Mainstream Theories in Management and Organization

Mainstream Theories in Management and Organization
组织与管理研究的主流理论 YADONG LUO U. of Miami & SYSBS Spring, 2011 2011年春陆亚东迈阿密大学，中山大学管理学院

Environment Alignment 关于环境应配的理论
Theories of Exchange 关于交换的理论 Economic Perspectives 经济学视角 Social Exchange Perspectives 社会交换视角 Socioeconomic Perspectives 社会经济学视角 Theories of Environment Alignment 关于环境应配的理论 Institutional Views 制度观点 Strategic Views 战略观点 Co-evolving Views 共演观点 Ecological Views 生态观点 Mainstream Theories in Management & Organization 组织与管理学中的主流理论 Theories of Boundary Spanning 关于跨越边界的理论 Boundary spanning theory 跨边界理论 Loose coupling theory 松散耦合理论 Information processing theory 信息处理理论 Theories of Firm Growth 关于企业成长的理论 Classical Theory of Firm Growth 企业成长的古典理论 Resource-based view 资源基础观 Knowledge-based view 知识基础观 Organizational learning theory 组织学习理论 Dynamic capability Theory 动态能力理论

Theories of Exchange 关于交换的理论
Economic Perspectives 经济学视角 Transaction Cost Theory 交易成本理论 Ind. Org. Theory 产业组织理论 Game Theory 博弈论 Agency Theory 代理理论 Contract Theory 契约理论 Social Exchange Perspectives 社会交换视角 Equity Theory 公平理论 Social Psychology 社会心理学 Social Identity Theory 社会认同理论 Social Exchange Theory 社会交换理论 Social Capital Theory 社会资本理论 Socioeconomic Perspectives 社会经济学视角 Economic Sociology Theory 经济社会学理论 Network Theory 网络理论 Co-opetition Theory 竞合理论 Boundary Spanning Theories 跨边界理论

Theories of Environment Alignment (or Theories of External Relations
Theories of Change/Evolution) 关于环境应配的理论（或关于外部联系的理论、关于变革/进化的理论） Institutional Views 制度观点 -- Institutional Theory 制度理论 -- Contingency Theory 权变理论 Strategic Views 战略观点 -- Strategic Choice Theory 战略选择理论 -- Resource Dependence Theory 资源依赖理论 -- Option Theory (also theory of firm growth) 期权理论（同时也是关于企业成长的理论） Co-evolving Views 共演观点 -- Structuration Theory 结构化理论 -- Co-evolution Theory 共演理论 Ecological Views 生态观点 -- Population Ecology 种群生态

Transaction Cost Economics (TCE) 交易成本经济学
Highlight of Mainstream Theories (Theories of Exchange – Economic Theories) （关于交换的理论——经济学理论） Transaction Cost Economics (TCE) 交易成本经济学 Ronald Coase set out his TCE theory of the firm in 1937, making it one of the first (neo-classical) attempts to define the firm theoretically in relation to the market; but Oliver Williamson’s work is much more distinctive 科斯（ Ronald Coase）在1937年提出了关于企业的交易成本经济学理论，他是最早（从新古典的角度）定义企业与市场在理论上联系的学者之一；但奥利佛•威廉姆森（ Oliver Williamson）的作品则更加出彩。 A transaction cost is a cost incurred in making an economic exchange. It includes (a) search and information costs (b) bargaining and decision costs and (c) policing and enforcement costs. It was later extended to coordination cost, governance cost, and opportunism between exchange members (intra and inter-organizational) 交易成本是指经济交换过程中产生的成本。它包括(a)搜寻和信息成本、(b)议价和决策成本以及(c)执行成本。之后，该定义扩展至协调成本、治理成本和（发生在组织内部和组织之间的）交换成员间的机会主义。 TCE’s two assumptions: Bounded rationality and opportunism which can be curbed by reputation (rather than the law, because of the difficulty of negotiating, writing and enforcement of contracts) 交易成本经济学的两大假设为：有限理性和受到声誉（而非法律，因为契约的谈判、草拟和执行都存在困难）约束的机会主义不行啊。。。

Transaction Cost Economics (TCE) 交易成本经济学（TCE）
Three dimensions to characterize any transactions: Frequency, uncertainty, and asset specificity, which jointly determine the structure or choice of efficient governance 描述交易的三大维度：交易频率、不确定性和资产专用性，它们共同决定了有效治理模式的结构和选择 TCE suggests that the costs and difficulties associated with market transactions sometimes favor hierarchies (or in-house production) and sometimes markets as an economic governance structure. An intermediate mechanism is called hybrid or relational 交易成本经济学认为，市场交易的成本和困难决定了有时候选择层级治理（机构内部生产）作为经济治理结构更好，有时候则选择市场更佳。两者之间存在着混合机制，也称相关机制。不行。。。。

Investment Characteristics (Asset Specificity)
Transaction Cost Economics (TCE): 交易成本经济学（TCE） Governance Choice 治理模式的选择 Investment Characteristics (Asset Specificity) 投资的特性（资产专用性） Nonspecific 非专用的 Mixed 混合的 Idiosyncratic 特殊专用的 Trilateral Governance 三边治理 Occasional 偶尔的 Market Governance 市场治理 Frequency 频率 Unified Governance 单边治理 Bilateral Governance 双边治理 Recurrent 经常的 Efficient Governance 有效的治理模式

What TCE Is and Is Not 交易成本经济学并非
Explains what most efficient form of governance should be, given certain transactional attributes  a functionalist argument 给出在特定的交易属性下最有效的治理模式  实用主义的争论 What is missing? Politics: Who are the actors? What are their interests? What is their power? 缺了什么？政治：谁是参与者？他们的利益是什么？他们的权力是什么？

Further Readings on TCE 交易成本经济学的拓展阅读
Williamson, O.E Transaction cost economics: The governance of contractual relations. J. of Law and Economics, 22: Williamson, O.E Economic institutions of capitalism. New York: Free Press Williamson, O.E Comparative economic organization: The analysis of discrete structural alternatives. Administrative Science Quarterly, 36: Williamson, O.E Calculativeness, trust, and economic organization. J. of Law and Economics, 36:

(Theories of Exchange – Economic Theories) （关于交换的理论——经济学理论）
Industrial Organization (IO) Theory 产业组织理论 Industrial organization is a field of economics that studies the strategic behavior of firms, the structure of market and their interactions (Economics of Imperfect Competition) 产业组织是一门研究企业的战略行为、市场结构和它们之间互动关系的经济学。（不完全竞争经济学） A firm’s performance in the marketplace depends critically on the characteristics of the industry environment in which it competes 企业在市场中的表现很大程度上取决于它所在产业环境的特征。 Industry structure determines the behavior or conduct of firms, whose joint conduct then determines the collective performance of the firms in the marketplace 产业结构决定了企业的行为，市场中所有企业的行为共同决定了这些企业的整体绩效。 An important branch of IO research is Oligopoly Theory seeking to specify the link between industry structure and firm-to-firm rivalry 寡头理论是产业组织研究中的一个重要分支，主要研究产业结构和企业与企业间竞争的关系。

Industrial Organization (IO) Theory 产业组织理论 IO has many limitations 产业组织理论有很多的局限性 IO has a static perspective 产业组织理论是一种静态的观点 IO views the firm as a free-standing and passive entity 产业组织理论认为企业是独立和被动的 Structure-conduct-performance is not one way but two ways 结构-行为-绩效（SCP）间的关系并非单向的，而是双向的

Further Readings on IO Theory 产业组织理论的拓展阅读
Bain, Joe Industrial organization. NY: Wiley Caves, R.E. 1980: Industrial organization, corporate strategy, and structure. Journal of Economic Literature, 18(1): 64-92 Caves, R.E., Porter, M.E. & Spence, A.M Competition in the open economy. Cambridge: Harvard University Press Porter, M.E The structure within industries and companies’ performance. Review of Economics & Statistics, 61 (May): Scherer, F.M Industrial market structure and economic performance. Chicago: Rand McNally

(Theories of Exchange – Economic Theories) （关于交换的理论-经济学理论）
Game Theory 博弈论 Game theory attempts to mathematically capture behavior in strategic situations, in which an individual's success in making choices depends on the choices of others 博弈论试图使用数学的方法捕捉战略态势下的行为，在战略态势下，个体决策的成败取决于他人的选择。 Traditional applications of game theory attempt to find equilibria in these games. In an equilibrium, each player of the game has adopted a strategy that they are unlikely to change 博弈论一般应用于寻找博弈中的均衡。在均衡情况下，每个参与者都选择了在一般情况下不会改变的策略。 A set of strategies is a Nash equilibrium if each represents a best response to the other strategies. So, if all the players are playing the strategies in a Nash equilibrium, they have no unilateral incentive to deviate, since their strategy is the best they can do given what others are doing 如果一次博弈中所有参与者都选择了个人最优策略，这些策略的组合就称为纳什均衡。在纳什均衡中，无论其他参与者的策略是什么，每个局中人选择的都是个人最优策略，所以所有局中人都没有单方偏离的激励。

Game Theory 博弈论 Prisoner's dilemma forms a non-zero-sum game in which two players may each cooperate with or defect from (betray) the other player. Under a Pareto-suboptimal solution, rational choice leads the two players to both play defect, even though each player's individual reward would be greater if they both played cooperatively 囚徒困境属于非零和博弈。在囚徒困境中，博弈双方可能相互合作，也可能相互背叛。在帕累托次优的解决方案下，理性决策将促使博弈双方选择相互背叛，即便在相互合作的情况下双方都能获得更大的报酬。 Deriving the optimal strategy is generally done in two ways: (1) Bayesian Nash equilibrium and (2) Monte Carlo simulations (individuals with low scores die off, and those with high scores reproduce) 一般来说，有两种获得最优策略的方法：(1)贝叶斯纳什均衡及(2)蒙特卡洛模拟（即得分较低的个体相继出局，而得分较高的个体不断复制再生） A game is cooperative (vs. non-cooperative) if the players are able to form binding commitments 如果博弈参与者之间可以达成约束承诺，则称之为合作博弈（相对于非合作博弈） A symmetric (vs. asymmetric) game is a game where the payoffs for playing a particular strategy depend only on the other strategies employed, not on who is playing them (e.g., prisoner's dilemma) 对称博弈（相对于非对称博弈）是指在博弈中，一个特定策略的报酬仅由其他参与者选择的策略决定，而与其他参与者的身份无关（例如囚徒困境）

Game Theory 博弈论 Zero-sum games (vs. non-zero-sum game) are a special case of constant-sum games, in which choices by players can neither increase nor decrease the available resources 零和博弈（相对于非零和博弈）是常和博弈的一种特殊情况。在零和博弈中，参与者的策略选择不会增加或者减少可用资源的总量。 Sequential (vs. simultaneous) games (or dynamic games) are games where later players have some knowledge about earlier actions 在序贯博弈（又称为动态博弈，相对于同时博弈）中，行动在后者可以了解行动在先者采取的行动。 A game is one of perfect information (vs. imperfect information game) if all players know the moves previously made by all other players 信息完全博弈（相对于信息不完全博弈）是指博弈中的所有参与者都拥有其他参与者先前行动的信息。 Continuous games (vs. discrete games) allow players to choose a strategy from a continuous strategy set 连续博弈（相对于非连续博弈）允许参与者在一组连续策略集合中进行选择。 Eight game theorists have won Nobel prizes in economics! 至今已有八位研究博弈论的学者获得诺贝尔经济学奖！

Further Readings on Game Theory 博弈论的拓展阅读
Robert J. Aumann, 1930- Further Readings on Game Theory 博弈论的拓展阅读 Friedman, J Game theory with applications to economics. London: Oxford University Press Gibbons, R Game theory for applied economists. Princeton, NJ: Princeton University Press Fudenberg, D. & Tirole, J Perfect Bayesian equilibrium and sequential equilibrium. Journal of Economic Theory, 53: Samuelson, W Bargaining under asymmetric information. Econometrica, 52: Axelrod, R The evolution of cooperation. New York: Basic Books John Nash Robert E. Lucas Robert Aumann William Vickrey Thomas C. Schelling

(Theories of Exchange – Economic Theories) （关于交换的理论——经济理论）
Agency Theory 代理理论 A theory concerns the relationship between a principal (e.g., shareholder) and an agent of the principal (e.g., managers). It involves the costs of resolving conflicts between the principals and agents and aligning interests of the two groups 代理理论研究的是委托人（即股东）和其委托的代理人（即经理）之间的关系。它涉及解决委托人和代理人二者冲突和联合二者利益的成本问题。 The principal-agent problem arises when a principal compensates an agent for performing certain acts that are useful to the principal and costly to the agent, and where there are elements of the performance that are costly to observe 当委托人因为代理人执行的某些特定行为而给予其补偿，而这些特定的行为对委托人有利而对代理人来说成本很高、并且对这些行为的执行情况有很高的观察成本时，就会产生委托-代理问题。 Principals do not know enough about whether (or to what extent) a contract has been satisfied. The solution to this information problem — closely related to the moral hazard problem — is to ensure the provision of appropriate incentives so agents act in the way principals wish 委托人对于契约是否被很好地执行没有足够的了解。解决这个信息问题的方法，与道德风险问题密切相关，那就是确保提供适当的激励从而使代理人按照委托人的意愿行事。 Levinthal (1988) maintains that the risk imposed on an agent can be reduced by basing individual performance relative to that of other agents, who face similar states of nature. Levinthal (1988)指出可以通过把代理人个人表现跟其他面对着相似性质工作的代理人进行比较，可以减轻代理的风险。

Agency Theory 代理理论 Agency theory tries to resolve two problems that can occur in agency relationships. The first is the agency problem that arises when (a) the desires or goals of the principal and agent conflict and (b) it is difficult or expensive for the principle to verify what the agent is actually doing. The principal cannot verify that the agent has behaved appropriately 代理理论尝试解决代理关系中存在的两类问题。(a)当委托人与代理人的利益与目标出现冲突或(b)当委托人对代理人行为的监督很困难或者需要很高的成本时，第一类代理问题就会产生。委托人很难核实代理人的行为是否恰当。 The second is the problem of risk sharing that arises when the principal and agent have different attitudes towards risk. The problem here is that the principle and the agent may prefer different actions because of the different risk preferences 当委托人和代理人对风险持有不同态度时，就会出现第二类代理问题，即风险分担的问题。由于委托人和代理人持有不同的风险偏好，他们可能会采取不同的行动。 Principals can do two things: compensation mechanisms (‘the carrot’) and supervisory schemes (‘the stick’) 委托人可以做两件事情：激励机制（“萝卜”）和监督方案（“大棒”） Agency theory today is used in broader contexts (e.g., parent-subsidiary relations; headquarters-offshore units; franchising; outsourcing; client-professional service provider, etc) 现在，人们在更多的场合中使用代理理论（例如：母公司与子公司关系；总部与海外分部；连锁；外包；客户与专业服务公司等）

