【作者】 张绪柱；

【导师】 徐向艺；

【作者基本信息】 山东大学 ， 企业管理， 2011， 博士

【摘要】 与工业经济时代相比,在“3C”(顾客、竞争、变革)和“3I”(信息化、国际化、网络化)的共同作用下,当前的市场环境发生了根本性的变化,给企业的生存和发展带来了巨大挑战。随着经济全球化步伐的加快以及现代科学技术、信息技术的广泛应用,企业自身管理活动的动态性和复杂性也大大增加,对企业能力提出了更高要求。市场环境的不确定性、市场竞争的日趋激烈、客户需求的动态变化、产品生命周期的缩短以及环境和生态保护压力的剧增,都要求企业能够对外部环境的快速变化做出动态实时响应,否则,企业便无法生存与发展。在现有组织设计理论中,组织设计的目标指向股东利益最大化或利益相关者利益最大化。无论股东利益最大化还是利益相关者利益最大化,都是企业在生存和健康发展前提下做出的“业绩”,是企业组织运行的结果,而不是企业组织发展本身。从企业成长的更深层次意义上讲,企业组织设计的目标应定位于企业组织的健康发展。只有实现企业自身的生存和健康发展,股东和其他利益相关者的利益才有可能得到保障。因此,如何通过对组织本体的优化设计使企业能够从容应对这种挑战,实现企业组织的健康发展成为亟待研究的一个重要课题。这正是基于流程优化的企业组织设计要解决的问题。企业组织本体,可以从不同角度、用不同视图来描述,一般有流程视图、组织结构视图、控制视图、信息视图、资源视图等,其中,流程视图和组织结构视图是两个最基本的视图,其它视图所反映的资源、信息、控制关系等都可以通过流程和组织结构这两个视图反映出来。流程和组织机构也是企业组织两个重要的子系统。现有的组织设计理论中,职能导向型组织设计理论侧重于静态的组织结构设计；业务流程再造理论则侧重于流程的再造,并且认为组织在两次流程再造之间是静态的。二者或侧重组织结构设计,或侧重流程再造,描述不够全面,且主要是静态研究。本文研究认为,要使企业组织能够对外部环境的快速变化做出动态实时响应,即使把二者结合起来,仅从静态的空间维度对流程和组织结构进行分析描述也是不够的,还必须要研究流程和组织结构的动态关系。从动态的时间维度来考察,考虑流程和组织结构间的动态时间效应,则体现为流程优化和组织结构变革。因此,以企业组织的健康发展为目标,全面考虑企业组织的静态特征和动态特征,企业组织设计应包括四个维度：行为维度和结构维度,空间维度和时间维度。行为维度的组织设计按静态的空间维度和动态的时间维度可分为流程(包括流程的结构、流程规则等)设计和流程优化(包括优化目标、优化方式、优化程序、优化规则等)的设计。结构维度的组织设计按静态的空间维度和动态的时间维度又分为组织结构(包括部门设置、权责体系等)的设计和组织结构变革(包括变革时机、变革范围、变革方式等)的设计。按照上述组织设计路径,本文采用文献法和案例法,首先从文献中提取并通过聚类获得了流程和流程优化的构成要素,并用从案例中获得的信息对其进行调整,确定了流程和流程优化的要素构成,并为每个要素设计了变量字典,也就是各要素的子变量构成、属性、变量数据(信息)来源等；随后,新提出了流程结构的概念,探索了流程要素间的相互关系和空间构成,建立了包括流程单元结构、流程平面结构和流程层次结构在内的流程结构模型,以及流程优化的构成要素之间的关系模型;然后探索了流程系统的自组织和他组织形成机理,重点探讨了流程规则的建立、流程规则在流程系统中的作用及对流程结构的影响。流程结构是流程系统的序参量之一,是决定系统有序结构形成的关键宏观变量,它确定了流程系统的基本形态；而流程规则是流程系统的一个重要的慢变量,在流程系统中具有决定性作用,它决定了流程单元的活动逻辑、以及单元之间关系的作用逻辑。流程规则对流程结构有着重要的影响。流程要素构成、流程规则、流程结构共同决定流程的性能。流程结构模型和流程规则体系的建立,突破了现有研究中只侧重在应用层面研究流程及流程优化的局限,将流程再造理论向前推进了一步。流程结构模型和流程规则体系是基于流程优化的企业组织设计的理论基础,对流程优化和组织设计都具有基础性指导作用。与之相对应,本文同样采用文献法和案例法研究了组织结构、组织结构变革的要素构成,设计了各构成要素的变量字典,探讨了要素之间的关系,构建了组织结构的层次模型和组织结构变革的构成因子关系模型,探索了组织结构的自组织和他组织形成机理,建立了组织结构规则体系并探讨了组织结构规则对组织结构的影响。随后,从构成因子层面探讨了流程与组织结构、流程优化与组织结构变革的关系及相互作用机理。在现有的组织设计理论中,普遍认为流程与组织结构不在同一个层次,是决定与被决定的关系。职能导向型组织设计理论认为,组织结构高于流程,组织结构决定流程；而业务流程再造理论认为,流程高于组织结构,流程决定组织结构。尽管这两种组织设计理论各具优势,但是,都没有正确界定流程与组织机构的关系。本文研究发现,流程和组织结构是企业组织的两个同等重要的视图,它们从不同维度表征企业组织的属性,二者不是从属关系,并没有层次上的高低之分。流程表征企业组织的行为属性,而组织结构表征了企业的结构属性。两者之间不存在简单的线性映射作用,而是呈现复杂的、交互的、动态的、非线性的关系,并且还受到战略、环境、能力、资源、知识、技术等多方面的影响。流程和组织结构共同作用促进企业组织的健康发展。这从根本上突破了现有组织设计理论中关于流程和组织结构处在不同层次观点的局限,成为基于流程优化的企业组织设计体系的理论基础。与组织结构相比,流程对变化的感知和响应具有更强的敏感性。外部环境和企业内部的变化,首先以特定事件的形式触发相应流程,同时这些事件为流程和组织结构设定不同的任务目标(功能要求)。任务的变化通过流程的调度规则和决策规则分别影响流程结构的变化和流程的运行程序；流程设计逻辑规则通过流程要素选择规则、流程要素关联规则和决策规则作用于流程的活动、角色和资源,导致流程结构的变化,也就是流程优化。流程的优化,会直接通过流程的构成要素影响组织结构的单元设计规则、单元间关系设计规则以及组织的运行规则,从而影响到组织结构的构成及其各要素之间的相互关系,促成组织结构的变革。同样,组织结构的变化也会对流程的优化有反馈作用。这就是通过流程优化促进组织结构变革的内在逻辑。在对企业组织的行为维度、结构维度、空间维度、时间维度的多维因子关系及其相互作用机理以及多维因子关系对企业组织发展的影响进行分析的基础上,本文提出一个基于多维因子关系、满足对外部环境变化快速响应的要求、能够实现自创生、自复制、自生长、自适应的新型企业组织——动态全景式流程型组织(Dynamic & Panoramic Process-oriented Organization,简称“DPP组织”)模型。它不是一个具体的组织结构形式,而是一个比现有组织设计理论中提到的职能型组织或流程型组织高一个层次的理论模型。在适应当时外部环境变化和企业内部要求的前提下,DPP组织在企业生命周期不同阶段所表现出来的具体组织结构形式可以是现有组织结构形式中的任何一种,如直线职能制、事业部制、扁平化组织、自我管理团队组织等。DPP组织是基于流程优化的组织设计的一个通用组织模型,具有动态、全景、流程型特征,流程与组织结构间存在动态时间效应,遵循复杂系统的自组织原理。它突破了现有组织设计理论的企业组织静态观和空间适应范围的限制,不仅能够涵盖业务流程还能够涵盖战略流程和支持流程；不仅适于单体企业,还适用于企业集团和中间性企业组织。最后,探讨了DPP组织的设计范式,包括设计原则、设计程序、设计方法等。企业组织是一个开放的稳态系统,是一个耗散结构系统。在企业的全生命周期内,企业组织的发展过程是企业的他组织设计过程和自组织演化过程的有机结合。他组织设计固然有其重要作用,但是企业的自组织、自适应的能力是能够实现组织发展的深层动力,从长期看,他组织过程可以转化为自组织过程。在大尺度的时间维度上,企业组织整体遵从自组织的动态演化规律。因此,DPP组织设计的最高境界是设计出符合企业组织自组织规律的流程规则和组织结构规则,使企业组织能靠规则发挥自组织功能,通过对外部变化的动态实时响应,实现企业的健康发展。更多还原

【Abstract】 Comparing with the industrial economy era, under the joint action of 3C (Customer, Competition, Change) and 31 (Informationalization, Internationalization, Internet), the market environment has changed dramatically, which bring great challenges to enterprises’survival and development. Along with the application of modern scientific technology and information technology (IT), the dynamics and complexity of enterprises’managerial activities have increased. The uncertainty of market, the intense competition, the dynamic change of customer demands, the shortening of product life cycle, and the increase of the environment and