摘 要 当前，关于如何缓解全球气候变化的探讨日趋增多。前期研究指出，自然环 境恶化很大程度归因于制造业部门非环境友好型的运营模式。近年来，中国能源 消费和污染物排放规模的扩大引发了一系列环境污染事件，这使得中国政府承担 了巨大的环境治理压力。前期研究更多从宏观和中观视角分析如何减少环境污染， 但微观视角下的企业生产行为将直接决定污染物排放规模，而这种行为的根源可 以追溯至企业内主管环境保护事务的最高层管理者（本文称为环境管理者）对于 减排问题所持有的心理动机。关于这一视角，国内外研究都缺乏系统的关注。据 此，本文将基于“主动行为理论”的研究框架，并针对企业环境管理研究存在的 不足，分析环境管理者主动减排行为的前因及绩效。 本文选择中国制造业企业内部最高级别并且对于环境保护事务具有最高决策 权的环境管理者作为调研对象，通过构建一个被中介的调节模型，逐步回答以下 问题：①环境管理者对于减排问题所持有的心理动机能否促进其开展主动减排行 为？②企业内外部情境因素（包括内部可利用的资源和外部利益相关者的激励） 如何调节心理动机对于主动减排行为的影响？③主动减排行为如何影响企业绩 效？④根据所识别的主动行为一般特征，分别检验心理动机和情境因素对于不同 特征主动减排行为的影响。关于具体的心理动机，基于“主动行为理论”下的常 见心理动机内涵以及企业内环境管理行为所暗示的个体心理状态，本文识别出环 境管理者的角色广度自我效能（将其划分为角色内自我效能和角色外自我效能） 和责任感（将其划分为责任感建立和责任感协调）可能将引导其主动减排行为。 为回答以上问题，本文首先收集了 2112 篇发表于 1934-2017 年关于组织内主 动行为的文献作为样本，运用共引分析方法展示出主动行为领域的研究网络。基 于对重要文献的识别，构建了主动行为的一般分析框架，该框架包含了关键的行 为前因、行为特征及行为绩效，进而作为本文研究假设构建的理论基础。关于主 动行为的一般特征，根据前期研究对于该行为常见外在表现的描述，本文认为这 种行为在事务发展过程中会递进性地展现出自发性、变革性和前瞻性特征。 基于理论分析，本文通过探索性案例初步验证了主动行为的分析框架在减排 事务中的适用性。大样本企业调研数据的描述性分析表明，相比于环境管理者的 心理动机，其主动减排行为水平较低，这暗示了他们的心理动机可能并未充分转 化为现实中的主动行为。实证分析表明，角色广度自我效能和责任感均显著改善 了主动减排行为，但企业内部可利用的资源仅正向调节了角色外自我效能对于主 动减排行为的影响，外部利益相关者的激励仅正向调节了责任感建立对于主动减哈尔滨工业大学管理学博士学位论文 - II - 排行为的影响。这说明相比于情境因素，环境管理者的心理动机对于改善其主动 减排行为所发挥的作用更加强烈。此外，主动减排行为显著改善了企业运营绩效、 战略竞争力和环境绩效，但高水平的绩效更加依赖于行为前因要素发挥推动作用。 进一步，本文分别检验了心理动机和情境因素对于自发性、变革性和前瞻性 减排行为的影响。结果表明，相比于变革性和前瞻性减排行为，心理动机对于自 发性减排行为的积极影响更加强烈。企业内外部情境因素中，只有外部利益相关 者的激励能够正向调节心理动机对于自发性和变革性减排行为的影响。由此判断， 相比于从事短期内的减排任务，关注具有战略性特征的减排行为对于心理动机和 情境因素的水平提出了更高要求。 总体来看，虽然中国制造业企业环境管理者对于减排问题所持有的心理动机 能够促进其主动减排行为，但这种动机并未达到较高水平。此外，关键情境因素 并没有很好地激励心理动机向主动减排行为的转化。对此，本文将基于测量题项 的内容，从心理动机、企业内部资源、外部激励和企业股权属性等视角分析如何 改善环境管理者的主动减排行为水平。 本文创新点主要如下：第一，扩展了企业环境管理行为前因要素的考察范围， 从心理动机的视角分析为什么环境管理者会主动从事环境保护活动。此外，本文 将关键情境因素设置为心理动机与主动减排行为之间的调节变量，这有助于公正 地界定情境因素在环境管理中的价值。第二，本文将“主动行为理论”系统地应 用于企业环境管理领域，识别了可能决定环境管理者主动减排行为的关键心理动 机，这丰富了环境管理研究的指导理论。具体体现为，本文的研究假设覆盖了心 理层面、情境因素、行为表现及行为结果，全面分析了环境管理者的心理动机如 何发展为减排行为绩效。第三，根据前期研究关于主动行为常见外在表现的描述， 本文将这种行为的一般特征归纳为自发性、变革性和前瞻性，并分别检验心理动 机和情境因素对于这三类减排行为的影响。这有助于企业更好地理解不同阶段的 减排活动对于其前因要素的差异化需求，进而有针对性地开展支持计划。 关键词：制造业企业；主动减排行为；前因；绩效；环境管理者；主动行为理论Abstract - III - Abstract There is a growing debate on channels that aim to mitigate global climate change. Prior research argued that the worsening natural environment is largely due to the less climate-friendly operations in manufacturing sectors. In recent years, the expansion of energy consumption and pollutants discharge in China triggers a series of environmental pollution accidents, which leads Chinese government to undertake a great pressure on environmental protection. Prior research has focused on how to reduce environmental pollution from macro and mesoscopic angles. However, the actual production behavior in firms that belongs to the micro angle will directly determine the size of pollutants discharge, and the root of such behavior can be further traced back to the psychological motivation of top managers with a primary responsibility in environmental management (this study names them as environmental managers) to the pollution reduction. By now, it lacks a systematic focus within Chinese and international research. Accordingly, this study will construct the research framework underpinned by the proactive behavior theory and target at shortcomings in the field of corporate environmental management, aiming to analyze the antecedents as well as performance of environmental managers’ proactive pollution reduction behavior (PPRB). This study surveys top environmental managers with the supreme decision-making power in environmental issues in Chinese manufacturing firms. Through constructing a mediated moderation model, this study will progressively address following questions: ①Whether environmental managers’ psychological motivation will help to improve their PPRB②How corporate internal and external contextual factors, i.e. available resources in firms and incentives from external stakeholders, will moderate the impact of environmental managers’ motivation on their PPRB③How PPRB affect corporate performance④Based on the identification of general features of proactive behavior, this study will further examine the impact of psychological motivation and contextual factors on different features of PPRBs. As for the specific psychological motivation, based on the connotation of common psychological motivations within the proactive behavior theory and individual psychological states implied by proacitve environmental management behavior in firms, this study identifies that environmental managers’ role breadth self-efficacy (it is divided into in-role self-efficacy and extra-role self-efficacy) and felt responsibility (it is divided into felt responsibility establishment