Agency Theory 代理理论 Jensen and Meckling (1976) integrate elements from agency, the theory of property rights and the theory of finance to develop a theory of the ownership structure of the firm Jensen和Meckling（1976）整合了代理理论的原理、产权理论和金融理论，提出了关于企业所有权结构的理论。 Jensen and Meckling (1976) argue that contractual relations are the essence of the firm, not only with employees but also with suppliers, customers, creditors, and so on Jensen和Meckling（1976）认为契约关系是企业的核心，契约关系不仅包括与员工之间的，还包括与供应商、消费者、债权人等之间的 Jensen and Meckling (1976) argue that most organizations serve as a nexus for a set of contracting relationships among individuals Jensen和Meckling（1976）认为绝大多数的组织都是以个体之间契约关系的连结这一形式存在的。 Jensen and Meckling (1976) conclude that the level of agency cost depends, among other things, on statutory and common law, and human creativity in devising better contracts Jensen和Meckling（1976）得出的结论是，代理成本的大小，除了其他方面以外，还受到成文法和习惯法以及人类在制定更好契约方面的创造性的影响。 Levinthal (1988) notes that the repetition of an agency relationship over time tends to improve its efficiency. Levinthal（1988）发现一组代理关系的不断重复可以提高其效率。

Agency Theory 代理理论 In economic language, since the first-best outcome could only be achieved in the unrealistic world of costless information flow, our goal must be to do the best we can, to achieve what is sometimes called the second-best solution 用经济学的话说，既然最优结果只有在信息可以无成本流动的非现实情况下获得，我们的目标必然是尽我们最大的努力，以获得所谓的次优解决方案。 The building blocks of agency theory are information and economic incentives 信息和经济激励是代理理论的重要组成部分 Agency loss is more severe when the economic interests or economic values of the principal and agent diverge substantially, and information monitoring is costly; 当委托人与代理人的经济利益和经济价值从本质上出现偏离时，代理损失就会更加严重，信息监控的成本也会很高。 The economic benefits of any reduction in agency loss will be shared by principal and agent in most market situations. 在绝大多数的市场情况下，减少代理损失所带来的经济利益都会由委托人和代理人共同分享。 It is useful to distinguish two types of agency problems: (1) Hidden action model (moral hazard) and (2) Hidden information model (adverse selection) 区分两类代理问题是有意义的：(1)隐藏行动模型（道德风险）和(2)隐藏信息模型（逆向选择） Moral hazard: a party insulated from risk may behave differently from the way it would behave if it were fully exposed to the risk. Adverse selection: "bad" results occur when buyers and sellers have asymmetric information 道德风险：当事人在免遭风险时采取的行为会与其在完全风险暴露下的行为截然不同。逆向选择：当买者与卖者信息不对称时出现的“不好”的结果。

Further Readings on Agency Theory 代理理论的拓展阅读
Fama, E Agency problems and the theory of the firm. Journal of Political Economy, 88: Fama, E. & Jensen, M Separation of ownership and control. Journal of Law and Economics, 26: Jensen, M. & Meckling, W Theory of the firm: Managerial behavior, agency costs and ownership structure. Journal of Financial Economics, 3: Eisenhardt, K Agency theory: An assessment and review. Academy of Management Review, 14: 57-74 Eugene Fama Michael Jensen

Contract Theory 契约理论 In economics, contract theory studies how economic actors can and do construct contractual arrangements, generally in the presence of asymmetric information 在经济学中，契约理论主要研究经济参与者如何制定契约安排，一般是在信息不对称的情况下。 Contract theory also utilizes the notion of a complete contract, which is thought of as a contract that specifies the legal consequences of every possible state of the world 契约理论使用了完全契约的概念，完全契约是指已经规定清楚所有可能情况的法律后果的契约。 More recent developments known as the theory of incomplete contracts, pioneered by Oliver Hart, study the incentive effects of parties' inability to write complete contingent contracts, e.g. concerning relationship-specific investments 不完全契约理论是本理论的最新进展，由Oliver Hart最早提出，研究当事人无法制定完全契约对于契约双方的激励效果，例如有关专用性投资的理论。 Because it would be impossibly complex and costly for the parties to an agreement to make their contract complete, the law provides default rules which fill in the gaps in the actual agreement of the parties 由于合同当事人无法把合同条目设计完美，法律规定默认规则以填补实际合约中的空白。

Contract Theory 契约理论 Social contract theory is quite different from economics/law based contract theory 社会契约理论和以经济/法律为基础的契约理论有很大的差异。 Social contract describes a broad class of theories that try to explain the ways in which people form states and/or maintain social order 社会契约包括了一系列解释人们如何建立国家和/或维持社会秩序的理论。 The notion of the social contract implies that the people give up some rights to a government or other authority in order to receive or maintain social order 社会契约的概念暗示人们为了获得和维持社会秩序愿意向政府或其他权威放弃一部分权力。 Social contract theory formed a central pillar in the historically important notion that legitimate state authority must be derived from the consent of the governed 社会契约理论形成了一个具有历史重要性的概念的核心支柱，那就是合法的国家权力一定源于被统治阶级的同意。 Various proponents of social contract theory attempt to explain, in different ways, why it is in an individual’s rational self-interest to voluntarily give up the freedom one has in the state of nature in order to obtain the benefits of political order 社会契约理论的支持者试图用不同的方法说明自愿放弃与生俱来的自由以获得政治秩序是理性和符合个体私利的。

Further Readings on Contract Theory 契约理论的拓展阅读
Hart, Oliver and Moore, J. 1988: Incomplete contracts and renegotiation. Econometrica, 56: Huberman, G. & Kahn, C Limited contract enforcement and strategic renegotiation. American Economic Review, 78(3): Bernheim, B.D. & Whinston, M.D Incomplete contracts and strategic ambiguity. American Economic Review, 88(4): Cheung, S The contractual nature of the firm. Journal of Law and Economics, 26 (April): 1-21 Klein, B. & Leffler, K.B The role of market forces in assuring contractual performance. Journal of Political Economy, 89(4): Oliver Hart Gur Huberman

Highlight of Mainstream Theories (Theories of Exchange – Social Exchange)
Equity Theory 公平理论 Equity Theory attempts to explain relational satisfaction in terms of perceptions of fair/unfair distributions of resources within interpersonal relationships - first developed in 1962 by John Adams 公平理论由美国心理学家约翰•亚当斯（John Adams)于1962年首先提出。该理论试图用人们对人际交往范围内资源分配是否公平的感知，来解释他们对人际关系的满意度。 It focuses on determining whether the distribution of resources is fair to both relational partners. Equity is measured by comparing the ratios of contributions and benefits of each person within the relationship 这一理论关注资源的分配对于关系的双方是否公平。是否公平是通过比较双方在这段关系中所做贡献和所获收益的比率得到的。 Much like other prevalent theories of motivation, such as Maslow’s hierarchy of needs, equity Theory acknowledges that subtle and variable individual factors affect each person’s assessment and perception of their relationship with their relational partners 公平理论与之前的其他激励理论（如马斯洛的需求层次理论）一样，认为微妙的、可变的个人因素影响着每个人对自身与他人关系的感知和评价。

Equity Theory 公平理论 Equity theory argues: 公平理论认为：
Employees expect a fair return for what they contribute to their jobs, a concept referred to as the “equity norm” 员工期望获得与他们的工作贡献相匹配的收入，这一概念被称为“公平原则”。 Employees determine what their equitable return should be after comparing their inputs and outcomes with those of their coworkers. This concept is referred to as “social comparison” 员工通过与其他同事的投入和产出进行比较决定他们认为公平的收入水平。这一概念被称为“社会比较”。 Employees who perceive themselves as being in an inequitable situation will seek to reduce the inequity either by distorting inputs and/or outcomes in their own minds (“cognitive distortion”), by directly altering inputs and/or outputs, or by leaving the organization 认为自己受到不公平对待的员工会通过在自己的意识中扭曲投入和/或产出（“认知曲解”）、直接改变投入和/或产出、或者离职的方式，减轻不公平。

Further Readings on Equity Theory 公平理论的拓展理论
Adams, J.S Inequity in social exchange. In L. Berkowitz (ed.), Advances in experimental social psychology, Vol. 2: New York: Academic Press Adams, J.S. & Freedman, S Equity theory revisited. In L. Berkowitz (ed.). Advances in experimental social psychology. Vol. 9: New York: Academic Press Hatfield, E. & Sprecher, S Equity theory and behavior in organizations. Research in the Sociology of Organizations. 3: Carrell, M.R. & Dittrich, J.E Equity theory: The recent literature, methodological considerations and new directions. Academy of Management Review, 3(2): Boris, K Equity, equality, power and conflict. Academy of Management Review, 16(2):

Theories of Exchange – Social Exchange 关于交换的理论—社会交换
Social Psychology Theory 社会心理学理论 Social psychology studies how people and groups interact. Scholars in this interdisciplinary area are typically either psychologists or sociologists, though all social psychologists employ both the individual and the group as their unit of analysis 社会心理学研究群体和个人的互动。这一交叉领域的学者一般是心理学家或社会学家，不过所有的社会心理学者都将个人和群体作为他们研究的单元。 Psychologically oriented researchers emphasize the immediate social situation and the interaction between person and situation variables. They focus on the individual and attempts to explain how the thoughts, feelings, and behaviors of individuals are influenced by other people 偏心理学的研究者强调直接的社会情境，以及人与情境变量之间的互动关系。他们关注个体，并试图解释人们的思想、情感和行为是如何受到其他人影响的。 Sociologists are interested in the individual and group, but generally within the context of larger social structures and processes, such as social roles, race, class, gender, ethnicity, and socialization. Some of their major research areas are social inequality, group dynamics, social change, socialization, social identity, and symbolic interactionism 社会学家也对个体和群体感兴趣，但一般着眼于更宏大的社会结构和社会过程，例如社会角色、人种、阶级、性别、民族和社会化。社会不公现象、群体动力学、社会变革、社会化、社会认同以及符号互动是其中一些主要的研究领域。

Social Psychology Theories 社会心理学理论 Social psychologists utilize a wide range of specific theories for various kinds of social and cognitive phenomena: 在社会心理学中，有一系列的理论被用以解释纷繁的社会与认知现象： Attribution Theory (the ways in which people explain the behavior of others: External or situational attributes and internal or dispositional attributes) 归因理论（人们解释他人行为的方式：外部或情景归因与内部或素质归因） Schemata Theory (generalized beliefs or cognitive structures that organize knowledge and guide information processing) 图示理论（概括了组织认识和指导信息处理的观点和认知结构） Self-Perception Theory (we observe ourselves in the same manner that we observe others) 自我知觉理论（我们用自身观察他人的方式观察自己） Social Comparison Theory (humans know themselves by comparison to relevant others) 社会比较理论（人们通过与相关的其他人的比较来了解自己） Social Exchange Theory (human relations are based on rational choice) 社会交换理论（人际关系建立在理性选择的基础之上） Social Identity Theory (Henri Tajfel – how ingroups or outgroups affect perceptions, attitudes and behavior) 社会认同理论（ Henri Tajfel –内部群体或外围群体如何影响认知、态度和行为） Social Learning Theory (Bandura: behavior can be acquired by observing and imitating others) 社会学习理论（ Bandura: 行为可以通过观察与模仿他人习得）

Further Readings on Social Psychology Theories 社会心理学理论拓展阅读
Rubin, J. & Brown, B The social psychology of bargaining and negotiations. New York: Academic Press Katz, D. & Kahn, R.L The social psychology of organizations. New York: Wiley Weick, K.E The social psychology of organizing. Reading, MA: Addison-Wesley Murnighan, J.K Social psychology in organizations: Advances in theory and research. Englewood Cliffs, NJ: Prentice-Hall Tajfel, H., Billig, M.G., Bundy, R.P. and Flament, C. (1971) Social categorisation and intergroup behaviour, European Journal of Social Psychology 1: Bandura, A Social learning theory. Prentice Hall Englewood Cliffs, NJ

Social Identity Theory 社会认同理论 When people are assigned to a group, they immediately and automatically think of that group, and an in-group for them, as better than the alternative, an out-group for them because they are motivated to achieve and maintain a positive self-image 当人们被分配到一个群体时，他们马上自觉地认为这一群体以及群体中的成员，优于其他群体以及其他群体外的成员，他们能因此获取和维持正面的自我形象。 Social identity theory is a diffuse but interrelated group of social psychological theories concerned with when and why individuals identify with, and behave as part of, social groups, adopting shared attitudes to outsiders 社会认同理论是对一类发散但相互联系的社会心理学理论的总结。该理论研究的是从何时开始个体沿用社会群体对局外人的共有的态度，认同和表现为该群体中的一员以及产生这种现象的原因。 This theory is composed of four elements: 该理论由以下四部分组成： Categorization: We often put others (and ourselves) into categories 分类：我们常常将别人（或我们自己）归进不同类别的群体中。 Identification: We associate with certain groups (our ingroups), which serves to bolster our self-esteem 认同：我们将自己与这些群体（我们的内部集团）联系在一起，这会增强我们的自尊心。 Comparison: We compare our groups with other groups, seeing a favorable bias toward the group to which we belong 比较：我们将我们的群体和其他群体进行比较，往往得出一个对我们群体有利的偏向。 Psychological Distinctiveness: We desire our identity to be both distinct from and positively compared with other groups 心理区分：我们喜欢我们与其他群体相比更加正面而且与众不同的身份。

Social Cognition/Learning Theory 社会认知/学习理论 Social cognitive/learning theory posits that portions of an individual's knowledge acquisition can be directly related to observing others within the context of social interactions, experiences, and outside media influences 社会认知/学习理论认为个体部分的知识获取与社会交往、经验、以及外部媒介影响下对他人的观察直接相关。 People are viewed as self-organizing, proactive, self-reflecting and self-regulating rather than as reactive organisms shaped and shepherded by environmental forces or driven by concealed inner impulses. From this theoretical perspective, human functioning is viewed as the product of a dynamic interplay of personal, behavioral, and environmental influences 人类被认为是主动、自我组织、自我反省和自我管理的，而非受环境的力量造就和影响、或者被隐蔽的内部脉冲驱动的反应性生物。根据这一理论视角，人体功能被视为个人影响、行为影响及环境影响动态相互作用的产物。 People learn by observing others, with the environment, behavior, and cognition all as the chief factors in influencing development. These three factors are not static or independent; rather, they are all reciprocal 人们通过观察他人进行学习，环境、行为和认知是影响其发展的最主要因素。这三个因素并非静态和相互独立的；它们相互影响 Environments and social systems influence human behavior through psychological mechanisms of the self system. Hence, social cognitive theory posits that factors such as economic conditions, socioeconomic status, and educational and familial structures do not affect human behavior directly. Instead, they affect it to the degree that they influence people's aspirations, self-efficacy beliefs, personal standards, emotional states, and other self-regulatory influences 环境和社会系统通过自我系统的心理机制影响人类行为。因此，社会认知理论认为经济条件、社会经济地位以及教育和家庭结构并不会直接影响人类行为。取而代之的是，它们通过对人们的愿望、自我效能信念、个人标准、情感状态以及其他自我管理因素的影响来影响人们的行为。

Further Readings on Social Identity/Cognition Theories 社会认同/认知理论拓展阅读
Abrams, D. & Hogg, M.A Social identity and social cognition. Oxford: Blackwell Ashforth, B.E. & Mael, F.A Social identity theory and the organization. Academy of Management Review, 14: 20-39 Fiske, S.T. & Taylor, S.E Social cognition. New York: McGraw-Hill Tajfel, H Social identity and intergroup behavior. Social Science Information, 13: 65-93 Abrams, D. & Hogg, M.A Social identity theory: Constructive and critical advances. London: Harvester Wheatsheaf Mowday, R.T. & Sutton, R.I Organizational behavior: Linking individuals and groups to organizational contexts. Annual Review of Psychology, 44: Flynn, F.J Identity orientations and forms of social exchange in organizations. Academy of Management Review, 30: Bandura, A. Social foundations of thought and action: A social cognitive theory, Prentice-Hall, Englewood Cliffs, NJ, 1986.

