战略演变的制度基础观
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摘要
战略管理的学科特性决定了它必然是问题导向和实践导向的,中国企业的战略行为,既有体现现代企业发展成长进程中一般规律和共性的一面,同时也带有制度转型期典型特征的深深烙印。只有从这一背景下来考察企业战略及其变化,才能真正认识和理解其内在特质。
本研究试图运用制度分析和共同演化(co-evolution)的思想,将企业战略演变与制度因素纳入到一个整体性的理论框架之中,来分析它们之间的内生互动关系。本文所要研究的基本对象是企业战略演变过程。研究的出发点是将企业的战略演变理解为在特定时空脉络中所展开的相互嵌套的序列关系,并把战略演化过程中的核心问题从不同的观察角度和侧面概括为三个方面:生成(making)、收敛(convergence)和分化(divergence)。
围绕战略演变过程,本文放弃传统的主体—结构、战略—背景环境等诸如此类的简单两分法,将组织层面的战略生成、收敛和分化等复杂过程有机地纳入到制度变迁的情境脉络之中来加以考察。为达到这一研究目的,本文以制度分析为基础,将战略演变概念化为发生在不同层面情境脉络之中的“制度化”与“脱制度化” (deinstitutionalization)相互嵌套的对立统一过程。在这一过程里,一方面包含了组织内部的社会建构的丰富内容,而同时这一建构过程又是嵌套在组织外部社会性建构(制度变迁)更广阔情境脉络之中的。“制度化”作为战略演变中的收敛机制,在不同的层面表现为不同的形式,比如在组织内部表现为惯例化,在产业层面表现为同构化(isomorphism)等;而脱制度化作为战略演变过程中的分化机制,与其作用方向正好相反。不同层面的制度化与脱制度化之间的互动、跨域耦合以及相对力量的大小,决定了企业战略演变的性质。
在上述共时性分析的基础上,本文运用“结构二重性”和“共同演化”的思想和方法,进而从历时性角度研究战略演变与制度转型之间的共同演化关系,即组织战略的演变实际上是处在一个连续不断的内外部情境脉络交互作用的适应性变化过程之中,制度(转型)既是战略演变的制约结构和机会集合,同时战略演变与不同层面的制度变迁又构成一种互动内生的多层面建构关系和过程,从而避开了究竟是制度决定战略行为还是战略选择创造了制度这样简单的单向性问题,并且把制度转型时期企业战略演变的特质明确地凸现出来。
通过将共时性和历时性分析相融合,在整合和改善现有理论的基础上形成本文的整体理论框架,即把制度因素、战略主体(能力、学习与选择)等作为内生性的变量,纳入到一个共同演化的框架之中,通过其内生互动关系来解释制度转型期企业战略行为及其变化。本文把它称之为战略演变的“制度基础观”
(institutional-based view)。通过这一理论框架,本文就能够比较深入地回答以下几个核心问题:第一,组织的战略演变是如何在制度转型的过程中扮演和展现出其特定属性的?第二,制度环境与战略主体能动性的内生互动关系究竟如何? 第三,在共同演化的过程中影响战略演变路径和方向的收敛机制和分化机制如何发挥作用?等等。
在研究的结构和内容上,本文包括导论部分在内共分为8章。第2章内容主要包括战略演变研究领域的界定、相关概念说明、战略演变的核心问题以及该领域研究的相关进展和战略演变的本质等。在此基础上,着重强调了制度转型期企业战略演变过程研究的核心特点。第3章为全文的理论综述部分。从理性、学习、认知、演化和制度五个不同的理论视角对组织战略演变研究进行了综述,并进一步运用理论“理想型”对该研究领域的理论体系作了综合和提炼。第4章从方法论入手,通过探寻战略管理研究方法论的演进过程,对建构主义方法论的情境驱动本质以及共同演化研究思想作了阐述,从而为本文的研究奠定方法论基础。
第5、6章和第7章为全文的理论重心。第5、6章采用微观制度分析和“结构二重性”的思想和语言,重新阐释了战略及战略演变过程的本质,并通过“制度化”与“脱制度化”的描述,试图对战略演变的内在机制有一个更深入的理解,同时也是为了更好地刻画制度转型期企业战略演变的特质。第7章提出本文包容了制度分析和共同演化思想的整体理论框架,主要构成要素包括:(1)组织内部的战略演变机制。主要借鉴战略生成变化的组织内生态演化理论和组织学习理论的有关模型,并将其扩展到组织内部域和外部制度情境脉络的互动层面上,即把组织战略的变化和创新视作一种战略学习的过程,而这一过程一方面表现为组织域与外部制度情境脉络互动耦合,一方面则表现为“制度化”与“脱制度化”。(2)不同层面的制度变量与组织战略演变的互动机制。互动机制的基本思想在于,组织能力、竞争、战略和绩效从根本上来说都是内生性的。也就是说,发生在环境和组织之间多个层面之间的双向互动作用塑造了战略和绩效,而战略和绩效之间的互动又随之塑造了组织能力和场域的竞争(制度)环境。(3)制度因素与战略的共同演化机制。变量的共同演化决定了组织战略演变的路径。从演化过程的视角看,战略主体复杂的“系统定位”形成其在战略空间中的初始位势和条件,然后经过一种“共同演化”的动态互动过程(与不同阶段的制度变迁特征所决定的机会集合和选择机制进行耦合,从而收敛、分化),逐渐呈现出战略变化的不同?
As an emerging discipline and research field, the discipline idiosyncracy of strategic management determines that it is problematically/practically oriented. To explain strategic choices and behaviours in transition economies like China, the idiosyncracy of institutional and other social processes must be seriously considered and be integrated into theoretical analytical framework. In this dissertation, we propose an integrated framework incorporating the institutional perspective, duality of social structure and co-evolution analysis, to explore the trajectories and sequences of strategies in the institutional transformation background.
