【作者】 夏文俊；

【导师】 罗珉；

【作者基本信息】 西南财经大学 ， 企业管理， 2011， 博士

【摘要】 随着经济的全球一体化、技术的复杂性不断增强以及需求的快速变化,企业的经营环境正面临着高度的不确定性。为了应对高度不确定性的经营环境,虚拟企业、战略联盟、价值星系、企业集群等网络组织形式已经在实践中获得巨大的成功。在网络组织下,单个企业的力量越来越微不足道,企业通过结网协作来共同创造价值已经成为当下主流。追求卓越的绩效是企业经营永恒的主题和目标。经济租金的概念具有更为广阔的战略观,成为衡量企业经营绩效的核心工具。然而,在经济租金的研究过程中,出现了众多的租金范式,如李嘉图租金、张伯伦租金、关系租金、熊彼特租金等等。这些范式的存在和发展具有强烈的“历史语境性”,并成为某一时段的主流范式。这些租金范式各执其说,差异很大,严格遵循着“不可通约性”。不同的范式决定了企业在经营思路、发展战略与组织结构方面的迥然不同。那么,在网络组织情境下,企业通过结网协作获取的超额利润应该归属于哪种租金范式呢?事实上,通过对现有经济租金范式进行深入分析后,我们发现这些范式已经无法对新情境下的现实给出合理的解释。因此,跳出“不可通约性”的框架,发展综合范式观已经成了深入理解经济租金理论的当务之急。本文基于科学哲学和社会理论维度对经济租金进行理论分维,并提炼出知识租金这一综合范式观。知识租金强调企业内外部的异质性知识是经济租金的源泉,是基于知识特性认识的演化和整合。本文进一步分析了知识租金的内核和保护带,阐述了知识租金和传统租金的关系。在知识租金提出后,本文就知识租金的获取机制进行了研究。相对于以往企业强调的封闭式创新,知识租金强调的是开放式创新。目前对开放式创新的研究还存在很多不足,如研究层面主要集中在组织层面,对网络层面的研究不够;在价值创造过程中,开放式创新的维度有哪些,目前还没有引起足够的重视；结网企业如何通过开放式创新获取知识租金的研究也寥寥无几等。本文认为,在知识创新的过程中,企业知识租金的获取包括知识租金的创造和知识租金的占有两个阶段。本文提炼出开放式创新的维度,并对如何通过开放式创新获取知识租金进行了深入的分析。经济租金是经济学的概念,本文进一步从经济学的视角对知识租金的有效性进行论证。我们认为,新古典经济学对经济租金分析的最大贡献在于为经济租金的研究提供了参考系,其均衡价格和零租金成为现实情况的最佳替代选择。实际上,我们倾向使用(PQ—CQ)来度量经济租金,这样比较形象,也易于比较。我们对封闭式创新模式和开放式创新模式下的企业经济租金进行分析,通过形象的对比来论证知识租金的有效性。对比分析的结果表明,在网络组织环境下,企业通过协作能够获取更多的经济租金。知识租金强调企业利用内外部知识进行知识创造,也是知识有效流动的过程。知识治理不仅影响交易成本,也影响联盟成员进行价值创造的意愿。知识的有效治理能促进知识的合理流动,从而有利于企业知识租金的获取。知识治理的兴起是对交易治理的扬弃,基于众多学者对知识治理概念的理解,本文将知识治理分为治理结构以及治理结构下的治理机制,对组织内部和组织间的知识治理进行了细致的分析。在组织内,科层制是主要的治理结构。在组织间,可以分为组织间市场、组织间科层和共同体三种治理结构。在治理结构的基础上,分别探讨了治理结构下的治理机制。新范式的提出和经济学的证明构建了严密的理论体系,本文将通过案例分析进一步对理论体系进行解释和说明。开放式创新的有效性需要在低技术产业或者成熟度较高的产业进一步验证,鉴于汽车产业在社会经济中的重要地位,我们选取日本丰田和上汽集团的开放式创新实践活动来进一步验证本文的主要观点。上汽集团是我国汽车行业的缩影,因此在案例的对比分析后,本文对上汽集团的进一步发展提出了建议,期望能对企业的实践有所助益。论文的主要结论和创新有：1、知识租金是对传统经济租金的扬弃和整合,强调企业内外部的知识要素是经济租金的来源,这也是知识租金的硬核,其保护带主要有：经济租金占有的非排他性假设,动态的开放性系统假设以及企业边界模糊扩大化假设。这部分的创新主要体现为：通过对经济租金进行理论分维,将已有的经济租金范式统一到“笛卡尔框架”中进行研究,并提炼出知识租金这一综合范式观。这个观点的提出,即突破了各经济租金所遵循的不可通约性,也是对“一元主义”的一种否定。2、知识租金的获取机制是开放式创新。开放式创新强调企业应该合理的利用内外部的知识进行知识的创造。开放式创新获取知识租金的过程可以分成两个阶段：知识租金的创造和知识租金的占有。这部分的创新主要体现为：通过知识创造的过程提炼出开放式创新的三个维度：能力维度、关系维度和权力维度,对企业如何通过开放式创新获取知识租金进行了体系构建。3、在网络组织下,企业通过协作获取的知识租金要比非网络组织下企业获取的租金多。这部分的创新主要体现为：首先,本文指出新古典经济学对经济租金分析的理论意义在于提供了一个参照系。通过挖掘经济租金的内涵和实质,对经济租金进行了测度。其次,本文将企业放置在不同的情境下,对经济租金进行对比分析,论证了知识租金的有效性。4、有效的知识治理能促进知识租金的产生。在网络组织下,知识治理并不存在单一的治理结构和治理机制,不同的情境下企业需要不同的知识治理模式。因此,网络组织的知识治理是多种治理模式的组合。这部分的创新主要体现为：在整合前人对知识治理的理解的基础上,构建了以治理结构和治理机制为主的知识治理框架,并指出了知识治理与知识租金的内在逻辑关系。更多还原

【Abstract】 Along with the economical global integration, the technical being more and more complex, and the fast change of demand, the enterprise has to face the high uncertainty. In order to deal with the highly uncertainty, the network organizations such as the virtual enterprise, the strategic alliance, the value galaxy, industrial cluster have obtained the huge success already in reality. Under the network organizations, the single enterprise can do nothing more and more, the enterprise spins a web through cooperation to create the value have become the mainstream at the present time.Pursuing the remarkable financial performance is the eternal subject and the goal for enterprise. Economic rent’s concept has the broader strategic view, becomes the core tool to measure the financial performance. However, during the research process, there are numerous rent paradigms, like ricardian rents、Chamberlain rents、relational rents and schumpeterian rents and so on. The existence and development of these paradigms are historic context intensely, and becomes the mainstream paradigm in specific time. These rent paradigms have great difference and obey the incommensurability strictly. The enterprise is different in the business philosophy, the developmental strategy and organizational structure. Then, under the network organization