企业战略形成过程中政策的功能与应用研究
摘要
自战略管理作为一个独立的学科诞生以来，主要是从两大领域进行探索，一个是战略内容，另一个是战略形成过程。前一个领域的研究是在SWOT（优势、劣势、机会与威胁）的框架之下，不断地丰富各种分析技巧和战略的具体内容。可是，在竞争越来越激烈、变化越来越快的今天，人们日渐认识到对成功企业战略形成过程的内在机制进行研究，总结出对战略形成过程进行管理的方法，比单纯地了解一些分析技巧和通用战略更为重要。本文在对战略管理的主要流派进行综合考察的基础上，阐明以战略形成过程为中心的战略管理理论的优越性，同时又提出了具体操作性管理工具与之相配合的迫切性。
这种新的以过程为中心的研究思路，需要将传统战略管理理论与行为科学、决策理论、心理学等进行深度的融合，才能真正把握战略产生的内在机制。本文从决策理论的视角，对企业成员日常活动中的决策依据进行剖析。在哈罗德??孔茨等人的计划层次体系基础上，分析出各层次之间的区别与联系，并进行归类整理，提炼出三个主要的层次即战略、政策与规则。以此作为进一步分析的基础。其中政策作为一种程序化决策依据的显著特征是，包含酌情处理的空间，鼓励主动性与创造性。因此，与规则相比政策在指导企业成员日常决策时就有若干独特之处。由于这些特征，我们发现政策不仅在传统的战略执行过程中发挥着支持性作用，而且能够在以过程为中心的战略管理中对新战略的产生发挥能动性的建设作用。
针对战略在渐进的形成过程中会出现不同的目的性要求，政策就应该适时地进行调整，以与这些要求相匹配。本文对这方面可能出现的7种匹配关系进行了初步的探索。由此更进一步揭示了政策与战略之间的双向互动关系。这样试探性地将政策与战略形成机制相结合，不仅有助于管理人员将政策的调适有意识地融入战略管理之中，而且有助于加深人们对战略形成过程内在逻辑的理解
Since the birth of strategic management as a independent subject of management, it has been exploring in two fields. One is strategic content, the other is strategic process. The research in the first demesne devoted itself to develop various skills of analyses and specific content of strategy under the frame of SWOT(Strengths, Weaknesses, Opportunities and Threats). But competition becomes more drastic, and transformation becomes quicker. People increasingly recognize that we should research the inner mechanism of strategic process of successful corporation, and summarize rational methods of managing strategic process, which is more important than the research of various skills of analyses and specific content of strategies. Based on the all-round review of main schools of strategic management, this thesis clarifies the superiority of those theories that focus on process, and expounds the exigency that concrete operational management tools cooperate with these theories.
The new rout of research focused on process need merge behavior science, decision theory and psychology into traditional strategic management. Then we can grasp the inner mechanism of strategic process really. From the angle of decision theory, the thesis analyzes the basis of decision of corporation's members. On the foundation of plan layers system of Koontz etc., the author found out the distinction and relation, and classified it all over again. The new system, which includes three main layers, strategies, policies and regulations, is the foundation of further analysis. Among others policies as one type of programmed decision's bases include contingent space, and encourage autonomy and creativity. So compared to regulations policies have several peculiarities, because of which we could deduce that policies can generate not only positive effect on traditional strategic implementation, but also creative effect on the formation of new strategies in the strategic management focus on process.
Aimed to a variety of requirements emerge in gradual formation process of strategies, policies should be adjusted to them in time. This thesis researched the matching relationship preliminarily. Further more the interaction between policies and
strategies is revealed clearly. The endeavor of the thesis will help manager intentionally merge adjustment of policies into strategic management, and deepen the understanding of inner logic of strategic process
这种新的以过程为中心的研究思路，需要将传统战略管理理论与行为科学、决策理论、心理学等进行深度的融合，才能真正把握战略产生的内在机制。本文从决策理论的视角，对企业成员日常活动中的决策依据进行剖析。在哈罗德??孔茨等人的计划层次体系基础上，分析出各层次之间的区别与联系，并进行归类整理，提炼出三个主要的层次即战略、政策与规则。以此作为进一步分析的基础。其中政策作为一种程序化决策依据的显著特征是，包含酌情处理的空间，鼓励主动性与创造性。因此，与规则相比政策在指导企业成员日常决策时就有若干独特之处。由于这些特征，我们发现政策不仅在传统的战略执行过程中发挥着支持性作用，而且能够在以过程为中心的战略管理中对新战略的产生发挥能动性的建设作用。
针对战略在渐进的形成过程中会出现不同的目的性要求，政策就应该适时地进行调整，以与这些要求相匹配。本文对这方面可能出现的7种匹配关系进行了初步的探索。由此更进一步揭示了政策与战略之间的双向互动关系。这样试探性地将政策与战略形成机制相结合，不仅有助于管理人员将政策的调适有意识地融入战略管理之中，而且有助于加深人们对战略形成过程内在逻辑的理解
Since the birth of strategic management as a independent subject of management, it has been exploring in two fields. One is strategic content, the other is strategic process. The research in the first demesne devoted itself to develop various skills of analyses and specific content of strategy under the frame of SWOT(Strengths, Weaknesses, Opportunities and Threats). But competition becomes more drastic, and transformation becomes quicker. People increasingly recognize that we should research the inner mechanism of strategic process of successful corporation, and summarize rational methods of managing strategic process, which is more important than the research of various skills of analyses and specific content of strategies. Based on the all-round review of main schools of strategic management, this thesis clarifies the superiority of those theories that focus on process, and expounds the exigency that concrete operational management tools cooperate with these theories.