Applying micro institutional analysis and co-evolution methodology as the basic theoretical approaches, this dissertation intend to build a holistic framework, in which combined strategic change with institutional factors, to research their endogenous interaction relationship. With this theoretical framework, we can describe and understand organizational strategic change processes, especially in the contexts of institutional transition.
In this thesis, organizational strategic change is conceptualized as nested sequences of events that unfold in the situated contexts over time, and the key issues of the strategic change process are generalized from three perspectives or facets: strategy making, convergence and divergengce.
Focusing on the strategic change process, this thesis abandones the traditional dichotomy such as strategy-environment, actor-structure, and posts the complex dynamic process of strategy making, convergence and divergence into context of institutional transition organically. For this research aim, we conceptualize strategic change as nested and dialectic process of institutionalization and deinstitutionalization that unfold in the multiple levels of contexts. In this process, strategic change includes the contents of social construction within organization on the one hand, which is nested and embedded in the social construction outer organizations unfold in the broader institutional transition context. As the convergence mechanism in the strategic change process, institutionalization could manifest different forms at different levels, for example, as routinization at organizational level, or as isomorphism at industry level. The interaction, coupling across organizational fields, and the relative strength between institutionalization and deinstitutionalization at different level, will determine the characteristics of organizational strategy change and process.
Based on these synchronic analyses, we use the idea and methodology of ‘duality of structure’ and coeovlution, to explore the coevolutional relationship between organizational strategic change and institutional transition from diachronic perspective. That is to say, organizational strategy is changed through the continuous, adaptive process in which inner and outer contexts interacted and coevolve. For organizational strategic change and evolution, institution (transition) is constraint factor and enabling driver simultaneously, and there is an endogenous, recursive, and multi-level constitution relationship between strategic change process and institutional transition process. There by, from this perspective we can avoid the simple single-dimension problems such as institutions determine strategic behaviors or strategic choices shape institution, and explicitly emphasize the particularities of organizational strategic change in the institutional transition period.
