企业战略的性质：共同演化下的动态匹配
摘要
本研究所要解决的一个主要问题是 企业战略的性质是什么 战略的性质
即战略的本质 是一个与战略研究和战略实践密切相关的基础性问题或本原问
题 该问题的提出 主要是针对当前战略管理在理论和实践之间存在的较弱的互
动性这一现象 产生这一现象的原因是什么 是理论的无效 还是转化过程的低
效 还是二者兼而有之 理论怎样才能更加有效和科学 怎样提高转化过程的效
率 而对战略性质这样一个本原问题的探索 有利于战略理论的进一步研究 给
实践者以指导 进而促进理论和实践之间的良性互动
对战略性质这个问题本身的理解 可以从它相对应的概念
战略现象得到
帮助 事物的现象和事物的性质是一对辩证的概念 战略现象是指各种具体的战
略及其活动 如业务战略等不同层次的战略 波特的三种通用性战略等 也包括
战略制定 执行等战略管理活动 战略的性质就是这些战略现象背后的稳定因素
是战略现象不断发展变化的内在动因 因此 战略的性质这个问题可以被界定为
是战略现象背后的一种稳定的 不变的 促进战略现象不断发展的驱动力
而 战略的性质是共同演化下的动态匹配 这样一个陈述 则是本研究的一
个基本的命题 是一种演绎型的假设 hypothesis
其主要含义是战略的性质在
于企业内外部各种战略要素在一个共同演化的过程中 不断达成动态匹配的状
态
在任何一个时点 每一个研究领域的前沿都可以被一些基本的主题或问题所
界定 战略管理领域也不例外 基本问题并不必然是经常被论述的 或最时髦的
但是它却可以通过对主题和假定的强调 而使得本领域的公理 方法和现象与其
它的研究领域区分开来 使得本领域的一些关键的问题变得更加清晰 企业战略
的性质这个主题 对于现阶段的战略理论研究而言 正是这样一个基础性的问题
对它的研究 不仅可以使得战略领域的研究具有更加一致的内在逻辑性 而且可
以提高战略研究的有效性 进而推进我们的理论前沿和实践工作
论文的主要创新点体现在如下几个方面
第一 主要研究成果的创新
1 通过对战略研究对象及其假设的探索 得出了两个不同层次的研究对象
并提炼出了 5 个内隐的假设
2 通过对现有战略理论的回顾与批判性分析 根据时间与空间逻辑 将现
有战略理论完整地整合在一个全新的框架中 而该框架也全面地考虑了企业发展
的各种因素 能够满足现实中管理者的需求
3 根据共同演化的基本思想 提出了一个包含 7 个要素的分析框架 这 7
个大的要素基本囊括了分布于企业内外的 影响企业战略现象不断变化的主要因
4
素
4 研究了 共同演化的动态匹配 不同层次的运行机制 以及横向和纵向
的运行机制 尤其是以企业生命周期为线索对纵向运行机制的探讨 分析了在企
业发展的不同阶段 特定的要素如何相继推动战略演变
5 通过对湘财证券有限公司的深度案例研究 验证了其战略发展历程符合
我们所提出的理论体系 结论基本支持我们关于战略的性质是 共同演化下的动
态匹配 的理论构想
第二 研究视角的创新
1 对企业战略的性质 选取了战略管理的基本问题 企业的性质 内容和
过程四个视角进行了研究 每一个视角都相应地提供了对于战略性质的部分理
解
2 采用了大历史的视角对美国企业 150 年来的战略历程进行了分析
第三 研究领域的创新
以战略性质为研究对象 在战略管理领域内是一个研究尚不系统和深入的领
域 本文的研究对战略管理研究而言 在研究领域上有所创新和推进
就论证途径而言 本文的论证方法是理论研究和实证研究的结合 实证研究
主要包括访谈等统计调查研究 文本分析/历史比较分析等非实验研究 论文还
综合采用了科学研究方法和思辨方法 科学研究方法主要体现在对文献的回顾
框架的建立和逻辑推理 命题的验证及案例分析 而思辨法主要体现在问题的提
出 命题和假设的陈述以及理论的整合 从论文各部分的研究目的来看 本论文
是描述性研究 解释性研究和规范性研究的综合
在上述思路的指引下 本文的第一部分 第一章 对问题进行了界定和阐述
进行了相关的文献综述 第二部分 第二 三 四 五章 从四个角度研究了企
业战略的性质 得出战略的性质在于共同演化下的动态匹配这样一个结论 或者
说是对这样一个命题进行了验证 第三部分 第六 七章 进一步探索了共同演
化的特征和具体运营 提出了共同演化的动态匹配的分析框架和运行机制 第四
部分 第八章 以湘财证券为样本 对整个共同演化的战略理论框架进行了验证
论文的最后部分为结论
5
This study is to investigate the nature (or the essence) of strategic management.
