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Strategic Management Journal 2023年第1期
January2023, Volume 44, Issue 1
——更多动态，请持续关注gzh：理想主义的百年孤独
1.Empirical inquiry without hypotheses: A question‐driven,phenomenon‐based approach to strategic management research
无假设的实证调查：一种由问题驱动的、基于现象的战略管理研究方法
MelissaE. Graebner
AnneMarie Knott
MarvinB. Lieberman
WillMitchell
Research Summary
Manyadvances in strategic management have resulted from the application of formaldeductive methods, based on tests of specific hypotheses derived from theory.Nonetheless, numerous important research topics involve phenomena that arenovel and/or causally complex and so resist basic hypothetico‐deductive logic.As a result, many of the most important findings in strategy research have comefrom open‐ended studies of relevant phenomena. The special issue of the SMJ on“Question‐Driven and Phenomenon‐Based Empirical Strategy Research” presentsinnovative ideas for question‐driven research and expands the toolkit ofresearch approaches. In this introduction we describe the twelve articles inthe special issue, focusing on how they contribute to continued development ofthe question‐driven approach to research in strategic management.
战略管理方面的许多进展都是由于正式演绎方法的应用，基于从理论中得出的特定假设的检验。尽管如此，许多重要的研究课题都涉及到一些新颖的和/或因果关系复杂的现象，这种课题抵制了基本的假设-演绎逻辑。因此，战略研究中许多最重要的发现都来自于对相关现象的开放式研究。SMJ关于“问题驱动和基于现象的实证策略研究”的特刊提出了问题驱动研究的创新思想，并扩展了研究方法的工具包。在本介绍中，我们描述了特刊中的12篇文章，重点是它们如何有助于战略管理研究中问题驱动研究方法的持续发展。
Managerial Summary
Oneof the frustrations managers have with academic research is that it tends to bedriven by questions that are theoretically interesting or lend themselves toclever econometrics. Accordingly, the results can lack managerial relevance. We highlight research that takes the oppositeapproach—identifying important business phenomena and devising empiricalapproaches to characterize them and derive managerial implications. In thisintroductory article, we briefly summarize the studies in the special issue,showing how they answer a diverse set of questions using a range of methods.
管理者对学术研究的挫折之一是，它往往是由理论上有趣的问题或聪明的问题驱动的计量经济学。因此，这些结果可能缺乏管理方面的相关性。我们强调了采取相反方法的研究——识别重要的商业现象，并设计出有经验的方法来描述它们的特征，并推导出管理含义。在这篇介绍性的文章中，我们简要地总结了特刊中的研究，展示了他们如何使用一系列的方法来回答不同的问题。
DOI: 10.1002/smj.3393
2.Entry diversion: Deterrence by diverting submarket entry
进入转移：通过转移次级市场进入来进行阻止
BilgehanUzunca
BrunoCassiman
ResearchSummary
Going back to Bain (1956), strategyscholars have long recognized the importance of deterring entry for sustainingincumbents' profits in an industry. We introduce a new mechanism, entrydiversion, to better understand the empirical phenomenon of persistent firmentry in spite of investments in entry deterrence by incumbents in someindustries. Entry diversion happens when preemptive strategic investments byincumbents decrease the expected future profits from a target submarket suchthat entrants choose to enter another submarket within the same industry.Empirical evidence from the global semiconductor manufacturing industrysuggests that incumbents expand their capacities beyond demand growth, and thatthese investments effectively divert entry into other submarkets. Greenfieldentrants are more responsive to entry diversion than incumbents.
回到贝恩（1956），战略学者早就认识到阻止进入对维持现有行业利润的重要性。我们引入了一种新的机制，即进入转移，以更好地理解尽管某些行业的现有者投资阻止进入，但持续坚定进入的经验现象。当现有者先发制人的战略投资降低了目标子市场的预期未来利润，使进入者选择进入同一行业的另一个子市场时，就会发生进入转移。来自全球半导体制造业的经验证据表明，现有企业的扩张能力超出了需求增长，而这些投资有效地转移了进入其他次级市场的机会。新进入的企业比现有企业更容易受到市场转移的影响。
ManagerialSummary
Managershave long understood that deterring entry of new players into their industrycould sustain their firms' profits. In this article, we introduce a newmechanism, entry diversion, where the incumbent diverts potential entrants fromits submarket toward other submarkets in the same industry. Entry diversionhappens when preemptive strategic investments by incumbents decrease theexpected future profits of the entrant in a submarket of the industry such thatthe entrant chooses not to enter the incumbent's submarket. Contrary to entrydeterrence, new players will still enter the industry but settle in differentsubmarkets. Empirical evidence from the global semiconductor manufacturingindustry suggests that incumbents expand their capacities beyond demand growth,and that these investments effectively divert entry into other submarkets.