Theories of Exchange – Social Exchange 交换理论—社会交换
Social Exchange/Norm Theory 社会交换/规范理论 George Homans’s article entitled “Social Behavior as Exchange” is viewed as the seminal work on this theory. Works by Richard Emerson, Peter Blau, Peter Ekeh, and Karen Cook are also important George Homans的作品《作为交换的社会行为》被认为是这一理论的开山之作。 Richard Emerson、Peter Blau、Peter Ekeh和Karen Cook的作品（对于该理论的发展）也十分重要。 Social behavior is an exchange of goods, material goods but also non-material ones, such as the symbols of approval or prestige. Persons that give much to others try to get much from them (reciprocity), and persons that get much from others are under pressure to give much to them. This process of influence tends to work out at equilibrium to a balance in the exchanges 社会行为是商品的交换方式，这里的商品既包括物质商品又包括非物质商品，例如认可与声望。人们给予别人的同时也希望获得相应的回报（互利互惠），人们从别人获益的同时也承受返还相应回报的压力。这个影响的过程最终会达到交换的均衡。 In deciding what is fair, we develop a comparison level against which we compare the give/take ratio. This level will vary between relationships, with some being more giving and others where we get more from the relationship 为了确定是否公平，我们开发了比较水平，即比较给予/获得的比率。这个水平在不同的关系中也有所不同，我们可能在某些关系中付出更多，而在其他关系中则期待更多的收获。 Today, social exchange theory exists in many forms, but all of them are driven by the same central concept of actors exchanging resources via a social exchange relationship featured by voluntary transfer of resources between multiple actors 如今，社会交换理论有不同的表现形式，但它们始终由一个核心概念驱动，即行动者通过社会交换关系交换资源，资源被不同的行动者自愿地进行转移。

Social Exchange/Norm Theory 社会交换/规范理论 Social exchange interaction between two actors (people, firms etc.) results in various contingencies, where the actors modify their resources to each others expectations 发生在两个行动者（个人、企业等）之间的社会交换会导致各种不同情况的出现，行动者会根据他人的期望修改自身的资源。 Power is the mechanics that can explain the relation of the actors. Power results from resource dependency in a dyadic relation but in a network exchange model, it is also derived from the structure - structural power 权力可以用来解释行动者之间的关系。在二元关系中，权力源于资源依赖，而在一个网络交换模型中，它则是结构的产物——结构性权力。 Staying in or leaving a relationship is not merely a matter of how rewarding that relationship is. Unsatisfactory relationships may remain stable for the lack of a better alternative. These relationships have been conceived of as nonvoluntary relationships 选择保持抑或结束一段关系并不能简单地看这一段关系是否有足够的价值。一段令人不满的关系可以因为缺乏其他选择而保持稳定。这种关系被视为非自愿关系。 Exchange relationships are governed by both normative and cognitive exchange orientations that delineate acceptable and appropriate behavior 交换关系受规范性和认知性的交换导向管理，交换导向划定了可接受的和合适的行为。 Normative orientations refer to the societal views on acceptable and appropriate behavior in relationships. These norms refer to the broader consensus that exists within a culture about how exchange relationships should be structured. Cognitive orientations represent the beliefs, values, and relationship orientations that an individual associates with various types of exchange relationships 规范导向指社会对一段关系中可接受和合适行为的看法。规范指的是文化情境中对于交换关系应该如何构建的广泛的一致意见。认知导向是指个体在不同类型的交换关系中持有的信仰、价值观和关系取向。

Further Readings on Social Exchange Theory 社会交换理论拓展阅读
Ekeh, P.P Social exchange theory. Cambridge, MA: Harvard University Press Cook, K.S. & Emerson, R.M Power, equity and commitment in exchange networks. American Sociological Review, 43: Emerson, R. M Social exchange theory. Annual Review of Sociology. 2: Homans, G.C Social behavior as exchange. American Journal of Sociology, 63: Blau, P.M Exchange and power in social life. New York: Wiley Cook, K.S Exchange and power in networks of inter-organizational relations. Sociological Quarterly, 18: 62-82 Gouldner, A.W The norm of reciprocity. American Sociological Review, 25: Takahashi, N The emergence of generalized exchange. American J. of Sociology, 105:

Social Capital Theory 社会资本理论 Social capital is a sociological concept, referring to connections within and between social networks. This capital possessed by individuals can be transformed to an attribute of collectives. Norms, trust and consensus building (shared interest) help produce social capital. 社会资本是一个社会学概念，指社会网络内部及社会网络之间的各种联系。这种个体拥有的资本可以转化成群体的属性。规范、信任及共识（共同利益）有助于形成社会资本。 Social capital is not equally available to all 社会资本并不是所有人平等享有的。 Instrumental view: Social capital is the aggregate of the actual or potential resources which are linked to possession of a durable network of more or less institutionalized relationships of mutual acquaintance and recognition 工具性视角：社会资本是与拥有持久网络相关的实在和潜在资源的总和，这一网络是建立在相互了解和承认的体制化关系之上的。 Neutral resource view: Social capital is functionally a variety of entities with two elements in common: they all consist of some aspect of social structure, and they facilitate individual or collective action, generated by networks of relationships, reciprocity, trust, and social norms 中立资源视角：能够作为社会资本的不同实体存在两大相同点：它们都包含社会结构的某些方面，它们都产生于关系网络、互惠、信任及社会规范，并能够促进个体或者集体行动

Social Capital Theory 社会资本理论 Social capital requires investment in social relations with expected returns in the marketplace. 社会资本要求对社会关系进行投资，以获得在市场上的预期收益。 Social capital encompasses three clusters/dimensions: Structural, Relational, and Cognitive. Structural dimension relates to an individual’s ability to make weak and strong ties to others within a system Relational dimension focuses on the character of the connection between individuals (trust, cooperation, communication are key elements) Cognitive dimension focuses on the shared meaning and understanding that individuals or groups have with one another 社会资本包含了三个维度：结构、关系和认知。结构维度与个体在系统内部建立强联结与弱联结的能力相关。关系维度关注个体之间联系的特点（信任、合作、交流是其中的关键因素）认知维度关注个体或群体之间相互共享的意义与理解。 Sociologists view social capital as neither an individual-level nor a group-level phenomenon in separation, but one that emerges across levels of analysis as individuals participate in groups 社会学家认为社会资本并非单独存在于个体或者群体层面的现象，而是跨越不同分析层次的，因为群体由个体构成。

Social Capital Theory 社会资本理论 This theory shares the core idea that social networks have value. But most view social capital as a neutral resource, implying it entails positive and negative side effects. 这一理论最核心的观点在于社会网络是有价值的。但普遍认为社会资本是一种中立资源，暗示它存在着积极与消极的作用。 Four negative consequences: 四大负面后果： Exclusion of outsiders 排斥外部人 Excess claims on group members 对群体成员的过度要求 Restrictions on individual freedom 对个体自由的限制 Downward leveling norms 规范向下看齐 Contingent value of social capital: 社会资本的或有价值： Social capital brings about information benefits and control benefits 社会资本带来信息效益与控制效益 These benefits are more valuable to managers with fewer peers 这些效益对拥有较少同伴的经理人更有价值

Social Capital Theory – Further Readings Bankston, C. & Zhou, M Social capital as process: The meanings and problems of a theoretical metaphor. Sociological Inquiry, 72(2): Dasgupta, P. & Serageldin, I Social capital: A multifaceted perspective. Washington, DC. World Bank Knack, S. & Keefer, P Does social capital have an economic payoff? A cross-country investigation. Quarterly Journal of Economics, 112(4): Adler, P.S. & Kwon, S-W Social capital: Prospects for a new concept. Academy of Management Review, 27(1): 17-36 McFadyen, M.A & Cannella, A.A. Jr Social capital and knowledge creation: Diminishing returns of the number and strength of exchange relationships. Academy of Management Journal, 47(5): Florin, J., Lubatkin, M. & Schulze, W A social capital model of high-growth ventures. Academy of Management Journal, 46(3):

Socioeconomic Views toward Exchange: 社会经济学视角下的交换： Economic Sociology Theory 经济社会学理论
Classical and neoclassical economics assumes rational, self-interested behavior affected minimally by social relations 古典主义与新古典主义经济学假定行为是理性的、利己的，基本上不受社会关系的影响。 Social exchange theorists argue instead the role of concrete personal relations and structures of such relations in generating trust and discouraging malfeasance 社会交换理论则强调具体的人际关系及其结构在形成信任和防止不当行为方面的重要作用。 Falling between the above two ends, economic sociologists hold that most economic behaviors and economic exchanges are embedded in social relations. Such relations can mediate complex transactions and generate standards of behavior. A sophisticated account of economic action must consider its embeddedness in social structure 经济社会学家的观点介于两者之间，他们认为经济行为与经济交换普遍嵌入于社会关系之中。这些关系可以调解复杂交易和形成行为准则。对于经济行为的精细解释应该考虑其在社会结构中的嵌入性。 Long-term relationships between organizations can allow them to benefit from idiosyncratic investment of learning to work together, mutual familiarity, and knowledge sharing. This social or relational investment will lose its value when the interfirm relationship discontinues 组织间的长期关系可以使它们从学习如何合作的特殊投资、相互的熟悉度以及知识共享中获益。这种社会的或者说关系的投资会随着企业间关系的结束而失去价值。 Research on opportunism, trust, and cooperation is underpinned by economic sociology theory 经济社会学理论巩固支持了关于机会主义、信任及合作的研究。 In social network theory, social relationships are viewed in terms of nodes and ties. Nodes are individual actors within the network, and ties are the connections linking these actors 社会网络理论从节点和联结的角度看待社会关系。节点是处于网络中的个体行动者，联结是不同行动者之间的联系。

Ron Burt’s Structural Hole (1992): Social networks that bridges “holes” in social structure accrue information advantages by generating fresh perspectives and information Ron Burt的结构洞（1992）：桥接社会结构中的“洞穴”的社会网络通过产生新的观点与信息而累积信息优势。 Brokers who bridge holes will have vision advantages and will consequently be more creative and effective 桥接结构洞的中间人将享受观点优势，并因此更具有创造力和效率。 To maximize the flow of information, Burt advised managers to minimize the redundancy of their information networks by increasing the number of structural holes they bridged 为了最大化信息流量，Burt建议经理人通过增加桥接结构洞的数量，最小化信息网络的冗余。 Later Burt (2005) advocates the combination of two opposing network mechanisms: Brokerage and Closure – arguing the two being complementary for producing social capital: Brokerage is about coordinating people but risky to trust; Closure is about making it safe to trust. Or, bridging a structural hole can create value, but delivering value requires the closed network of a cohesive team around the bridge – a process labeled structural autonomy 随后，Burt（2005）主张融合两类对立的网络机制：经纪与闭合——他认为这两者在形成社会资本方面的作用是互补的，中间人可以协调双方，但却难以信任；闭合则使信任变得安全。或者说，桥接结构洞可以产生价值，但传递价值则需要依靠一个有凝聚力团队的闭合网络——这一过程被称为结构自治 Burt: Social capital generates advantage for specific individuals within a social network Burt认为，社会资本可以使社会网络中的特定个体获益。 Putnam: Communities, not individuals, are advantaged by social capital Putnam则认为，从社会资本中获益的是团体，而非个体。

Structural holes capture, like other related concepts such as weak ties (Granovetter, 1973), range (Reagans and McEvily, 2003), and brokerage (Xian and Tsui, 2007, Fleming and Waguespack, 2007), a key network structural property, the efficient and non-redundant access to resources and information 结构洞，正如弱联结（ Granovetter, 1973）、幅度（ Reagans and McEvily, 2003 ）、中间人（ Xian and Tsui, 2007, Fleming and Waguespack, 2007 ）等其他相关概念，捕捉了一个关键的网络结构特性，即资源和信息的有效率、非冗余的获取方式。 Zaheer and Soda (2009) recently examined the network evolution or the origin of structural holes, arguing that network structures emerge from the interplay of two complementary forces: structural constraints imposed by, and network opportunities provided by, past network structures and positions Zaheer和Soda（2009）最近研究了网络演进，或者说结构洞的起源，认为网络结构的产生源于两股互补力量的相互作用：过去的网络结构和位置强加的结构约束和提供的网络机会。 Interpersonal ties come in three varieties: strong, weak or absent. Weak social ties are responsible for the majority of the embeddedness, structural holes, as well as the transmission of information through these networks. 人与人之间的联结有三种形式：强联结、弱联结和联结缺失。弱社会联结是嵌入性、结构洞以及信息在网络间传递的主要原因。 Granovetter’s article in 1973, The Strength of Weak Ties, has been recognized as one of the most influential sociology papers ever written. In his view, a combination of strong and weak ties holds the members of society together. 格拉诺维特（ Granovetter ）1983年的文章，《弱联结的力量》，被认为是社会学领域最具有影响力的论文之一。根据他的观点，强联结与弱联结的组合使社会成员团结在了一起。

