企业能力提升路径研究——系统内生效应还是能人效应
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摘要
企业能力系统是一个典型的复杂适应系统。现有研究多停留在理论探讨层面,缺乏基于经验数据的深度分析和过程机制解释,且未关注当系统内在联系缺失时是否需要人为力量的介入。本文将结构观与能人观结合起来,采用嵌入式多案例研究方法,通过对能力要素间关系的块模型网络分析,识别其整体架构、区块构成及块间相生相克关系,并构建出生克力的四个关系变量,然后结合该能力要素是否处于主循环中以及是否依赖主体能动性等条件进行模糊集定性比较分析(fsQCA)。研究发现企业能力提升存在"势效应""围魏救赵""假手于人""抽薪止沸"和"和谐制衡"五种路径;领导者主体能动性的发挥具有"双刃剑"作用,既能助推内在力量薄弱或欠缺的能力要素尽快达成能力提升的效果,同时又潜存着扰乱相关要素之间被克与克他关系平衡的副作用,长期来看会破坏能力系统整体的运行秩序。企业需要根据特定要素与相关要素间内在的关联特征以及主体能动性对联结关系的影响,在生克关系协同利用与必要干预中创造出全局良性循环的效果,确保企业能力得到整体提升。
Although scholars have recognized that the organizational capability system is a typical complex adaptive system, most research remains at the theoretical level and lacks both in-depth analysis based on empirical data and process explanation on underlying mechanisms. Current research seldom investigates the role of external interfering forces when internal links are absent. Combining structural view with agency perspective and adopting an embedded multi-case study, this paper identifies the overall structure of capability system and its constituent blocks, then defines the enabled-and-enabling or constrained-and-constraining relationship between blocks, bringing about four relational variables as primary antecedents for capability level. Conjoining these four variables with their respective stage, whether they are present in the main cycle of capability system and top managers' agency, we conduct a fuzzy-set qualitative comparative analysis(fsQCA). Results demonstrate that several paths to enhance the organizational capability exist. We also find that top managers' agency is a "double-edged" sword. On the one hand, it promotes capability elements whose internal strength is weak.On the other hand, it disturbs the balance between related elements and will destroy the overall capability system in the long run. Firms need to create a global virtuous circle based on the intrinsic relationship between different elements in order to enhance organizational capability system.
Although scholars have recognized that the organizational capability system is a typical complex adaptive system, most research remains at the theoretical level and lacks both in-depth analysis based on empirical data and process explanation on underlying mechanisms. Current research seldom investigates the role of external interfering forces when internal links are absent. Combining structural view with agency perspective and adopting an embedded multi-case study, this paper identifies the overall structure of capability system and its constituent blocks, then defines the enabled-and-enabling or constrained-and-constraining relationship between blocks, bringing about four relational variables as primary antecedents for capability level. Conjoining these four variables with their respective stage, whether they are present in the main cycle of capability system and top managers' agency, we conduct a fuzzy-set qualitative comparative analysis(fsQCA). Results demonstrate that several paths to enhance the organizational capability exist. We also find that top managers' agency is a "double-edged" sword. On the one hand, it promotes capability elements whose internal strength is weak.On the other hand, it disturbs the balance between related elements and will destroy the overall capability system in the long run. Firms need to create a global virtuous circle based on the intrinsic relationship between different elements in order to enhance organizational capability system.
