企业发展分析：一种以惯例为基础的演化论观点
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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。
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
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.
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。
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
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.
引文
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1Popper(1972/2001:78)认为，客观知识即客观意义上的知识，它由我们的理论、推测、猜测的逻辑内容构成。
2因此，可以说，Coasian企业的创新角色在于交易成本最小化。
3信息问题的基本假设是，“存在一组封闭的可能事件状态和状态权变结果的集，适合的事件状态是未知的”(Fransman,1998:152)。
4Foss(1997:95)认为，在社会科学中，现象X的理论解释有两种观点：一种是遗传的观点，即根据出现的历史来解释现象；另一种是功能（目的）的观点，即根据对代理人好的结果来解释现象。
5Levinthal&March(1993:105-6)认为，在分裂的状态中，理论多元主义将显著增加，其结果很可能是形成恶性循环或者学习陷井。
6有关RBEP基本假设的进一步论述，将在第4、6章中继续进行。
7需要说明的是，尽管目前还不能像主流经济学那样，通过数学模型对RBEP的假设前提进行概括，但是，这并不妨碍RBEP的逻辑发展。
8事实上，真正的有限理性比Simon所提出的还要有限，例如，Fransman(1998:165)进一步识别了四种因素，一是有限理性行为只能在目标既定时才能理性，因为这些目标和选择在理性过程之外，即使个人对选择目标的认识是一致的。同时，目标本身也不能认为是理性的。二是可以推断，用于进行决策和选择的信息也难以理性选择。三是寻找更多信息计算的困难性；四是期望的事前判断的困难性。
9Seth&Thomas(1994:174)甚至认为，最大化标准的使用就是存在理性。
10Barner&Hansen(1997:6)认为，信赖)是相互的信任，以致交易各方将不利用他人的弱点。
11Witt(1998:164)发现，Simon对有限理性的讨论常常忽视了这一点。
12需要说明的是，Machlup(1978b)认为，语言污染已经导致了对方法论一词的庸俗使用，从某种意义上，它违反了所有哲学传统。
1320世纪中期，在研究质子这种不可观察实体的认识论的过程中，哲学界创造了现实主义的分析方法 (cf.Putnam,1990)。
14与现实主义不同，实用主义并不考虑理论本身的严肃性。
15即理论经过反复证伪后仍然存在或者说与现实世界的实际情况相一致。
16Von Glaserfield(1995:8)认为，建构主义是起源于哲学、心理学和控制论的知识理论。
17在认识论上，笛卡尔是理性主义者，他的双元格局(Schema)创造了理性主义和经验主义的两分法。
18例如，Miller(1956)发现，人不能在同一时间储存超过7个字节的数据。
19还原论分析法又称为原子论分析法(Atomism)，最早可追溯到古希腊文明时期。
20指存在连续和不可逆的衰退，或者说从有序到无序的衰退过程。
21即耗散结构的存在。
22马克思是机体论分析法的支持者。马克思认为，孤立的个人的观点不总是真实的，是随着资本主义出现而产生的历史的时期。
23需要说明的是，虽然今天理论的特点显示它的古典起源和它现在的科学效用，要是以为这些要考虑的事，无论是分开还是合起来，充分说明了这一理论今天具备的形式，那就是一个错误。
24例如，更复杂、更灵活、更有效率、更有能力、更聪明等。
25这从某种意义上表明了为什么人们往往把演化与生物学用语联系起来。
26Darwin是在他的《物种起源》第六版后才正式开始使用“演化”一词。
27所谓自发秩序，是指不是因为人的主观设计，而是因为许多个人在追求他们自己目标时，所产生的非计划的结果。
28Darwin(1911/1995:2)指出，Larmack是第一人，他对这个问题（物种起源）的结论，激起了广泛的注意。
29对于用进废退，Lamarck认为，凡是没有达到其发展限度的动物，它的任何一个器官经常利用的次数越多，就会促使这个器官逐渐地巩固、发展并增大起来，而且其能力的进步与使用的时间成正比例。同时，器官经常地不使用，会使其削弱和衰退，并不断地缩小它的能力，最后必会引起器官的消灭。
30对于获得性状遗传，Lamarck认为，凡是在动物居住很久的自然环境的影响下，也就是说在某一器官的更多运动的影响下，或者在某部分经常不利用的影响下，使个体得到或失去的一切，只要所获得的变异是两性的个体所共有的，那么这一切变异就能通过繁殖而保持在新生的个体上。
31现代Darwinian是指严格意义上的演化思想。在一般意义上，人们在认识演化思想时，往往把Darwinian视同现代Darwinian。
32Hirshleifer(1977)提出，人口生物学、社会生物学和生态学就是专门研究所观察的各种生命之间相互关系的学科。
33值得注意的是，现代生物学并没有达成对演化认识的一致。一些生物学家和生物哲学家仅仅认为演化就是选择机制(cf.Sober,1984)，而另外一些则坚持三个机制同时存在，才是演化的真正内涵(cf.Dennett,1995)。
34在Aristotle的诗集中，他把借用定义为“属于另一事物的名字应用于一个事物”。
35Black(1962)认为，通过提出和过滤不同的但有联系的概念系统，借用的使用涉及相互关系。这就是说，借用决不是仅仅语义的，决不是仅仅是字面意思本身，还涉及关于现实的信仰。即便是从字面意思本身来看，Davidson(1980)认为在心理上也是重要的，因为它们能帮助产生导致创新结果的反应。
36有关利基的解释可参见本章第3节的分析。
37博弈理论的演化观点是基于需求信息的假设，替代战略和可比较的收益是明确的。
38Schotter(1981)在此基础上发展了社会制度的一般博弈理论。
39自发秩序的观点对信息要求较低。Darwin以前的Darwinian如Smith和Scottish启蒙思想家提出了自发演化的概念，其中，适应性学习和模仿机制预见了Darwinian的自然选择和基因遗传。
40Wilson(1975:3)认为，“社会生物学的关键理论问题是利他主义，即减少个人适应性，如何能通过自然选择演化的？”
41Prigogine(1990:16-17)认为，规则与决定性预测相联系，最终体现的时间非常消极。
42转引自Foster( 1987:79)。
43演化主题曾经在19世纪末关于Sherman反托拉斯法的争论中起到了重要作用(Demsetz,1997:4)。Clark(1988)当时提出，联合在社会产业的性质中具有根源。从联合的起源、发展和实际工作来看，是正常的。它们既不是被科学家所压抑的，也不为立法者所控制，它们是演化的结果。
44Newtoniam把变化当作定量和重复的运动，是一种目的论。
45之所以称为启蒙时期，是因为按照演化基本内涵的一般抽象，这些认识是零碎的、不完整的。
46Veblen强调演化过程没有终止。
47但是，不久他便放弃了这一研究纲领。
48他不能成功把本能解释为“变成人类性质的遗传因素”。
49关于制度，Veblen(1919:239)认为是“形成的人类一般共有的思想习惯”，即给定社会一批人享有的惯例化思想过程的扩大。
50制度经济学家一个共同特点是强调形成集体行为的规范(Hamilton,1991:76)，Veblen是早期的倡导者。
51Hegel 较早提出了机体主义的观点。
52除了演化思想以外，Marshall(1938/1964:257)还提出了产业组织有机体的思想。“经济学家因在社会组织——特别是工业组织——与高等动物的身体组织之间所发现的许多奥妙的相似点，而得益非浅。……有机体——不论是社会的有机体还是自然的有机体——的发展，一方面使它的各部分之间的机能的再分部分增加，另一方面使各部分之间的关系更为紧密，这个原理是没有很多例外的”。
53即自发秩序观点的体现。
54Mayr(1982:46)最早提出人口思想(Popolation Thinking)观点，人口思想的观点按照特征的分布描述物种，人口思想的核心在于特性观念，即理论是被有关人口特性和重要性相互影响的观念进行规定。与人口思想观点相对的是Planton的类型存在主义(Typological Essentialism)观点，类型存在主义观点根据体现基本性质的一些本质特点，对实体进行识别。所有围绕理想类型的变异被视作偶然偏离。
55Marshall(1938/1964:326)提出，我们可从森林中新生的树林，从老树的浓荫中用力向上挣扎的情况得到教训。许多新生的树木中途夭折了，只有少数得以生存；这些少数生存的树木一年比一年壮大，它们的高度每有增加，就可多得一些阳光和空气，终能耸然高出邻近的树木之上，似乎它们会永远这样生长下去，随着它们这样生长，似乎永远壮大下去。但是，它们却不是这样。一种树比另一种树能维持活力较久和较为茂盛；但是，迟早年龄对它们是有影响的。较高的树木比它的竞争力，虽然得到较多的阳光和空气，但它也逐渐失去生命力，相续地让位于物质力量虽然小、而青春的活力却较强的其他树木。
56而且根据Marshall的产业推理，也必然导致多样化减少。
57在Schumpeter(1954:893)看来，"Walras的贡献是重要的，尽管是消极的。他把无盈亏的企业家引入了系统……因为这一理论基本是静态的理论……因此，他认为企业家的利润只能来自静态均衡条件的未满足”。
58Schumpeter(1934)认为是循环流转的系统。Schumpeter对经济活动的循环流转描述，事实上，并不意味着缺乏变化，因为变化是连续的“通过连续地无数的小的变化，零售店变成了百货商店”(ibid.:62)。
59即创新企业家挑战这一系统，创新企业家的涌入导致非创新企业家适应，最终系统归于新的以惯例为基础的循环流动。
60例如，货币制度的产生。
61在这方面，Hayek严格坚持Austrian学派的观点。
62可以看出，Hayek也属于Spencerian，即强调在竞争演化过程中被选择的必然是优秀的，相对高效率的。
63直到20世纪50年代之前，主流经济学完全抛弃了Marshall的生物学和演化思想，而Veblen和Schumpeter等由于自身存在的问题，并未受到广泛注意。
64Foss&Foss(2000:33)发现，承认变化和经济组织是相关的，在经济学中一直没有出现，直到20世纪20－30年代在社会主义经济可行性的讨论中才出现。
65他以一种类似于化学过程的方式，通过化学综合所需要的连续运动和变化，使得动态和静态的特征得以区分，从而综合了垄断和竞争。
66尽管产品变异在Chamberlin的模型中起了重要作用，但是并不清楚技术是否保持稳定。但是由于他强调产品的变异，有理由推断创新是重要的。
67事实上，至20世纪50年代初期，Alchian的文章基本代表了经济学演化论观点的最高水平。更重要的是，经济世界提供了运用演化概念的巨大的丰富的基础。理解演化的根本点是抓住对竞争性行为模式变化频率的关注(Metcalfe,1999:36-7)。Alchian的成功正在于此。
68Knight(1921)基于风险的存在，最早提出了反对理性决策的观点。Alchian拒绝的新古典经济学理性假设也是基于同样的推理，但是Alchian的推理却比Knight前进了一步，提出了不确定性。Alchian认为，不确定性是指不完全预先和人不能处理包含一组变量的复杂的问题。Knight和Alchian的观点都是基于可获得信息的不充分性。事实上，与不确定性相比，风险仅仅属于Bayes决策，而Bayes决策是不能解释一种重要的不确定性，即无知。无知只能通过知识状态的改善即学习降低。
69最大化和满意原则缺乏在心理存在和幸存的更解释一般(Demsetz,1997:6)。
70Alchian(1950:213)认为，“存在替代方法，这种方法把决策和标准当作由经济系统决定作为比由其中的个人作出的决策更重要”。
71Alchian认为，利润的追求，而不是一些不可定义的假设的完全市场，是相关的目标，这一目标是企业幸存的奖励。然而，这一目标不是高的，因为不存在过去的完全知识和当前状态的意识，能充分预见有利润的行动。他形象地比喻，“就像赛跑一样，奖励是属于相对最快的，即使所有参赛者都在闲逛。甚至在都是蠢人的世界，仍然存在利润(ibid.:213)。
72对Alchian来说。成功意味着相对高效率，不要求适当的激励，而是幸运环境的结果(ibid:213)。
73Alchian进一步强调，世界的不确定性越大，实现利润的可能就越趋向冒险、运气，而不是逻辑、仔细的和收集实际的个人(ibid:213)。
74Alchian(ibid:214)认为，“一个有用的，但不现实的例子是没有任何预见的个人行为，显示可适用于经济学家的分析类型和系统指导资源的能力——尽管个人无知”。Alchian(ibid:215-7)还认为，机会因素具有内在丰富性的。例如，一是即使每个人采取一种随意的、非激励的方式，各种行动中必然会产生一种最好的，好象是预见的。二是根据一些预见和激励进行的个人行为并不一定意味着行为的集体模型与随机选择的行为模型不同。三是机会主导的模型并不意味经济学家不能预测、解释和诊断。四是预测并不断言每个企业必须改变其特征，而是新的一组企业的特征将改变，产生“代表性企业”。
75模仿和试错被Alchian认为是实现正利润的充分条件。
76Alchian认为，净利润是企业之间成本差异的结果。他定义了边际生产者，即在充分竞争条件下只能获取零净利润的生产者，净利润的分配取决于边际企业的成本分配。在此基础上，他提出了长期竞争的动态特征，即非边际企业的累积调整了累积能力的成本决定剩余，并逐渐把边际企业赶出产业。
77不像Steindl用投资模型解释效率差距，Downie把效率差距归于创新的结果。由于更有效的企业能够累积能力和市场份额，在牺牲较低效率企业的基础上。选择就成为“转移机制”，使最效率的企业成为经济主导，而只有抵消的创新机制才能阻止这种经济主导。
78Alchian(1950:211)认为，即使在这样的极端模型中，经济学家通过主流分析工具的修改的使用，能够预测和解释事件。
79因为追求成功政策的企业扩大和繁荣，吸收了大部分的市场摩擦，越来越高的行为标准就成为竞争生存的最低标准。在长期，可存活性控制了最优化，结果，企业就好象是最优化的。
80Becker(1976)还进一步提出，社会生物学家的洞察力能够补充新古典分析。他认为，从社会生物学角度看，较适合的行为的特质(Dispositions)能够生存。即在自然选择的压力下，行为的特质通过演化，产生最佳的行为的特质。Becker指出，不仅利他性的行为特质能够演化，利他性的个人还能促使自利人的行为好像也是利他的。
81Friedman(1953)在他的经典方法论文章中，并没有把“好像”原则建立在“假设无关性”的一般论述中，而是指出，由于系统机制的存在，使得企业决策的复杂现实的结果最终与传统理论的预测一致。他认为，除非企业的行为接近与收益最大化一致的行为，否则企业是不可能在商界保留长久的。企业行为的决定因素可以是习惯反映、随机机会等等。每当这些决定因素碰巧导致与理性和信息最大化一致的行为，企业将扩张并获得所需要的资源。否则，企业将失去资源，或者通过外部的资源补充才能存货。这样，‘自然选择’的过程就有助于使假设有效——或者，给定自然选择，假设的接受在很大程度上基于判断，即假设适当地概括了生存的条件。
82对此，Machlup的概括是，边际主义是可以接受的，因为理性不必是有意识的行动，而是一种事后的系统约束。
83Penrose(1952:804)认为，生物学对价格理论或者企业发展理论的作用是微弱的。事实上，尽管Penrose强调企业的内生成长性，但是，她对演化论的理解和批判并不是完全适当的。例如，她认为经济活动中不存在生物的复制。
84Penrose(ibid.)认为，正是不确定性的存在，才刺激企业采取措施，通过直接作用于环境，降低不确定性。
85Alchian不是依赖与个人适应性的缺乏，而是不同适应性的出现，即不同行为的存在是关键的，与决定这些行为的激励因素是其次的。
86Alchian也没有定义竞争密度和产业退出规则，其可存活性的分析也是静态的。
87因为如果正利润是有意义的，则必然存在推理，即我们的计算方法至少是准确的。或者说依赖于消费者、供应商等的理性计算。因此，正利润不是经济系统的外生变量，不一定是成功的必然标准（如软预算约束和补贴存在）。而且，像正利润一样，模仿也是难以同理性行为相分开。
88成功企业驱逐非成功企业不是即刻发生的，而是要经过一段时间。如果单个企业的行为并没有像“随机机会或者其他”所要求的更多的一致，那么，在一段时间内的成功在未来的时间段内是没有意义的。
89从这个意义上说，自然选择模范理性决策的观念决不是接近演化生物学的。Friedman的“好象”新古典理论的行为假设理解，是Dawkins(1976;1986)目的论的体现。
90Clark&Juma(1988:200)认为，演化理论在经济学的运用受到阻碍主要是有限的演化和人类行为的知识容易出错。
91企业拥有相同的生产技术函数导致的最大化和产业趋向于竞争均衡。同时，一些企业被看作其他企业不能做的替代，因为模仿是花费成本和时间的，因而导致创新的激励。
92从这个意义上说，惯例实现了Simon 和Schumpeter的连接。
93Nelson&Winter(1982/1997:65)认为，“拥有一个完整的、清楚界定的目标函数并不是企业在现实世界中经营的必要条件，所需要的一切是决定要采取的行动的程序”。同时，“正统理论把‘知道怎么去做’和‘知道怎么去选择’当作很不相同的事情来对待，而我们把它们当作很相似的事情来对待”(ibid:60) 。审慎思考和实施的能力都是企业能力的要素，正像它对某种技术生产过程的掌握一样。但如果真是这样，正统利润中把能力和选择截然分开就变得可疑了”(ibid:81)。Nelson&Winter(ibid:37-8)还强调，“我们简明但有点死板地提出这一点：正统的假设是，就一个给定的包括一切客观上可得到的可供选择办法的选择集合来说，有一种全盘的、无错误的、一劳永逸的最优化。这显然与这一假设冲突：企业在任何时候都按照符合现状的政策经营，企业时常不准确地把这种政策的赢利可能性，同不完全由它控制的过程提供的各种可供选择的办法比较。当比较显示提供的可供选择办法比现状有利时，就改变政策”。
94Nelson&Winter(ibid.:8)认为，“在我们的演化理论里，企业将被看作是由利润推动的，并寻求途径去增加其利润，但它们的行动却不被假定为在明确界定的和外在给定的集合上使利润最大化”。
95在这方面，Nelson&Winter 的演化论类似于Hayek的观点。
96在搜寻的认识方面，Nelson&Winter与Cyert&March(1963)保持一致，组织搜寻可概括为“问题的”，即搜寻是由特定问题所激励，问题的症状定义了搜寻的临近性(Nelson&Winter,1980)。
97Neo-Schumpeterian学派的研究主要集中于产业发展和增长、发展长波、技术进步、创新和市场结构。
98Vromen(1997:49)发现，Nelson&Winter吸收了Alchian 等的观点，即产业中企业的不同赢利率解释了在产业市场份额中的不同扩张。
99例如，市场的价格、数量对外生变化的反映和市场的集中。
100这种更一般的理论强调经济能力的性质和意义，并且研究创新是符合产生新的能力。
101Mirowski(1983)认为，Nelson&Winter(1982/1997)在把他们的框架转换成具体模型时，很少偏离新古典分析方法。
102事实上，Nelson&Winter(1982/1997)全书17章的安排上看，真正涉及企业的演化内容只占2章。
103Foss et al.(1995:6)提出，其他资源，诸如有形资产和专利等没有同等程度的因素化，但是并不存在它们不应当包含在更综合的企业演化理论中的理由。
104虽然Nelson&Winter(1982/1997)发现了演化经济学与组织行为理论的融合。
105Metcalfe&James(2000:44)得出的结论是，“同样重要的事实是，惯例没有表明企业的战略目标”。
106“生态学”这个词直到1866年才出现，而且几乎在100年后才被广泛运用。然而，生态学的思想形成于它有名字之前。它的近代历史始于18世纪，当时它是以一种更为复杂的观察地球的生命结构的方式出现的，即探索一种把所有地球上活着的有机体描述为一个有着内在联系的整体的观点(Worster,1977)。Haeckel认为，生态学是研究有机体与其周围环境——包括非生物环境和生物相互关系的科学。
107所谓等同原则，Hawley(1968:334)认为，不同单位服从同一环境条件或者通过一个给定关键单位的调节来服从环境条件，获得了相同的组织形式。他们必须服从标准的沟通条件和程序，结果，在他们的相关规模限制的范围内，这些沟通和程序发展了相似的内部安排。
108Hawley(1988:xiv)认为，利基是组织生态学的核心概念。
109Huchinson(1957)提出，在生态学上，利基是指人口能够复制自己的环境条件。
110Baum(1996:77)认为，组织生态学家试图解释社会、经济、政治的条件是如何影响组织的多样性，并试图解释其变化的结构。
111Baum(1996:78)提出，组织生态理论并不否认个人的重要性，只是个人不能在事前决定变异将是成功的，或者能迅速地挑战战略和结构，以适应环境。
112Hannna&Freeman(1984:157)认为，组织的核心维度是不变的，或者说具有很强的惯性，而除去核心维度以外的周边维度是可变的。
113“我们理论中的分析单位是组织人口”(Hannan&Freeman,1988:9)。在这方面，生态研究者一直使用命名论(Nominalism)观点，即“根据所研究的问题定义变化”(Rao&Singh,1999:65)。
114所谓人口密度，是指组织群中人口的总数。
115传统特质观点认为，出生率取决于个人的性格背景，导致组织的成立。
116传统的企业政策研究把组织失败看作管理的无经验、无能力和非充分融资。
117涉及统计过程的FF有年纪依赖性、规模依赖性。
118涉及生态过程的FF还有位置宽度。
119涉及环境过程的FF有制度过程和技术过程。
120Carrol(1995:65)提出，组织生态论的观点使战略思考提高到人口的分析水平，即战略集团的形成。
121Nelson&Winter(1982/1997:54-5)说，“当经济学家们在研究或讲授理论本身时，或者在报告设计来验证理论的某一方面的经验性工作的结果时，理论的风格是僵硬的、合乎逻辑的、正规表述的。相反地，当经济学家们在从事由于政策原因而使人感兴趣的应用性工作时，……理论表述会被较不正规地使用，而且更多地用作组织分析的手段，理论表述的这两种风格我们将称为正规的和非正规的”。
122有关Porter的分析详见第8章。
123Foss(1997)把组织学习作为本体演化的一个重要内容。
124与盲目变异不同，随机变异体现了Bayes特点，即变异出现服从概率分布。
125传统演化解释认为，变异的出现是盲目的，而不是随机的(Campbell,1965)。
126Moore(1996/1999:3)提出，“很久以来，我的兴趣一直把商业当成是一门复杂系统的经济——个人和组织的作用融于系统之中。多年来，我发现生态学是顿悟和灵感的丰富源泉”。
127Moore(ibid.:5)认为，生物学的类推法经常被运用于商业研究，但却非常狭隘：人们不断提到的焦点，几乎千篇一律地是物种进化。最近，由于质量和重建运动，商业被解剖为过程，一些人则认为最适合的过程及其体系就是把弱者驱逐出去。在上述两个例子中，“物种”似乎隶属于遗传学的变异和选择，而变异和选择渐进地改变物种。
128Moore(1996/1999:20)认为，商业生态系统既可以在常规的行业界限内部茁壮成长，也可以跨越常规的行业分界线。
129即演化是通过间歇式平衡来实现的。
130即当生态开始形成以后，它们通过连续性保持下去。
131Bidwell&Kasarda说，我们的生态理论将规定：在组织与环境的统一过程中，变化如何影响组织的结构；组织结构的变化如何影响其产生；作为环境统一性的结果，这些产出的性质是如何影响随后组织结构变化。
132John&Proops(1997:39)提出，静态战略过程可以看作是物理系统过程。物理系统演化的根本假设是基因相同并保持稳定。
133战略过程有两种，不涉及创新的可预测性；涉及创新的不可预测性。
134战略变化可预测条件：初始条件和系统的边界条件确定；系统发展的规则存在；系统不显示创新。
135例如，关于路径依赖、内部选择等。
136如果说静态的战略内容能够实现保留，那么就意味着现有的战略内容已经实现了与动态战略过程的沟通。
137Barnett、Burgelman就是两位著名的组织生态学家。
138显然，在这方面，正规战略演化论观点又与正规的经济学要求保持了一致。
139Winter(1990:269)认为，造成这种结果的原因是“甚至在演化理论家中，也仅仅在演化论的价值上达成一致”。
140需要说明的是，经典经济学例如，垄断竞争理论，曾经接受了部分之间相互关系的概念，但是，自Robinson和Chamberlin之后，经济学（包括演化经济学）就不再关注这一问题了。
141Foss(1997)提出了企业研究中的群体演化理论和本体(Ontogenetic)演化理论的概念。
142详见第3－7章的分析。
143生物演化主要的以基因作为适应信息的传递机制。
144第5章将具体分析复制实体和关系实体的相互关系。
145有关活动的解构，第4章将进一步分析。
146Kelly(1963)把个人的知识结构称为个人分析性框架。
147因此，Kelly(ibid.:73)认为，经验“是由事件的连续解释组成，不是仅仅由事件本身所构成”。
148值得注意的是，Loasby (1998:172)还提出，把Know-how与Know-that区分为明示和默会知识是过于简单的。
149转引自Anderson(1980/1989:188)。
150有关陈述性与程序性知识的关系详见第4章。
151格局与模式的关系将在第4章作进一步的分析。
152在心理学上有一种最早而且延用最久的看法，即刺激—反应(S-R)连结的观点。S-R模式的缺点是：只对外部事件反应，而不对内部事件反应；不能把反应系列按一个单元来对待；不能对由许多特征构成的一个完形来反应；没有普遍性。
153第4章内容还涉及有关具体解释。
154Dennett(1995:366)认为，自我理解的自动“自由意愿”是与自我控制的概念复杂联系的。对我们的所为来说，自由意愿意味着我们行为的不同，意味着不是一些规则而是我们负责。自由意愿的实质是，“给定同一环境，如果我们需要，我们也许能有其他的需要、心智和期望”(Vromen,1997:58)。如果据此进行因果推理，那么，其结果必然是：所有层面的自由意愿，即不仅是我们表面的需要和欲望，而且包括深层的动机、感情和性格，都是我们自己设计的。
155事实上，除了Routine以外，仍存在不少可使用的术语。例如，Convention是一个较好的概念，Convention作为行为模式，是相互联系的个人独立地试图形成一组有用范式的结果(cf.Choi,1999)；Practice也是一个较好的概念，Practice是指组织的知识的惯例使用，并且常常有一种默会的构件，部分隐藏在个人技巧，部分隐藏在集体的社会安排中。
156即在太阳下没有新事物。
157即人不可能踏进同一条河两次。
158Parsonian趋势认为个人是判断不足的，其行为由社会结构预先决定。
159这里的问题主要是规则决定还是规则指导。Tsoukas(1996)和Bourdieu(1990)对表证体现和表证指导的区分具有启发价值。他们都认为，表证体现主要是从观察者的角度来提出的，而表证指导则是从使用者的角度来提出的，两者之间存在明显的不对称性。
160事实上，现有两种惯例概念的根本误区在于都是从具体行为出发来认识惯例。
161其中，默会性还与惯例的情境约束有关；预测性还与陈述性知识和活动的情境保持稳定有关。
162Polanyi(1962)认为，这种无法解释性的知识就是默会知识。
163例如，Nelson&Winter(1982/1997:119)认为，某一部分必需的、协调配合的信息，可能以明确的、清楚说明的形式，在成员之间交流，但仍沉重地依赖于名义上为其他直接生产目的服务而完成的事情中隐含的交流。不需要详尽无遗地用符号来说明组织的方法。在任何涉及的许多知识是个人成员持有的说不出来的知识，这样的说明是不能存在的。
164详见本章第5节关于惯例与规则关系的分析。
165见惯例的情景性特征。
166详见惯例的情景性特征分析。
167当然，这一点并不否认企业保存正规的记忆，而且这些正规的记忆起重要的作用。
168在这方面，Ryle(1949:33-46) 对Know-how的分析也与我们一致。Ryle认为，Know-how是一种特质(Disposition)，但不是像反射或者习惯的单一的特质。它的实施是服从规则或标准的运用。
169有关惯例变异的预测性或者路径性将在第4章分析。
170这种第二种近似，已经涉及到惯例变异的路径特点，我们将在第4章进一步分析。
171在第7章的分析中，我们进一步把惯例的这种地方性与惯例的结构性和连贯性维度结合起来。
172Mouzelis(1995:Ch.6)明确提出，社会实践应该通过三个维度加以识别：一是社会位置维度，即与执行具体角色相关的规范期望；二是特质维度，是个人通过过去的社会化所获取的或者通过与具体行为情境相关而带来的；三是联系—情境维度，即规范期望和模式被激活的社会活动的具体背景。
173详见第6章分析。
174有关惯例的连贯特性详见第6章分析。
175有关惯例的协调性详见第6章。
176Winter(1986:175-6)发现，在现实世界中，比起Cyert&March(1963/1992)所描述的一种定价程序，大量顾问的信息来源能够帮助百货商店获得更有效的定价程序。但是，如果我们对具体惯例持续、具体的商店感兴趣，那么，商店是否具有对定价政策进行系统评估和分析的能力是重要的。由于评估和分析是需要成本的，获取市场信息的交易也是困难的(Arrow,1962b)，因此，商店的程序性记忆以直接的方式决定了即兴发挥对组织结果的影响(Moorman&Miner,1998)，商店必须依赖自己的惯例定位决定定价的专家类型。
177惯例与Leibenstein(1982)所提出的努力的惯常的稳定是一致的。
178Axelrod(1984)发现了PD中的学习合作。
179但是，需要说明的是，惯例并没有解决PD问题，而只是一种解决办法，即惯例把类似PD的博弈情境转变成了类似合作协调的博弈情境。
180Postrel&Rumelt(1996:72-6)提出，人有两种“价值”来源：一种是冲动的和短期导向的；另一种是更理性，能预见行为不行为的长期后果。
181我们知道，正是Taylor倡导的科学管理，才标志着现代管理的诞生，而科学管理却直接与惯例研究紧密联系在一起。科学管理的基本原则是工作功能、分割和任务重复Coriat(2000:221)。
182时间动作分析就是把操作Know-How分解成与标准时间单位相联系的要素任务的技术。
183早期的纺织工业是一种分散的村落生产，18世纪开始演变成由商人企业家与个体手工业者签定合同的生产系统。
184即使两个从事不同工作的人分开，比合在一起能做得更好。
185关于企业的层级结构问题，第5章将进行具体分析。
186选择惯例详见第5章分析。
187有关动态惯例的作用，详见第7章分析。
188准模的概念是指惯例具有环境相关性并涉及学习。
189事实上，在Cyert&March定价模型中的“毛利率”规则，作为一种陈述性知识似乎与企业定价的程序性知识没有直接关系。
190即未考虑活动情境因素的制约（见图3.9）。
191这就涉及到陈述性知识的分类，详见第4章。
192无形资源也可分为人依赖和非人依赖两类(cf.Hall,1992)。
193第7章将进一步分析企业的惯例现时构造。
194这方面，Hall(2000:35-6)的分类基本与我们一致，Hall把资源分为四类能力(Capabilities)：规制能力，即具有合法实体的资源；位置能力，即不具有合法实体，是以前努力的结果，例如，公司的声誉；功能能力，即组织内的个人和队技巧；文化能力，即构成组织特征的资源，例如，创新能力。前两项能力与“有”有关，后两项则与“做”有关(Hall,1994:151-154)。Bogaert et al.(1994:61)也根据“有”和“做”对资源进行了区分。
195这就涉及到惯例的结构性维度，详见第6章分析。
196Richardson(1972:888)的观点是：“组织往往专门化其活动，因为这些活动，其能力提供了比较竞争优势”。
197在这方面，Amit&Schoemaker (1990:7)的观点与Dosi et al.(1992)一致。Amit&Schoemaker认为，能力(Capabilities)常常在功能领域中（例如，营销的品牌管理）被发展或者通过联合物力、人力和技术资源被发展。结果，企业建立诸如声誉、文化（或者规范和组织惯例）、可靠的服务、重复的过程和产品创新、流动性、市场趋势的反应、产品发展的短周期等能力。
198演化能力即能力变化的能力。
