【作者】 王晓健；

【导师】 蓝海林；

【作者基本信息】 华南理工大学 ， 管理科学与工程， 2010， 博士

【摘要】 在当前中国改革开放的新形势下,中国企业在中国境内的地域多元化战略是当前提升国际竞争力的一种重要的战略选择。然而,由于中国市场的分散性和复杂性,如何把分散的市场有效地控制运行起来发挥协同效应,成为企业实施地域多元化战略的关键。进而,中国企业要如何运用信息技术,即构建合适运用信息技术的能力以支撑这种控制,成为迫切需要解决的现实问题。与此同时,理论上,中国市场的分散性现实已得到中国经济学理论界的认可,然而基于这种中国市场分散性的企业战略行为研究仍处于起步阶段,理论上迫切需要整合制度基础观(IBV)和资源基础观(RBV)来解释基于这种中国市场分散性的企业战略行为。同时,将一直游离于战略和组织研究之外信息技术和信息技术能力整合在战略、控制的框架内是一个可深入的、有价值的研究契机。基于上述现实与理论背景,本文提出以信息技术能力的视角来研究中国企业地域多元化的控制机制,旨在揭示中国企业是怎样以信息技术能力为支撑实现在国内地域多元化中对异地组织的控制,从而提高地域多元化绩效。即,探讨信息技术能力为企业总部对异地组织实现集权的统一性和分权的灵活性从而实现协同效应的内在机制、分析企业如何发挥信息技术能力以应对中国市场分散的外部制度环境进而提升企业的国际竞争力。本文通过文献研究,提出了关于地域多元化下的控制机制、信息技术能力与绩效的概念模型,然后采取国际上规范的学术案例研究方法,通过理论抽样选取青岛啤酒、中集集团、海尔集团和苏宁电器等四家行业领导企业进行案例研究,通过多种方法和方式进行数据收集,然后采取内容分析、编码、类型匹配分析(Pattern matching)和时间序列分析等方法来进行案例分析,同时运用多重数据间的三角验证(triangulation)等方法保证案例研究的信度和效度。其后进行文献对话、讨论和对概念模型进行修正,并提出了命题发展,在此基础上进行了讨论,获得以下结论:第一,在信息技术能力与制度因素(当地市场化程度)、市场因素(行业一体化潜力)和组织管理传统的交互作用下,企业采取了基于活动的、在不同价值活动集权分权同时并存、动态协调的控制机制。具体而言,当信息技术能力较强时,当地市场化程度越高,越可能采取较高程度的集权控制。当信息技术能力较强时,行业一体化潜力越高,越可能采取较高程度的集权控制。当信息技术能力较强时,企业的集权文化越强,越可能采取较高程度的集权控制。第二,信息技术能力并不直接对控制机制与绩效的关系发生调节作用,而是通过信息技术应用效能这个中介来发生调节作用。信息技术应用效能正向调节了控制机制与绩效的关系。具体而言,当信息技术应用产生了效率效能时,研发、财务、采购、生产的集权控制程度越高,越有利于提高绩效。当信息技术应用产生了快速反应能力效能时,营销/服务的集权控制程度越低,越有利于提高绩效。第三,信息技术能力具有路径依赖性。在企业地域多元化的不同历史时期,为适应多样化和复杂的各地环境,信息技术能力的提升与控制机制设计相互制约、共同演化,体现在关键价值活动的不同控制程度组合,从而解决了与异地二级组织信息不对称的问题,降低了内部交易成本、代理成本和信息成本。但是这个过程经历了一个否定之否定的过程,中国企业在管理问题导向和信息技术导向等两个方面的驱动下呈现出中国企业在特定历史时期、在特定的制度环境下的地域多元化控制机制的演化路径。第四,在经济转型期,中国企业在分散的中国市场中采取母子公司制以满足合法性要求,但实际上以信息技术能力为支撑设计控制机制,使得企业在母子公司体制下产生出总分部的整合效应实现对效率机制的追求,这是企业面对制度压力的主动性战略回应进而获得竞争优势。亦即,企业内部采取基于信息技术能力的控制制度安排来追求效率机制,弥补了由于适应外部合法性而造成的组织效率的损失。第五,即使在经济转型期的制度环境中面临巨大的制度化压力,企业的战略选择也不单纯是以制度为基础的,企业对制度的战略选择、适应和回应,以及最终能够获得的竞争优势,还是基于自身的资源、能力和核心竞争力而实现的,这又是符合以资源为基础的观点。本文揭示了中国企业在特定历史时期、在特定的制度环境下的地域多元化控制机制及其演化路径,创新点与贡献主要表现在以下四个方面。第一,本文以IBV分析中国企业基于国内市场分散性下某一具体的战略行为在一定程度扩展了IBV对经济转型期中国企业战略行为的解释范围,验证了合法性机制理论在中国企业地域多元化中的应用,这是一种新的情境对象,推动了IBV理论中关于制度环境与企业战略行为之间关系的研究。第二,本文整合RBV观点拓展了IBV的合法性机制在中国企业战略行为解释力度。第三,本文将战略、控制和信息技术能力以合理的理论逻辑整合在一个框架内,大大丰富了对信息技术的战略层面而不是技术层面的认识,弥补当前对信息技术认识的不足。亦拓展了对控制机制的研究。第四,本文运用国际规范的案例研究方法揭示“怎样”的内在机制问题,推动了情境嵌入式的中国企业战略行为的研究,对地域多元化研究、组织控制研究、信息技术能力研究都有一定的推动作用。另外,本文在实践上,通过案例研究揭示了在经济转型同样的阶段、面对同样的制度环境,为什么这些企业能够成为“杰出企业”?结构化地呈现并从理论上凝练出在当前中国改革开放的新形势下中国企业在国内采取地域多元化战略并有效实现整合、发展成为“世界级”企业的行为规律、特点和路径,这将对政策制定者和企业战略决策者具有积极的前瞻性指导,具有重要的实践意义。更多还原

【Abstract】 Under the new situation of China’s reforming and opening, the strategy of geographic diversification is one of the most important strategic choices to upgrade international competitiveness. Nevertheless, because of the fragment and complication of China’s markets, how to control these fragmented markets effectively and to exert the coordinated effect become to the keys of successfully implementing geographic diversification. Furthermore, how do Chinese enterprises use information technology, that is, appropriate use capability of information technology to support this control, which is an urgent realistic problem needs to address. At the same time, in theory, Chinese market is fragmented--this reality has been recognized by China’s economic theorists, however, the behavior of corporate strategy based on Chinese market’s dispersion is still in its infancy. In theory, it is urgent to need integrate Institutional Base View ( IBV) and Resource Base View (RBV) to explain the dispersion of the China market based on such strategic behavior of enterprises, while the strategic and organizational research have been divorced from beyond the capability of information technology and integrated information technology strategy within the framework of control is an in-depth, valuable research opportunity. Practical and theoretical basis of the above background, this paper presents the perspective of information technology capability to study the geographic diversification of Chinese enterprises’control