【作者】 蔡仲秋；

【导师】 谭章禄；

【作者基本信息】 中国矿业大学（北京） ， 管理科学与工程， 2011， 博士

【摘要】 我国从上个世纪80年代已开始了对国有资源型企业给予大量资金的支持,推动其发展替代产业,以使它们在资源枯竭时,能够顺利完成产业转型。然而,仍有不少资源型城市因为资源枯竭即将面临“矿竭城衰”的威胁。值得关注的是,这一问题并非我国特有,有的开始了产业转型,但至今也尚未彻底完成：有的转型成功,有的转型失败。为什么资源型企业群落产业转型如此艰难?为什么同样面对资源枯竭的威胁,有些群落日趋衰败,而有些群落通过重建却能迅速崛起?本文创造性将“脆弱性”概念引入管理学领域,并与资源型企业群落的持续发展相联系。从系统的角度来看,支撑资源型的区域经济发展不仅有资源型产业,还有与资源相关产业与支持产业,如果后者具有良好的成长能力能够替代前者,实现了所谓的转型,那么,即使资源枯竭,也不会出现整个群落的衰退。究其原因,关键在于资源型企业群落不仅缺乏应有的多样性、适应性、灵活性,更重要的是缺乏对原有群落生态的替代性恢复能力,简言之,资源型群落的脆弱性是其衰败的根源之所在。脆弱性分析的哲学思想和应用来自于上个世纪七十年代的自然灾害研究,在怎样确定人群中那些最脆弱的人群以及寻找如何应付和适应灾难的机制以减轻其危险的需求下而产生的。起初,主要集中于地学领域,且这一术语多频繁地出现于风险和灾害等方面的文献中；随后,越来越多应用于全球环境变化和环境与发展问题的研究中。现有的脆弱性研究主要局限于自然与人文系统,经济与管理领域研究成果极少,资源型企业群落脆弱性形成机理尤其缺乏。不仅不能系统地识别脆弱性的驱动因子,而且驱动因子与群落脆弱性以及区域经济衰败之间相互作用的实证分析也很缺乏。虽然理论界初步建立了区域经济发展的脆弱性评估指标体系,但它缺乏严密地论证,其评价效果的科学性还尚待验证,科学地预警资源型企业群落的脆弱性仍然缺乏先期研究的支持和有效的工具。与脆弱性相关的是对企业集群稳定性与风险的研究,虽然取得了一定的成果,但局限于传统的经济学方法,侧重于宏观,忽视了集群对外部环境适应的主动性；风险形成的因素也缺乏系统研究,对集群风险的解释力不够。这些研究为脆弱性的研究提供了相应的借鉴,尤其是影响因素的分析为脆弱性形成机理理论模型的构建创造了条件。目前,理论研究缺乏脆弱性机理的基础性研究,只能解释企业集群能够存在的理由和为什么具有强大的生命力,不能解释资源型群落脆弱性产生的根源和机制,导致实践之中很难准确地把握资源型企业群落持续发展中的障碍性因子,无法对资源型企业群落的持续提供有效指导。因此,有必要探索资源型企业群落脆弱性形成机理,揭示其衰败的内在规律,在此基础之上,寻求其治理之策,从而实现其可持续发展。本文以资源型企业群落为研究对象,运用文献研究、调查问卷、企业访谈、假设检验对资源型企业群落的脆弱性形成机理进行了实证研究、根据实证的脆弱性机理,用网络层次分析法对部分样本进行了脆弱性评价。主要内容如下：(1)资源型企业群落与其它行业的企业群落相比,具有明显的资源型产业特点,对这些特点的科学认识是开展本研究的基础。通过生产路径的考察,初步明确了资源型企业群落的边界；基于网络的视角,分别从主体、资源、活动等角度出发,对资源型企业群落的构造进行了系统分析,明确了资源型企业群落是由6大主体以各种资源为纽带,通过多层次的活动联系在一起的有机整体,并概括了其根植性、聚集性、分工性、网络性、垄断性等特点。同时,本文也对资源型企业群落的周期演替进行了分析。(2)在国内外有关脆弱性的文献研究基础上,从一般系统的“脆弱性”进行类比,并结合资源型企业群落的特点,界定了资源型企业群落脆弱性的内涵。导致资源型企业群落脆弱性的影响因素很多,从系统的角度讲,主要包括环境、结构、行为等方面。其中,环境方面具体包括资源约束、政府支持、市场变动等因素：结构方面主要是基于考虑资源型企业群落网络；行为主要是指资源型企业群落作为一个系统,在受到外部冲击后所体现的敏感、抵抗、恢复等行为。(3)资源型企业脆弱性的诸影响因素与脆弱性之间的关系是复杂的。并非都是直接作用的,有些因素可能是间接的,即这些影响因素之间也存在相互影响关系；有些影响因素会通过改变其他影响因素来改变资源型企业群落的脆弱性。本文通过理论分析,构建了基于E-SCP范式的研究框架,通过文献研究与逻辑推理对环境(E)→结构(S)、结构(S)→行为(C)、行为(C)→绩效(P)等路径的逻辑关系进行了理论假设,初步建立起包含20个路径假设和5个调节效应假设的资源型企业群落脆弱性形成机理的概念模型。(4)在文献研究的基础上,对概念模型中所涉及的资源约束、市场变动、政府支持、商业网络、技术网络、社会网络、敏感性、抵抗力、恢复力等脆弱性影响因素以及脆弱性等相关变量逐一进行操作化定义与测量,从而完成问卷设计工作,为假设检验奠定基础。(5)对资源型企业群落进行大样本的统计调查,得到第一于资料,利用统计软件对样本进行描述,并对样本数据进行同源检测、信度分析、效度分析,确保样本数据质量,在此丛础上用SmartPLS2.0软件对概念模型进行PLS法验证。结果表明,20个路径假设中有17个获得了支持,3个未获支持；5个调节效应中,有1个获得了支持,有1个获得了反向支持,另外3个未获支持。本文对通过验证的假设与未通过验证的假设分别加以进一步讨论,以揭示资源型企业群落脆弱性形成机理。(6)根据通过实证检验的脆弱性形成机理模型,构建资源型企业群落脆弱性的评价指标体系,针对指标间复杂的网络关系的特点,运用网络层次分析法计算指标权重,并在所调查的问卷中随机挑选一些样本进行脆弱性实际评估,根据脆弱性的不同引致原因,将资源型企业群落分成四种类型,并提出相应的治理对策与建议。本文建立了资源型企业群落脆弱性形成机理,可以很好地说明资源型企业群落脆弱性是由多种因素综合作用而引发的,有外生(环境)作用,也有内生(结构)作用,还有复杂的作用过程。其中,资源约束在脆弱性形成过程中的源头作用,加上市场变动,政府支持这两个对脆弱性形成起对立作用的力量直接影响或调节作用,构成资源型企业群落较为复杂的外部环境；外部不断扰动的环境,对资源型企业群落的结构造成影响,致使商业网络刚性、技术网络刚性、社会网络刚性的强化,其不利作用凸现,从而导致群落的行为能力,诸如敏感性、抵抗力、恢复力等能力不足,从而使得资源型企业群落脆弱性显现,严重的走向衰退。本文构建了基于E-SCP范式的资源型企业群落脆弱性综合评价框架,根据实证的脆弱性形成机理模型中各个潜变量之间的网络关系,建立了基于ANP的结构模型,从而确立各个指标的权重。而这种基于E-SCP范式,采用ANP法确定权重的资源型企业群落脆弱性评价模型应该开放或普适的,可根据实践的需要可以动态地加以调整,从而增强实践操作性。通过选择部分样本,对资源型企业群落综合评价框架进行了应用研究,发现资源型企业群落脆弱性的引致原因主要有两个：一是环境约束：二是结构刚性。根据评价结果,可将资源型企业群落进一步可以划分为低-低型、高-低型、高-高型、低-高型。与此对应,资源型企业群落脆弱性可采取不同的治理模式,但不论何种治理模式,创新的作用不容忽视。总之,本文的理论和实证研究成果丰富和完善了国内外学者有关资源型企业群落的发展理论,可以较好地解释现实中的资源型企业群落脆弱性的原因,基于E-SCP范式的资源型企业群落综合评价框架也具有较强的系统性与可操作性,可为资源型企业群落脆弱性的治理提供一个新的切实可行的工具。更多还原

