【作者】 刘雪梅；

【导师】 罗珉；

【作者基本信息】 西南财经大学 ， 企业管理， 2013， 博士

【摘要】 全球化打开了世界市场的大门,新市场不断涌现,技术发展更是推动了这一现象的快速变化,企业面临着前所未有的机会和威胁。企业为了生存和发展,无不倾尽全力发展自己的资源和能力,虽然如此,单独一家企业想要完全靠自身能量在市场中立于不败之地,在今天的环境下却困难重重,因此,利用外部资源,与别的组织建立类似战略联盟这样的合作组织就成了企业的明智之举。实践中,企业更是与不同类型的伙伴形成合作关系,以参与多联盟的方式为企业带来更宽泛的资源,由此,形成了联盟组合。前人有关联盟关系的研究有大约三十年的历史,但是把联盟组合作为研究对象的历史却不长。国内学者对联盟组合的研究近两三年才开始出现。我们发现,既有相关研究大多集中在个体联盟尤其是对偶联盟水平,或者聚焦在联盟组合的某一局部,缺乏对联盟组合的系统性认知,一些研究显得表象化,对联盟组合背后的机制揭示不够或少有涉及。因此,本论文试图以价值实现的视角,研究对联盟组合的整合分析以及治理机制,希望不仅可以揭示联盟组合这一现象背后的机理,同时可以为企业的实践活动厘清一些相关逻辑从而贡献实践意义。本文认为,联盟组合是企业战略选择的结果,是企业为了寻求扩大价值空间以及进行价值创新的策略及举措。联盟组合的过程,就是焦点企业价值实现的过程,其中在联盟组合的构建中,反映了价值识别,联盟组合的治理相关于价值创造,焦点企业如何从联盟组合的价值分配中占有合意的份额关系到价值获取。从内容上看,本论文共分为七章。第1章：绪论。主要就研究背景、研究的目的及意义、研究方法及内容等做了阐述；第2章：联盟组合整合分析的理论架构。在这一章,指出联盟组合是焦点公司战略选择的结果,价值实现是其最终目标,对联盟组合战略尝试提出了基于价值实现的整合分析的理论架构,将价值实现分为价值识别、价值创造以及价值获取三个阶段或方面,联盟组合的构建、治理以及租金分配分别对应这三个阶段或方面。第3章：联盟组合的构建。本章以多理论视角,为联盟组合的构建提出了一个多逻辑(包括价值逻辑、制度逻辑以及关系逻辑)视角模型,并在该模型意义下,阐述了焦点企业如何进行多伙伴选择,从伙伴个体特征及组合特征进行了分析。第4章：联盟组合的治理。本章揭示了联盟组合的治理机制,构建了治理机制模型。提出联盟组合的治理包括交易治理、关系治理、知识治理以及伙伴调整,专门的联盟组合功能是实现组合战略目标的组织保障。第5章：联盟组合的租金分配。本章首先从资源组合的角度,分析了焦点企业利用联盟组合进行价值创造的资源基础,然后总结了联盟租金的分布特点,探讨了在联盟关系中影响租金分配的因素,最后指出焦点企业获取联盟价值的途径。第6章：案例分析。通过对百度公司联盟组合战略实施的讨论,分析了实践中联盟组合战略的具体应用。第7章：总结及讨论。本章对全文主要观点进行了总结,并就相关联盟组合的其他议题进行了扩展讨论。本论文主要从以下四个方面进行了创新尝试：1、从价值实现视角,概括提出了对焦点企业联盟组合进行整合分析的理论架构。前人的研究多是就联盟组合的某一方面进行,本文试图以企业的终极目标“价值实现”为线索,构建一个完整的分析模型：联盟组合的构建相关价值识别,联盟组合的治理相关价值创造,联盟组合的租金分配相关焦点企业的价值获取。2、提出了构建联盟组合的多视角逻辑模型。为了揭示企业在构建联盟组合或选择合作伙伴背后的机理,本文从资源观、制度观以及关系观的视角,提出了联盟组合构建的多逻辑视角模型,认为企业在选择伙伴时,可以从创造价值(价值逻辑)、与制度环境的关系(制度逻辑)以及关系联结性质(关系逻辑)这三个方面进行考虑。3、构建了焦点企业联盟组合的治理机制模型。前人有对联盟组合管理的相关讨论,但缺乏对联盟组合治理机制的研究,本文因此构建了联盟组合治理机制模型,提出联盟组合的治理包括交易治理、关系治理、知识治理以及伙伴调整四个方面,专门的联盟组合功能是实现治理的组织保障。4、探讨了有关联盟组合租金分配的影响因素。在前人研究的基础上,本文试图构造一个关于在联盟关系中影响联盟租金分配的因素的分析框架,包括基于资源的议价力、基于社会资本的权力、合约安排、交易专有资产投资、相对吸收能力、任务特征、基于偏好和效用的价值主张、价值创造中的因果模糊性、产业结构的特征等。联盟组合既是在实践中普遍存在的组织形态,又少有企业真正能从组合层面去驾驭它,包含了丰富的研究点,由于本人能力和精力原因,本次研究在构建焦点企业联盟组合的整合分析框架中,没有去系统分析联盟组合绩效及成功的概念性维度,使得理论架构中少了对焦点企业联盟组合的产出绩效分析部分,是今后需要进一步完善的内容。另外,本研究的着重点在理论模型建构上,没有对此进行实证验证,这也是今后研究中需要补充的。更多还原