199独特性能力似乎至少接近组织使命陈述、“战略企图”(Hamel&Prahalad,1989)。顺便说明的是，传统的Competencies是较少关键的、整合的、动态的。Andrews说，“由增长和多样化的资源组成的公司的强项主要来自制造和营销生产线的经验。……组织的独特性能力不是超出其所能做的，而是所能做得好的。……在每个公司，独特性能力、组织资源和组织价值联合的方式是独特的”(Learned et al.,1969:179-82)。换句话说，传统能力认为，企业能力是既定的，外部机会是既定的。
200Dosi et al.(2000:6)认为，Prahalad&Hamel(1990)提出的“核心能力”强调了四点内容：大企业有多种核心能力，能力是企业竞争优势动力的根本；所指的能力是硬技术领域；忽视的是能力的组织问题。并且指出，Prahalad&Hamel(ibid.)的前两项核心能力内容与Capabilities一致。
201Hamel(1994:12)提出，每项业务需要的核心能力介于5-15项之间。如果只有1-2项，就是巨能力。
202即与竞争者相比，使企业做事更快、更灵活或者更可靠。
203即使企业以独特的功能投资其服务和产品的技巧，使产品产生独特的客户利益(Hamel,1994:16)。
204Winter (1990:276)认为，假设每个企业具有单一的能力不能充分地为企业的演化观点提供一般的基础。
205第6、9章将进一步分析惯例对能力的建构。
206有关说明详见第4章。
207对于TMS方法，这里存而不论。
208从这个意义上说，叙述法体现的是一种叙述实证主义。
209这里从略。
210这将应用到具体的数学和统计学分析工具，我们不作具体展开。
211有关企业的自然性质详见第9章分析。
212至于整体的惯例变异，我们将在第7章进行进一步分析。
213关于惯例之间的相互影响，这里先存而不论，详见第5、6章分析。
214正如Marshall(1994)所说，想像（即陈述性知识I）的最终结果是惯例的增加。
215在本文的分析中，我们始终强调陈述行知识I，这本身表明我们坚持了奥地利学派的观点。奥地利学派认为，“市场的概念是知觉运动的过程”(Roberts,2000:86)，故又称为主观经济学。
216因此，Nooteboom(1997:63)提出了参考概念化的适当方式是配置于模式。
217实际上，如果离开了陈述性知识对惯例的这种预期，就无法解释既定的外部需求状态为什么会激活既定的程序性知识，从而产生既定的行为。
218需要说明的是，这里的陈述性知识不包括明示的程序性知识。
219活动中的知识是指社会的构建知识的可观察的过程。
220这里明确，行为主义是强调刺激—反映模式，而区别于我们提出的作为程序性知识的惯例。“行为主义认为环境起决定作用，个人不是根据其思想行为”(Rizzello,1997:106)。
221有关NK模型分析详见第5章。
222具有共同地方峰值的地形中的一组位置称为属于共同的吸引性盆地。
223即认知的非线性(cf.Simon,1969)。
224Campbell最早讨论了变异的三种来源，即在社会组之间的扩散和借用、时间跨度变化的选择扩张、理性选择(Romanelli,1999:85-6)。
225所谓A-A差距是指期望—实现(Aspiration-Achievement)的差距。
226Nelson&Winter(1982/1997)继续了Simon 的失败导向的搜寻(cf.Groenwegen&Vromen,1997)。
227关于这一点，我们认为是进一步发展了Cyert&March(1963/1992)的组织行为理论。
228活动所涉及的多种知识将形成“吸收能力”(Cohen&Levinthal,1990)。有关吸收能力详见第4节分析。
229Tsoukas(1996)认为，“联系—情境”是规范期望和习惯激活的社会活动的具体背景。
230在Loasby(1999)的概念中，其实知识就是指陈述性知识I。顺带说明，认知学的一般研究也主要集中在陈述性知识。
231值得说明的是，Hayek的观点还区分了信息和知识。“我们所称知识的，主要是行为的规则系统，这些规则由同等、差异或者不同刺激联合的规则所辅助和修改”(Hayek,1978:41)。信息是能产生知识的商品，知识等于信息产生的心智(Fransman,1998:149)。知识是开放型的，具有洞察、创造和错误概念。知识是基于专门的信息，是可描述的，因而潜在是可转移的(Winter,1987:159-84)。
232在经济学中最早提出知识角色的Hayek(1937)也认为，知识并不等同于纯粹选择理论的理性。
233Schumpeter(1934)对Marshall模型的解释是，可能未来的理性选择是一个区别于正式理性的过程。例如，March的垃圾(Garbage)箱模型。显然，这与我们的知识不完全和易错的观点一致。
234这里涉及惯例变异的最优化问题。有关惯例变异的最优化问题详见第3、5章。
235正是基于这样的认识，Marshall(1920:297-8)提出，经营者同时需要Know-How 和Know-That。
236用NK模型来表述，就是陈述性知识II的这种外生影响将直接导致活动功能的实际地形变化。如果这种影响为陈述性知识I所察觉，也将导致陈述性知识I体现的活动功能地形的变化。
237Keynes(1937:214)很早就指出，“当我们不能解决自己的不确定性时，我们寻找比我们知道得更多，并能为我们复制的人”。
238Van Valen(1973)在研究生物演化的过程中引入了红色女王的术语。他是指Carroll的《穿过五彩的玻璃》中，Alice发觉尽管她在赛跑，却感觉似乎是静止的。红色女王的反应是Alice必须来自一个缓慢的世界，因为在一个较快的世界中，人们必须维持仅仅静止的奔跑。
239这里强调陈述性知识I、II维持不变。
240有关“干中学”的内容详见第3节。
241详见第9章分析。
242跳越与再导向的区别是前者基于适应性地形未变。Vany(1997:26)则说明了跳跃和爬山的关系，“随机突变（即跳跃）能够在遥远的空间地区进行搜寻，它体现了空间的跳跃——进入新地区；模仿（即爬山）是不完善地在临近进行探究——进入有希望的地区”。前者决定了搜寻的宽度，后者决定了搜寻的深度。
243Hayek的贡献在于把知识的产生作为内生的信息解释过程，Simon的贡献在于把创新（即问题搜寻）的产生作为介于个人（或者企业）和环境的反馈过程。
244March&Simon(1958)最早提出了组织搜寻的概念。
245Cyert&March(1963/1992:165)认为，从组织冲突的观点来看，地方理性的重要性是单个下属组织处理有限问题和有限目标的趋势。在这个限度内，根据一个目标解决一个问题。
246Cyert&March(ibid.:171)认为，“在易遭受地方搜寻的激励来自两种情况：一方面，组织松弛的存在往往导致搜寻活动朝组织松弛部分的方向；另一方面，仅仅是因为在系统中的权力位置，组织中的一些活动比其它活动更容易遭到攻击”。
247Cyert&March(ibid.:169)认为，问题搜寻是指搜寻是由问题（通常是相当具体的）所刺激的，并直到发现一个解决问题的方法。一般说来，问题搜寻能同随机好奇和理解搜寻区分开来。与前者相比，它有目标，与后者相比，它感兴趣理解只是在这种理解对控制起作用。
248在组织易遭受地方搜寻，即涉及距离搜寻（例如，与松弛因素有关），也涉及地方搜寻（例如，与规制因素有关）。
249Steinbruner还把地方搜寻这种第一次序称为自动化(Cybernetic)。
250优化搜寻是指更好地调整和经济化的设计以改进现存技术的效率。创新搜寻是技术创新，发现一个新的改进技术(Levinthal&March,1981:308)。
251Helfat&Raubitschek(2000)认为，增长(Incremental)学习是改进但不根本偏离目前的知识。步骤功能(Step Function)学习是核心或者整合知识的根本变化。
252Lippman&McCall(1976)提出，替代方案的评估涉及“下线”（即行为者不需要通过从事活动来进行评估）和“在线”评估机制。
253例如，在逻辑增长(Quinn,1980)的过程中，尽管替代方案也是集中在目前行为的邻近，也涉及“下线”评估。
254例如，经验搜寻就是集中在目前活动的邻近(March&Simon,1958;Cyert&March,1963/1992)。
255来源于Gavetti&Levinthal(2000)，略有改动。
256值得注意的是，Cyert&March(1963/1992)认为松弛产生认知搜寻，Dosi&Marengo(1994)却认为问题产生认知搜寻。
257Dosi&Marengo(1994:173)假设了一台有两个工作臂的槽床。一台有更高的平均效率（事前不知道）。确定这一台高效率的工作臂将出现两种损失，一是信息的收集涉及一些试验分配给低效率的工作臂，二是选择最高效率的工作臂可能实际是低效率的。为了减少第一类损失，减少试验的次数并坚持观察到的最好的工作臂，将不可避免地选择低工作臂的可能性，相反，收集更多的两个工作臂的信息将减少选择低工作臂的可能性，这样却增加了分配给低工作臂的试验的损失。统计决策理论处理探究和利用平衡的观点是，代理人进行一组试验，其目的是收集信息，然后根据收集的信息，不可逆地坚持似乎是最好的工作臂。另一种观点是通过期望水平来解释利用和探究之间的平衡。当经济结果维持高于一定的目标水平，企业坚持现在的惯例，即“利用战略——确保短期低风险收益，但是锁住在现存的技术，而不顾新的机会”(Dosi&Malerba,1996:6)。仅仅当收益低于目标，企业从事探究(ibid.:174)。
258但是，由于认知本身的变化可以是作为重要经验的结果(Louis&Sutton,1991)。从这个意义上说，致力于“有意义”(Weick,1995)能被解释为经验学习的高次序形式。
259即再联合和突变现存以及最成功的规则因素。
260Abernathy&Utterback(1978)的创新模型给我们很大的启发。
261如果这种陈述性知识II的变化引起关于行为—结果联系信念的陈述性知识I的变化，整个陈述性知识变化周期就结束。Teece(1986)根据创新需要的互补性资产（即陈述性知识II）是否大量出现，区分了范式前阶段和范式阶段。这就是说，在范式阶段（即我们的“主导阶段”），陈述性知识II的大量出现主要是服务于程序性知识的搜寻或者创新，显然，这种陈述性知识II是不破坏范式的。
262我们已经知道，陈述性知识是先于程序性知识的。
263学习曲线的存在，证明了程序性知识的变化特点。
264即理性的、功能的、计划的创新。
265即致力于离开目前的范式。其原因：一是重要变化不能在现有状况运作中发现，二是假定变化的抵制将阻碍由制度化创新的执行。因此，组织学习仅仅通过突破思考和行为的习惯和惯例方式(cf.Senge,1990a,b)。
266即通过不完善的惯例维持来进行创新。例如，Winter(2000)认为，满意——控制的学习将会在更低水平出现，在高层过程的单一试验中，秘密(Covert)学习的出现是无意识的或者至少是高层管理未计划的。其机制留下可观察的踪迹主要在数据；其支持了时期的业绩比较；其成本如果有的话，不留下任何踪迹，但是隐藏在生产工具的成本中。
267由于跳跃的存在，有可能已经经历了若干峰值。
268详见第5章分析。
269为了分析明确起见，这里的惯例粘性仅涉及与惯例有关的认知部分。
270Kuhn(1964)的反常的“打牌”试验也证明了定型。即假定许多牌是正常的，但是有一些是反常的，例如，红桃七。试验中发现，在短期，打牌者能够识别和纠正反常的牌，不管牌上符号的实际显示。
271Heiner(1988)认为，代理人一般没有从调整到新的条件中收益，除非在其反应变得完全可靠的限度内。即使在零调整成本。
272在这方面，Anderson(1980/1989:314)提出了负迁移的存在。所谓迁移是指一种新技巧对旧技巧的干扰作用。存在负迁移和正迁移。
273Rumelt(1995:106)称为“扭曲的知觉”。
274Gordon&Adam(1989:21)则把这种骄傲称为“心理防卫”，即个人有为自己行为骄傲的心理需要。骄傲自己的行为涉及为行为的历史起源骄傲。
275直接成本可能是惯例变异造成了失败、运作破坏和涉及大量的努力。更加重要的是，变异意味沉淀成本放弃。
276即目标惯例的变异对其它惯例利益的垄断。
277Levinthal&March的推理是，给定无限长的计划期，最好的搜寻战略是设置搜寻倾向尽可能高并加以保持。这种战略能够最大化长期技术潜在收益，从而最大化长期业绩。与此同时，由于投资的收益是概率的，直到发现为止，高搜寻成本减少了组织业绩，因此，高搜寻倾向的净优势取决于业绩期。
278相反，缓慢学习者尽管不像快速学习者那样易于混淆错误的信号，但是却存在反应慢的问题。
279显然，根据Levinthal&March的分析，经典行为理论(Cyert&March,1963/1992:167)提出的“组织避免不确定性，他们解决紧迫的问题而不是长期的战略”，就明显带有快速学习的特征。
280Cohen&Levinthal(1990:128)的基本观点是：利用外部知识的能力是创新能力的关键因素，因此，评估和利用外部知识的能力在很大程度上是以前相关知识水平的函数。以前相关知识是指认识、利用和运用新信息价值的能力。这些能力称为“吸收能力”。事实上，我们对吸收能力的运用已经一般化了。
281产业能力即为一组企业所分享，并能产生租金的非所有的能力。
282Cyert&March(1963/1992)最早提出了组织松弛的概念，在这里，我们进行了进一步地扩大，提出活动松弛的概念。
283此外，松弛从两方面稳定系统：一是吸收过多的资源，阻止在相对好的时期的向上期望调整；二是提供一组紧急资源，使得在相对坏的时期维持期望(Cyert&March,1963/1992:44)。
284但是，在这方面，Cyert&March(1963/1992:95)却又提出，“组织松弛小比组织松弛大的地方搜寻更密集”。
285转引自Bessant(2000: 296)。
286正是因为路径依赖性不可能在新古典经济学中得到解释，路径依赖性本身也显示出了演化论观点的作用。
287Liebowitz&Margolis不承认这个假设。
288所谓锁定效应，是指当初始行为被发现是低效率后，这些低效率的行为是自我强化的和不可逆的过程，以致过了一段时间后，效率高的行为不能替代低效率行为。
289Pressing(1984:355)还认为，程序性知识的默会性和自动化将产生“行为经济”。
290顺便提出，Arthur的学习规则是代理人也许已经尝试了最佳的方案，因而不再进行另外的行为线(Line of Action)。Arthur假定是：每个行为线有报酬分配，但是代理人事前不知道报酬分配。
291即在时间压力下累积所需要的资产的额外成本。
292Hayek(1978:41)认为，我们所称知识的，主要是行为规则的系统，这种系统由规则援助和修改，显示刺激的等同、差异或者不同的联合。
293Simon(1992)不顾Popper的警告，甚至认为存在“发现的逻辑”。
294这里对代理人的努力程度存而不论。
295Hayek是主观主义观点的奠基人。Hayek对知识的认识是逐步深化的。最初，Hayek(1937)认为知识是分散在个人的，为了行为，个人使用相关知识，其获取依赖于基于成本的过程。随后，Hayek(1945)提出竞争作用的机制是因为个人具有不同的知识(Hayek,1945)。最后，Hayek(1952)强调出个人获取知识的路径依赖。
296Simon(1962)说，在建设关于心理行为或者社会系统的理论中，理论可以在状态或者过程水平发展。
297Argyris&Schon(1978)提出了First-order和 Second-order的学习过程。Pisano(1994)也提出了相对应的归纳性学习（即“干中学”）和演绎性学习（即“干前学”）。可以看出，状态理论相当于First-order学习、归纳性学习，过程理论和目的理论相当于Second-order学习和归纳性学习。
298例如，Ellis(1965:4)发现，“充分掌握了代数原理的学生会发现学习像诸如微积分的高级数学课程更容易”；Anderson et al.(1984)比较了学习LISP作为第一程序语言的学生和在学习了Pascal之后再学习LISP语言的学生，发现后者更有效，部分原因是因为他们能更好地理解不同程序设计之间的相通性。
299社会学习理论描述个人如何在社会情境中学习和改变其行为。它假设行为者模式化参考者的行为，以替代学习关于不确定性环境。社会学习模型通过允许行为者观察和思考他人的经验扩大了刺激－反应或者经验学习的模型。
300情境学习根据组成学习网络的组织联系而不是个人之间的信息转移来概括。
301启发式方法是任何一种有助于减少对解决办法的平均搜寻的原理或方法。
302正是在这个意义上，Winter(1986:174)说，连续创新是现代世界根本的和普遍的现象，但是其不能进行得如此之快，以致在几年时间内推翻所有我们今天所观察的行为。
303事实上，也正是因为代理人努力的重要，才使管理在企业的知识发展中发挥重要作用。
304转引自Roberts(2000: 95)。
305相反，根据原始的Darwinian观点，优秀类型的个人比较差的个人更适应关键环境条件。
306Burns(1987/2000)根据个人的这种能动作用，提出了行动者—系统动态学理论。
307复杂理论家Cramer(1993)提出的复杂性状态认为，整体是处在不同状态的。不同的状态的整体—部分存在不同的特点。在这里，我们作了适当的简化和抽象。
308在这里，我们把问题主要集中在演化层级。
309事实上，由于复杂性一直被理解为系统组成部门之间相互关系程度的函数(Simon,1969)，因此，Kauffman的NK[C]模型是根植于复杂理论之中的。关于NK[C]的原型问题将在第9章作进一步的讨论。
310必须指出，K值和C值对于企业惯例的整体演化具有重要意义。一般说来， K导致稳定性，C导致不稳定性，即Kauffman(1993:249)所说的“共舞”。我们将在以后章节中加以详细分析。
311这里，对强选择和弱选择先存而不论。
312微观范式主要集中在心理现象，宏观观点集中在组织的社会经济特征。我们认为，非中观认识的问题是：过于简单、低估跨层级的效果、组织结构的具体化。
313转引自Hodgson(1993:171)。
314即基因影响了超过一个的显型特性。
315Benchmarking迫使企业检查具体活动的竞争生存能力。
316Szulanski(1995)认为，Practice是指知识的惯例使用。Best Practice 是在企业范围内的重要Practice，对于这些Practice来说，存在合理的证据，显示其相对于其它内部可替代Practice的优异和相对于企业外已知替代的优异。
317来源于Faber&Proops(1998:57)。
318在组织中，在评估惯例的贡献度时，信用赋值问题出现了。信用赋值的确认受惯例之间相互关系的影响。例如，有一些惯例可以直接转换成一对一的特性；其它惯例可以影响很多可观察的特性；或者与其它惯例联合从而产生可观察的特性。
319组织不同演化层面存在冲突(Campbell,1994)，又称为“共享的控制”(Baum,1999)。
320从关系实体角度看，我们假设企业层级由基层面、低层面（例如，部门）、中层面（例如，业务单元、战略联盟等）、企业层面以及产业层面组成。
321必须指出，惯例选择的层级构造不惟一，但是，这并不妨碍我们对惯例选择层级构造的分析。事实上，惯例选择层级的不惟一，正是研究企业发展所要分析的。
322关于产业层面和产业结构层面的惯例作为选择标准问题，详见第2节。
323这里需要特别指出的是，惯例的层级与一般的层级是不同的。惯例的层级表明惯例之间存在层级解释关系，一般层级是指由下一层面的组件构成的上一层面，对该层面以下的层面的解释性。但是，由于惯例的功能以该层面的整体适应性出发，因而实际上也符合一般层级向下解释性的要求。
324一般来说，与企业外部相比，企业内部不同业务单元、团队、个人之间联系更为密切，即C值较大。同时，在企业内部，越到下层，这种联系越是密切，表现在C值可能较大。
325Commons(1934:657)最早区分了自然选择和人为选择，并且倡导人为选择的理论。
326需要指出的是，一个行业演化的某些时期的特点可能是实际上一切企业都有负利润。因此，正的利润是有问题的。
327在这方面，演化经济学家认为市场是理性的，例如，Becker(1962) 提出的通过预算约束的概念来强调市场选择的理性行为。
328这方面奥地利经济学派做出了很大的贡献。
329例如，Sober(1984)说，如果我们要避免过去吞噬演化理论的错误观念，对科学研究的适应的准确词汇是需要的。
330知识的性质表明，人为选择必然是演化的，详见后面分析。
331值得注意的是，事前理性一直没有在企业的演化理论中得到适当的发展。
332因此，作为选择必要前提的“生存斗争”，或者说同一层面的资源竞争，就可以理解为发生在惯例与惯例变异之间和替代的惯例变异之间。
333详见图5.17分析。
334在这个定义里，我们没有提到选择所具有的保留性质，我们将在第4节进行说明。
335为了分析方便，我们把联盟惯例等也视作边界内惯例，因为联盟惯例等最终要受到企业层面惯例的影响。
336而技术惯例和行政惯例主要涉及为核心技术惯例提供援助，层级性质不明显。
337详见第10章分析。
338例如，Miner(1994:79)列举的选择标准有目标、价值、项目标准、项目检查点、竞争等。在一般意义上，目标管理就是确定标准。
339来源于Bartol&Martin(1998:21)。
340当然，我们这里所谈论的中、高层管理不能与管理的丰富内涵所混淆。例如，在核心技术层本身也涉及管理问题。
341我们的这一观点也得到了其他人的支持。例如，Selznick(1957:17)认为“制度化”是指一个组织变成充满超越现时技术需求的价值的过程。因此，“制度的”就涉及价值的注入和组织运营的社会环境两种意义(Levinthal,1994:176)。价值的注入可以说是有生命的(Biotic)，而“制度的”就仅指社会环境。在此基础上，组织不仅同时面临任务导向和制度环境的压力(Carroll&Huo,1986)，而且还导向工具目标和生命目标。这表明，制度活动评价了企业的生命目标，技术活动评价了企业的工具目标。
342制度活动又可以称为社会资本(Coleman,1988)。从制度主义的角度看，惯例是注入价值的，即组织成员获得的意义是象征性的和规范性的，并超越技术效率。
343Daft(1998/1999:39)对组织环境的描述，给了我们很大的启发。
344在组织生态学看来，产业其实就是利基。利基分根本的利基和实现的利基(Hutchinson,1957)。利基涉及社会、经济和政治条件。事实上，图5.9的关系者体现了利基的特征。
345组织的制度主义理论为我们提供了坚实的理论基础。组织的制度主义理论认为，组织的成功依赖于非生产活动的有效协调和控制。独立于生产效率，在非常精细的制度环境中存在，并且成功地与这些环境等同，组织获得了生存所需要的合法性和资源(cf.Meyer&Rowan,1977)。
346Aldrich(1999:230)区分了认知合法性和社会政治合法性。
347除了强制的制度等同主义外，还存在竞争的等同主义，这就是模仿成为选择。详见第4节。
348事实上，正如Porter(1985)所说，由于供应商、消费者等还存在不同程度的侃价能力（或者说垄断能力），技术惯例的选择强度还体现了非技术的内涵。
349相关知识基础是指默会性和复杂性程度。
350此外，正是因为技术惯例的作用，使得竞争带有“生态观点”(Simmel,1908/1955)的性质，即“承认企业相互竞争甚至也可能根本未意识到彼此的存在”(Hannan&Carroll,1992:27)。
351可以说，这是导致企业差异化的一个重要外部原因。
352在技术惯例中，例如，消费者惯例在很大程度上是“用中学”，体现了一种陈述性知识。
353可以看出，企业层面惯例与产业层面特别是消费者惯例的层级关系，不同于企业的具体营销惯例与消费者惯例的关系。在这里理解的消费者惯例带有宏观（产业层面）的特点，而且，营销惯例是执行企业层面惯例向下解释性的结果。
354一般来说，企业属于所有权的概念，产业层面的惯例应该直接对业务单元层面的惯例集合进行评价。但是，为保持惯例层级的连续性，我们仍然坚持对企业层面的选择。有关企业层面的作用将在后面阐述。
355例如，企业核心能力概念的提出就证明了这一点。
356反馈、前馈和集中三者的关系还体现在适应上。Toulmin(1981)对适应性(Adaptation)的认识就较好地说明了这一点。实体的适应是具有适应(aptness)的性质，它是与环境需求有关的可成长(Viable)关系。相反，适应性是指用恰当的方式使情境得到调整和变化的潜力。Toulmin指出，在社会科学情境中，实体为求得更好地适应，能运用三种机制来变化：一是计算，即对情境觉察的目的反应；二是自稳定(Homestatic)，即服从与目标行为有关的具体规则；三是发展，即在具体的约束中的新行为模式的累积展开。显然，计算和自稳定与反馈有关，发展与前馈和集中有关。
357详见选择性质的分析。
358当代理人拥有私人信息、逃避的激励以及牺牲委托人利益的自利行动时，逆选择(Adverse Selection)就出现了(Eisenhardt,1989)。我们认为，逆选择的存在，除了与自利因素有关之外，认知方面的不对称也是重要方面。例如，在企业内容，就存在各自的“主导逻辑”(Bettis&Prahalad,1995)(Krogh&Roos,1996:734)。
359Friedman(1953)认识到这一点，但未具体探讨。
360Langlois&Everett(1994:33)称之为“选择的情景依赖性”。选择标准的情境性，使得在一组经济情况下接近于最大化的习惯性反应，在另一组情况下可能不是那样。
361顺便说明，制度惯例和技术惯例的变化是相关的。例如，在Veblen的制度演化中，“适应变化的技术是制度选择的标准”(Tilman,1992:136)。
362系根据Kotler(1994/1997)和Webster&Wind(1972)的综合。
363我们认为，消费者是“社会人”，因此，其个人的心理因素往往体现在社会、经济、文化等因素中。
364Kotler(1994/1997:56)区分了顾客让渡价值和总顾客价值。顾客让渡价值是指总顾客价值与总顾客成本之差。总顾客价值就是顾客期望从某一特定产品或服务中获得的一系列利益。
365来源于Kotler(1994/1997:134)。
366消费者惯例也具有这种特点。
367产业层面惯例的选择和保留不是本文研究的内容。为了研究方便，我们把产业层面的惯例变异视同已经过选择和保留。
368此外，陈述性知识II的变化也是存在的。这里为分析方便，仍然把陈述性知识II视作外生的。
369详见第4章有关内容。
370对供应商惯例的选择机制的分析，其实在概念上正是本章的分析内容。
371主导设计假设——一般的认识是，随着技术制度的发展，当设计因素稳固地确立起来，必须有一些配置需要放弃(Bejar,1998:64)。
372来源于Teece(1986)。
373在关于演化的生物学文献中，这一问题长期没有被完全的认识到(cf.Wilson&Bossert,1971)。
374可以理解为适应性地形中的爬山、跳跃、再导向。
375我们将在第7章作进一步分析。
376我们对动态程度的理解是范式搜寻或者搜寻范式中的主导阶段经历了较长时期。
377即技术和制度的匹配。
378配置可以定义为一个组织的因素是由单一主题编排(orchestrate)和联结的程度(Miller,1996:509)。
379在经济学的语言中，连贯就是共同运作是经济的。有关惯例的连贯性将在第6章作具体分析。
380这里具有的稳定倾向主要是与低层面惯例变异相比较的。
381Nelson(1994)用“标准”的术语来描述主导的系统。
382包括内化、逆选择、搬动能力、制度、复杂性灾难、惯例变异数量。
383包括范式搜寻和搜寻范式。
384Downie(1958)认为，在竞争的作用下，产业的平均效率将集中为产业最好做法的效率。
385我们假定，惯例变异的分布服从正太分布。
386必须指出，权变性(Adaptation)基本上是一个权变理论比较静态的陈述。当组织使其战略、结构等变化来适应环境的权变时，权变出现了。
387转移能想像为复制(Winter,1995)。
388技术和产品创新主要是以知识为基础的，即知识的可转移性决定了转移的成功。
389指在转移期间经历的问题的情境所值得注意的程度，在概念上等于困难的概念(Szulanki,1996:30)。
390显然，惯例的默会性将会使复制更多地体现启发式的特征。
391从某种意义上说，这就类似于“集体默会知识转化为个人的默会知识”(Baumard,1996)。
392Thomas(1976)称之为接收知识方的接收度(Receptivity)。
393例如，Nelson(1992:61)提出的“一般知识(Generic Knowledge)”通常就是广泛使用的发端。这种知识是专业人士的特长(Stock-in-trade)，并往往成为描述和沟通这种知识的一种系统方式，以致当新的一般知识产生时，则与其它专业人士的沟通就是相对无成本的。显然，要让知识能被理解，更不用说能被使用，它就必须适应现存的“模板”(Langlois,1997)。
394转引自Lam(1997: 974)。
395Lane&Lubatkin(1998)还把情境特征进一步概括为“相对吸收能力”的概念。
396惯例的转移成功与母国和接收国之间的制度距离负相关。
397即显示在企业内接近外部信息和知识的程度。
398过度的激励却也与粘性正相关。
399显然，这与惯例的学习/累积性有关。
400值得注意的是，竞争未必涉及模仿，模仿也未必涉及竞争。
401在本来的意义上，标竿超越明确地限于企业非常具体的过程的分析，例如，仓储系统、订购系统、客户反应系统、分配系统等方面。在这些系统中，具体惯例和结果之间的关系非常清晰，并且能够进行直接评估。
402该模式认为，增加频率，就会相应地增加适应性机会。
403Huff(1982)提出，企业相互影响并进行社会比较，识别一组最相似的企业，形成一个相关组，组织领域的认知界(Cognitive Communities)出现了。由于认知界的存在，因此，以特性为基础的模仿是存在的。
404即新知识的吸收受学习计划的强度影响。例如，“组织松弛”(Cyert&March,1963/1992)的存在可以弱化通过学习改进情景的需要。这种障碍是伙伴专门化的。
405Badaracco(1991)认为，组织知识的差异与知识本身、知识结构、协调和知识传递的方法有关。例如，在组织模型中，完成任务所需的知识不是为任何个人所有，而是深嵌在组和团队中。知识的使用和传递是通过密集和广泛的组成员之间的相互联系。知识“有机”地在团队关系中产生和储存。在专家模型中，鼓励知识的个人专业化和所有。知识的储存形式可以描述为“机械的”，协调和知识传递的主导形式是以凭证为基础的。
406从这个意义上说，企业的战略联盟就是为组织学习提供激励。
407即模仿导致惯例的多样化，而非集中。
408即关于产品、技术、营销、人事等等问题的共享的惯例判断模式。
409在NK模型的适应性地形中，类似于跳跃和再导向。
410值得一提的是，在新古典经济学基础上发展起来的产业组织学（SCP），仍然只关注对产业的分析(cf.Bain,1959;Porter,1980)，引入博弈论的现代产业组织分析也未决定性地改变新古典的企业认识(cf.Saloner,1991;Shapiro,1989)。
411从这个意义上说，企业的理论建设是两方面的。一方面，企业理论是价格决定和市场理论的一个重要组成部分，其中心重点是经济活动的调节；另一方面，它又是企业性质的理论。
412值得说明的是，Knight(1921)在其著作中所确定的主要任务既不是解释企业的存在，也不是解释企业的组织，而是解释利润的存在。
413不确定性与风险的区别在于，与不确定性相关的是人们对可能的结果了解甚少，以致于没有一种保险统计类型是可能的。不确定的事件可能引起利润或亏损。
414需要指出的是，决定做什么以及如何做成它(Knight,1921:268)的基础之上的优势，不能归纳为交易成本，因为它强调的是生产而不是交易。
415至于企业组织的其他内容，Knight提出了颇有见地的道德危险的考虑。
416必须说明，Knight(1921)没有严格区分企业家和管理者，Knight的企业家集中面对不确定性，没有愿景和知识管理感。
417Knight的判断与创新是同义的。
418风险的重新分摊实际上并不能对企业或企业对雇员的监督提供一个令人可以接受的解释。没有企业这类制度的协助，价格制度也可以解决风险分摊问题。事实上，如果简单地把对雇员的管理作为减少风险的一种方法，而不仅仅是重新分摊风险，那么，Knight关于企业存在与组织的合理性就更有意义了。
419需要说明的是，尽管Coase最早从交易的角度研究了企业的性质，但是，Arrow(1969) 却最早使用了交易成本这个术语。Milgrom&Roberts(1990:60)提出，所谓交易成本，是指当两个或更多的人做生意时，决策、计划、安排和协商采取的行动和交易条款的成本；当变化的情境出现时，变化计划、协商条款和解决争议的成本；确保各方履约的成本。
420有关对Penrose(1959/1995)的分析详见第7章。
421企业能力理论包括能力论、核心能力观点、知识基础观点、资源基础观点、动态能力观点(Foss&Mahnke,2000; Knudsen,1996/1998)。企业知识基础观点(Foss,1999; Foss,2000d)涉及企业的演化观点(Nelson&Winter, 1982/1997)、能力观点、动态能力观点(Teece et al.,1997)、资源基础观点(Wernerfelt,1984)、知识基础观点(Grant,1996;Spender,1996)。因此，企业的能力观点和知识基础观点是相互包容的。