引文
陈劲、王毅, 1999 : 《国外核心能力研究述评》, 《科研管理》第5期。
范正认, 2000 : 《企业核心能力形成的内部协同过程分析》, 《科技管理研究》第3期。
胡化凯, 1995: 《五行说——中国古代的符号体系》, 《自然辩证法通讯》第3期。
李徳昌, 2007: 《新经济与创新素质 : 势科学视角下的教育、管理和创新》, 北京:中国计量出版社。
李德昌, 2008:《势科学视域中管理系统的逻辑机制——从整体直觉到逻辑演绎的中国管理学研究》, 《管理学报》第6期。
李德昌, 2011: 《中国管理情境下的势与复杂——势科学视角》, 《管理学报》第3期。
庞朴, 1984: 《阴阳五行探源》, 《中国社会科学》第3期。
普拉哈拉德、加里·哈梅尔、黄婕, 2004: 《公司的核心竞争力》, 《哈佛商业评论》第1期。
乔利利, 2014: 《核心能力生成机理——基于“涌现现象”的理论框架》, 《辽宁工程技术大学学报》(社会科学版)第4期。
秦津娜、丁慧平、邓超, 2012: 《基于资源协同的企业能力提升机理研究》, 《北京交通大学学报》(社会科学版)第2期。
齐文涛、严火其, 2013:《阴阳五行说是一种工具性本质科学——兼与西方近代数学比较》, 《自然辩证法通讯》第3期。
魏江, 1999: 《企业核心能力的内涵与本质》, 《管理工程学报》第1期。
王毅, 2000: 《企业核心能力逻辑结构的理论与实证研究》, 《大连理工大学学报》(社会科学版)第1期。
王毅、吴贵生,2007: 《基于复杂理论的企业动态核心能力研究》, 《管理科学学报》第1期。
王凤彬、郑晓杰、陈公海、王璁,2014: 《管理要素联动效应与中央企业管理提升——基于管理系统网络特征的跨层比较分析》, 《中国工业经济》第5期。
王家传, 2008: 《论五行学说的三元连环辩证法——兼论与黑格尔辩证法的区别》, 《江西社会科学》第6期。
谢旭光、张在旭, 2012: 《基于协同学的企业未来核心竞争力研究》, 《未来与发展》第2期。
于景元, 2017: 《系统科学和系统工程的发展与应用》, 《决策科学》第12期。
于景元、刘毅, 2000: 《复杂性研究与系统科学》, 《科学学研究》第5期。
朱鹏、赵炳新、黄璐艳, 2010: 《基于点赋权图核与核度理论的企业核心能力识别》, 《山东社会科学》第2期。
Bell, R. G., I. Filatotchev, and R. V. Aguilera, 2014, “Corporate Governance and Investors' Perceptions of Foreign IPO Value: An Institutional Perspective”, Academy of Management Journal, 57(1): 301-320.
Boorman, S. A., and H. C. White, 1976, “Social Structure from Multiple Networks II. Role Structures”, American Journal of Sociology, 81(6): 1384-1446.
Breiger, R. L. and P. E. Pattison, 1978,“The Joint Role Structure of Two Communities' Elites”, Sociological Methods & Research, 7(2): 213-226.
Burt, R. S., 1992, Structural Holes: The Social Structure of Competition, MA: Harvard Press.
Campbell, J. T., D. G. Sirmon, and M. Schijven, 2016,“Fuzzy Logic and the Market: A Configurational Approach to Investor Perceptions of Acquisition Announcements”, Academy of Management Journal, 59(1): 163-187.
Crilly, D., M. Zollo, and M. T. Hansen, 2012, “Faking It or Muddling Through? Understanding Decoupling in Response to Stakeholder Pressures”, Academy of Management Journal, 55(6): 1429-1448.
Dosi, G., M. Faillo, and L. Marengo, 2008,“Organizational Capabilities, Patterns of Knowledge Accumulation and Governance Structures in Business Firms: An Introduction”, Organization Studies, 29(8-9): 1165-1185.
Eisenhardt, K. M., and J. A. Martin, 2000, “Dynamic Capabilities: What Are They?”, Strategic Management Journal, 21(10-11):1105-1121.
Fiss, P. C., 2011, “Building Better Causal Theories: A Fuzzy Set Approach to Typologies in Organization Research”, Academy of Management Journal, 54(2): 393-420.
Galunic, D. C., and K. M. Eisenhardt, 2001,“Architectural Innovation and Modular Corporate Forms”, Academy of Management journal, 44(6): 1229-1249.
