Collaborative Research: The Nature and Effects of Human Resource Policies: Econometric Case Studies of Firms in the U.S., China and Finland

高绩效工作场所实践（HPWPs）正在全球迅速传播。阻碍人们深入了解有关HRPs性质和效果的理论进展的关键因素是难以获得适当的数据。通过生成正确的数据和应用适当的计量经济学方法，该项目将为包括内部计量经济学和人员经济学领域的经济学家在内的许多研究人员提供重要的发现和新的数据。通过对研究期间留在公司和离开公司的员工使用大量丰富的数据集，该项目能够采用不同寻常的控制方法，并使用适当的计量经济学方法来处理经常困扰该领域实证工作的问题，例如选择性问题。此外，在某些情况下，这个项目的方法可能最好被描述为代表一个准实验。获得一些国家的人口普查数据将使调查人员能够概括其调查结果。美国、芬兰和中国的10家公司的高级管理层已经向调查人员提供了三种不同寻常的微观数据。绩效数据集通常包括个人员工和关键组织单位（如团队）的每日或每周绩效指标，覆盖较长时间（超过3年），包含多种绩效指标（包括生产力和质量），跨越重大组织创新（如引入团队）之前和之后的时间，并包括研究期间公司的所有员工。人事数据集包含详细的员工个人记录，包括按薪酬类型纵向分类的信息。员工调查数据集提供了关于员工参与人力资源规划的补充信息，以及用于衡量员工结果（如工作满意度和努力强度）和理论概念（包括同伴压力程度、自由裁量努力、对质量的关注程度和沟通）的态度和感知措施。最不寻常的是，在某些情况下，员工调查将是小组调查——对同一员工进行了多次调查，并在所有员工参加特定的人力资源规划之前和之后的一段时间内进行了调查。在一系列“计量经济学案例研究”中，将使用这些匹配的数据来检验关于人力资源效益的性质、决定因素和影响的四组问题的假设。重点是不同的人力资源利用率对企业绩效的影响——特别是高绩效的工作场所实践（人力资源利用率，如员工所有权、团队和利润分享）。关于单个hpwp是否提高了企业绩效的水平和可变性，以及hpwp组是否产生了超过单个组织变革影响的企业绩效改进的竞争假设进行了检验。第二组假设涉及到关于个体人力资源效率是否能改善员工成果（如工作满意度和工作强度），以及一系列人力资源效率是否与员工成果的变化相关，这些变化是否超过了个体组织变革的影响。第三组假设涉及引入人力资源效率方案可能影响企业和员工成果的实际渠道。因此，财务参与（如利润分享）可能会导致员工通过增加同伴压力或通过更大的信任来改善合作，从而提高同事的绩效。这些影响可能在不同的方向上起作用。此外，我们的数据使该项目能够研究公司内部某些HRPs的发生率（例如，在员工持股的公司中，个人持股的差异是如何解释的？）最后，在所有三个领域，该项目将调查假设，利用数据的统一性质，位于非常不同的环境中。因此，该项目提供了关于不同制度环境（如美国与芬兰或中国相比）中企业和员工结果规模预测差异的假设证据。更广泛的影响：由于人力资源规划的重要性越来越大，项目的发现很容易对组织设计产生更广泛的影响。特别新颖的将是线下团队和个人所有权的证据，包括产品质量和员工成果的匹配证据。比较证据将提供有用的见解，说明不同国家和部门之间人力资源方案可能产生的不同影响，从而表明人力资源方案在不同国家之间的可转让性。这些见解尤其有用，因为中国和其他转型经济体的外国移植数量预计将继续增加。最后，关于组织创新的性质和效果的理论工作可能会受益于我们对各种假设的严格实证审查。

High Performance Workplace Practices (HPWPs) are rapidly spreading throughout the world. The key factor inhibiting deeper understanding of theoretical advances concerning the nature and effects of HRPs is the extraordinary difficulty in obtaining appropriate data. By generating the right data and applying appropriate econometric methods, this project will contribute important findings and new data of interest to many researchers including economists in the fields of insider econometrics and personnel economics. By using large and rich data sets both for workers who remained in as well as those who left the firm during the study period, this project is able to employ unusual controls and to use appropriate econometric methods to deal with problems that often plague empirical work in this area, such as selectivity issues. Furthermore, in some instances, this project's approach may best be characterized as representing a quasi experiment. Having access to census data in some countries will enable the investigators to generalize their findings. Already senior management in 10 firms in the U.S., Finland and China are providing the investigators with three types of extraordinary micro-data. Performance data sets usually include daily or weekly performance measures for individual workers and key organizational units (e.g. teams), cover extended periods (more than 3 years), contain multiple measures of performance (including productivity and quality), span the times both before and after major organizational innovations (such as the introduction of teams) and include all employees of the firm during the study period. Personnel data sets contain detailed individual employee records, including longitudinal disaggregated information by type of compensation. Employee survey data sets provide supplementary information both on employees' participation in HRPs and attitudinal and perceptual measures that are constructed to gauge both employee outcomes (e.g. job satisfaction and intensity of effort) and theoretical concepts, including proxies for the extent of peer pressure, discretionary effort, the extent of attention to quality, and communications. Most unusually, in some cases employee surveys will be panels-having been administered more than once to the same employees and for a period both before and after all employees were covered by a particular HRP.In a series of "econometric case studies" these matching data will be used to test hypotheses on four sets of issues concerning the nature, determinants and effects of HRPs. The key focus is on the impact of different HRPs on business performance---especially high performance workplace practices (HPWPs, e.g. employee ownership, teams and profit sharing). Competing hypotheses on whether individual HPWPs improve levels and variability of enterprise performance and whether sets of HPWPs produce improvements in enterprise performance that exceed the effect of individual organizational changes are examined. The second set of hypotheses concern competing hypotheses as to whether individual HRPs improve employee outcomes (e.g. job satisfaction and work intensity) and whether sets of HRPs are associated with changes in employee outcomes that exceed the effect of individual organizational changes. The third set of hypotheses concern the actual channels through which firm and employee outcomes might be affected by the introduction of HRPs. Thus, financial participation (e.g. profit sharing) may lead employees to increase their co-workers performance either by enhanced peer pressure or through greater trust leading to improved cooperation. These influences may work in different directions. Also our data enable this project to study the incidence of certain HRPs within firms (e.g. what accounts for differences in individual shareholdings in firms that have employee ownership?) Finally, in all three areas the project will investigate hypotheses that exploit the uniform nature of data for cases located in very different environments. Thus the project provides evidence on hypotheses concerning predicted differences in the size of both firm and employee outcomes in differing institutional environments (such as the U.S. compared to Finland or China).Broader Impacts: Since HRPs are assuming increasing importance, the project findings are apt to have broad implications for organizational design. Particularly novel will be evidence on offline teams and individual ownership, for outcomes including product quality and matching evidence on employee outcomes. Comparative evidence will provide useful insights concerning the potentially varying impact of HRPs across countries and sectors and hence indications as to how transferable HRPs are across diverse nations. These insights are particularly useful since the number of foreign transplants in China and other transition economies is expected to continue to rise. Finally, theoretical work concerning the nature and effects of organizational innovations is likely to benefit from our subjecting diverse hypotheses to rigorous empirical scrutiny.