422完全契约的功能主义或代理理论和不完全契约的目的主义(Intentionalist)。
423所谓不完全契约，就是因为契约当事人缺乏无限理性，即不能准确地规定契约各方在任何可能情况下的所为，而只能安排在一种权变情况下的实现的成本和收益的分配(Milgrom&Roberts,1992:127)。
424与行为主义一致，Alchian等一些经济学直接或间接地联系于Chicago学派，认为企业是适应性制度(cf.Alchian,1950;Friedman,1953)，是选择过程的有效率的产物。
425AlchianDemsetz(1972/1994:73)提出，还不清楚的原因是企业为什么与队生产相联系，甚至是高度相关。
426值得一提的是，AlchianDemsetz(1972/1994:86)承认，作为集中的团体的信息流的结果，企业在关于大量特有投入的生产特征上呈现了一个有效的市场特征，它使这些信息能更廉价地获取，对资源重组与新的使用可能比普通市场上的传统的搜寻更为有效地确定。
427值得注意的是，契约连结理论类似于行为主义的政治联合观点，两者的根本差异是：契约的连结理论运用长期的均衡观点而不是短期的过程观点，强调环境形成有效的长期企业结构的能力。此外，Coase(1937)和Williamson(1975,1985b)大体上把企业或者等级视作雇员契约。介于雇员和雇主之间的契约部分是不完全的，因为雇员——以一定的收入作为回报——在一定的“接受区”，同意授权给雇主权威，以决定需要雇员执行的工作。这样，就形成了一种权威关系，而不同于作为纯粹市场安排的契约的连结。
428显然，这与交易成本经济学的长期契约相矛盾。
429它们导致了1960年代的管理主义和行为主义的出现，并同样是交易理论的重要先驱。
430Williamson(1996/2001:60)认为，纵向一体化已成为是交易成本经济学的范式问题。
431在这方面，Williamson与完全契约理论分道扬镳。他(1996/2001:207)说，“那些从事代理理论研究的经济学家，不愿意使用有限理性这一术语（在过去，它一直被认为含有非理性和令人满足之意）”。
432机会主义就是追求自身利益，但又将单纯对自身利益的追求扩展到用诡计来实现自身利益(Williamson, 1979/1998:55)。
433Williamson,(1996/2001:53)把行为不确定性称为第三类不确定性。
434Williamson(1975)暗示“气氛”是重要的。
435转引自Williamson(1975:40)。
436Williamson(1996/2001:9)提出，区分出强的、半强的和弱的理性精神是很有用的，强理性精神赞同超理性，而后两者则植根于有限理性。半强理性分析使有限理性与有远见的缔约相结合，弱理性分析则把有限理性与短视的缔约结合起来。
437值得注意的是，Williamson(1996:377)的“资产专业化使用”，是指用于最终产品的有限性。而Penrose (1959/1995:71)的资源“专业化使用”是指资源的使用程度和范围。
438一阶节约，即有效率调适和消除浪费(Williamson,1996/2001:106)。或者说研究分立结构本身的性质。
439交易成本经济学认为，如果将市场组织中有效的高强度激励引入企业，就会导致技能失调的后果。它还认为，在企业内有效的控制手段，在市场中（企业之间）常常不那么有效。结论是，市场组织与较高强度的激励和较少的控制相联系，而企业内部组织具有较低强度的激励和较少的控制相联系(Wiliamson, 1985b;1988c)。以一种或另一种模式进行交易，必然要考虑到相应的激励与控制并存的特性。
440Williamson(1971/1998:3)提出，就激励意义而言，内部组织减少了勇于进取的风尚而强调面对面谈判这种做法。利益即使未得到完全协调，至少也可以从狭隘的机会主义形式中摆脱出来。因此，独立当事人之间在理性预期的情形下进行长期的交易谈判可以使内部化变得更有吸引力。
441考虑到信息交换的经济，其中一些是由于企业和市场之间的结构性差异，而另一些则最终可归结为内部组织和市场组织之间的激励和控制上的差异。“要不是目标和控制方面的差异，就此而言，内部组织对市场组织在信息方面的优势并不明显”(Williamson,1971/1998:4-5)。
442Williamson(1988d/1998:71)认为，控制需求不是具有一个而是具有两个效应：首要（或欲想的）效应是实现更大的控制；其次（非欲想的）效应是受制于这些追加控制的工人其后所采纳的。
443包括信息处理和制度适应（产权界定不完全、非经济）等方面的优势。
444交易成本经济学避开了各种假想的理想，并且坚持与各种可行替代选择进行相关比较，所有这些替代选择都有缺陷(Coase,1964)。因此，相关的标准是可修复性的标准，按此标准，如果对于一个结果来说，没有任何更优结果能够被描述出来，且能够获得有净收益的实现，那么该结果就被假设为有效的。
445因此，Williamson(1996/2001:277)认为，经济学就产生了附加值。特别是经济学赋予经济行动者的那种有远见的倾向或“理性精神”，允许把对以前被忽视的规则的分析推进一步。一旦理解了这些未预期到的结果，以后就能预期到这些效用，并能把其衍生的结果纳入组织设计之中。这样就可以减少不必要的成本，增加额外的收益。
446基本转换指的是这样一种情形，在此情形中，由于资产专用性之故，事前的大量竞标在实施中被转换成后来的双边贸易关系(ibid.:213)。
447Williamson(2000:25)对保留和选择性干预的解释是：如果两个联合的阶段总是能够做得像两个独立的阶段一样好，即通过指示每个阶段做通常的事，就是通过复制。选择性的干预只是在事情失去一致时出现。简言之，通过保留，联合的企业将不可能做得更糟，通过选择性干预，企业做得更好。
448Grossman&Hart(1986/1998:302)强调了控制权的对称性——即在一方购入剩余权利的同时，另一方必然相应地失去了这些权利——及其必然会引起扭曲，也就是说，一体化有助于减轻对机会主义行为和扭曲性行为的激励，但它并不能消除这些激励。
449来源于Williamson(1988 d/1998:85)。
450Dosi&Marengo(2000:85)还认为，交易成本经济学与代理理论的区别在于组织具有“属性综合症”，而不仅仅是纯粹的契约集。
451事实上，尽管新古典经济学放弃了古典经济学的动态性质，但是，就其坚持企业的生产性而言，与古典经济学应该是一致的。
452Hayek(1945)认为，劳动分工意味着知识的分工，特别是具体时空条件下的知识。
453例如，如果“技术知识”是界定企业能力的东西，知识存在于企业的什么地方呢？一个企业能做什么和不能做什么之间有一条分界线这一假设有什么理由吗？一个企业拥有的知识与其他企业拥有的知识怎样联系，与整个社会的“知识状态”又怎样联系呢 ？
454值得说明的是，尽管行为主义、契约的连结、交易成本理论共享企业作为适应性的制度，但是，它们的主要差异在于，是对企业是选择过程结果的制度安排的充分关注，还是对产生这一安排和机制的关注。显然，契约的连结理论强调前者，行为主义理论强调后者，而交易成本经济学则在两者之间妥协。
455值得注意的是，尽管行为理论强调了企业的适应性制度，但是关注的重点仍在于对外生变化的反应的决策的描述(Dietrich,1994/1999:187)，因此，还只是一种信息处理的理论。
456显然，互补活动是同时具有技术意义和经济意义的。
457体现正规研究的特征，倾向于在一个均衡模型中找出结论。
458体现非正规研究的特征，更倾向于工商企业的实践。
459企业是专业化的生产单位——这种企业的概念不同于当代组织经济学文献中广泛使用的企业概念，也不同于早期Knight和Coase的著作中所使用的企业概念(Demsetz,1997/1999:11)。Demsetz反对把管理作为企业的基本要素。这种人与人之间的控制并不是必要条件，而且也不是企业的本质。
460即参与者的初始知识禀赋的混合和使用，使得个人使用他人的知识，先于理解和同意，并替代个人的判断。层级较高者的知识替代较低者的知识。显然，企业通过两种方式经济化有限理性：专业化和知识替代，而市场只能通过专业化实现有限理性的经济化。
461即考虑到学习或发展，在契约关系期间，各方义务和责任变化的容易性。
462以培育个人专家之间的协调，以避免知识交易与高能激励相连的机会主义问题。
463即市场转移产品有效，但是转移知识非效率。
464Langlois(1992/2000:188)认为，动态交易成本等于Demsetz(1991)的管理成本和Dierickx&Cool(1989)的时间压缩的非经济。他还认为，能力不仅意味着新古典意义上的生产成本问题，更重要的是表明了一种信息或知识成本——把企业能力转移到市场或相反的成本，这些成本是被忽视的规制成本。值得注意的是，Kirzner较早作出了这方面的论述，Kirzner (1973:215-6)说，“一项交易要完成，仅仅互惠性交换条件出现是不够的；每一个参与者还必须认识到他通过交换可获得的获利机会……通常认为，在（互惠性）交换范围出现时，交换就会发生……事实上，由于知识是不完善的，因此，尽管存在互利性交换条件，但交换仍可能不会发生”。
465需要说明的是，Smith的专业化并不涉及协调。
466Demsetz(1991:172)认为，沟通在于给予指挥。
467当然，Grant(1996)发现，在知识基础的企业中，只有一种整合机制与层级相容，即“通过规则和指示的整合”(ibid.:118)。
468要设想一个根本不存在操作连续性的经济效益的世界是困难的。这种困难与设想完全不存在纵向一体化时相应的困难是一致的。
469从个人交换推导出企业的起源和性质的传统做法，系基于一种方法论上的自由放任主义，在此种自由放任主义中，经济代理人的偏爱和特性被假定为外生的，这是该理论的基本论据。
470Dietrich(1994/1999:51)给出了Coase对生产忽视的解释。联系(1)是有关签订和执行契约以及组织活动的联系，因而是交易成本和组织成本在其中被决定的活动场所。联系(2)与生产—销售的技术活动有关。交易成本经济学假设管理活动与技术活动是可以分开的，以便保持效益的外生性(Dietrich,1994/1999:51)。
要素投入――要素服务――生产和（或）销售
(1) (2)
471因此，可以说，Coasian企业的创新角色在于交易成本最小化。
472一般来说，激励设计有两个方面：一是代理理论中的理性偏好一致，即在可观察的世界状态中，权变收益的分配，使得代理人的长期、反思性选择与委托人的目标一致。二是冲动控制——在具体的时间和情境中确定支付以最大化员工的行为修正效应。
473当目标是动态灵活性时，激励机制应当允许企业以连续地以及令人满意和协调的方式反应于变化的市场——如何促进地方学习和多样化，同时维持企业内协调；如何确保激励培育行为和过程中的协调等。
474当不存在信息的复杂性时，所有的能够得到的信息都能被利用，这意味着对现实的不成问题的理解。在这样一种情况下，意见不一系基于不同的信息输入和目标或偏爱，而不是不同的理解。由于信息的复杂性，个人必须理解其世界，因此，即使具有同样的信息，在理解上的差异也是能够存在的。
475Williamson(1975;1985b)强调了在信息加工活动中的学习。
476Williamson(1996:149)提出，即使层级是由契约创造的，但是，层级不是契约关系，而是一种后契约的规制，用来处理既不能由复杂契约充分定义的不完全内容，也不能通过将关键决策权给予关键资产的所有者进行解决的问题。
477Williamson(1985b:46)认为，经济化有限理性采取两种形式：一种关心决策过程；另一种涉及规制结构、使用解决问题的启发式，是决策过程反应。
478即效率企业生存的假设。
479Williamson(1985b:48)认为，倘若不是因为机会主义，则一切行为均可用规章加以管理。此外，也无需进行周密的预先规划。事先未料到的事件可用一般规章加以处理，而有关各方同意接收具有使共同利润最大化性质的行为之约束。
480即越监督，个人感到越不信任，就越容易机会主义。Milgrom&Roberts(1990:79)认为，企业集中权威的增加，也增加了干预的自由处置权，这种增加的权力存在更分散情境中可避免的成本。
481即能够准确测量结果和行为，以避免机会主义。
482在Williamson看来，市场总是拥有较低生产成本。
483Williamson(1985b:61)认为，从更一般的意义上说，目标并不是节约交易成本，而是既要节约交易成本，又要节约新古典学派的生产成本。因此，需要评估，交易成本的节约是否以牺牲规模经济的节约为代价而实现的。事实上，联系交易成本和新古典生产成本是自相矛盾的，前者以有限理性维假设，后者则对此不加考虑。
484即不变的组织特征、组织因素、技术因素和（或）产品市场因素必须能够分开。
485如果交易成本为零，应该存在多少企业取决于规模经济和范围经济的考虑，但是，每个企业比交易成本为正时更倾向于专业化。在这里，“专业化”是指生产集中于少数物品上。
486因为所有的交易成本都是基于信息成本，随着时间和学习，契约各方获得了相互行为的信息。更重要的是，交易各方将逐步发展减少交易成本来源的制度安排更具体的。关于稳定环境中的重复的交易，可以预期，契约变得“自我加强”，因为声誉效应以及通过互利和合作形势的演化，要挟和道德风险问题将减弱。从长期来看，交易成本起到很小作用。在反复的相互影响中，囚徒的两难(PD)博弈中的各方学会了合作(Axelrod,1984)，导致协调博弈的浮现。
487当企业以牺牲动态机遇为代价而重视静态效率时，交易成本经济的分析不一定必然是恰当的，因为企业的效益也与垄断势力有关。例如，Teece(1986)的可供专用性问题。
488如果交易成本经济学采用一种节约（利润最大化）观点的话，它将不能解释管理机构的演变。除了其他问题外，该观点必须承认改变管理机构效益的必然性。但是一旦承认了这一点，就会遇到整整一系列的问题，它们将危及利润最大化这一假设。
489需要说明的是，与一般均衡理论不同，Williamson应置于解释的历史演化模式中。
490值得注意的是，企业文化并不等同于连贯性。
491坚持“生产”范式的企业知识基础观点，在规范性要求中存在问题。例如，关于内部组织，知识基础论并不使用激励机制和控制，相反，在努力建设“共享的情境”。这种“共享的情境”不仅作为协调装置，更重要的是影响雇员的价值和目标。
492Grant(1996:113)承认，企业存在的这种理论基础可能被批评为Coase/Williamson的交易成本理论的特例。
493Levinthal(2000:366)提出，当契约理论家谈论“契约”、“激励”、“队生产”等问题时，他们都知道自己谈论的是什么，并知道在这一研究领域的其他学者同样在很大程度上以这些概念来分析说明问题，且在这一研究领域，有众多的研究成果可以供大家分享。但是，核心能力的通行概念是不清楚的。
494例如，Conner(1991)发现，RBV与新古典、SCP产业组织、Schumpeter、Chicago学派等有关。企业的知识基础观点可以看作是认识论、组织学习、企业资源基础论、组织能力、创新和新产品发展等研究流派的结果(Grant&Fuller,1995)。
495例如，知识基础观点坚持知识的相似性来确定企业的边界，但是Richardson(1972/2000:20-1)承认，“存在企业活动组合相似的强趋势。……不必否认，组合活动提供了各种潜在收益，不必考虑其特征”。
496Langlois(1998:186)认为，生产成本决定技术（替代）选择，交易成本决定生产过程的制度分配。显然，技术和制度的关系是复杂的(cf.Nelson,1995)。
497缺乏企业的准确定义正是Coase和Knight的讨论以及近年来有关企业的许多文献的特征(Demsetz, 1997/1999:7)。
498我们同样认为，RBEP与新(Neo)制度企业理论有关。这种企业理论试图发展一种真正的动态理论，在这种企业中，路径依赖、锁定效应等都是非常重要的。
499知识基础观点在承认有限理性的同时，却意识不到或者拒绝程序理性，从而使知识失去了可操作性。
500信息不对称与知识默会性是两个相关但不同的概念。知识的默会性主要无法解释性障碍而客观地造成的，不是主观故意行为。而信息问题被看作冲突的代理人有意战略误解的结果，而不是个人和组织的认知或组织限制的内在结果。
501知识协调必然意味着集体知识基础的发展。在这方面，Hayek(1945)最早给出了的洞察， “我们必须使用的关于环境的知识从来就不是以一种集中的或一体化的形式存在的，……社会经济问题并不仅仅是一个如何配置‘给定’资源的问题。……相反，它是一个如何能最好地把……资源用于知道资源相对重要性的人的目的的问题”(ibid.:519)。
502这种建构主义做法已有先例。例如，Mouzelis(1995:ch.6)认为，社会实践由三个维度即社会位置或角色维度、特质维度、相互影响—情境维度构成；Tsoukas(1996)对知识的研究也提出了类似的构建主义观点。
503在这方面，Suchman的认识与我们一致，Suchman(1987)认为，有形资源是一种结构化资源。
504与我们观点一致的Nelson(1994:44-5)认为，能力×激励×工作条件＝执行。Cohen et al.(1996)也认为，惯例存在结构维度，涉及制造设备的布局、工作由个人还是团队进行、横向或者纵向的协调、来自上游或者下游的准时制程序。
505Tsoukas(1996:22)认为，企业只能控制社会位置（规范期望），而不能控制特质维度，相互影响—情境维度事前是不能充分知晓的，但是由实践者面临地方情境时主动形成。
506需要说明的是，这里所说的连贯性不同于Teece et al. (1997)的连贯性概念。Teece et al. 的连贯性概念是指知识用于不同业务和产品的程度。
507Mahoney&Pandian(1992:368)提出，竞争性协同是指在创造价值又有相互竞争的资源中存在着联合；特殊性协同发生在增大了的产出被认为是那些被结合起来但又无法相互替代的资源的特殊产权之际。
508我们认为，一个企业并不只靠获得一切“成份”，即使它也有“食谱”，而变得能够实际完成生产。一个企业要完成的事的中心是协调配合，而协调配合的中心是各个成员知道他们的工作，正确地解释和响应他们收到的信息。成员们对信息的解释是一种机制，它从与成员的演出节目单一致的一大堆可能性中，挑出一组个人成员要完成的事，这些事实际构成整个企业要完成的生产。在上面的描述有效的范围内，技巧、组织和“技术”在发挥功能的惯例里紧密地交织在一起，很难准确地说，一个方面在何处结束，另一方面又在何处开始。某一部分必需的、协调配合的信息，可能以明确的、清楚说明的形式，在成员之间交流，但仍沉重地依赖于名义上为其他直接生产目的服务而完成的事情中隐含的交流。不需要详尽无遗地用符号来说明组织的方法。
509来源于Coriat&Dosi(1998:116)。
510一个过程理论由解释一个过程如何和为什么随时间展开的陈述组成(Van De Ven,1992:174)。
511这里只是对交易进一步微观化，而不是解释惯例在减少机会主义等方面的作用。有关惯例在减少机会主义等方面的作用详见第3章。
512显然，在惯例中，契约理论提出的生产和交易的启发式区分失去了力量和合理性。
513事实上，在知识基础观点的分析框架内，要致力于产业惯例的研究是困难的。
514详见第9章分析。
515来源于Nonaka et al(2001)提出的超文本组织。
516即资产专门化。
517依存性是指为获取资源和材料以完成工作的部门之间的彼此相互依赖的程度。
518最低的依存形式，工作不能在单位间流动，每个部门都是组织的一个部分并为组织的共同利益服务。
519即具有序贯形式，一个部门的产出成为另一个部门的投入。
520即最高水平的依存性。存在比较复杂的关系。
521来源于Ven De Ven et al.(1976:330)。
522我们将在第9章作进一步的说明。
523事实上，内部选择的存在，还解决了内部市场对现代Coasian企业理论的矛盾。
524Silver(1984)认为，Schunpeter(1934)的理论启发了建立在协调成本基础上的纵向一体化战略理论，他从研究具有质变性质的创新变革开始，他提出，一项变革要想得以成功，还必须有一些行为活动作补充。如果变革性活动本身确实具有全新性质，那么互补性活动也必须是全新的。企业的问题在于如何产生出这些全新的特殊活动。要想通过市场交易实现这一点，企业不得不说服其他拥有所需能力的企业参与其中，由于创新性的观念在实践中没有尝试过也没有准确的特征性定义，因而说服工作非常艰难。而且，需要创新者潜在的合作伙伴投资于专用性资产，说服他们在一种虚构条件下承担不可还原性投资风险的成本很大。结果是创新性企业独自投资于这些专业分工活动，并把相关的能力直接分配应用于企业内不同部门，这比通过市场交易进行要廉价得多。在Silver看来，内部化的收益基本上是信息性的，因为创新者可以用比向契约人详细解释最终产品的专业化分工更容易、更廉价的方式组织内部生产过程和直接监督雇员。这种内部组织同样有管治成本：创新企业可能会陷入自身能力不能很好满足拟加工的主要产品的要求的境地。一个典型事例是Ford公司在改进装配线后，被迫自己独立开发了许多工作母机，因为专家们认为母机生产厂家生产的机床不能满足Ford公司专业化分工的需要(cf.Langlois&Robertson,1989)。
525Young(1928)和Stigler(1951)早就提出，假定企业开始是整合的，如果增加的产出导致了差异化，那么，生产过程各个阶段的分裂会成专业化的关心。
526我们将在第7章进行深入分析。
527有关组织学习的内容详见第7章分析。
528有关企业发展的路径详见第7章分析。
529有关选择制度详见第7章分析。
530有关主导逻辑详见第7章分析。
531信息处理，即对企业发觉的环境信号的最佳反应。知识处理，即设立、建设、选择、使用和发展知识的地方，更敏感于共享和分配知识，而不是信息分配。
532对企业发展的这方面认识，最早可追溯到Smith(1776/1999)和Babbage(1833)。
533Schumpeter(1934/1990:73-4)认为这个概念包括下列五种情况：一是采用一种新的产品——也就是消费者还不熟悉的产品——或一种产品的一种新的特性。二是采用一种新的生产方法，也就是在有关的制造部门中尚未通过经验检定的方法，这种新的方法决不需要建立在科学上新的发现的基础之上；并且，也可以存在于商业上处理一种产品的新的方式之中。三是开辟一个新的市场，也就是有关国际的某一制造部门以前不曾进入的市场，不管这个市场以前是否存在过。四是掠取或控制原材料或半制成品的一种新的供应来源，也不问这种来源是已经存在的，还是第一次创造出来的。五是实现任何一种工业的新的组织，或打破一种垄断地位。
534事实上，企业发展的随机特点是解释不同企业发展的一个重要方面。从这个意义上说，企业发展带有一定的幸运(Luck)因素。
535Hodgson(1993:253)提出，广义上说，制度是指人们在相互作用中形成，具有惯例和持续性质，共同拥有的思想的行为和习惯的模式。
536Mattews(1984)发现，环境（制度）决定了外部性的程度和性质。
537转引自芮明杰和袁安照(1998:3)。
538或称为狭义寿命周期模型。
539Greiner把企业的变动分为两种不同形式：演变和变革。“演变”一词用来叙述那种长的成长期，其中，企业实践没有发生过大的动荡；“变革”一词则用来叙述企业中那些重大的动荡时期。
540来源于Dodgeet al.(1994:124)。
541来源于Adizes(1979)。
542来源于Adizes(1989/1997:10)。
543来源于Adizes(1989/1997:222)。
544Penrose(1959/1995:25)提出，资源产生的服务是资源使用的一种函数——当用于不同目的或者不同方式，并且与不同类型和数量的其他资源联合时，同样的资源提供了不同的服务或者服务集。资源和服务区分的重要差异不在于它们的相对持久性，而在于资源由潜在服务集组成，并且绝大部分能独立使用而定义，但是，服务不能这样定义，“服务”一词意味着一种功能、一种活动。
545Penrose(1959/1995:49)认为，对企业扩张的管理限制性质有两个方面：一是现有管理组可供应的服务限制了计划的扩张数量，因为所有的扩张计划吸收一些管理服务。二是既定时点计划的活动数量限制了在下一时期盈利地吸收新人员的数量。
546另一方面，对于任何程度的不确定性，管理服务的供应将决定企业家型企业从事扩张的数量。解决不确定性问题的成本，可以想像为所需要的管理服务。但是不确定性对扩张的约束效应取决于满足其的资源可供性(ibid.:64)。
547Penrose(ibid.:66)认为，在任何时候，企业将有大量在一个或者更加专业化方向扩张的诱因，但同时，也存在在既定方向上的克服计划和执行扩张计划的大量困难。诱因和困难来自企业的外部和内部。当外部诱因和困难已经得到广泛讨论后，很少有系统的方式关注同样重要的对扩张方向的内部影响。
548Penrose(ibid.:134)认为，企业的经营活动离自己拥有的独特专业化领域越远，为了保持和获得用于应付现有产品和市场形势的能力以及为了保持竞争力，企业进行适当调整和变革所必需的能力等所需付出的努力就越大。
549即企业总的服务和适合现存情景活动层面运作所需的服务的差异。
550即每一美元扩张所需要的管理服务。
551Penrose认为，企业发展速度的下降可以是非常缓慢的，原因主要在于企业的投资支出，即从假定有利的投资的企业活动，转向企业外部投资。
552来源于Kay(1997:217)。
553来源于Pettus(2001)。
554此表在Ansoff(1965)的基础上形成。
555Penrose(1959/1995:xii)提出，企业的有经验的管理资源对于有效吸收外部管理者是必需的。因此，具有这种经验的“遗传管理者”的可供性限制了任何时候计划和从事的扩张量。
556Nelson(1991:67)承认，“带着事后聪明的想像，显然，由于没有充分学习Chandler的著作，特别是Chandler(1999)，我们那时的研究（即Nelson&Winter(1982/1997)）受到了阻碍”。即Nelson&Winter(1982/1997)未发展的领域，是Chandler(1962)的层级工作。
557Penrose(1959/1995:xi)提出，如果企业变得很大，以致达到了其协调可行的点，企业的定义就不再持有，组织发展的分析就需要按照不同的方式分析。
558根据Penrose的逻辑，企业的资源越多，企业越容易发展。
559事实上，每一个有经验的管理者都知道，假定企业的(Penrose)发展轨迹无限持续是不可能的。
560Prahalad&Bettis(1986:492)认为，主导逻辑和主导范式在概念上相似的，只是应用的领域不同。
561需要说明的是，Prahalad&Bettis(1986)最早是在多元化的研究中提出了主导逻辑或者准确地说是主导一般管理逻辑的概念。Prahalad&Bettis(ibid.:490)将其定义为管理者概念化业务和做出关键资源配置决策的方式，主导逻辑被认为是知识结构和一组精英管理的过程。这样，最早的主导逻辑概念就不仅仅是企业的主导性陈述性知识，还包括企业的多元化投资惯例。我们认为，这种主导逻辑(Prahalad&Bettis,1986)是认知陈述的观点，即假定管理者的世界是预先给定和定义的。
562来源于Bettis&Prahalad(1995:7)。
563Gleick(1987)提出了蝴蝶效应，即一只蝴蝶在世界的某一部位拍动翅膀，可以对几天后世界其它地方的其后产生很大影响。这就是初始条件敏感性依赖的例子。
564Simon(1976/1988:57)明确指出，政策是等同于“价值”的。
565Daft&Weick(1984)发现，高层战略管理者的个人解释能够被期望集中为组织的解释，因为战略管理者使用了与其做出个人解释同样的认知格局。
566值得再次强调的是，Penrose发展使利用在资源本身或者资源体现的管理情景的内在互补性，Schumpeter整合创造否则就不存在的新的互补性。
567事实上，当考虑到演化观点的Schumpeter先辈，在企业的演化理论中忽视企业家是悖论的。
568事实上，主导逻辑的Schumpeter突变与组织转型密切相关。Aldrich(1999:165)认为，转型的实质是组织中的大的变化，涉及现存惯例的突破，并转移到挑战组织知识的新能力。
569这里对企业发展失败的理解是广义的，涵盖除属于企业发展以外的所有方面。
570需要再三强调的是，突出企业行为的可预见性，并不等同于强调企业行为结果的可预见性。
571Hannan&Freeman(1984:154)提出，可靠性意味着产生集体行为，并带有相对小的性质差异；可解释性表示企业能够形成内部一致的论断，即恰当的规则和程序的存在可以复制资源的理性分配和恰当的组织行为。
572Collis(1994)认为，位置性能力执行企业的基本活动，创新性能力（动态能力）释放了对企业活动的动态改进，创造性能力负责解释新的战略洞察。
573事实上，我们发展了奥地利经济学的观点。奥地利经济学(cf.Kirzner,1992;O'Driscoll&Rizzo,1996)认为，企业的创新过程既不是决定性的，也不是随机的。我们提出，企业的创新过程可以是决定性的，其结果则是事前未知的。
574Teece et al.(1994:21)认为，这种技术机会和公共知识通常是基础科学涌动和多样化的滞后函数，也在于“客户—用户的发明”，并受连结基础研究机构（主要是大学）和企业的组织结构影响。
575Simon(1962)最早把组织层次的学习动力和演化理论联系起来。
576G＝a1Gt-1+a2Et-1+a3Ct-1
其中：a1+a2+a3＝1；
G是组织的目标，E是组织的经验，C是可比较组织经验的概括。
577Cyert&March(1963/1992:173)认为，注意规则的适应是指在通过明确的可测量标准的执行评估中，组织学习注意一些标准，而忽视其他标准；组织学习注意与其比较性环境相关的一部分，而忽视其他部分。
578Cyert&March(1963/1992:174)提出，如果我们假定搜寻是问题导向的，我们必须假定搜寻规则是变化的。当一个组织通过一种具体的搜寻方式发现一种问题的解决方案时，未来同类问题的搜寻更有可能采用此方式。
579实际上，单循环学习是Bacon逻辑，双循环学习是Popper逻辑。
580事实上，活动是惯例的显性，而经济活动的根本特征在于提供学习的机会。
581来源于Noda&Collis(2001)。
582来源于Foss&Eriksen(1995:56)。
583Porter(2000:246)认为，所谓群聚区是特定领域里相互联系的企业和机构在地理上的集中。
584演化传统的以前研究已经显示，适应激进技术不连续的失败常常源自学习过程的地方性，并且随后来自组织惯例的相对刚性(Teece et al.,1994)。在这一传统中，“很少重点关注管理认知在驱动动态能力中的作用”(Tripsas&Gavetti,2000:1157)。例如，Cyert&March(1963/1992:172)认为，组织随时间而显示适应性行为，我们相信有可能涉及在组织累积水平的适应。
585与此不同的是，Levinthal(1996:31)认为学习和适应是相互替换的，但是意味着相当不同的过程。适应的出现被定义为一个组织改变其战略、结构或者一些其它核心属性以适合一些新的环境权变。显然，Levinthal的适应就等于探究。
586值得注意的是，Barnett et al.(1994)对Illinois的零售银行业的绩效差异的实证还表明，追求多单位、多市场位置优势的企业，往往减少了学习能力。即企业越能减少竞争压力，就越是缺乏改进活动的激励，从而减少了适应性，企业的有效复制能力不断降低。
587来源于Porter(1980/1997:3)。
588来源于Porter(1990:127)。
589规定维度指反映在具体国家环境中的约束行为的现存法规。
590规范维度反映既定国际个人拥有的价值和规范。
591见图5.15。
592显然，对RBEP来说，企业的初始的资本化、企业的遗传资本结构是重要的。
593即显示市场的关键需求和企业的特殊能力之间的适应是最佳的有限的时期。
594即所谓的“战略前提表面处理法”：将各分析人员所采用的假设前提明确表达出来；基于这些假设前提与以这些前提为基础的政策之间关系，系统的比较、分析这些前提；考察这些假设前提与以这些前提为基础的政策之间关系。
595所谓租金是收入超过资源所有者的机会成本(Tollison,1982)。
596Rumelt(1984)曾经提出以规制观点作为战略研究的基础，但是，事实上，组织经济学的战略启发式却至多是激励一致的问题。
597来源于Ansoff(1987)。
598此外，组织生态理论(Hannan&Freeman,1977;1984;1989）也坚持类型学的观点。严格意义上说，类型学和人口学的的概念正是出自组织生态理论。组织生态学的有关内容已在第2章进行了分析。
599不完全竞争或者垄断竞争理论的分析方法基本上沿袭了完全竞争理论的静态分析方法，技术进步被排除在分析之外，对竞争过程主要采取了静态观察方法，把竞争只是视作一种新的静态形式而不是作为一个动态的过程。
600垄断竞争优势是指面对向下倾斜的需求曲线，厂商能够通过控制供给数量（或者说供给价格）从而获得经济利润。