Grant, R. M., 1996, “Prospering in Dynamically-Competitive Environments: Organizational Capability as Knowledge Integration”, Organization Science, 7(4):375-387.
Greckhamer, T., 2011, “Cross-cultural Differences in Compensation Level and Inequality across Occupations: A Set-theoretic Analysis”,Organization Studies, 32(1): 85-115.
Greckhamer, T., 2016, “CEO Compensation in Relation to Worker Compensation across Countries: The Configurational Impact of Country-level Institutions”, Strategic Management Journal, 37(4): 793-815.
Henderson, R., and I. Cockburn, 1994, “Measuring Competence? Exploring Firm Effects in Pharmaceutical Research”, Strategic Management Journal, 15(S1): 63-84.
Jacobides, M. G., and S. G. Winter, 2012, “Capabilities: Structure, Agency, and Evolution”, Organization Science, 23(5): 1365-1381.
Judge, W. Q.,S. Fainshmidt, and J. L. Brown, 2014, “Which Model of Capitalism Best Delivers Both Wealth and Equality?”, Journal of International Business Studies, 45(4): 363-386.
Kogut, B., and C. Ragin, 2006, “Exploring Complexity When Diversity Is Limited: Institutional Complementarity in Theories of Rule of Law and National Systems Revisited”, European Management Review, 3(1): 44-59.
Kogut, B., and U. Zander, 1992, “Knowledge of the Firm, Combinative Capabilities, and the Replication of Technology”, Organization Science, 3(3): 383-397.
Lavie, D., 2006, “Capability Reconfiguration: An Analysis of Incumbent Responses to Technological Change”, Academy of Management Review, 31(1):153-174.
Marx, A., and A., Dusa,2011, “Crisp-set Qualitative Comparative Analysis (CsQCA), Contradictions and Consistency Benchmarks for Model Specification”, Methodological Innovations Online, 6(2): 103-148.
Meuer, J., C. Rupietta, and U. Backes-Gellner, 2015, “Layers of Co-existing Innovation Systems”, Research Policy, 44(4): 888-910.
Meyer, A. D., A. S. Tsui, and C. R. Hinings, 1993, “Configurational Approaches to Organizational Analysis”, Academy of Management Journal, 36(6): 1175-1195.
Meyer, M. H., and J. M. Utterback, 1993, “The Product Family and the Dynamics of Core Capability”,Sloan Management Review, 34(3): 77-92.
Milgrom, P., Y. Qian, and J. Roberts, 1991, “Complementarities, Momentum, and the Evolution of Modern Manufacturing”, American Economic Review, 81(2):84-88.
Milgrom, P., and J. Roberts, 1990, “The Economics of Modern Manufacturing: Technology, Strategy, and Organization”, American Economic Review, 80(3):511-528.
Misangyi, V. F., and A. G. Acharya, 2014, “Substitutes or Complements? A Configurational Examination of Corporate Governance Mechanisms”, Academy of Management Journal, 57(6): 1681-1705.
Morgan, G., 2006, Images of Organization, US:Sage Publications.
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Ragin, C. C., 1987, The Comparative Method: Moving beyond Qualitative and Quantitative Methods, Berkeley: University of California.
Ragin, C. C., 2000, Fuzzy-Set Social Science, Chicago: University of Chicago Press.
Ragin, C. C., 2008, Redesigning Social Inquiry: Fuzzy Sets and Beyon, Chicago: University of Chicago Press.
Ragin, C. C., 2014, The Comparative Method: Moving Beyond Qualitative and Quantitative Strategies, California: University of California Press.
Ragin, C. C., and P. C. Fiss, 2008, “Net Effects Analysis Versus Configurational Analysis: An Empirical Demonstration” in Redesigning Social Inquiry: Fuzzy sets and beyond, Chicago: University of Chicago Press.
Ragin, C. C., S. E. Mayer, and K. A. Drass, 1984,“Assessing Discrimination: A Boolean Approach”, American Sociological Review, 49(2):221-234.