and felt responsibility coordination) may lead to the level of their PPRB, thereby examining the driving effect of these motivations. To address above questions, this study firstly collects 2112 papers whose theme is on the proactive behavior in organizations published from 1934 to 2017 as the sample to哈尔滨工业大学管理学博士学位论文 - IV - present the core literature network in this field through the Co-citation Analysis Method. Through identifying the important literature, this study establishes the general analytical framework of proactive behavior that involves the critical antecedents of this behavior, behavioral features, and behavioral performance, thereby viewing them as a theoretical ground for hypotheses construction of this study. As for the general feature of proactive behavior, this study identifies that this behavior will progressively present self-starting, transformative, and prospective features during the development of things according to the description of common outward manifestations of this behavior in prior research. Based on theoretical analysis, this study preliminarily validates the applicability of analytical framework of proactive behavior in pollution reduction issues through the exploratory case study. The descriptive statistics of data from large-sample firms present that compared with environmental managers’ psychological motivation, the level of their PPRB is quite lower, which implies that their motivations have not fully evolved into the actual proactive behavior. Empirical results indicate that both role breadth self-efficacy and felt responsibility significantly improve PPRB, while internal available resources only significantly positively moderate the impact of extra-role self-efficacy on PPRB, and incentives from external stakeholders only significantly positively moderate the impact of felt responsibility establishment on PPRB. These findings can support that compared with contextual factors, environmental managers’ motivation exerts a stronger driving force for improving their PPRB. Further, PPRB significantly improves corporate operational performance, strategic competitiveness, and environmental performance, but thigher performance requires more driving effects from behavioral antecedents. Further, this study separately examines the impact of psychological motivation and contextual factors on self-starting, transformative, and prospective pollution reduction behaviors. Results present that compared with transformative and prospective pollution reduction behaviors, psychological motivation better improve the self-starting behavior. As for contextual factors, only incentives from external stakeholders can significantly positively moderate the impact of some motivations on self-starting and transformative pollution reduction behaviors. Accordingly, compared with engaging in the short-term pollution reduction task, focusing on pollution reduction behaviors with strategic feature raises higher requirements for levels of psychological motivation and contextual factors. Overall, in Chinese manufacturing firms, although the psychological motivation of environmental managers for pollution reduction issues can help to improve their PPRB, such motivation has not reached a higher level. Additionally, critical contextual factors have not well promoted the transformation from psychological motivation to PPRB. For improving this case, this study will analyze how to improve the level of environmental managers’ PPRB from angles of their psychological motivation, available resources in firms, external incentives, and corporate ownership property based on contents covered by measuring items this study designs.Abstract - V - The main innovations of this study are as follows. First, it expands the investigated scope of antecedents of environmental management behaviors in firms, with analyzing why environmental managers can proactively engage in activities that help to protect the natural environment from the angle of their own psychological motivation. Additionally, this study sets critical contextual factor as a moderating variable between psychological motivation and PPRB, which will help to fairly evaluate the value of contextual factors in environmental management. Second, this study systematically applies the proactive behavior theory in the field of corporate environmental management, and accordingly identifies psychological motivations that may largely affect the level of environmental managers’ PPRB, which can help to enrich the guiding theory in this field. Specifically, it is reflected in that research hypotheses of this study