【Abstract】 Since the world market has been globalized and technology development is promoting the rapid changes, companies are facing unprecedented opportunities and threats. In order to survive and develop, all companies make every effort to develop their own resources and capabilities. But, in today’s time, a company couldn’t work well alone and it has to rely on outer organizations.The use of external resources with other organizations to establish their competitive advantages is a better choice to companies. Actually, companies are forming partnerships with different types of partnerships or to participate into different alliances to bring a broader enterprise resources, thus, forming an alliance portfolio.Previous research on alliances has about three decades of history, but the study of alliance portfolio is not long, In China, scholars begun to do this study about three or four years ago.We found that those studies are mostly concentrated on an individual alliance, especially a dual alliance, or focus on a part of an alliance portfolio, and there is almost not a systematic knowledge about alliance portfolio.The mechanisms behind the alliance portfolio don’t be revealed enough or rarely involved. Therefore, this paper attempts to pose a integration of the alliance portfolio analysis and build a governance mechanism model, hoping not only to reveal the alliance portfolio mechanism behind this phenomenon, but also to contribute to companies’ real operating.This paper argues that alliance portfolio is the result of a companie’s strategic choice, and companies pusue expanding value space or innovating value. The process of alliance portfolio is the process of realizing value. Value realization includes value identification, value creation and value capture. The process of building a alliance portfolio is related to value identification. Alliance portfolio governance is related to value creation, and how the alliance rent is appropriated is related to a focus company’s value capture. According to the content above, this paper is divided into seven chapters.Chapter1:Introduction,mainly on the research background, the purpose and significance of the research,the methods and contents being described in detail.Chapter2:Integrated analysis of the theoretical framework of alliance portfolio. In this chapter, a theoretical framework based on the value realization of alliance portfolio is presented. The process of value realization is divided into three aspects or stages such as value identification, value creation, and value capture, and that is just corresponding to the alliance portfolio’s construction,governance and alliance rent appropriation.Chapter3:Alliance portfolio construction.In this part, by using multi-theoretical perspectives, a multi-logical perspective model about alliance portfolio’s construction is posed. According to this model,we explained why companies conducted to select more partners, and we described partners’ characteristics from individual level to portfolio level.Chapter4:Alliance portfolio governance. In this chapter,we reveal the alliance portfolio governance mechanism and built a governance mechanism model.We think the governance of alliance porfolio will include transaction governance, relationships governance,knowledge governance and partner adjustment. Special alliance management function is the organization guarantee.Chapter5:Alliance portfolio rent appropriation. Firstly, from the perspective of resource combination, we analyze the resources base of a focus company’s value creation,then the factors which affect alliance rent appropriation’s effect are proposed.Lastly, we discussed some ways that a focus firm can capture more value from its alliance portfolio.Chapter6:Case study.In this part,we describe the forming process of Bidu Company’s alliance portfolio and how it governs this portfolio,and this is just the why Bidu got a success with his partners.Chapter7:Summary and discussion. This chapter summarizes the main points of this thesis,and some extended and related topics about alliance portfolio is discussed.In this paper,four aspects are tried to be innovated as following:1. According to value realization perspective,an integrated analysis of the theoretical framework of alliance portfolio model is proposed. Previous studies are mostly on a a particular aspect of alliance portfolio, this paper attempts to focus on the ultimate goal of companies’,so value realization is a clue to build this model.2. Proposing a multi-logical perspective model about alliance portfolio’s construction. When a company is ready to choose partners,he can consider it from value logic,institutional logic and relationship logic.3. Building a governance mechanism model of alliance portfolio. Predecessors have discussed some problems about alliance management, but the lack of alliance portfolio governance mechanism.This paper therefore build a model.In this model,we think the governance mechanism of alliance portfolio includes transaction governance,relationship governance,knowledge governance and partners adjustment.A special alliance portfolio function is the organizational guarantee to help the company to achieve its strategic goals.4. Discussing the factors which affect the alliance rents appropriation.Based on previous studies, this paper attempts to construct an analytical framework about which factors have the impact on alliance rents’appropriation. These factors include resource-based bargaining power, social capital-based power, contractual arrangements, proprietary trading assets investment, relative absorption capacity, task characteristics, value proposition based on preference and utility, value creation causal ambiguity, industrial structure characteristics.Alliance portfolio is both a prevalent form of organization in practice, and few companies actually drive it from the portfolio level.This study field is very interesting and attractive.But because of my ability and energy limitation, this study focused on building an integrated analytical framework, there is no alliance portfolio performance to be analyzed systematically. This will be improved in my future research. In addition, this study focused on building theoretical model there is no empirical validation to this, and it is also needed to complete in future.更多还原