周建¹²³;余耀东¹²;罗肖依¹²

• 1:南开大学 中国公司治理研究院，天津 300071
• 2:南开大学 商学院，天津 300071
• 3:南开大学 滨海学院，天津 300027

摘要(Abstract)：

公司高管行为及其引致的代理问题向来是公司治理研究的主题。传统代理理论因低度社会化导致经济学视角下的公司治理研究缺乏对公司高管社会行为的关注,公司治理社会学派通过研究社会互动和社会建构中的公司治理问题,衍生出社会情境代理和社会建构代理视角下的公司高管社会行为研究,进而推动公司治理研究从经济学视角向社会学视角的转换。本文基于社会情境代理和社会建构代理观点,阐述公司治理社会学派关于高管社会行为研究的现状,指出相关研究的不足,并做出未来研究展望,其中尤其强调以本土化和边界拓展为途径进行理论创新的可能性。本文为基于组织社会心理学视角的行为公司治理研究提供了有价值的思想启发和资料参考。

关键词(KeyWords)： 高管社会行为;社会情境代理;社会建构代理;行为公司治理

Abstract:

Keywords:

基金项目(Foundation): 国家自然科学基金面上项目(71272184);国家自然科学基金重点项目(71533002);教育部人文社科重点研究基地重大项目(15JJD630002)