601值得注意的是，Harvard学派的产业组织理论通过研究SCP这三者关系，一开始主要是为制定反托拉斯等产业政策提供依据的，例如，其业绩的衡量除了效率以外，还涉及公平、质量、技术进步等因素。
602来源于Scherer(1980:4)。
603从这个意义上说，I/O比新古典经济学明显有更丰富的企业间差异的概念。
604Porter(1980/1997:129)提出，战略集团实质是由某一产业中的在某一战略方面采用相同或相似战略的各企业组成的集团。
605来源于Porter(1991:100)。
606来源于Porter(1985/1997:6)，略有改动。
607事实上，除了Porter(1980/1997)提到企业的资源或者强项以外，Poeter(1985/1997)、Porter(1991)、Porter(1996/2000) 的分析已经没有资源的位置。
608在这方面，甚至RBV也承认，“为了分析的目的，Porter的五力分析将使用……供应商和购买方的侃价能力以及替代资源的威胁”(Wernerfelt,1984:172)。
609例如，Porter(1980/1997:149)认为，企业的强项有：建立移动壁垒保护其战略集团、增强集团与供应方侃价实力、避免集团与其它企业间的争端、相对于其战略集团有着较大的规模、以比其它企业更低的成本进入其战略集团、相对其竞争对手有强大的贯彻执行既定战略的能力。
610有关价值链和以活动为分析单位的问题，下面还将继续讨论。
611当然，与产业结构的环境分析相比，Porter的钻石体系提出了结构分析忽视的新问题，例如，发展和培育本国供应商的重要性、地方专业化因素市场的重要性、本国活动和全球活动配置等。
612我们的分析将表明，RBV和CP不是完整意义上的人口学观点，所以称之为准人口学。
613来源于Grant(1991:118)，略有改动。
614更早还能追溯到Marshall(1920)，理论上，Marshall把每个产业都看做是由一系列在规模、年龄、知识、组织等方面都不同的异质企业组成的。例如，他提出的代表性企业的概念就说明了这一点。
615值得注意的是，Penrose却在过程研究中坚持了完全理性和最大化假设，放弃了环境的分析。
616但是放松了完全竞争模型。
617Demsetz认为，SCP模型没有考虑信息成本，会严重歪曲对产业图景的认识。Demsetz发现广告等进入壁垒是信息性质的，换句话说，是以效率而不是垄断为基础的。
618最早始于Rumelt(1984)和Wernerfelt(1984)的研究。
619从资源异质的角度说，战略博弈理论的观点也是属于人口学范式的，但是，资源异质只是作为企业博弈行为的基础，而并未受到充分重视。我们将在第2节进行分析，这里从略。
620Foss(2000:12)区分了均衡经济学导向的RBV和过程导向的RBV，Levinthal(1995:23)认为，RBV有两个分支：即强调理性选择和均衡的“高派”(High Church)和仅强调以异质和因素投入不完善的“低派”(Low Church)。显然，Foss和Levinthal与我们的观点一致。还要说明的是，在第6章中，我们把RBV、CP统称为知识基础观点，主要是为了分析企业性质的方便，而没有涉及到竞争优势分析。而事实上，在研究竞争优势方面，却是RBV、CP的强项。例如，(Foss,1996/1998a:15)说，“企业能力理论是一种战略观，……试图寻求企业竞争优势的源泉并以企业管理资源理论来界定企业的外延”。
621Barney(1992)还识别了组织导向的维度，即利用战略资源是组织导向的。
622在类似的意义上，Collis&Montgomery(1995/2001:39)认为，一种资源能否成为有效战略的基础，必须通过一系列外部市场对其价值的测试：一是独特性测试，即这种资源是否难以模仿（稀缺）；二是持久性测试，即这种资源多久就会贬值（稀缺）；三是专用性测试，即能否独占资源所创造的价值（专用性）；四是可替代性测试，即一种独特的资源能否被另一种资源胜出（稀缺）；五是竞争优越性测试，到底哪家企业的资源更有价值（需求）。
623准租指当资源具有专用性时，资源使用的事后最优和次优（或残值）的价值差异，又称为Pareto 租金。
624需要说明的是，隔离机制是指“限制企业间事后租金均衡的现象”(Rumelt,1984:567)，而进入/移动壁垒是产业（战略集团）成员的集体资产。这些资产的投资服从搭便车。
625Barney(1986:1234-6)提出，缺乏分割、独占性、缺乏进入、缺乏理解等形成的战略因素市场的竞争不完善，可以归结为预期和运气。
626来源于Barney(1991:112)。
627来源于Peteraf(1993)。
628例如，Hamel&Prahalad(1994/1998:217-20)提出，识别核心能力需要三项考验：一是用户价值，即核心能力必须特别有助于实现用户看重的价值。二是独特性，即从竞争角度看，还必须是独树一帜的能力。一种能力要成为核心，不一定为某家企业所独占，但如果为整个产业普遍掌握，就不能成为核心。三是延展性，即有的专长在某一业务看来可能算得上是核心能力，但是如果不能从该项能力衍生出一系列新产品和服务，那么从企业的角度看，该能力就够不上是核心能力。
629来源于Bogaert et al.(1994:61)。
630来源于Foss&Foss(2000:58)。
631Bowman&Ambrosini(2000)区分了使用价值和交易价值，前者由客户主观决定，后者在销售时实现。
632这样，RBV和CP就常常定位于“环境观点的替代”(Cockburn et al.,2000:1127)，而不是真正意义上的人口学。
633根据Barney的“有价值资源”是指“能使企业想像或者执行改善效率的战略的资源，（依靠这种资源）能够（使企业）在环境中利用机会并化解风险”；竞争优势是指“执行一种价值创造战略，并没有同时为目前或潜在竞争者执行，同时当其他企业不能复制这种战略的优势”的定义，Priem&Butler(2001a)将其转化为下列命题：
使企业能够想像和执行价值创造战略的的非通用组织特质，是执行没有同时为任何当前或潜在竞争者执行的价值创造战略的一种来源；
使企业能够想像和执行改善效率的战略的非通用组织特质，是企业能够想像和执行改善效率的战略的一种来源；
利用机会和化解威胁的非通用组织特质，是执行没有同时为任何当前或潜在竞争者执行的利用机会和化解威胁战略的一种来源。
显然，这是一种同义反复。
634事实上，这种方便管理却不能替代竞争优势的来源。
635Levinthal(2000:366)也认为，如果一个组织中存在一种核心能力和其他惯例集之间的重要互补，那它将获得竞争优势。
636在这方面，Collis&Montgomery(1995/2001:46)也认为，“有些时候，有价值的资源是各种能力的综合，尽管每种能力本身并不出色，但它们结合起来，却是一个不错的整体”。
637如果一个企业只能把一种特殊能力与其他能力结合起来，则这一能力可能会发生贬值，因为其他能力是内在或辅助性的，对竞争者或潜在竞争者来说是一种劣势。
638例如，Porter(1996/2002:19)发现，对于西南航空公司的核心竞争力是什么以及它成功的关键因素是什么等问题，正确的答案是每一件事都重要。西南航空公司的战略涉及全部经营活动，而不是其中的一部分。它的经营优势来自于经营活动的适应性与相互加强的方式。
639详见竞争优势的RBEP解释。
640事实上，这正是流程再造的一个重要选择内容。详见第10章分析。
641特别是与“创新的瓶颈资源”(Teece,1986)互补。
642事实上，连Wernerfelt(1995::257)也意识到，VRIN只是Platonic理想。
643关系能力将产生关系租金(Dyer&Singh,1998)，即由伙伴企业共同产生和拥有。
644RBV认为，单个企业应当试图保护、而不是共享有价值的专有Know-how，以防止知识外溢(Dyer&Singh, 1998)。
645由于研究中出现的这种同义反复，RBV就很少再关心竞争优势的动态，而是关心竞争优势的持续。
646Seth&Thomas(1994/2000:382)发现，战略文献最近争论的一个问题是I/O框架和RBV在理解企业持续竞争优势的相对用途。
647Bowman&Helfat(2001)提出，由于统计方法和样本选择问题，企业的效应还大大低估了。
648Porter(1996/2000:21)识别了三种活动适应性：一是各种经营活动（职能）与总体战略之间的简单一致性；二是经营活动增强时出现的适应性；三是超出经营活动增强而达到的努力最优化。
649值得强调的是，RBEP对竞争优势的认识，不是对类型学和准人口学观点简单的调和，而完全是其内在的分析机制优越性。
650需要说明的是，战略研究分为战略过程和战略内容。战略过程研究关心“企业的管理系统和决策过程如何影响其战略位置”(Chakravarthy&Doz,1992:5)，战略内容研究致力于“企业的范围（企业竞争的市场联合）和在单个市场竞争的方式（业务层面的竞争战略）”(Montgomery et al,1989:159)，即主要关心相对环境的企业有效定位。这表明，定位对战略研究来说是非常重要的。事实上，在表8.3中，对战略作为定位的认识是最多的。
651Williamson(1991)区分了战略化和经济化，所谓战略化行为是指“采取业务行为使竞争者不接近平衡，提高其成本，排除新的进入者”(Teece et al.,1997:509)，或者说企业通过从事行为活动，影响竞争对手对自己未来行为的预期来实现对竞争对手行为的巨大影响。
652在这方面，Mintzberg也强调了战略的本质需要互补。
653来源于Mintzberg et al.(1998/2002:9)。
654设计学派最早还可以追溯到Selznick(1957)和Chandler(1962)。
655转引自Mintzberg et al.(1998/2002:20)。
656来源于Andrews(1971)。
657例如，Raimond(1998/2000:263)给出SWOT的逻辑是：企业的目标就是通过利润最大化，进而实现股东收益最大化；分析企业的优势和劣势，要尽量客观地分析；分析外部环境中的机会和威胁，要客观、切合实际地分析；战略是良好的分析技术和认真分析过程的必然结果。
658即战略制定由高层管理者完成，以正式分析为基础，通过有意识的思维活动完成，战略执行是从上向下进行的。
659来源于Steiner(1969:33)。
660来源于BCG(1970)。
661在这方面，Williamson(1985)认为组合管理基本上等同于微型资本市场。
662来源于Kotler(1994/1997:107)，略有改动。
663有关SBU和核心能力的战略观详见CP战略范式。
664PIMS是1972年发展起来的，开始是专门为GE公司服务的，后来成为一个可以出售的独立数据库。
665虽然仅凭Porter(1980/1997;1985/1997)就认为出现了定位战略范式未免草率，但是Porter倡导的定位战略分析框架，却导致了定位战略范式的形成和发展。
666Bain假定一个垄断者感兴趣能够排除新进入者的定价战略，在这种情况下，存在许多可行战略。
667经济学研究的强项一直是在市场方面，而明显胜于组织行为学、心理学等，因此，Porter率先将I/O引入战略内容研究也是正常的。
668需要注意的是，Porter(1980/1997)著作的题目就是“竞争战略：分析产业和竞争者的技巧”。
669Porter(1980/1997:150)认为，企业的战略集团选择有：建立新的战略集团；转移到处境更佳的战略集团中去；加强企业所在集团的结构地位或企业在该集团中的地位；转移新集团并加强该集团的结构地位。
670例如，规模经济、学习、生产能力利用模式、联系、相互关系、整合、时机选择、自主政策、地理位置和机构因素(Porter,1985/1997:69)。
671例如，政策选择、联系、价值链之间的联系、供应商联系、销售渠道联系、时间性、位置、相互联系、学习、一体化、规模、制度因素(Porter,1985/1997:127-31)。
672这种认知同质性，不但体现在对产业/战略集团结构的客观认知，更加体现在将要分析的通用战略的设计上。
673由于不承认战略学习，Porter(1996/2000)甚至认为日本企业很少有战略，他们都必须学习战略。
674有关战略是计策的问题详见博弈战略范式。
675来源于Porter(1990:39)。
676或者说基于竞争战略的专业化的出现或缺乏，范式的绩效理论（即选择三种战略能取得超额绩效）不能提供一致的解释表明，绩效的权变理论提供了竞争战略起源的更强有力洞察(Campbell-Hunt,2000)。
677即由于共同的客户、渠道、技术和其它因素的存在而使相关业务单元之间的价值活动有可能共享(Porter,1985/1997:329)。
678即涉及不同价值链之间管理专用技能的转化(Porter,1985/1997:329)。
679即源于竞争对手的存在，竞争对手实际或潜在与企业在多个产业内竞争(Porter,1985/1997:329)。
680即新单元必须从与企业的联系中获取竞争优势。
681Itami(1998/2000:68)认为，互补效应主要是通过对可见资产的使用来实现的，协同效率则主要是通过对隐形资产的使用来实现的。
682来源于Porter(1987:53)。
683Porter(1991:98)又将其称为专家系统。
684值得注意的是，Porter的产业演变的分析方法关注的是外生的产业变化，企业“要敏锐地察觉引起产业演变的外部力量”(Porter,1980/1997:184)，而区别于演化经济学的分析方法。
685我们认为，产业结构分析很适合描述什么是竞争因素。随着竞争因素的增强，企业先后被告戒要“在时间上求快”，“要顾客导向”，要努力创造“六个标准差”，要采取“同步工程法”或追求其他许多吸引人的优势。然而，由于这种分析将全部注意力都放到探讨成本、质量、顾客服务、新产品上市时间等具体优势上，对“为什么”的问题反而在很大程度上没有进行回答，应重视的不是“什么”是产业结构，而是为什么“产业结构要重组”。
686由于定位战略的本质是定位，而根本无视战略作为观念，因此，要求其提出分析未来产业的工具既不是其理论任务，也显得勉为其难。当然，当我们面临的问题和机遇有好几个战略方案时，定位战略工具还能帮助我们分析各种战略方案，并做出最佳选择。
687事实上，Porter(1985/1997)的价值链的思想也启发了我们对RBEP分析单位的寻找。
688定位战略范式假定在既定的产业/战略集团结构前提条件下，只有通用的战略，是企业无法改变的。
689因为在这些研究活动中，用到的硬数据最多。
690例如，新I/O的大部分工作涉及规定竞争企业之间的博弈，使用Nash均衡或其优化的非合作性解决概念，来解决博弈。Shapiro(1989:125)认为，使用各种形式的博弈以模型化战略影响，能够迫使分析者认真思考和准确了解竞争的具体性质。
691Shapiro认为，由于放弃了对统一寡头垄断理论的追求，不同博弈理论模型的预测多样性反映了对业务战略理解的深化。
692Shapiro(1989:132)认为，长期的战略决策充当承诺，决定了直接影响企业短期或者策略决策的状态变量或者资产的运行。
693需要说明的是，博弈战略范式承认在博弈中企业可能涉及Bayesian学习，但是这种学习功能从来都不发生变化，因此，不是基于不确定的组织学习。
694Prahalad&Hamel(1990:81)认为，NEC超越GTE，是因为它将企业视作能力组合而不是业务组合。
695这一事实只是表明，企业的自身优势可能比整个产业的大势更为重要。
696显然，如果说资源精选技巧能影响企业的竞争优势，那么，这种优势必然发生在企业实际拥有资源之前。
697事实上，在完全理性和均衡的假设中，战略学习本身也是多余的。
698Mitchell(1989)的研究发现，随着技术的不连续性，企业拥有更多产业专门资产或者能力，就更可能进入产业中的浮现技术领域。这就是说，选择多元化进入的时间与资源有关。
699Peteraf(1993:187)认为，通过VRIN分析，管理者将更清楚地认识其情境是否满足持续竞争优势的必要条件，并很少犯战略错误。此外，VRIN还能帮助管理者利用其预期优势。
700来源于Wernerfelt(1984:176)。
701当然，比RBV进步的是，正规CP提供了对多元化的理论解释(cf,Teece,1980;1982;1986)。
702来源于Grant(1991:115)。
703Hamel&Prahalad(1994/1998:25)认为，这种战略观较少关注如何去保证目标与资源的完全切合，而较多注意的则是去建立拓展性目标。这种战略观将创造性地不懈追求如何更好地利用资源，以克服资源限制的困难。
704来源于Prahalad&Hamel(1990:86)。
705来源于Hamel&Prahalad(1994/1998:243)。
706来源于Prahalad&Hamel(1994:7)。
707当然，Hamel&Prahalad(1994/1998:140)认为，战略发展框架和战略企图存在不同。战略企图是战略发展框架的核心。战略发展框架可以指明通向未来之路，而为旅途提供情感和知识能量的却是战略意图。但是，方向感仍然是战略企图的主要特征。
708可以看到，这些论文大部分是发表在Harvard Business Review上的。
709事实上，正规理论和非正规理论间的分歧扩大是完全可能的。如果正规的理论变得非常规范、正式和抽象，并不愿意接受实践对理论的重大影响，分歧就会发生。或者说，如果非正规理论要具有自己独特的活力并拒绝接受正规理论研究，同样会发生这一情况。
710培养预见能力的基础(Hamel&Prahalad,1994/1998:87-114)是摆脱既有市场观念的束缚，摆脱现有产品概念的束缚，冲破价格—功能成规、保持孩童般的纯真，培养强烈广泛的好奇心，谦恭有加、方能有想像力，重视多样化的整合，向别的行业寻找榜样与借鉴，敢于唱反调，超越顾客导向，想人之所想。
711来源于Hamel&Prahalad(1994/1008:185)。
712来源于Lowendahl&Revang(1998:764)。
713Knudsen(1996:42)认为，企业能力理论的一个重要缺陷是没有尝试把企业持续竞争优势理论和企业内在成长理论系统有机地结合起来。
714所谓虚拟是指尽量利用市场机制。而战略联盟则涉及企业间协调(Richaardson,1972/2000)。
715这里的专业化是指提供统一产业的产品和服务。
716即所有竞争优势都只是暂时的，故应该故意、经常和不可预测地打断均衡，以产生一系列的临时优势(Lengnick-Hall&Wolff,1999:1112)。
717需要说明的是，Nelson&Winter(1982/1997)发现了演化经济学与组织行为理论的融合，却没有发现认知分析在演化经济学中的重要地位。以致Winter(1987:161-2)认为，在演化经济学的理论天地里，在如此的定义之下，战略分析没有用武之地，尽管实际上这里有足够当然的余地用于事后讨论哪些惯例可被证实是成功的。处于引导现实世界需要的考虑，这种宿命论式的战略观具有严重的缺陷。
718Hax&Majluf(1996:13)也提出，战略的统一定义必须致力于定位范式和RBV范式的争论。
719作为准人口学观点，CP既有改造的必要，也有改造的可能。
720惯例的NK模型分析详见第9章。
721Scott(1998/2002:8-9)认为，直到20世纪40年代，组织研究才作为社会学的一个独立研究领域而存在。伴随着这一新的研究领域的出现，为了使这一领域获得尊重和正统性，便有了一些相关的智者先辈的研究，例如，Taylor(1911)、Barnard、Mayo的著作，都被重新挖掘出来并加以重版。在历经了10来年的实证研究和理论探索之后，由March&Simon(1958)、Etzioni(1961)、Blau&Scott(1962)所著的三部经典著作，对组织研究进行了必要的总结，并引起了更多的兴趣。
722所谓结构，是指一个组织内各构成部分或各个部分间所确立的关系的形式(Kast&Rosenzweig, 1985/2000:283)。
723理性是指其狭义上的技术或功能理性(Mannheim,1950:53)，即理性是指为了最有效地达成预定目标而以某种方式组织起来的一系列行为逻辑。又可称为“工具性理性”(Hargreaves-Heap,1989)。
724例如，March&Simon(1958:4)认为，“组织是互动人群的集合体，是社会中任何类似于集中合作体系中最庞大的集合体……与组织之间和无组织的个体之间的分散变化关系形成对比，在组织中，高度专门化的结构与协作使得单个组织单元成为社会学上的个体，可以和生物学意义上的个体有机体相比”。Blau&Scott(1962:5)认为，“组织的突出特征是因其欲达到特定的目标而被正式建立起来的，即所谓的正式组织”。
725必须注意，这里的目标具体化和结构形式化都是作为变量，因为组织层次有高低之分。
726有关TMS的意义可参见第3章。
727在科学管理方法下，专断特权和专职命令被取消了，每一个问题，大的或小的，都是科学调查的对象，都要按规章来衡量(Taylor,1947:211)，在科学管理之下，企业领导者和工人一样，是由规章和法律约束的，这些法规是通过具体的工作实验得来的，而且，由此发展出来的标准是公平的(ibid.:189)。
728Taylor(1984:80)具体说明了一位合适的工长所应具备的多种品质：脑力，教育，专门的知识或技术知识、受益或体力，机智，充沛的精力，毅力，诚实，判断力或常识，良好的健康情况。
729Bendix(1956:211-2)认为，从历史角度来看，科层制可以被解释为功能的日益细分，而在早期的企业中，这些功能是由其拥有者——管理者在日常生活中亲自行使的。
730Thompson(1967)又把Weber的组织理论称为科层组织理论。
731Roethlisberger&Dickson(1939)把正式结构称为成本和效率的逻辑。
732Stinchcombe(1968:80)认为，功能的解释是一些行为或社会设置的结果，是这一行为原因的基本因素。
733这种观点在Hawthorne研究中特别显著。例如，在饶线观察室的研究中，工人力图限制生产的举动被视作是非理性的、对团体规范的遵从，然而，在更大的经济环境里，这些活动可能是对被解雇威胁的高度理性的反应。
734Hawthorne发电厂的早期研究采用了科学管理的方法，研究者旨在确定电话设备组装车间的最佳照明度。
735Barnard在组织研究领域的影响是巨大的，部分原因是他的论著是在Weber的著作尚未有译本之前，美国读者所能得到的第一本系统阐述组织理论的著作。Barnard的观点对Mayo等人的人际关系学派有很多贡献，也为Simon的决策理论提供了基础。
736换句话说，Barnard(1938/1997:59)讨论了两种体系：一是包含全部内容的协作体系，其组成要素是人、物的体系、社会体系、组织；二是组织，它是协作体系的一部分，完全由协作的人的活动组成。
737需要说明的是，Barnard对于组织成员的认识也是独特的。Barnard(1948:111-3)认为一个组织除了一定数量的成员以外，还应包括投资者、供应商、客户及其其他对组织有贡献的人。
738可以说，Barnard对正式组织的这种认识，极大地丰富了古典组织理论的内涵，并称为沟通古典组织理论和现代组织理论的桥梁式人物。
739有效性同协作目的的实现有关。
740能率同个人动机的满足有关。
741可以看出，Barnard比人际关系分析家更重视环境，但是，不像开放系统的理论家，Barnard没有系统探讨环境问题(Scott,1990a)。
742例如，Barnard(1938/1997:145)认为，粗粗一看，组织中信息交流的要素似乎只是部分地同权威有关，但是，更深入地考察一下就会发现，信息交流、权威、专门化和目的都是协调所包含的各个方面。所有的信息交流都同制定目的和传达协调行动的命令有关，因而依存于向意愿协作的人传达信息的能力。
743来源于杨洪兰和张晓蓉(1997:126)
744需要说明的是，Katz&Kahn(1966/1978)最早正式进行了开放系统的研究。
745Barnard(1938/1997:146)认为，个人的行为从原则上可以分为有意识的、经过计算和思考的行为，以及无意识的、自动的、反应的、由现在或过去的内外情况产生的行为。一般来讲，前面一类行为的先导过程，不管是什么过程，最后都可以归结为决策。
746在Simon(1976/1988:77)看来，这种给定环境就是心理环境。所谓给定环境，指的是被抉择主体当作其抉择依据的那些前提。
747价值前提是指想要达到的目标的假设。
748事实前提是指对现实世界及其运作方式的假设。
749Bertalanffy(1956)最早提出了一般系统理论。
750负熵原理是指只要系统从外环境输入的能量大于其转化和输出的能量，那么系统就能够生存，并且能维持其内部的特有秩序。
751反馈原理与信息输入有关，信息输入是一种特殊的能量输入，是一种环境条件和与环境条件有关的系统运行过程的信号系统的反馈机制，能使系统纠正自身运行和环境变化中的错误，因而该原理使组织保持一种稳态和动态平衡态，这种稳态和平衡态是一种动态平衡而非静态平衡。
752开放系统还有走向分异与复杂化的趋势，这既是亚系统间的动力作用的结果，也是生长与生存间相互关系的产物。
753同结果性是指开放系统可以从不同初始态经不同发展道路而达到相同终止态。
754来源于Burns&Stalker(1961:119-22)。
755来源于杨洪兰和张晓蓉(1997:98)。
756来源于Lawrence&Lorsch(1967:23-9)。
757来源于Lorash&Lawrence(1972:45)。
758根据Woodward(1965:52-82)整理。
759根据Greiner(1972)和Quinn&Cameron(1983)概括。
760来源于Mintzberg(1979:466-71)。
761组织配置是指拥有共同组织特征的一组企业(Meyer et al.,1993; Miller&Mintzberg,1984)。Ketchen et al.(1997)认为，组织配置在绩效方面存在差异的预期是基于权变理论的。
762Miller(1996)区分了组织的类型和分类。
763根据Miles et al.(1978)进行概括。
764根据Chandler(1977/1997:445-561)分析得出。
765例如，Lawrence&Lorsch(1967)假设，组织将（或为了效率应该）使其结构与环境需求相适应，这就是与理性古典组织理论观点的结合。
766例如，在Smith的制钉厂的劳动分工设计，这种设计不会产生独特的集体能力的发展，发展的只是个人技巧。集体能力的取得不是系统的浮现性质。
767Child(1972:1)提出，战略性选择将包括组织活动的范围，可以根据它估计出经济制约压力的工作标准以及组织结构设计本身。
768Coriat&Dosi(1998:109)认为，组织结构的差异不是随机的，而是反映了具有持续性的国家的专门特征。
769事实上，正是由于技术、环境以及生命周期阶段都未能拿出组织方式的最佳方法(Wren,1994/2000:504)，20世纪70年代，组织生态学(Hannan&Freeman,1977)、制度理论(Meyer&Rowan,1977;Dimaggio&Powell,1983)等生态层次的组织研究先后发展起来了。
770来源于Kast&Rosenzweig(1985/2000:294)。
771Marengo(1996:147)研究了介于分权和集权之间的组织结构。模拟显示，为了对付变化的环境，分散学习过程提供的知识产生和修正，必须有一定程度的集中。
772Hedlend(1994:87)对创新管理的研究表明，任意浮动的结构是不真实的，严格的纪律和正式化是一些高技术企业的特征。
773Nanaka et al(2001:398)认为，项目任务制是一种灵活的、适应性将强的、具有活力的、共同参与的组织结构形式。这是一种制度化了的团队或小组。
774Nonaka et al. (2001:398-9)的超文本组织可被看作具有三个层面的组织：知识基地、业务系统和项目团队。超文本组织的最底层是知识基地，它包括与组织文化和传统程序相关的模糊知识，和以文件、档案系统、电脑数据等形式存在的明晰知识。这个层面是作为企业知识创新的档案馆或企业大学而起作用的。第二个层面是业务系统，在这里正式的层机制的组织执行正常的日常事务。最高层面就是项目团队，大量联系松散的自行组合的项目团队，为着共同的愿景，分工协作，一起创造知识。项目团队是从业务系统层面各种职务和部门中挑选的。以高层领导所设定的共同愿景为基础，他们在与其他项目团队的相互作用中参与知识创新活动。
775有关流程再造的问题详见第10章。
776Dosi&Marengo(1994:158)提出，Williamson(1975;1985)的重点是涉及信息加工活动的学习，只能归结为“Bayesian估计”。
777必须指出，自我管理团队/自我运作流程并不是独立于企业间接选择制度以外的，而只是表明，自我管理团队/自我运作流程受到较少的间接选择指标的事前引导和/或事后评价。
778该案例来源于Mathews(1992;1993)。
779有关组织成熟的问题将在第4节进一步分析。
780即影响和改变组织维度的环境。
781即描述一个组织的内部特征。
782例如，系统理论只是抽象地提出，系统构件存在适当程度的相互影响，系统的适应性能够提高(Ashby,1960;Glassman,1973;Weick,1979)。
783Kauffman的研究正是基于随机布尔模型。
784Levinthal(2000:371)提到的组织文献中互补性的例子有：Chandler(1962)的战略与结构之间、Milgrom&Roberts(1990)的产品线、生产战略和技术之间、McKinsey的7S框架。
785N区分单位是政策选择。
786Kauffman(1993)认为，适应性演化介于混沌边缘和灾难性边缘之间。超过混沌边缘，秩序停止；超过灾难性边缘，选择停止。
787需要说明的是，管理方式并不同于管理风尚。Koontz&Weihrich(1988/1993:11-2)提出，管理风尚可以定义为“在一段时间里狂热追求的管理方式”。显然，管理风尚盛衰无常。尽管管理风尚可以成为技术，可能有利于发挥组织职能的作用。但是，如果把管理风尚看作解决积重很深问题的短期办法，或者把它当作速成办法，那么，它们的价值就值得怀疑。
788来源于Bartol&Martin(1998:6)。
789例如，Spender(1996)提出了解释的灵活性、边界管理、制度影响的识别和系统与组成特点之间的区分等四种知识管理的启发式。
790Williamson(1970)提出，企业最显著的优点或许是，较之企业之间的活动，在企业内部可以强制实施的控制手段的种类更多，且更有作用。
791来源于Newman&Sammer(1995:17)，略有改动。
792来源于Griffin(1984/1989:4)。
793针对这种目标的均衡性问题，Simon(1959)指出，完全适应性的有机体的均衡行为仅仅依赖它的目标和环境。由于适应性有机体的短期行为和在复杂、快速变化的环境中的行为是完全独立于有机体的内部特征，因此，仅仅了解目标是不够的，还必须更多地了解内部结构，特别是适应性机制。
794当然，管理过程的方法确实产生了较强的功能。例如，Simon(1976/1988(220-1)认为，“在符合决策过程中，在给单个决策造成多种影响的过程中，有两种至关重要的管理方法……这两种方法之一是所谓计划——使各种专家的知识和技能可在正式决策做出之前，事先对一个问题进行研究和产生影响的一种方法。第二种方法是评审——使个人能对支配其决策的“内部”前提和“外部”前提，保证做出解释的一种方法”。
795RBEP强调，只要变异是盲目的并服从失败，“理性推论同样有效”(Romanelli,1999:86)。
796例如，Favereau(1993)识别了两种薪酬惯例：第一类是精确的，没有解释的余地；第二类带有模糊性，并允许解释。
797不包括第8章提出的RBEP战略范式工具。
798转引自Colloff(1998/1999:216)。
799事实上，企业家的职能是发展和扩散企业的愿景(Cohendet et al.,2000:108)，领导就是提供认知框架(Witt,1998)。从这个意义说，企业家在演化论分析中始终是占有重要位置的。
800事实上，惯例集的管理也就是流程或者能力的管理。
801Winter(1994:100)认为，关于组织能力的特征方面，质量管理和演化经济理论有很多共同的基础。
802Szulanski(2000)对Banc One的惯例复制实证已经证实了这一点。
803Brown&Duguid(1991)认为，严密的过程说明和深化会发生冲突。
804在这方面，White(1992) 的观点与我们接近。White(1992)认为，通过多种和不一致的绩效测量，能够最佳地实现控制。
805在这方面，Meyer(1994)的观点与我们接近。Meyer(1994:574)指出，“内部控制及其稳定是组织转移其绩效测量能力的函数”。
806Hammer&Champy(1994/1998:47)认为，流程再造并不同于TQM。有关提高质量的计划都是在企业现有的业务流程的框架内进行的。
807需要说明的是，RBEP的流程再造观点与Hammer&Champy(1994/1998)的企业再造观点并不完全相同。Hammer&Champy(ibid.:29)认为，所谓企业再造，是针对企业业务流程的基本问题进行反思，并对它进行彻底的重新设计，以便在成本、质量、服务和速度等当前衡量企业业绩的这些重要的尺度上取得显著的进展。
