企业社会责任战略管理框架研究
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摘要
近年来，不断涌现的责任消费者和责任投资者，使企业社会责任日益成为影响企业竞争优势的战略性因素。受此影响，企业社会责任与战略的结合，以及相应的战略管理方法已经成为了一个新兴的研究领域。然而，相对于企业社会责任战略理论的发展，企业社会责任战略管理的理论和实践略显滞后。基于上述事实，本论文以义利共生理论为基本依据，构建了由管理原则、管理目标和管理流程等构成的企业社会责任战略管理框架。由此而来，本论文的研究不仅可以为国内企业系统实践企业社会责任战略管理提供新的理论指导，而且还可以为国内企业社会责任战略管理体系的研究提供新的思路。
按照管理原则、管理目标和管理流程的顺序，本论文总共分七章来阐述企业社会责任战略管理框架的相关内容：
首先，本论文通过对相关文献的述评，提出了“企业如何合理承担社会责任”、“企业社会责任在何种条件下对企业财务绩效有正向影响”和“企业怎样实现社会责任与竞争优势的融合”等三个与企业社会责任战略管理紧密相关的核心问题。其中，第一个问题涉及企业社会责任形成和合理化问题，其中蕴涵着企业社会责任战略管理的基本原则；第二个问题涉及企业社会责任战略管理目标的实现条件，从中可以揭示企业社会责任战略的优势来源；而如何实现企业社会责任战略目标，是第三个问题所欲解决的问题。这一问题涉及企业社会责任战略的制定、实施和评价问题，是整个研究的核心。以上三个问题所涉及的管理原则、管理目标和管理流程共同构成了企业社会责任战略管理的基本框架。
其次，以企业、政府和公众三方权力互动为基础，论述了企业社会责任合理化的充分必要条件，以及实现这一合理性的动态演化过程，并由此提出了企业社会责任战略管理的权力制衡原则、责任合理原则和动态风险控制原则。这三个原则构成了企业社会责任战略管理的基本原则。
第三，基于动态性视角，阐述了义利共存战略和义利共溶战略与企业社会责任战略要素的关系，并借助库诺特博弈模型，分析了这两种战略类型的实现条件。对于义利共存战略而言，政府的偏好、发展观和执行力等特征都能影响义利共存战略的成败，而责任消费者的购买力和规模则是影响义利共溶战略成败的重要因素。而企业社会能力是影响上述两种战略的重要内在因素。
第四，阐述了实现战略目标的管理流程方法。比较了情景分析法在社会责任战略制定中的优缺点，并提出了企业社会责任战略制定的情景分析步骤。根据企业社会责任战略承诺的两面性，提出了减少经营风险和增强竞争优势的企业社会责任战略实施体系。根据企业社会责任战略的五个关键成功要素，提出了评价这五个环节的企业社会责任战略绩效评价指标体系。
最后，以国内大型企业的社会责任实践为基础，分两步简要验证了本研究的主要研究成果，并由此揭示出国内大型企业实施社会责任战略管理过程中的问题。
本论文存在着以下创新性：（1）构建了涵盖管理原则、管理目标和管理流程等内容的企业社会责任战略管理框架；（2）以权力互动为核心，提出了企业社会责任战略管理须遵循的权力制衡原则、责任合理原则和动态风险控制原则；（3）通过构建库诺特博弈模型，分析了义利共存战略和义利共溶战略的实现条件；（4）以承诺理论为基础，提出了企业社会责任战略的制定、实施和评价方法。
The appearance of more and more responsible consumers and investors has madecorporate social responsibility (i.e. CSR) a business opportunity to attain sustainablecompetitive advantages in recent years. As a result, the combination of CSR withstrategy and relevant strategic management methods has become an emerging researchfield. However, the theories and practices on strategic management of CSR lag behindthe development of CSR strategy theories. Based on these facts, this article choosesthe co-generation theory of righteousness and benefit as the research base andconstructs the strategic management framework of CSR, which includes managerialprinciples, managerial goals and managerial processes. Obviously, this articleprovides not only a new theoretical foundation for Chinese corporations to practicestrategic management of CSR but also a new channel for Chinese academics todevelop such a strategic management theory of CSR further.
In line with the sequence of managerial principles and managerial goals andmanagerial processes, this article divides the whole content into seven parts:
Firstly, through reviewing the relevant literature, this article puts forward threekey problems connected tightly with strategic management of CSR: how to assure therationality of CSR? Under what conditions will CSR have a positive impact oncorporate financial performance? And how can corporations combine CSR withcompetitive advantages? The first problem among them refers to the formation andrationality of CSR, which may reveals three basic principles of strategic managementof CSR. The second problem among them is related to the conditions to attain CSRstrategy goals and shows the sources of competitive advantages from the CSR strategy.The third problem among them is the core of the whole research and aims at realizingthe goals of CSR strategy, which is connected with the making and implementing andevaluating of CSR strategy. The strategic management framework of CSR iscomposed with the above managerial principles and goals and processes.
