制度复杂性视角的家族企业战略变革研究

发布时间：2018-02-01 22:23

  本文关键词： 战略变革 战略延续 战略趋同 家族企业 家族涉入 家族逻辑 市场逻辑　出处：《浙江大学》2017年博士论文　论文类型：学位论文

【摘要】：随着我国经济发展进入产业格局调整期,环境的动态性和不确定性程度加深,唯有加快转型升级的步伐,积极地适应环境变化,才能真正摆脱成长的瓶颈,保持竞争优势。战略变革是协调组织内外部资源以有效适应环境变化的重要手段之一,其目的在于构建和维持企业的竞争优势。作为民营企业主体的家族企业积极主动地进行战略变革才能有效地应对转型,实现永续经营和持续成长。家族企业的战略变革问题长期以来未引起学术界的足够关注,目前人们对家族要素能够对战略变革的发生起到促进还是阻碍作用依然缺乏了解。基于制度复杂性理论,本文从一个新的视角解读家族企业战略变革行为的动机,并着重考察了家族企业群体的异质性战略行为。具体而言,本文开展了三个相互关联且逐层递进的子研究。子研究一(第三章)通过对新希望集团的纵向历史案例分析,回答了家族企业的多元制度逻辑如何动态演进以及多元逻辑性质及其影响下的家族涉入是否会对战略变革产生作用。子研究二(第四章)和子研究三(第五章)以中国A股制造业家族上市公司为研究对象,将战略变革划分为纵向的战略延续-变异与横向的战略趋同_偏离两个维度,分别从动态和静态两个角度,通过实证研究较为全面的考察了家族涉入对战略变革的直接作用以及影响两者关系的情境机制。通过案例分析和实证探讨,本文主要得出以下的研究结论:首先,在家族企业成长过程中,企业的多元制度逻辑主要遵循“结盟期——争夺期——主导期”的动态演进路径,随着逻辑性质向“主导期”过渡,市场逻辑导向越来越明显,战略变革发起的频率会逐步增多。相反,家族逻辑影响程度较强的阶段,家族涉入的程度较高,战略延续的倾向较大;其次,家族所有权和管理权的涉入抑制了上市家族企业战略变革的发起。从纵向的战略变革来看,家族所有权的提高和管理人数的增加能够导致更明显的战略延续行为;从横向的战略变革来看,家族所有权的涉入也能够导致更多的战略趋同行为;再次,资本市场的绩效压力(分析师评估差距)以及企业规模的增加能够减弱家族涉入对战略延续行为的正向影响,从而有利于家族控制下的战略行为的调整;最后,两职分离、非家族CEO以及行业绩效期望顺差能够作为合法性信号,缓解家族上市家族企业的合法性压力,从而减弱了家族所有权涉入对于战略趋同行为的积极影响,也促进了战略的调整。本研究的主要创新点在于:第一,将制度复杂性理论引入家族企业战略研究领域,探寻了家族涉入对于战略变革的作用,为全面理解家族企业战略变革行为的产生动机和分析影响其作用的情境提供了新的理论视角;第二,从动态的视角分析了家族企业战略选择的过程,特别是拓展了制度逻辑的历史权变性、制度逻辑冲突以及合法性机制的研究,有助于弥补以往静态研究视角的局限性;第三,通过整合信号理论,考察了家族企业应对制度压力时的能动性,检验了两职分离、CEO身份和行业绩效期望差距作为合法性信号的有效性,拓展了信号理论的应用情境:最后,在中国上市公司情境下,对家族企业异质性行为的来源进行了新的解构,为理解家族企业异质性行为的产生进行了有益的探索。最后,根据本文的研究发现,提出了管理和政策建议,指出了研究中存在的局限性以及未来可能的研究方向。
[Abstract]:With the development of China's economy into the industrial structure adjustment period, the dynamic and uncertainty of environment deepened, only accelerate the pace of transformation and upgrading, and actively adapt to the environment change, in order to truly get rid of the bottleneck of development, maintain a competitive advantage. Strategic change is one of the important means of coordination of external resources within the organization to adapt to the changing environment, the the purpose is to construct and maintain the competitive advantage of enterprises. As a private enterprise the main body of the family business and actively carry out strategic transformation in order to effectively deal with the transformation, achieve sustainable development and sustainable growth. Strategic change of family enterprises has not caused enough attention in academic circles, the family factors can change the strategy to promote or hinder the role is still poorly understood. Based on the theory of system complexity, this paper from a new perspective of family enterprises Strategic change behavior, and focuses on the heterogeneity of the strategic behavior of family business groups. Specifically, this paper carried out the three interrelated and progressive research. A sub study (Chapter third) based on the new hope group's historical case analysis, answered the pluralistic system of family business logic to dynamic evolution and multiple logical properties and under the influence of family involvement will have an effect on strategic change. The two sub study (Chapter fourth) and three (the fifth chapter) to Chinese manufacturing family, A shares of listed companies as the research object, strategic change will be divided into the continuation of longitudinal variation and _ strategic convergence strategy the lateral deviation from the two dimensions, respectively from two angles of dynamic and static, through a comprehensive empirical study examines the situation of family involvement machine direct effect on strategic change and influence the relationship between the two To explore the system. Through case analysis and empirical analysis, this paper draws the following conclusions: first, in the growth process of family enterprises, multi institutional logic of enterprises mainly follow the dynamic evolution path of alliance - for - leading period, with the logical properties to the dominant period transition, the logic of the market orientation is more and more obvious, launched the strategic change frequency will be gradually increased. On the contrary, the influence degree of the strong logic family stage, family involvement degree is high, the continuation of the great strategic tendency; secondly, family ownership and management involvement suppression of listed family business strategic change is initiated. From the strategic change vertical view, the increase of family ownership and the number of management can lead to more obvious strategic continuity behavior; strategic change from the lateral view, the involvement of family ownership can also lead to more strategic trend The same behavior; again, the effect of capital market pressure (analysts assessment gap) and increase the scale of family involvement can weaken the positive effect on the continuation of strategic behavior, which is conducive to the strategic behavior of the family under the control of the adjustment; finally, the separation of two staff, non family CEO and industry performance expectations surplus to legitimacy as a signal. To ease the legitimacy pressure of family listed family enterprises, thus weakening the family ownership involvement positive impact on strategic convergence behavior, but also promote the strategic adjustment. The main innovation of this study is: first, the system complexity theory into strategic research field of family business, explore the family involvement for strategic change, provided a new approach to the analysis of the motivation and comprehensive understanding of the family enterprise strategic change behavior and the role of the situation; second, from the dynamic view 瑙掑垎鏋愪簡瀹舵棌浼佷笟鎴樼暐閫夋嫨鐨勮繃绋，

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