作者(Authors): 周建¹²³;余耀东¹²;罗肖依¹²

DOI: 10.16538/j.cnki.fem.2016.04.001

参考文献(References)：

• [1] 刘诚,杨继东,周斯洁.社会关系、独立董事任命与董事会独立性[J].世界经济,2012,(12):83-101.
  [2] 周建,罗肖依,余耀东.董事会与CEO的战略决策权配置研究[J].外国经济与管理,2015,(1):52-61.
  [3] Bednar M K.Watchdog or lapdog? A behavioral view of the media as a corporate governance mechanism[J].Academy of Management Journal,2012,55(1):131-150.
  [4] Boivie S,Lange D,McDonald M L,et al.Me or we:The effects of CEO organizational identification on agency costs[J].Academy of Management Journal,2011,54(3):551-576.
  [5] Carpenter M A,Westphal J D.The strategic context of external network ties:Examining the impact of director appointments on board involvement in strategic decision making[J].Academy of Management Journal,2001,44(4):639-660.
  [6] Fama E F,Jensen M C.Separation of ownership and control[J].Journal of Law and Economics,1983,26(2):301-325.
  [7] Fanelli A,Misangyi V F.Bringing out charisma:CEO charisma and external stakeholders[J].Academy of Management Review,2006,31(4):1049-1061.
  [8] Finkelstein S,Hambrick D C,Cannella Jr A A.Strategic leadership:Theory and research on executives,top management teams,and boards[M].Oxford:Oxford University Press,2009.
  [9] Gordon R A.Impact of ingratiation on judgments and evaluations:A meta-analytic investigation[J].Journal of Personality and Social Psychology,1996,71(1):54-70.
  [10] Granovetter M.Economic action and social structure:The problem of embeddedness[J].American Journal of Sociology,1985,91(3):481-510.
  [11] Grossman S J,Hart O D.The costs and benefits of ownership:A theory of vertical and lateral integration[J].Journal of Political Economy,1986,94(4):691-719.
  [12] Gulati R,Westphal J D.The dark side of embeddedness:An examination of the influence of direct and indirect board interlocks and CEO/board relationships on interfirm alliances[J].Administrative Science Quarterly,1999,44:473-506.
  [13] Hambrick D C,Mason P A.Upper echelons:The organization as a reflection of its top managers[J].Academy of Management Review,1984,9(2):193-206.
  [14] Jensen M C,Meckling W H.Theory of the firm:Managerial behavior,agency costs and ownership structure[J].Journal of Financial Economics,1976,3(4):305-360.
  [15] Kim Y,Cannella A A.Toward a social capital theory of director selection[J].Corporate Governance:An International Review,2008,16(4):282-293.
  [16] Lungeanu R,Zajac E.Venture capital ownership as a contingent resource:How owner/firm fit influences IPO outcomes[J].Academy of Management Journal,2015,doi:10.5465/amj.2012.0871.
  [17] McDonald M L,Westphal J D.Getting by with the advice of their friends:CEOs' advice networks and firms' strategic responses to poor performance[J].Administrative Science Quarterly,2003,48(1):1-32.
  [18] McDonald M L,Westphal J D.A little help here? Board control,CEO identification with the corporate elite,and strategic help provided to CEOs at other firms[J].Academy of Management Journal,2010,53(2):343-370.
  [19] McDonald M L,Westphal J D.My brother's keeper? CEO identification with the corporate elite,social support among CEOs,and leader effectiveness[J].Academy of Management Journal,2011,54(4):661-693.
  [20] McDonald M L,Westphal J D.Access denied:Low mentoring of women and minority first-time directors and its negative effects on appointments to additional boards[J].Academy of Management Journal,2013,56(4):1169-1198.
  [21] Park S H,Westphal J D,Stern I.Set up for a fall:The insidious effects of flattery and opinion conformity toward corporate leaders[J].Administrative Science Quarterly,2011,56(2):257-302.
  [22] Park S H,Westphal J D.Social discrimination in the corporate elite:How status affects the propensity for minority CEOs to receive blame for low firm performance[J].Administrative Science Quarterly,2013,58(4):542-586.
  [23] Resick C J,Whitman D S,Weingarden S M,et al.The bright-side and the dark-side of CEO personality:Examining core self-evaluations,narcissism,transformational leadership,and strategic influence[J].The Journal of Applied Psychology,2009,94(6):1365-1381.
  [24] Shani G,Westphal J D.Getting the cold shoulder:Determinants and consequences of social distancing from journalists who engage in negative coverage of firm leadership[R].Working Paper.Michigan:University of Michigan,2013.
  [25] Stern I,Westphal J D.Stealthy footsteps to the boardroom:Executives' backgrounds,sophisticated interpersonal influence behavior,and board appointments[J].Administrative Science Quarterly,2010,55(2):278-319.
  [26] Tedeschi J T,Melburg V.Impression management and influence in the organization[J].Research in the Sociology of Organizations,1984,(3):31-58.
  [27] Tetlock P E.Cognitive biases and organizational correctives:Do both disease and cure depend on the politics of the beholder?[J].Administrative Science Quarterly,2000,45(2):293-326.
  [28] Useem M.The inner circle:Large corporations and the rise of business political activity in the U.S.and U.K.[M].Oxford:Oxford University Press,1984.
  [29] Wade J,O'Reilly Ⅲ C A,Chandratat I.Golden parachutes:CEOs and the exercise of social influence[J].Administrative Science Quarterly,1990,35(4):587-603.
  [30] Westphal J D,Zajac E J.Substance and symbolism in CEOs' long-term incentive plans[J].Administrative Science Quarterly,1994,39(3):367-390.
  [31] Westphal J D,Zajac E J.Who shall govern? CEO/board power,demographic similarity,and new director selection[J].Administrative Science Quarterly,1995,40(1):60-83.
  [32] Westphal J D,Zajac E J.Defections from the inner circle:Social exchange,reciprocity,and the diffusion of board independence in U.S.corporations[J].Administrative Science Quarterly,1997,42(1):161-183.
  [33] Westphal J D.Board games:How CEOs adapt to increases in structural board independence from management[J].Administrative Science Quarterly,1998,43(3):511-537.
  [34] Westphal J D.Collaboration in the boardroom:Behavioral and performance consequences of CEO-board social ties[J].Academy of Management Journal,1999,42(1):7-24.
  [35] Westphal J D,Zajac E J.Decoupling policy from practice:The case of stock repurchase programs[J].Administrative Science Quarterly,2001,46(2):202-228.
  [36] Westphal J D,Stern I.The other pathway to the boardroom:Interpersonal influence behavior as a substitute for elite credentials and majority status in obtaining board appointments[J].Administrative Science Quarterly,2006,51(2):169-204.
  [37] Westphal J D,Stern I.Flattery will get you everywhere (especially if you are a male Caucasian):How ingratiation,boardroom behavior,and demographic minority status affect additional board appointments at U.S.companies[J].Academy of Management Journal,2007,50(2):267-288.
  [38] Westphal J D,Clement M B.Sociopolitical dynamics in relations between top managers and security analysts:Favor rendering,reciprocity,and analyst stock recommendations[J].Academy of Management Journal,2008,51(5):873-897.
  [39] Westphal J D,Bednar M K.The pacification of institutional investors[J].Administrative Science Quarterly,2008,53(1):29-72.
  [40] Westphal J D,Graebner M E.A matter of appearances:How corporate leaders manage the impressions of financial analysts about the conduct of their boards[J].Academy of Management Journal,2010,53(1):15-44.
  [41] Westphal J D,Deephouse D L.Avoiding bad press:Interpersonal influence in relations between CEOs and journalists and the consequences for press reporting about firms and their leadership[J].Organization Science,2011,22(4):1061-1086.
  [42] Westphal J D,Park S H,McDonald M L,et al.Helping other CEOs avoid bad press:Social exchange and impression management support among CEOs in communications with journalists[J].Administrative Science Quarterly,2012,57(2):217-268.
  [43] Westphal J D,Zajac E J.A behavioral theory of corporate governance:Explicating the mechanisms of socially situated and socially constituted agency[J].The Academy of Management Annals,2013,7(1):607-661.
  [44] Zajac E J,Westphal J D.Accounting for the explanations of CEO compensation:Substance and symbolism[J].Administrative Science Quarterly,1995,40(2):283-308.
  [45] Zajac E J,Westphal J D.Who shall succeed? How CEO/board preferences and power affect the choice of new CEOs[J].Academy of Management Journal,1996,39(1):64-90.
  [46] Zajac E J,Westphal J D.Should sociological theories venture into "economic territory?" Yes![J].American Sociological Review,2004a,69(3):466-471.
  [47] Zajac E J,Westphal J D.The social construction of market value:Institutionalization and learning perspectives on stock market reactions[J].American Sociological Review,2004b,69(3):433-457.
  [48] Zott C,Huy Q N.How entrepreneurs use symbolic management to acquire resources[J].Administrative Science Quarterly,2007,52(1):70-105.