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论文编号：	2390
作者编号：	2120082161
上传时间：	2010/6/9 17:46:07
中文题目：	制度变迁与企业合法化战略选择：基于乳品加工企业的案例研究
英文题目：	Institutional Change and Legitimation Strategy：A Case Study on the Enterprises in Diary Manufacturing Industry
指导老师：	任兵
中文关键字：	制度变迁,合法性,合法化战略,乳品加工企业,案例研究
英文关键字：	Institutional Change,Legitimacy,Legitimation Strategy,Enterprise in Diary Manufacturing Industry,Case Study
中文摘要：	在回顾制度与制度变迁文献的基础上，本文发现已有文献主要集中于研究在制度约束条件下，组织通过对制度环境中现有规范和期望的依从来获得社会认可的合法化这一问题。然而，现实中，组织会挑战或者摒弃已被视为合理的或者被制度化了的惯性；在同一场域内，组织行为也存在着差异性。比如在2008年爆发的乳品制造业问题奶粉事件中，我国乳品制造业的两家企业：三鹿集团与三元股份，在同一制度背景下却表现了不同的企业战略选择。三鹿放宽了对产品的质量控制，导致其产品受到过量三聚氰胺的污染，而三元则恪守质量控制。这两种不同的战略选择对两家企业的竞争态势产生了不同的影响：在发生乳制品危机事件之后，前者从业内的龙头企业到宣告破产，后者则一跃成为业内的龙头企业之一。那么，这两家企业采用不同战略的原因是什么？两家企业不同的战略行为会对制度环境会产生何种影响？而又会对企业的竞争优势带来何种影响？ 本文从制度理论出发，围绕制度变迁，合法性变迁，企业的合法化战略选择和企业竞争优势间的关系展开理论论证。本文提出了制度约束与企业合法化战略选择之间关系的静态视角；结合制度变迁，提出企业的合法化战略选择、合法性标准变迁、制度变迁以及企业竞争优势间关系的动态视角；根据已有文献，本文论证了企业合法化战略选择的动因及诱因、合法化战略的作用机理以及合法化战略实施与企业在业内的竞争态势的关系概念框架，并提出了相关推论；通过分析静态和动态视角下的企业合法化战略及其实施的作用机理，本文回答了什么样的企业、在什么情况下通过实施什么样的合法化战略（依从、接受、超越、创造）来实现成长（或失败）。 在此基础上，本文采用案例研究法，围绕所提出的概念框架对收集到的案例资料进行归类、编码与分析，针对乳品制造业危机中企业的战略行为与绩效对上述理论框架和推论进行检验，并对所提出的相关推论进行验证。最后，总结归纳本文的理论贡献、研究局限及未来可能的研究方向。本文的研究结论主要有：（1）企业受外部合法性同构压力会随着产业的成熟程度与企业的行业地位的不同而不同；（2）企业的异质心智模型与潜在盈利机会是企业采取不同合法化战略的决定性因素；（3）企业与制度环境间的互动取决于合法性同构机制、资源分配机制以及企业的合法化战略选择；（4）制度环境对企业竞争优势的反作用力取决于企业合法化战略制度环境的作用层次与潜在盈利机会的可共享程度。
英文摘要：	After reviewing the literatures on institutions and institutional change, this study found that previous literature mainly focused on the process of organizations’ achieving the social accepted legalization by conforming to present norms and expectations. But in reality, there are different responding strategies within the same organizational field; and some organizations will challenge and reject the routine which has been considered as reasonable or institutionalized. Taken the Sanlu scandal in the dairy industry in 2008 for example, two enterprises, Sanlu Group and Sanyuan share holding company, have behaved differently facing the homogeneous institutional environments. Sanlu relaxed product quality control, resulting in its products contaminated by overuse of melamine, while Sanyuan persisted in quality control. However, the different company behavior had significant different effects on the competitive situation of the two companies: right after the happening of the industry scandal, the former declared bankruptcy from the industry's leading enterprises, while the latter became one of the industry's leading enterprises. So what drive the two companies behave differently during the process? How these behaviors influence the institutional environment and enterprises’ competitive advantage? Based on institutional theory and the literature of institutional change, we focused on the institutional and legitimacy change, and examined how legitimation strategies influence enterprise’s competitive advantage. We proposed the relationship between legitimation strategy and enterprise’s competitive advantage from a static view as well as a dynamic view. Then we build a conceptual framework to discuss what factors influence the choices of legitimaiton strategy, the implementation of legitimation strategy, and how the above two influence enterprise’s competitive advantage. Our study seeks to answer the following question: what kind of enterprise, in what situation, and through what kind of legitimation strategy, will achieve growth or failure? To answer the above question, this paper used a case study which based upon the Chinese diary industry crisis in 2008 to test the proposed framework and the relevant propositions. The main conclusions of this study are as follows: (1) the external legitimacy isomorphic pressure of enterprises varies across the different degree of the industry maturity and the status of enterprise; (2) the enterprise’s heterogeneous mental model and potential profit opportunities jointly determine enterprises‘ choices on different legitimation strategy; (3) enterprises interact with their institutional environment to generate the mechanisms of legitimacy isomorpysm, resource allocation and enterprises’ legitmation strategic choices; (4) the level of enterprises’ legitimation strategy affecting its institution environment and the sharing degree of potential profit opportunities determine the influence of institutional environment on corporations’ competitive advantage.
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