【作者】 樊帅；

【导师】 田志龙；

【作者基本信息】 华中科技大学 ， 企业管理， 2009， 博士

【摘要】 本论文基于深度访谈的案例研究和企业数据的内容分析等研究方法，从理论和实践层面上阐述了中国转型经济背景下企业非市场战略与市场战略整合的战略管理模式，以及在这种模式下非市场战略与市场战略的互动行为规律。一直以来，经典的战略管理理论所强调的是企业如何通过市场战略影响市场环境进而获取持续性竞争优势。事实上，对许多公司来说，市场的成功不仅仅只是依赖于他们的产品及服务、管理绩效、内部组织结构、供应链、分销渠道及联盟网络，还依赖于他们如何有效的面对政府、媒体、公益组织、公众及其他利益群体。这些非市场力量能阻止企业进入新的市场、增加企业竞争成本，同时也能帮助企业开启新的市场机会、降低行业管制程度(Baron，1995b；Meznar & Nigh，1993)。也即是说，在企业经营运作的环境中，企业面临的非市场因素像市场因素一样对企业的成败有显著影响。与此同时，在当今社会中，企业也不再只是被动地适应环境，而是积极通过非市场活动(如社会责任行为、政治行为等)影响或改变外部环境以求得更有利的生存空间。因此，企业如何将这样的非市场活动及其决策纳入到企业战略管理层面进行管理，如何通过整合实施非市场战略与市场战略以提高企业的竞争力就成为一个亟待研究的问题。本论文的研究既拓展了有关中国企业非市场环境与非市场战略研究的领域，也从理论上拓展了以市场为核心的经典战略管理理论。首先，为了在传统的战略管理活动中融入非市场因素的相关分析，本论文以事项管理的视角出发，通过典型中国企业的案例研究，清晰地对存在于企业外部非市场环境中并显著影响企业战略管理及经营实践的非市场事项进行了描述与分类，并进一步地归纳了企业应对各层环境及各类非市场事项影响而采取的相应的12种非市场战略及69种具体行为方式。这类战略行为在本论文的研究中被统称为非市场事项战略(issues-oriented corporate nonmarket strategies)。最后，本论文基于资源理论、制度理论及企业战略选择理论，探讨了企业将非市场环境分析以及非市场战略融入战略管理过程的必要性及可行性，进而对中国企业整合非市场战略与市场战略的管理模式进行了概括与总结，必须从战略分析、战略选择与战略实施三个层面融入到经典战略管理理论，从而提出了一个战略整合的管理模式。其次，本论文采用结构内容分析法，以中国主要房地产企业为例，从资源观与竞争观整合的角度实证地探讨了企业市场行为及非市场行为在竞争中的整合实施及互动规律。研究结果显示出，现代企业的竞争领域不仅包括传统竞争互动研究所聚焦的产品及顾客领域，还应涵盖更广泛的企业资源(包括有形、无形及关系资源等)供给领域。同时，企业的市场与非市场竞争行为之间、针对上游资源层的非市场竞争行为及针对下游产品顾客层的非市场竞争行为之间存在着较显著的相关关系，这反映了它们在竞争中越来越紧密的互动关系。研究结论补充了传统竞争互动理论基于市场行为分析的单一性，为进一步研究中国转型时期企业的竞争互动提供了理论基础和实例支持，对企业战略整合的实践也有一定的指导作用。最后，本论文基于环境与战略的共同演进理论，通过历史数据的纵向追踪，进一步剖析企业非市场环境的动态过程和相应的企业非市场事项战略的演进路径，为传统非市场环境及战略的相关研究提供一种过程研究的动态视角。本论文基于中国制度环境特殊性的分析，总结出非市场事项生命周期在转型经济背景下不同于西方研究结论而出现的特殊阶段——政策试验期及两阶段政策引入期，补充了Tombari(1984)等西方学者的研究结论。同时基于内容分析法所获的纵向历史性数据，以事项生命周期的过程视角描述转型经济时期中国企业外部制度环境的演变过程，能够更为动态地勾勒出相应地非市场事项战略的变化路径。在事项进程中，企业非市场事项战略的选择与实施受到了中国特殊的政治体制、社会文化等因素的极大影响。因此，研究具有中国特色的企业非市场环境及非市场事项战略的演变规律是转型经济环境下企业获得核心竞争优势的有效途径之一，不仅能帮助转型时期的政府更好地把握行业政策的生命周期进程，也为企业如何应对甚至影响外部环境提供了理论指导和实例支持。更多还原

