社会组织自主性的合法性基础及其有效性影响研究

发布时间：2018-06-13 22:25

  本文选题：组织自主性 + 新制度主义　； 参考：《浙江大学》2016年博士论文

【摘要】：在传统三部门分析视角下,社会组织被视为是弥补政府和市场不足的重要主体,其可以通过提供各类社会和志愿服务、推动相关领域的社会创新,从而促进国家与社会间的良性互动,推动社会整体的有序成长。因而,如何更好地促进社会组织发挥上述重要功能,成为众多研究者们所关心的问题。大部分学者强调,社会组织的自主性构成了其促成相关社会作用的基本前提,由于学术背景的差异和理论视角的纷呈,研究者们对于社会组织的自主性概念的界定存在着众多分歧,在判断中国的社会组织是否拥有自主性和独立性方面存在着明显争议。上述情况导致大部分研究忽视了更为关键的“为什么”问题,即为什么不同地区或者背景的社会组织会拥有很大的自主性差异,为什么处在同一地区乃至成长轨迹都较为类似的社会组织会呈现出差异很大的发展水平?诸如此类的问题,均比单纯地争议是否存在着整体意义的社会组织自主性要更符合研究者们的初衷——即何种情况下社会组织可以成为良好治理或者善治的关键主体,而非单纯的政府或企业的附属性或补充性机构。基于上述看法,本文强调从以下几个问题出发来认识社会组织的自主性及其成因与影响：(1)社会组织自主性的制度性前因及其理论基础：即哪些制度因素构成了社会组织自主性的基础,上述因素的影响大小如何?其具体的作用方式是怎么样的?(2)社会组织自主性对于第三部门应有功能发挥的潜在影响有多大?进一步而言,本文试图追问：自主性的缺位是否构成对社会组织的生存与发展影响?(3)制度性因素对组织功能的影响是直接的,还是经由组织自主性来发挥作用的?(4)组织所处环境的其他因素在组织自主性及其作用间究竟地位如何?立足于社会组织与政府间关系研究这一条主线,本文基于组织分析中的新制度主义强调,针对特定组织或者个体的相关行为解释,在本质上又离不开其所处的制度、文化和技术环境的剖析。因此,本文将分析视角落实在组织层次,并重点探讨相关的社会组织自主性在外部制度和组织功能发挥间真正扮演的角色。经过一系列理论推导和经验研究(多案例分析、回归分析、因子分析和结构方程模型),本文主要有以下的几点发现：(1)中国社会组织面临着众多的制度性压力,上述压力在一定程度上也代表了制度性使能(enactment)。结合案例和文献梳理结果,本文以为,来自政府的制度性因素可以分为两个层面,一个是传统意义的合法性概念,即社会组织可以获得政府的认可,二是更为积极意义的制度支持,即社会组织可以获得政府的赋予。基于资源依赖理论和新制度主义的最新发展成果,本文特别强调政府赋予社会组织的“制度资源”方面的支持对于组织自主性和后续发展的积极意义。本文发现,合法性和制度支持均会直接影响到社会组织基本功能的发挥,其对于组织的有效性和创新有着直接的提升意义。(2)通过对4个案例和253家社会组织调研结果的系统梳理和实证检验,本文发现,组织获得的合法性和制度支持也会影响到社会组织的自主性,并可以借由社会组织的自主性影响到社会组织的组织有效性和创新。因此,从这个角度看,社会组织的自主性至少扮演了两个层次的角色：一方面,拥有自主性的社会组织往往拥有更高的创新和绩效水平；另一方面,制度性因素往往是经由自主性来提升社会组织的创新或绩效的。(3)相关大样本实证检验的结果还显示,自主性与组织创新间的相互影响(作用)会受到外部不确定性的调节,社会组织自主性之于创新的促进作用会因为外部环境的不确定性而减弱；而自主性与组织有效性间的关系则并不受到不确定性的相关影响,由此可见,制度性因素与技术性因素间存在着相互影响的态势,社会组织获取了特定的自主性并不一定就有机会获得更高的效果,还仍然需要考虑到环境中存在着的其他因素,单纯地强调自主性是毫无意义的。基于上述发现和本文的基本研究模式,可以认为本文拥有以下几个方面的创新或者突破：(1)本文从功能发挥的角度来判断社会组织自主性真正扮演的角色,而非单纯的“托克维尔式”思路,从而提出了较有针对性和可操作性的组织自主性概念,并通过因子分析的方式确立了这一概念的合理性。相比已有研究对于组织自主性的操作化定义较为随意,且往往是基于案例分析后笼统地概括某个组织的自主性程度的状况,本文的界定更为合理,在严谨性上也更为突出。(2)当前大部分分析重在判断社会组织自主性的概念,却并未考虑到其在特定的系统中扮演的角色。借鉴新制度主义的基本思考逻辑,本文突破了传统意义的自主性作为某项结果或者作为特定因素前因的判断模式,转而将其视为是特定的中介变量,从而打开了外部制度性因素与组织内部运作和产出间的“黑箱”,为自主性研究提供了新的思路,并且从新制度主义出发的理论分析视角也为后续的研究提供了更多思考和启发。(3)从研究策略的角度看,目前关于组织自主性的研究多以案例研究为主,缺乏定量分析。本文在理论论述和案例梳理的基础之上,借助必要的定量分析工具,对社会组织自主性的内涵、形成机理和对组织活动(创新与有效性)的相关影响进行系统全面的探讨,具有重要的实践价值和理论意义,上述“三角检验”的分析策略也具一定意义的突破。总之,本文发现了社会组织自主性在制度性因素和组织功能发挥间的中介作用以及自主性功能发挥所面临着的制约性因素。本文的发现表明政府完全可以借助相关政策,引导和扶持特定的社会组织,逐步提升其自主性,并使之发挥更加有意义的作用。后续的研究可以沿着本文所给出的相关研究展望,对社会组织自主性所扮演的角色作更为深入的考察。
[Abstract]:In the perspective of the traditional three sector analysis, the social organization is regarded as an important subject to make up for the insufficiency of the government and the market. It can promote social innovation in the related fields by providing all kinds of social and voluntary services, thus promoting the benign interaction between the state and society and promoting the orderly growth of the whole society. Thus, how to promote the society better Most scholars have emphasized that the autonomy of the social organization constitutes the basic prerequisite for its social role. Because of the differences in academic background and the confusion of the theoretical perspective, there are many points for the researchers to define the concept of autonomy of the society. There are obvious disputes in judging whether China's social organizations have autonomy and independence. The above results have led to most of the studies ignoring the more critical "why" issues, that is, why social organizations in different regions or backgrounds have great autonomy differences, and why they are in the same area or even growing up. The social organizations with similar trajectories present a significant level of development, and