【作者】 赵永杰；

【导师】 邱国栋；

【作者基本信息】 东北财经大学 ， 企业管理， 2011， 博士

【摘要】 动态能力理论是在动荡复杂的竞争条件下,为解决企业持续发展问题而产生和发展起来的一个战略前沿。处于经济转型、技术变革、全球竞争、产业升级交错过程中的当代中国企业面临着更多的环境动态性、复杂性和不确定性,如何不断地开发和培育与环境变化相匹配的动态能力已成为未来中国企业面临的最大挑战。现有研究主要集中于对动态能力概念内涵、形成机制、影响因素等的探讨,其中动态能力形成机制的研究是动态能力理论中最为核心的问题,对这一问题的解答是动态能力理论能否有效指导企业开发和提升动态能力的关键。现有这方面的研究成果大致可以分为两类。一是组织内部视角,主要观点包括：动态能力的形成是由企业所拥有的资产位势和历史发展路径所决定的;学习机制引导与塑造企业动态能力的形成与演化过程；知识形成的动态过程即为动态能力的形成与演变过程；动态能力形成过程即为企业形成技术轨道和技术范式的过程等。二是环境视角,主要是从“本地生产系统”的角度考察企业动态能力和环境影响因素的关系,源于一些学者从网络嵌入性视角考察企业动态能力的尝试。近年来,上述两种观点开始出现相互融合的趋势,如一些学者提出动态能力生成的自组织理论,把动态能力的形成视为一个与环境相适应的自组织过程。但是总体上看对动态能力的研究尚处于起始阶段,现有的分析框架还不够完善和成熟,因此不能较为全面地解释动态能力的本质和持续竞争优势的源泉。动态能力是企业“整合、建立和重新配置内部与外部能力来适应快速变动环境的能力”,研究其生成机理应该体现这一内外结合的特征。企业家是企业创新的主体,他们介于市场与企业组织之间,是信息的集中者和决策的制定者,只有他们才能凭借其独特的地位和企业家精神,根据企业内部条件与外部环境的变化不断地筛选、组合、重组企业的资源和能力。但是现有对动态能力生成过程的研究中普遍存在企业家缺位现象,这一状况妨碍了人们对动态能力生成过程认识的深化。系统动力学产生于上世纪50年代,本质上是一种从整体出发强调系统思考的研究模式和分析方法。本文认为缺少系统的研究视角是造成动态能力现有研究不足的主要原因,因此尝试引入这一分析视角,在一个系统思考的框架内深入探讨动态能力的生成机理,目的在于打开动态能力生成的“黑箱”,为破解企业能力演化中的两难困境,提高我国企业的国际竞争力、促进我国经济健康发展提供借鉴。本文的主要研究内容包括以下几部分：一是提出动态能力生成的分析框架。动态能力理论是对核心能力理论的延伸和发展,它产生于动荡复杂的竞争条件下,以增强企业对环境变化的反应能力为目的,聚焦于核心刚性的克服,被认为是动态环境下企业持续竞争优势的来源。但是以往对动态能力的分析主要将其界定为一种持续的战略变革能力或改变惯例的惯例,虽然强调其动态性,但是却不具有直接可考查性,因而不能很好地解释其形成的过程,无法有效地指导企业的实践。组织即兴概念的引入使得我们可以用可考核的具体指标考查企业的组织即兴水平,并据此推断其动态能力,因此为动态能力生成的理论与实践研究提出了一个重要的研究思路。本文首先从系统演进的视角提出一个由“企业家精神-组织即兴-动态能力”构成的动态能力生成的分析框架,从而从长期与短期相结合的角度解释了动态能力的生成过程。二是分析动态能力生成的内在机理。在上述分析框架的基础上,本文以快速战略调整能力和快速战略执行能力作为两个可考核的具体指标分析和评价企业的组织即兴水平,运用系统动力学分析方法,描述了动态能力生成的系统动力机制。在本文提出的动态能力生成的理论框架中,动态能力的生成过程是由战略期间快速战略调整能力、运营期间快速战略执行能力两个增强环路构成的。增强环路有两种行为方式：要么是恶性循环,要么是良性循环。具体表现为恶性循环还是良性循环取决于环路的触发方式。系统思考发现：企业家精神是上述系统中系统要素的激活机制,也是系统结构中的“高杠杆解”。本文界定了个体、组织和社会三个不同层面的企业家精神,进而对三个层面企业家精神激活系统要素、催生动态能力的内在机理展开具体分析,使本文的理论框架建立在科学的逻辑基础之上。三是分析动态能力生成的控制机理。由于过程悖论的存在,研究动态能力的生成机理不仅需要考虑动力来源,还要研究控制机理。本研究从系统动力学的视角揭示了过程悖论产生的内在机理,为更深入认识过程悖论和动态能力的控制机理提供了一个新的分析视角,并在此基础上提出战略调整时点的识别机制,为破解过程悖和分析动态能力控制机理提出思路。四是提出基于企业家精神培育的动态能力策略本部分属于对策性研究,深入探讨了通过企业家精神培育促进动态能力生成的动态能力构建策略,为企业动态能力的开发和提升提供指导和借鉴。首先从系统协同的视角构建了企业家精神形成的分析框架,然后深入分析了个体层面企业家精神的来源、企业家精神的扩散机理和动态传承机制。五是运用比较案例研究方法对本文提出的分析框架和理论模型进行实证检验。本文通过对苹果公司、丰田汽车公司、联想集团、海尔集团和华为技术有限公司五个典型企业的案例考察,从实证研究的角度检验了本文提出的分析框架和理论模型,并且对本研究获得的重要结论做出总结,阐述理论贡献与实践价值之所在,分析本研究中存在的不足,提出有待今后进一步深入探索的研究方向。本文的创新之处在于：一是在一个系统思考的框架内分析了企业动态能力的生成与控制机理。企业动态能力的生成过程是一个能力与环境不断匹配的过程,具有动态复杂系统的特征。本文将系统动力学方法运用于动态能力生成机制的研究,提出了一个由关系链条“企业家精神-组织即兴-动态能力”构成的企业动态能力生成的分析框架,并在此基础上深入分析了动态能力的生成和控制机理,以打开动态能力生成的“黑箱”,破解企业能力演化中的两难困境,丰富和推进了动态能力的理论研究进展。二是将个体、组织和社会三个层面结合起来分析了企业动态能力的生成机理。动态能力是“企业整合、建立、重新配置内外部能力来适应快速变动环境的能力”,只有将企业内外部因素结合起来才能全面认识动态能力的影响因素,深入理解动态能力的生成机理。然而现有对动态能力的研究缺少内外部结合的视角,导致对动态能力的生成缺少系统性认识。系统思考发现：企业家精神是动态能力生成过程中系统要素的激活机制。本文尝试以企业家精神为分析起点,将个体、组织和社会网络三个层面结合起来,系统地解析其激活系统要素、促进动态能力的生成的内在机理。三是提出了基于企业家精神培育的动态能力策略。本文从系统协同的视角构建了企业家精神形成的分析框架,然后深入分析了企业家精神的来源、扩散机理和动态传承机制,为企业动态能力培育和提升提出了一条可操作性路径。更多还原

【Abstract】 Dynamic capabilities theory is a strategic management frontier, which was formed and developed to solve sustainable development of enterprises in turbulent and complicated competition condition. Contemporary Chinese enterprises, which are in changing technology, global competition, restructuring economy and upgrading industry, are faced with more environmental dynamics, complexity and uncertainty. So how to constantly develop and cultivate dynamic capabilities which can match with environment change has become the biggest challenge China’s enterprises facing.Currently research on dynamic capabilities mainly focused on discussion about its concept, mechanism and influencing factors. The formation