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(1)原文为An insufficient but necessary part of a condition which is itself unnecessary but sufficient for the result,意指解释特定结果的一个不太必要(U)但充分(S)的条件组合中的一个不充分(I)但必要(N)的组成部分,故简称“INUS”。
(2)去除能同时引致结果变量存在和不存在的案例之后再做QCA时的一致性。
(1)《做强做优中央企业、培育具有国际竞争力的世界一流企业要素指引》在汇聚大批专家意见的基础上识别出最为相关且重要的13个要素。与之配套的是《对标指引》,目的是让企业找准短板认清自我,学习创新追求卓越。13个要素并非是世界一流企业需要具备的要素,而是中国建成或者培育这样的企业需要设法在这些要素上提升水平,引导企业“对标管理”的要素。以第2个要素“人才开发与企业文化”为例,文件明确指出通过人才开发与文化培育两个方面的关键举措,使之成为软实力和核心竞争力重要源泉。从该要素“目标”是构建高端引例、结构合理、素质优良的人才队伍(人才目标)和培育富有激励、具有特色、积极向上的企业文化(文化目标)的行文看,企业文化和人才开发一样,是带有动词的,所以应该解读为企业文化建设(动宾结构)。同理,第5个要素自主品牌意指自主品牌建设。文件在该要素指导原则中特别强调了品牌建设驱动力和品牌建设基础与重点。可见,文件识别的13个要素或显或隐地具有“建设”或“培育”特定能力的内涵。
(2)中性排列(neutral permutations)是指在一种给定的构型中,围绕核心要素,存在多于一个不同辅助(边缘)要素的集群,但其排列不会对构型的总体效果产生影响。这是对因果等效性理论的丰富(Fiss, 2011)。
(3)∩表示两者缺一不可(交集),>--表示相克,>-/-表示不相克,>-\表示相克力减弱,→表示生力减弱或不相生。下同。
范正认, 2000 : 《企业核心能力形成的内部协同过程分析》, 《科技管理研究》第3期。
胡化凯, 1995: 《五行说——中国古代的符号体系》, 《自然辩证法通讯》第3期。
李徳昌, 2007: 《新经济与创新素质 : 势科学视角下的教育、管理和创新》, 北京:中国计量出版社。
李德昌, 2008:《势科学视域中管理系统的逻辑机制——从整体直觉到逻辑演绎的中国管理学研究》, 《管理学报》第6期。
李德昌, 2011: 《中国管理情境下的势与复杂——势科学视角》, 《管理学报》第3期。
庞朴, 1984: 《阴阳五行探源》, 《中国社会科学》第3期。
普拉哈拉德、加里·哈梅尔、黄婕, 2004: 《公司的核心竞争力》, 《哈佛商业评论》第1期。
乔利利, 2014: 《核心能力生成机理——基于“涌现现象”的理论框架》, 《辽宁工程技术大学学报》(社会科学版)第4期。
秦津娜、丁慧平、邓超, 2012: 《基于资源协同的企业能力提升机理研究》, 《北京交通大学学报》(社会科学版)第2期。
齐文涛、严火其, 2013:《阴阳五行说是一种工具性本质科学——兼与西方近代数学比较》, 《自然辩证法通讯》第3期。
魏江, 1999: 《企业核心能力的内涵与本质》, 《管理工程学报》第1期。
王毅, 2000: 《企业核心能力逻辑结构的理论与实证研究》, 《大连理工大学学报》(社会科学版)第1期。
王毅、吴贵生,2007: 《基于复杂理论的企业动态核心能力研究》, 《管理科学学报》第1期。
王凤彬、郑晓杰、陈公海、王璁,2014: 《管理要素联动效应与中央企业管理提升——基于管理系统网络特征的跨层比较分析》, 《中国工业经济》第5期。
王家传, 2008: 《论五行学说的三元连环辩证法——兼论与黑格尔辩证法的区别》, 《江西社会科学》第6期。
谢旭光、张在旭, 2012: 《基于协同学的企业未来核心竞争力研究》, 《未来与发展》第2期。
于景元, 2017: 《系统科学和系统工程的发展与应用》, 《决策科学》第12期。
于景元、刘毅, 2000: 《复杂性研究与系统科学》, 《科学学研究》第5期。
朱鹏、赵炳新、黄璐艳, 2010: 《基于点赋权图核与核度理论的企业核心能力识别》, 《山东社会科学》第2期。
Bell, R. G., I. Filatotchev, and R. V. Aguilera, 2014, “Corporate Governance and Investors' Perceptions of Foreign IPO Value: An Institutional Perspective”, Academy of Management Journal, 57(1): 301-320.
