【作者】 何文靓；

【导师】 彭迪云；

【作者基本信息】 南昌大学 ， 管理科学与工程， 2014， 博士

【摘要】 在劳动力禀赋优势、大规模吸收外国直接投资和大国优势这三大力量共同的作用下，跨国公司将越来越多产业链内的生产制造活动环节转移或外包到中国。依托全球制造网络平台，中国主要从事加工制造的集群企业得到了迅猛发展，长三角、珠三角等区域先后成为全球重要的生产加工基地。这种由跨国公司主导的海外投资和离岸外包活动驱动的全球化趋势，在使全球竞争格局发生巨大变化的同时，也为大多从事加工制造环节的发展中国家集群企业提供了前所未有的快速实现初级工业化的战略机遇。因此，中国的集群企业必须牢牢地抓住这个战略契机，依托跨国公司主导的全球价值链顺利接近全球市场和技术创新的通道，积极主动地加速融入到全球生产制造网络中，实现由强大制造能力到创新能力的嬗变。在新经济背景下，企业通过培育独特的知识资源构建核心能力成为其提高国际化竞争力的必然选择。中国集群企业所“被动嵌入”的全球生产网络的确为企业提供了知识资源、能力的获取、共享、创造及运用的新机会，但是，值得注意的是这种被动的国际化和开放仅仅是给中国的集群企业的发展提供了机会，并不意味着所有嵌入其中的集群企业都能够在这种国际化和开放的过程中获得有意义和有质量的发展。在新国际分工背景下，面对全球价值链内丰富的外部知识源，我国的集群企业该如何充分利用全球价值链带来的“机会窗口”实现知识创新以提升国际竞争力？我国的集群企业该如何在全球生产制造网络中积极开拓和合理利用与跨国企业之间的关系资源实现知识的溢出效应？我国的集群企业该如何持续调整自身与全球价值链的整合方式以扭转在全球价值链租金收益分配比例上的劣势以实现国际分工地位的不断改善？上述问题的解答都是当前我国的集群企业在“第二波经济全球化”浪潮中，实施“走出去”战略中必须要认真对待的问题。然而，遗憾的是，现有的理论并未对此进行系统性的分析与探讨，不能为集群企业国际化行为提出具有指导性意义的管理对策与建议，故本研究将围绕上述问题展开研究工作。集群企业能够顺利切入跨国公司主导的全球价值链的关键在于其自身是否具备核心竞争力，而在战略管理研究领域，企业的核心竞争力通常是与“租金”密切联系在一起的，企业的经济租金来源于生产要素，是衡量企业经营绩效的重要工具。知识经济时代，知识已经超越土地、劳动、资本等传统要素成为推动生产力发展的第一要素，成为企业生产和发展的首要因素，如果企业不能有效获取外部知识将会陷入创新的“刚性陷阱”，在全球化竞争中逐渐被边缘化。鉴于此，本研究以嵌入到全球生产网络中的集群企业为研究对象，从知识租金获取这个帮助集群企业实现国际化成长的特定的关键性环节入手，围绕在国际化和开放式知识创新的时代背景下如何促进融入到全球生产网络中的集群企业以知识创新为动力，合理地积极开拓和合理利用外部网络，不断动态调整与全球价值链的整合方式，促进其创造、捕捉、保留更多的价值-知识租金以提升国际竞争力的核心问题展开。在动态性和复杂性不断增强的全球经济商业环境之下，集群企业的国际化成长呈现出新的特征：即嵌入到跨国公司主导的全球价值链组成的全球生产网络中的演化成长，是基于嵌入网络组织环境下网络化演化成长。因此，本研究综合运用“嵌入性”理论、资源基础观、企业能力观、全球价值链分工等理论和观点指出在中国当前特定的禀赋结构和制度约束条件下，集群企业依托全球价值链实现国际化成长的实质和关键：即通过嵌入到跨国公司主导的全球价值链组成的全球生产网络中不断获取知识租金而实现的。集群企业实现国际化成长的过程也就是其在全球价值链内获取知识租金能力的不断提升的过程。在此基础上本研究构建了网络嵌入性、网络能力、吸收能力、知识租金获取及集群企业国际化成长之间关系的概念模型，清晰勾勒出集群企业外部网络的“嵌入性”特征、吸收能力、网络能力及两种能力之间耦合与企业知识租金获取及国际化成长的关系以及它们之间的相互作用方式，以期能够揭示出以集群企业为中心的外部网络特征属性、动态竞争能力对于集群企业国际竞争力提升的作用机理。具体而言，本研究从以下几方面逐步展开：首先，在文献综述和实地调研的基础上进行相关核心要素的逻辑机理分析，提出集群企业国际化成长、知识租金等核心概念、主要维度以及集群企业国际化成长进程中知识租金获取的初步的理论模型，该模型涵盖五个子模型：基于嵌入性视角的“关系性嵌入、知识租金获取及集群企业国际化成长”、“结构性嵌入、知识租金获取及集群企业国际化成长”；基于能力视角的“网络能力、知识租金获取集群企业国际化成长”、“吸收能力、知识租金获取及集群企业国际化成长”、“吸收能力与网络能力耦合、知识租金获取及集群企业国际化成长”。其次，对提出的初步的研究模型进行实证检验。对于子模型一、二、三、四均是采用结构方程的统计分析方法，主要探讨关系性嵌入、结构性嵌入、网络能力、吸收能力、知识租金获取及集群企业国际化成长之间的机理关系；对于子模型五采用灰色关联分析的方法探讨网络能力与吸收能力的耦合、知识租金获取及集群企业国际化成长之间的机理关系。最后，再经过对全文的分析与论证，我们得出以下主要的研究结论：集群企业外部网络的嵌入性：结构性嵌入和关系性嵌入通过帮助集群企业实现知识租金从而助推其国际化成长；集群企业网络能力、吸收能力及两者之间耦合作用于集群企业知识租金获取，帮助其最终实现国际化成长。本研究在结构安排上共分为8章。章节具体安排如下：第一章为导论，介绍本研究的研究目的、意义、研究对象、拟解决的关键问题；第二章为理论基础与文献综述，在文献综述的基础上奠定本研究概念模型构建的理论基础；第三章为概念模型构建与研究假设的提出，提出“嵌入性”视角和“能力”视角下的集群企业国际化成长进程中知识租金获取机制概念模型及研究假设；第四章为研究设计和方法论，主要是对研究的过程和策略进行规划；第五章为嵌入性视角下集群企业国际化成长进程中知识租金获取机制实证研究；第六章为能力视角下集群企业国际化成长进程中知识租金获取机制实证研究；第七章为基于集群企业网络能力与吸收能力耦合的知识租金获取及实现国际化成长实证研究；上述三章为本研究概念模型的实证分析过程展示；第八章为研究结论与政策建议，即基于实证分析的结果，对全文的研究结论进行总结，对国际化的集群企业和政府部门提出管理的政策建议。本研究严格遵循“结构-行为-绩效”的分析逻辑，建立了“嵌入性-动态竞争能力-知识租金”的理论框架，旨在充分揭示企业网络与动态竞争能力的协调演化规律及其对知识租金获取的影响，为我国集群企业在全球制造网络中的学习演化和战略升级提供一个崭新的视角。此外，本研究创造性地构建的包涵网络嵌入性、网络能力、吸收能力、知识租金获取、集群企业国际化成长的概念模型将知识与集群企业的价值创造和价值分配过程和结果有机地联系起来，将知识租金视为集群企业实现国际化成长的一个关键性战略环节，这深刻揭示了全球生产网络影响集群企业国际竞争力本质过程。此外，基于实证分析结果，本研究还为国际化的集群企业和政府相关管理部门提出了政策建议：即以实施国家主体功能区战略为契机促进集群企业转型升级、调整产业和引资的政策取向、培育和增强集群企业的知识吸收能力、提升集群企业的网络能力、推动跨国公司和集群企业的双向嵌入与互动融合等。上述研究工作的展开对于全球制造网络中集群企业及政府部门如何有效管理网络和有效利用全球价值链内知识溢出效应、探索出一条知识创新驱动的国际化成长的路径是具有重要的实践指导意义的。更多还原