The weak ties hypothesis argues that if A is linked to both B and C, then there is a good probability that B and C are linked to each other (in this case A - B and A - C have strong ties while B – C maintain weak ties). Weak ties will function as the crucial bridge between any two densely knit clumps of close friends. 弱联结假说认为如果A同时与B和C有联系，则B和C之间很可能存在联系（在这种情况下，A-B和A-C为强联结，而B-C则为弱联结）。弱联结发挥着连接两个紧密编织的密友团块的关键桥梁的作用。 Granovetter’s argument (1973) asserts that weak ties (acquaintances) are less likely to be involved within the social network than strong ties (close friends and family), and that the only thing that can connect two social networks with strong ties is a weak tie. Granovetter（1973）认为弱联结（相识）相较于强联结（密友和家人）在社会网络的内部更少见，而却只有弱联结才能连接两个由强联结形成的社会网络。 It follows that individuals are disadvantageous with a few weak ties compared to those with many weak ties, as the former are disconnected with other parts of the network. 拥有较少弱联结的个体相较于拥有较多弱联结的个体存在劣势，因为前者与网络中的其他部分相互分离。 The weak/strong ties paradox is elaborated by myriad authors. Centrality is well studies to address this issue. Power is introduced as well. 无数的研究者对弱/强联结悖论发表了自己的看法。学者对中心度进行了深入探索以研究这一问题。权力也被引入了这一研究领域。

Further Readings on Economic Sociology Theory 经济社会学理论的拓展阅读
Granovetter, M Economic action and social structure: A theory of embeddedness. American Journal of Sociology, 91: Granovetter, M The strength of weak ties. American J. of Socilogy, 78(6): Uzzi, B The sources and consequences of embeddedness for the economic performance of organizations: The network effect. American Sociological Review, 61: Burt, R.S The contingent value of social capital. Administrative Science Quarterly, 42(2): Burt, R.S Brokerage and closure: An introduction to social capital. Oxford U. Press. Uzzi, B Social structure and competition in interfirm networks: The paradox of embeddedness. Administrative Science Quarterly, 42: 35-67 Rangan, S The problem of search and deliberation in economic action: When social networks really matter. Academy of Management Review, 25(4): Fombrun, C.J Structural dynamics within and between organizations. Administrative Science Quarterly, 31(3):

Further Readings on Economic Sociology Theory 经济社会学理论的拓展阅读
Putnam, R.D Making democracy work. Princeton U. Press. Fleming L. and D.M. Waguespack Brokerage, boundary spanning and leadership in open innovation communities. Organization Science, 18: Reagans, R. and B. McEvily, Network structure and knowledge transfer: The effects of cohesion and range. Administrative Science Quarterly, 48: Zaheer, A. and G. Soda Network evolution: The origins of structural holes. Administrative Science Quarterly, 54: 1-31.

Socioeconomic Views toward Exchange: 社会经济学视角下的交换： Network Theory 网络理论
Most companies operate in a network environment, both externally and internally 绝大部分的公司都在网络环境下运营，包括外部网络和内部网络。 Externally, networks allow their member organizations to benefit from information sharing, resource sharing, operation rationalization, and collective power enhancement 从外部来看，网络可以使成员组织从信息共享、资源共享、操作合理化以及集体力量增强中获益。 Internally, subunits within an organization, such as MNC, are coordinated, structured, and organized in a network fashion. Intraorganizational networking is a source of competitive advantage 从内部来看，组织的内部单元，例如跨国企业，是在网络中进行协调、结构和组织的。组织内部网络是竞争优势的其中一个来源。 The fundamental logic of network theory is to allow members to achieve cooperative advantages under uncertainty. Network redresses the deficiency of both economic structure and social exchange 网络理论的基本逻辑就是使成员获得在不确定性下的合作优势。网络同时弥补了经济结构和社会交换的缺陷。 Embeddedness shifts actor’s motivations away from narrow pursuit of immediate economic gains toward enrichment of relationships through trust and reciprocity 嵌入性使行动者的动机从狭隘地追求直接经济利益转变为通过信任和互惠改善关系。 Embedded ties perform three functions: Trust, fine-grained information transfer, and joint problem solving arrangements 嵌入型联结有三大功能：信任、精细的信息传递和联合解决问题的方案。 Embeddedness only yields positive returns up to a threshold point. Once this point is crossed, returns from embeddedness become negative 嵌入性只有在阈值点以下才能产生正面的回报。一旦超过这一点，嵌入性就会带来负面的后果。

Network governance involves a select, persistent, and structured set of autonomous firms engaged in creating products or services based on implicit and open-ended contracts to adapt to environmental contingencies and to coordinate and safeguard exchanges 网络治理指的是一组特定的、持久的、组织良好的自治企业在隐含的、开放的契约基础上共同创造产品和服务，以适应环境变化以及协调和维持交换。 Social network view: Network is governed by informal social systems – Contract is socially – not legally – binding. 社会网络视角：网络受到非正式社会系统的治理。契约的约束力来源于社会而非法律。 Inter-organizational network view: Networks are governed by both formal (including contract) and informal (including social) systems 跨组织网络视角：网络同时受到正式（包括契约）和非正式（包括社会）系统的治理。 Exchange conditions (combinatively and interactively) necessary for network governance to emerge and thrive: 网络治理产生和发展的必要交换条件（它们是相互结合和相互作用的） Demand uncertainty 需求的不确定性 Task complexity 任务的复杂性 Human asset specificity 人力资产的专用性 Frequency 次数的频繁

Structural embeddedness as a foundation of social mechanisms 作为社会机制基础的结构性嵌入 Structural embeddedness – The extent to which a dyad’s mutual contacts are connected to one another – organizations not only have relationship with each other, but also with the same third parties as well 结构性嵌入——一对关系双方的其他联系相互重叠的程度——组织不仅相互之间存在联系，还同时与第三方建立联系。 The higher structural embeddness, the more information each player knows about all other players and more constraints there are on each player’s behavior 结构性嵌入的水平愈高，各参与者对其他参与者的信息掌握得愈多，受到的行为约束也愈多。 Social mechanism as solutions to exchange problems 解决交换问题的社会机制 Coordination – Restricted access and macro-culture 协调——限制性进入与大文化 Safeguarding – Restricted access, Collective sanctions and reputation 保护——限制性进入、集体制裁和声誉 Interaction effect of social mechanisms 社会机制间的相互作用 Multiple social mechanisms interact to decrease coordination costs and enhance safeguarding of customized exchanges 不同社会机制相互作用，以减少协调成本并加强对特定交换的保护 Congruency of social mechanisms reduces coordination costs and enhance safeguarding 社会机制的一致性可以减少协调成本和加强保护

Further Readings on Network Theory 网络理论的拓展阅读
Power, W.W Neither market nor hierarchy: Network forms of organization. Research on Organizational Behavior, 12: Jones, C., Hesterly, W.S. & Borgatti, S.P A general theory of network governance: Exchange conditions and social mechanisms. Academy of Management Review, 22(4): ; Biggart, N.W. & Delbridge, R Systems of exchange. Academy of Management Review, 29(1): Oliver, C Determinants of interorganizational relationships: Integration and future directions. Academy of Management Review, 15: Burt, R.S Toward a structural theory of action. New York: Academic Press Gnyawali, D. & Madhavan, R Cooperative networks and competitive dynamics: A structural embeddedness perspective. Academy of Management Review, 26: Gulati, R. & Gargiulo, M Where do interorganizational networks come from? American Journal of Sociology, 104: Gulati, R., Nohria, N. & Zaheer, A Strategic networks. Strategic Management Journal 21 (Special Issue): Kogut, B The network as knowledge: Generative rules and the emergence of structure. Strategic Management Journal, 21: Ahuja, G Collaborative networks, structural holes and innovation: A longitudinal study. Administrative Science Quarterly, 45: Wasserman, S. & Faust, K Social network analysis: Methods and applications. Cambridge: Cambridge University Press

Socioeconomic Views toward Exchange: 社会经济学视角下的交换： Co-opetition Theory 竞合理论
Coopetition is the simultaneous competition and cooperation between two or more firms in the same time 竞合是指两个或多个企业之间同时进行竞争与合作。 Coopetition arises due to (1) growing interdependence between rivals; and (2) increasing demand for strategic flexibility and collective actions 竞合产生的原因是(1)不断加强的竞争对手间的相互依赖；(2)不断增长的对战略柔性和集体行动的需求 Within coopetition, cooperation increases when (1) threats from other players increase; (2) consumers’ demands become more complex; (3) pressure for value chain integration rises; and (4) firms need harmonized actions to cope the hazardous institutional environment 在竞合中，当(1)来自其他参与者的威胁增加；(2)消费者的需求变得更复杂；(3)出现价值链整合的压力；及(4)危险的制度环境要求企业采取和谐的行动时，企业间的合作会加强。 Within coopetition, competition increases when (1) rivals’ competitive goals overlap; (2) market competition intensifies; (3) competitive asymmetry decreases; and (4) resource interdependence decreases 在竞合中，当(1)对手间的竞争目标出现重叠；(2)市场竞争加剧；(3)竞争不对称性减弱；及(4)资源的相互依赖减少时，企业间的竞争会加强。

Further Readings on Co-opetition Theory
Brandenburger, A.M. & Nalebuff, B.J Co-opetition. Cambridge, MA: Harvard University Press Luo, Y Coopetition in international business. Copenhagen: Copenhagen Business School Press Lado, A.A., Boyd, N.G. & Hanlon, S.C Competition, cooperation and the search for economic rents: A syncretic model. Academy of Management Review, 22(1): Gnyawali, D.R. He, J. & Madhavan, R Impact of co-opetition on firm competitive behavior: An empirical examination. Journal of Management, 32(4): Khanna, T., Gulati, R. & Nohria, N The dynamics of learning alliances: Competition, cooperation, and relative scope. Strategic Management Journal, 19:

Theories of Environment Alignment 关于环境应配的理论
Institutional Theory 制度理论 Institutional theory is a widely accepted theoretical posture that emphasizes rational myths, isomorphism, and legitimacy 制度理论是一个被广泛接受的理论，主要强调理性神化、同构性和合法性。 It seeks to explain homogeneity not variation – in early stage of life cycle, org. fields display diversity in form and approach, but a push toward homogenization once a field is well established 它尝试解释同质性而非变异性——在其生命周期的早期阶段，组织场域在形式和方法上都表现出了多样性，而一旦组织场域开始成熟，则推动组织走向一致 An org. field refers to the totality of relevant factors, not simply competing firms 组织场域不仅包括相互竞争的企业，而包括其他所有相关的因素。 Institutional theory focuses on the deeper and more resilient aspects of social structure. It considers the processes by which structures, including schemas, rules, norms, and routines, become established as authoritative guidelines for social behavior 制度理论关注社会结构中更深入和更富有弹性的方面。它研究特定的模式、规则、规范和常例是如何成为社会行为的权威性指导方针的。

Institutional Theory 制度理论 Institutions are governance structures based on rules, norms, values, and systems of cultural meaning 制度是基于规则、规范、价值观和文化意义系统的治理结构。 Behavior is deeply rooted in and reflective of multiple contexts (culture, legal system, agency interest, etc). Behavior must be explained on a situational basis, with each context different 行为深深地植根于并反映多样的背景环境（文化、法律系统、代理利益等）。必须站在情境的基础上解释行为，因为每一个背景都是不相同的 Different components of institutional theory explain how these elements are created, diffused, adopted, and adapted over space and time; and how they fall into decline and disuse 制度理论的不同部分解释了这些要素是如何在空间和时间上被创造、散播、采纳及改进的；以及它们之后如何衰落和废止。

Theories of Environment Alignment 关于环境应配的理论 Institutional Theory制度理论
Powell and DiMaggio (1991) defined the 'new institutionalism', as rejecting the rational-actor models of classical economics. Instead, it seeks cognitive and cultural explanations of social and organizational phenomena by considering the properties of supra-individual units of analysis that cannot be reduced to aggregations or direct consequences of individuals’ attributes or motives Powell和DiMaggio（1990）通过反对古典经济学的理性行动者模型，定义了“新制度主义”。它通过考虑无法归结到个体属性和动机的总和与直接影响的超个体层面属性，寻找组织和社会现象的认知和文化解释。 Scott (1995) indicates that, in order to survive, organizations must conform to the rules and belief systems prevailing in the environment, because institutional isomorphism, both structural and procedural, will earn the organization legitimacy Scott（1995）指出，为了存活，组织必须与环境中主导的规则和信任系统相统一，因为制度同构性，包括结构同构和过程同构，将赋予组织合法性。 The drive for resource stability leads organizations to seek legitimation. When forced to choose, organizations will select options which preserve and enhance organizational legitimation over organizational efficiency. This way organizations reduce turbulence and maintain stability 组织寻求合法性源于对资源稳定性的渴求。当被迫面临选择时，组织将选择能够保护和提高组织合法性而非促进组织效率的选项。这样能帮助组织减少动荡，保持稳定。

DiMaggio and Powell focused on institutional isomorphism, identifying its three major mechanisms: DiMaggio和Powell关注制度同构，并界定了制度同构的三种主要机制： Coercive: Political influence - Pressures to make organizational procedures and/or structure conform to best practices, arising from the demands of actors on whom the organization is dependent for resources 规制性机制：政治影响力——来自于使组织产生资源依赖的行动者的需求，使组织程序和/或结构与最佳实践相一致的压力 Mimetic: Standard responses to uncertainty - Pressures arising from the drive to reduce uncertainty. Under uncertainty, imitating successful peers is seen as a safe strategy 模仿性机制：对不确定性的标准反应——来自于减少不确定性的压力。在不确定性条件下，模仿成功同类是一个相对保险的策略 Normative : Professionalization - Pressures arising from professionalization, which socializes personnel within the organization to view certain types of structure and process as legitimate. Socialization occurs not only through formal education but also through professional associations, trade associations, and professional media. 规范性机制：专业化——来自于专业化的压力，专业化通过社会化使组织成员认为特定的结构和程序是合法的。社会化不仅在正规教育中出现，还存在于专业组织、贸易组织和专业媒体当中。 Two types of isomorphism – Competitive and institutional 两类同构——竞争同构和制度同构

Predictors of Isomorphic change: 同构化的预测因素 Field-Level Predictors of Isomorphism 地区层面同构化的预测因素 A field’s dependence on a single source of support for vital resources (+) 地区对某些重要资源的需求依赖于单一的渠道(+) A field’s transactions with political agencies (+) 地区与政治机构的交易(+) Number of visible alternative organizational models (-) 可供选择组织模型的数量(-) A field’s technological uncertainty or goal ambiguity (+) 地区的技术不确定性或目标模糊性(+) A field’s professionalism (+) 地区专业化程度(+) Organizational-Level Predictors of Isomorphism (follow those perceived to be successful) 组织层面同构化的预测因素（模仿那些被认为成功的组织） An organization’s dependence on other organizations in a field (+) 组织对地区内另一组织的依赖(+) Means-ends uncertainty (+) 手段-目的不确定性(+) An organization’s goal ambiguity (+) 组织目标的模糊性(+) Reliance on academic credentials in choosing professional personnel (+) 依靠学术认证选择专业人员(+) Participation of professional personnel in trade and professional associations (+) 专业人员参与贸易和专业协会(+)

