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Akademisk Avhandling Reputation by Association: Exploring Alliance Formation and Organizational Identity Adaptation Lin Lerpold AKADEMISK AVHANDLING som for avlaggande av ekonomie doktorsexamen vid Handelshogskolan i Stockholm framlagges till offentlig granskning fredagen den 9 maj 2003, kl. 10.15 i sal Ragnar pa hogskolan, Sveavagen 65 STOCKHOLM 2003 REPUTATION BY ASSOCIATION EXPLORING ALLIANCE FORMATION AND ORGANIZATIONAL IDENTITY ADAPTATION LIN LERPOLD ~ INSTITUTE OF INTERNATIONAL \:,:1 BUSINESS - lIB STOCKHOLM SCHOOL OF ECONOMICS Address: Hollandargatan 32, P.O. Box 6501, SE-11383 Stockholm, Sweden. Telephone: +46 (0)8 736 9500, Fax: +46 (0)831 99 27, E-mail: iibveethhs.se • Founded in 1975 • Is a research institute at the Stockholm School of Economics • Conducts theoretical and empirical research with emphasis on International Business • Arranges weekly research seminars, yearly workshops and symposia • Publishes its research findings and results in a series of working papers, in published journals and books • Is in charge of graduate courses in International Business at the Stockholm School of Economics • Is in charge of the International Graduate Program (IGP) at the Stockholm School of Economics • Is in charge of the Advanced Management Program (AMP) at the Stockholm School of Economics The lIB Board of Directors Professor Leif Lindmark, President, Stockholm School of Economics (Chairman) Professor Magnus Blomstrom, Stockholm School of Economics Ms. Peggy Bruzelius, Chairman, Lancelot Asset Management AB Mr. Staffan Bohman, President and CEO, Sapa AB Mr. Jonas af [ochnick, Vice Chairman, Oriflame International S.A. Professor Lars-Gunnar Mattsson, Stockholm School of Economics Professor Harry Lane, Northeastern University, Boston Mr. Anders Narvinger, CEO, The Association of Swedish Engineering Industries Dr. Lars Otterbeck, President and CEO, Alecta Dr.h.c. Hans Rausing, Director (honorary member) Mr. Tom Wachtmeister, Director Associate Professor Peter Hagstrom, Director lIB More information: www.sse.edu/iib. Further information about current research at the institute and its publications will be mailed on request. REPUTATION BY ASSOCIATION EXPLORING ALLIANCE FORMATION AND ORGANIZATIONAL IDENTITY ADAPTATION LIN LERPOLD Dissertation for the degree of Doctor of Philosophy, Ph.D. Stockholm School of Economics Stockholm, 2003 © lIB and the author ISBN 91-973849-0-9 Keywords: Inter-firm cooperation Alliance formation Organizational identity Organizational change Printed by: Gotab, Stockholm 2003 Distributed by: lIB, Institute of International Business P.O. Box 6501, SE-11383 Stockholm, Sweden. Tel: +46 (0)8 736 9500; Fax: +46 (0)8 31 99 27; E-mail: iibveeehhs.se To Mats, Noah and Etnil TABLE OF CONTENTS Listoffigures v Listof tables vi Preface vii Acknowledgements ix CHAPTER ONE 1 Breaking out of the iron cage again 1.1 Introduction 1 1.2 Points of departure 6 1.3 Research definition 10 1.4 Some concepts and delimitations 13 1.5 Preview of the study and major contributions 19 1.6 Structure of the study 21 CHAPTER TWO 23 Research methodology 2.1 The research process: Towards a serendipitous discovery 23 2.2 Theory construction as disciplined imagination 31 2.3 The case study method 33 2.4 Levels of analysis 36 2.4.1 Country 38 2.4.2 Company 38 2.4.3 Organizational level, project, and location 38 2.5 One study: Two methodological approaches 39 2.6 Methods 46 2.7 Data and data collection 49 2.8 Levels of analysis and their aggregated interpretation 51 2.9 Quality assessment 53 2.9.1 Increasing construct validity 55 2.9.2 Increasing internal validity 57 2.9.3 Increasing external validity 57 2.9.4 Increasing reliability 58 2.10 Summary 58 CHAPTER THREE 61 An industry, two partners, and an alliance 3.1 Building a new industry: From internationalism, to 62 nationalism, and back to internationalism 3.2 Statoil 69 3.3 British Petroleum (BP) 75 3.4 Antecedents to the alliance 79 3.5 Alliance intentions 82 3.6 Alliance challenges 91 3.7 Alliance national and corporate cultures 95 3.8 Alliance identity, structures, and systems 97 3.9 Alliance human resource management 99 3.10 Strategic change during the alliance 101 CHAPTER FOUR 105 Theoretical and empirical perspectives 4.1 Conceptual taxonomies 107 4.2 Major theoretical perspectives 112 4.2.1 Transaction cost explanations 112 4.2.2 Market power theories 115 4.2.3 Resource based views 116 4.2.4 Resource dependency theories 118 4.2.5 Other organizational theories 120 4.2.6 Summary 123 4.3 Empirical studies 126 4.4 Observations and conclusions 132 ii CHAPTER FIVE 137 The comparative theory part 5.1 Data presentation 137 5.1.1 Cost minimization motives (CM) 144 5.1.2 Strategic behavior motives (SB) 148 5.1.3 Complementary resource motives (CR) 152 5.1.4 Risk minimization motives (RM) 155 5.1.5 Organizational learning and knowledge transfer 159 (OL) 5.1.6 Other motives (OTHER) 163 5.2 Cluster analysis of formation motives 170 5.3 