ecology protection pressure require enterprises to be able to make real time response to the swift changing environment. Otherwise, they cannot survive or develop properly.In the existing theory of organization design, the target is to maximize interests of shareholders or that of the stakeholders. However, this is the result of an organization’s operations under the condition that the enterprise is healthly developing, rather than on the healthy development of the enterprise itself. The goal of an organization design should focus on the healthy organizational development. Without the realization of enterprise’s healthy development, interests of shareholders and other stakeholders can not be assured. Therefore, how to help the enterprises to react to the challenge and realize their healthy development through organization ontology improvement becomes an urgent research issue. It is the very problem this paper is aiming to solve.From different angles, there are different views to describe enterprise organization ontology, such as process view, organization structure view, control view, information view, resource view, wherein, process view and organizational structure view are the two most basic ones. And the resource, information, and control relations reflected by other views can be expressed through these two views. Process and organization are also two important subsystems of an organization.In the existing organizational design theories, function oriented design theory focuses on static structure design; business process reengineering theory focuses on the business process design. None of them covers both process and organization structure views, and neither considers dynamics of the organization. This paper found out that, in order to enable the enterprise organization to make dynamic real-time response to the fast changes of external environment, even if combining process and organization structure together, only analyzing the two views from the static spatial dimension is insufficient. From the dynamic time perspective, analysis of process improvement and organizational structure reform is needed. Therefore, setting the enterprise healthy development as the goal, considering both the static and dynamic features of an enterprise organization, organization design should include four dimensions:behavior dimension and structure dimension, spatial dimension and time dimension. According to the static spatial dimension and dynamic time dimension, behavioral dimension of organization design can be divided into process design (such as process structure, process rules) and process improvement design (such as process improvement procedures, process improvement rules). Likewise, According to the static spatial dimension and dynamic time dimension, the structural dimension of organization design can be divided into organization structure design (such as the departments setting, power and responsibility assignment) and organizational structure reform (such as the reform opportunity, reform scope, reform mode).According to the above organization design route, firstly, by use of the bibliographical research method and case study method, this paper extracted process elements and process improvement elements from relevant literatures and, and found their composition factors through clustering, and then adjusted them by using the case study data, so that the composition factors of process and process improvement were determined. And then, it designed the variable indexes for each composition factor. Subsequently, it proposed a new concept called "process structure", explored the relations between the process composition factors and their spatial combination, and then established a process structure model (including a process unit structure model, a plane model and a hierarchy model of process structure) and a model of relations between process improvement composition factors. Thirdly, it explored the self-organization and hetero-organization mechanism of the process system, established process rules, and discussed