808由于Hammer&Champy(1994/1998)仍是以思想为主(芮明杰,1998:294)，操作步骤不清楚(芮明杰和钱平凡,1997)，因此，RBEP的流程再造进一步增强了可操作性。
809Senge(1998:8)认为，所谓心智模式是根深蒂固于心中，影响我们如何了解这个世界，以及如何采取行动的许多假设、成见、甚至是图象、印象。
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1Popper(1972/2001:78)认为，客观知识即客观意义上的知识，它由我们的理论、推测、猜测的逻辑内容构成。
2因此，可以说，Coasian企业的创新角色在于交易成本最小化。
3信息问题的基本假设是，“存在一组封闭的可能事件状态和状态权变结果的集，适合的事件状态是未知的”(Fransman,1998:152)。
4Foss(1997:95)认为，在社会科学中，现象X的理论解释有两种观点：一种是遗传的观点，即根据出现的历史来解释现象；另一种是功能（目的）的观点，即根据对代理人好的结果来解释现象。
5Levinthal&March(1993:105-6)认为，在分裂的状态中，理论多元主义将显著增加，其结果很可能是形成恶性循环或者学习陷井。
6有关RBEP基本假设的进一步论述，将在第4、6章中继续进行。
7需要说明的是，尽管目前还不能像主流经济学那样，通过数学模型对RBEP的假设前提进行概括，但是，这并不妨碍RBEP的逻辑发展。
8事实上，真正的有限理性比Simon所提出的还要有限，例如，Fransman(1998:165)进一步识别了四种因素，一是有限理性行为只能在目标既定时才能理性，因为这些目标和选择在理性过程之外，即使个人对选择目标的认识是一致的。同时，目标本身也不能认为是理性的。二是可以推断，用于进行决策和选择的信息也难以理性选择。三是寻找更多信息计算的困难性；四是期望的事前判断的困难性。
9Seth&Thomas(1994:174)甚至认为，最大化标准的使用就是存在理性。
10Barner&Hansen(1997:6)认为，信赖)是相互的信任，以致交易各方将不利用他人的弱点。
11Witt(1998:164)发现，Simon对有限理性的讨论常常忽视了这一点。
12需要说明的是，Machlup(1978b)认为，语言污染已经导致了对方法论一词的庸俗使用，从某种意义上，它违反了所有哲学传统。
1320世纪中期，在研究质子这种不可观察实体的认识论的过程中，哲学界创造了现实主义的分析方法 (cf.Putnam,1990)。
14与现实主义不同，实用主义并不考虑理论本身的严肃性。
15即理论经过反复证伪后仍然存在或者说与现实世界的实际情况相一致。
16Von Glaserfield(1995:8)认为，建构主义是起源于哲学、心理学和控制论的知识理论。
17在认识论上，笛卡尔是理性主义者，他的双元格局(Schema)创造了理性主义和经验主义的两分法。
18例如，Miller(1956)发现，人不能在同一时间储存超过7个字节的数据。
19还原论分析法又称为原子论分析法(Atomism)，最早可追溯到古希腊文明时期。
20指存在连续和不可逆的衰退，或者说从有序到无序的衰退过程。
21即耗散结构的存在。
22马克思是机体论分析法的支持者。马克思认为，孤立的个人的观点不总是真实的，是随着资本主义出现而产生的历史的时期。
23需要说明的是，虽然今天理论的特点显示它的古典起源和它现在的科学效用，要是以为这些要考虑的事，无论是分开还是合起来，充分说明了这一理论今天具备的形式，那就是一个错误。
24例如，更复杂、更灵活、更有效率、更有能力、更聪明等。
25这从某种意义上表明了为什么人们往往把演化与生物学用语联系起来。
26Darwin是在他的《物种起源》第六版后才正式开始使用“演化”一词。
27所谓自发秩序，是指不是因为人的主观设计，而是因为许多个人在追求他们自己目标时，所产生的非计划的结果。
28Darwin(1911/1995:2)指出，Larmack是第一人，他对这个问题（物种起源）的结论，激起了广泛的注意。
29对于用进废退，Lamarck认为，凡是没有达到其发展限度的动物，它的任何一个器官经常利用的次数越多，就会促使这个器官逐渐地巩固、发展并增大起来，而且其能力的进步与使用的时间成正比例。同时，器官经常地不使用，会使其削弱和衰退，并不断地缩小它的能力，最后必会引起器官的消灭。
30对于获得性状遗传，Lamarck认为，凡是在动物居住很久的自然环境的影响下，也就是说在某一器官的更多运动的影响下，或者在某部分经常不利用的影响下，使个体得到或失去的一切，只要所获得的变异是两性的个体所共有的，那么这一切变异就能通过繁殖而保持在新生的个体上。
31现代Darwinian是指严格意义上的演化思想。在一般意义上，人们在认识演化思想时，往往把Darwinian视同现代Darwinian。
32Hirshleifer(1977)提出，人口生物学、社会生物学和生态学就是专门研究所观察的各种生命之间相互关系的学科。
33值得注意的是，现代生物学并没有达成对演化认识的一致。一些生物学家和生物哲学家仅仅认为演化就是选择机制(cf.Sober,1984)，而另外一些则坚持三个机制同时存在，才是演化的真正内涵(cf.Dennett,1995)。
34在Aristotle的诗集中，他把借用定义为“属于另一事物的名字应用于一个事物”。
35Black(1962)认为，通过提出和过滤不同的但有联系的概念系统，借用的使用涉及相互关系。这就是说，借用决不是仅仅语义的，决不是仅仅是字面意思本身，还涉及关于现实的信仰。即便是从字面意思本身来看，Davidson(1980)认为在心理上也是重要的，因为它们能帮助产生导致创新结果的反应。
36有关利基的解释可参见本章第3节的分析。
37博弈理论的演化观点是基于需求信息的假设，替代战略和可比较的收益是明确的。
38Schotter(1981)在此基础上发展了社会制度的一般博弈理论。
39自发秩序的观点对信息要求较低。Darwin以前的Darwinian如Smith和Scottish启蒙思想家提出了自发演化的概念，其中，适应性学习和模仿机制预见了Darwinian的自然选择和基因遗传。
40Wilson(1975:3)认为，“社会生物学的关键理论问题是利他主义，即减少个人适应性，如何能通过自然选择演化的？”
41Prigogine(1990:16-17)认为，规则与决定性预测相联系，最终体现的时间非常消极。
42转引自Foster( 1987:79)。
43演化主题曾经在19世纪末关于Sherman反托拉斯法的争论中起到了重要作用(Demsetz,1997:4)。Clark(1988)当时提出，联合在社会产业的性质中具有根源。从联合的起源、发展和实际工作来看，是正常的。它们既不是被科学家所压抑的，也不为立法者所控制，它们是演化的结果。
44Newtoniam把变化当作定量和重复的运动，是一种目的论。
45之所以称为启蒙时期，是因为按照演化基本内涵的一般抽象，这些认识是零碎的、不完整的。
46Veblen强调演化过程没有终止。
47但是，不久他便放弃了这一研究纲领。
48他不能成功把本能解释为“变成人类性质的遗传因素”。
49关于制度，Veblen(1919:239)认为是“形成的人类一般共有的思想习惯”，即给定社会一批人享有的惯例化思想过程的扩大。
50制度经济学家一个共同特点是强调形成集体行为的规范(Hamilton,1991:76)，Veblen是早期的倡导者。
51Hegel 较早提出了机体主义的观点。
52除了演化思想以外，Marshall(1938/1964:257)还提出了产业组织有机体的思想。“经济学家因在社会组织——特别是工业组织——与高等动物的身体组织之间所发现的许多奥妙的相似点，而得益非浅。……有机体——不论是社会的有机体还是自然的有机体——的发展，一方面使它的各部分之间的机能的再分部分增加，另一方面使各部分之间的关系更为紧密，这个原理是没有很多例外的”。
53即自发秩序观点的体现。
54Mayr(1982:46)最早提出人口思想(Popolation Thinking)观点，人口思想的观点按照特征的分布描述物种，人口思想的核心在于特性观念，即理论是被有关人口特性和重要性相互影响的观念进行规定。与人口思想观点相对的是Planton的类型存在主义(Typological Essentialism)观点，类型存在主义观点根据体现基本性质的一些本质特点，对实体进行识别。所有围绕理想类型的变异被视作偶然偏离。
55Marshall(1938/1964:326)提出，我们可从森林中新生的树林，从老树的浓荫中用力向上挣扎的情况得到教训。许多新生的树木中途夭折了，只有少数得以生存；这些少数生存的树木一年比一年壮大，它们的高度每有增加，就可多得一些阳光和空气，终能耸然高出邻近的树木之上，似乎它们会永远这样生长下去，随着它们这样生长，似乎永远壮大下去。但是，它们却不是这样。一种树比另一种树能维持活力较久和较为茂盛；但是，迟早年龄对它们是有影响的。较高的树木比它的竞争力，虽然得到较多的阳光和空气，但它也逐渐失去生命力，相续地让位于物质力量虽然小、而青春的活力却较强的其他树木。
56而且根据Marshall的产业推理，也必然导致多样化减少。
57在Schumpeter(1954:893)看来，"Walras的贡献是重要的，尽管是消极的。他把无盈亏的企业家引入了系统……因为这一理论基本是静态的理论……因此，他认为企业家的利润只能来自静态均衡条件的未满足”。
58Schumpeter(1934)认为是循环流转的系统。Schumpeter对经济活动的循环流转描述，事实上，并不意味着缺乏变化，因为变化是连续的“通过连续地无数的小的变化，零售店变成了百货商店”(ibid.:62)。
59即创新企业家挑战这一系统，创新企业家的涌入导致非创新企业家适应，最终系统归于新的以惯例为基础的循环流动。
60例如，货币制度的产生。
61在这方面，Hayek严格坚持Austrian学派的观点。
62可以看出，Hayek也属于Spencerian，即强调在竞争演化过程中被选择的必然是优秀的，相对高效率的。
63直到20世纪50年代之前，主流经济学完全抛弃了Marshall的生物学和演化思想，而Veblen和Schumpeter等由于自身存在的问题，并未受到广泛注意。
64Foss&Foss(2000:33)发现，承认变化和经济组织是相关的，在经济学中一直没有出现，直到20世纪20－30年代在社会主义经济可行性的讨论中才出现。
65他以一种类似于化学过程的方式，通过化学综合所需要的连续运动和变化，使得动态和静态的特征得以区分，从而综合了垄断和竞争。
66尽管产品变异在Chamberlin的模型中起了重要作用，但是并不清楚技术是否保持稳定。但是由于他强调产品的变异，有理由推断创新是重要的。
67事实上，至20世纪50年代初期，Alchian的文章基本代表了经济学演化论观点的最高水平。更重要的是，经济世界提供了运用演化概念的巨大的丰富的基础。理解演化的根本点是抓住对竞争性行为模式变化频率的关注(Metcalfe,1999:36-7)。Alchian的成功正在于此。
68Knight(1921)基于风险的存在，最早提出了反对理性决策的观点。Alchian拒绝的新古典经济学理性假设也是基于同样的推理，但是Alchian的推理却比Knight前进了一步，提出了不确定性。Alchian认为，不确定性是指不完全预先和人不能处理包含一组变量的复杂的问题。Knight和Alchian的观点都是基于可获得信息的不充分性。事实上，与不确定性相比，风险仅仅属于Bayes决策，而Bayes决策是不能解释一种重要的不确定性，即无知。无知只能通过知识状态的改善即学习降低。
69最大化和满意原则缺乏在心理存在和幸存的更解释一般(Demsetz,1997:6)。
70Alchian(1950:213)认为，“存在替代方法，这种方法把决策和标准当作由经济系统决定作为比由其中的个人作出的决策更重要”。
71Alchian认为，利润的追求，而不是一些不可定义的假设的完全市场，是相关的目标，这一目标是企业幸存的奖励。然而，这一目标不是高的，因为不存在过去的完全知识和当前状态的意识，能充分预见有利润的行动。他形象地比喻，“就像赛跑一样，奖励是属于相对最快的，即使所有参赛者都在闲逛。甚至在都是蠢人的世界，仍然存在利润(ibid.:213)。
72对Alchian来说。成功意味着相对高效率，不要求适当的激励，而是幸运环境的结果(ibid:213)。
73Alchian进一步强调，世界的不确定性越大，实现利润的可能就越趋向冒险、运气，而不是逻辑、仔细的和收集实际的个人(ibid:213)。
74Alchian(ibid:214)认为，“一个有用的，但不现实的例子是没有任何预见的个人行为，显示可适用于经济学家的分析类型和系统指导资源的能力——尽管个人无知”。Alchian(ibid:215-7)还认为，机会因素具有内在丰富性的。例如，一是即使每个人采取一种随意的、非激励的方式，各种行动中必然会产生一种最好的，好象是预见的。二是根据一些预见和激励进行的个人行为并不一定意味着行为的集体模型与随机选择的行为模型不同。三是机会主导的模型并不意味经济学家不能预测、解释和诊断。四是预测并不断言每个企业必须改变其特征，而是新的一组企业的特征将改变，产生“代表性企业”。
75模仿和试错被Alchian认为是实现正利润的充分条件。
76Alchian认为，净利润是企业之间成本差异的结果。他定义了边际生产者，即在充分竞争条件下只能获取零净利润的生产者，净利润的分配取决于边际企业的成本分配。在此基础上，他提出了长期竞争的动态特征，即非边际企业的累积调整了累积能力的成本决定剩余，并逐渐把边际企业赶出产业。
77不像Steindl用投资模型解释效率差距，Downie把效率差距归于创新的结果。由于更有效的企业能够累积能力和市场份额，在牺牲较低效率企业的基础上。选择就成为“转移机制”，使最效率的企业成为经济主导，而只有抵消的创新机制才能阻止这种经济主导。
78Alchian(1950:211)认为，即使在这样的极端模型中，经济学家通过主流分析工具的修改的使用，能够预测和解释事件。
79因为追求成功政策的企业扩大和繁荣，吸收了大部分的市场摩擦，越来越高的行为标准就成为竞争生存的最低标准。在长期，可存活性控制了最优化，结果，企业就好象是最优化的。
80Becker(1976)还进一步提出，社会生物学家的洞察力能够补充新古典分析。他认为，从社会生物学角度看，较适合的行为的特质(Dispositions)能够生存。即在自然选择的压力下，行为的特质通过演化，产生最佳的行为的特质。Becker指出，不仅利他性的行为特质能够演化，利他性的个人还能促使自利人的行为好像也是利他的。
81Friedman(1953)在他的经典方法论文章中，并没有把“好像”原则建立在“假设无关性”的一般论述中，而是指出，由于系统机制的存在，使得企业决策的复杂现实的结果最终与传统理论的预测一致。他认为，除非企业的行为接近与收益最大化一致的行为，否则企业是不可能在商界保留长久的。企业行为的决定因素可以是习惯反映、随机机会等等。每当这些决定因素碰巧导致与理性和信息最大化一致的行为，企业将扩张并获得所需要的资源。否则，企业将失去资源，或者通过外部的资源补充才能存货。这样，‘自然选择’的过程就有助于使假设有效——或者，给定自然选择，假设的接受在很大程度上基于判断，即假设适当地概括了生存的条件。
82对此，Machlup的概括是，边际主义是可以接受的，因为理性不必是有意识的行动，而是一种事后的系统约束。
83Penrose(1952:804)认为，生物学对价格理论或者企业发展理论的作用是微弱的。事实上，尽管Penrose强调企业的内生成长性，但是，她对演化论的理解和批判并不是完全适当的。例如，她认为经济活动中不存在生物的复制。
84Penrose(ibid.)认为，正是不确定性的存在，才刺激企业采取措施，通过直接作用于环境，降低不确定性。
85Alchian不是依赖与个人适应性的缺乏，而是不同适应性的出现，即不同行为的存在是关键的，与决定这些行为的激励因素是其次的。
86Alchian也没有定义竞争密度和产业退出规则，其可存活性的分析也是静态的。
87因为如果正利润是有意义的，则必然存在推理，即我们的计算方法至少是准确的。或者说依赖于消费者、供应商等的理性计算。因此，正利润不是经济系统的外生变量，不一定是成功的必然标准（如软预算约束和补贴存在）。而且，像正利润一样，模仿也是难以同理性行为相分开。
88成功企业驱逐非成功企业不是即刻发生的，而是要经过一段时间。如果单个企业的行为并没有像“随机机会或者其他”所要求的更多的一致，那么，在一段时间内的成功在未来的时间段内是没有意义的。
89从这个意义上说，自然选择模范理性决策的观念决不是接近演化生物学的。Friedman的“好象”新古典理论的行为假设理解，是Dawkins(1976;1986)目的论的体现。
90Clark&Juma(1988:200)认为，演化理论在经济学的运用受到阻碍主要是有限的演化和人类行为的知识容易出错。
91企业拥有相同的生产技术函数导致的最大化和产业趋向于竞争均衡。同时，一些企业被看作其他企业不能做的替代，因为模仿是花费成本和时间的，因而导致创新的激励。
92从这个意义上说，惯例实现了Simon 和Schumpeter的连接。
93Nelson&Winter(1982/1997:65)认为，“拥有一个完整的、清楚界定的目标函数并不是企业在现实世界中经营的必要条件，所需要的一切是决定要采取的行动的程序”。同时，“正统理论把‘知道怎么去做’和‘知道怎么去选择’当作很不相同的事情来对待，而我们把它们当作很相似的事情来对待”(ibid:60) 。审慎思考和实施的能力都是企业能力的要素，正像它对某种技术生产过程的掌握一样。但如果真是这样，正统利润中把能力和选择截然分开就变得可疑了”(ibid:81)。Nelson&Winter(ibid:37-8)还强调，“我们简明但有点死板地提出这一点：正统的假设是，就一个给定的包括一切客观上可得到的可供选择办法的选择集合来说，有一种全盘的、无错误的、一劳永逸的最优化。这显然与这一假设冲突：企业在任何时候都按照符合现状的政策经营，企业时常不准确地把这种政策的赢利可能性，同不完全由它控制的过程提供的各种可供选择的办法比较。当比较显示提供的可供选择办法比现状有利时，就改变政策”。
94Nelson&Winter(ibid.:8)认为，“在我们的演化理论里，企业将被看作是由利润推动的，并寻求途径去增加其利润，但它们的行动却不被假定为在明确界定的和外在给定的集合上使利润最大化”。
95在这方面，Nelson&Winter 的演化论类似于Hayek的观点。
96在搜寻的认识方面，Nelson&Winter与Cyert&March(1963)保持一致，组织搜寻可概括为“问题的”，即搜寻是由特定问题所激励，问题的症状定义了搜寻的临近性(Nelson&Winter,1980)。
97Neo-Schumpeterian学派的研究主要集中于产业发展和增长、发展长波、技术进步、创新和市场结构。
98Vromen(1997:49)发现，Nelson&Winter吸收了Alchian 等的观点，即产业中企业的不同赢利率解释了在产业市场份额中的不同扩张。
99例如，市场的价格、数量对外生变化的反映和市场的集中。
100这种更一般的理论强调经济能力的性质和意义，并且研究创新是符合产生新的能力。
101Mirowski(1983)认为，Nelson&Winter(1982/1997)在把他们的框架转换成具体模型时，很少偏离新古典分析方法。
102事实上，Nelson&Winter(1982/1997)全书17章的安排上看，真正涉及企业的演化内容只占2章。
103Foss et al.(1995:6)提出，其他资源，诸如有形资产和专利等没有同等程度的因素化，但是并不存在它们不应当包含在更综合的企业演化理论中的理由。
104虽然Nelson&Winter(1982/1997)发现了演化经济学与组织行为理论的融合。
105Metcalfe&James(2000:44)得出的结论是，“同样重要的事实是，惯例没有表明企业的战略目标”。
106“生态学”这个词直到1866年才出现，而且几乎在100年后才被广泛运用。然而，生态学的思想形成于它有名字之前。它的近代历史始于18世纪，当时它是以一种更为复杂的观察地球的生命结构的方式出现的，即探索一种把所有地球上活着的有机体描述为一个有着内在联系的整体的观点(Worster,1977)。Haeckel认为，生态学是研究有机体与其周围环境——包括非生物环境和生物相互关系的科学。
107所谓等同原则，Hawley(1968:334)认为，不同单位服从同一环境条件或者通过一个给定关键单位的调节来服从环境条件，获得了相同的组织形式。他们必须服从标准的沟通条件和程序，结果，在他们的相关规模限制的范围内，这些沟通和程序发展了相似的内部安排。
108Hawley(1988:xiv)认为，利基是组织生态学的核心概念。
109Huchinson(1957)提出，在生态学上，利基是指人口能够复制自己的环境条件。
110Baum(1996:77)认为，组织生态学家试图解释社会、经济、政治的条件是如何影响组织的多样性，并试图解释其变化的结构。
111Baum(1996:78)提出，组织生态理论并不否认个人的重要性，只是个人不能在事前决定变异将是成功的，或者能迅速地挑战战略和结构，以适应环境。
112Hannna&Freeman(1984:157)认为，组织的核心维度是不变的，或者说具有很强的惯性，而除去核心维度以外的周边维度是可变的。
113“我们理论中的分析单位是组织人口”(Hannan&Freeman,1988:9)。在这方面，生态研究者一直使用命名论(Nominalism)观点，即“根据所研究的问题定义变化”(Rao&Singh,1999:65)。
114所谓人口密度，是指组织群中人口的总数。
115传统特质观点认为，出生率取决于个人的性格背景，导致组织的成立。
116传统的企业政策研究把组织失败看作管理的无经验、无能力和非充分融资。
117涉及统计过程的FF有年纪依赖性、规模依赖性。
118涉及生态过程的FF还有位置宽度。
119涉及环境过程的FF有制度过程和技术过程。
120Carrol(1995:65)提出，组织生态论的观点使战略思考提高到人口的分析水平，即战略集团的形成。
121Nelson&Winter(1982/1997:54-5)说，“当经济学家们在研究或讲授理论本身时，或者在报告设计来验证理论的某一方面的经验性工作的结果时，理论的风格是僵硬的、合乎逻辑的、正规表述的。相反地，当经济学家们在从事由于政策原因而使人感兴趣的应用性工作时，……理论表述会被较不正规地使用，而且更多地用作组织分析的手段，理论表述的这两种风格我们将称为正规的和非正规的”。
122有关Porter的分析详见第8章。
123Foss(1997)把组织学习作为本体演化的一个重要内容。
124与盲目变异不同，随机变异体现了Bayes特点，即变异出现服从概率分布。
125传统演化解释认为，变异的出现是盲目的，而不是随机的(Campbell,1965)。
126Moore(1996/1999:3)提出，“很久以来，我的兴趣一直把商业当成是一门复杂系统的经济——个人和组织的作用融于系统之中。多年来，我发现生态学是顿悟和灵感的丰富源泉”。
127Moore(ibid.:5)认为，生物学的类推法经常被运用于商业研究，但却非常狭隘：人们不断提到的焦点，几乎千篇一律地是物种进化。最近，由于质量和重建运动，商业被解剖为过程，一些人则认为最适合的过程及其体系就是把弱者驱逐出去。在上述两个例子中，“物种”似乎隶属于遗传学的变异和选择，而变异和选择渐进地改变物种。
128Moore(1996/1999:20)认为，商业生态系统既可以在常规的行业界限内部茁壮成长，也可以跨越常规的行业分界线。
129即演化是通过间歇式平衡来实现的。
130即当生态开始形成以后，它们通过连续性保持下去。
131Bidwell&Kasarda说，我们的生态理论将规定：在组织与环境的统一过程中，变化如何影响组织的结构；组织结构的变化如何影响其产生；作为环境统一性的结果，这些产出的性质是如何影响随后组织结构变化。
132John&Proops(1997:39)提出，静态战略过程可以看作是物理系统过程。物理系统演化的根本假设是基因相同并保持稳定。
133战略过程有两种，不涉及创新的可预测性；涉及创新的不可预测性。
134战略变化可预测条件：初始条件和系统的边界条件确定；系统发展的规则存在；系统不显示创新。
135例如，关于路径依赖、内部选择等。
136如果说静态的战略内容能够实现保留，那么就意味着现有的战略内容已经实现了与动态战略过程的沟通。
137Barnett、Burgelman就是两位著名的组织生态学家。
138显然，在这方面，正规战略演化论观点又与正规的经济学要求保持了一致。
139Winter(1990:269)认为，造成这种结果的原因是“甚至在演化理论家中，也仅仅在演化论的价值上达成一致”。
140需要说明的是，经典经济学例如，垄断竞争理论，曾经接受了部分之间相互关系的概念，但是，自Robinson和Chamberlin之后，经济学（包括演化经济学）就不再关注这一问题了。
141Foss(1997)提出了企业研究中的群体演化理论和本体(Ontogenetic)演化理论的概念。
142详见第3－7章的分析。
143生物演化主要的以基因作为适应信息的传递机制。
144第5章将具体分析复制实体和关系实体的相互关系。
145有关活动的解构，第4章将进一步分析。
146Kelly(1963)把个人的知识结构称为个人分析性框架。
147因此，Kelly(ibid.:73)认为，经验“是由事件的连续解释组成，不是仅仅由事件本身所构成”。
148值得注意的是，Loasby (1998:172)还提出，把Know-how与Know-that区分为明示和默会知识是过于简单的。
149转引自Anderson(1980/1989:188)。
150有关陈述性与程序性知识的关系详见第4章。
151格局与模式的关系将在第4章作进一步的分析。
152在心理学上有一种最早而且延用最久的看法，即刺激—反应(S-R)连结的观点。S-R模式的缺点是：只对外部事件反应，而不对内部事件反应；不能把反应系列按一个单元来对待；不能对由许多特征构成的一个完形来反应；没有普遍性。
153第4章内容还涉及有关具体解释。
154Dennett(1995:366)认为，自我理解的自动“自由意愿”是与自我控制的概念复杂联系的。对我们的所为来说，自由意愿意味着我们行为的不同，意味着不是一些规则而是我们负责。自由意愿的实质是，“给定同一环境，如果我们需要，我们也许能有其他的需要、心智和期望”(Vromen,1997:58)。如果据此进行因果推理，那么，其结果必然是：所有层面的自由意愿，即不仅是我们表面的需要和欲望，而且包括深层的动机、感情和性格，都是我们自己设计的。
155事实上，除了Routine以外，仍存在不少可使用的术语。例如，Convention是一个较好的概念，Convention作为行为模式，是相互联系的个人独立地试图形成一组有用范式的结果(cf.Choi,1999)；Practice也是一个较好的概念，Practice是指组织的知识的惯例使用，并且常常有一种默会的构件，部分隐藏在个人技巧，部分隐藏在集体的社会安排中。
156即在太阳下没有新事物。
157即人不可能踏进同一条河两次。
158Parsonian趋势认为个人是判断不足的，其行为由社会结构预先决定。
159这里的问题主要是规则决定还是规则指导。Tsoukas(1996)和Bourdieu(1990)对表证体现和表证指导的区分具有启发价值。他们都认为，表证体现主要是从观察者的角度来提出的，而表证指导则是从使用者的角度来提出的，两者之间存在明显的不对称性。
160事实上，现有两种惯例概念的根本误区在于都是从具体行为出发来认识惯例。
161其中，默会性还与惯例的情境约束有关；预测性还与陈述性知识和活动的情境保持稳定有关。
162Polanyi(1962)认为，这种无法解释性的知识就是默会知识。
163例如，Nelson&Winter(1982/1997:119)认为，某一部分必需的、协调配合的信息，可能以明确的、清楚说明的形式，在成员之间交流，但仍沉重地依赖于名义上为其他直接生产目的服务而完成的事情中隐含的交流。不需要详尽无遗地用符号来说明组织的方法。在任何涉及的许多知识是个人成员持有的说不出来的知识，这样的说明是不能存在的。
164详见本章第5节关于惯例与规则关系的分析。
165见惯例的情景性特征。
166详见惯例的情景性特征分析。
167当然，这一点并不否认企业保存正规的记忆，而且这些正规的记忆起重要的作用。
168在这方面，Ryle(1949:33-46) 对Know-how的分析也与我们一致。Ryle认为，Know-how是一种特质(Disposition)，但不是像反射或者习惯的单一的特质。它的实施是服从规则或标准的运用。
169有关惯例变异的预测性或者路径性将在第4章分析。
170这种第二种近似，已经涉及到惯例变异的路径特点，我们将在第4章进一步分析。
171在第7章的分析中，我们进一步把惯例的这种地方性与惯例的结构性和连贯性维度结合起来。
172Mouzelis(1995:Ch.6)明确提出，社会实践应该通过三个维度加以识别：一是社会位置维度，即与执行具体角色相关的规范期望；二是特质维度，是个人通过过去的社会化所获取的或者通过与具体行为情境相关而带来的；三是联系—情境维度，即规范期望和模式被激活的社会活动的具体背景。
173详见第6章分析。
174有关惯例的连贯特性详见第6章分析。
175有关惯例的协调性详见第6章。
176Winter(1986:175-6)发现，在现实世界中，比起Cyert&March(1963/1992)所描述的一种定价程序，大量顾问的信息来源能够帮助百货商店获得更有效的定价程序。但是，如果我们对具体惯例持续、具体的商店感兴趣，那么，商店是否具有对定价政策进行系统评估和分析的能力是重要的。由于评估和分析是需要成本的，获取市场信息的交易也是困难的(Arrow,1962b)，因此，商店的程序性记忆以直接的方式决定了即兴发挥对组织结果的影响(Moorman&Miner,1998)，商店必须依赖自己的惯例定位决定定价的专家类型。
177惯例与Leibenstein(1982)所提出的努力的惯常的稳定是一致的。
178Axelrod(1984)发现了PD中的学习合作。
179但是，需要说明的是，惯例并没有解决PD问题，而只是一种解决办法，即惯例把类似PD的博弈情境转变成了类似合作协调的博弈情境。
180Postrel&Rumelt(1996:72-6)提出，人有两种“价值”来源：一种是冲动的和短期导向的；另一种是更理性，能预见行为不行为的长期后果。
181我们知道，正是Taylor倡导的科学管理，才标志着现代管理的诞生，而科学管理却直接与惯例研究紧密联系在一起。科学管理的基本原则是工作功能、分割和任务重复Coriat(2000:221)。
182时间动作分析就是把操作Know-How分解成与标准时间单位相联系的要素任务的技术。
183早期的纺织工业是一种分散的村落生产，18世纪开始演变成由商人企业家与个体手工业者签定合同的生产系统。
184即使两个从事不同工作的人分开，比合在一起能做得更好。
185关于企业的层级结构问题，第5章将进行具体分析。
186选择惯例详见第5章分析。
187有关动态惯例的作用，详见第7章分析。
188准模的概念是指惯例具有环境相关性并涉及学习。
189事实上，在Cyert&March定价模型中的“毛利率”规则，作为一种陈述性知识似乎与企业定价的程序性知识没有直接关系。
190即未考虑活动情境因素的制约（见图3.9）。
191这就涉及到陈述性知识的分类，详见第4章。
192无形资源也可分为人依赖和非人依赖两类(cf.Hall,1992)。
193第7章将进一步分析企业的惯例现时构造。
194这方面，Hall(2000:35-6)的分类基本与我们一致，Hall把资源分为四类能力(Capabilities)：规制能力，即具有合法实体的资源；位置能力，即不具有合法实体，是以前努力的结果，例如，公司的声誉；功能能力，即组织内的个人和队技巧；文化能力，即构成组织特征的资源，例如，创新能力。前两项能力与“有”有关，后两项则与“做”有关(Hall,1994:151-154)。Bogaert et al.(1994:61)也根据“有”和“做”对资源进行了区分。
195这就涉及到惯例的结构性维度，详见第6章分析。
196Richardson(1972:888)的观点是：“组织往往专门化其活动，因为这些活动，其能力提供了比较竞争优势”。
197在这方面，Amit&Schoemaker (1990:7)的观点与Dosi et al.(1992)一致。Amit&Schoemaker认为，能力(Capabilities)常常在功能领域中（例如，营销的品牌管理）被发展或者通过联合物力、人力和技术资源被发展。结果，企业建立诸如声誉、文化（或者规范和组织惯例）、可靠的服务、重复的过程和产品创新、流动性、市场趋势的反应、产品发展的短周期等能力。
198演化能力即能力变化的能力。
199独特性能力似乎至少接近组织使命陈述、“战略企图”(Hamel&Prahalad,1989)。顺便说明的是，传统的Competencies是较少关键的、整合的、动态的。Andrews说，“由增长和多样化的资源组成的公司的强项主要来自制造和营销生产线的经验。……组织的独特性能力不是超出其所能做的，而是所能做得好的。……在每个公司，独特性能力、组织资源和组织价值联合的方式是独特的”(Learned et al.,1969:179-82)。换句话说，传统能力认为，企业能力是既定的，外部机会是既定的。