Boorman, S. A., and H. C. White, 1976, “Social Structure from Multiple Networks II. Role Structures”, American Journal of Sociology, 81(6): 1384-1446.
Breiger, R. L. and P. E. Pattison, 1978,“The Joint Role Structure of Two Communities' Elites”, Sociological Methods & Research, 7(2): 213-226.
Burt, R. S., 1992, Structural Holes: The Social Structure of Competition, MA: Harvard Press.
Campbell, J. T., D. G. Sirmon, and M. Schijven, 2016,“Fuzzy Logic and the Market: A Configurational Approach to Investor Perceptions of Acquisition Announcements”, Academy of Management Journal, 59(1): 163-187.
Crilly, D., M. Zollo, and M. T. Hansen, 2012, “Faking It or Muddling Through? Understanding Decoupling in Response to Stakeholder Pressures”, Academy of Management Journal, 55(6): 1429-1448.
Dosi, G., M. Faillo, and L. Marengo, 2008,“Organizational Capabilities, Patterns of Knowledge Accumulation and Governance Structures in Business Firms: An Introduction”, Organization Studies, 29(8-9): 1165-1185.
Eisenhardt, K. M., and J. A. Martin, 2000, “Dynamic Capabilities: What Are They?”, Strategic Management Journal, 21(10-11):1105-1121.
Fiss, P. C., 2011, “Building Better Causal Theories: A Fuzzy Set Approach to Typologies in Organization Research”, Academy of Management Journal, 54(2): 393-420.
Galunic, D. C., and K. M. Eisenhardt, 2001,“Architectural Innovation and Modular Corporate Forms”, Academy of Management journal, 44(6): 1229-1249.
Grant, R. M., 1996, “Prospering in Dynamically-Competitive Environments: Organizational Capability as Knowledge Integration”, Organization Science, 7(4):375-387.
Greckhamer, T., 2011, “Cross-cultural Differences in Compensation Level and Inequality across Occupations: A Set-theoretic Analysis”,Organization Studies, 32(1): 85-115.
Greckhamer, T., 2016, “CEO Compensation in Relation to Worker Compensation across Countries: The Configurational Impact of Country-level Institutions”, Strategic Management Journal, 37(4): 793-815.
Henderson, R., and I. Cockburn, 1994, “Measuring Competence? Exploring Firm Effects in Pharmaceutical Research”, Strategic Management Journal, 15(S1): 63-84.
Jacobides, M. G., and S. G. Winter, 2012, “Capabilities: Structure, Agency, and Evolution”, Organization Science, 23(5): 1365-1381.
Judge, W. Q.,S. Fainshmidt, and J. L. Brown, 2014, “Which Model of Capitalism Best Delivers Both Wealth and Equality?”, Journal of International Business Studies, 45(4): 363-386.
Kogut, B., and C. Ragin, 2006, “Exploring Complexity When Diversity Is Limited: Institutional Complementarity in Theories of Rule of Law and National Systems Revisited”, European Management Review, 3(1): 44-59.
Kogut, B., and U. Zander, 1992, “Knowledge of the Firm, Combinative Capabilities, and the Replication of Technology”, Organization Science, 3(3): 383-397.
Lavie, D., 2006, “Capability Reconfiguration: An Analysis of Incumbent Responses to Technological Change”, Academy of Management Review, 31(1):153-174.
