组织惰性的生成与克服研究

发布时间：2018-04-10 05:00

本文选题：组织惰性　切入点：共同演化　出处：《东北财经大学》2009年博士论文

【摘要】： 在不确定的环境下,组织惰性日益成为制约企业发展的主要因素。本文从组织与环境互动研究出发,在综合组织演化理论和动态能力理论等相关研究成果的基础上,尝试建立组织惰性研究的理论框架。从表象看,企业组织惰性表现为组织模式的固化,但深入分析便会发现,组织惰性是企业在适应和改变环境的过程中因路径依赖所导致的“双重锁定”。“双重锁定”首先是指技术环境、制度环境和文化环境对企业环境选择的锁定,企业生存的前提是适应环境的要求,这是企业获得“合法性”的条件,但环境变迁导致这一前提发生变化；其次是指企业技术、制度和观念耦合所导致的锁定,企业发展的前提是在适应环境的基础上有所创新,这是企业获得竞争优势的条件,但基于创新的高度耦合的组织模式最终束缚了组织适应环境变化的能力。本文第3-5章分别从技术、制度和文化三个方面探讨了“双重锁定”的形成。在技术方面,产业技术周期性特征决定特定产业内的企业不可避免地随着产业的衰退而失去生存条件；适应特定技术环境的组织种群同样会因技术环境的变迁而集体走向衰亡。这种基于技术环境变迁的组织惰性具有不可控性。在特定的产业技术周期内存在多样化的企业技术周期。虽然企业努力采取措施延长企业技术周期,但技术“自增强机制”决定企业在进行技术选择后很难摆脱技术路径依赖。技术路径依赖有利于企业技术创新的产生,但也会导致企业技术路径的锁定,从而形成企业的技术惰性。企业技术突破的方式有两种,一种是渐进式突破,即企业对现有技术体系的完善和改进；一种是破坏式突破,即打破企业现有的技术路径、建立新的技术体系。企业能否有效实现技术突破取决于技术突破的成本。技术突破的成本包括直接技术成本、心理成本和沉没成本。按照企业技术突破的主动程度,技术突破中的组织定位可分为主导式与跟进式。主导式组织定位强调“创新”的重要性,追求技术突破中的“先发优势”；跟进式组织定位强调“模仿”的重要性,追求技术突破中的“后发优势”。在制度方面,制度环境为企业的生存与发展设定了基本的约束条件,具有合法性、稳定性、可解释性和可复制性等特征是企业组织适应制度环境的表现,但这些特征也是导致企业在制度环境变迁时不能迅速适应环境变化的组织惰性产生的根源。企业在适应制度环境的过程中会不断打破制度环境的束缚进而改变制度环境或推动制度环境变迁,但现实中只有少数企业能够主动做到这一点。企业在与制度环境互动的过程中实现了与制度环境的耦合，这一方面体现为组织“合法性”的获得，另一方面体现为企业组织惯例的形成。企业制度发展同样具有路径依赖的特征，当企业现有的制度发展路径不能为企业带来绩效时，企业便进入了制度路径锁定状态。在文化方面，就制度与文化的关系而言，制度源自于文化，文化反制于制度，，制度与文化具有内在一致性。管理同样植根于文化，文化模式的价值定向性决定管理模式的价值取向；文化模式的排他性决定管理模式的可移植性及移植程度：文化模式的多样性决定了管理模式的多样性。文化模式的移植必须遵循文化融合的一般规律，管理模式的移植也必须遵循文化模式与管理模式内在一致性的要求。组织文化发挥作用的前提是组织价值观与组织成员内在价值追求的一致性。组织文化与组织战略都是企业家价值观的产物，二者具有内在一致性：组织战略的转变客观上要求组织文化进行相应的调整；组织文化一旦形成，往往会束缚企业家的战略认知能力，并从组织层面阻碍组织战略的转变。组织文化的发展顺次经历形成期、惯性期、惰性期和衰退期四个阶段，组织文化惯性期的长短取决于组织所处环境的稳定程度，长期处于稳定环境中的组织的文化惰性具有不易克服的特征。组织文化惰性是组织追求理想的文化状态的客观结果。