The issue is fundamentally relevant to the research and practice of strategy. The
reason why to put forward this issue is owing to the faintish interaction between the
theory and the practice. How to make the theory be more effective and scientific?
How to make the transformation efficiently? This study upon the nature of strategic
management helps to advance the research and guide the manager, and then make a
good interaction between theory and practice.
What dose it mean when we refer to the conception of the nature of strategic
management? It can be well understood with the help of its corresponding concept, ie
the phenomena of strategic management. The phenomena of strategic management
refer to types of specific strategy and its activity, such as business strategy of the three
different levels strategy, the three generic strategies. It also includes the process of
strategic management, which is composed of the making and implementation of
strategy. The nature of strategic management is the inner side of the phenomena of
strategic management, and the dynamics that drives the phenomena change ever. Then
the nature of strategic management can be defined as the driver that is stable and
unchanging behind the phenomena of strategic management.
The statement that the nature of strategic management is dynamic fitness through
co-evolution is a basic proposition of this study and a deduced hypothesis. It implies
that the essence of strategy is to make every factor inside and outside the firm being in
a process of co-evolution in order to fit each other dynamically.
At any given moment a field of inquiry’s frontier can be defined by e set of
fundamental issues or questions. The field of strategic management is no different.
Fundamental questions are not necessarily the most often stated or the most
fashionable; nevertheless, they serve to highlight the issues and presumptions that
differentiate a field of inquiry, making its axioms, its methods, and the phenomena it
studies different from those of other related fields, making some key questions it
studies be explicit. The issue of this thesis can now be seen as the fundamental
question of the field of strategic inquiry in this period. The research upon this issue
will not only make the logic of the strategic theory more consistent, but also give rise
to high efficiency in strategic research.
The following are the innovations of this thesis.
Firstly, there are innovations of conclusion.
6
1) It put forward two levels object of inquiry and five implicit assumptions of
strategic research and strategic management;
2) It put forward a wholly new framework of strategic theory resulting from
integration of existing strategic theories with the help logic of space and time. This
framework includes most of the things that should be considered in the process of the
growth of the firm and can meet with the need of practitioner.
3 A framework composed of seven factors. These are key factors that work on
the phenomena of strategy.
4) There are Micro and Macro levels of operation mechanism, and horizontal and
longitudinal operation mechanism.
5) Validating the theory of this thesis through the depth case study upon XiangCai
Securities Corporation. The conclusion is in accord with our theoretical construction
of the nature of strategic management.
Secondly, there are innovations upon perspective.
1) There are four perspectives that approach the same question as the nature of
strategic management. They are fundamental issues of strategic management, the
nature of the firm, the process of the development of the American firm in the last 150
years, and the content of the theory of strategic management and of strategic management.
2) Macro-history of the American firm in the last 150 years.