Marx, A., and A., Dusa,2011, “Crisp-set Qualitative Comparative Analysis (CsQCA), Contradictions and Consistency Benchmarks for Model Specification”, Methodological Innovations Online, 6(2): 103-148.
Meuer, J., C. Rupietta, and U. Backes-Gellner, 2015, “Layers of Co-existing Innovation Systems”, Research Policy, 44(4): 888-910.
Meyer, A. D., A. S. Tsui, and C. R. Hinings, 1993, “Configurational Approaches to Organizational Analysis”, Academy of Management Journal, 36(6): 1175-1195.
Meyer, M. H., and J. M. Utterback, 1993, “The Product Family and the Dynamics of Core Capability”,Sloan Management Review, 34(3): 77-92.
Milgrom, P., Y. Qian, and J. Roberts, 1991, “Complementarities, Momentum, and the Evolution of Modern Manufacturing”, American Economic Review, 81(2):84-88.
Milgrom, P., and J. Roberts, 1990, “The Economics of Modern Manufacturing: Technology, Strategy, and Organization”, American Economic Review, 80(3):511-528.
Misangyi, V. F., and A. G. Acharya, 2014, “Substitutes or Complements? A Configurational Examination of Corporate Governance Mechanisms”, Academy of Management Journal, 57(6): 1681-1705.
Morgan, G., 2006, Images of Organization, US:Sage Publications.
Porter, M., and N. Siggelkow, 2008,“Contextuality within Activity Systems and Sustainability of Competitive Advantage”, Academy of Management Executive, 22(2):34-56.
Ragin, C. C., 1987, The Comparative Method: Moving beyond Qualitative and Quantitative Methods, Berkeley: University of California.
Ragin, C. C., 2000, Fuzzy-Set Social Science, Chicago: University of Chicago Press.
Ragin, C. C., 2008, Redesigning Social Inquiry: Fuzzy Sets and Beyon, Chicago: University of Chicago Press.
Ragin, C. C., 2014, The Comparative Method: Moving Beyond Qualitative and Quantitative Strategies, California: University of California Press.
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(1)原文为An insufficient but necessary part of a condition which is itself unnecessary but sufficient for the result,意指解释特定结果的一个不太必要(U)但充分(S)的条件组合中的一个不充分(I)但必要(N)的组成部分,故简称“INUS”。
(2)去除能同时引致结果变量存在和不存在的案例之后再做QCA时的一致性。
(1)《做强做优中央企业、培育具有国际竞争力的世界一流企业要素指引》在汇聚大批专家意见的基础上识别出最为相关且重要的13个要素。与之配套的是《对标指引》,目的是让企业找准短板认清自我,学习创新追求卓越。13个要素并非是世界一流企业需要具备的要素,而是中国建成或者培育这样的企业需要设法在这些要素上提升水平,引导企业“对标管理”的要素。以第2个要素“人才开发与企业文化”为例,文件明确指出通过人才开发与文化培育两个方面的关键举措,使之成为软实力和核心竞争力重要源泉。从该要素“目标”是构建高端引例、结构合理、素质优良的人才队伍(人才目标)和培育富有激励、具有特色、积极向上的企业文化(文化目标)的行文看,企业文化和人才开发一样,是带有动词的,所以应该解读为企业文化建设(动宾结构)。同理,第5个要素自主品牌意指自主品牌建设。文件在该要素指导原则中特别强调了品牌建设驱动力和品牌建设基础与重点。可见,文件识别的13个要素或显或隐地具有“建设”或“培育”特定能力的内涵。
(2)中性排列(neutral permutations)是指在一种给定的构型中,围绕核心要素,存在多于一个不同辅助(边缘)要素的集群,但其排列不会对构型的总体效果产生影响。这是对因果等效性理论的丰富(Fiss, 2011)。
(3)∩表示两者缺一不可(交集),>--表示相克,>-/-表示不相克,>-\表示相克力减弱,→表示生力减弱或不相生。下同。