为了系统分析企业组织惰性的成因，在企业生命周期理论的基础上，本文提出组织适应周期模型(第6章)，认为企业的形成和发展过程本质上是不断地因应环境的变化进行组织战略、技术和结构调整或创新的过程，每一次调整或创新都会为企业带来一段时间的稳定发展，也即组织适应期。组织适应的有效性取决于企业战略选择、技术选择和组织方式选择的内在一致性，单纯某一层面的改变并不能有效解决组织适应问题。借助于系统动力模型，本文认为，在既定的组织适应周期内，组织战略、技术和结构的耦合所形成的组织能力是企业竞争优势的来源，但也是导致组织惰性生成的根源。借助于新古典经济学的边际分析方法，本文提出了组织边际收益递减规律，企业基于组织创新的收益在企业运营过程中会逐渐降低。当组织文化成熟、组织运作标准化程序出现时，组织进入“惯性”阶段；当组织在技术方面无突破和相对垄断同时出现时，组织便进入“惰性”阶段。克服组织惰性的方式有渐进式和革命式两种，何种方式被选择往往取决于变革成本与变革收益的比较，而变革成本与收益差的大小取决于组织环境变化的程度。本文在第7章探讨了组织惰性的克服机制。克服组织惰性的有效性取决于企业家精神的延续以及在企业家精神引导下的企业动态能力的生成。综合传统组织能力、核心能力和动态能力理论的相关研究成果,本文根据环境的变化程度和组织能力“动态性”程度不同,把动态能力划分为初级、高级和中级三个层次,并以此为基础分析了企业动态能力的构成,认为敏锐地感知环境变化、发现市场机会,及时地学习和吸收存在于组织内外的相关知识和技能,迅速地协调和整合相关的知识、技术和资源,从而在最短的时间内建立起竞争优势,这是动态能力的基本要求。本文认为,有利于动态能力生成的组织与管理过程强调隐藏于高度柔性的组织方式背后的组织机制的构建。适应动态环境的组织机制并不依附或局限于某一特定的组织方式,其发挥作用的动力来自以权变思想和创新精神为基础的共性的组织观念与企业家认知相结合所形成的组织文化。以此为基础,本文提出了一个动态能力生成的系统模型：“权变思想和创新精神→+组织学习和灵活应变→+市场响应能力和连续创新能力→+不断自我超越和连续抛弃政策→+经验激励→+权变思想和创新精神”。本文还指出,在动态能力生成的组织机制中尤其需要构建一种效率学习与效能学习的转换机制。效能学习与能力的破坏和创造相联系,效率学习与能力的开发相呼应。然而,效能学习过程与效率学习过程是相对立的：为加强既有优势,必须沿着常规路线前进,因而强化了核心能力固有的稳定性；而着眼于未来优势的能力的重新构造,需要忘却现有能力,对常规程序、规则中占支配地位的逻辑提出挑战。在效率学习与效能学习过程中,企业家精神是将效能学习与效率学习进行下去并实现转换的动力。在动态能力生成的组织机制中还需要包含一种有利于吸收组织外部知识、技能和资源的协调机制,其中独立部门试点机制有利于新的组织能力的生成,而具有外部导向且旨在进行企业间合作的组织间网络机制,能够挑战制约构建新竞争优势的刚性和路径依赖性。
[Abstract]:In the uncertain environment, the organizational inertia is increasingly becoming the main factors restricting the development of enterprises. This article from the organization and interactive research environment, based on evolution theory and dynamic capability theory and other related research achievements in comprehensive organization, tries to establish the theoretical framework of organizational inertia.