all such problems are more consistent with the original intention of the researchers than the social organization autonomy that has a holistic sense of whether a simple dispute exists - in other cases, social organizations can be the key subject of good governance or good governance, and not Based on the above views, this article emphasizes the autonomy and its causes and influences from the following issues: (1) the institutional antecedents and theoretical foundations of the autonomy of social organizations: which are the institutional factors that constitute the foundation of the autonomy of the social organization, How is the impact of the factors? What is the specific mode of action? (2) how much is the potential impact of the autonomy of the social organization on the function of the third sector? And further, this article tries to ask whether the absence of autonomy constitutes an impact on the survival and development of the social Organization (3) institutional factors to the organizational function Is the influence directly or through organizational autonomy? (4) what is the status of the other factors in the organization and its role in the organization? Based on the main thread of the study of social organizations and intergovernmental relations, this article is based on the emphasis on the new institutionalism in the organizational analysis, for specific organizations or individuals. In essence, the interpretation of related behavior can not be separated from its institutional, cultural and technical environment. Therefore, this paper puts the analytical perspective at the organizational level, and focuses on the real angle of the related social organization autonomy in the external system and the function of the organization. Example analysis, regression analysis, factor analysis and structural equation model), this article mainly has the following points: (1) the Chinese social organization is faced with many institutional pressures, and the above pressure is also representative of institutional enabling (enactment). The results of the combination of cases and literature review, this article thinks that the institutional factors from the government It can be divided into two levels, one is the traditional concept of legitimacy, that is, the social organization can obtain the approval of the government, and the two is the more active system support, that is, the social organization can obtain the government's endowing. Based on the theory of resource dependence and the latest development of new institutionalism, this article emphasizes the government endowed with the social organization. The support of "institutional resources" supports the positive significance of organizational autonomy and follow-up development. It is found that both legitimacy and institutional support will directly affect the basic function of the social organization, and it has a direct promotion significance to the effectiveness and innovation of the organization. (2) through the investigation of 4 cases and 253 social organizations It is found that the legitimacy and institutional support obtained by the organization can also affect the autonomy of the social organization, and can affect the organizational effectiveness and innovation of the social organization by the autonomy of the social organization. Therefore, from this point of view, the autonomy of the social organization plays at least two levels of role. On the one hand, independent social organizations often have higher level of innovation and performance; on