管理者们已经理解阻止新参与者进入他们的行业可以维持他们公司的利润。在本文中，我们介绍了一种新的机制，即进入转移，即现有者将潜在的进入者从其次级市场转移到同一行业的其他次级市场。当现有者先发制人的战略投资降低了进入者在行业次级市场的预期未来利润，使进入者选择不进入现有者的次级市场时，就会发生进入转移。与进入威慑相反，新的参与者仍将进入该行业，但将定居在不同的次级市场。来自全球半导体制造业的经验证据表明，现有企业的扩张能力超出了需求增长，而这些投资有效地转移了进入其他次级市场的机会。
DOI:10.1002/smj.3128
3.Thefirm as an architect of polycentric governance: Building open institutionalinfrastructure in emerging markets
公司作为多中心治理的架构者：在新兴市场建立开放的制度基础设施
AlineGatignon
LaurenceCapron
ResearchSummary
Weapply pattern‐matchingtechniques to contrast qualitative case study data with perspectives fromstrategic management and institutional economics about how a firm can addressvoids in market‐basedinstitutions. We identify a novel approach whereby the firm builds an openinstitutional infrastructure (OII) by investing in a pool of resources widelyaccessible beyond its exchange partners. To collectively govern OII, the firmmust empower other actors within multilateral cross‐sectorpartnerships, and it must enforce the resulting rules through relational normsbased on alignment between public and private value creation. These findings,achieved by adapting Elinor Ostrom's principles of polycentric governance tocorporate actors who take the lead in building OII, advance our understandingof new organizational forms that transcend the traditional boundaries of firmsand markets.
我们运用模式匹配技术，将定性案例研究数据与战略管理和制度经济学的观点进行对比，探讨企业如何解决以市场为基础的制度中的空白。我们确定了一种新颖的方法，即公司通过投资于一个在交易所合作伙伴之外广泛可用的资源池来建立一个开放的制度基础设施(OII)。为了共同管理OII，企业必须在多边跨部门合作伙伴关系中授权其他行为者，并且必须通过基于公共和私人价值创造之间一致性的关系规范来执行由此产生的规则。这些发现是通过将埃莉诺·奥斯特罗姆的多中心治理原则适用于率先建立OII的企业参与者而实现的，它促进了我们对超越企业和市场传统界限的新组织形式的理解。
ManagerialSummary
Emergingmarkets typically present additional obstacles for business operations becausethey lack the necessary underlying institutional infrastructure such as accessto capital and labor markets. We introduce a new way for firms to overcomethese obstacles—whichwe call building an OII—byinvesting in such infrastructure themselves and making it available to theircommercial partners, local communities, and even to competitors. Firms mustempower those actors to take the lead in collectively defining the rules foraccessing this infrastructure, by orchestrating cross‐sectorpartnerships. This process creates relational norms around the alignment ofpublic and private interests, which ultimately can promote firms' competitiveadvantage.