Institutional theory cannot: 制度理论的缺陷： Lack of attention to the role of organizational self-interest 缺乏对组织自我利益这一角色的关注 Overlook the role of active agency and resistance in organization-environment relations 忽视主观能动性和组织-环境关系中的反抗

Further Readings on Institutional Theory 制度理论的拓展阅读
DiMaggio, P. & Powell, W The iron cage revisited: Institutional isomorphism and collective rationality in organizational fields. American Sociological Review, 48: Oliver, C Strategic responses to institutional processes. Academy of Management Review, 16: North, D Institutions, institutional change, and economic performance. New York: Norton Scott, W.R The adolescence of institutional theory. Administrative Science Quarterly, 32: Scott, W.R Institutions and organizations. Thousand Oaks, CA: Sage Greenwood, R. & Hinings, C Understanding radical organizational change: Bringing together the old and new institutionalism. Academy of Management Review, 21:

Theories of Environment Alignment 关于环境应配的理论 Contingency Theory 权变理论
Contingency theory is a class of behavioral theory that claims that there is no best way to organize a corporation, to lead a company, or to make decisions. The optimal organization/ leadership/decision-making depends upon various internal and external constraints or factors 权变理论是行为理论中的一个学派，认为不存在组织公司、领导企业或制定决策的最优方法。最优的组织/领导力/决策制定模式取决于内外部环境的各种要素和约束。 Richard Scott describes contingency theory in the following manner: "The best way to organize depends on the nature of the environment to which the organization must relate” Richard Scott这样描述权变理论：“最佳的组织形式取决于与组织相关的环境的性质。” Other researchers including Paul Lawrence, Jay Lorsch and James Thompson were complementing to this statement and were more interested in the impact of contingency factors on organizational structure. Their structural contingency theory was the dominant paradigm of organizational structural theories for most of the 1970s 包括Paul Lawrence、 Jay Lorsch 和James Thompson 在内的其他研究者观点与之相辅相成，他们更关心权变因素对组织结构的影响。他们的结构权变理论几乎是20世纪70年代组织结构理论的主导范式。 Effective organizations not only have a proper “fit” with the environment but also between its sub-systems (e.g., subunits) 有效率的组织不仅与环境存在“匹配”关系，“匹配”同时还存在于其次级系统（如次单元）中。 The needs of an organization are better satisfied when it is properly designed and the management style is appropriate both to the tasks undertaken and the nature of the work group 当组织设计恰当，管理风格与当前任务和工作群体的特质相适应时，组织的需求将得到更好的满足。

Theories of Environment Alignment 关于环境应配的理论 Contingency Theory 权变理论
Burns and Stalker identified two organization types: mechanistic, for a task that is routine and unchanging, and organic, for a task that is nonroutine and changing. They discovered that the most successful firms were those that used whichever type was appropriate for a given task (routine task focuses on efficiency; non-routine task emphasizes creativity) Burns和Stalker定义了两种组织类型：机械式组织，这类组织的任务是常规和不变的；有机式组织，这类组织的任务是非常规和变化的。他们发现，最成功的企业往往是那些根据组织任务选择合适类型的组织（常规的任务关注效率；非常规的任务强调创造力） While the contingency approach is useful in recognizing that the complexity involved in understanding human and organizational systems makes it difficult to develop universal principles of management, there have been several criticisms of the approach 权变理论认为了解人类及组织系统的复杂性使得发展出一套普遍适用的管理学原理十分困难，这是其贡献所在，却仍有不少学者对这一方法提出批评。 For one, it has been pointed out that the logical extension of the contingency approach is that all situations are unique. If this is true, then management can be practiced only by intuition and judgment, thereby negating the value of prior knowledge and wisdom 例如，权变理论的逻辑延伸就是所有的情况都是独一无二的。若真如此，所有的管理实践都只能依靠直觉和判断，从而否定了先前所有知识和智慧的价值。

Further Readings on Contingency Theory 权变理论的拓展阅读
Burns, T., Stalker, G.M The Management of Innovation. London: Tavistock Lawrence, P. R., Lorsch, J. W Organization and Environment. Cambridge, MA: Harvard University Press. Drazin, R. & Van de Ven, A Alternative forms of fit in contingency theory. Administrative Science Quarterly, 30: Hofer, C.W Toward a contingency theory of business strategy. Academy of Management Journal, 18: Donaldson, L The contingency theory of organizations. Thousand Oaks, CA: Sage Feldman, D.C A contingency theory of socialization. Administrative Science Quarterly, 12: Galbraith, J Designing complex organizations. Reading, MA: Addison-Wesley Nadler, D.A. & Tushman, M.L Competing by design. Oxford: Oxford University Press Shepard, J.M. & Hougland, J.G Contingency theory: Complex man or complex organization? Academy of Management Review, July:

Strategic Choice Theory 战略选择理论 Strategic choice theory is a theory in which forces and variables in the external environment are dynamic, and that business strategies are affected by the interactions between these factors 战略选择理论认为外部环境中的力量和变量是动态的，经营战略受到这些因素相互作用的影响。 The ability of decision-makers (agents) to make a `choice’ between policies depends ultimately upon how far they could preserve autonomy within the environment, through achieving the levels of performance expected to them 决策者（代理人）在政策之间进行“选择”的能力最终取决于他们能够在多大程度上通过获得预期的绩效水平，以保持在环境中的自主权 The three key issues arising from the theory concern (1) the nature of agency and choice (2) the nature of environment and (3) the nature of the relationship between agents and the environment and between strategy and environment 这一理论的三大核心问题是：(1)代理人与选择的性质；(2)环境的性质及(3)代理人与环境关系、战略与环境关系的性质 Changing external environment induce decision-makers to make adjustment in their competitive business strategies. In making these adjustments, the range of options considered are filtered and constrained so as to be consistent with the values, beliefs, and philosophies engrained in the mind of key decision-makers 变化的外部环境促使决策制定者调整其竞争性经营战略。在进行调整的过程中，考虑的意见范围将受到过滤和限制，以与关键决策制定者思想中根深蒂固的价值观、信仰和哲学保持一致。

Strategic Choice Theory 战略选择理论 “Strategic choice” is defined as the process whereby power-holders within organization decide upon courses of strategic action “战略选择”是指组织内掌权者决定战略行动路线的过程。 This theory conceives of action being informed by the prior cognitive framing of actors and of organizations in the form of embedded routines and cultures. Actor’s prior value, experience and training will color his evaluation in some degree 这一理论认为行动是由行动者和组织先前的认知框架所决定的，这一认知框架以嵌入式的常规和文化的形式存在。行动者先前的价值观、经验、训练都会在不同程度上影响他的评估。 Per Mintzberg, strategy formation walks on two feet, one deliberate and the other is emergent. Between these two extremes, there are different type of strategies: 按照Mintzberg的说法，战略制定有两条腿，一条是深思熟虑的，而另一条则是自然形成的。在这两个极端之间，存在着不同类型的战略： Planned strategy (leader is the center of authority with clear intension and formal control) 计划型战略（领导者是权力中心，拥有清晰的意图和正式的控制） Entrepreneurial strategy (owner tightly controls the firm, common in young firms) 创业型战略（所有者严格控制企业，在新创企业中较为普遍） Ideological strategy (collective vision sharing) 意识型战略（集体享有共同的愿景） Umbrella strategy (leaders have only partial control) 雨伞型战略（领导者只享有部分的控制权） Process strategy (leaders design the system from which patterns of action evolve from) 过程型战略（领导者设计行为模式的系统） Unconnected strategy (subunits or individuals are able to realize their own stream of action) 无关型战略（次单元及个体可以进行它们自身的行动） Consensus strategy (mutual adjustment among different actors and actions) 一致型战略（不同行动者和行动之间的相互调整） Imposed strategy (strategy or action comes out of the firm) 强加型战略（战略和行动来自于企业之外）

Further Readings on Strategic Choice Theory 战略选择理论的拓展阅读
Child, J Organizational structure, environment and performance: The role of strategic choice Hrebiniak, L.G. & Joyce, W.F Organizational adaptation: Strategic choice and environmental determinism. Administrative Science Quarterly, 30: Lawrence, P. & Lorsch, J.W Differentiation and integration in complex organizations. Administrative Science Quarterly, 12: 1-47 Ginsberg, A Measuring and modeling changes in strategy: Theoretical foundations and empirical directions. Strategic Management Journal, 9: Mintzberg, H. & Waters, J.A Of strategies deliberate and emergent. Strategic Management Journal, 6:

Theories of Environment Alignment 关于环境应配的理论 Resource Dependence Theory 资源依赖理论
RDT is the study of how external resources of organization affect its behavior. It assumes that organizations are always constrained by a network of interdependencies with other organizations 资源依赖理论主要研究组织的外部资源如何影响其行为。它假定组织始终受到与其他组织相互依赖的网络关系的约束。 RDT proposes that actors lacking in essential resources will seek to establish relationships with (i.e., be dependent upon) others in order to obtain needed resources 资源依赖理论认为行动者在缺乏必要资源时，将寻求与其他组织建立联系（即依赖于其他组织），以获得所需要的资源。 Also, organizations attempt to alter their dependence relationships by minimizing their own dependence or by increasing the dependence of other organizations on them 同样地，组织试图通过最小化它们自身对外界的依赖程度或增加其他组织对它们的依赖程度，从而改变它们的依赖关系。 Within this perspective, organizations are viewed as coalitions alerting their structure and patterns of behavior to acquire and maintain needed external resources - modifying an organization’s power with other organizations 根据这一观点，组织被视为通过改变其结构和行动方式以获得并保持所需要外部资源的联盟——改变一个组织对另一个组织的权力。 Although RDT was originally formulated to discuss relationships between organizations, the theory is applicable to relationships among units within organizations 资源依赖理论设立之初是用于研究组织间关系的，但这一理论对同一组织内部不同单元之间的关系同样适用。

Organizations take actions to manage external interdependencies. These patterns of dependence produce interorganizational and intraorganizational power, where such power has some effect on organizational behavior 组织会采取行动管理外部依赖性。这些相互依赖形成了组织之间与组织内部的权力，从而对组织行为造成影响。 This dependence leads to power imbalance and control attempts 依赖将导致权力的不平等及控制的企图。 Five options to minimize environmental dependences: 最小化环境依赖的五个选择： Mergers/vertical integration 兼并/纵向一体化 Joint ventures or other interorganizational partnerships 建立合资企业或其他的组织间合伙方式 Boards of directors 董事会 Political action 政治行动 Executive succession 高管继任

RDT also holds: 资源依赖理论还认为： Organizations are assumed to be comprised of internal and external coalitions which emerge from social exchanges that are formed to influence and control behavior 组织由内部和外部联盟构成，这些联盟产生于影响和控制行为的社会交换。 The environment is assumed to contain scarce and valued resources essential to organizational survival. As such, the environment poses the problem of organizations facing uncertainty in resource acquisition 环境拥有稀缺的、有价值的、组织生存所必需的资源。同样地，环境也使组织在获取资源时面临不确定性。 Organizations are assumed to work toward two related objectives: acquiring control over resources that minimize their dependence on other organizations and control over resources that maximize the dependence of other organizations on themselves. Attaining either objective is thought to affect the exchange between organizations, thereby affecting an organization’s power 组织朝两个相互关联的目标努力：取得对资源的控制权以最小化对其他组织的依赖，以及取得对资源的控制权以最大化其他组织对它们的依赖。取得任意一个目标都将影响组织间的交换，从而影响组织的权力。

Further Readings on Resource Dependence Theory 资源依赖理论的拓展阅读
Pfeffer, J. & Salancik, G.R The external control of organizations. New York: Harper & Row Provan, K.G., Beyer, J.M. & Kruytbosch, C Environmental linkages and power in resource-dependence relations between organizations. Administrative Science Quarterly, 25: Provan, K.G Interorganizational linkages and influence over decision-making. Academy of Management Journal, 25: Pfeffer, J. & Leong, A Resource allocation in United Funds: An examination of power and dependence. Social Forces, 55: Tolbert, P.S Resource dependence and institutional environments. Administrative Science Quarterly, 20: Boyd, B Corporate linkages and organizational environment: A test of the resource dependence model. Strategic Management Journal, 11:

Theories of Environment Alignment 关于环境应配的理论 Gidden’s Structuration Theory 吉登斯的结构化理论
The theory of structuration is an attempt to reconcile theoretical dichotomies of social systems such as environment/response, subjective/objective, and micro/macro perspectives 结构化理论试图调和社会系统理论中的二元论,例如环境/响应、主观/客观以及微观/宏观。 It holds that all human action is performed within the context of a pre-existing social structure which is governed by a set of norms and/or laws which are distinct from those of other social structures 它认为所有人类行动都是在既有的社会结构上存在的，这一社会结构受到一系列不同于其他社会系统的规范或/和法律的统治。 Structuration theory aims to avoid extremes of structural or agent determinism. The balancing of agency and structure is referred to as the duality of structure: social structures make social action possible, and at the same time that social action creates those very structures 结构化理论旨在避免极端的结构或能动性决定论。结构和能动性的统一被称为结构的二重性：社会结构使行动成为可能，而同时正是社会行动创造了这些结构。 For Giddens, structures are rules and resources organized as properties of social systems. Rules are patterns people may follow in social life. Resources relate to what is created by human action; they are not given by nature Giddens认为，结构是指作为社会系统属性的规则和资源。规则是人们在社会生活中遵循的模式。资源是由人类行为所创造的，而非自然所给予的。

Theories of Environment Alignment 关于环境应配的理论 Gidden’s Structuration Theory 吉登斯的结构化理论
The theory employs a recursive notion of actions constrained and enabled by structures which are produced and reproduced by those actions 这一理论使用了一个递归的行动的概念，即结构约束行动，也使行动成为可能；行动产生并复制了结构。 A social system can be understood by its structure, modality, and interaction. Structure is constituted by rules and resources governing and available to agents. The modality of a structural system is the means by which structures are translated into action. Interaction is the activity instantiated by the agent acting within the social system 可以通过结构、形式和互动了解一个社会系统。结构是由能动者遵循的规则和能动者可用的资源构成的。一个社会系统的形式是指结构转化成行动的方式。互动是指社会系统内部能动者行为的实体化。 Agents' knowledge of their society informs their action, which reproduce social structures, which in turn enforce and maintain the dynamics of action. Agency can lead to both the reproduction and the transformation of society 能动者对他们所在社会的认识影响了他们的行为，同时复制了社会结构，而社会结构又反过来强化和维持了行动的动态。能动性导致了社会的复制和变革。 Giddens identifies three types of structures in social systems: signification (societal interpretation), legitimation (societal rules and norms), and domination (power) Giddens定义了社会系统的三种结构：表意性（社会解释）、合法性（社会规则和规范）和支配性（权力）