the other hand, institutional factors tend to enhance the innovation or performance of social organizations through autonomy. (3) the results of large sample empirical tests also show that the interaction between autonomy and organizational innovation is externally affected. In the adjustment of uncertainty, the promotion of the autonomy of social organization will be weakened by the uncertainty of the external environment, and the relationship between autonomy and organizational effectiveness is not affected by the uncertainty. Therefore, there is a mutual influence between the institutional and technical factors, and the social organization is obtained. Taking specific autonomy does not necessarily have the opportunity to gain a higher effect. It still needs to take into account other factors in the environment and simply emphasize that autonomy is meaningless. Based on the above findings and the basic research patterns of this article, we can think that this article has some innovations or breakthroughs in the following aspects: (1) this article is from To judge the real role of the autonomy of the social organization, rather than the simple "Tocqueville" idea, the concept of organizational autonomy that is more pertinent and operable is put forward, and the rationality of this concept is established by factor analysis. The definition is more arbitrary, and often is based on case analysis to generalize the degree of autonomy of a certain organization in general. The definition of this article is more reasonable and more serious. (2) most of the analysis focuses on the concept of autonomy of social organization, but does not take into account its role in a specific system. Based on the basic thinking logic of new institutionalism, this article breaks through the autonomy of traditional meaning as a result or as a former factor of specific factors, and turns it into a specific intermediary variable, which opens the "black box" between the external institutional factors and the internal operation and production of the organization, which provides the autonomy research. New ideas, and from the perspective of theoretical analysis starting from the new institutionalism also provide more thinking and inspiration for follow-up research. (3) from the perspective of research strategy, the current research on organizational autonomy is mainly case study and lack of quantitative analysis. On the basis of theoretical and case combing, this paper is based on the necessary determination. The quantitative analysis tool has an important practical value and theoretical significance on the connotation, the formation mechanism of the autonomy of the social organization, the formation mechanism and the related influence on the organization activity (innovation and effectiveness). The analysis strategy of the "triangle inspection" is also a breakthrough. In conclusion, this paper finds the autonomy of the social organization in the paper. The intermediary role of institutional and organizational functions as well as the constraints faced by the exertion of autonomy. The findings of this paper show that the government can guide and support specific social organizations with the help of relevant policies to gradually improve their autonomy and make it play a more meaningful role. Follow up research can follow. The relevant research prospects in this paper will give a more in-depth study of the role of social organization autonomy.
【学位授予单位】：浙江大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：D632.9
，

本文编号：2015710