involve individual psychology, contextual factors, behavioral manifestation, and behavioral performance. Accordingly, this study analyzes how the initial motivation evolves into the final pollution reduction performance. Third, based on the description as for common outward manifestations of proactive behavior in prior research, this study summarizes the general feature of this behavior as self-starting, transformative, and prospective, thereby separately examining the impact of psychological motivations and contextual factors on these three kinds of pollution reduction behaviors. This design helps Chinese manufacturing firms to better understand differential requirements of pollution reduction activities at different stages to its antecedents, thus they can target at developing supportive plans. Keywords: manufacturing firms, proactive pollution reduction behavior, antecedent, performance, environmental manager, the proactive behavior theory哈尔滨工业大学管理学博士学位论文 - VI - 目 录 摘 要...............................................................................................................................I Abstract........................................................................................................................... III 第 1 章 绪 论................................................................................................................ 1 1.1 研究背景 ............................................................................................................. 1 1.2 问题提出 ............................................................................................................. 4 1.3 研究目的与研究意义 ......................................................................................... 9 1.3.1 研究目的 ................................................................................................... 9 1.3.2 研究意义 ................................................................................................. 10 1.4 国内外研究进展与评述 ....................................................................................11 1.4.1 心理动机、情境因素、主动环境管理行为及其绩效 ..........................11 1.4.2 自愿减排项目的研究进展 ..................................................................... 16 1.4.3 企业减排动机与行为的研究进展 ......................................................... 19 1.4.4 制造业企业减排机制设计的研究进展 ................................................. 22 1.4.5 文献评述 ................................................................................................. 25 1.5 研究内容、研究方法与研究技术路线 ........................................................... 27 1.5.1 研究内容 ................................................................................................. 27 1.5.2 研究方法 ................................................................................................. 28 1.5.3 研究技术路线 ......................................................................................... 29 第 2 章 主动行为的分析框架...................................................................................... 30 2.1 个体主动行为在组织中的发展状况 ............................................................... 31 2.1.1 个体主动行为在组织中的地位 ............................................................. 31 2.1.2 个体主动行为的常见前因及绩效 ......................................................... 32 2.2 主动行为领域的文献分布 .............................................................................. 36 2.3 基于共引分析方法的主动行为关键构成要素分析 ...................................... 38 2.3.1 个体心理动机 ........................................................................................ 40 2.3.2 组织情境因素 ........................................................................................ 43 2.3.3 主动行为的一般特征分析 ..................................................................... 45 2.3.4 主动行为的常见绩效 ............................................................................. 47 2.4 主动行为的分析框架及其对本文假设构建的启示 ....................................... 49 2.5 本章小结 ........................................................................................................... 51 第 3 章 基于探索性案例分析的实证研究设计.......................................................... 52 3.1 主动减排行为发展过程视角下的探索性案例分析 ....................................... 52 3.1.1 案例研究的方法选择 ............................................................................. 53目 录 - VII - 3.1.2 访谈过程设计及探索性案例的选择原则 ............................................. 54 3.1.3 样本企业的概况 ..................................................................................... 56 3.1.4 访谈结果分析 ......................................................................................... 58 3.1.5 案例研究结果对于实证假设构建的启示 ............................................. 