Gidden’s Structuration Theory 吉登斯的结构化理论
Giddens, A Profiles and critiques in social theory. Berkeley, CA: University of California Press Giddens, A The constitution of society: Outline of the theory of structuration. Berkeley, CA: University of California Press Giddens, A Politics, sociology, and social theory. Stanford, CA: Stanford University Press Anthony Giddens

Theories of Environment Alignment 关于环境应配的理论 Co-evolution Theory 共演理论
Coevolution is the joint and interactive outcome of managerial intentionality, organizational efforts, and environmental change. Coevolution assumes that organizational and environmental changes occur in a simultaneous and interactive manner 共演是管理层意图、组织努力和环境变化共同作用的结果。共演假定组织和环境的变化是同时发生和相互作用的。 Thus, strategy is not merely a passive response to, but rather a proactive intention to change, task and institutional environments facing the firm 因此，战略不仅是企业对所面临的任务和制度环境的消极响应，更是对其的积极改变。 Strategic and environmental changes are bi-directional, interactional, and mutually reinforcing 战略变革和环境变化是双向、互动、相互强化的。 Organizations and their parts, both internal (subunits) and external (e.g., suppliers or competitors) coevolve with each other and with a changing environment 组织和它们的部分，包括内部的（次单元）和外部的（如供应商和竞争者），以及变化的环境相互共同演进。 Co-evolution incorporates the premise that adaptation and selection are not orthogonal forces but are fundamentally interrelated 共演理论包含的前提假设是适应和选择并非两股无关的力量，而是从根本上相互联系的。

For co-evolution to occur, the population must consist of heterogeneous firms that have adaptive/learning capability and are able to interact and mutually influence each other 共演发生的前提是，总体中必须包含具有适应/学习能力，能够进行互动并相互影响的性质相异的企业 Forms of coevolution: 共演的形式： Naïve selection – blind variation 初级选择—无规律的变化 Managed selection – deliberate variation 管理选择—有目的的变化 Hierarchical renewal – administrative 分级更新—管理的 Holistic renewal – collective sense-making 全盘更新—集体的意义构建 Principles of coevolution: 共演的原则： Managing internal rates of change to match external rates of change 管理内部的变化速度以与外部的变化速度相匹配 Nurturing self-organization 培养自我组织 Sustaining concurrent exploration and exploitation 持续进行同时的探索和开发

Property 1 – Multidirectional causality: one or more populations evolve in response to several other populations in a broader ecological system 属性1—多向因果：一个或多个群体的演进是对更广阔生态系统中的其他不同群体的响应 Property 2 – Positive feedback: the recursive interactions between environment and organization result in interdependencies and circular causality with continuous feedback 属性2—积极反馈：环境与组织间递归的相互作用导致了相互依赖和不断反馈的循环因果关系 Property 3 – Path dependence: Firms vary among themselves in the coevolution process because they differ in their history, experience, path, and capability 属性3—路径依赖：企业在共同演化的过程中，也会因为各自在历史、经验、路径和能力方面的差异而有所不同 Property 4 – Nonlinearity: Environment uncertainty, indeterminate feedback paths, and heterogeneity across units in population propel this nonlinearity 属性4—非线性：环境的不确定性、模糊的反馈路径和总体各单元间的异质性导致了非线性的出现

Research implications: 研究启示： Using longitudinal data 使用纵向数据 Considering multidirectional causalities between micro- and macro-coevolution 考虑微观与宏观共同演进的多向因果关系 Incorporating mutual, simultaneous, lagged, and nested effects 涵盖相互、同时、延迟和嵌套效应 Considering path dependence which enables or restricts adaptation 考虑导致和限制适应能力的路径依赖问题 Including different institutional systems within which firms are embedded 包括企业所嵌入的不同制度系统 Accommodating economic, social, and political macro-variables that may change over time 纳入经济、社会、政治等会随时间变化的宏观变量

Further Readings on Co-evolution Theory 共演理论的拓展阅读
Lewin, A. Y. & Volberda, H Prolegomena on co-evolution: A framework for research on strategy and new organizational forms. Organization Science, 10: Volberda, H.W. & Lewin, A.Y Co-evolutionary dynamics within and between firms: From evolution to co-evolution. Journal of Management Studies, Rodrigues, S. & Child, J Co-evolution in an institutionalized environment. Journal of Management Studies, 40(8): Suhomlinova, O Toward a model of organizational co-evolution in transition economies. Journal of Management Studies, 43(7):

Theories of Environment Alignment 关于环境应配的理论 Population Ecology Theory 种群生态理论
Organizational ecology provides a dynamic perspective to examine how organizations evolve in response to environmental factors (including competition and legitimacy) 组织生态学提供了检验组织响应环境因素（包括竞争性和合法性）演化的动态视角。 Using the population as their level of analysis, population ecologists examine the birth and mortality of organizations and organizational forms within the population over long periods 使用群体作为研究的分析层次，种群生态学家研究在一段相当长时期内群体内部组织的诞生、死亡以及组织的形式。 Hannan & Freeman believe that long-term change in the diversity of organizational forms within a population occurs through selection rather than adaptation. Most organizations have structural inertia that hinders adaptation when the environment changes. Those organizations that become incompatible with the environment are eventually replaced through competition with new organizations better suited to external demands Hannan和Freeman相信群体内部组织形式多样性的长期的变化是选择而非适应的结果。大部分组织都有在环境变化时阻碍适应的结构惰性。那些变得与环境不相容的组织最后将在竞争中被那些更能适应外部需求的新组织替代。 Analysis in population ecology has three levels: (1) explaining birth and death rates within a population (2) explaining vital-rate interaction between populations and (3) examining "communities of populations" sharing similar environments 种群生态学的分析有三个层级：(1)解释群体的出生率和死亡率；(2)解释不同群体间存活率的相互作用以及(3)检验共享相似环境的“总体的群落” A defining feature of this theory is that selection disproportionately removes organizations that are less fit 这一理论的一个关键性论点就是选择过程不成比例地淘汰不匹配的组织。

The theory also explains the effect of initial founding conditions of organizations on their future development – these conditions have “imprinted” effect 这一理论也解释了组织初创时的条件对它们之后发展的影响，这些条件具有“印刻”效应。 It also realizes the shaping effect of environments on organizational development – e.g., competition and institutional rules will affect resource availability to organizations and their legitimization in an environment 它同时认识到了环境对组织发展的塑造效应——例如，竞争和制度性规则将影响组织的资源可用性及它们在环境中的合法性 Using the analogy of Darwinian evolution, Hannan & Freeman investigate founding rates and death rates of organizational populations, and suggest that the rates are density-dependent. The expectations are: 利用达尔文进化论的类比， Hannan和Freeman研究了组织群体的设立率和死亡率，认为这些比率受密度制约。他们预期： The relationship between density and mortality rates is U-shaped 密度和死亡率之间存在U型曲线关系 The relationship between density and founding rates has an inverted U-shape 密度和设立率之间存在倒U型曲线关系 These expectations are derived from the following four assumptions: 这些预期源于以下4个假设： Organizations develop routines which ensure reliability and accountability 组织制定制度以保证可靠性和责任性 Reliability and accountability require organizational structures that are highly reproducible可靠性和责任性要求组织结构是高度可再生的。 This reproduction of routines that are almost similar is the cause of organizational inertia. Inertia is considered a consequence of selection 制度的可再生性是组织惯性产生的原因。惯性被认为是选择的结果。 The environment will select organizations with high inertia 环境将选择具有高度惯性的组织

More recently, the effectiveness of selection processes in eliminating less fit organizations from a population has been challenged (see Levinthal and Posen, 2007). The extrapolate that population-level selection processes will be inefficient in that organizations will potentially superior long-term performance will be selected out. 最近，选择过程排除群体中不匹配组织的有效性受到了挑战（见Levinthal和Posen，2007）。群体层面选择过程无效的原因在于有潜力获得长期优秀绩效的组织将被剔除。 That is, selection may be systematically prone to errors and that these selection errors are endogenous to, and differ markedly across, firms’ search strategies or routines. Selection processes can be fundamentally myopic in that they cannot “see” those future effects. 换言之，选择过程系统性地更倾向于出错，选择性谬误是企业的搜索战略和日常活动内生的，并随企业的搜索战略和日常活动有显著不同。选择过程在本质上就是短视的，因为它们无法“预见”未来的效应。 One important consequence of the selection myopia is that even if selection is effective in removing inferior organizations at one point in time, it may be ineffective over time in that it may remove organizations that, had they survived, would have gone to do well. 选择短视的一个重要后果就是即便选择能够在某一时间点有效地剔除业绩较差的组织，它在长期来说也可能是无效的，因为它可能剔除如果存活下来则会在未来表现优异的企业。

Five sub-theories: 五个次级理论： Structural inertia theory: Organizations are largely inert, and such pressure comes from both internal structural arrangements and environmental constraints. Organizations that are both reliable and accountable are those that can survive (favored by “natural selection”). A negative by-product of reliability and accountability, however, is higher inertia and resistance to change. Change is disruptive and may lead to mortality. Broader changes thus come mainly from entry of newly founded organizations and selective replacement of unfit organizations 结构惰性理论：组织普遍是有惰性的，这种压力来自于内部结构安排和外部环境约束。那些存活下来的组织（受到了“自然选择”的眷顾）同时具备可靠性和责任性。可靠性和责任性的副作用是高度惯性和抗拒改变。变革具有破坏性，有可能带来死亡。因此，更广层面上的变化主要来自于新创组织的进入和不合适组织的替换。 Niche-width theory: It defines two types of organizations: generalists and specialists. Per Hannan and Freeman, specialist maximizes its exploitation of environment and accepts the risk of experiencing a change in that environment. Generalist accepts lower exploitation in return for greater security. Specialization is favored in stable or certain environment. Efficiency resulting from specialism is partly derived from lower requirements for excess capacity. Generalism is favored in unstable and unpredictable environment, though not always 利基宽度理论：有两种类型的组织：综合化组织和专业化组织。根据Hannan和Freeman的观点，专业化组织可以使环境开发的利用率最大化，同时承担环境变化所带来的风险。综合化组织则接受较低的开发回报以求更多的安全性。专业化在稳定或确定的环境中较受青睐。专业化所带来的高效率部分源于对超额产能的较低要求。综合化在不稳定或无法预知的环境中较受青睐，但也并非总是如此。

Five sub-theories:五个次级理论： Resource partitioning theory: More available resources can translate into better chances of success for specialists when they operate in a more concentrated market – that is, in markets with competition among large generalists, specialists can thrive 资源分割理论：当市场变得更加集中时，更多的可用资源使专业化组织更可能获得成功——也就是说，在大型综合化组织相互竞争的市场中，专业化组织更可能蓬勃发展。 Density dependence theory: inverted U shape between founding rate and density due to legitimacy but U shape between mortality rate and density due to competition 密度依赖理论：设立率与密度之间的倒U型关系源于合法性，而死亡率与密度之间的U型关系则源于竞争。 Age dependency theory: Liability of newness – higher propensity of younger organizations to die due to stronger selection pressures arising from greater difficulty in (a) external legitimacy and (b) internal coordination processes 年龄依赖理论：新创弱性——由于更难取得(1)外部合法性和(2)内部协调过程而带来的更强大的选择压力，新创组织更容易死亡

Further Readings on Population Ecology Theory 种群生态理论的拓展阅读
Hannan, M.T. & Freeman, J.H The population ecology of organizations. American Journal of Sociology, 82: Carroll, G.R Ecological models of organizations. Cambridge, MA: Ballinger Hannan, M.T. & Freeman, J.H Structural inertia and organizational change. American Sociological Review, 49: Cohen, M.D., March, J.G. & Olsen, J.P A garbage can model of organizational choice. Administrative Science Quarterly, 17: 1-25 Betton, J. & Dess, G.G The application of population ecology models to the study of organizations. Academy of Management Review, Oct, pp Singh, J.V., Tucker, D.J. & House, R.J Organizational legitimacy and liability of newness. Administrative Science Quarterly, 31: Amburgey, T.L. & Rao, H Organizational ecology: Past, present and future directions. Academy of Management Journal, 39:

Boundary-Spanning Theory 跨边界理论
Two boundary-spanning roles: Information processing and external representation 两类跨越边界角色：信息处理和外部表示 Information processing – An organization’s ability to adapt to environmental contingencies depends in part on the expertise of boundary role incumbents in selecting, transmitting and interpreting information originating in the environment 信息处理——组织适应环境变化的能力部分取决于现有的边界角色在选择、传送和解读环境信息方面的专业水平。 External representation – (a) enhancing the legitimacy (b) maintaining organizational image and (c) making the organization visible 外部表示—— (a) 提高合法性， (b) 维护组织形象，和(c)使组织可视 The theory views boundary spanning roles as the critical link between environmental characteristics and organizational structure, arguing that organizations face multiple environments and thus can have a variety of boundary roles of units with different structural characteristics 这一理论将跨边界角色视为环境特性和组织结构的重要联系，认为组织面临各种环境因此具有相对应的具有不同结构特性的边界任务角色。

Boundary-Spanning Theory 跨边界理论
Creation of boundary-spanning roles跨越边界角色的产生 Technology: Organizations using long-linked and intensive technologies will have a smaller proportion of boundary roles 技术：使用密集型技术的组织边界角色的比例较小。 Environment: (a) Organizations in rapidly changing environments will have a higher proportion of boundary roles than organizations in stable environments and (b) Boundary roles are most likely to be formalized when crucial environmental contingencies have been explicitly recognized by decision makers, or when the organization is structured in a way that facilitates the adoption of innovation through imitation and learning from other organizations 环境： (a) 在快速变化环境中的组织相较于在稳定环境中的组织有更高比例的边界角色。 (b) 当决策制定者清晰地认识到重大的环境变化，又或者当组织结构利于通过模仿和学习其他组织的方式进行创新时，边界角色就会被正式化。 Boundary role routinization varies directly with the volume of repetitive work, outcome predictability, and the need to control the behavior of members 边界角色的程序化随重复作业的数量、结果的可预测性、管控成员行为的需要而变化。

Loose Coupling Theory 松散耦合理论
Glassman (1973) :loose coupling is present when systems have either few variables in common or the variables they have in common are weak Glassman（1973）：当系统之间几乎不存在共同变量，或存在的共同变量很弱时，就会出现松散耦合 Weick (1976) : loose coupling as a situation in which elements are responsive, but retain evidence of separateness and identity Weick（1976）：松散耦合是指各要素相互响应，同时保持各自的独立性和特征。 Weick (1982) : loose coupling is evident when elements affect each other "suddenly (rather than continuously), occasionally (rather than constantly), negligibly (rather than significantly), indirectly (rather than directly), and eventually (rather than immediately) Weick（1982）：在松散耦合中，各要素的相互作用是突然的（而非持续的）、偶尔的（而非不断的）、微小的（而非重大的）、间接的（而非直接的）和终极的（而非立即的） Loose coupling occurs at levels of: individuals, subunits, organizations, hierarchical levels, organization and environment, and activities 松散连接在不同的层面出现，包括个体、次单元、组织、层级、组织与环境以及活动 The theory combines the contradictory concepts of connection and autonomy 这一理论结合了联系和自治两个相互矛盾的概念