Thirdly, it is
即战略的本质 是一个与战略研究和战略实践密切相关的基础性问题或本原问
题 该问题的提出 主要是针对当前战略管理在理论和实践之间存在的较弱的互
动性这一现象 产生这一现象的原因是什么 是理论的无效 还是转化过程的低
效 还是二者兼而有之 理论怎样才能更加有效和科学 怎样提高转化过程的效
率 而对战略性质这样一个本原问题的探索 有利于战略理论的进一步研究 给
实践者以指导 进而促进理论和实践之间的良性互动
对战略性质这个问题本身的理解 可以从它相对应的概念
战略现象得到
帮助 事物的现象和事物的性质是一对辩证的概念 战略现象是指各种具体的战
略及其活动 如业务战略等不同层次的战略 波特的三种通用性战略等 也包括
战略制定 执行等战略管理活动 战略的性质就是这些战略现象背后的稳定因素
是战略现象不断发展变化的内在动因 因此 战略的性质这个问题可以被界定为
是战略现象背后的一种稳定的 不变的 促进战略现象不断发展的驱动力
而 战略的性质是共同演化下的动态匹配 这样一个陈述 则是本研究的一
个基本的命题 是一种演绎型的假设 hypothesis
其主要含义是战略的性质在
于企业内外部各种战略要素在一个共同演化的过程中 不断达成动态匹配的状
态
在任何一个时点 每一个研究领域的前沿都可以被一些基本的主题或问题所
界定 战略管理领域也不例外 基本问题并不必然是经常被论述的 或最时髦的
但是它却可以通过对主题和假定的强调 而使得本领域的公理 方法和现象与其
它的研究领域区分开来 使得本领域的一些关键的问题变得更加清晰 企业战略
的性质这个主题 对于现阶段的战略理论研究而言 正是这样一个基础性的问题
对它的研究 不仅可以使得战略领域的研究具有更加一致的内在逻辑性 而且可
以提高战略研究的有效性 进而推进我们的理论前沿和实践工作
论文的主要创新点体现在如下几个方面
第一 主要研究成果的创新
1 通过对战略研究对象及其假设的探索 得出了两个不同层次的研究对象
并提炼出了 5 个内隐的假设
2 通过对现有战略理论的回顾与批判性分析 根据时间与空间逻辑 将现
有战略理论完整地整合在一个全新的框架中 而该框架也全面地考虑了企业发展
的各种因素 能够满足现实中管理者的需求
3 根据共同演化的基本思想 提出了一个包含 7 个要素的分析框架 这 7
个大的要素基本囊括了分布于企业内外的 影响企业战略现象不断变化的主要因
4
素
4 研究了 共同演化的动态匹配 不同层次的运行机制 以及横向和纵向
的运行机制 尤其是以企业生命周期为线索对纵向运行机制的探讨 分析了在企
业发展的不同阶段 特定的要素如何相继推动战略演变
5 通过对湘财证券有限公司的深度案例研究 验证了其战略发展历程符合
我们所提出的理论体系 结论基本支持我们关于战略的性质是 共同演化下的动
态匹配 的理论构想
第二 研究视角的创新
1 对企业战略的性质 选取了战略管理的基本问题 企业的性质 内容和
过程四个视角进行了研究 每一个视角都相应地提供了对于战略性质的部分理
解
2 采用了大历史的视角对美国企业 150 年来的战略历程进行了分析
第三 研究领域的创新
以战略性质为研究对象 在战略管理领域内是一个研究尚不系统和深入的领
域 本文的研究对战略管理研究而言 在研究领域上有所创新和推进
就论证途径而言 本文的论证方法是理论研究和实证研究的结合 实证研究
主要包括访谈等统计调查研究 文本分析/历史比较分析等非实验研究 论文还
综合采用了科学研究方法和思辨方法 科学研究方法主要体现在对文献的回顾
框架的建立和逻辑推理 命题的验证及案例分析 而思辨法主要体现在问题的提
出 命题和假设的陈述以及理论的整合 从论文各部分的研究目的来看 本论文
是描述性研究 解释性研究和规范性研究的综合
在上述思路的指引下 本文的第一部分 第一章 对问题进行了界定和阐述
进行了相关的文献综述 第二部分 第二 三 四 五章 从四个角度研究了企
业战略的性质 得出战略的性质在于共同演化下的动态匹配这样一个结论 或者
说是对这样一个命题进行了验证 第三部分 第六 七章 进一步探索了共同演
化的特征和具体运营 提出了共同演化的动态匹配的分析框架和运行机制 第四
部分 第八章 以湘财证券为样本 对整个共同演化的战略理论框架进行了验证
论文的最后部分为结论
5
This study is to investigate the nature (or the essence) of strategic management.
