本文關(guān)鍵詞： 戰(zhàn)略變革 戰(zhàn)略延續(xù) 戰(zhàn)略趨同 家族企業(yè) 家族涉入 家族邏輯 市場邏輯　出處：《浙江大學(xué)》2017年博士論文　論文類型：學(xué)位論文

【摘要】：隨著我國經(jīng)濟(jì)發(fā)展進(jìn)入產(chǎn)業(yè)格局調(diào)整期,環(huán)境的動(dòng)態(tài)性和不確定性程度加深,唯有加快轉(zhuǎn)型升級(jí)的步伐,積極地適應(yīng)環(huán)境變化,才能真正擺脫成長的瓶頸,保持競爭優(yōu)勢(shì)。戰(zhàn)略變革是協(xié)調(diào)組織內(nèi)外部資源以有效適應(yīng)環(huán)境變化的重要手段之一,其目的在于構(gòu)建和維持企業(yè)的競爭優(yōu)勢(shì)。作為民營企業(yè)主體的家族企業(yè)積極主動(dòng)地進(jìn)行戰(zhàn)略變革才能有效地應(yīng)對(duì)轉(zhuǎn)型,實(shí)現(xiàn)永續(xù)經(jīng)營和持續(xù)成長。家族企業(yè)的戰(zhàn)略變革問題長期以來未引起學(xué)術(shù)界的足夠關(guān)注,目前人們對(duì)家族要素能夠?qū)?zhàn)略變革的發(fā)生起到促進(jìn)還是阻礙作用依然缺乏了解�；谥贫葟�(fù)雜性理論,本文從一個(gè)新的視角解讀家族企業(yè)戰(zhàn)略變革行為的動(dòng)機(jī),并著重考察了家族企業(yè)群體的異質(zhì)性戰(zhàn)略行為。具體而言,本文開展了三個(gè)相互關(guān)聯(lián)且逐層遞進(jìn)的子研究。子研究一(第三章)通過對(duì)新希望集團(tuán)的縱向歷史案例分析,回答了家族企業(yè)的多元制度邏輯如何動(dòng)態(tài)演進(jìn)以及多元邏輯性質(zhì)及其影響下的家族涉入是否會(huì)對(duì)戰(zhàn)略變革產(chǎn)生作用。子研究二(第四章)和子研究三(第五章)以中國A股制造業(yè)家族上市公司為研究對(duì)象,將戰(zhàn)略變革劃分為縱向的戰(zhàn)略延續(xù)-變異與橫向的戰(zhàn)略趨同_偏離兩個(gè)維度,分別從動(dòng)態(tài)和靜態(tài)兩個(gè)角度,通過實(shí)證研究較為全面的考察了家族涉入對(duì)戰(zhàn)略變革的直接作用以及影響兩者關(guān)系的情境機(jī)制。通過案例分析和實(shí)證探討,本文主要得出以下的研究結(jié)論:首先,在家族企業(yè)成長過程中,企業(yè)的多元制度邏輯主要遵循“結(jié)盟期——爭奪期——主導(dǎo)期”的動(dòng)態(tài)演進(jìn)路徑,隨著邏輯性質(zhì)向“主導(dǎo)期”過渡,市場邏輯導(dǎo)向越來越明顯,戰(zhàn)略變革發(fā)起的頻率會(huì)逐步增多。相反,家族邏輯影響程度較強(qiáng)的階段,家族涉入的程度較高,戰(zhàn)略延續(xù)的傾向較大;其次,家族所有權(quán)和管理權(quán)的涉入抑制了上市家族企業(yè)戰(zhàn)略變革的發(fā)起。從縱向的戰(zhàn)略變革來看,家族所有權(quán)的提高和管理人數(shù)的增加能夠?qū)е赂黠@的戰(zhàn)略延續(xù)行為;從橫向的戰(zhàn)略變革來看,家族所有權(quán)的涉入也能夠?qū)е赂嗟膽?zhàn)略趨同行為;再次,資本市場的績效壓力(分析師評(píng)估差距)以及企業(yè)規(guī)模的增加能夠減弱家族涉入對(duì)戰(zhàn)略延續(xù)行為的正向影響,從而有利于家族控制下的戰(zhàn)略行為的調(diào)整;最后,兩職分離、非家族CEO以及行業(yè)績效期望順差能夠作為合法性信號(hào),緩解家族上市家族企業(yè)的合法性壓力,從而減弱了家族所有權(quán)涉入對(duì)于戰(zhàn)略趨同行為的積極影響,也促進(jìn)了戰(zhàn)略的調(diào)整。本研究的主要?jiǎng)?chuàng)新點(diǎn)在于:第一,將制度復(fù)雜性理論引入家族企業(yè)戰(zhàn)略研究領(lǐng)域,探尋了家族涉入對(duì)于戰(zhàn)略變革的作用,為全面理解家族企業(yè)戰(zhàn)略變革行為的產(chǎn)生動(dòng)機(jī)和分析影響其作用的情境提供了新的理論視角;第二,從動(dòng)態(tài)的視角分析了家族企業(yè)戰(zhàn)略選擇的過程,特別是拓展了制度邏輯的歷史權(quán)變性、制度邏輯沖突以及合法性機(jī)制的研究,有助于彌補(bǔ)以往靜態(tài)研究視角的局限性;第三,通過整合信號(hào)理論,考察了家族企業(yè)應(yīng)對(duì)制度壓力時(shí)的能動(dòng)性,檢驗(yàn)了兩職分離、CEO身份和行業(yè)績效期望差距作為合法性信號(hào)的有效性,拓展了信號(hào)理論的應(yīng)用情境:最后,在中國上市公司情境下,對(duì)家族企業(yè)異質(zhì)性行為的來源進(jìn)行了新的解構(gòu),為理解家族企業(yè)異質(zhì)性行為的產(chǎn)生進(jìn)行了有益的探索。最后,根據(jù)本文的研究發(fā)現(xiàn),提出了管理和政策建議,指出了研究中存在的局限性以及未來可能的研究方向。
[Abstract]:With the development of China's economy into the industrial structure adjustment period, the dynamic and uncertainty of environment deepened, only accelerate the pace of transformation and upgrading, and actively adapt to the environment change, in order to truly get rid of the bottleneck of development, maintain a competitive advantage. Strategic change is one of the important means of coordination of external resources within the organization to adapt to the changing environment, the the purpose is to construct and maintain the competitive advantage of enterprises. As a private enterprise the main body of the family business and actively carry out strategic transformation in order to effectively deal with the transformation, achieve sustainable development and sustainable growth. Strategic change of family enterprises has not caused enough attention in academic circles, the family factors can change the strategy to