Coupled: elements are linked and preserve some degree of determinacy 耦合：各要素相互联系，同时保持一定的确定性 Loosely: elements are subject to spontaneous changes and preserve some degree of independence and indeterminacy 松散：各要素同时变化，但仍然保持一定的独立性和不确定性 Loosely Coupled 松散耦合 open 开放 closed 闭合 indeterminate 不确定的 rational 理性的 spontaneous 同时的 deliberate 的

No distinctiveness 非特殊 tightly coupled 紧密耦合 Noncoupled 非耦合 Distinctiveness 特殊 Loosely coupled 松散耦合 Decoupled 解除耦合 Responsiveness 响应 No responsiveness 非响应 Tightly coupled: having responsive components that do not act independently 紧密耦合：元件能够相互响应，却不能单独工作 Loosely coupled: having independent components that do not act responsively 松散耦合：元件能够单独工作，却不能相互响应 Loose coupling exists because of causal indeterminacy caused by unclear means-ends connections, bounded rationality, selective perception, uncertainty and ambiguity. Fragmented external and internal environments also prompt loose coupling 松散耦合由于不确定性而存在，而这种不确定性是有不确定的手段-目的联系、有限理性、选择性知觉、不可靠性和不明确性导致的。

Modularity, discretion, shared values, focused strategies are important to design loose coupling as a management strategy 模块化、自由裁量权、共同的价值观、聚焦的战略是决定选择松散耦合战略的关键。 Loose coupling could have outcome repercussions concerning persistence, buffering, adaptability, satisfaction, and effectiveness 松散耦合最终会导致对持续能力、缓冲能力、适应能力、满意度和效率的影响。

A Preliminary Model of Loose Coupling Theory 松散耦合理论的初始模型

Further Readings on Loose Coupling Theory 松散耦合理论的拓展阅读
Orton, J.D. and Weick, K.E Loosely coupled system: A re- conceptualization. Academy of Management Review, 15(2): Orton, J. D. & Weick, K. E Toward a theory of the loosely coupled system. Working Paper No University of Michigan, School of Business Administration, Ann Arbor, MI. Lutz, F. W Tightening up loose coupling in organizations of higher education. Administrative Science Quarterly, 27: Gamoran, A. & Dreeben, R Coupling and control in educational organizations: An explication and illustrative comparative test. Administrative Science Quarterly, 31: Luke, R., Begun, G. W. & Pointer, D. D Quasi firms: Strategic interorganizational forms in the health care industry. Academy of Management Review, 14: 9-19 Weick, K.E Educational organizations as loosely coupled systems. Administrative Science Quarterly, 21, 1-18 Weick, K.E Management of organizational change among loosely couple systems, in P.S. Goodman and Associates (Editors), Change in organizations. San Francisco: Jossey-Bass,

Information Processing Theory 信息处理理论
Three assumptions 三大假设 (1) organizations are open social systems which must deal with work-related uncertainty. (1)组织是处理与工作相关不确定性的开放的社会系统 (2) organizations can fruitfully be seen as information processing systems. (2)组织可以被视为信息处理系统 (3) organizations can be viewed as composed of sets of groups or departments (subunits). (3)组织可以被视为群体和部门（次单元）的集合

An Information Processing Model 信息加工模型
Subunit Task Characteristics 次单元任务特性 —— Task Complexity 任务复杂性 Interdependence 任务相互依赖性 Organismic or Mechanistic Design of Subunits 次单元的机械式或有机式组织设计 The difference between information possessed and information required to complete a task 完成任务所需的信息加工与信息获取的差异 Uncertainty facing the set of Subunits 次单元面临的不确定性 Information Processing requirements facing Organizations 组织面临的信息处理要求 Information Processing Capacities of structure 结构的信息处理能力 “Fit” “匹配” Subunit Task Environment 次单元任务环境 Feasible set of Coordination And control Mechanisms 可用的协调和控制机制 Effectiveness 有效性 Inter-Unit Task Interdependence 单元间任务的相互依赖性

Further Readings on Information Processing Theory 信息处理理论的拓展阅读
Tushman, M. L. and Nadler, D.A Information processing as an integrating concept in organizational design. Academy of Management Review, July: Egelhoff, W. G Information processing theory and the multinational enterprise. Journal of International Business Studies, 22(3):

Theory of Firm Growth 关于企业成长的理论
Penrose viewed the firm as a 'bundle of resources' because she saw resources--in particular human resources--as both the key to the firm's success and the principal constraint on its growth Penrose认为企业是一个资源束，因为她认为资源（特别是人力资源）是企业成功的关键，也是制约企业成长的首要因素 The tacitness of information--on which modern resource-based theory places so much emphasis--not only protects the secrets of the firm's entrepreneurial success, but also inhibits the assimilation of the additional human resources required to sustain its growth 信息的内隐性——为现代资源基础理论所高度强调——不仅保护了企业创业成功的秘密，同时也抑制了对维系增长的额外人力资源的同化。 The growth rate of the firm reflects a balance between the entrepreneurial dynamism which drives its diversification, and the difficulty of enlarging the firm‘s management team to exploit the resultant opportunities 企业增长率是企业在促使其多元化的创业活力与扩大企业管理团队进行机会开发所存在的困难之间的平衡。 Change is expensive in other ways too. The firm faces 'costs of growth' which increase, not with the size of the firm, but with its rate of growth 变革是昂贵的。企业面临的“成长的成本”随企业的增长率，而非企业的规模，增加。 Profitability of the firm is independent of its size and depends only on its rate of growth. This leads to a simple formula for the value of a growing firm, as determined by the present value of its future profit stream 企业的盈利能力与规模无关，只取决于其增长率。由此可以得到关于成长企业价值的简单公式，即由它未来利润流的当前价值决定。 Edith Penrose Richard Cyert James March

Theory of Firm Growth 关于企业成长的理论
Unused (slack) resources always exist, which can be a stimulus to growth and affect the direction of expansion 闲置（冗余）资源总是存在，它可以刺激增长，并影响扩张的方向。 Managerial resources are critical and firm-heterogeneous because expansion requires planning, coordination, and “authoritative communication” 管理性资源很重要，是具有企业异质性的，因为扩张需要计划、协调和“权威式沟通” Firm activities are governed by “productive opportunity” – dynamic interaction between internal and external environments its entrepreneurs can see and take advantage of 企业活动受到“生产性机会”的管理，即企业创业者可以察觉并利用的内外部环境间的动态的相互作用。 Edith Penrose Richard Cyert James March

Further Readings on Firm Growth Theory 企业成长理论的拓展阅读
Cyert, R.M. & March, J.G A behavioral theory of the firm. Englewood Cliffs, NJ: Prentice-Hall Penrose, E.T The theory of the growth of the firm. New York: Wiley Chandler, A.D Strategy and structure. Cambridge, MA: MIT Press Demsetz, H The theory of the firm revisited. J. of Law, Economics and Organization, 4: Eisenhardt, K.M. & Schoonhoven, C.B Organizational growth: Linking founding team, strategy, environment and growth among U.S. semiconductor ventures. Administrative Science Quarterly, 35: Nelson, R. & Winter, S An evolutionary theory of economic change. Cambridge, MA: Belknap Press Kimberly, J.R. & Miles, R.H Organizational life cycle. San Francisco: Jossey-Bass

Resource-Based View 资源基础观
Resource-Based View (RBV) 资源基础观（RBV） Two key assumptions differing from IO: 区别于产业组织（IO）的两大关键假设： Firms within an industry may be heterogeneous with respect to strategic resources they control 同一产业的不同企业掌控的战略性资源具有异质性 Resources may not be perfectly mobile across firms, and thus heterogeneity can be long-lasting 资源无法在企业间完全自由地移动，因此异质性可以长期保持。 The fundamental principle of the RBV is that the basis for a competitive advantage of a firm lies primarily in the application of the bundle of valuable resources at the firm’s disposal RBV的基本原理就是企业竞争优势的基础存在于企业所支配的有价值的资源之中。 To transform a short-run competitive advantage into a sustained competitive advantage requires that these resources are heterogeneous in nature and not perfectly mobile 要将短期竞争优势转化为持续竞争优势，则要求这些资源在本质上是异质的，同时是不能完全自由移动的。

Effectively, this translates into valuable resources that are neither perfectly imitable nor substitutable without great effort. If these conditions hold, the firm’s bundle of resources can assist the firm sustaining above average returns 这将转变成不能被完全模仿和轻易替代的有价值的资源。如果这个条件可以持续，企业所拥有的资源束将帮助企业持续获得超额收益。 Resources are: all assets, capabilities, organizational processes, firm attributes, information, knowledge, etc; controlled by a firm that enable the firm to conceive of and implement strategies that improve its efficiency and effectiveness 资源是资产、能力、组织流程、企业属性、信息、知识等；被企业所掌控，可被企业用于设想和实施战略以提高其效率与效能。 Three categories of resources: Physical capital resources; Human capital resources; and Organizational capital resources 资源的三种类型：实物资本；人力资本；和组织资本。 VRIN criteria: Valuable, Rare, Inimitable, and Non-substituable VRIN标准：有价值的，稀缺的，难以模仿的，以及不可替代的。 Strategic resources that meet the four criteria determine a firm’s sustained competitive advantage 满足这四个标准的战略性资源决定了企业的持续竞争优势。

Resource-Based View (RBV) – Evolving Notions of Competitive Advantages 资源基础观（RBV）—竞争优势概念的演化 From outside Industry selection Surpassing entry barriers Early mover advantages (IO, Porter, etc) 来自企业外部产业选择超越进入壁垒先发优势（IO，波特等） From Inside RBV, KBV Core Competences 来自企业内部资源基础观，知识基础观，核心竞争力 Combinative View Co-opetition Dynamic learning Dynamic capabilities Organizational learning 整合的观点竞合动态学习动态能力组织学习

Further Readings on RBV 资源基础观的拓展阅读
Wernerfelt, B A resource-based view of the firm. Strategic Management Journal, 5: Prahalad, C.K. & Hamel, G The core competence of the corporation. Harvard Business Review, 66: 79-91 Barney, J.B Firm resources and sustained competitive advantage. Journal of Management, 17: Grant, R.M The resource-based theory of competitive advantage: Implications for strategy formulation. California Management Review, 33: Nelson, R.R Why do firms differ, and how does it matter? Strategic Management Journal, 12: 61-74 Porter, M.E Towards a dynamic theory of strategy. Strategic Management Journal, 12 (Winter): Collis, D.J. 1994: How valuable are organizational capabilities? Strategic Management Journal, 15: Amit, R. & Schoemaker, P Strategic assets and organizational rent. Strategic Management Journal, 14: 33-46

Knowledge-Based View 知识基础观
KBV considers knowledge as the most strategically significant resource of a firm. Its proponents argue that because knowledge-based resources are usually difficult to imitate and socially complex, heterogeneous knowledge bases and capabilities among firms are the major determinants of sustained competitive advantages and superior corporate performance 知识基础观认为知识是企业最具有战略重要性的资源。它的支持者认为因为基于知识的资源通常来说难以模仿，同时具有社会复杂性，所以企业中异质的知识和能力是持续竞争优势和超额企业绩效的主要决定因素。 This knowledge is embedded and carried through multiple entities including organizational culture and identity, policies, routines, documents, systems, and employees 知识被嵌入在包括组织文化和认同、政策、日常活动、文件、系统和员工在内的不同实体中，并在它们之间传递。 Although RBV recognizes the important role of knowledge, but it doesn’t go far enough. Specifically, RBV treats knowledge as a generic resource, rather than having special characteristics. It therefore does not distinguish between different types of knowledge-based capabilities 虽然RBV认识到了知识的重要性，却仅此而已。更确切地说，RBV将知识看作一种不具备特性的一般性资源。因此，它也未能对不同类型的基于知识的能力进行区分。 Information technologies can play an important role in the knowledge-based view of the firm in that information systems can be used to synthesize, enhance, and expedite large-scale intra- and inter-firm knowledge management 信息技术在企业的知识基础观中充当着一个重要的角色，因为信息系统可被用于整合、促进和加强企业内与企业间的大规模的知识管理。

Further Readings on KBV 知识基础观的拓展阅读
Grant, R Toward a knowledge-based theory of the firm. Strategic Management Journal, 17(Winter): Kogut, B. & Zander, U Knowledge of the firm, combinative capabilities, and the replication of technology. Organization Science, 3: Spender, J.C Making knowledge the basis of a dynamic theory of the firm. Strategic Management Journal, 17(Winter): 45-62 Tsoukas, H The firm as a distributed knowledge system: A constructionist approach. Strategic Management Journal, 17(Winter): 11-25 Nonaka, I A dynamic theory of organizational knowledge creation. Organization Science, 5: 14-37 Pisano, G Knowledge, integration and the locus of learning: An empirical analysis of process development. Strategic Management Journal, 15: Nahapiet, J. & Ghoshal, S Social capital, intellectual capital, and organizational advantage. Academy of Management Review, 23:

Organizational Learning Theory 组织学习理论
Organizational learning is a characteristic of an adaptive organization, i.e., an organization that is able to sense changes in signals from its environment (both internal and external) and adapt accordingly 组织学习是自适型组织的一个特征，自适型组织可以从信号中察觉环境（包括外部环境和内部环境）变化然后快速适应。 The technical view assumes that organizational learning is about the effective processing, interpretation of, and response to, information both inside and outside the organization. A classic expression of the technical view can be found in the work of Argyris and Schon on single- and double-loop learning (1978, 1996) 技术观点认为组织学习是对组织内部与外部的信息进行高效地处理、解读和反应。Argvris和Schon（1978，1996）关于单环和双环学习的文章就是一个经典的技术观点的例子。 The social perspective on organization learning focuses on the way people make sense of their experiences at work. From this view, learning is something that can emerge from social interactions, normally in the natural work setting 组织学习的社会视角关注人们如何理解工作中的经验。根据这一观点，学习可以在社会交往中产生，而且通常是在自然的工作环境下。 Single-loop learning emphasizes the detection and correction of errors within a given set of governing variables and is linked to incremental change in organizations. Double-loop learning involves interrogating the governing variables themselves and often involves radical changes such as the wholesale revision of systems, alterations in strategy and so on 单环学习强调在一系列给定的治理变量中发现和改正错误，与组织的递增量相关。双环学习包括对治理变量的质疑，也常常包括重大的改变，例如对系统的大规模整改、战略变革等。