The new rout of research focused on process need merge behavior science, decision theory and psychology into traditional strategic management. Then we can grasp the inner mechanism of strategic process really. From the angle of decision theory, the thesis analyzes the basis of decision of corporation's members. On the foundation of plan layers system of Koontz etc., the author found out the distinction and relation, and classified it all over again. The new system, which includes three main layers, strategies, policies and regulations, is the foundation of further analysis. Among others policies as one type of programmed decision's bases include contingent space, and encourage autonomy and creativity. So compared to regulations policies have several peculiarities, because of which we could deduce that policies can generate not only positive effect on traditional strategic implementation, but also creative effect on the formation of new strategies in the strategic management focus on process.
Aimed to a variety of requirements emerge in gradual formation process of strategies, policies should be adjusted to them in time. This thesis researched the matching relationship preliminarily. Further more the interaction between policies and
strategies is revealed clearly. The endeavor of the thesis will help manager intentionally merge adjustment of policies into strategic management, and deepen the understanding of inner logic of strategic process
引文
[1]亨利?明茨伯格，布鲁斯?阿尔斯特兰德，约瑟夫?兰佩尔．战略历程——纵览战略管理学派．机械工业出版社，2001．P7－11
[2][3]乔治?斯坦纳．战略规划．华夏出版社，2001．P67，P9
[4]亨利?明茨伯格．战略规划的衰落与兴起，载于迈克尔?波特，加里?哈默等著．未来的战略．四川人民出版社，2000．P60－63，P60
[5]Jay Barney．Looking inside for Competitive Advantage，Academy of Management Executive，1995，vol.9，no.4．P49－61
[6]查尔斯?林布隆．政策制定过程．华夏出版社，1988．
[7] [8] [9]詹姆斯?奎因．企业应付变化的战略——逻辑渐进法．世界图书出版公司，1987．P83，P128，P15
[10]亨利?明茨伯格．战略规划的衰落与兴起，载于迈克尔?波特，加里?哈默等著．未来的战略．四川人民出版社，2000．P62
[11]亨利?明茨伯格，布鲁斯?阿尔斯特兰德，约瑟夫?兰佩尔．战略历程——纵览战略管理学派．机械工业出版社，2001．P144
[12]Peter Senge．The Leader's New Work: Building Learning Organizations．Sloan Management Review, Fall
[13]B.Levitt & J.G.March．Organizational Learning．Annual Review of Sociology, 1988（14），P319－340
[14]J.G.March．Exploration and Exploitation in Organizational Learning．Organization Science，1991（2），P71－87
[15]W.M.Cohen & D.A.Levinthal．Absorptive Capacity:A New Perspective on Learning and Innovation．Administrative Science Quarterly，1990（35）．P128－152
[16]斯廷波特，沃瑟曼，杰罗姆．战略途径和创新模式．载于加里?哈默，C?K?帕拉哈莱德等编著．战略柔性——变革中的管理．机械工业出版社，2000．P64
[17]孙凤华．企业战略管理理论述评．北京工商大学学报（社会科学版），2002（5）P44－46
[18]C.K.Prahalad & G.Hamel，The Core Competence of the Corporation．Harvard Business Review，May－June，1990．P79－91
[19] Jay Barney．Looking inside for Competitive Advantage，Academy of Management Executive，1995，vol.9，no.4．P49－61
