制度压力与组织的象征性合规——基于A市国有企业廉洁合规实践的研究  

Institutional Pressure and Organizational Symbolic Compliance——A Study Based on State-owned Enterprises in City A

作　　者：倪星 陈钰娟 NI Xing;CHEN Yujuan(Discipline Inspection and Supervision School,Renmin University of China,Beijing,100872,China;Integrity Education and Research Center,South China Normal University,Guangzhou,Guangdong,510631,China)

机构地区：[1]中国人民大学纪检监察学院,北京100872 [2]华南师范大学廉洁教育与研究中心,广东广州510631

出　　处：《理论探讨》2024年第6期70-78,共9页Theoretical Investigation

基　　金：深圳市建设中国特色社会主义先行示范区研究中心2024年重大项目(SFQZD2406)。

摘　　要：加强合规管理是国有企业高质量发展的重要保障。近年来,我国不断完善国有企业合规管理制度,给相关企业提出更多更高的要求,也产生了相应的制度压力。基于制度压力理论和SOR理论,构建“制度-制度压力-组织反应-行为结果”分析框架,结合对A市国有企业廉洁合规实践的实证研究可以发现,国有企业象征性合规行为的策略选择是动态变化的。根据时间序列和传导方向,象征性合规策略可分为形式化策略、引导策略、模糊策略和模仿策略等四种,每种策略中又包含多种具体表现形式。在短期内,这些策略帮助国有企业平衡了多种目标之间的张力;从长远看,采取象征性合规策略的国有企业则普遍存在认知偏差、制度虚设、职权滥用等风险。面向未来,亟待进一步完善合规制度和规范,加强合规培训和教育,建立健全风险识别和防控机制,加强外部监管与合作,建立有效的激励机制,更加切实有效地解决国有企业象征性合规问题。Strengthening compliance management is the key guarantee for the high-quality development of state-owned enterprises.In recent years,China has continuously improved its compliance system of state-owned enterprises,which has proposed more and better requirements to relevant enterprises and brought corresponding institutional pressures.Based on the theories of institutional pressure and SOR,an analytical framework of"institution-institutional pressure-organizational response-behavioral outcome"is constructed.Combined with empirical research on the integrity and compliance practices of state-owned enterprises in City A,it is found that the strategic choices of symbolic compliance behaviors in state-owned enterprises are dynamically changing.Depending on the time series and direction of transmission,symbolic compliance behaviors can be classified into formal strategies,guidance strategies,ambiguity strategies and imitation strategies,with each strategy type containing a variety of manifestations.In the short term,these strategies help SOEs balance the tension between multiple objectives,but in the long term,SOEs widely exist risk of cognitive bias,institutional deficiencies and abuse of authority.Facing the future,it is urgent to further improve compliance systems and norms,strengthen compliance training and education,establish and improve risk identification and prevention mechanisms,strengthen external supervision and cooperation,establish effective incentive mechanisms,and more effectively solve symbolic compliance issues of state-owned enterprises.

关 键 词：制度压力 象征性合规 国有企业 SOR理论 

分 类 号：D262.6[政治法律—政治学] F276.1[政治法律—中共党史]