【Abstract】 Based on theoretical and empirical researches including case study and structured content analysis, this paper explore the strategic management mode of integration of corporate market and nonmarket strategies in China’s transition, as well as the behavior mode of interaction of market and nonmarket strategies.A growing body of management literature asserts that social and political environment is of increasing importance to the strategic management of business firms. Firms have been confronted by an organized, activist, and concerned set of stakeholders clamoring for improved corporate performance on a wide range of issues in social and political environment. Indeed, for many firms, market success depends not just on their products and services, the efficiency of their operations and the organization of their supply chains and distribution channels. Success also depends on how effectively they deal with governments, interest groups, activists, and the public. These social and political stakeholders that are labeled as the nonmarket forces by Baron (1995b)’s study can unlock markets, reduce regulation, handicap rivals, and generate competitive advantage (Meznar & Nigh, 1993) . Nonmarket is as important as market which has the significant effect on the success of firms in the business environment. However, firms not only comply with these influences, but do actively attempt to set or change the external environment by nonmarket activities (e.g., corporate social responsibilities or political activities). How can the nonmarket strategies be integrated into the strategic management process? What might be the new explanations of the strategic management when considering nonmarket component in China’s transition? Thus, the integration of nonmarket and market strategies will enrich the classical strategic management theory which is the new trend of the field of strategic management.Firstly, based on the case study, this paper emphasized the need for organizations to view nonmarket issues management as providing the basis for an overall strategic orientation in transitional environment. The nonmarket environment should be incorporated with the formal analysis of external environment. Yet, it is identified as three types of nonmarket issues with different natures in China’s transition. Then, the results suggest 12 nonmarket strategies and 69 tactics named as issues-oriented corporate nonmarket strategies in this study. Finally, based on the resource-based theory, institutional theory and strategic choice theory, this paper proposes an integrated mode of strategic management with the integration in three levels: definition of corporate mission and strategic objectives, decision of strategies and implementation of strategies.Secondly, based on the content analysis method, this paper integrate the corporate nonmarket behaviors (such as social, legal, and political activities of firms) into the previous research of competitive interaction that has generally only focused on market behaviors and expand an existing model of competitive interaction that includes nonmarket actions as sources of sustainable competition. The results indicate: (1) an expanded competitive interaction model includes market and nonmarket components must involved the expanded competitive scope, behaviors and relationships; (2) the related arguments in previous literature of competitive interaction were also the suitable explanations for the market and nonmarket behaviors in product and customer-oriented scope. However, due to the level of magnitude, competence and resource- dependent of a firm, the market and nonmarket behaviors in resource-oriented scope have different situation. This paper develops an available research model to expand previous study of competitive interaction that includes corporate nonmarket behaviors and provides real estate cases in Chinese transitional environment by the historical data.Lastly, based on the ’structured content analysis’ of the longitudinal data from a journal of Chinese real estate industry during last eleven years, this paper studies the nature of public issue life cycle and corresponding issues-oriented corporate nonmarket strategies in a transitional economy. This paper finds out that in a transitional economy like China: (1) a new stage called ’policy trial’ and double-steps of policy introduction were found in the public issue life cycle; (2) the possible outcomes of Chinese public issues are partially consistent with Tombari (1984)’s arguments; (3) the evolution of corresponding issues-oriented corporate nonmarket strategies takes a more complex and different path compared with that in the West. In general, this paper provides an available research perspective (the public issue life cycle model) for firms to manage and monitor their external political environment by effectively developing corresponding issues-oriented corporate nonmarket strategies in a transitional economy.更多还原