mechanism of dynamic capabilities is the core in dynamic capabilities theory. How to answer this question is the key on whether dynamic capabilities theory can effectively guide enterprises to develop and improve their dynamic capabilities. The existing research results can be roughly divided into two groups. The first was called internal organization perspective. Its main ideas include:the formation of dynamic capabilities is determined by enterprises’property and development path; the formation and evolution of dynamic capabilities are guided and shaped by learning mechanism; the formation and evolution process of dynamic capabilities is the dynamic process of knowledge formation; the process of dynamic capabilities formation is the process in which enterprises formed their technology rail and technology model, etc. The second was called environment perspective, which mainly focused on the relations between enterprises dynamic capabilities and environmental impact factors from" the perspective of local production system". This viewpoint came from some scholars’ attempt on researching enterprises’dynamic capabilities from network embedding perspective. In recent years, the above two ideas begun to appear integration trend. Such as, some scholars proposed self-organization theory on dynamic capabilities formation. That is, they regarded dynamic capabilities formation as a self-organizing process which can meet with environment. But on the whole, research on dynamic capabilities is still in the initial stage. The existing analysis frameworks are still not perfect and mature, so can’t fully explain the nature of the dynamic capabilities and the source of sustainable competitive advantage.Dynamic capabilities are "the capabilities which can integrate, establish and reconfigure internal and external capabilities to adapt to change of internal and external environment". To study the formation mechanism of it should reflect the features of combining inside and outside factors. Entrepreneurs are the main body of the enterprise innovation. Be situated between the market and enterprise organization, They are the concentration of information and decision makers. With its unique position and entrepreneurship, only they can constantly screen, combine, and reorganize enterprises resources and ability according to the internal and external conditions changes. But in the existing research on dynamic capability formation process, Entrepreneurs vacancy phenomenon exists generally. This situation hindered people to deepen understanding of the dynamic capability formation process.Founded in the 1950s, System Dynamics is one kind of research pattern and analysis method starting from the whole and emphasizing on system thinking in essence. This paper argued that the lack of system research perspective was the main reason that led to the lack of research results. Introducing the analysis perspective, this paper tried to discusses dynamic capabilities formation mechanism in a system thinking framework. The purpose is to open the "black box" of dynamic capabilities formation, and put forward the beneficial reference for enterprises about how to break the dilemma in dynamic capabilities evolution, and how to enhance the international competitiveness of China’s enterprise and promote economic health in China.The main research contents include the following parts:Partl:Put forward the analysis framework of dynamic capabilities formation.Dynamic capabilities theory is the extension