Superficially, organizational inertia shows curing mode, but further analysis will show that organizational inertia is the enterprise in the process of adapting and changing environment by path dependence caused by the "lock-in". The "lock-in" refers to the first locking technology environment, institutional environment and cultural environment of the enterprise environment the prerequisite for the survival of enterprises is to adapt to the environment, this is the enterprise to obtain the "legitimacy", but the environmental change causes this premise change; second is refers to the enterprise technology, the system and the concept of coupling caused by the lock, the prerequisite for the development of enterprises is the innovation environment on the basis of adaptation this is the enterprise to gain competitive advantage, but highly coupled organization model based on innovation finally tied the organization ability to adapt the change of environment. In this paper, the 3-5 chapter separately from the technical system, and the three party The formation of "double lock" was discussed.
In terms of technology, industrial technology life cycle determines the characteristics of enterprises in the specific industry inevitably along with the industry's decline and loss of living conditions; adapt to the special environment organization population will be the same for changes in the environment and technology collective decline. The environment changes of organizational inertia is not controllable. Based on the existing enterprise diversified technology cycle in the technology life cycle of the specific industry. Although the enterprises to take measures to extend the period of enterprise technology, but the technology of "self reinforcing mechanism" decided enterprises in technology choice after hard to get rid of the technical path dependence. The path dependence is conducive to enterprise's technology innovation, but also will cause a lock of technological path, thus forming technology inert enterprise. There are two enterprises of technological breakthroughs, a gradual breakthrough, namely the enterprise system and the existing technology Improvement; is a disruptive breakthrough, breaking the existing technical path of enterprise, establish the new technology system. Enterprises can effectively achieve technological breakthroughs depends on technological breakthrough cost. Technological breakthrough cost includes direct cost, psychological cost and sunk cost. According to the degree of the enterprise's technological breakthrough, breakthrough in organizational positioning technology can be divided into dominant and follow-up. The dominant organization position emphasizes the importance of the "innovation", the pursuit of technological breakthroughs in the "first mover advantage"; the follow-up organization orientation emphasizes the importance of the "imitation", the pursuit of technological breakthroughs in the "advantage of backwardness".
In the system, the system environment sets a basic set of constraints for the survival and development of enterprises, has legitimacy, stability, interpretability and replicability characteristic of enterprise organization system to meet the environmental performance, but these features also cause enterprises in the changes of institutional environment can not quickly adapt to the environment change of organizational inertia the enterprises in the process of adaptation. The institutional environment will break the shackles of the institutional environment and the change of institutional environment or promote the institutional environment changes, but in reality, only a few companies can take the initiative to do this. Enterprises in the process of interaction with the system environment to achieve the coupling with the institutional environment, on the one hand reflects the organization "legitimacy", and on the other hand form the practice of enterprise organizations. The same with the characteristics of path dependence of enterprise system development, the system of existing enterprises When the development path does not bring the performance to the enterprise, the enterprise enters the state of the system path.
In the aspect of culture, relation between the system and culture system, based on the culture, culture in counter system, system and culture has internal consistency. Management is also rooted in the culture, value orientation of culture mode decides the value orientation of management mode; the cultural pattern of exclusive decision management mode of portability and grafting degree: cultural diversity pattern determines the diversity of the management mode. The migration of cultural patterns must follow the general rules of cultural integration, the management mode of transplantation must follow the culture and management patterns of internal consistency requirements. The organization culture is the prerequisite for the role of organizational values and organizational members of the intrinsic value of the pursuit of consistency. The organizational culture and strategy is a product of the value of entrepreneurs, the two have inherent consistency: the transformation of organizational strategy requires organizational culture. The corresponding adjustment strategy; organizational culture once formed, cognitive abilities are often tied to entrepreneur, and hinder the transformation of organizational strategy from organizational culture development experience. In the formation stage, inertia, inertia and recession four stages, cultural inertia period depends on the stability of the environment of the organization in the long-term, stable environment in the organizational cultural inertia is not easy to overcome. The inertia of the organizational culture is the objective result of the pursuit of the ideal state of tissue culture.