Combining synchronic analysis with diachronic analysis, institutional theory with coevolutionary idea, the thesis provides a holistic theoretical framework, in which institutional factors, strategic agents and strategic choices are all brought into as endogenous variables. And we call this theoretical framework as ‘institutional-based view’ of strategic change. From this perspective, we can answer these questions thoroughly: (1) how do the organizational strategic change enact and unfold in the process of institutional transformation
本研究试图运用制度分析和共同演化(co-evolution)的思想,将企业战略演变与制度因素纳入到一个整体性的理论框架之中,来分析它们之间的内生互动关系。本文所要研究的基本对象是企业战略演变过程。研究的出发点是将企业的战略演变理解为在特定时空脉络中所展开的相互嵌套的序列关系,并把战略演化过程中的核心问题从不同的观察角度和侧面概括为三个方面:生成(making)、收敛(convergence)和分化(divergence)。
围绕战略演变过程,本文放弃传统的主体—结构、战略—背景环境等诸如此类的简单两分法,将组织层面的战略生成、收敛和分化等复杂过程有机地纳入到制度变迁的情境脉络之中来加以考察。为达到这一研究目的,本文以制度分析为基础,将战略演变概念化为发生在不同层面情境脉络之中的“制度化”与“脱制度化” (deinstitutionalization)相互嵌套的对立统一过程。在这一过程里,一方面包含了组织内部的社会建构的丰富内容,而同时这一建构过程又是嵌套在组织外部社会性建构(制度变迁)更广阔情境脉络之中的。“制度化”作为战略演变中的收敛机制,在不同的层面表现为不同的形式,比如在组织内部表现为惯例化,在产业层面表现为同构化(isomorphism)等;而脱制度化作为战略演变过程中的分化机制,与其作用方向正好相反。不同层面的制度化与脱制度化之间的互动、跨域耦合以及相对力量的大小,决定了企业战略演变的性质。
在上述共时性分析的基础上,本文运用“结构二重性”和“共同演化”的思想和方法,进而从历时性角度研究战略演变与制度转型之间的共同演化关系,即组织战略的演变实际上是处在一个连续不断的内外部情境脉络交互作用的适应性变化过程之中,制度(转型)既是战略演变的制约结构和机会集合,同时战略演变与不同层面的制度变迁又构成一种互动内生的多层面建构关系和过程,从而避开了究竟是制度决定战略行为还是战略选择创造了制度这样简单的单向性问题,并且把制度转型时期企业战略演变的特质明确地凸现出来。
通过将共时性和历时性分析相融合,在整合和改善现有理论的基础上形成本文的整体理论框架,即把制度因素、战略主体(能力、学习与选择)等作为内生性的变量,纳入到一个共同演化的框架之中,通过其内生互动关系来解释制度转型期企业战略行为及其变化。本文把它称之为战略演变的“制度基础观”
(institutional-based view)。通过这一理论框架,本文就能够比较深入地回答以下几个核心问题:第一,组织的战略演变是如何在制度转型的过程中扮演和展现出其特定属性的?第二,制度环境与战略主体能动性的内生互动关系究竟如何? 第三,在共同演化的过程中影响战略演变路径和方向的收敛机制和分化机制如何发挥作用?等等。
在研究的结构和内容上,本文包括导论部分在内共分为8章。第2章内容主要包括战略演变研究领域的界定、相关概念说明、战略演变的核心问题以及该领域研究的相关进展和战略演变的本质等。在此基础上,着重强调了制度转型期企业战略演变过程研究的核心特点。第3章为全文的理论综述部分。从理性、学习、认知、演化和制度五个不同的理论视角对组织战略演变研究进行了综述,并进一步运用理论“理想型”对该研究领域的理论体系作了综合和提炼。第4章从方法论入手,通过探寻战略管理研究方法论的演进过程,对建构主义方法论的情境驱动本质以及共同演化研究思想作了阐述,从而为本文的研究奠定方法论基础。
第5、6章和第7章为全文的理论重心。第5、6章采用微观制度分析和“结构二重性”的思想和语言,重新阐释了战略及战略演变过程的本质,并通过“制度化”与“脱制度化”的描述,试图对战略演变的内在机制有一个更深入的理解,同时也是为了更好地刻画制度转型期企业战略演变的特质。第7章提出本文包容了制度分析和共同演化思想的整体理论框架,主要构成要素包括:(1)组织内部的战略演变机制。主要借鉴战略生成变化的组织内生态演化理论和组织学习理论的有关模型,并将其扩展到组织内部域和外部制度情境脉络的互动层面上,即把组织战略的变化和创新视作一种战略学习的过程,而这一过程一方面表现为组织域与外部制度情境脉络互动耦合,一方面则表现为“制度化”与“脱制度化”。(2)不同层面的制度变量与组织战略演变的互动机制。互动机制的基本思想在于,组织能力、竞争、战略和绩效从根本上来说都是内生性的。也就是说,发生在环境和组织之间多个层面之间的双向互动作用塑造了战略和绩效,而战略和绩效之间的互动又随之塑造了组织能力和场域的竞争(制度)环境。(3)制度因素与战略的共同演化机制。变量的共同演化决定了组织战略演变的路径。从演化过程的视角看,战略主体复杂的“系统定位”形成其在战略空间中的初始位势和条件,然后经过一种“共同演化”的动态互动过程(与不同阶段的制度变迁特征所决定的机会集合和选择机制进行耦合,从而收敛、分化),逐渐呈现出战略变化的不同?
As an emerging discipline and research field, the discipline idiosyncracy of strategic management determines that it is problematically/practically oriented. To explain strategic choices and behaviours in transition economies like China, the idiosyncracy of institutional and other social processes must be seriously considered and be integrated into theoretical analytical framework. In this dissertation, we propose an integrated framework incorporating the institutional perspective, duality of social structure and co-evolution analysis, to explore the trajectories and sequences of strategies in the institutional transformation background.