[20]亨利?明茨伯格，布鲁斯?阿尔斯特兰德，约瑟夫?兰佩尔．战略历程——纵览战略管理学派．机械工业出版社，2001．P143－144
[21]秦凤翔主编．西方经济思想库——经营管理篇．经济科学出版社，1997．P177
[22][23][24][25][26]哈罗德?孔茨，海因茨?韦里克．管理学（第9版）．经济科学出版社，1993．P71，P70－73，P77－81，P74
[27]约瑟夫·L·鲍尔等．企业政策——战略过程管理．东北财经大学出版社，McGraw-Hill出版公司．2001．P2
[28] [29]弗雷德???R?戴维．战略管理．经济科学出版社，2001．P260－261，P262
[30]亚瑟?A?汤姆森，A?J?斯迪克兰德．战略管理——概念与案例．北京大学出版社，科文（香港）出版有限公司，2000．P328
[31]理查德L?达夫特．组织理论与设计精要．机械工业出版社，1999．P45－47
[32]亚瑟?A?汤姆森，A?J?斯迪克兰德．战略管理——概念与案例．北京大学出版社，科文（香港）出版有限公司，2000．P296
[33]安娜蓓尔?碧莱尔．领导与战略规划．机械工业出版社，2000．P286－287
[34][35][36][37][38][39]詹姆斯?奎因．企业应付变化的战略——逻辑渐进法．世界图书出版公司，1987．P28，P29－30，P30，P125－126，P57，P61
[40]理查德?J?鲍伊勒．与海蜇搏斗，载于迈克尔?波特等著．麦肯锡最佳管理．长春出版社，2003，P76－89
[41]詹姆斯?奎因．企业应付变化的战略——逻辑渐进法．世界图书出版公司，1987．P99－100
[2][3]乔治?斯坦纳．战略规划．华夏出版社，2001．P67，P9
[4]亨利?明茨伯格．战略规划的衰落与兴起，载于迈克尔?波特，加里?哈默等著．未来的战略．四川人民出版社，2000．P60－63，P60
[5]Jay Barney．Looking inside for Competitive Advantage，Academy of Management Executive，1995，vol.9，no.4．P49－61
[6]查尔斯?林布隆．政策制定过程．华夏出版社，1988．
[7] [8] [9]詹姆斯?奎因．企业应付变化的战略——逻辑渐进法．世界图书出版公司，1987．P83，P128，P15
[10]亨利?明茨伯格．战略规划的衰落与兴起，载于迈克尔?波特，加里?哈默等著．未来的战略．四川人民出版社，2000．P62
[11]亨利?明茨伯格，布鲁斯?阿尔斯特兰德，约瑟夫?兰佩尔．战略历程——纵览战略管理学派．机械工业出版社，2001．P144
[12]Peter Senge．The Leader's New Work: Building Learning Organizations．Sloan Management Review, Fall
[13]B.Levitt & J.G.March．Organizational Learning．Annual Review of Sociology, 1988（14），P319－340
[14]J.G.March．Exploration and Exploitation in Organizational Learning．Organization Science，1991（2），P71－87
[15]W.M.Cohen & D.A.Levinthal．Absorptive Capacity:A New Perspective on Learning and Innovation．Administrative Science Quarterly，1990（35）．P128－152
[16]斯廷波特，沃瑟曼，杰罗姆．战略途径和创新模式．载于加里?哈默，C?K?帕拉哈莱德等编著．战略柔性——变革中的管理．机械工业出版社，2000．P64
[17]孙凤华．企业战略管理理论述评．北京工商大学学报（社会科学版），2002（5）P44－46
[18]C.K.Prahalad & G.Hamel，The Core Competence of the Corporation．Harvard Business Review，May－June，1990．P79－91
[19] Jay Barney．Looking inside for Competitive Advantage，Academy of Management Executive，1995，vol.9，no.4．P49－61
[20]亨利?明茨伯格，布鲁斯?阿尔斯特兰德，约瑟夫?兰佩尔．战略历程——纵览战略管理学派．机械工业出版社，2001．P143－144
[21]秦凤翔主编．西方经济思想库——经营管理篇．经济科学出版社，1997．P177
[22][23][24][25][26]哈罗德?孔茨，海因茨?韦里克．管理学（第9版）．经济科学出版社，1993．P71，P70－73，P77－81，P74
[27]约瑟夫·L·鲍尔等．企业政策——战略过程管理．东北财经大学出版社，McGraw-Hill出版公司．2001．P2
[28] [29]弗雷德???R?戴维．战略管理．经济科学出版社，2001．P260－261，P262
[30]亚瑟?A?汤姆森，A?J?斯迪克兰德．战略管理——概念与案例．北京大学出版社，科文（香港）出版有限公司，2000．P328
[31]理查德L?达夫特．组织理论与设计精要．机械工业出版社，1999．P45－47
[32]亚瑟?A?汤姆森，A?J?斯迪克兰德．战略管理——概念与案例．北京大学出版社，科文（香港）出版有限公司，2000．P296
[33]安娜蓓尔?碧莱尔．领导与战略规划．机械工业出版社，2000．P286－287
[34][35][36][37][38][39]詹姆斯?奎因．企业应付变化的战略——逻辑渐进法．世界图书出版公司，1987．P28，P29－30，P30，P125－126，P57，P61
[40]理查德?J?鲍伊勒．与海蜇搏斗，载于迈克尔?波特等著．麦肯锡最佳管理．长春出版社，2003，P76－89
[41]詹姆斯?奎因．企业应付变化的战略——逻辑渐进法．世界图书出版公司，1987．P99－100