【Abstract】 Under the influence of the there power interaction: the advantage of the laborendowment, the large-scale absorbing foreign direct investment and the big country’sadvantage, More and more manufacturing activities links of the industrial chain aretransferred or outsourced to china by the transnational corporation. Basing on thenetwork platform of the global manufacturing, the manufacturers and processingcluster enterprises in china have developed rapidly, the Yangtze and the Pearl Riverdelta region have become the important processing and production bases. Theglobalization trend is driven by the overseas investment and offshore outsourcing ofthe International Corporation, and these are not only make the global competitionregime evolve, but also provide an unprecedented strategic opportunities for themanufacturers and processing cluster enterprises in china. So the cluster enterprises inchina must seize the strategic opportunity firmly, and rely on the global value chainwhich dominated by the Multi-National Corporation, approach successfully theglobal market and the technology innovation path, actively integrate into the globalmanufacturing network, realized by the evolution of strong manufacturing capabilityand innovation capability. In the new economic background, the cultivation of theunique knowledge resources to construct the core competence becomes the inevitablechoice to promote the international competitiveness by the enterprises. The globalproduction networks (inter-organizational networks) which embedded the clusterenterprises in china can provide the new opportunity of the knowledge resources, theability to obtain knowledge, sharing creating and using, and help to expand theresources and ability system and the enterprise’s value creation space. But, payattention, this international and opening just provide a new opportunity to the clusterenterprises in china, which not mean that all the enterprises gain the meaningful andquality of development in the process of the internationalization and the open, notmean that all the enterprises realize the production capability to the innovationcapability in the global value chain of the innovation process of the appearance of “production fragmentation” vertical separation.Under the background of the new international division of labor, facing the richexternal tacit knowledge of the Global value chain, the cluster enterprises how tomake use of the " the Window of opportunity" to realize the knowledge innovation，how to actively explore and reasonable use the relationship from the Globalproduction networks，how to continually adjust the integration manner between thelocal cluster of enterprises and the global value chain to improve the internationalcompetitiveness and the rental income share in the new international division of laborpattern. These answers are highly strategic important realistic significance. But, regret,the existing theory can not analysis and discuss systemically and give the guidingsignificance to the management countermeasures and suggestions for the clusterenterprises in china. In view of this, this study will revolve around the aboveproblems. In this study, from the Angle of inter-organizational knowledge for rent, wemake the cluster enterprise as the research object embedding in the globalmanufacturing network. Under the background of internationalization and openknowledge innovation era, we how to make the cluster enterprises in the globalnetwork to innovate, explore, utilize the external network reasonably, adjust theintegration of the global value chain, create, capture, retain the value-the knowledgerents.Under the growing dynamic and complex nature of the global economic businessenvironment, international growth companies showing a cluster of new features: Thatis the growing evolution of the global production networks relationship which isembedded into multinational global