mechanism, and designs to reveal how Chinese enterprises to support the information technology capability to achieve geographic diversification in the domestic organizations on remote control to improve the performance of geographic diversification. That is, this paper is to discuss IT capability for enterprises’headquarters in different regions to obtain the unity of centralization and decentralization to achieve coordinated effect of the flexibility of the internal mechanism and how companies play IT capability to respond to the Chinese market fragmentation and thus enhance the external institutional environment of enterprises international competitiveness.Through literature research, this paper presents the control mechanism, IT capability and performance concept model under the geographical diversification, and then takes on the norms of international academic case study method theory sampling select Qingdao beer, CIMC, Haier Group and Suning Appliance and other industry leaders to conduct case studies, through a variety of methods for data collection, and then takes the content analysis, coding, pattern matching and time series analysis approach to case analysis, while using multiple triangulation among the data methods such as case studies to ensure the reliability and validity. And then this paper carries through literature dialogue, discussion and modifies the conceptual model, and makes a proposition development. Based on this, the following conclusions were obtained: First, information technology capability interacts with institutional factors (Local marketization level), market factors (Potential of industrial integration) and organizational management tradition. Chinese enterprises adopt the control mechanism which is based on activities, centralization and decentralization coexisting in business activities of different value and dynamic coordinated. Concretely speaking, as the information technology capability becomes more powerful and the degree of the local marketization becomes deeper, the enterprises will have the greater possibility of adopting centralized control with higher level. As the information technology capability becomes more powerful and the potential of industrial integration becomes higher, the enterprises will have the greater possibility of adopting centralized control with higher level. As the information technology capability becomes more powerful and the centralized culture in enterprises becomes stronger, the enterprises will have the greater possibility of adopting centralized control with higher level. Second, information technology capability has no directly adjusting effect on the relation of control mechanism and performance, but it works through the efficiency of implementing information technology. The efficiency of implementing information technology has positive adjusted the relationship between control mechanism and performance. Concretely speaking, as the implementation of information technology creates efficiency, the higher degree of centralized control to R&D, finance, sourcing and production, the higher performance will be obtained. As the implementation of information technology creates quick response, the lower degree of centralized control to marketing/service, the higher performance will be obtained. Third, information technology capability has the character of path dependence. In the different history period of enterprises’geographic diversification, in order to accommodate the diversified and complicated environment in different parts of the country, the interaction of restriction and co-evolvement between the advancement of information technology capability and the design of control mechanism has reflected the combination of different controlling level on the key valuable activities, and this has settled the problems of