Formation motives and alliance evolution 175 5.4 Major empirical observations 180 5.5 Discussion 188 5.6 Some limitations 193 CHAPTER SIX 195 Knowledge and identity as alliance motives 6.1 International knowledge as a motive for the alliance 196 6.2 Organizational identity theories 210 6.2.1 Personal identity as a point of departure 211 6.2.2 Identity at multiple levels of analysis 212 6.2.3 Organizational identity: The seminal definition 214 6.2.4 Identity and image 217 6.2.5 Concepts from social identity theories 219 6.3 Organizational identity adaptation as a motive for 222 the BP and Statoil alliance iii CHAPTER SEVEN 229 Processes of organizational identity adaptation 7.1 Theoretical sensitizing: 229 Studies of organizational identity dynamics 7.2 Defining organizational identity for the model 233 7.3 A process model of organizational identity adaptation 238 7.3.1 The contextual environment 240 7.3.2 The identification phase 243 7.3.3 The imitation phase 246 7.3.4 The evaluation phase 249 7.4 Implications and concluding remarks 251 CHAPTER EIGHT 255 Contribution and implications 8.1 For the inter-firm cooperation literature 256 8.2 For the organizational identity literature 260 8.3 For strategy and knowledge management 264 8.4 Managerial implications 267 8.5 Conclusion 269 REFERENCES 271 APPENDICES 313 A-I Pilot study interview guide 313 A-2 Second data collection interview guide 317 A-3 List of interviews 321 A-4 Participant observation, archival-, and secondary data 326 A-5 Theories of alliance evolution 328 A-6 Theories of internationalization 332 A-7 Theories of knowledge 342 A-8 Reflections on a "philosophy of science" 357 A-9 More organizational identity quotes 360 iv LIST OF FIGURES Figure 2.1 The research flow 25 Figure 2.2 Initial and resulting coding scheme 43 Figure 3.1 Staton's organizational structure 71 Figure 3.2 Staton's operations in the world 74 Figure 3.3 BP's formal organization before the merger with 76 AMOCO Figure 3.4 BPprojects 78 Figure 3.5 Alliance organization 89 Figure 6.1 Staton expatriation 201 Figure 7.1 A process model of organizational identity 239 adaptation v LIST OF TABLES Table 2.1 Interviews according to subgroup cultural 51 identities Table 3.1 Expected investment expenditures and joint team 86 manning Table 4.1 Summary of reviewed conceptual taxonomy 111 studies Table 4.2 Theoretical studies on inter-firm cooperation as a 125 choice of governance form Table 5.1 Major theoretical perspectives corresponding to 139 major motives Table 5.2 Summary of motive frequencies 140 Table 5.3 Highest frequencies in percentage 141 Table 5.4 Lowest frequencies in percentage 142 Table 5.5 Ranking according to frequency percentage 143 Table 5.6 Frequency of cost minimization motives 145 Table 5.7 Quotes coded as cost minimization 147 Table 5.8 Frequency of strategic behavior motives 149 Table 5.9 Quotes coded as strategic behavior 152 Table 5.10 Frequency of complementary resource motives 153 Table 5.11 Quotes coded as complementary resources 155 Table 5.12 Frequency of risk minimization motives 156 Table 5.13 Quotes coded as risk minimization 159 Table 5.14 Frequency of organizational learning and 160 knowledge transfer motives Table 5.15 Quotes codes as organizational learning and 162 knowledge transfer Table 5.16 Frequency of motives outside of traditional 163 perspectives Table 5.17 Quotes outside of traditional perspectives 168 Table 5.18 Summary of developmental cycles 176 Table 6.1 Content and nature of international knowledge 198 Table 6.2 International knowledge 205 Table A5-1 Some research on inter-firm cooperation 331 developmental phases Table A7-1 Different knowledge elements 351 vi PREFACE This doctoral dissertation is part of the research program in International Management (1M) at the Institute of International Business, lIB. It was written while Lin Lerpold was a Ph.D. Candidate at lIB. The preparation of the thesis was made possible due to the kind support and cooperation of managers and employees of Statoil and British Petroleum. lIB would like to thank all contributors for their generosity and their openness. Peter Hagstrom Director, Institute of International Business Stockholm School of Economics vii ACKNOWLEDGEMENTS This thesis is about identity adaptation. The time spent writing this thesis has also been about identity adaptation. Past, present, and possible future. I went from defining myself as a single, overworked, oil industry economist, to being the mother of two boys, a spouse, and a lucky and grateful scholar. Lucky, because I have found what I enjoy doing, and grateful, because I have the chance to do it. I am sure my future will hold many more wonderful experiences. This thesis is a partial result of my identity adaptation. There are many people who deserve great thanks! My committee has been comprised of extraordinary individuals who have provided excellent intellectual stimuli, support, and encouragement.
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