and development of core competence theory. It arises from the complex and volatile competition conditions in order to enhance the enterprise response to environmental change. Focusing on core rigidity to overcome, it is considered as the source of sustainable competitive advantage under dynamic environment. However, in previous research, dynamic capabilities were mainly seen as the capabilities which can constantly change strategy or the routines which can change operating routines. In this definition, although dynamic characteristics was emphasized, but because dynamic capabilities can’t be directly evaluated, so the forming process could not be explained very well and enterprises’ practice could not be effectively guided. The introduction of organization improvisation leads to that we can check organization improvisation level with specific assessment index and infer dynamic capabilities according to it. So it put forward a important thoughts for the theory and practice research of dynamic capabilities formation.This paper put forward a dynamic capabilities formation framework from the system evolution perspective to deeply explain the formation process of dynamic capabilities from the perspective of combining short term and long term, which is made up of by the relationship chain " Entrepreneurship -Organization Improvisation-Dynamic Capabilities"Part2:Analyze the inner mechanism of dynamic capabilities formation.On the basis of the above analysis framework, taking quick strategic adjustment ability and rapid strategy implementation ability as two specific assessment indexes, this paper describes the system dynamic mechanism of dynamic capabilities formation by using system dynamics analysis method.In the theoretical framework about dynamic capabilities formation put forward by this paper, the formation process of dynamic capabilities is made up of two enhancing loops: quick strategy adjustment ability during strategy period and rapid strategy implementation ability during operation period. Enhancing circuit performs two kinds of behavior:either a vicious cycle, or a benign circulation. The specific performance depends on how the loop was triggered. We found by system thinking:entrepreneurship is the activation mechanism of system elements in the process, and " high lever" in the system structure.This paper defined entrepreneurship in three different levels:the individual, the organization and the social level. Then concretely analyzed the inner mechanism on how three levels of entrepreneurship activate system elements and accelerate dynamic capabilities in order to make the theoretical framework put forward in this paper based on the science logic foundation.Part3:Analyze the control mechanism of dynamic capabilities formation.Due to the existence of process paradox, to research the formation mechanism of dynamic capabilities not only need to consider source of power, but also the control mechanism. From the perspective of system dynamics, this paper revealed the inner mechanism of process paradox, and provided a new perspective for more understanding of process paradox and control mechanism of dynamic capabilities. Further, we proposed the recognition mechanism of strategy adjustment in this foundation, and put forward ideas on how to solve process paradox and control dynamic capabilities.Part4:Put forward dynamic ability strategy based on entrepreneurship cultivation.This part belongs to the countermeasures study. We deeply discussed the dynamic