value chains, it is based on the evolution ofnetworked embedded network organization under growing environment. Therefore,this study integrated use of "embedded" theory, resource-based view, the ability toview business, global division of labor theory of value chains and views, pointing outthat Chinese current specific endowments and institutional constraints, the real termsand key of cluster enterprises relying on global value chains to achieve internationalgrowth: That the enterprise cluster international growth is achieved by embedding acluster dominated by multinational companies to global value chains of globalproduction network access to external knowledge rent. The process of internationalization of enterprises cluster growth is also its continuous improvedprocess of the abilities to getting knowledge rents from the global value chain. Onthis basis, this study constructed embedding enterprise network, network capacity,absorptive capacity, knowledge rents acquisition and conceptual models betweencluster internationalization of growth, Clearly outline the clusters outside theenterprise network "embedded" features, the enterprises absorptive capacity ofknowledge resources during network、networking capabilities, and the relationshipand the way interaction among the two capacities’ coupling with enterpriseknowledge rents acquisition and international growth. In order to be able to reveal theexternal network properties，which is based on the cluster enterprise, mechanism ofaction for the dynamic competitiveness to improving the cluster enterprises’international competitiveness of enterprises.Specifically, the study carried out the following researches: Firstly, based on theliterature review and a large scale field research, conducting logical mechanismanalysis to the related core elements, proposing the core concepts such as clusterenterprises and knowledge rents, the main dimensions and clustering growinginternationalization process of preliminary theoretical model of knowledgeacquisition. The model covers five sub-models: Based on the Perspective ofEmbeddings "relational embeddings, knowledge rents acquisition and clusterenterprises’ internationalization growth","structural embedding, knowledge rentsacquisition and cluster enterprises’ internationalization growth"; Competency-basedperspective "network capabilities, access to knowledge cluster internationalizationgrowth","absorptive capacity, knowledge rents acquisition and growth clusterinternationalization","absorptive capacity and network capabilities coupled clustersof knowledge rents acquisition and cluster companies’ international growth."Secondly, a preliminary study empirical tests the proposed model. For the sub-modelone, two, three, four are supported by statistical analysis methods of structuralequation mainly explore the relationship between embedded structural embedding,network capabilities, absorptive capacity, knowledge, relationships and clusteringmechanism rent to get companies between international growth; the five sub-modelusing the method of gray correlation analysis to explore the relationship between the coupling mechanism, knowledge acquisition and rents growing internationalization ofthe cluster network capabilities and the ability to absorb between. Finally, after afull-text analysis and discussion, we draw the following main conclusions:embedding of clusters outside the network: structural relationship betweenembedding and embedding knowledge by helping companies achieve cluster rent