situation, the enterprise gains the excess profit through the cooperation, is the rent belong to which one?In fact, thorough the analysis to the existing economic rent paradigm, we discovered that these paradigms were already unable to give the reasonable explanation under the new situation in reality. Therefore, based on the scientific philosophy and the social theory dimension to the economic rent, we propose a new concept:the knowledge rent. Then, we analysis further the hardcore and the protective belt of the knowledge rent, and elaborate the relations between the knowledge rent and the traditional rent. After mentioned the concept of the knowledge rent, the article will start the research on the mechanism to gain knowledge rent. In relation to the closed innovation which enterprise emphasized in the former, knowledge rent emphasis the open innovation. Current research on open innovation have a number of bad outs, such as the study of open innovation is much more in organization level than network level; few paper talk about how the enterprise who weave a net and cooperate with partners gains knowledge rent through open innovation; what dimension does "open innovation" has, those can’t arouse our adequate appreciate. During the process to create knowledge for gaining the knowledge rent, the enterprise goes through two stages:the creation phase and the possession of the knowledge rent. Based on this, this article refines the dimension of open innovation, and analysis how to obtain the rent through open innovation.The economic rent is an economic concept, this article further prove the validity of the knowledge rent.We think the neoclassic economic plays an important role as reference system, its equilibrium price and zero rent was the best opportunity cost. Actually, we are inclined to use (PQ-CQ) as a measurement tool of economic rent because of more vivid and easily comparable. Through the contrastive analyses under the two kind of different situations under the closed innovation and open innovation style, we had proven the validity of the knowledge rent for the enterprise that cooperate to create value knowledge under the environment of network organization.The knowledge rent stressed that the enterprise utilizes the internal and external knowledge to produce the knowledge, this is also the effective flowing process of knowledge. The effective knowledge government can promote the knowledge reasonable flowing, that is advantageous for the enterprise to gain the knowledge rent. The rise of the knowledge governance is the development and the replacement of the transaction governance. Building on the understanding of numerous scholars about the knowledge governance concept, this article divides the knowledge governance into the governance structure and the governance mechanism under the governance structure, and has carried on the careful analysis of the internal and external knowledge governance. Within the organization, bureaucracy is main governance structure, its governance mechanism is mainly authoritative mechanism and stimulation mechanism. Within inter-organizational, the governance structure include inter-organizational market, inter-organizational bureaucratic and community, its governance mechanism is mainly include trustful mechanism、learning mechanism、property mechanism and restrictive mechanism.The former part has constructed the strict logical system theoretically with the economic proof, this article farther prove the theory system through analysis of case. The validity of the open innovation need to be proved further in the low-tech industry or in the high-maturity