capabilities construction strategy in order to provide guidance and reference about how to promote dynamic capabilities by fostering entrepreneurship. Firstly, we constructed the analysis framework about entrepreneurship formation from the perspective of system coordinate. Then we deeply analyzed the source of individual level entrepreneurship, the diffusion mechanism and dynamic inheritance mechanism of that.Part5:We tested the analysis framework and theoretical model put forward by this paper using comparative case study method.Finally, through case investigation for five typical enterprises, that is Apple, Toyota Motor Company, Lenovo Group, Haier Group and Huawei Technologies Co., we tested the analysis framework and theoretical model put forward in this paper from the perspective of positivism, made out a summary for the important conclusions of this research, expounded this theoretical contributions and practical value, analyzed the insufficiency in research and proposed the research direction in the future.The innovation of this paper lies in:1. Analyze the formation and control mechanism of dynamic capabilities in a systematic thinking framework.As a process in which enterprises capabilities are constantly matching with the environment, the formation process of dynamic capabilities has characteristics of dynamic and complex system. Using system dynamics method, this paper put forward an analysis frame on dynamic capabilities formation mechanism, which is made up of by the relationship chain " Entrepreneurship - organization improvisation-dynamic capabilities ", and deeply analyzed the formation and control mechanism of dynamic capabilities in order to open "black box" of dynamic capabilities formation, crack the dilemma in enterprises dynamic capabilities development, and enrich and promote dynamic capabilities theory.2. Analyze dynamic capabilities formation from three levels:The individual level, the organization level and the society level. Dynamic capabilities are "the capabilities which can integrate, establish and reconfigure internal and external capabilities to adapt to change of internal and external environment". Only when the internal and external factors were combined together, can we have a comprehensive understanding on formation mechanism of dynamic capabilities. However, the existing research lacked the perspective of combining internal and external factors together. This is the reason why we still lacked systematic understanding on the formation path and formation mechanism of dynamic capabilities. We found by system thinking:entrepreneurship is the activation mechanism of system elements in the process of dynamic capabilities formation. So introducing the analysis perspective and taking entrepreneurship as the starting point of our analysis, this paper deeply discussed the internal mechanism on how entrepreneurship activated system elements and promoted dynamic capabilities formation from three levels:The individual level, the organization level and the society level.3. Put forward dynamic capabilities strategy based on entrepreneurship cultivation.Firstly, this paper constructed the analysis framework about the formation of entrepreneurship from the perspective of system coordinate. Then we deeply analyzed the source of individual level entrepreneurship, the diffusion mechanism and dynamic inheritance mechanism of it. Finally, we put forward an operability path to cultivate and promote enterprise dynamic capabilities.更多还原