65 3.2 实证分析的研究假设构建 ............................................................................... 66 3.2.1 心理动机对于主动减排行为影响的假设构建 ..................................... 67 3.2.2 情境因素调节作用的假设构建 ............................................................. 71 3.2.3 主动减排行为绩效的假设构建 ............................................................. 72 3.2.4 针对不同特征主动减排行为前因要素的假设构建 ............................. 74 3.3 研究变量的测量题项设计 ............................................................................... 77 3.3.1 心理动机的测量题项设计 ..................................................................... 77 3.3.2 情境因素的测量题项设计 ..................................................................... 78 3.3.3 主动减排行为的测量题项设计 ............................................................. 79 3.3.4 主动减排行为绩效的测量题项设计 ..................................................... 80 3.3.5 控制变量的测量 ..................................................................................... 81 3.4 研究数据的收集 ............................................................................................... 84 3.5 调研数据质量检验 ........................................................................................... 88 3.5.1 信度检验 ................................................................................................. 88 3.5.2 信度检验结果的进一步分析 ................................................................. 91 3.5.3 测量量表的效度检验 ............................................................................. 93 3.6 本章小结 ........................................................................................................... 95 第 4 章 情境因素调节下主动减排行为的前因及绩效分析...................................... 96 4.1 变量与测量题项的描述性分析 ....................................................................... 96 4.2 情境因素调节下主动减排行为的前因要素分析 ........................................... 98 4.2.1 心理动机的驱动作用分析 ..................................................................... 98 4.2.2 情境因素的调节作用分析 ................................................................... 103 4.3 主动减排行为的绩效分析 ............................................................................. 108 4.3.1 主动减排行为对于运营绩效的影响 ....................................................110 4.3.2 主动减排行为对于战略竞争力的影响 ................................................111 4.3.3 主动减排行为对于环境绩效的影响 ....................................................114 4.4 本章小结 ..........................................................................................................116 第 5 章 不同特征主动减排行为的前因要素差异分析.............................................118 5.1 情境因素调节下自发性减排行为的前因分析 ..............................................119 5.1.1 心理动机对于自发性减排行为的影响 ................................................119哈尔滨工业大学管理学博士学位论文 - VIII - 5.1.2 情境因素调节下心理动机对于自发性减排行为的影响 ................... 121 5.2 情境因素调节下变革性减排行为的前因分析 ............................................. 124 5.2.1 心理动机对于变革性减排行为的影响 ............................................... 124 5.2.2 情境因素调节下心理动机对于变革性减排行为的影响 ................... 126 5.3 情境因素调节下前瞻性减排行为的前因分析 ............................................. 128 5.3.1 心理动机对于前瞻性减排行为的影响 ............................................... 128 5.3.2 情境因素调节下心理动机对于前瞻性减排行为的影响 ................... 129 5.4 本章小结 ......................................................................................................... 133 第 6 章 改善环境管理者主动减排行为的管理政策建议........................................ 134 6.1 环境管理者心理动机视角下的管理政策建议 ............................................. 136 6.2 企业内外部情境因素视角下的管理政策建议 ............................................. 137 6.2.1 企业环境管理能力视角下的管理政策建议 ....................................... 137 6.2.2 外部激励视角下的管理政策建议 ....................................................... 140 6.3 企业股权属性视角下的管理政策建议 ......................................................... 141 6.4 相关管理政策的整体优化路径 ..................................................................... 142 6.5 本章小结 ......................................................................................................... 144 结 论.......................................................................................................................... 145 参考文献...................................................................................................................... 148 附录 1 案例研究的访谈提纲..................................................................................... 170 附录 2 制造业企业环境管理者主动减排行为调研问卷......................................... 171 攻读博士学位期间发表的论文及其它成果.............................................................. 175 哈尔滨工业大学学位论文原创性声明和使用权限.................................................. 177 致 谢.......................................................................................................................... 178 个人简历