their effects in the process system, and their influence to the process structure. Process structure is one of the order parameter of the process system, and is the key macro-variable deciding the formation of an ordered structure, which determines the basic morphology of the process system; and process rule is an important slow variable of a process system, playing a decisive role in the process system, which determines the activity logic of process units, as well as relations between among process units. Process rules have an important influence on process structure. The composition of process factors, process rule, and the process structure together determine the process performance. The construction of process structure model and the establishment of the process rule system have broken through the limitation of the existing researches which focus only on the application side of the process and process reengineering, and pushed the BPR theory one step further. They have formed the theoretical foundation for enterprise organization design based on process improvement, and played a fundamental role for guiding process improvement and organization design.By contrast, by use of the bibliographical research method and case study method, this paper also extracted organization structure and organizational structure reform elements from relevant literatures and, and found their composition factors through clustering, and then adjusted them by using the case study data, so that the composition factors of organization structure and organizational structure reform were determined. And then, the variable indexes for each composition factor were designed. Subsequently, it explored the relations between the organization structure composition factors and their spatial combination, and then established a hierarchy model of organization structure, and a model of relations between composition factors of organizational structure reform. Further, it explored the self-organization and hetero-organization mechanism of the organization structure system, established process rules, and discussed their influence to the organization structure.Then, it discussed the relations between process and organization structure, process improvement and organizational structure reform from deep level of their composition factors, as well as the interaction mechanism of them. The existing theories of organization design generally thought that the process and organization structure are not in the same level and that one dominated the other. Function oriented organization design theory believed that organization structure was above the process, and thus dominated it; on the contrary, the theory of business process reengineering considered that the process is above the organization structure, and in turn dominated the organization structure. The two kinds of organization design theory emphasized their own advantages respectively. However, none of them properly defined the relationship between the process and the organization structure. This paper found that, process and organization structure are two parallel and equally important views of the enterprise organization, they express organization’s attributes from different dimensions. Process characterizes organization’s behavioral attributes and organization structure characterizes the structure attributes of the enterprise. They do not have simple linear relations, but have more complex, interactive, dynamic, nonlinear relations, and also influenced by strategy, environment, resource, ability, knowledge, technology and other factors. Process and organization structure act jointly to promote the healthy development of an enterprise organization. This broke the limitations of the existing organization design theories fundamentally, and formed a theoretical base for organization design system based on process improvement.Compared with the organization structure, the process has stronger sensitivity as to perceive and respond to the changes of the external environment and internal