新兴市场通常会给企业经营带来额外的障碍，因为它们缺乏必要的底层制度基础设施，比如进入资本和劳动力市场的渠道。我们为企业介绍了一种克服这些障碍的新方法——我们称之为建立OII——即自己投资此类基础设施，并将其提供给其商业合作伙伴、当地社区，甚至竞争对手。企业必须通过组织跨部门合作伙伴关系，授权这些行为体率先集体制定使用这些基础设施的规则。这一过程创造了围绕公共利益和私人利益的关系规范，最终可以促进企业的竞争优势。
DOI:10.1002/smj.3124
4.The entrepreneurial process: Evidence from a nationallyrepresentative survey
创业过程：来自全国代表性调查的证据
VictorM. Bennett
AaronK. Chatterji
Research Summary
Scholarshave traditionally characterized the variation in firm performance asdetermined by conditions after entry, where the entry decision is a one‐shotbinary choice determined by cost–benefitanalysis. However, recent theoretical work has posited that the entry decisionis an outcome of a learning process and that the information acquired duringthe pre‐entry period shapes subsequentperformance dynamics. We provide the first systematic data on the pre‐entryperiod using a nationally representative survey. We document the activitiesthat prospective entrants undertake, finding variation according to opportunitycosts, prior experience, and confidence levels. Our results suggest the pre‐entryperiod is shaped by a series of choices by prospective entrants as theycontemplate entry, further exploration, or ending the entrepreneurial process.
传统上，学者们认为企业绩效的变化是由进入后的条件决定的，其中进入决策是由成本效益分析决定的一次性二元选择。然而，最近的理论研究认为，进入决策是学习过程的结果，进入前获得的信息决定了随后的绩效动态。我们使用具有全国代表性的调查提供了关于进入前阶段的第一个系统数据。我们记录了潜在进入者所从事的活动，根据机会成本、先前的经验和信心水平寻找变化。我们的研究结果表明，进入前阶段取决于潜在进入者在考虑进入、进一步探索或结束创业过程时的一系列选择
ManagerialSummary
Wecreated and implemented a nationally representative survey on theentrepreneurial activities of Americans. Several interesting findings emerged.First, approximately a third of Americans report having had a business idea inthe past 5 years, motivated in the vast majority of cases by lifestyle concernsrather than the pursuit of significant business opportunities. Fewer than halfof those who considered starting a business take even the lowest cost steps,like searching the Internet for potential competitors or speaking with afriend. Our findings reveal an entrepreneurial process which involves asignificant pre‐entryperiod where prospective entrepreneurs seek to acquire information about thequality of their idea, perform administrative tasks to prepare for launch andencounter frictions that impede their progress.
我们创建并实施了一项关于美国创业活动的全国代表性调查。一些有趣的发现出现了。首先，大约三分之一的美国人表示在过去五年中有过创业想法，绝大多数情况下是出于对生活方式的考虑，而不是为了追求重大的商业机会。在考虑创业的人中，只有不到一半的人采取了成本最低的步骤，比如上网搜索潜在的竞争对手或与朋友交谈。我们的研究结果揭示了一个创业过程，其中包括一个重要的进入前阶段，在此期间，潜在的企业家寻求获得关于其想法质量的信息，执行行政任务以准备启动，并遇到阻碍其进展的摩擦。
DOI:10.1002/smj.3077
5.Therisk of being ranked: Investor response to marginal inclusion on the 100 BestCorporate Citizens list
被排名的风险:投资者对入选100位最佳企业公民榜单的反应
BenW. Lewis
W.Chad Carlos
ResearchSummary
Despitethe proliferation of lists and rankings that recognize firms for superiorperformance, empirical studies have been limited in their ability to causallyevaluate how inclusion for the marginal firm influences shareholder value. Weaddress this limitation by examining how investors responded to firms that werebarely included or excluded from the 100 Best Corporate Citizens list. Contraryto prevailing theoretical expectations, our findings indicate that marginalfirms that were included in the ranking experienced negative abnormal returnscompared to marginal firms that were excluded. We discuss the theoreticalimplications of these findings and how they inspire future research questionsfor scholarship on rankings and status. We also discuss implications formanagers that question whether and when being ranked results in financialbenefits or liabilities.
尽管现在有大量的名单和排名来表彰表现卓越的公司，但实证研究在因果评估纳入边际公司如何影响股东价值方面的能力有限。我们通过研究投资者对几乎没有被列入或排除在100位最佳企业公民名单之外的公司的反应来解决这一限制。与普遍的理论预期相反，我们的研究结果表明，与被排除在外的边际公司相比，被列入排名的边际公司经历了负的异常回报。我们讨论了这些发现的理论含义，以及它们如何启发未来关于排名和地位的奖学金研究问题。我们还讨论了对那些质疑排名是否以及何时会导致财务利益或负债的管理者的影响。
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