【Abstract】 State-owned resource-based enterprises have been funded by Chinese government with a large amount of money since the 1980s in order to promote them to develop alternative industries so that they could successfully industrial transform in the event of resource exhaustion. Despite of this effort, there are still many resource-based cities that face the threat of " dying resource, dying city". The notable is that this dilemma is not only existed in our country. Some countries had successfully completed their transformation while some had failed and some still have been being in the process. Why is it so difficult for the resource-based enterprises community successfully transforming? Why is it so different that some communities were dilapidated while the others rose up through thriving when they faced the same menace of resource exhaustion? The concept of "vulnerability" was creatively applied in the management field, and also was related with the sustainable development of resource-based enterprises community. From systematic view, the resource-based regional economy not only includes resource-based industries but also their supporting industries. The transformation would take place when the latter possessed health growth ability to replace the former. In this case, the recession of the whole community would not happen even if resource exhaustion occurred. The reason was resource-based enterprises community lacking of diversity, adaptability, flexibility. More importantly, they lack of ecology restorative ability from the original community. In short, the vulnerability of resource-based enterprises community was the primary cause of the recession.The philosophic thinking of Vulnerability analysis was originated from the natural disasters studies in the 1970s, aiming at defining the most vulnerable crowd and finding the adaptive mechanism when dealing with crisis. At the beginning, the majority of its application focusing in the geological field, the term was frequently used in literatures concerning risk and disasters, and later it could be seen more and more in the research of global climate change and environmental development issues. The existing vulnerability research mainly was confined to natural and humanitarian areas, seldom be applied in economic and management fields, and rarer in the research of the formation mechanism of resource-based enterprises community vulnerability. The driving forces of vulnerability could not be identified by general research; moreover the empirical analysis of the interaction among the driving forces, community vulnerability and the regional economic decline was also scarce. Despite the assessment index system of the vulnerability on regional economic development was primarily established by theoretical research, the science behind the assessment effectiveness is still in question due to lack of close verification of the assessment system. For scientifically predicting the vulnerability of resource-based enterprises community, preliminary study and effective tools were needed. Even though the risk and stability study of the enterprises community, which is related to vulnerability, have made some achievements, however, confined to the traditional economic methods, being too microscopic as to ignore the initiative of cluster’s adaptability to the environment and the absence of systematic research of the causes of risk. All made those researches somehow unconvincing. Nevertheless, those studies——especially the analysis of driving forces——provide insight and prerequisite as to the construction of theoretical model for formation mechanism of vulnerability. The theoretical research of the mechanism of vulnerability is still in demand, the current researches are confined to the reason of the existence of enterprise cluster and why it possesses great vitality. The barrier factor of resource-based enterprises community’s sustainable development still eludes us, making it impossible to provide guidance due to the lack of explanation in the primary cause and mechanism about the formation of the resource-based