thusboosting its international growth; cluster enterprise networking capabilities, and theability to absorb both the coupling between the role of knowledge in enterprise clusterrent access to help them ultimately achieve international growth.The chapter arrangements of this study as follows: The first chapter is anintroduction, introduce this study’s purposes, significance, object and the key issuesto be addressed; The second chapter is the theoretical basis and the literature review,on the basis of the literature review, establish the theoretical basis of the study’sconceptual model; The third chapter is to build a conceptual model and proposehypotheses，put forward conceptual model and hypotheses of the acquisition ofknowledge rent during the cluster enterprise internationalization growth, which isunder the "embedded" perspective and "ability" perspective; The fourth chapter is thestudy’s design and methodology, mainly for planning the research’s processes andstrategic; The fifth chapter is empirical research on acquisition of knowledge rentduring the cluster enterprise internationalization growth which is under the"embedded" perspective; The sixth chapter is empirical research on acquisition ofknowledge rent during the cluster enterprise internationalization growth which isunder the "ability" perspective; The seventh chapter is empirical research onacquisition of knowledge rent and achieving internationalization growth on the basisof cluster enterprise network capacity and absorptive capacity coupled with eachother; these above three chapters are the empirical analysis of the study’s conceptualmodel; The eighth chapter is the research findings and policy recommendations,which is based on the results of the empirical analysis, summary the full text of theconclusions, make policy recommendations on international management clusterenterprises and government departments.In this study, we strictly follow the logical analysis of the“structure-conduct-performance”, and establish the theoretical framework of "embedded network capacity-the knowledge rent", aim to reveal the effects of thecoordination evolution between the network of the enterprises and the dynamictoward the acquisition of the knowledge rents. Which can provide a new viewpoint?In addition, we creatively construct the conceptual model which involving thenetwork embeddings, the network capacity, the absorptive capacity, the acquiring ofthe knowledge rents, the internationalization growth of the cluster enterprises, whichcan reveal the essence of the influence of global production network affecting theinternational competitiveness of the cluster enterprises. Based on empirical results,this study also provides policy recommendations for the international corporate andgovernment-related cluster administration: That is to implement make nationalstrategy main function as an opportunity to promote cluster enterprises’transformation and upgrading、adjust the industries and attract investment’s policyorientation、foster and enhance the ability to absorb knowledge cluster enterprises、enhance the ability of the enterprise network cluster、 promote multinationalcompanies and clusters bidirectional embedding integration and interaction.Thisstudy has a great guiding significance for the cluster enterprises in the globalmanufacturing network, how to effectively manage the network, use the knowledgespillover in the global value chains efficiently, explore an internationalization pathdriven by the knowledge innovation.更多还原