In order to cause the system analysis of the organizational inertia, based on the theory of enterprise life cycle, this cycle model of organizational adaptation (Chapter sixth), that the formation and development of the nature of enterprises is constantly for organization strategy should be the change of environment, process technology and structure adjustment and innovation, steady development of each adjustment or innovation will bring a period of enterprises, namely organizational adaptation period. Organizational adaptation effectiveness depends on the choice of enterprise strategy, the internal consistency of the choice of technology and organization mode, only a certain level of change and can not effectively solve the adaptability of the organization. With the help of system dynamic model, this paper thinks that and in a given tissue adaptation period, organization strategy, formed by the coupling technique and the structure of the organization is the source of competitive advantage, but also the root cause by the organizational inertia. The marginal analysis method in new classical economics, this paper puts forward the law of diminishing marginal revenue will gradually reduce the organization, organizational innovation based on Yield in the course of business operations of enterprises. When the organizational culture, organizational operation standard, organization into the "inertia" stage; when the organization has no breakthroughs in technology and relative monopoly at the same time, the organization will enter into the "inert" stage. To overcome organizational inertia is gradual and the revolution of type two, what is the way will be selected depends on the cost of change and change and change of income, cost and income difference depends on the degree of the organizational environment changes. This paper discusses the mechanism of overcoming organization inert in Chapter seventh.
Continuation to overcome organizational inertia effectiveness lies in Entrepreneurship and entrepreneurial spirit under the guidance of the dynamic capability of the enterprise. The traditional organizational ability, relevant research results of core competence and dynamic competence theory, according to the environmental change degree and organization ability "dynamic" to different degrees, the dynamic capability is divided into primary. Three senior and intermediate level, and on the basis of analysis of enterprise dynamic capability, perceived environment change sharply, identify market opportunities, timely study and absorb relevant knowledge and skills in the organization of inside and outside, rapid coordination and integration of knowledge, technology and resources, so as to establish competitive advantage in the short period of time, this is the basic requirement of dynamic capabilities.
This paper argues that it is beneficial to construct the organization and management of the process of dynamic capability generation emphasizes the organization mechanism behind the highly flexible organization. The organization mechanism adapt to dynamic environment is not attached to or limited to a specific organization, the role of power from the contingency thought and spirit of innovation based on the common the concept of organization and entrepreneurial cognition formed by the combination of organizational culture. On this basis, this paper proposes a system model of dynamic capability generation: "contingency theory and spirit of innovation, organizational learning and flexibility to + + market response ability and innovation ability, and continuously self transcendence and continuous policy to abandon incentive + experience to + contingency theory and the spirit of innovation. This paper also pointed out that the organization mechanism formed by the dynamic capabilities especially need to build a learning efficiency and effectiveness of learning The conversion efficiency and ability of learning. The mechanism of destruction and creation phase, the development efficiency of learning and the ability of echoes. However, the effectiveness of the learning process and the efficiency of the learning process is the opposite: to strengthen the existing advantages, we must move forward along the route, thus strengthening the stability of the core competence of the inherent ability and focus on re structure; the advantages of the future, the need to forget the existing ability of routine procedures and rules in the dominant logic challenge. The learning efficiency and effectiveness in the learning process, the entrepreneurial spirit is the power of learning and learning efficiency will go on and achieve the conversion efficiency. The organization mechanism formed by the dynamic capabilities also need to include a to absorb external knowledge organization, coordination skills and resources, which is conducive to the generation mechanism of the independent sector pilot new organizational capabilities, and with external guide and good. The inter organization network mechanism in cooperation between enterprises can challenge the rigidity and path dependence of building new competitive advantages.

【学位授予单位】：东北财经大学
【学位级别】：博士
【学位授予年份】：2009
【分类号】：C932

【引证文献】