200Dosi et al.(2000:6)认为，Prahalad&Hamel(1990)提出的“核心能力”强调了四点内容：大企业有多种核心能力，能力是企业竞争优势动力的根本；所指的能力是硬技术领域；忽视的是能力的组织问题。并且指出，Prahalad&Hamel(ibid.)的前两项核心能力内容与Capabilities一致。
201Hamel(1994:12)提出，每项业务需要的核心能力介于5-15项之间。如果只有1-2项，就是巨能力。
202即与竞争者相比，使企业做事更快、更灵活或者更可靠。
203即使企业以独特的功能投资其服务和产品的技巧，使产品产生独特的客户利益(Hamel,1994:16)。
204Winter (1990:276)认为，假设每个企业具有单一的能力不能充分地为企业的演化观点提供一般的基础。
205第6、9章将进一步分析惯例对能力的建构。
206有关说明详见第4章。
207对于TMS方法，这里存而不论。
208从这个意义上说，叙述法体现的是一种叙述实证主义。
209这里从略。
210这将应用到具体的数学和统计学分析工具，我们不作具体展开。
211有关企业的自然性质详见第9章分析。
212至于整体的惯例变异，我们将在第7章进行进一步分析。
213关于惯例之间的相互影响，这里先存而不论，详见第5、6章分析。
214正如Marshall(1994)所说，想像（即陈述性知识I）的最终结果是惯例的增加。
215在本文的分析中，我们始终强调陈述行知识I，这本身表明我们坚持了奥地利学派的观点。奥地利学派认为，“市场的概念是知觉运动的过程”(Roberts,2000:86)，故又称为主观经济学。
216因此，Nooteboom(1997:63)提出了参考概念化的适当方式是配置于模式。
217实际上，如果离开了陈述性知识对惯例的这种预期，就无法解释既定的外部需求状态为什么会激活既定的程序性知识，从而产生既定的行为。
218需要说明的是，这里的陈述性知识不包括明示的程序性知识。
219活动中的知识是指社会的构建知识的可观察的过程。
220这里明确，行为主义是强调刺激—反映模式，而区别于我们提出的作为程序性知识的惯例。“行为主义认为环境起决定作用，个人不是根据其思想行为”(Rizzello,1997:106)。
221有关NK模型分析详见第5章。
222具有共同地方峰值的地形中的一组位置称为属于共同的吸引性盆地。
223即认知的非线性(cf.Simon,1969)。
224Campbell最早讨论了变异的三种来源，即在社会组之间的扩散和借用、时间跨度变化的选择扩张、理性选择(Romanelli,1999:85-6)。
225所谓A-A差距是指期望—实现(Aspiration-Achievement)的差距。
226Nelson&Winter(1982/1997)继续了Simon 的失败导向的搜寻(cf.Groenwegen&Vromen,1997)。
227关于这一点，我们认为是进一步发展了Cyert&March(1963/1992)的组织行为理论。
228活动所涉及的多种知识将形成“吸收能力”(Cohen&Levinthal,1990)。有关吸收能力详见第4节分析。
229Tsoukas(1996)认为，“联系—情境”是规范期望和习惯激活的社会活动的具体背景。
230在Loasby(1999)的概念中，其实知识就是指陈述性知识I。顺带说明，认知学的一般研究也主要集中在陈述性知识。
231值得说明的是，Hayek的观点还区分了信息和知识。“我们所称知识的，主要是行为的规则系统，这些规则由同等、差异或者不同刺激联合的规则所辅助和修改”(Hayek,1978:41)。信息是能产生知识的商品，知识等于信息产生的心智(Fransman,1998:149)。知识是开放型的，具有洞察、创造和错误概念。知识是基于专门的信息，是可描述的，因而潜在是可转移的(Winter,1987:159-84)。
232在经济学中最早提出知识角色的Hayek(1937)也认为，知识并不等同于纯粹选择理论的理性。
233Schumpeter(1934)对Marshall模型的解释是，可能未来的理性选择是一个区别于正式理性的过程。例如，March的垃圾(Garbage)箱模型。显然，这与我们的知识不完全和易错的观点一致。
234这里涉及惯例变异的最优化问题。有关惯例变异的最优化问题详见第3、5章。
235正是基于这样的认识，Marshall(1920:297-8)提出，经营者同时需要Know-How 和Know-That。
236用NK模型来表述，就是陈述性知识II的这种外生影响将直接导致活动功能的实际地形变化。如果这种影响为陈述性知识I所察觉，也将导致陈述性知识I体现的活动功能地形的变化。
237Keynes(1937:214)很早就指出，“当我们不能解决自己的不确定性时，我们寻找比我们知道得更多，并能为我们复制的人”。
238Van Valen(1973)在研究生物演化的过程中引入了红色女王的术语。他是指Carroll的《穿过五彩的玻璃》中，Alice发觉尽管她在赛跑，却感觉似乎是静止的。红色女王的反应是Alice必须来自一个缓慢的世界，因为在一个较快的世界中，人们必须维持仅仅静止的奔跑。
239这里强调陈述性知识I、II维持不变。
240有关“干中学”的内容详见第3节。
241详见第9章分析。
242跳越与再导向的区别是前者基于适应性地形未变。Vany(1997:26)则说明了跳跃和爬山的关系，“随机突变（即跳跃）能够在遥远的空间地区进行搜寻，它体现了空间的跳跃——进入新地区；模仿（即爬山）是不完善地在临近进行探究——进入有希望的地区”。前者决定了搜寻的宽度，后者决定了搜寻的深度。
243Hayek的贡献在于把知识的产生作为内生的信息解释过程，Simon的贡献在于把创新（即问题搜寻）的产生作为介于个人（或者企业）和环境的反馈过程。
244March&Simon(1958)最早提出了组织搜寻的概念。
245Cyert&March(1963/1992:165)认为，从组织冲突的观点来看，地方理性的重要性是单个下属组织处理有限问题和有限目标的趋势。在这个限度内，根据一个目标解决一个问题。
246Cyert&March(ibid.:171)认为，“在易遭受地方搜寻的激励来自两种情况：一方面，组织松弛的存在往往导致搜寻活动朝组织松弛部分的方向；另一方面，仅仅是因为在系统中的权力位置，组织中的一些活动比其它活动更容易遭到攻击”。
247Cyert&March(ibid.:169)认为，问题搜寻是指搜寻是由问题（通常是相当具体的）所刺激的，并直到发现一个解决问题的方法。一般说来，问题搜寻能同随机好奇和理解搜寻区分开来。与前者相比，它有目标，与后者相比，它感兴趣理解只是在这种理解对控制起作用。
248在组织易遭受地方搜寻，即涉及距离搜寻（例如，与松弛因素有关），也涉及地方搜寻（例如，与规制因素有关）。
249Steinbruner还把地方搜寻这种第一次序称为自动化(Cybernetic)。
250优化搜寻是指更好地调整和经济化的设计以改进现存技术的效率。创新搜寻是技术创新，发现一个新的改进技术(Levinthal&March,1981:308)。
251Helfat&Raubitschek(2000)认为，增长(Incremental)学习是改进但不根本偏离目前的知识。步骤功能(Step Function)学习是核心或者整合知识的根本变化。
252Lippman&McCall(1976)提出，替代方案的评估涉及“下线”（即行为者不需要通过从事活动来进行评估）和“在线”评估机制。
253例如，在逻辑增长(Quinn,1980)的过程中，尽管替代方案也是集中在目前行为的邻近，也涉及“下线”评估。
254例如，经验搜寻就是集中在目前活动的邻近(March&Simon,1958;Cyert&March,1963/1992)。
255来源于Gavetti&Levinthal(2000)，略有改动。
256值得注意的是，Cyert&March(1963/1992)认为松弛产生认知搜寻，Dosi&Marengo(1994)却认为问题产生认知搜寻。
257Dosi&Marengo(1994:173)假设了一台有两个工作臂的槽床。一台有更高的平均效率（事前不知道）。确定这一台高效率的工作臂将出现两种损失，一是信息的收集涉及一些试验分配给低效率的工作臂，二是选择最高效率的工作臂可能实际是低效率的。为了减少第一类损失，减少试验的次数并坚持观察到的最好的工作臂，将不可避免地选择低工作臂的可能性，相反，收集更多的两个工作臂的信息将减少选择低工作臂的可能性，这样却增加了分配给低工作臂的试验的损失。统计决策理论处理探究和利用平衡的观点是，代理人进行一组试验，其目的是收集信息，然后根据收集的信息，不可逆地坚持似乎是最好的工作臂。另一种观点是通过期望水平来解释利用和探究之间的平衡。当经济结果维持高于一定的目标水平，企业坚持现在的惯例，即“利用战略——确保短期低风险收益，但是锁住在现存的技术，而不顾新的机会”(Dosi&Malerba,1996:6)。仅仅当收益低于目标，企业从事探究(ibid.:174)。
258但是，由于认知本身的变化可以是作为重要经验的结果(Louis&Sutton,1991)。从这个意义上说，致力于“有意义”(Weick,1995)能被解释为经验学习的高次序形式。
259即再联合和突变现存以及最成功的规则因素。
260Abernathy&Utterback(1978)的创新模型给我们很大的启发。
261如果这种陈述性知识II的变化引起关于行为—结果联系信念的陈述性知识I的变化，整个陈述性知识变化周期就结束。Teece(1986)根据创新需要的互补性资产（即陈述性知识II）是否大量出现，区分了范式前阶段和范式阶段。这就是说，在范式阶段（即我们的“主导阶段”），陈述性知识II的大量出现主要是服务于程序性知识的搜寻或者创新，显然，这种陈述性知识II是不破坏范式的。
262我们已经知道，陈述性知识是先于程序性知识的。
263学习曲线的存在，证明了程序性知识的变化特点。
264即理性的、功能的、计划的创新。
265即致力于离开目前的范式。其原因：一是重要变化不能在现有状况运作中发现，二是假定变化的抵制将阻碍由制度化创新的执行。因此，组织学习仅仅通过突破思考和行为的习惯和惯例方式(cf.Senge,1990a,b)。
266即通过不完善的惯例维持来进行创新。例如，Winter(2000)认为，满意——控制的学习将会在更低水平出现，在高层过程的单一试验中，秘密(Covert)学习的出现是无意识的或者至少是高层管理未计划的。其机制留下可观察的踪迹主要在数据；其支持了时期的业绩比较；其成本如果有的话，不留下任何踪迹，但是隐藏在生产工具的成本中。
267由于跳跃的存在，有可能已经经历了若干峰值。
268详见第5章分析。
269为了分析明确起见，这里的惯例粘性仅涉及与惯例有关的认知部分。
270Kuhn(1964)的反常的“打牌”试验也证明了定型。即假定许多牌是正常的，但是有一些是反常的，例如，红桃七。试验中发现，在短期，打牌者能够识别和纠正反常的牌，不管牌上符号的实际显示。
271Heiner(1988)认为，代理人一般没有从调整到新的条件中收益，除非在其反应变得完全可靠的限度内。即使在零调整成本。
272在这方面，Anderson(1980/1989:314)提出了负迁移的存在。所谓迁移是指一种新技巧对旧技巧的干扰作用。存在负迁移和正迁移。
273Rumelt(1995:106)称为“扭曲的知觉”。
274Gordon&Adam(1989:21)则把这种骄傲称为“心理防卫”，即个人有为自己行为骄傲的心理需要。骄傲自己的行为涉及为行为的历史起源骄傲。
275直接成本可能是惯例变异造成了失败、运作破坏和涉及大量的努力。更加重要的是，变异意味沉淀成本放弃。
276即目标惯例的变异对其它惯例利益的垄断。
277Levinthal&March的推理是，给定无限长的计划期，最好的搜寻战略是设置搜寻倾向尽可能高并加以保持。这种战略能够最大化长期技术潜在收益，从而最大化长期业绩。与此同时，由于投资的收益是概率的，直到发现为止，高搜寻成本减少了组织业绩，因此，高搜寻倾向的净优势取决于业绩期。
278相反，缓慢学习者尽管不像快速学习者那样易于混淆错误的信号，但是却存在反应慢的问题。
279显然，根据Levinthal&March的分析，经典行为理论(Cyert&March,1963/1992:167)提出的“组织避免不确定性，他们解决紧迫的问题而不是长期的战略”，就明显带有快速学习的特征。
280Cohen&Levinthal(1990:128)的基本观点是：利用外部知识的能力是创新能力的关键因素，因此，评估和利用外部知识的能力在很大程度上是以前相关知识水平的函数。以前相关知识是指认识、利用和运用新信息价值的能力。这些能力称为“吸收能力”。事实上，我们对吸收能力的运用已经一般化了。
281产业能力即为一组企业所分享，并能产生租金的非所有的能力。
282Cyert&March(1963/1992)最早提出了组织松弛的概念，在这里，我们进行了进一步地扩大，提出活动松弛的概念。
283此外，松弛从两方面稳定系统：一是吸收过多的资源，阻止在相对好的时期的向上期望调整；二是提供一组紧急资源，使得在相对坏的时期维持期望(Cyert&March,1963/1992:44)。
284但是，在这方面，Cyert&March(1963/1992:95)却又提出，“组织松弛小比组织松弛大的地方搜寻更密集”。
285转引自Bessant(2000: 296)。
286正是因为路径依赖性不可能在新古典经济学中得到解释，路径依赖性本身也显示出了演化论观点的作用。
287Liebowitz&Margolis不承认这个假设。
288所谓锁定效应，是指当初始行为被发现是低效率后，这些低效率的行为是自我强化的和不可逆的过程，以致过了一段时间后，效率高的行为不能替代低效率行为。
289Pressing(1984:355)还认为，程序性知识的默会性和自动化将产生“行为经济”。
290顺便提出，Arthur的学习规则是代理人也许已经尝试了最佳的方案，因而不再进行另外的行为线(Line of Action)。Arthur假定是：每个行为线有报酬分配，但是代理人事前不知道报酬分配。
291即在时间压力下累积所需要的资产的额外成本。
292Hayek(1978:41)认为，我们所称知识的，主要是行为规则的系统，这种系统由规则援助和修改，显示刺激的等同、差异或者不同的联合。
293Simon(1992)不顾Popper的警告，甚至认为存在“发现的逻辑”。
294这里对代理人的努力程度存而不论。
295Hayek是主观主义观点的奠基人。Hayek对知识的认识是逐步深化的。最初，Hayek(1937)认为知识是分散在个人的，为了行为，个人使用相关知识，其获取依赖于基于成本的过程。随后，Hayek(1945)提出竞争作用的机制是因为个人具有不同的知识(Hayek,1945)。最后，Hayek(1952)强调出个人获取知识的路径依赖。
296Simon(1962)说，在建设关于心理行为或者社会系统的理论中，理论可以在状态或者过程水平发展。
297Argyris&Schon(1978)提出了First-order和 Second-order的学习过程。Pisano(1994)也提出了相对应的归纳性学习（即“干中学”）和演绎性学习（即“干前学”）。可以看出，状态理论相当于First-order学习、归纳性学习，过程理论和目的理论相当于Second-order学习和归纳性学习。
298例如，Ellis(1965:4)发现，“充分掌握了代数原理的学生会发现学习像诸如微积分的高级数学课程更容易”；Anderson et al.(1984)比较了学习LISP作为第一程序语言的学生和在学习了Pascal之后再学习LISP语言的学生，发现后者更有效，部分原因是因为他们能更好地理解不同程序设计之间的相通性。
299社会学习理论描述个人如何在社会情境中学习和改变其行为。它假设行为者模式化参考者的行为，以替代学习关于不确定性环境。社会学习模型通过允许行为者观察和思考他人的经验扩大了刺激－反应或者经验学习的模型。
300情境学习根据组成学习网络的组织联系而不是个人之间的信息转移来概括。
301启发式方法是任何一种有助于减少对解决办法的平均搜寻的原理或方法。
302正是在这个意义上，Winter(1986:174)说，连续创新是现代世界根本的和普遍的现象，但是其不能进行得如此之快，以致在几年时间内推翻所有我们今天所观察的行为。
303事实上，也正是因为代理人努力的重要，才使管理在企业的知识发展中发挥重要作用。
304转引自Roberts(2000: 95)。
305相反，根据原始的Darwinian观点，优秀类型的个人比较差的个人更适应关键环境条件。
306Burns(1987/2000)根据个人的这种能动作用，提出了行动者—系统动态学理论。
307复杂理论家Cramer(1993)提出的复杂性状态认为，整体是处在不同状态的。不同的状态的整体—部分存在不同的特点。在这里，我们作了适当的简化和抽象。
308在这里，我们把问题主要集中在演化层级。
309事实上，由于复杂性一直被理解为系统组成部门之间相互关系程度的函数(Simon,1969)，因此，Kauffman的NK[C]模型是根植于复杂理论之中的。关于NK[C]的原型问题将在第9章作进一步的讨论。
310必须指出，K值和C值对于企业惯例的整体演化具有重要意义。一般说来， K导致稳定性，C导致不稳定性，即Kauffman(1993:249)所说的“共舞”。我们将在以后章节中加以详细分析。
311这里，对强选择和弱选择先存而不论。
312微观范式主要集中在心理现象，宏观观点集中在组织的社会经济特征。我们认为，非中观认识的问题是：过于简单、低估跨层级的效果、组织结构的具体化。
313转引自Hodgson(1993:171)。
314即基因影响了超过一个的显型特性。
315Benchmarking迫使企业检查具体活动的竞争生存能力。
316Szulanski(1995)认为，Practice是指知识的惯例使用。Best Practice 是在企业范围内的重要Practice，对于这些Practice来说，存在合理的证据，显示其相对于其它内部可替代Practice的优异和相对于企业外已知替代的优异。
317来源于Faber&Proops(1998:57)。
318在组织中，在评估惯例的贡献度时，信用赋值问题出现了。信用赋值的确认受惯例之间相互关系的影响。例如，有一些惯例可以直接转换成一对一的特性；其它惯例可以影响很多可观察的特性；或者与其它惯例联合从而产生可观察的特性。
319组织不同演化层面存在冲突(Campbell,1994)，又称为“共享的控制”(Baum,1999)。
320从关系实体角度看，我们假设企业层级由基层面、低层面（例如，部门）、中层面（例如，业务单元、战略联盟等）、企业层面以及产业层面组成。
321必须指出，惯例选择的层级构造不惟一，但是，这并不妨碍我们对惯例选择层级构造的分析。事实上，惯例选择层级的不惟一，正是研究企业发展所要分析的。
322关于产业层面和产业结构层面的惯例作为选择标准问题，详见第2节。
323这里需要特别指出的是，惯例的层级与一般的层级是不同的。惯例的层级表明惯例之间存在层级解释关系，一般层级是指由下一层面的组件构成的上一层面，对该层面以下的层面的解释性。但是，由于惯例的功能以该层面的整体适应性出发，因而实际上也符合一般层级向下解释性的要求。
324一般来说，与企业外部相比，企业内部不同业务单元、团队、个人之间联系更为密切，即C值较大。同时，在企业内部，越到下层，这种联系越是密切，表现在C值可能较大。
325Commons(1934:657)最早区分了自然选择和人为选择，并且倡导人为选择的理论。
326需要指出的是，一个行业演化的某些时期的特点可能是实际上一切企业都有负利润。因此，正的利润是有问题的。
327在这方面，演化经济学家认为市场是理性的，例如，Becker(1962) 提出的通过预算约束的概念来强调市场选择的理性行为。
328这方面奥地利经济学派做出了很大的贡献。
329例如，Sober(1984)说，如果我们要避免过去吞噬演化理论的错误观念，对科学研究的适应的准确词汇是需要的。
330知识的性质表明，人为选择必然是演化的，详见后面分析。
331值得注意的是，事前理性一直没有在企业的演化理论中得到适当的发展。
332因此，作为选择必要前提的“生存斗争”，或者说同一层面的资源竞争，就可以理解为发生在惯例与惯例变异之间和替代的惯例变异之间。
333详见图5.17分析。
334在这个定义里，我们没有提到选择所具有的保留性质，我们将在第4节进行说明。
335为了分析方便，我们把联盟惯例等也视作边界内惯例，因为联盟惯例等最终要受到企业层面惯例的影响。
336而技术惯例和行政惯例主要涉及为核心技术惯例提供援助，层级性质不明显。
337详见第10章分析。
338例如，Miner(1994:79)列举的选择标准有目标、价值、项目标准、项目检查点、竞争等。在一般意义上，目标管理就是确定标准。
339来源于Bartol&Martin(1998:21)。
340当然，我们这里所谈论的中、高层管理不能与管理的丰富内涵所混淆。例如，在核心技术层本身也涉及管理问题。
341我们的这一观点也得到了其他人的支持。例如，Selznick(1957:17)认为“制度化”是指一个组织变成充满超越现时技术需求的价值的过程。因此，“制度的”就涉及价值的注入和组织运营的社会环境两种意义(Levinthal,1994:176)。价值的注入可以说是有生命的(Biotic)，而“制度的”就仅指社会环境。在此基础上，组织不仅同时面临任务导向和制度环境的压力(Carroll&Huo,1986)，而且还导向工具目标和生命目标。这表明，制度活动评价了企业的生命目标，技术活动评价了企业的工具目标。
342制度活动又可以称为社会资本(Coleman,1988)。从制度主义的角度看，惯例是注入价值的，即组织成员获得的意义是象征性的和规范性的，并超越技术效率。
343Daft(1998/1999:39)对组织环境的描述，给了我们很大的启发。
344在组织生态学看来，产业其实就是利基。利基分根本的利基和实现的利基(Hutchinson,1957)。利基涉及社会、经济和政治条件。事实上，图5.9的关系者体现了利基的特征。
345组织的制度主义理论为我们提供了坚实的理论基础。组织的制度主义理论认为，组织的成功依赖于非生产活动的有效协调和控制。独立于生产效率，在非常精细的制度环境中存在，并且成功地与这些环境等同，组织获得了生存所需要的合法性和资源(cf.Meyer&Rowan,1977)。
346Aldrich(1999:230)区分了认知合法性和社会政治合法性。
347除了强制的制度等同主义外，还存在竞争的等同主义，这就是模仿成为选择。详见第4节。
348事实上，正如Porter(1985)所说，由于供应商、消费者等还存在不同程度的侃价能力（或者说垄断能力），技术惯例的选择强度还体现了非技术的内涵。
349相关知识基础是指默会性和复杂性程度。
350此外，正是因为技术惯例的作用，使得竞争带有“生态观点”(Simmel,1908/1955)的性质，即“承认企业相互竞争甚至也可能根本未意识到彼此的存在”(Hannan&Carroll,1992:27)。
351可以说，这是导致企业差异化的一个重要外部原因。
352在技术惯例中，例如，消费者惯例在很大程度上是“用中学”，体现了一种陈述性知识。
353可以看出，企业层面惯例与产业层面特别是消费者惯例的层级关系，不同于企业的具体营销惯例与消费者惯例的关系。在这里理解的消费者惯例带有宏观（产业层面）的特点，而且，营销惯例是执行企业层面惯例向下解释性的结果。
354一般来说，企业属于所有权的概念，产业层面的惯例应该直接对业务单元层面的惯例集合进行评价。但是，为保持惯例层级的连续性，我们仍然坚持对企业层面的选择。有关企业层面的作用将在后面阐述。
355例如，企业核心能力概念的提出就证明了这一点。
356反馈、前馈和集中三者的关系还体现在适应上。Toulmin(1981)对适应性(Adaptation)的认识就较好地说明了这一点。实体的适应是具有适应(aptness)的性质，它是与环境需求有关的可成长(Viable)关系。相反，适应性是指用恰当的方式使情境得到调整和变化的潜力。Toulmin指出，在社会科学情境中，实体为求得更好地适应，能运用三种机制来变化：一是计算，即对情境觉察的目的反应；二是自稳定(Homestatic)，即服从与目标行为有关的具体规则；三是发展，即在具体的约束中的新行为模式的累积展开。显然，计算和自稳定与反馈有关，发展与前馈和集中有关。
357详见选择性质的分析。
358当代理人拥有私人信息、逃避的激励以及牺牲委托人利益的自利行动时，逆选择(Adverse Selection)就出现了(Eisenhardt,1989)。我们认为，逆选择的存在，除了与自利因素有关之外，认知方面的不对称也是重要方面。例如，在企业内容，就存在各自的“主导逻辑”(Bettis&Prahalad,1995)(Krogh&Roos,1996:734)。
359Friedman(1953)认识到这一点，但未具体探讨。
360Langlois&Everett(1994:33)称之为“选择的情景依赖性”。选择标准的情境性，使得在一组经济情况下接近于最大化的习惯性反应，在另一组情况下可能不是那样。
361顺便说明，制度惯例和技术惯例的变化是相关的。例如，在Veblen的制度演化中，“适应变化的技术是制度选择的标准”(Tilman,1992:136)。
362系根据Kotler(1994/1997)和Webster&Wind(1972)的综合。
363我们认为，消费者是“社会人”，因此，其个人的心理因素往往体现在社会、经济、文化等因素中。
364Kotler(1994/1997:56)区分了顾客让渡价值和总顾客价值。顾客让渡价值是指总顾客价值与总顾客成本之差。总顾客价值就是顾客期望从某一特定产品或服务中获得的一系列利益。
365来源于Kotler(1994/1997:134)。
366消费者惯例也具有这种特点。
367产业层面惯例的选择和保留不是本文研究的内容。为了研究方便，我们把产业层面的惯例变异视同已经过选择和保留。
368此外，陈述性知识II的变化也是存在的。这里为分析方便，仍然把陈述性知识II视作外生的。
369详见第4章有关内容。
370对供应商惯例的选择机制的分析，其实在概念上正是本章的分析内容。
371主导设计假设——一般的认识是，随着技术制度的发展，当设计因素稳固地确立起来，必须有一些配置需要放弃(Bejar,1998:64)。
372来源于Teece(1986)。
373在关于演化的生物学文献中，这一问题长期没有被完全的认识到(cf.Wilson&Bossert,1971)。
374可以理解为适应性地形中的爬山、跳跃、再导向。
375我们将在第7章作进一步分析。
376我们对动态程度的理解是范式搜寻或者搜寻范式中的主导阶段经历了较长时期。
377即技术和制度的匹配。
378配置可以定义为一个组织的因素是由单一主题编排(orchestrate)和联结的程度(Miller,1996:509)。
379在经济学的语言中，连贯就是共同运作是经济的。有关惯例的连贯性将在第6章作具体分析。
380这里具有的稳定倾向主要是与低层面惯例变异相比较的。
381Nelson(1994)用“标准”的术语来描述主导的系统。
382包括内化、逆选择、搬动能力、制度、复杂性灾难、惯例变异数量。
383包括范式搜寻和搜寻范式。
384Downie(1958)认为，在竞争的作用下，产业的平均效率将集中为产业最好做法的效率。
385我们假定，惯例变异的分布服从正太分布。
386必须指出，权变性(Adaptation)基本上是一个权变理论比较静态的陈述。当组织使其战略、结构等变化来适应环境的权变时，权变出现了。
387转移能想像为复制(Winter,1995)。
388技术和产品创新主要是以知识为基础的，即知识的可转移性决定了转移的成功。
389指在转移期间经历的问题的情境所值得注意的程度，在概念上等于困难的概念(Szulanki,1996:30)。
390显然，惯例的默会性将会使复制更多地体现启发式的特征。
391从某种意义上说，这就类似于“集体默会知识转化为个人的默会知识”(Baumard,1996)。
392Thomas(1976)称之为接收知识方的接收度(Receptivity)。
393例如，Nelson(1992:61)提出的“一般知识(Generic Knowledge)”通常就是广泛使用的发端。这种知识是专业人士的特长(Stock-in-trade)，并往往成为描述和沟通这种知识的一种系统方式，以致当新的一般知识产生时，则与其它专业人士的沟通就是相对无成本的。显然，要让知识能被理解，更不用说能被使用，它就必须适应现存的“模板”(Langlois,1997)。
394转引自Lam(1997: 974)。
395Lane&Lubatkin(1998)还把情境特征进一步概括为“相对吸收能力”的概念。
396惯例的转移成功与母国和接收国之间的制度距离负相关。
397即显示在企业内接近外部信息和知识的程度。
398过度的激励却也与粘性正相关。
399显然，这与惯例的学习/累积性有关。
400值得注意的是，竞争未必涉及模仿，模仿也未必涉及竞争。
401在本来的意义上，标竿超越明确地限于企业非常具体的过程的分析，例如，仓储系统、订购系统、客户反应系统、分配系统等方面。在这些系统中，具体惯例和结果之间的关系非常清晰，并且能够进行直接评估。
402该模式认为，增加频率，就会相应地增加适应性机会。
403Huff(1982)提出，企业相互影响并进行社会比较，识别一组最相似的企业，形成一个相关组，组织领域的认知界(Cognitive Communities)出现了。由于认知界的存在，因此，以特性为基础的模仿是存在的。
404即新知识的吸收受学习计划的强度影响。例如，“组织松弛”(Cyert&March,1963/1992)的存在可以弱化通过学习改进情景的需要。这种障碍是伙伴专门化的。
405Badaracco(1991)认为，组织知识的差异与知识本身、知识结构、协调和知识传递的方法有关。例如，在组织模型中，完成任务所需的知识不是为任何个人所有，而是深嵌在组和团队中。知识的使用和传递是通过密集和广泛的组成员之间的相互联系。知识“有机”地在团队关系中产生和储存。在专家模型中，鼓励知识的个人专业化和所有。知识的储存形式可以描述为“机械的”，协调和知识传递的主导形式是以凭证为基础的。
406从这个意义上说，企业的战略联盟就是为组织学习提供激励。
407即模仿导致惯例的多样化，而非集中。
408即关于产品、技术、营销、人事等等问题的共享的惯例判断模式。
409在NK模型的适应性地形中，类似于跳跃和再导向。
410值得一提的是，在新古典经济学基础上发展起来的产业组织学（SCP），仍然只关注对产业的分析(cf.Bain,1959;Porter,1980)，引入博弈论的现代产业组织分析也未决定性地改变新古典的企业认识(cf.Saloner,1991;Shapiro,1989)。
411从这个意义上说，企业的理论建设是两方面的。一方面，企业理论是价格决定和市场理论的一个重要组成部分，其中心重点是经济活动的调节；另一方面，它又是企业性质的理论。
412值得说明的是，Knight(1921)在其著作中所确定的主要任务既不是解释企业的存在，也不是解释企业的组织，而是解释利润的存在。
413不确定性与风险的区别在于，与不确定性相关的是人们对可能的结果了解甚少，以致于没有一种保险统计类型是可能的。不确定的事件可能引起利润或亏损。
414需要指出的是，决定做什么以及如何做成它(Knight,1921:268)的基础之上的优势，不能归纳为交易成本，因为它强调的是生产而不是交易。
415至于企业组织的其他内容，Knight提出了颇有见地的道德危险的考虑。
416必须说明，Knight(1921)没有严格区分企业家和管理者，Knight的企业家集中面对不确定性，没有愿景和知识管理感。
417Knight的判断与创新是同义的。
418风险的重新分摊实际上并不能对企业或企业对雇员的监督提供一个令人可以接受的解释。没有企业这类制度的协助，价格制度也可以解决风险分摊问题。事实上，如果简单地把对雇员的管理作为减少风险的一种方法，而不仅仅是重新分摊风险，那么，Knight关于企业存在与组织的合理性就更有意义了。
419需要说明的是，尽管Coase最早从交易的角度研究了企业的性质，但是，Arrow(1969) 却最早使用了交易成本这个术语。Milgrom&Roberts(1990:60)提出，所谓交易成本，是指当两个或更多的人做生意时，决策、计划、安排和协商采取的行动和交易条款的成本；当变化的情境出现时，变化计划、协商条款和解决争议的成本；确保各方履约的成本。
420有关对Penrose(1959/1995)的分析详见第7章。
421企业能力理论包括能力论、核心能力观点、知识基础观点、资源基础观点、动态能力观点(Foss&Mahnke,2000; Knudsen,1996/1998)。企业知识基础观点(Foss,1999; Foss,2000d)涉及企业的演化观点(Nelson&Winter, 1982/1997)、能力观点、动态能力观点(Teece et al.,1997)、资源基础观点(Wernerfelt,1984)、知识基础观点(Grant,1996;Spender,1996)。因此，企业的能力观点和知识基础观点是相互包容的。
422完全契约的功能主义或代理理论和不完全契约的目的主义(Intentionalist)。
423所谓不完全契约，就是因为契约当事人缺乏无限理性，即不能准确地规定契约各方在任何可能情况下的所为，而只能安排在一种权变情况下的实现的成本和收益的分配(Milgrom&Roberts,1992:127)。
