initiated and realized. The existence of entrepreneurs that support SHRM is the key factor. On the one hand, following the change of corporate governance, innovation of new strategy, and cultivation of new resource and capability, the private enterprises could define their SHRM direction and policy, which will lead firm to design their SHRM practice in turn. On the other hand, SHRM generates impact on organizational change of second pioneering through new staffing and allocation efforts, new competence cultivation system, and strategic oriented performance and compensation system, which is deepened with the development of second pioneering.This research contributes to both fields of SHRM and second pioneering of private enterprises by combining these two fields. For the field of second pioneering of private enterprises, this research contributes to clarify the problems of initiation and continuous development of second pioneering through establishing the effect mechanism framework of SHRM. Moreover, this research contributes to SHRM filed by putting SHRM into the specific context of second pioneering, which helps to enrich the knowledge about SHRM effect mechanism and moderation effect of environmental uncertainty and relationship dependence.Based on the research findings, this research provides practical implications in three aspects. Firstly, managers need to apply a perspective of organizational change to analyze the specific demands of SRHM and decide SHRM policy and practice. Secondly, the support and enforcement of entrepreneurs based on healthy corporate governance are preconditions for SHRM in second pioneering. Thirdly, to ensure the effect of SHRM in the second pioneering private enterprises requires to decrease the environmental uncertainties, particularly improve the stability and transparency of institutional environment. The future study could address the following four topics:innovation capability of SHRM; continuous second-pioneering; dynamic motivation and constraints of core team; shareholders’ physical, intellectual, and relationship capital in corporate governance。更多还原