conditions. Both external and internal changes will first trigger the process by specific events, at the same time, these events will set different objectives and tasks (functions) for the process and the organization structure. Task changes will affect the process structure and the procedure of the process operations through dispatching rules and decision rules; process design rules will affect the activities, roles and resources through process factor selection rules, process factor relation rules and process decision rules, and then influence the composition factors of organization structure and their relations, and further result in the organizational structure reform. On the other hand, organizational structure reform will have feedback effects to the process improvement. It is the internal logic of promoting organizational structure reform through process improvement.After analyzing the relations among organizational behavior dimension, structural dimension, spatial dimension and the time dimension in depth of composition factors level, their interaction mechanism and their influence to the enterprise organization healthy development, this paper proposed a new type organization model based on multi-dimensional relations----dynamic panoramic process-oriented organization (DPP) model, which enable an enterprise to make real-time response to the rapid changes of external environment and internal conditions, an be able to achieve self creation, self reproduction, self growth, and self adaption. The DPP organization is not a specific form of organization structure. Instead, it is an integrated architecture of organization design, which is a more fundamental theoretical model than the function-oriented-type organization or business-process-oriented-type organization under the existing organization design theories. Under the preconditions that the DPP organization is able to make real-time response to the rapid changes of external environment and internal conditions, the specific structural forms of the DPP organization in different phases of enterprise life cycle can be any form of the existing organization structures, such as a Unitary structure (U-form), multi-divisional structure (M-form), and horizontal organization, self -managed team, and so on. The DPP organization is a generic model of organization model of organizational design based on process improvement, which has a dynamic, panorama, and process oriented features. It abides by the principle of self-organization of complex systems.The construction of DPP model breaks through the static view of the existing theories of organization design, and the limitation of the spatial adaptation range, which covers not only the business processes, but also the strategy process and supporting process; and is suitable not only for the single enterprises, but also for the enterprise group and the intermediate organizations.Finally, this paper discussed DPP organization design paradigm, including design principles, design processes, design methods. Enterprise organization is an open steady-state system, is a dissipative structure system. In the enterprise lifecycle, enterprise organizational development process is the organic combination of self-organization evolution and hetero-organization design. Hetero-organization design plays an important role, but the self-organizing, self adaptive ability is the deep impetus of organizational development. From a long-term perspective, hetero-organization design can be transformed into the self organization process. In a long run, the overall enterprise organization is in compliance with self- organizing dynamic evolution law. Therefore, the highest realm of DPP organization design is to design process rules and organizational structure rules being in line with the self-organization law, and enable the enterprise organization play the self-organization function based on the rules designed, and to make dynamic real-time response to the internal and external changes, to realize the healthy development of enterprises.更多还原