424与行为主义一致，Alchian等一些经济学直接或间接地联系于Chicago学派，认为企业是适应性制度(cf.Alchian,1950;Friedman,1953)，是选择过程的有效率的产物。
425AlchianDemsetz(1972/1994:73)提出，还不清楚的原因是企业为什么与队生产相联系，甚至是高度相关。
426值得一提的是，AlchianDemsetz(1972/1994:86)承认，作为集中的团体的信息流的结果，企业在关于大量特有投入的生产特征上呈现了一个有效的市场特征，它使这些信息能更廉价地获取，对资源重组与新的使用可能比普通市场上的传统的搜寻更为有效地确定。
427值得注意的是，契约连结理论类似于行为主义的政治联合观点，两者的根本差异是：契约的连结理论运用长期的均衡观点而不是短期的过程观点，强调环境形成有效的长期企业结构的能力。此外，Coase(1937)和Williamson(1975,1985b)大体上把企业或者等级视作雇员契约。介于雇员和雇主之间的契约部分是不完全的，因为雇员——以一定的收入作为回报——在一定的“接受区”，同意授权给雇主权威，以决定需要雇员执行的工作。这样，就形成了一种权威关系，而不同于作为纯粹市场安排的契约的连结。
428显然，这与交易成本经济学的长期契约相矛盾。
429它们导致了1960年代的管理主义和行为主义的出现，并同样是交易理论的重要先驱。
430Williamson(1996/2001:60)认为，纵向一体化已成为是交易成本经济学的范式问题。
431在这方面，Williamson与完全契约理论分道扬镳。他(1996/2001:207)说，“那些从事代理理论研究的经济学家，不愿意使用有限理性这一术语（在过去，它一直被认为含有非理性和令人满足之意）”。
432机会主义就是追求自身利益，但又将单纯对自身利益的追求扩展到用诡计来实现自身利益(Williamson, 1979/1998:55)。
433Williamson,(1996/2001:53)把行为不确定性称为第三类不确定性。
434Williamson(1975)暗示“气氛”是重要的。
435转引自Williamson(1975:40)。
436Williamson(1996/2001:9)提出，区分出强的、半强的和弱的理性精神是很有用的，强理性精神赞同超理性，而后两者则植根于有限理性。半强理性分析使有限理性与有远见的缔约相结合，弱理性分析则把有限理性与短视的缔约结合起来。
437值得注意的是，Williamson(1996:377)的“资产专业化使用”，是指用于最终产品的有限性。而Penrose (1959/1995:71)的资源“专业化使用”是指资源的使用程度和范围。
438一阶节约，即有效率调适和消除浪费(Williamson,1996/2001:106)。或者说研究分立结构本身的性质。
439交易成本经济学认为，如果将市场组织中有效的高强度激励引入企业，就会导致技能失调的后果。它还认为，在企业内有效的控制手段，在市场中（企业之间）常常不那么有效。结论是，市场组织与较高强度的激励和较少的控制相联系，而企业内部组织具有较低强度的激励和较少的控制相联系(Wiliamson, 1985b;1988c)。以一种或另一种模式进行交易，必然要考虑到相应的激励与控制并存的特性。
440Williamson(1971/1998:3)提出，就激励意义而言，内部组织减少了勇于进取的风尚而强调面对面谈判这种做法。利益即使未得到完全协调，至少也可以从狭隘的机会主义形式中摆脱出来。因此，独立当事人之间在理性预期的情形下进行长期的交易谈判可以使内部化变得更有吸引力。
441考虑到信息交换的经济，其中一些是由于企业和市场之间的结构性差异，而另一些则最终可归结为内部组织和市场组织之间的激励和控制上的差异。“要不是目标和控制方面的差异，就此而言，内部组织对市场组织在信息方面的优势并不明显”(Williamson,1971/1998:4-5)。
442Williamson(1988d/1998:71)认为，控制需求不是具有一个而是具有两个效应：首要（或欲想的）效应是实现更大的控制；其次（非欲想的）效应是受制于这些追加控制的工人其后所采纳的。
443包括信息处理和制度适应（产权界定不完全、非经济）等方面的优势。
444交易成本经济学避开了各种假想的理想，并且坚持与各种可行替代选择进行相关比较，所有这些替代选择都有缺陷(Coase,1964)。因此，相关的标准是可修复性的标准，按此标准，如果对于一个结果来说，没有任何更优结果能够被描述出来，且能够获得有净收益的实现，那么该结果就被假设为有效的。
445因此，Williamson(1996/2001:277)认为，经济学就产生了附加值。特别是经济学赋予经济行动者的那种有远见的倾向或“理性精神”，允许把对以前被忽视的规则的分析推进一步。一旦理解了这些未预期到的结果，以后就能预期到这些效用，并能把其衍生的结果纳入组织设计之中。这样就可以减少不必要的成本，增加额外的收益。
446基本转换指的是这样一种情形，在此情形中，由于资产专用性之故，事前的大量竞标在实施中被转换成后来的双边贸易关系(ibid.:213)。
447Williamson(2000:25)对保留和选择性干预的解释是：如果两个联合的阶段总是能够做得像两个独立的阶段一样好，即通过指示每个阶段做通常的事，就是通过复制。选择性的干预只是在事情失去一致时出现。简言之，通过保留，联合的企业将不可能做得更糟，通过选择性干预，企业做得更好。
448Grossman&Hart(1986/1998:302)强调了控制权的对称性——即在一方购入剩余权利的同时，另一方必然相应地失去了这些权利——及其必然会引起扭曲，也就是说，一体化有助于减轻对机会主义行为和扭曲性行为的激励，但它并不能消除这些激励。
449来源于Williamson(1988 d/1998:85)。
450Dosi&Marengo(2000:85)还认为，交易成本经济学与代理理论的区别在于组织具有“属性综合症”，而不仅仅是纯粹的契约集。
451事实上，尽管新古典经济学放弃了古典经济学的动态性质，但是，就其坚持企业的生产性而言，与古典经济学应该是一致的。
452Hayek(1945)认为，劳动分工意味着知识的分工，特别是具体时空条件下的知识。
453例如，如果“技术知识”是界定企业能力的东西，知识存在于企业的什么地方呢？一个企业能做什么和不能做什么之间有一条分界线这一假设有什么理由吗？一个企业拥有的知识与其他企业拥有的知识怎样联系，与整个社会的“知识状态”又怎样联系呢 ？
454值得说明的是，尽管行为主义、契约的连结、交易成本理论共享企业作为适应性的制度，但是，它们的主要差异在于，是对企业是选择过程结果的制度安排的充分关注，还是对产生这一安排和机制的关注。显然，契约的连结理论强调前者，行为主义理论强调后者，而交易成本经济学则在两者之间妥协。
455值得注意的是，尽管行为理论强调了企业的适应性制度，但是关注的重点仍在于对外生变化的反应的决策的描述(Dietrich,1994/1999:187)，因此，还只是一种信息处理的理论。
456显然，互补活动是同时具有技术意义和经济意义的。
457体现正规研究的特征，倾向于在一个均衡模型中找出结论。
458体现非正规研究的特征，更倾向于工商企业的实践。
459企业是专业化的生产单位——这种企业的概念不同于当代组织经济学文献中广泛使用的企业概念，也不同于早期Knight和Coase的著作中所使用的企业概念(Demsetz,1997/1999:11)。Demsetz反对把管理作为企业的基本要素。这种人与人之间的控制并不是必要条件，而且也不是企业的本质。
460即参与者的初始知识禀赋的混合和使用，使得个人使用他人的知识，先于理解和同意，并替代个人的判断。层级较高者的知识替代较低者的知识。显然，企业通过两种方式经济化有限理性：专业化和知识替代，而市场只能通过专业化实现有限理性的经济化。
461即考虑到学习或发展，在契约关系期间，各方义务和责任变化的容易性。
462以培育个人专家之间的协调，以避免知识交易与高能激励相连的机会主义问题。
463即市场转移产品有效，但是转移知识非效率。
464Langlois(1992/2000:188)认为，动态交易成本等于Demsetz(1991)的管理成本和Dierickx&Cool(1989)的时间压缩的非经济。他还认为，能力不仅意味着新古典意义上的生产成本问题，更重要的是表明了一种信息或知识成本——把企业能力转移到市场或相反的成本，这些成本是被忽视的规制成本。值得注意的是，Kirzner较早作出了这方面的论述，Kirzner (1973:215-6)说，“一项交易要完成，仅仅互惠性交换条件出现是不够的；每一个参与者还必须认识到他通过交换可获得的获利机会……通常认为，在（互惠性）交换范围出现时，交换就会发生……事实上，由于知识是不完善的，因此，尽管存在互利性交换条件，但交换仍可能不会发生”。
465需要说明的是，Smith的专业化并不涉及协调。
466Demsetz(1991:172)认为，沟通在于给予指挥。
467当然，Grant(1996)发现，在知识基础的企业中，只有一种整合机制与层级相容，即“通过规则和指示的整合”(ibid.:118)。
468要设想一个根本不存在操作连续性的经济效益的世界是困难的。这种困难与设想完全不存在纵向一体化时相应的困难是一致的。
469从个人交换推导出企业的起源和性质的传统做法，系基于一种方法论上的自由放任主义，在此种自由放任主义中，经济代理人的偏爱和特性被假定为外生的，这是该理论的基本论据。
470Dietrich(1994/1999:51)给出了Coase对生产忽视的解释。联系(1)是有关签订和执行契约以及组织活动的联系，因而是交易成本和组织成本在其中被决定的活动场所。联系(2)与生产—销售的技术活动有关。交易成本经济学假设管理活动与技术活动是可以分开的，以便保持效益的外生性(Dietrich,1994/1999:51)。
要素投入――要素服务――生产和（或）销售
(1) (2)
471因此，可以说，Coasian企业的创新角色在于交易成本最小化。
472一般来说，激励设计有两个方面：一是代理理论中的理性偏好一致，即在可观察的世界状态中，权变收益的分配，使得代理人的长期、反思性选择与委托人的目标一致。二是冲动控制——在具体的时间和情境中确定支付以最大化员工的行为修正效应。
473当目标是动态灵活性时，激励机制应当允许企业以连续地以及令人满意和协调的方式反应于变化的市场——如何促进地方学习和多样化，同时维持企业内协调；如何确保激励培育行为和过程中的协调等。
474当不存在信息的复杂性时，所有的能够得到的信息都能被利用，这意味着对现实的不成问题的理解。在这样一种情况下，意见不一系基于不同的信息输入和目标或偏爱，而不是不同的理解。由于信息的复杂性，个人必须理解其世界，因此，即使具有同样的信息，在理解上的差异也是能够存在的。
475Williamson(1975;1985b)强调了在信息加工活动中的学习。
476Williamson(1996:149)提出，即使层级是由契约创造的，但是，层级不是契约关系，而是一种后契约的规制，用来处理既不能由复杂契约充分定义的不完全内容，也不能通过将关键决策权给予关键资产的所有者进行解决的问题。
477Williamson(1985b:46)认为，经济化有限理性采取两种形式：一种关心决策过程；另一种涉及规制结构、使用解决问题的启发式，是决策过程反应。
478即效率企业生存的假设。
479Williamson(1985b:48)认为，倘若不是因为机会主义，则一切行为均可用规章加以管理。此外，也无需进行周密的预先规划。事先未料到的事件可用一般规章加以处理，而有关各方同意接收具有使共同利润最大化性质的行为之约束。
480即越监督，个人感到越不信任，就越容易机会主义。Milgrom&Roberts(1990:79)认为，企业集中权威的增加，也增加了干预的自由处置权，这种增加的权力存在更分散情境中可避免的成本。
481即能够准确测量结果和行为，以避免机会主义。
482在Williamson看来，市场总是拥有较低生产成本。
483Williamson(1985b:61)认为，从更一般的意义上说，目标并不是节约交易成本，而是既要节约交易成本，又要节约新古典学派的生产成本。因此，需要评估，交易成本的节约是否以牺牲规模经济的节约为代价而实现的。事实上，联系交易成本和新古典生产成本是自相矛盾的，前者以有限理性维假设，后者则对此不加考虑。
484即不变的组织特征、组织因素、技术因素和（或）产品市场因素必须能够分开。
485如果交易成本为零，应该存在多少企业取决于规模经济和范围经济的考虑，但是，每个企业比交易成本为正时更倾向于专业化。在这里，“专业化”是指生产集中于少数物品上。
486因为所有的交易成本都是基于信息成本，随着时间和学习，契约各方获得了相互行为的信息。更重要的是，交易各方将逐步发展减少交易成本来源的制度安排更具体的。关于稳定环境中的重复的交易，可以预期，契约变得“自我加强”，因为声誉效应以及通过互利和合作形势的演化，要挟和道德风险问题将减弱。从长期来看，交易成本起到很小作用。在反复的相互影响中，囚徒的两难(PD)博弈中的各方学会了合作(Axelrod,1984)，导致协调博弈的浮现。
487当企业以牺牲动态机遇为代价而重视静态效率时，交易成本经济的分析不一定必然是恰当的，因为企业的效益也与垄断势力有关。例如，Teece(1986)的可供专用性问题。
488如果交易成本经济学采用一种节约（利润最大化）观点的话，它将不能解释管理机构的演变。除了其他问题外，该观点必须承认改变管理机构效益的必然性。但是一旦承认了这一点，就会遇到整整一系列的问题，它们将危及利润最大化这一假设。
489需要说明的是，与一般均衡理论不同，Williamson应置于解释的历史演化模式中。
490值得注意的是，企业文化并不等同于连贯性。
491坚持“生产”范式的企业知识基础观点，在规范性要求中存在问题。例如，关于内部组织，知识基础论并不使用激励机制和控制，相反，在努力建设“共享的情境”。这种“共享的情境”不仅作为协调装置，更重要的是影响雇员的价值和目标。
492Grant(1996:113)承认，企业存在的这种理论基础可能被批评为Coase/Williamson的交易成本理论的特例。
493Levinthal(2000:366)提出，当契约理论家谈论“契约”、“激励”、“队生产”等问题时，他们都知道自己谈论的是什么，并知道在这一研究领域的其他学者同样在很大程度上以这些概念来分析说明问题，且在这一研究领域，有众多的研究成果可以供大家分享。但是，核心能力的通行概念是不清楚的。
494例如，Conner(1991)发现，RBV与新古典、SCP产业组织、Schumpeter、Chicago学派等有关。企业的知识基础观点可以看作是认识论、组织学习、企业资源基础论、组织能力、创新和新产品发展等研究流派的结果(Grant&Fuller,1995)。
495例如，知识基础观点坚持知识的相似性来确定企业的边界，但是Richardson(1972/2000:20-1)承认，“存在企业活动组合相似的强趋势。……不必否认，组合活动提供了各种潜在收益，不必考虑其特征”。
496Langlois(1998:186)认为，生产成本决定技术（替代）选择，交易成本决定生产过程的制度分配。显然，技术和制度的关系是复杂的(cf.Nelson,1995)。
497缺乏企业的准确定义正是Coase和Knight的讨论以及近年来有关企业的许多文献的特征(Demsetz, 1997/1999:7)。
498我们同样认为，RBEP与新(Neo)制度企业理论有关。这种企业理论试图发展一种真正的动态理论，在这种企业中，路径依赖、锁定效应等都是非常重要的。
499知识基础观点在承认有限理性的同时，却意识不到或者拒绝程序理性，从而使知识失去了可操作性。
500信息不对称与知识默会性是两个相关但不同的概念。知识的默会性主要无法解释性障碍而客观地造成的，不是主观故意行为。而信息问题被看作冲突的代理人有意战略误解的结果，而不是个人和组织的认知或组织限制的内在结果。
501知识协调必然意味着集体知识基础的发展。在这方面，Hayek(1945)最早给出了的洞察， “我们必须使用的关于环境的知识从来就不是以一种集中的或一体化的形式存在的，……社会经济问题并不仅仅是一个如何配置‘给定’资源的问题。……相反，它是一个如何能最好地把……资源用于知道资源相对重要性的人的目的的问题”(ibid.:519)。
502这种建构主义做法已有先例。例如，Mouzelis(1995:ch.6)认为，社会实践由三个维度即社会位置或角色维度、特质维度、相互影响—情境维度构成；Tsoukas(1996)对知识的研究也提出了类似的构建主义观点。
503在这方面，Suchman的认识与我们一致，Suchman(1987)认为，有形资源是一种结构化资源。
504与我们观点一致的Nelson(1994:44-5)认为，能力×激励×工作条件＝执行。Cohen et al.(1996)也认为，惯例存在结构维度，涉及制造设备的布局、工作由个人还是团队进行、横向或者纵向的协调、来自上游或者下游的准时制程序。
505Tsoukas(1996:22)认为，企业只能控制社会位置（规范期望），而不能控制特质维度，相互影响—情境维度事前是不能充分知晓的，但是由实践者面临地方情境时主动形成。
506需要说明的是，这里所说的连贯性不同于Teece et al. (1997)的连贯性概念。Teece et al. 的连贯性概念是指知识用于不同业务和产品的程度。
507Mahoney&Pandian(1992:368)提出，竞争性协同是指在创造价值又有相互竞争的资源中存在着联合；特殊性协同发生在增大了的产出被认为是那些被结合起来但又无法相互替代的资源的特殊产权之际。
508我们认为，一个企业并不只靠获得一切“成份”，即使它也有“食谱”，而变得能够实际完成生产。一个企业要完成的事的中心是协调配合，而协调配合的中心是各个成员知道他们的工作，正确地解释和响应他们收到的信息。成员们对信息的解释是一种机制，它从与成员的演出节目单一致的一大堆可能性中，挑出一组个人成员要完成的事，这些事实际构成整个企业要完成的生产。在上面的描述有效的范围内，技巧、组织和“技术”在发挥功能的惯例里紧密地交织在一起，很难准确地说，一个方面在何处结束，另一方面又在何处开始。某一部分必需的、协调配合的信息，可能以明确的、清楚说明的形式，在成员之间交流，但仍沉重地依赖于名义上为其他直接生产目的服务而完成的事情中隐含的交流。不需要详尽无遗地用符号来说明组织的方法。
509来源于Coriat&Dosi(1998:116)。
510一个过程理论由解释一个过程如何和为什么随时间展开的陈述组成(Van De Ven,1992:174)。
511这里只是对交易进一步微观化，而不是解释惯例在减少机会主义等方面的作用。有关惯例在减少机会主义等方面的作用详见第3章。
512显然，在惯例中，契约理论提出的生产和交易的启发式区分失去了力量和合理性。
513事实上，在知识基础观点的分析框架内，要致力于产业惯例的研究是困难的。
514详见第9章分析。
515来源于Nonaka et al(2001)提出的超文本组织。
516即资产专门化。
517依存性是指为获取资源和材料以完成工作的部门之间的彼此相互依赖的程度。
518最低的依存形式，工作不能在单位间流动，每个部门都是组织的一个部分并为组织的共同利益服务。
519即具有序贯形式，一个部门的产出成为另一个部门的投入。
520即最高水平的依存性。存在比较复杂的关系。
521来源于Ven De Ven et al.(1976:330)。
522我们将在第9章作进一步的说明。
523事实上，内部选择的存在，还解决了内部市场对现代Coasian企业理论的矛盾。
524Silver(1984)认为，Schunpeter(1934)的理论启发了建立在协调成本基础上的纵向一体化战略理论，他从研究具有质变性质的创新变革开始，他提出，一项变革要想得以成功，还必须有一些行为活动作补充。如果变革性活动本身确实具有全新性质，那么互补性活动也必须是全新的。企业的问题在于如何产生出这些全新的特殊活动。要想通过市场交易实现这一点，企业不得不说服其他拥有所需能力的企业参与其中，由于创新性的观念在实践中没有尝试过也没有准确的特征性定义，因而说服工作非常艰难。而且，需要创新者潜在的合作伙伴投资于专用性资产，说服他们在一种虚构条件下承担不可还原性投资风险的成本很大。结果是创新性企业独自投资于这些专业分工活动，并把相关的能力直接分配应用于企业内不同部门，这比通过市场交易进行要廉价得多。在Silver看来，内部化的收益基本上是信息性的，因为创新者可以用比向契约人详细解释最终产品的专业化分工更容易、更廉价的方式组织内部生产过程和直接监督雇员。这种内部组织同样有管治成本：创新企业可能会陷入自身能力不能很好满足拟加工的主要产品的要求的境地。一个典型事例是Ford公司在改进装配线后，被迫自己独立开发了许多工作母机，因为专家们认为母机生产厂家生产的机床不能满足Ford公司专业化分工的需要(cf.Langlois&Robertson,1989)。
525Young(1928)和Stigler(1951)早就提出，假定企业开始是整合的，如果增加的产出导致了差异化，那么，生产过程各个阶段的分裂会成专业化的关心。
526我们将在第7章进行深入分析。
527有关组织学习的内容详见第7章分析。
528有关企业发展的路径详见第7章分析。
529有关选择制度详见第7章分析。
530有关主导逻辑详见第7章分析。
531信息处理，即对企业发觉的环境信号的最佳反应。知识处理，即设立、建设、选择、使用和发展知识的地方，更敏感于共享和分配知识，而不是信息分配。
532对企业发展的这方面认识，最早可追溯到Smith(1776/1999)和Babbage(1833)。
533Schumpeter(1934/1990:73-4)认为这个概念包括下列五种情况：一是采用一种新的产品——也就是消费者还不熟悉的产品——或一种产品的一种新的特性。二是采用一种新的生产方法，也就是在有关的制造部门中尚未通过经验检定的方法，这种新的方法决不需要建立在科学上新的发现的基础之上；并且，也可以存在于商业上处理一种产品的新的方式之中。三是开辟一个新的市场，也就是有关国际的某一制造部门以前不曾进入的市场，不管这个市场以前是否存在过。四是掠取或控制原材料或半制成品的一种新的供应来源，也不问这种来源是已经存在的，还是第一次创造出来的。五是实现任何一种工业的新的组织，或打破一种垄断地位。
534事实上，企业发展的随机特点是解释不同企业发展的一个重要方面。从这个意义上说，企业发展带有一定的幸运(Luck)因素。
535Hodgson(1993:253)提出，广义上说，制度是指人们在相互作用中形成，具有惯例和持续性质，共同拥有的思想的行为和习惯的模式。
536Mattews(1984)发现，环境（制度）决定了外部性的程度和性质。
537转引自芮明杰和袁安照(1998:3)。
538或称为狭义寿命周期模型。
539Greiner把企业的变动分为两种不同形式：演变和变革。“演变”一词用来叙述那种长的成长期，其中，企业实践没有发生过大的动荡；“变革”一词则用来叙述企业中那些重大的动荡时期。
540来源于Dodgeet al.(1994:124)。
541来源于Adizes(1979)。
542来源于Adizes(1989/1997:10)。
543来源于Adizes(1989/1997:222)。
544Penrose(1959/1995:25)提出，资源产生的服务是资源使用的一种函数——当用于不同目的或者不同方式，并且与不同类型和数量的其他资源联合时，同样的资源提供了不同的服务或者服务集。资源和服务区分的重要差异不在于它们的相对持久性，而在于资源由潜在服务集组成，并且绝大部分能独立使用而定义，但是，服务不能这样定义，“服务”一词意味着一种功能、一种活动。
545Penrose(1959/1995:49)认为，对企业扩张的管理限制性质有两个方面：一是现有管理组可供应的服务限制了计划的扩张数量，因为所有的扩张计划吸收一些管理服务。二是既定时点计划的活动数量限制了在下一时期盈利地吸收新人员的数量。
546另一方面，对于任何程度的不确定性，管理服务的供应将决定企业家型企业从事扩张的数量。解决不确定性问题的成本，可以想像为所需要的管理服务。但是不确定性对扩张的约束效应取决于满足其的资源可供性(ibid.:64)。
547Penrose(ibid.:66)认为，在任何时候，企业将有大量在一个或者更加专业化方向扩张的诱因，但同时，也存在在既定方向上的克服计划和执行扩张计划的大量困难。诱因和困难来自企业的外部和内部。当外部诱因和困难已经得到广泛讨论后，很少有系统的方式关注同样重要的对扩张方向的内部影响。
548Penrose(ibid.:134)认为，企业的经营活动离自己拥有的独特专业化领域越远，为了保持和获得用于应付现有产品和市场形势的能力以及为了保持竞争力，企业进行适当调整和变革所必需的能力等所需付出的努力就越大。
549即企业总的服务和适合现存情景活动层面运作所需的服务的差异。
550即每一美元扩张所需要的管理服务。
551Penrose认为，企业发展速度的下降可以是非常缓慢的，原因主要在于企业的投资支出，即从假定有利的投资的企业活动，转向企业外部投资。
552来源于Kay(1997:217)。
553来源于Pettus(2001)。
554此表在Ansoff(1965)的基础上形成。
555Penrose(1959/1995:xii)提出，企业的有经验的管理资源对于有效吸收外部管理者是必需的。因此，具有这种经验的“遗传管理者”的可供性限制了任何时候计划和从事的扩张量。
556Nelson(1991:67)承认，“带着事后聪明的想像，显然，由于没有充分学习Chandler的著作，特别是Chandler(1999)，我们那时的研究（即Nelson&Winter(1982/1997)）受到了阻碍”。即Nelson&Winter(1982/1997)未发展的领域，是Chandler(1962)的层级工作。
557Penrose(1959/1995:xi)提出，如果企业变得很大，以致达到了其协调可行的点，企业的定义就不再持有，组织发展的分析就需要按照不同的方式分析。
558根据Penrose的逻辑，企业的资源越多，企业越容易发展。
559事实上，每一个有经验的管理者都知道，假定企业的(Penrose)发展轨迹无限持续是不可能的。
560Prahalad&Bettis(1986:492)认为，主导逻辑和主导范式在概念上相似的，只是应用的领域不同。
561需要说明的是，Prahalad&Bettis(1986)最早是在多元化的研究中提出了主导逻辑或者准确地说是主导一般管理逻辑的概念。Prahalad&Bettis(ibid.:490)将其定义为管理者概念化业务和做出关键资源配置决策的方式，主导逻辑被认为是知识结构和一组精英管理的过程。这样，最早的主导逻辑概念就不仅仅是企业的主导性陈述性知识，还包括企业的多元化投资惯例。我们认为，这种主导逻辑(Prahalad&Bettis,1986)是认知陈述的观点，即假定管理者的世界是预先给定和定义的。
562来源于Bettis&Prahalad(1995:7)。
563Gleick(1987)提出了蝴蝶效应，即一只蝴蝶在世界的某一部位拍动翅膀，可以对几天后世界其它地方的其后产生很大影响。这就是初始条件敏感性依赖的例子。
564Simon(1976/1988:57)明确指出，政策是等同于“价值”的。
565Daft&Weick(1984)发现，高层战略管理者的个人解释能够被期望集中为组织的解释，因为战略管理者使用了与其做出个人解释同样的认知格局。
566值得再次强调的是，Penrose发展使利用在资源本身或者资源体现的管理情景的内在互补性，Schumpeter整合创造否则就不存在的新的互补性。
567事实上，当考虑到演化观点的Schumpeter先辈，在企业的演化理论中忽视企业家是悖论的。
568事实上，主导逻辑的Schumpeter突变与组织转型密切相关。Aldrich(1999:165)认为，转型的实质是组织中的大的变化，涉及现存惯例的突破，并转移到挑战组织知识的新能力。
569这里对企业发展失败的理解是广义的，涵盖除属于企业发展以外的所有方面。
570需要再三强调的是，突出企业行为的可预见性，并不等同于强调企业行为结果的可预见性。
571Hannan&Freeman(1984:154)提出，可靠性意味着产生集体行为，并带有相对小的性质差异；可解释性表示企业能够形成内部一致的论断，即恰当的规则和程序的存在可以复制资源的理性分配和恰当的组织行为。
572Collis(1994)认为，位置性能力执行企业的基本活动，创新性能力（动态能力）释放了对企业活动的动态改进，创造性能力负责解释新的战略洞察。
573事实上，我们发展了奥地利经济学的观点。奥地利经济学(cf.Kirzner,1992;O'Driscoll&Rizzo,1996)认为，企业的创新过程既不是决定性的，也不是随机的。我们提出，企业的创新过程可以是决定性的，其结果则是事前未知的。
574Teece et al.(1994:21)认为，这种技术机会和公共知识通常是基础科学涌动和多样化的滞后函数，也在于“客户—用户的发明”，并受连结基础研究机构（主要是大学）和企业的组织结构影响。
575Simon(1962)最早把组织层次的学习动力和演化理论联系起来。
576G＝a1Gt-1+a2Et-1+a3Ct-1
其中：a1+a2+a3＝1；
G是组织的目标，E是组织的经验，C是可比较组织经验的概括。
577Cyert&March(1963/1992:173)认为，注意规则的适应是指在通过明确的可测量标准的执行评估中，组织学习注意一些标准，而忽视其他标准；组织学习注意与其比较性环境相关的一部分，而忽视其他部分。
578Cyert&March(1963/1992:174)提出，如果我们假定搜寻是问题导向的，我们必须假定搜寻规则是变化的。当一个组织通过一种具体的搜寻方式发现一种问题的解决方案时，未来同类问题的搜寻更有可能采用此方式。
579实际上，单循环学习是Bacon逻辑，双循环学习是Popper逻辑。
580事实上，活动是惯例的显性，而经济活动的根本特征在于提供学习的机会。
581来源于Noda&Collis(2001)。
582来源于Foss&Eriksen(1995:56)。
583Porter(2000:246)认为，所谓群聚区是特定领域里相互联系的企业和机构在地理上的集中。
584演化传统的以前研究已经显示，适应激进技术不连续的失败常常源自学习过程的地方性，并且随后来自组织惯例的相对刚性(Teece et al.,1994)。在这一传统中，“很少重点关注管理认知在驱动动态能力中的作用”(Tripsas&Gavetti,2000:1157)。例如，Cyert&March(1963/1992:172)认为，组织随时间而显示适应性行为，我们相信有可能涉及在组织累积水平的适应。
585与此不同的是，Levinthal(1996:31)认为学习和适应是相互替换的，但是意味着相当不同的过程。适应的出现被定义为一个组织改变其战略、结构或者一些其它核心属性以适合一些新的环境权变。显然，Levinthal的适应就等于探究。
586值得注意的是，Barnett et al.(1994)对Illinois的零售银行业的绩效差异的实证还表明，追求多单位、多市场位置优势的企业，往往减少了学习能力。即企业越能减少竞争压力，就越是缺乏改进活动的激励，从而减少了适应性，企业的有效复制能力不断降低。
587来源于Porter(1980/1997:3)。
588来源于Porter(1990:127)。
589规定维度指反映在具体国家环境中的约束行为的现存法规。
590规范维度反映既定国际个人拥有的价值和规范。
591见图5.15。
592显然，对RBEP来说，企业的初始的资本化、企业的遗传资本结构是重要的。
593即显示市场的关键需求和企业的特殊能力之间的适应是最佳的有限的时期。
594即所谓的“战略前提表面处理法”：将各分析人员所采用的假设前提明确表达出来；基于这些假设前提与以这些前提为基础的政策之间关系，系统的比较、分析这些前提；考察这些假设前提与以这些前提为基础的政策之间关系。
595所谓租金是收入超过资源所有者的机会成本(Tollison,1982)。
596Rumelt(1984)曾经提出以规制观点作为战略研究的基础，但是，事实上，组织经济学的战略启发式却至多是激励一致的问题。
597来源于Ansoff(1987)。
598此外，组织生态理论(Hannan&Freeman,1977;1984;1989）也坚持类型学的观点。严格意义上说，类型学和人口学的的概念正是出自组织生态理论。组织生态学的有关内容已在第2章进行了分析。
599不完全竞争或者垄断竞争理论的分析方法基本上沿袭了完全竞争理论的静态分析方法，技术进步被排除在分析之外，对竞争过程主要采取了静态观察方法，把竞争只是视作一种新的静态形式而不是作为一个动态的过程。
600垄断竞争优势是指面对向下倾斜的需求曲线，厂商能够通过控制供给数量（或者说供给价格）从而获得经济利润。
601值得注意的是，Harvard学派的产业组织理论通过研究SCP这三者关系，一开始主要是为制定反托拉斯等产业政策提供依据的，例如，其业绩的衡量除了效率以外，还涉及公平、质量、技术进步等因素。
602来源于Scherer(1980:4)。
603从这个意义上说，I/O比新古典经济学明显有更丰富的企业间差异的概念。
604Porter(1980/1997:129)提出，战略集团实质是由某一产业中的在某一战略方面采用相同或相似战略的各企业组成的集团。
605来源于Porter(1991:100)。