Secondly, based on interaction among corporations and governments andcommunities, it sets forth the sufficient and necessary condition for the rationality ofCSR and the paths of dynamic evolution to make CSR proper and summarizes theprinciple of power constrain, the principle of proper responsibility and the principleof dynamic risk control. These three principles are the basic principles of strategic management of CSR.
Thirdly, it reveals the relationships between the types of CSR strategy andstrategic CSR from the view of dynamics and analyzes the internal and externalconditions of implementing the co-existence strategy and the solution strategy ofrighteousness and benefit successfully by building the Cournot model. According tothe co-existence strategy of righteousness and benefit, the preference and value ofdevelopment and execution of the governments are the key outer factors. However,the size and purchasing power of responsible consumers have important impacts onthe success of the solution strategy of righteousness and benefit. For both of the abovestrategies, the social competence is the key inner factors.
Fourthly, it shows the managerial processes to realize the strategic goals. Itcompares advantages and disadvantages of scenario planning with those of otherplanning methods in strategy-making and constructs five scenario planning processesof formulating CSR strategy. Then, it analyzes the dual impacts of commitment toCSR strategy on business and puts forward the implementing system of CSR strategyto control strategic risks and gain advantages. At last, it reveals five interconnectingfactors which are critical to realize the goal of CSR strategy and constructs anindicator system to evaluate the effect of CSR strategy.
Finally, based on social responsible practices of big Chinese corporations, itsimply testifies practicality of main conclusions of the above three problems andreveals possible problems occurring in course of managing corporate socialresponsibility strategy at big Chinese corporations.
This article shows following innovations:(1)This article constructs a strategicmanagement framework of CSR which is composed with managerial principles,managerial goals and managerial processes;(2)Taking power interaction as a core, thisarticle articulates the principle of power constrain, the principle of properresponsibility and the principle of dynamic risk control which the strategicmanagement of CSR should accord with;(3) By building Cournot model, this articleanalyzes the internal and external conditions of implementing the co-existencestrategy and the solution strategy of righteousness and benefit successfully;(4) Basedon commitment theory, this article puts forward the planning and implementing andevaluating methods of CSR strategy.
按照管理原则、管理目标和管理流程的顺序，本论文总共分七章来阐述企业社会责任战略管理框架的相关内容：
首先，本论文通过对相关文献的述评，提出了“企业如何合理承担社会责任”、“企业社会责任在何种条件下对企业财务绩效有正向影响”和“企业怎样实现社会责任与竞争优势的融合”等三个与企业社会责任战略管理紧密相关的核心问题。其中，第一个问题涉及企业社会责任形成和合理化问题，其中蕴涵着企业社会责任战略管理的基本原则；第二个问题涉及企业社会责任战略管理目标的实现条件，从中可以揭示企业社会责任战略的优势来源；而如何实现企业社会责任战略目标，是第三个问题所欲解决的问题。这一问题涉及企业社会责任战略的制定、实施和评价问题，是整个研究的核心。以上三个问题所涉及的管理原则、管理目标和管理流程共同构成了企业社会责任战略管理的基本框架。
其次，以企业、政府和公众三方权力互动为基础，论述了企业社会责任合理化的充分必要条件，以及实现这一合理性的动态演化过程，并由此提出了企业社会责任战略管理的权力制衡原则、责任合理原则和动态风险控制原则。这三个原则构成了企业社会责任战略管理的基本原则。
第三，基于动态性视角，阐述了义利共存战略和义利共溶战略与企业社会责任战略要素的关系，并借助库诺特博弈模型，分析了这两种战略类型的实现条件。对于义利共存战略而言，政府的偏好、发展观和执行力等特征都能影响义利共存战略的成败，而责任消费者的购买力和规模则是影响义利共溶战略成败的重要因素。而企业社会能力是影响上述两种战略的重要内在因素。
第四，阐述了实现战略目标的管理流程方法。比较了情景分析法在社会责任战略制定中的优缺点，并提出了企业社会责任战略制定的情景分析步骤。根据企业社会责任战略承诺的两面性，提出了减少经营风险和增强竞争优势的企业社会责任战略实施体系。根据企业社会责任战略的五个关键成功要素，提出了评价这五个环节的企业社会责任战略绩效评价指标体系。
最后，以国内大型企业的社会责任实践为基础，分两步简要验证了本研究的主要研究成果，并由此揭示出国内大型企业实施社会责任战略管理过程中的问题。
本论文存在着以下创新性：（1）构建了涵盖管理原则、管理目标和管理流程等内容的企业社会责任战略管理框架；（2）以权力互动为核心，提出了企业社会责任战略管理须遵循的权力制衡原则、责任合理原则和动态风险控制原则；（3）通过构建库诺特博弈模型，分析了义利共存战略和义利共溶战略的实现条件；（4）以承诺理论为基础，提出了企业社会责任战略的制定、实施和评价方法。
The appearance of more and more responsible consumers and investors has madecorporate social responsibility (i.e. CSR) a business opportunity to attain sustainablecompetitive advantages in recent years. As a result, the combination of CSR withstrategy and relevant strategic management methods has become an emerging researchfield. However, the theories and practices on strategic management of CSR lag behindthe development of CSR strategy theories. Based on these facts, this article choosesthe co-generation theory of righteousness and benefit as the research base andconstructs the strategic management framework of CSR, which includes managerialprinciples, managerial goals and managerial processes. Obviously, this articleprovides not only a new theoretical foundation for Chinese corporations to practicestrategic management of CSR but also a new channel for Chinese academics todevelop such a strategic management theory of CSR further.