Applying micro institutional analysis and co-evolution methodology as the basic theoretical approaches, this dissertation intend to build a holistic framework, in which combined strategic change with institutional factors, to research their endogenous interaction relationship. With this theoretical framework, we can describe and understand organizational strategic change processes, especially in the contexts of institutional transition.
In this thesis, organizational strategic change is conceptualized as nested sequences of events that unfold in the situated contexts over time, and the key issues of the strategic change process are generalized from three perspectives or facets: strategy making, convergence and divergengce.
Focusing on the strategic change process, this thesis abandones the traditional dichotomy such as strategy-environment, actor-structure, and posts the complex dynamic process of strategy making, convergence and divergence into context of institutional transition organically. For this research aim, we conceptualize strategic change as nested and dialectic process of institutionalization and deinstitutionalization that unfold in the multiple levels of contexts. In this process, strategic change includes the contents of social construction within organization on the one hand, which is nested and embedded in the social construction outer organizations unfold in the broader institutional transition context. As the convergence mechanism in the strategic change process, institutionalization could manifest different forms at different levels, for example, as routinization at organizational level, or as isomorphism at industry level. The interaction, coupling across organizational fields, and the relative strength between institutionalization and deinstitutionalization at different level, will determine the characteristics of organizational strategy change and process.
Based on these synchronic analyses, we use the idea and methodology of ‘duality of structure’ and coeovlution, to explore the coevolutional relationship between organizational strategic change and institutional transition from diachronic perspective. That is to say, organizational strategy is changed through the continuous, adaptive process in which inner and outer contexts interacted and coevolve. For organizational strategic change and evolution, institution (transition) is constraint factor and enabling driver simultaneously, and there is an endogenous, recursive, and multi-level constitution relationship between strategic change process and institutional transition process. There by, from this perspective we can avoid the simple single-dimension problems such as institutions determine strategic behaviors or strategic choices shape institution, and explicitly emphasize the particularities of organizational strategic change in the institutional transition period.
Combining synchronic analysis with diachronic analysis, institutional theory with coevolutionary idea, the thesis provides a holistic theoretical framework, in which institutional factors, strategic agents and strategic choices are all brought into as endogenous variables. And we call this theoretical framework as ‘institutional-based view’ of strategic change. From this perspective, we can answer these questions thoroughly: (1) how do the organizational strategic change enact and unfold in the process of institutional transformation
引文
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