606来源于Porter(1985/1997:6)，略有改动。
607事实上，除了Porter(1980/1997)提到企业的资源或者强项以外，Poeter(1985/1997)、Porter(1991)、Porter(1996/2000) 的分析已经没有资源的位置。
608在这方面，甚至RBV也承认，“为了分析的目的，Porter的五力分析将使用……供应商和购买方的侃价能力以及替代资源的威胁”(Wernerfelt,1984:172)。
609例如，Porter(1980/1997:149)认为，企业的强项有：建立移动壁垒保护其战略集团、增强集团与供应方侃价实力、避免集团与其它企业间的争端、相对于其战略集团有着较大的规模、以比其它企业更低的成本进入其战略集团、相对其竞争对手有强大的贯彻执行既定战略的能力。
610有关价值链和以活动为分析单位的问题，下面还将继续讨论。
611当然，与产业结构的环境分析相比，Porter的钻石体系提出了结构分析忽视的新问题，例如，发展和培育本国供应商的重要性、地方专业化因素市场的重要性、本国活动和全球活动配置等。
612我们的分析将表明，RBV和CP不是完整意义上的人口学观点，所以称之为准人口学。
613来源于Grant(1991:118)，略有改动。
614更早还能追溯到Marshall(1920)，理论上，Marshall把每个产业都看做是由一系列在规模、年龄、知识、组织等方面都不同的异质企业组成的。例如，他提出的代表性企业的概念就说明了这一点。
615值得注意的是，Penrose却在过程研究中坚持了完全理性和最大化假设，放弃了环境的分析。
616但是放松了完全竞争模型。
617Demsetz认为，SCP模型没有考虑信息成本，会严重歪曲对产业图景的认识。Demsetz发现广告等进入壁垒是信息性质的，换句话说，是以效率而不是垄断为基础的。
618最早始于Rumelt(1984)和Wernerfelt(1984)的研究。
619从资源异质的角度说，战略博弈理论的观点也是属于人口学范式的，但是，资源异质只是作为企业博弈行为的基础，而并未受到充分重视。我们将在第2节进行分析，这里从略。
620Foss(2000:12)区分了均衡经济学导向的RBV和过程导向的RBV，Levinthal(1995:23)认为，RBV有两个分支：即强调理性选择和均衡的“高派”(High Church)和仅强调以异质和因素投入不完善的“低派”(Low Church)。显然，Foss和Levinthal与我们的观点一致。还要说明的是，在第6章中，我们把RBV、CP统称为知识基础观点，主要是为了分析企业性质的方便，而没有涉及到竞争优势分析。而事实上，在研究竞争优势方面，却是RBV、CP的强项。例如，(Foss,1996/1998a:15)说，“企业能力理论是一种战略观，……试图寻求企业竞争优势的源泉并以企业管理资源理论来界定企业的外延”。
621Barney(1992)还识别了组织导向的维度，即利用战略资源是组织导向的。
622在类似的意义上，Collis&Montgomery(1995/2001:39)认为，一种资源能否成为有效战略的基础，必须通过一系列外部市场对其价值的测试：一是独特性测试，即这种资源是否难以模仿（稀缺）；二是持久性测试，即这种资源多久就会贬值（稀缺）；三是专用性测试，即能否独占资源所创造的价值（专用性）；四是可替代性测试，即一种独特的资源能否被另一种资源胜出（稀缺）；五是竞争优越性测试，到底哪家企业的资源更有价值（需求）。
623准租指当资源具有专用性时，资源使用的事后最优和次优（或残值）的价值差异，又称为Pareto 租金。
624需要说明的是，隔离机制是指“限制企业间事后租金均衡的现象”(Rumelt,1984:567)，而进入/移动壁垒是产业（战略集团）成员的集体资产。这些资产的投资服从搭便车。
625Barney(1986:1234-6)提出，缺乏分割、独占性、缺乏进入、缺乏理解等形成的战略因素市场的竞争不完善，可以归结为预期和运气。
626来源于Barney(1991:112)。
627来源于Peteraf(1993)。
628例如，Hamel&Prahalad(1994/1998:217-20)提出，识别核心能力需要三项考验：一是用户价值，即核心能力必须特别有助于实现用户看重的价值。二是独特性，即从竞争角度看，还必须是独树一帜的能力。一种能力要成为核心，不一定为某家企业所独占，但如果为整个产业普遍掌握，就不能成为核心。三是延展性，即有的专长在某一业务看来可能算得上是核心能力，但是如果不能从该项能力衍生出一系列新产品和服务，那么从企业的角度看，该能力就够不上是核心能力。
629来源于Bogaert et al.(1994:61)。
630来源于Foss&Foss(2000:58)。
631Bowman&Ambrosini(2000)区分了使用价值和交易价值，前者由客户主观决定，后者在销售时实现。
632这样，RBV和CP就常常定位于“环境观点的替代”(Cockburn et al.,2000:1127)，而不是真正意义上的人口学。
633根据Barney的“有价值资源”是指“能使企业想像或者执行改善效率的战略的资源，（依靠这种资源）能够（使企业）在环境中利用机会并化解风险”；竞争优势是指“执行一种价值创造战略，并没有同时为目前或潜在竞争者执行，同时当其他企业不能复制这种战略的优势”的定义，Priem&Butler(2001a)将其转化为下列命题：
使企业能够想像和执行价值创造战略的的非通用组织特质，是执行没有同时为任何当前或潜在竞争者执行的价值创造战略的一种来源；
使企业能够想像和执行改善效率的战略的非通用组织特质，是企业能够想像和执行改善效率的战略的一种来源；
利用机会和化解威胁的非通用组织特质，是执行没有同时为任何当前或潜在竞争者执行的利用机会和化解威胁战略的一种来源。
显然，这是一种同义反复。
634事实上，这种方便管理却不能替代竞争优势的来源。
635Levinthal(2000:366)也认为，如果一个组织中存在一种核心能力和其他惯例集之间的重要互补，那它将获得竞争优势。
636在这方面，Collis&Montgomery(1995/2001:46)也认为，“有些时候，有价值的资源是各种能力的综合，尽管每种能力本身并不出色，但它们结合起来，却是一个不错的整体”。
637如果一个企业只能把一种特殊能力与其他能力结合起来，则这一能力可能会发生贬值，因为其他能力是内在或辅助性的，对竞争者或潜在竞争者来说是一种劣势。
638例如，Porter(1996/2002:19)发现，对于西南航空公司的核心竞争力是什么以及它成功的关键因素是什么等问题，正确的答案是每一件事都重要。西南航空公司的战略涉及全部经营活动，而不是其中的一部分。它的经营优势来自于经营活动的适应性与相互加强的方式。
639详见竞争优势的RBEP解释。
640事实上，这正是流程再造的一个重要选择内容。详见第10章分析。
641特别是与“创新的瓶颈资源”(Teece,1986)互补。
642事实上，连Wernerfelt(1995::257)也意识到，VRIN只是Platonic理想。
643关系能力将产生关系租金(Dyer&Singh,1998)，即由伙伴企业共同产生和拥有。
644RBV认为，单个企业应当试图保护、而不是共享有价值的专有Know-how，以防止知识外溢(Dyer&Singh, 1998)。
645由于研究中出现的这种同义反复，RBV就很少再关心竞争优势的动态，而是关心竞争优势的持续。
646Seth&Thomas(1994/2000:382)发现，战略文献最近争论的一个问题是I/O框架和RBV在理解企业持续竞争优势的相对用途。
647Bowman&Helfat(2001)提出，由于统计方法和样本选择问题，企业的效应还大大低估了。
648Porter(1996/2000:21)识别了三种活动适应性：一是各种经营活动（职能）与总体战略之间的简单一致性；二是经营活动增强时出现的适应性；三是超出经营活动增强而达到的努力最优化。
649值得强调的是，RBEP对竞争优势的认识，不是对类型学和准人口学观点简单的调和，而完全是其内在的分析机制优越性。
650需要说明的是，战略研究分为战略过程和战略内容。战略过程研究关心“企业的管理系统和决策过程如何影响其战略位置”(Chakravarthy&Doz,1992:5)，战略内容研究致力于“企业的范围（企业竞争的市场联合）和在单个市场竞争的方式（业务层面的竞争战略）”(Montgomery et al,1989:159)，即主要关心相对环境的企业有效定位。这表明，定位对战略研究来说是非常重要的。事实上，在表8.3中，对战略作为定位的认识是最多的。
651Williamson(1991)区分了战略化和经济化，所谓战略化行为是指“采取业务行为使竞争者不接近平衡，提高其成本，排除新的进入者”(Teece et al.,1997:509)，或者说企业通过从事行为活动，影响竞争对手对自己未来行为的预期来实现对竞争对手行为的巨大影响。
652在这方面，Mintzberg也强调了战略的本质需要互补。
653来源于Mintzberg et al.(1998/2002:9)。
654设计学派最早还可以追溯到Selznick(1957)和Chandler(1962)。
655转引自Mintzberg et al.(1998/2002:20)。
656来源于Andrews(1971)。
657例如，Raimond(1998/2000:263)给出SWOT的逻辑是：企业的目标就是通过利润最大化，进而实现股东收益最大化；分析企业的优势和劣势，要尽量客观地分析；分析外部环境中的机会和威胁，要客观、切合实际地分析；战略是良好的分析技术和认真分析过程的必然结果。
658即战略制定由高层管理者完成，以正式分析为基础，通过有意识的思维活动完成，战略执行是从上向下进行的。
659来源于Steiner(1969:33)。
660来源于BCG(1970)。
661在这方面，Williamson(1985)认为组合管理基本上等同于微型资本市场。
662来源于Kotler(1994/1997:107)，略有改动。
663有关SBU和核心能力的战略观详见CP战略范式。
664PIMS是1972年发展起来的，开始是专门为GE公司服务的，后来成为一个可以出售的独立数据库。
665虽然仅凭Porter(1980/1997;1985/1997)就认为出现了定位战略范式未免草率，但是Porter倡导的定位战略分析框架，却导致了定位战略范式的形成和发展。
666Bain假定一个垄断者感兴趣能够排除新进入者的定价战略，在这种情况下，存在许多可行战略。
667经济学研究的强项一直是在市场方面，而明显胜于组织行为学、心理学等，因此，Porter率先将I/O引入战略内容研究也是正常的。
668需要注意的是，Porter(1980/1997)著作的题目就是“竞争战略：分析产业和竞争者的技巧”。
669Porter(1980/1997:150)认为，企业的战略集团选择有：建立新的战略集团；转移到处境更佳的战略集团中去；加强企业所在集团的结构地位或企业在该集团中的地位；转移新集团并加强该集团的结构地位。
670例如，规模经济、学习、生产能力利用模式、联系、相互关系、整合、时机选择、自主政策、地理位置和机构因素(Porter,1985/1997:69)。
671例如，政策选择、联系、价值链之间的联系、供应商联系、销售渠道联系、时间性、位置、相互联系、学习、一体化、规模、制度因素(Porter,1985/1997:127-31)。
672这种认知同质性，不但体现在对产业/战略集团结构的客观认知，更加体现在将要分析的通用战略的设计上。
673由于不承认战略学习，Porter(1996/2000)甚至认为日本企业很少有战略，他们都必须学习战略。
674有关战略是计策的问题详见博弈战略范式。
675来源于Porter(1990:39)。
676或者说基于竞争战略的专业化的出现或缺乏，范式的绩效理论（即选择三种战略能取得超额绩效）不能提供一致的解释表明，绩效的权变理论提供了竞争战略起源的更强有力洞察(Campbell-Hunt,2000)。
677即由于共同的客户、渠道、技术和其它因素的存在而使相关业务单元之间的价值活动有可能共享(Porter,1985/1997:329)。
678即涉及不同价值链之间管理专用技能的转化(Porter,1985/1997:329)。
679即源于竞争对手的存在，竞争对手实际或潜在与企业在多个产业内竞争(Porter,1985/1997:329)。
680即新单元必须从与企业的联系中获取竞争优势。
681Itami(1998/2000:68)认为，互补效应主要是通过对可见资产的使用来实现的，协同效率则主要是通过对隐形资产的使用来实现的。
682来源于Porter(1987:53)。
683Porter(1991:98)又将其称为专家系统。
684值得注意的是，Porter的产业演变的分析方法关注的是外生的产业变化，企业“要敏锐地察觉引起产业演变的外部力量”(Porter,1980/1997:184)，而区别于演化经济学的分析方法。
685我们认为，产业结构分析很适合描述什么是竞争因素。随着竞争因素的增强，企业先后被告戒要“在时间上求快”，“要顾客导向”，要努力创造“六个标准差”，要采取“同步工程法”或追求其他许多吸引人的优势。然而，由于这种分析将全部注意力都放到探讨成本、质量、顾客服务、新产品上市时间等具体优势上，对“为什么”的问题反而在很大程度上没有进行回答，应重视的不是“什么”是产业结构，而是为什么“产业结构要重组”。
686由于定位战略的本质是定位，而根本无视战略作为观念，因此，要求其提出分析未来产业的工具既不是其理论任务，也显得勉为其难。当然，当我们面临的问题和机遇有好几个战略方案时，定位战略工具还能帮助我们分析各种战略方案，并做出最佳选择。
687事实上，Porter(1985/1997)的价值链的思想也启发了我们对RBEP分析单位的寻找。
688定位战略范式假定在既定的产业/战略集团结构前提条件下，只有通用的战略，是企业无法改变的。
689因为在这些研究活动中，用到的硬数据最多。
690例如，新I/O的大部分工作涉及规定竞争企业之间的博弈，使用Nash均衡或其优化的非合作性解决概念，来解决博弈。Shapiro(1989:125)认为，使用各种形式的博弈以模型化战略影响，能够迫使分析者认真思考和准确了解竞争的具体性质。
691Shapiro认为，由于放弃了对统一寡头垄断理论的追求，不同博弈理论模型的预测多样性反映了对业务战略理解的深化。
692Shapiro(1989:132)认为，长期的战略决策充当承诺，决定了直接影响企业短期或者策略决策的状态变量或者资产的运行。
693需要说明的是，博弈战略范式承认在博弈中企业可能涉及Bayesian学习，但是这种学习功能从来都不发生变化，因此，不是基于不确定的组织学习。
694Prahalad&Hamel(1990:81)认为，NEC超越GTE，是因为它将企业视作能力组合而不是业务组合。
695这一事实只是表明，企业的自身优势可能比整个产业的大势更为重要。
696显然，如果说资源精选技巧能影响企业的竞争优势，那么，这种优势必然发生在企业实际拥有资源之前。
697事实上，在完全理性和均衡的假设中，战略学习本身也是多余的。
698Mitchell(1989)的研究发现，随着技术的不连续性，企业拥有更多产业专门资产或者能力，就更可能进入产业中的浮现技术领域。这就是说，选择多元化进入的时间与资源有关。
699Peteraf(1993:187)认为，通过VRIN分析，管理者将更清楚地认识其情境是否满足持续竞争优势的必要条件，并很少犯战略错误。此外，VRIN还能帮助管理者利用其预期优势。
700来源于Wernerfelt(1984:176)。
701当然，比RBV进步的是，正规CP提供了对多元化的理论解释(cf,Teece,1980;1982;1986)。
702来源于Grant(1991:115)。
703Hamel&Prahalad(1994/1998:25)认为，这种战略观较少关注如何去保证目标与资源的完全切合，而较多注意的则是去建立拓展性目标。这种战略观将创造性地不懈追求如何更好地利用资源，以克服资源限制的困难。
704来源于Prahalad&Hamel(1990:86)。
705来源于Hamel&Prahalad(1994/1998:243)。
706来源于Prahalad&Hamel(1994:7)。
707当然，Hamel&Prahalad(1994/1998:140)认为，战略发展框架和战略企图存在不同。战略企图是战略发展框架的核心。战略发展框架可以指明通向未来之路，而为旅途提供情感和知识能量的却是战略意图。但是，方向感仍然是战略企图的主要特征。
708可以看到，这些论文大部分是发表在Harvard Business Review上的。
709事实上，正规理论和非正规理论间的分歧扩大是完全可能的。如果正规的理论变得非常规范、正式和抽象，并不愿意接受实践对理论的重大影响，分歧就会发生。或者说，如果非正规理论要具有自己独特的活力并拒绝接受正规理论研究，同样会发生这一情况。
710培养预见能力的基础(Hamel&Prahalad,1994/1998:87-114)是摆脱既有市场观念的束缚，摆脱现有产品概念的束缚，冲破价格—功能成规、保持孩童般的纯真，培养强烈广泛的好奇心，谦恭有加、方能有想像力，重视多样化的整合，向别的行业寻找榜样与借鉴，敢于唱反调，超越顾客导向，想人之所想。
711来源于Hamel&Prahalad(1994/1008:185)。
712来源于Lowendahl&Revang(1998:764)。
713Knudsen(1996:42)认为，企业能力理论的一个重要缺陷是没有尝试把企业持续竞争优势理论和企业内在成长理论系统有机地结合起来。
714所谓虚拟是指尽量利用市场机制。而战略联盟则涉及企业间协调(Richaardson,1972/2000)。
715这里的专业化是指提供统一产业的产品和服务。
716即所有竞争优势都只是暂时的，故应该故意、经常和不可预测地打断均衡，以产生一系列的临时优势(Lengnick-Hall&Wolff,1999:1112)。
717需要说明的是，Nelson&Winter(1982/1997)发现了演化经济学与组织行为理论的融合，却没有发现认知分析在演化经济学中的重要地位。以致Winter(1987:161-2)认为，在演化经济学的理论天地里，在如此的定义之下，战略分析没有用武之地，尽管实际上这里有足够当然的余地用于事后讨论哪些惯例可被证实是成功的。处于引导现实世界需要的考虑，这种宿命论式的战略观具有严重的缺陷。
718Hax&Majluf(1996:13)也提出，战略的统一定义必须致力于定位范式和RBV范式的争论。
719作为准人口学观点，CP既有改造的必要，也有改造的可能。
720惯例的NK模型分析详见第9章。
721Scott(1998/2002:8-9)认为，直到20世纪40年代，组织研究才作为社会学的一个独立研究领域而存在。伴随着这一新的研究领域的出现，为了使这一领域获得尊重和正统性，便有了一些相关的智者先辈的研究，例如，Taylor(1911)、Barnard、Mayo的著作，都被重新挖掘出来并加以重版。在历经了10来年的实证研究和理论探索之后，由March&Simon(1958)、Etzioni(1961)、Blau&Scott(1962)所著的三部经典著作，对组织研究进行了必要的总结，并引起了更多的兴趣。
722所谓结构，是指一个组织内各构成部分或各个部分间所确立的关系的形式(Kast&Rosenzweig, 1985/2000:283)。
723理性是指其狭义上的技术或功能理性(Mannheim,1950:53)，即理性是指为了最有效地达成预定目标而以某种方式组织起来的一系列行为逻辑。又可称为“工具性理性”(Hargreaves-Heap,1989)。
724例如，March&Simon(1958:4)认为，“组织是互动人群的集合体，是社会中任何类似于集中合作体系中最庞大的集合体……与组织之间和无组织的个体之间的分散变化关系形成对比，在组织中，高度专门化的结构与协作使得单个组织单元成为社会学上的个体，可以和生物学意义上的个体有机体相比”。Blau&Scott(1962:5)认为，“组织的突出特征是因其欲达到特定的目标而被正式建立起来的，即所谓的正式组织”。
725必须注意，这里的目标具体化和结构形式化都是作为变量，因为组织层次有高低之分。
726有关TMS的意义可参见第3章。
727在科学管理方法下，专断特权和专职命令被取消了，每一个问题，大的或小的，都是科学调查的对象，都要按规章来衡量(Taylor,1947:211)，在科学管理之下，企业领导者和工人一样，是由规章和法律约束的，这些法规是通过具体的工作实验得来的，而且，由此发展出来的标准是公平的(ibid.:189)。
728Taylor(1984:80)具体说明了一位合适的工长所应具备的多种品质：脑力，教育，专门的知识或技术知识、受益或体力，机智，充沛的精力，毅力，诚实，判断力或常识，良好的健康情况。
729Bendix(1956:211-2)认为，从历史角度来看，科层制可以被解释为功能的日益细分，而在早期的企业中，这些功能是由其拥有者——管理者在日常生活中亲自行使的。
730Thompson(1967)又把Weber的组织理论称为科层组织理论。
731Roethlisberger&Dickson(1939)把正式结构称为成本和效率的逻辑。
732Stinchcombe(1968:80)认为，功能的解释是一些行为或社会设置的结果，是这一行为原因的基本因素。
733这种观点在Hawthorne研究中特别显著。例如，在饶线观察室的研究中，工人力图限制生产的举动被视作是非理性的、对团体规范的遵从，然而，在更大的经济环境里，这些活动可能是对被解雇威胁的高度理性的反应。
734Hawthorne发电厂的早期研究采用了科学管理的方法，研究者旨在确定电话设备组装车间的最佳照明度。
735Barnard在组织研究领域的影响是巨大的，部分原因是他的论著是在Weber的著作尚未有译本之前，美国读者所能得到的第一本系统阐述组织理论的著作。Barnard的观点对Mayo等人的人际关系学派有很多贡献，也为Simon的决策理论提供了基础。
736换句话说，Barnard(1938/1997:59)讨论了两种体系：一是包含全部内容的协作体系，其组成要素是人、物的体系、社会体系、组织；二是组织，它是协作体系的一部分，完全由协作的人的活动组成。
737需要说明的是，Barnard对于组织成员的认识也是独特的。Barnard(1948:111-3)认为一个组织除了一定数量的成员以外，还应包括投资者、供应商、客户及其其他对组织有贡献的人。
738可以说，Barnard对正式组织的这种认识，极大地丰富了古典组织理论的内涵，并称为沟通古典组织理论和现代组织理论的桥梁式人物。
739有效性同协作目的的实现有关。
740能率同个人动机的满足有关。
741可以看出，Barnard比人际关系分析家更重视环境，但是，不像开放系统的理论家，Barnard没有系统探讨环境问题(Scott,1990a)。
742例如，Barnard(1938/1997:145)认为，粗粗一看，组织中信息交流的要素似乎只是部分地同权威有关，但是，更深入地考察一下就会发现，信息交流、权威、专门化和目的都是协调所包含的各个方面。所有的信息交流都同制定目的和传达协调行动的命令有关，因而依存于向意愿协作的人传达信息的能力。
743来源于杨洪兰和张晓蓉(1997:126)
744需要说明的是，Katz&Kahn(1966/1978)最早正式进行了开放系统的研究。
745Barnard(1938/1997:146)认为，个人的行为从原则上可以分为有意识的、经过计算和思考的行为，以及无意识的、自动的、反应的、由现在或过去的内外情况产生的行为。一般来讲，前面一类行为的先导过程，不管是什么过程，最后都可以归结为决策。
746在Simon(1976/1988:77)看来，这种给定环境就是心理环境。所谓给定环境，指的是被抉择主体当作其抉择依据的那些前提。
747价值前提是指想要达到的目标的假设。
748事实前提是指对现实世界及其运作方式的假设。
749Bertalanffy(1956)最早提出了一般系统理论。
750负熵原理是指只要系统从外环境输入的能量大于其转化和输出的能量，那么系统就能够生存，并且能维持其内部的特有秩序。
751反馈原理与信息输入有关，信息输入是一种特殊的能量输入，是一种环境条件和与环境条件有关的系统运行过程的信号系统的反馈机制，能使系统纠正自身运行和环境变化中的错误，因而该原理使组织保持一种稳态和动态平衡态，这种稳态和平衡态是一种动态平衡而非静态平衡。
752开放系统还有走向分异与复杂化的趋势，这既是亚系统间的动力作用的结果，也是生长与生存间相互关系的产物。
753同结果性是指开放系统可以从不同初始态经不同发展道路而达到相同终止态。
754来源于Burns&Stalker(1961:119-22)。
755来源于杨洪兰和张晓蓉(1997:98)。
756来源于Lawrence&Lorsch(1967:23-9)。
757来源于Lorash&Lawrence(1972:45)。
758根据Woodward(1965:52-82)整理。
759根据Greiner(1972)和Quinn&Cameron(1983)概括。
760来源于Mintzberg(1979:466-71)。
761组织配置是指拥有共同组织特征的一组企业(Meyer et al.,1993; Miller&Mintzberg,1984)。Ketchen et al.(1997)认为，组织配置在绩效方面存在差异的预期是基于权变理论的。
762Miller(1996)区分了组织的类型和分类。
763根据Miles et al.(1978)进行概括。
764根据Chandler(1977/1997:445-561)分析得出。
765例如，Lawrence&Lorsch(1967)假设，组织将（或为了效率应该）使其结构与环境需求相适应，这就是与理性古典组织理论观点的结合。
766例如，在Smith的制钉厂的劳动分工设计，这种设计不会产生独特的集体能力的发展，发展的只是个人技巧。集体能力的取得不是系统的浮现性质。
767Child(1972:1)提出，战略性选择将包括组织活动的范围，可以根据它估计出经济制约压力的工作标准以及组织结构设计本身。
768Coriat&Dosi(1998:109)认为，组织结构的差异不是随机的，而是反映了具有持续性的国家的专门特征。
769事实上，正是由于技术、环境以及生命周期阶段都未能拿出组织方式的最佳方法(Wren,1994/2000:504)，20世纪70年代，组织生态学(Hannan&Freeman,1977)、制度理论(Meyer&Rowan,1977;Dimaggio&Powell,1983)等生态层次的组织研究先后发展起来了。
770来源于Kast&Rosenzweig(1985/2000:294)。
771Marengo(1996:147)研究了介于分权和集权之间的组织结构。模拟显示，为了对付变化的环境，分散学习过程提供的知识产生和修正，必须有一定程度的集中。
772Hedlend(1994:87)对创新管理的研究表明，任意浮动的结构是不真实的，严格的纪律和正式化是一些高技术企业的特征。
773Nanaka et al(2001:398)认为，项目任务制是一种灵活的、适应性将强的、具有活力的、共同参与的组织结构形式。这是一种制度化了的团队或小组。
774Nonaka et al. (2001:398-9)的超文本组织可被看作具有三个层面的组织：知识基地、业务系统和项目团队。超文本组织的最底层是知识基地，它包括与组织文化和传统程序相关的模糊知识，和以文件、档案系统、电脑数据等形式存在的明晰知识。这个层面是作为企业知识创新的档案馆或企业大学而起作用的。第二个层面是业务系统，在这里正式的层机制的组织执行正常的日常事务。最高层面就是项目团队，大量联系松散的自行组合的项目团队，为着共同的愿景，分工协作，一起创造知识。项目团队是从业务系统层面各种职务和部门中挑选的。以高层领导所设定的共同愿景为基础，他们在与其他项目团队的相互作用中参与知识创新活动。
775有关流程再造的问题详见第10章。
776Dosi&Marengo(1994:158)提出，Williamson(1975;1985)的重点是涉及信息加工活动的学习，只能归结为“Bayesian估计”。
777必须指出，自我管理团队/自我运作流程并不是独立于企业间接选择制度以外的，而只是表明，自我管理团队/自我运作流程受到较少的间接选择指标的事前引导和/或事后评价。
778该案例来源于Mathews(1992;1993)。
779有关组织成熟的问题将在第4节进一步分析。
780即影响和改变组织维度的环境。
781即描述一个组织的内部特征。
782例如，系统理论只是抽象地提出，系统构件存在适当程度的相互影响，系统的适应性能够提高(Ashby,1960;Glassman,1973;Weick,1979)。
783Kauffman的研究正是基于随机布尔模型。
784Levinthal(2000:371)提到的组织文献中互补性的例子有：Chandler(1962)的战略与结构之间、Milgrom&Roberts(1990)的产品线、生产战略和技术之间、McKinsey的7S框架。
785N区分单位是政策选择。
786Kauffman(1993)认为，适应性演化介于混沌边缘和灾难性边缘之间。超过混沌边缘，秩序停止；超过灾难性边缘，选择停止。
787需要说明的是，管理方式并不同于管理风尚。Koontz&Weihrich(1988/1993:11-2)提出，管理风尚可以定义为“在一段时间里狂热追求的管理方式”。显然，管理风尚盛衰无常。尽管管理风尚可以成为技术，可能有利于发挥组织职能的作用。但是，如果把管理风尚看作解决积重很深问题的短期办法，或者把它当作速成办法，那么，它们的价值就值得怀疑。
788来源于Bartol&Martin(1998:6)。
789例如，Spender(1996)提出了解释的灵活性、边界管理、制度影响的识别和系统与组成特点之间的区分等四种知识管理的启发式。
790Williamson(1970)提出，企业最显著的优点或许是，较之企业之间的活动，在企业内部可以强制实施的控制手段的种类更多，且更有作用。
791来源于Newman&Sammer(1995:17)，略有改动。
792来源于Griffin(1984/1989:4)。
793针对这种目标的均衡性问题，Simon(1959)指出，完全适应性的有机体的均衡行为仅仅依赖它的目标和环境。由于适应性有机体的短期行为和在复杂、快速变化的环境中的行为是完全独立于有机体的内部特征，因此，仅仅了解目标是不够的，还必须更多地了解内部结构，特别是适应性机制。
794当然，管理过程的方法确实产生了较强的功能。例如，Simon(1976/1988(220-1)认为，“在符合决策过程中，在给单个决策造成多种影响的过程中，有两种至关重要的管理方法……这两种方法之一是所谓计划——使各种专家的知识和技能可在正式决策做出之前，事先对一个问题进行研究和产生影响的一种方法。第二种方法是评审——使个人能对支配其决策的“内部”前提和“外部”前提，保证做出解释的一种方法”。
795RBEP强调，只要变异是盲目的并服从失败，“理性推论同样有效”(Romanelli,1999:86)。
796例如，Favereau(1993)识别了两种薪酬惯例：第一类是精确的，没有解释的余地；第二类带有模糊性，并允许解释。
797不包括第8章提出的RBEP战略范式工具。
798转引自Colloff(1998/1999:216)。
799事实上，企业家的职能是发展和扩散企业的愿景(Cohendet et al.,2000:108)，领导就是提供认知框架(Witt,1998)。从这个意义说，企业家在演化论分析中始终是占有重要位置的。
800事实上，惯例集的管理也就是流程或者能力的管理。
801Winter(1994:100)认为，关于组织能力的特征方面，质量管理和演化经济理论有很多共同的基础。
802Szulanski(2000)对Banc One的惯例复制实证已经证实了这一点。
803Brown&Duguid(1991)认为，严密的过程说明和深化会发生冲突。
804在这方面，White(1992) 的观点与我们接近。White(1992)认为，通过多种和不一致的绩效测量，能够最佳地实现控制。
805在这方面，Meyer(1994)的观点与我们接近。Meyer(1994:574)指出，“内部控制及其稳定是组织转移其绩效测量能力的函数”。
806Hammer&Champy(1994/1998:47)认为，流程再造并不同于TQM。有关提高质量的计划都是在企业现有的业务流程的框架内进行的。
807需要说明的是，RBEP的流程再造观点与Hammer&Champy(1994/1998)的企业再造观点并不完全相同。Hammer&Champy(ibid.:29)认为，所谓企业再造，是针对企业业务流程的基本问题进行反思，并对它进行彻底的重新设计，以便在成本、质量、服务和速度等当前衡量企业业绩的这些重要的尺度上取得显著的进展。
808由于Hammer&Champy(1994/1998)仍是以思想为主(芮明杰,1998:294)，操作步骤不清楚(芮明杰和钱平凡,1997)，因此，RBEP的流程再造进一步增强了可操作性。
809Senge(1998:8)认为，所谓心智模式是根深蒂固于心中，影响我们如何了解这个世界，以及如何采取行动的许多假设、成见、甚至是图象、印象。
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