Organizational Learning Theory
One can also distinguish between (1) adaptive learning (changes are made in reaction to changed environmental conditions and (2) proactive learning (changes are made on a more willful basis - goes beyond the simple reacting to environmental changes) 组织学习同时分为(1)适应性学习（变化来自于对环境变化的反应）和(2)主动性学习（变化更多地来自于自身的意愿，而不仅仅是对环境变化的反应） In his seminal article, March (1991) argues that firms need to balance between activities that contribute to exploration of new knowledge, technology, and capabilities and activities that contribute to exploitation of the existing knowledge or capability base of the firm March（1991）在他的文章中提到，企业需要在探索新知识、技术和能力的活动和开发企业现有知识和能力的活动之间取得平衡。 Exploitation deals with a process of routinization, which adds to the existing knowledge base and competence set of firms without changing the nature of activities. Exploration is characterized by breaking with an existing dominant design and a shift away from existing rules, norms, routines, activities, etc. in view of novel combinations 开发涉及常规化的过程，增加了企业现有的知识基础和能力集合，却不会改变活动的本质。而探索意味着打破现有的主导设计，以及对现有的规则政策、日常活动等的背离。 Since individuals form the bulk of the organization, they must establish the necessary forms and processes to enable organizational learning in order to facilitate change. Organizational learning is more than the sum of the parts of individual learning. An organization does not lose out on its learning abilities when members leave the organization 既然个体是组织的主要构成部分，他们必然会为了更好地变革而建立必要的组织学习形式和流程。但组织学习远超于组织内个体学习的总和。当成员离开组织时，组织并不会因此失去它的学习能力。 Organizational learning contributes to organizational memory. Thus, learning systems not only influence immediate members but also future members due to the accumulation of histories, experiences, norms, and stories 组织学习促进了组织记忆。因此，学习系统不仅会影响当下的成员，还会因历史、经验、规范和事故的累积影响到未来的成员。

Processes of organizational learning 组织学习的过程 Learning by doing 在干中学 Learning from past and experience (by encoding inferences from history and experience into routines that guide behavior). Lessons of experience are maintained with routines despite employee turnover从过去的经验中学习（将历史和经验的启发转化成指导行为的日常规范）。即使员工离职，经验教训也会被维持在日常活动中。 Learning from experience of others (coercive, normative, and mimetic) 从别人的经验中学习（规制性的，规范性的，以及模仿性的） Learning to learn 学会学习 Organizational memory/experience and learning 组织记忆/经验与学习 Step 1: Recording experience (in documents, accounts, files) – experiential knowledge is recorded in an organizational memory, and that memory is orderly yet often ambiguously 第一步：经验的记录（在文件、账户、资料中）——经验知识被记录在组织记忆中，而这种记忆是有序但通常模糊不清的。 Step 2: Conservation of experience – routinization instructs new employees 第二步：经验的对话——对新员工的常规性的指导。 Step 3: Retrieval and utilization of experience 第三步：经验的检索和使用。

Absorptive Capacity – The ability to recognize the value of new, external information, assimilate it and apply it to commercial ends which is critical to its innovative capabilities 吸收能力——察觉新的外部信息的价值并对其进行吸收和商业化应用的能力，对创新能力来说至关重要。 Several ways to generate absorptive capacity 形成吸收能力的途径 Byproduct of a firm’s R&D investment 企业研发投资的副产品 Byproduct of a firm’s manufacturing operations 企业制造作业的副产品 Invest in absorptive capacity directly 对吸收能力的直接投资 A diverse background provides a more robust basis for learning 多元化的背景为学习提供更稳固的基础 A firm’s absorptive capacity is not simply the sum of the absorptive capabilities of its employees 企业的吸收能力并非其员工吸收能力的简单加总 Absorptive capacity depends on transfer of knowledge across internal and external boundaries 吸收能力取决于跨越内外边界的知识转移 Cross functional job rotation helps absorptive capacity 跨职能部门的岗位轮换可以增强吸收能力 Prior knowledge permits the assimilation and exploitation of new knowledge (path dependence) 先前知识影响新知识的吸收和运用（路径依赖）

Superstitious learning – it occurs when the subjective experience of learning is compelling, but the connections between actions and outcomes are mis-specified 迷信式学习—当学习源于主观经验的强加，但行动与结果间的关系却被错误诠释时，就会造成迷信式学习 Competence traps – it occurs when favorable performance with an inferior procedure leads an organization to accumulate more experience with it, thus keeping experience with a superior procedure inadequate to make it rewarding to use 能力陷阱—当企业使用较差的程序获得了满意绩效时，企业将更频繁地使用这一套程序，从而导致企业不具有足够的激励使用更优程序

Further Readings on Organizational Learning Theory 组织学习理论的拓展阅读
Levitt, B. & March, J.G Organizational learning. Annual Review of Sociology, 14: March, J.G Exploration and exploitation in organizational learning. Organization Science, 2: 71-87 Cohen, W. M. & Levinthal, D.A Absorptive capacity: A new perspective on learning and innovation. Administrative Science Quarterly, 35: Huber, G.P Organizational learning: The contributing processes and the literature. Organization Science, 2: Simon, H.A Bounded rationality and organizational learning. Organization Science, 2: Zollo, M. & Winter, S.G Deliberate learning and the evolution of dynamic capabilities. Organization Science, 13: Crossan, M., Lane, H. & White, R An organizational learning framework: From intuition to institution. Academy of Management Review, 24: Argyris, C. & Schon, D.A Organizational learning II: Theory, method and practice. Reading, MA: Addison-Wesley

Theories of Environment Alignment & Firm Growth 关于环境应配和企业成长的理论 Option Theory 期权理论
A real option theory is the theory about exploring future opportunities. Options reasoning can be used as a heuristic for strategy 实物期权理论是关于未来机会探索的理论。期权的原理可以对战略思想进行启发。 Firms are adaptive systems that need to balance between refinements of existing processes and explorations of variations on new techniques and new markets. In this process, coupling of people and technology is a source of option value 企业是需要在已有程序的改进与新技术和新市场的探索之间取得平衡的适应性系统。在这个过程中，人和技术的耦合就是期权的价值 A real option is the investment in physical and human assets that provides the opportunity to respond to future contingent events. Environment changes more rapidly than organizations, so there is value in investing assets to respond to future opportunities 实物期权是指对有形资产和人力资产的投资所提供的对未来事件变化进行响应的机会。因为环境的变化快于组织，所以投资资产以响应未来机会是有价值的 If firms and their environment are engaged in a coevolutionary dynamic, then it is useful for a firm to match between its future capabilities and future environments. A real option heuristic is a way to discern the value of particular paths of exploration in evolving environments 如果企业和环境之间存在共同演进的动态关系，那么企业就应该使它的未来能力与未来环境相匹配。实物期权的启发在于意识到演进环境中特定探索路径的价值。

Option Theory 期权理论 Essence of options is about investment decision (e.g., staging R&D) characterized by uncertainty and irreversibility, providing future managerial discretion to exercise at appropriate time. An option has value only if there is uncertainty 期权的本质就是具有不确定性和不可逆转性的投资决策（例如分阶段的研发投入），它使企业拥有了在恰当时间进行执行的自由裁量权。只有当不确定性存在时，期权才具有价值。 Irreversibility signifies the inability to costlessly revisit an investment or decision. The “stickiness” of organizational and technological combinations requires a notion of time or irreversibility 不可逆转强调了不可能无成本地再次进行投资和决策。组织和技术结合的“粘性”强调了时间的概念，或者说是不可逆转性。 This theory identifies the coupling of organization and technology as the leading explanation for irreversibility of investments in capabilities 根据这一理论，组织和技术的耦合是能力投资不可逆转的主要解释。 Real options heuristic provides evaluation of correspondence between exploration of new capabilities and evolution of market environment 实物期权理论为新能力探索和市场环境演进之间的统一提供了评价标准。 It strengthens an idea that a firm’s most enduring advantage lies in its human resources. A firm is a dynamic system consisting of complex coupling of technology and people through organizational design 它强调企业最为持久的优势来自于其人力资源。企业是一个在组织设计中贯穿着复杂的人与技术耦合的动态系统

Option Theory 期权理论 A real option entails (1) option to defer; (2) option to change scale; (3) option to condense; (4) option to abandon; (5) option to switch; and (6) option to growth 实物期权包括(1)推迟的期权； (2)改变规模的期权； (3)压缩规模的期权； (4)放弃的期权；(5)转变的期权和(6)成长的期权 The theory assumes that environmental change is marked by sharp nonlinearity. The inertial quality of a firm is central to understanding the value of its assets for future deployment given the uncertainty 这一理论假定环境变化是急剧的和非线性的。企业的惯性对于理解其在不确定性情况下准备未来应用的资产的价值至关重要。 Firm growth depends on its distinctive capabilities that seize and profit from future opportunities 企业的成长取决于它抓住未来机会并从中获利的独特能力。 To speed its transition to new techniques, a firm must allocate funding to exploration by experimenting with new techniques. Mathematical description is also used to model when, where and how to adopt radical change 为了提高新技术的应用速度，企业必须筹集用于试验新技术的探索的资金。数学的方法也被用于建立模型以解释何时、何地和如何采取重大改变

Further Readings on Option Theory 期权理论拓展阅读
McGrath, R.G., Ferrier, W.J. & Mendelow, A.L Real options as engines of choice and heterogeneity. Academy of Management Review, 29(1): Scherpereel, C.M The option-creating institution: A real options perspective on economic organization. Strategic Management Journal, 29: Kogut, B. & Kulatilaka, N Capabilities as real options. Organization Science, 12(6): Bowman, E.H. & Hurry, D Strategy through the option lens: An integrated view of resource investments and the incremental choice process. Academy of Management Review, 18(4):

Dynamic Capability Theory 动态能力理论
DCT extends RBV and KBV by incorporating the process, deployment, and upgrading a firm’s distinctive capabilities and competitive advantages in a constantly changing marketplace. It is often referred to the “capability” of capabilities 动态能力理论通过考虑企业特殊能力与竞争优势在持续变化的市场环境中的加工、调度和升级，延伸和发展了资源基础观和知识基础观。它常被称为能力的“能力”。 Teece, Pisano and Shuen (1997): Dynamic capabilities refer to: 根据Teece， Pisano和Shuen（1997）的定义，动态能力是指： Ability to achieve new forms of competitive advantage 获得新的竞争优势的能力 Ability to integrate, build, and reconfigure internal and external competences to address rapidly changing environments 整合、构建和重构外部和内部竞争力以适应快速变化环境的能力 Ability to renew competences so as to achieve congruence with the changing business environments 为了与变化的商业环境取得一致而更新竞争力的能力 Processes refer to the unique ways in which things are done in the firm, or what might be referred to as its routines or patters of current practices and learning 流程是指企业处理事情的独特方法，或者说企业目前实践和学习的常例和方式。 Organizational processes have three roles: (1) coordination and integration (a static concept); (2) learning (a dynamic concept); and (3) reconfiguration (a transformational concept) 组织流程有三大任务： (1) 协调和整合（静态概念）；(2)学习（动态概念）以及(3)重构（转化概念） Learning involves organizational and individual skills. Organizational knowledge resides in new patters of activity or in routines 学习涉及组织和个体技能。组织知识就包含在常例或活动的新模式中。

Dynamic Capability Theory 动态能力理论
Sequentially, dynamic capability involves capability possession, capability deployment and capability upgrading 动态能力依次包括能力的拥有、能力的使用和能力的升级 Combinative capability is key to dynamic capability. It is a firm’s ability to integrate and synthesize internal resources and external learning and apply both to the competitive environment 组合能力是动态能力的关键。它是指企业整合内部资源和外部学习并同时应用于竞争环境中的能力 Dynamic capability requires a strong base of established capabilities as well as the ability to efficiently deploy these resources and to continuously create bundles of new resources and knowledge 动态能力要求拥有强大的已有能力作为基础，并能够有效地应用这些资源以及持续地创造新的资源和知识束。 Leaning ability centers at the core of dynamic capability. It is the capacity to generate and generalize (often through routines) ideas and to acquire new knowledge 学习能力是动态能力的核心。它是指形成和推广（一般指通过形成惯例）新想法和获得新知识的能力。 Explorative learning seeks out variation, taking risks, experimentation, flexibility, discovery, and innovation; Exploitative learning focuses more on making and refining choices, increasing production efficiency, and execution of strategies 探究式学习寻求变化、风险、试验、灵活性、发现和创新；开发式学习更关注制定和改进决策、提高生产效率以及战略执行。

Dynamic capability theory 动态能力理论
Research Implications: 研究启示： Shift from resources to the process of developing, commercializing, and upgrading these resources 从资源向发展、商业化和升级资源的过程转变 This process occurs both internally and externally. Internally, the firm needs to build up its routinization, culture, and organizational infrastructure in which employees, teams and units are fostered to develop new ideas that upgrade firm capabilities 这一过程贯穿于企业的内部和外部。从内部来看，企业需要建立其规范、文化以及组织基础建设，以使员工、团队及内部单元发展出能够升级企业能力的新想法 Externally, research should address how a firm’s developmental and combinative capabilities are properly aligned with not only organizational needs but also environmental conditions, particularly its competitive environment 从外部来看，应该研究企业的开发和组合能力如何与企业的需要以及环境特别是竞争环境的需要相协调。 Organizational learning, in terms of both exploitative and explorative, needs to be further studied with a dynamic perspective. For instance, how such learning should keep up with changes in market conditions and competitive dynamics 组织学习，包含开发式和探究式，需要在动态视角下的更深入的研究。例如，学习如何才能跟上市场环境和竞争动态的变化

Further Readings on Dynamic Capability Theory
Teece, D., Pisano, G. & Shuen, A Dynamic capabilities and strategic management. Strategic Management Journal, 18: Zollo, M. & Winter, S.G Deliberate learning and the evolution of dynamic capabilities. Organization Science, 13(3): Eisenhardt, K.M. & Martin, J.A Dynamic capabilities: What are they? Strategic Management Journal, 21(10/11): Sirmon, D.G., Hitt, M.A. & Ireland, R.D Managing firm resources in dynamic environments to create value: Looking inside the black box. Academy of Management Review, 32(1): Bosch, F., Volberda, H.W. & Boer, M Coevolution of firm adsorptive capacity and knowledge environment: Organizational forms and combinative capabilities. Organization Science, 10(5): Luo, Y Dynamic capabilities in international expansion. Journal of World Business, 35(4): Rindova, V.P. & Kotha, S Continuous “morphing”: Competing through dynamic capabilities, form and function. Academy of Management Journal, 44(6): ;

Mainstream Theories in Management and Organization

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