In line with the sequence of managerial principles and managerial goals andmanagerial processes, this article divides the whole content into seven parts:
Firstly, through reviewing the relevant literature, this article puts forward threekey problems connected tightly with strategic management of CSR: how to assure therationality of CSR? Under what conditions will CSR have a positive impact oncorporate financial performance? And how can corporations combine CSR withcompetitive advantages? The first problem among them refers to the formation andrationality of CSR, which may reveals three basic principles of strategic managementof CSR. The second problem among them is related to the conditions to attain CSRstrategy goals and shows the sources of competitive advantages from the CSR strategy.The third problem among them is the core of the whole research and aims at realizingthe goals of CSR strategy, which is connected with the making and implementing andevaluating of CSR strategy. The strategic management framework of CSR iscomposed with the above managerial principles and goals and processes.
Secondly, based on interaction among corporations and governments andcommunities, it sets forth the sufficient and necessary condition for the rationality ofCSR and the paths of dynamic evolution to make CSR proper and summarizes theprinciple of power constrain, the principle of proper responsibility and the principleof dynamic risk control. These three principles are the basic principles of strategic management of CSR.
Thirdly, it reveals the relationships between the types of CSR strategy andstrategic CSR from the view of dynamics and analyzes the internal and externalconditions of implementing the co-existence strategy and the solution strategy ofrighteousness and benefit successfully by building the Cournot model. According tothe co-existence strategy of righteousness and benefit, the preference and value ofdevelopment and execution of the governments are the key outer factors. However,the size and purchasing power of responsible consumers have important impacts onthe success of the solution strategy of righteousness and benefit. For both of the abovestrategies, the social competence is the key inner factors.
Fourthly, it shows the managerial processes to realize the strategic goals. Itcompares advantages and disadvantages of scenario planning with those of otherplanning methods in strategy-making and constructs five scenario planning processesof formulating CSR strategy. Then, it analyzes the dual impacts of commitment toCSR strategy on business and puts forward the implementing system of CSR strategyto control strategic risks and gain advantages. At last, it reveals five interconnectingfactors which are critical to realize the goal of CSR strategy and constructs anindicator system to evaluate the effect of CSR strategy.
Finally, based on social responsible practices of big Chinese corporations, itsimply testifies practicality of main conclusions of the above three problems andreveals possible problems occurring in course of managing corporate socialresponsibility strategy at big Chinese corporations.
This article shows following innovations:(1)This article constructs a strategicmanagement framework of CSR which is composed with managerial principles,managerial goals and managerial processes;(2)Taking power interaction as a core, thisarticle articulates the principle of power constrain, the principle of properresponsibility and the principle of dynamic risk control which the strategicmanagement of CSR should accord with;(3) By building Cournot model, this articleanalyzes the internal and external conditions of implementing the co-existencestrategy and the solution strategy of righteousness and benefit successfully;(4) Basedon commitment theory, this article puts forward the planning and implementing andevaluating methods of CSR strategy.
引文
①资料来源于武汉钢铁（集团）公司发布的《2008社会责任报告》，第32页。
①资料来源于国家电网公司发布的《2009社会责任报告》，第34-39页。
①资料来源于《中远集团2010年可持续发展报告》。
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