promote or hinder the role is still poorly understood. Based on the theory of system complexity, this paper from a new perspective of family enterprises Strategic change behavior, and focuses on the heterogeneity of the strategic behavior of family business groups. Specifically, this paper carried out the three interrelated and progressive research. A sub study (Chapter third) based on the new hope group's historical case analysis, answered the pluralistic system of family business logic to dynamic evolution and multiple logical properties and under the influence of family involvement will have an effect on strategic change. The two sub study (Chapter fourth) and three (the fifth chapter) to Chinese manufacturing family, A shares of listed companies as the research object, strategic change will be divided into the continuation of longitudinal variation and _ strategic convergence strategy the lateral deviation from the two dimensions, respectively from two angles of dynamic and static, through a comprehensive empirical study examines the situation of family involvement machine direct effect on strategic change and influence the relationship between the two To explore the system. Through case analysis and empirical analysis, this paper draws the following conclusions: first, in the growth process of family enterprises, multi institutional logic of enterprises mainly follow the dynamic evolution path of alliance - for - leading period, with the logical properties to the dominant period transition, the logic of the market orientation is more and more obvious, launched the strategic change frequency will be gradually increased. On the contrary, the influence degree of the strong logic family stage, family involvement degree is high, the continuation of the great strategic tendency; secondly, family ownership and management involvement suppression of listed family business strategic change is initiated. From the strategic change vertical view, the increase of family ownership and the number of management can lead to more obvious strategic continuity behavior; strategic change from the lateral view, the involvement of family ownership can also lead to more strategic trend The same behavior; again, the effect of capital market pressure (analysts assessment gap) and increase the scale of family involvement can weaken the positive effect on the continuation of strategic behavior, which is conducive to the strategic behavior of the family under the control of the adjustment; finally, the separation of two staff, non family CEO and industry performance expectations surplus to legitimacy as a signal. To ease the legitimacy pressure of family listed family enterprises, thus weakening the family ownership involvement positive impact on strategic convergence behavior, but also promote the strategic adjustment. The main innovation of this study is: first, the system complexity theory into strategic research field of family business, explore the family involvement for strategic change, provided a new approach to the analysis of the motivation and comprehensive understanding of the family enterprise strategic change behavior and the role of the situation; second, from the dynamic view 瑙掑垎鏋愪簡瀹舵棌浼佷笟鎴樼暐閫夋嫨鐨勮繃紼，

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