information asymmetry between headquarters and it affiliates in different areas and reducing the interior transaction cost, agency cost and information cost. But this period has experienced a process of negation of negation, driven by the management-oriented and information technology guidance, China’s enterprises present the evolvement path of control mechanism for geographic diversification under the special historic period and special institutional environment. Fourth, in the economic transition, China’s enterprises in the Chinese fragmented markets adopt the holding company to meet the requirement of legitimacy, but in fact they design control mechanism with IT capability as support, which makes enterprises generate the integration effect of headquarter under the system of the holding companies to pursue efficiency mechanism, which is the pressure on the system, the strategic initiative in response to further competitive advantage. That is, internal information technology capability to take control based on institutional arrangements to pursue an efficient system for up to adapt to external legitimacy as a result of the loss of organizational efficiency. Fifth, even Chinese enterprises have been confronted with enormous institutionalized pressure during the economic transformation of the institutional environment; the strategic choice of companies is not simply based on institution. The enterprises’strategic choice, adaption and response to the institution and ultimately achieving competitive advantages are based on their own resources, capabilities and core competitiveness, and which is consistent with resource-based view.This paper reveals the control mechanisms and its evolution path of geographical diversification of Chinese enterprises in specific historical period as well as the particular institutional environment. The possible innovative points and contributions mainly explained in the following four aspects. First, this paper uses IBV to analyze Chinese enterprises’certain specific strategic behavior based on market fragmentation to expand IBV interpretation scope of China enterprises’strategic behavior in economic transformation, and verify the application of legitimacy mechanism theory in geographic diversification of China enterprises; this is a new context object. Second, this paper integrates RBV views to extend the interpretative intensity of IBV legitimacy mechanism in Chinese enterprises’strategic behavior. Third, this article integrates strategy, control and information technology capability into a framework by reasonable theoretic logic that greatly enrichs the understanding of strategic aspects rather than technical level of information technology, and offsets the current understanding of the lack of information technology. And also it extends the control mechanism. Fourth, this paper uses international normative case study methodology to reveal "how" the internal mechanism is, and promotes the research of context-embedded Chinese enterprises strategic behavior, and this dissertation has some impetus effect on the research of geographic diversification, organizational control and information technology capability.In addition, this paper in practice, through case studies reveals why these companies can become of "excellence" on the same developmental stage of economic transition, facing the same institutional environment? And this paper structured displays and theoretically epurates the behavior patterns, characteristics and path of the adoption and effective integration of geographical diversification strategy at home and the developing into a "world class" enterprise in the current situation of China’s reforming and opening, which will have positive forward looking guidance and important significance in practice to policy makers and business decision-makers.更多还原