industry. Adhering to this view, we select the open innovation practice of Toyota and the S AIC as our cases because of the importance of automotive industry for society economy. We analyze the two companies respectively from the dimension of open innovation and knowledge governance, and tests main point of view of this paper. The SAIC is the miniature of our country’s automobile industry, therefore after case’s contrastive analysis, this article put forward the proposal to the SAIC for further development, we expected that can have a value.The paper’s main conclusion and the innovation include:Firstly, the knowledge rent develops the reasonable content of the traditional economic rent and discard the unreasonable content of the traditional economic rent. The knowledge rent holds that the enterprise internal and external’s heterogeneous knowledge is the source of the economic rent, it also is the hardcore of the knowledge rent. The "protective belt" of the knowledge rent includes a few-hypotheses:the possession of the knowledge non-exclusive; the dynamic open system supposition; organization boundary being fuzzy. The innovation of this part is mainly described as follows:through putting all economic rent into descartesian criteria, we offer a multi-paradigm approach of economic rent theory-knowledge rent. The view breaks through the Incommensurability which various economic rent follows, and also denial the monism during the research on the economic rent.Secondly, the open innovation is the mechanism for the knowledge rent. The open innovation stressed that the enterprise should make rational use of internal and external knowledge to create the knowledge. Through open innovation, the acquisition process of the knowledge rent can divide into two stages:The knowledge rent creation and the knowledge rent possession. The innovation of this part mainly is described as follows:we refine three dimensions of open innovation through the knowledge creation process:ability dimension, the relational dimension and the power dimension, and construct the system how obtain the knowledge rent through the open innovation.Thirdly, under the network organization, the enterprise who weave a net and cooperate with partners gains more knowledge rent than that gains under non-network organization, thus has proven the validity of knowledge rent. The innovations of this part mainly is described as follows:this article pointed out that the neoclassic economic exposition play an important role as reference system, its equilibrium price was the best opportunity cost in the real life, and track down the origin of the concept of rent to grasp the connotation and denotation. On the basis of the comprehension views, we make an exact measurement to the economic rent. Go a step further, we carry on the contrastive analysis from two aspects on the cost and the income under different surroundings, that has a certain degree of innovation.Fourthly, the effective knowledge governance can promote the production of knowledge rent. Under the network organization, the knowledge governance does not have the sole governance structure and the governance mechanism, we needs the different knowledge governance under the different situation. Therefore, organization’s knowledge governance is the governance combination in most cases. The innovation of this part mainly is described as follows:on the basis of predecessors’work, a framework of knowledge governance is set up which include governance structure and governance mechanism, and has pointed out the intrinsic logical relation between the knowledge governance and the knowledge rent.更多还原