The issue is fundamentally relevant to the research and practice of strategy. The
reason why to put forward this issue is owing to the faintish interaction between the
theory and the practice. How to make the theory be more effective and scientific?
How to make the transformation efficiently? This study upon the nature of strategic
management helps to advance the research and guide the manager, and then make a
good interaction between theory and practice.
What dose it mean when we refer to the conception of the nature of strategic
management? It can be well understood with the help of its corresponding concept, ie
the phenomena of strategic management. The phenomena of strategic management
refer to types of specific strategy and its activity, such as business strategy of the three
different levels strategy, the three generic strategies. It also includes the process of
strategic management, which is composed of the making and implementation of
strategy. The nature of strategic management is the inner side of the phenomena of
strategic management, and the dynamics that drives the phenomena change ever. Then
the nature of strategic management can be defined as the driver that is stable and
unchanging behind the phenomena of strategic management.
The statement that the nature of strategic management is dynamic fitness through
co-evolution is a basic proposition of this study and a deduced hypothesis. It implies
that the essence of strategy is to make every factor inside and outside the firm being in
a process of co-evolution in order to fit each other dynamically.
At any given moment a field of inquiry’s frontier can be defined by e set of
fundamental issues or questions. The field of strategic management is no different.
Fundamental questions are not necessarily the most often stated or the most
fashionable; nevertheless, they serve to highlight the issues and presumptions that
differentiate a field of inquiry, making its axioms, its methods, and the phenomena it
studies different from those of other related fields, making some key questions it
studies be explicit. The issue of this thesis can now be seen as the fundamental
question of the field of strategic inquiry in this period. The research upon this issue
will not only make the logic of the strategic theory more consistent, but also give rise
to high efficiency in strategic research.
The following are the innovations of this thesis.
Firstly, there are innovations of conclusion.
6
1) It put forward two levels object of inquiry and five implicit assumptions of
strategic research and strategic management;
2) It put forward a wholly new framework of strategic theory resulting from
integration of existing strategic theories with the help logic of space and time. This
framework includes most of the things that should be considered in the process of the
growth of the firm and can meet with the need of practitioner.
3 A framework composed of seven factors. These are key factors that work on
the phenomena of strategy.
4) There are Micro and Macro levels of operation mechanism, and horizontal and
longitudinal operation mechanism.
5) Validating the theory of this thesis through the depth case study upon XiangCai
Securities Corporation. The conclusion is in accord with our theoretical construction
of the nature of strategic management.
Secondly, there are innovations upon perspective.
1) There are four perspectives that approach the same question as the nature of
strategic management. They are fundamental issues of strategic management, the
nature of the firm, the process of the development of the American firm in the last 150
years, and the content of the theory of strategic management and of strategic management.
2) Macro-history of the American firm in the last 150 years.
Thirdly, it is
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三 主要电子资源来源的网站
1 复旦大学图书馆 http://www.library.fudan.edu.cn
2 华欧国际证券有限责任公司 http://www.cesl.com.cn
3 湘财证券有限责任公司 http://www.xcsc.com
4 上海证券交易所 http://www.sse.com.cn
5 深圳证券交易所 http://www.szse.cn
6 中国经济信息网 http://www.cei.gov.cn
7 中国证券监督管理委员会 http://www.csrc.gov.cn
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三 主要电子资源来源的网站
1 复旦大学图书馆 http://www.library.fudan.edu.cn
2 华欧国际证券有限责任公司 http://www.cesl.com.cn
3 湘财证券有限责任公司 http://www.xcsc.com
4 上海证券交易所 http://www.sse.com.cn
5 深圳证券交易所 http://www.szse.cn
6 中国经济信息网 http://www.cei.gov.cn
7 中国证券监督管理委员会 http://www.csrc.gov.cn
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