企业发展分析：一种以惯例为基础的演化论观点

【作者】 吴光飙；

【导师】 芮明杰；

【作者基本信息】 复旦大学 ， 企业管理， 2003， 博士

【摘要】 企业发展分析的对象是企业的基本性质问题和企业发展的基本问题。企业的基本性质问题主要涉及企业的存在、组织和边界问题。 企业发展的基本问题围绕企业发展的基本命题和管理命题展开，前者提出企业发展是企业与环境相互作用中的质的改善和创新的过程，后者提出企业发展涉及企业的战略、组织和管理方式。 现有企业发展的理论观点围绕企业的基本性质问题（例如，契约理论和知识基础观点）、过程问题（例如，寿命周期、Penrose、Chandler、Kay、 Pettus、Ansoff）以及战略、组织和管理方式（例如，战略理论、组织理论和各种管理方式）而展开。由于任何一种现有企业发展的分析观点均未能涵盖企业发展的所有问题，同时，即使是在已涉及的问题中，仍然存在分析的逼真性较弱、虚假性较多以及理论冲突较强等情况，因此，现有企业发展分析的理论观点是有缺失的，甚至是失败的。一种以惯例为基础的演化论观点，将既能够完成对企业的基本性质问题和企业发展的基本问题的分析，又能够批判和整合现有企业发展分析的观点。这种以惯例为基础的演化论观点具有简洁性、创新性、更强的逼真性和更少的虚假性的分析优势。以惯例为基础的演化论观点提出：一、企业是惯例（程序性知识）及其结构性和连贯性维度构造的集合。二、企业的发展是以惯例为基础的变异、选择、保留的演化过程。主导逻辑、企业发展路径、组织学习、动态选择制度是企业发展的独特性演化主题。三、企业的存在是因为通过惯例的演化，实现了生产和交易的有效配置优势。企业的边界涉及可竞争性活动和不可竞争性活动的整合，惯例的连贯性维度和动态选择制度决定了可竞争性活动的整合；惯例的变异和保留能力、动态选择制度和主导逻辑、惯例集及其路径决定了不可竞争性活动的整合。四、企业的竞争优势取决于过程及协调、组织学习、路径和动态产业选择制度。五、企业的战略本质涉及主导逻辑战略、企业战略、业务战略三个层级，是观念、学习和定位作为战略的有机统一；企业发展的演化主题解释和预测了企业的专业化、多元化（相关或非相关）、垂直整合、战略联盟、虚拟的定位和发展以及业务战略退出。六、惯例及其结构性和连贯性维度容纳了理性和自然的组织微观分析；惯例构造了现有和未来的组织结构形态；惯例（流程）的复杂性决定了组织结构的适应性价值，组织结构适应性价值的体现是受初始效应和企业发展演化主题持续影响的一种动态过程。七、共同愿景、惯例（集）平衡管理、惯例的复杂性管理、流程再造形成了企业发展的主干性演化管理方式。更多还原

【Abstract】 The ontologies of the growth of the firm cover problems of the essential nature of the firm and fundamental problems of the growth of the firm. The problems of the essential nature of the firm relate to the existence, organization and boundary of the firm. The fundamental problems of the growth of the firm center on the essential proposition of the growth of the firm which indicates the growth of the firm is the unfolding process of improvement in quality and Schumpeterian innovation with interacting on environment and the managerial proposition of the growth of the firm which demonstrates the growth of the firm involve strategy, organization and managerial methods.The views available to explain the growth of the firm focus on the problems of essential nature of the firm (e.g. Contract theories, Knowledge-based Perspectives), processing (e.g. Life Cycle, Penrose, Chandler, Kay, Pettus and Ansoff) and strategy, organization and managerial methods (e.g. theories of strategy, theories of organization and various managerial means). All these views are exposed to failure of their analyses because we will verify that both no one of them is able to stretch to interpret all problems belonging to domains of the growth of the firm and weaker verisimilitude, more falsification and conflicts of these views still exist in what they can analyze.A Routine-Based Evolutionary Perspective (RBEP for short) will be developed. The RBEP will both accomplish analyses of the problems of the essential nature of the firm and the fundamental problems of the growth of the firm and criticize and integrate the views available. The RBEP has analytic advantages of simplicity, innovation, stronger verisimilitude and less falsification.The RBEP will suggest (a) assemblages of routines (procedural knowledge) with structural and coherent dimensions configure firm. (b) the growth of the firm is evolutionary process of the routines-based variation, selection and retention; dominant logic, path, organization learning and selection regime form idiosyncratic evolutionary theme of the growth of the firm. (c) the existence of the firm results from its effective configuration advantage of production and transaction obtained through routine-based evolution; The boundary of the firm is concerned with integration of contestable activities which depend upon coherent dimensions of routines and dynamic selection regime and integration of non-contestable activities which depend upon variation and retention of routines, dynamic selection regime and dominant logic, assemblages of routines and path. (d) the competitive advantage of the firm relies on processes and their coordination, organizational learning, path and dynamic industry selection regime. (e) the essence of strategy of the firm relates to three hierarchies with dominant logic, firm strategy and business strategy，which represents unification of idea, learning and position as strategy; the evolutionary theme of the growth of the firm can account for and forecast both positions and development such as specialization, diversification (related or unrelated), vertical integration, strategic alliance and network and business strategic exit. (f) routines and their structural and coherent dimensions can make rational and natural organizational micro-analyses; routines configure current and potential organizational structural forms; the complexity of routines/processes<WP=12>determines adaptation value of organizational structure; adaptation value of organizational structure possesses dynamics influenced by organizational imprinting and idiosyncratic evolutionary theme of the growth of the firm. (g) shared vision, trade-off management of routines/processes, complexity management of routines and processes-reengineering are consisted of dominant evolutionary managerial methods of the growth of the firm.更多还原