enterprises community vulnerability. Thus, it is necessary to explore the formation mechanism of enterprise community vulnerability and reveal the internal rules of the community decline, to seek proper solutions and to realize sustainable development.The empirical research of the forming mechanism of resource-based enterprises community vulnerability was carried out by using literature review, questionnaire, enterprises interview and hypothesis testing. The network analytic process was applied to evaluate the vulnerability of some samples. The main focuses of this thesis are as follows:(1) Based on the distinctive characteristics of resource-based enterprises community, the investigation of production path was carried out to define the boundary of the resource-based enterprises community. Then from the network perspective, the structure of resource-based enterprises community was systematically analyzed from some aspects such as subject, resources and activities. The community was defined as an organism in which six main subjects were bonded with various resources, by associating with multi-level activities. Characteristics of resource-based enterprises community were summarized as Embeddedness, Aggregation, Division, Network, and Monopoly. Meanwhile, the cyclic succession of resource-based enterprises community was also analyzed in this paper.(2) The "vulnerability" connotation of resources-based enterprises community was defined, based on literature review of vulnerability, systems comparing vulnerability, and combining with its characteristics. The factors which cause resource-based enterprises community vulnerability were multifarious, from the systematic view, including environment, structure, conduct etc. Environmental aspects include factors such as resource limit, government support, market diversification. Structural aspects are mainly about the resource-based enterprises community network. Conduct aspects mainly refer to the action of the resource-based enterprises community as a system after external impacted behaving as sensitivity, resistance and resilience.(3)The relationship between the influencing factors and the vulnerability of the resource-based enterprises community is complex. They not all directly influence maybe indirect influence by interacting with each other or changing the other influencing factors to influence the vulnerability of the resource-based enterprises community. Based on the literature review and logical deduction, the research framework based on the E-SCP paradigm was contrasted. The theoretical hypothesis of the formation of the resource-based enterprises community vulnerability was made from logic relationship among environment(E)→structure(S), structure(S)→conduct(C), conduct(C)→performance(P), containing twenty hypothetical paths and five hypothetical moderating effects.(4)Based on the literature review, operational definition and measurement were conducted for the influencing factors one by one, such as resource limit, market alternation, government support, commercial network, technical network, social network, sensitivity, resistance, resilience and other variables. The Questionnaire was designed to lay the foundation for hypothesis testing.(5) The firsthand data from the large sample of statistical investigation was gathered. By employing statistical software for Common Method Variance detection, Reliability analysis and Validity analysis were conducted to ensure the quality of the statistics. SmartPLS2.0 software on the conceptual model for validation with PLS method was used. The results showed seventeen out更多还原