【作者】 王永健；

【导师】 蓝海林；

【作者基本信息】 华南理工大学 ， 企业管理， 2014， 博士

【摘要】 中国加入WTO以后，对外开放的程度不断提高，跨国公司进军中国市场的步伐明显加快，中国企业即使在国内市场也不可避免要面临来自跨国公司的激烈竞争，特别是它们通过投资新建或收购兼并的方式不断占领中国市场，严重挤压了中国企业的生存空间。在此情况下，提升中国企业的国际竞争力就显得尤为紧迫和重要。中国少数具有世界级竞争力的杰出企业的成功经验表明：通过实施地域多元化战略提高其主业在国内市场的占有率是中国企业提升国际竞争力的重要战略途径。但是由于市场分割性的存在，极大限制了企业在国内市场的跨区域扩张，因此，如何突破市场分割的制约以提高地域多元化程度，成为企业提升国际竞争力过程中亟需解决的一个关键问题。由此也产生了一个具有重要理论和实践价值的问题：在中国市场分割条件下，什么因素会影响企业的地域多元化程度？这也是企业战略管理领域的一个焦点问题。但纵观现有研究，学者们从不同的视角对这一问题进行了探讨，但缺乏对不同理论视角的整合。同时，多数研究关注的是企业跨国地域多元化（国际化）的影响因素，而鲜有学者对企业国内市场地域多元化的影响因素进行研究。鉴于此，本文借鉴国内外已有研究成果，结合中国企业所处的现实背景，将资源基础观、制度基础观以及管理者认知理论整合起来，探讨了在中国市场分割条件下，两类不同性质的企业能力（市场能力和非市场能力）、管理者认知（管理者对市场分割的解释）对企业地域多元化（深度和广度）的影响关系与作用机理，具体提出了以下几个问题：（1）企业能力对地域多元化有怎样的影响？（2）管理者认知对企业地域多元化有怎样的影响？（3）企业能力对管理者认知有怎样的影响？（4）管理者认知在企业能力与地域多元化的关系间起着怎样的中介作用？为回答上述四个问题，本研究以162家在省外设有分支机构（子公司、分公司、生产基地、办事处等）的企业为研究对象，通过问卷调查获得了相应的数据资料，运用结构方程模型（SEM）分析方法和层次回归分析法对概念模型和研究假设进行了实证检验，得到了如下结论：（1）企业的技术能力（市场能力的代理变量）对地域多元化深度以及地域多元化广度都有显著的正向影响；政治关系能力（非市场能力的代理变量）与地域多元化深度呈显著的U型关系，而对地域多元化广度的影响不显著。（2）管理者对市场分割的正面解释对地域多元化深度以及地域多元化广度都有显著正向影响；但是管理者对市场分割的可控性解释对地域多元化深度和地域多元化广度的影响都不显著。（3）技术能力对管理者的正面解释和可控性解释都有显著正向影响；政治关系能力对管理者的可控性解释都有显著正向影响，但与管理者的正面解释呈显著的U型关系。（4）管理者的正面解释在技术能力与企业地域多元化深度的关系中起部分中介作用，同时在技术能力与企业地域多元化广度的关系中也起部分中介作用；正面解释在政治关系与企业地域多元化深度的关系中起U型中介作用，但在政治关系与企业地域多元化深度的关系中不起中介作用；此外，管理者的可控性解释在企业能力（技术能力与政治关系能力）与地域多元化程度（深度和广度）的关系中的中介作用均不显著。本研究所得结论有以下三个方面的创新点和贡献：（1）本研究嵌入在中国市场分割这一特殊的制度背景下，通过实证研究揭示了企业能力、管理者认知对企业地域多元化的影响关系与内在机理，一定程度打开了企业能力与地域多元化关系间的“黑箱”，丰富和拓展了企业地域多元化战略的理论知识；（2）本研究深入探讨了市场能力和非市场能力两类具有不同特性的企业能力对地域多元化的影响，并利用实证研究证实了两者的不同影响效应，丰富了发展中国家企业能力的理论内涵，同时也为“企业发展是靠政府还是靠市场？”这一争论提供了新的理论解释；（3）本研究基于管理者认知理论视角对管理者认知的作用进行了探索性研究，通过引入管理者认知作为企业能力与地域多元化关系间的中介变量，实质上也可以说是研究了管理者认知的前因后果，极大地丰富和拓展了战略管理领域的认知理论。此外，本文的研究结论对企业的管理实践和政府政策的制定具有一定的借鉴和指导作用。最后，本文还指出了论文的不足之处，并对未来研究方向进行了展望。更多还原

【Abstract】 With China’s accession to the WTO and the improvement of opening to the outside world,multinational enterprises (MNs) accelerate their pace of entering China, which makes Chinesefirms have to face the intense competition from MNs even though in the domestic market. Inparticular, they continue to occupy the Chinese market by Greenfield investment or mergersand acquisitions, the living space of Chinese enterprises is seriously squeezed. In this case, toenhance the international competitiveness of Chinese enterprises is particularly urgent andimportant. The successful experience of the only Chinese enterprises with world-classiccompetitiveness showed that improving their main business’s domestic market share throughgeographic diversification strategy is an important strategic ways to enhance the internationalcompetitiveness of Chinese enterprises. However, the market segmentation greatly limits thecross-regional expansion in the domestic market. So breaking through the constraints ofmarket segmentation is very important for Chinese enterprises to improve the degree ofgeographic diversification, and then improve the international competitiveness. Thus, aquestion with important theoretical and practical value is posed: under the condition ofChinese market segmentation, what factors determine the degree of geographicdiversification?According to the previous study, scholars discuss this issue from different perspectives,but integration of different theoretical perspectives is lack. At the same time, most studiesfocus on the factors of international diversification, and few on the factors of geographicaldiversification in the domestic market. Based on the privous study and Chinese context, thispaper integrates three theoretical perspectives including resource-based view,institution-based view and managerial cognitive theory, and studies the relationship amongthe two different typles of enterprise capabilities (market capabilities, and non-marketcapabilities), managerial cognition (managerial interpretation on market segmentation) andgeographical diversification (depth and breadth). Specific questions are as following:(1) Howdo enterprise capabilities affect geographical diversification?(2) How does managerialcognition affect the geographical diversification?(3) How do enterprise capabilities affect themanagerial cognition?(4) How does Managerial Cognition play mediating effect between the enterprise capabilities affect the geographical diversification?To answer the four questions, this article takes162enterprises with branches outside theprovince as research objects, and obtains survey data through questionnaire. Then, we usestructural equation modeling (SEM) analysis and hierarchical regression analysis to test theconceptual model and the hypotheses, the empirical results show as following:(1)Technological capabilities (the proxy variable of market capabilities) have a significantpositive effect on both the depth and breadth of geographic diversification; the curvilinear(U-shape) relationship between political relations (the proxy variable of non-marketcapabilities) and depth of geographic diversification is significant, but the one betweenpolitic relations and breadth of geographic diversification is not.(2) The positiveinterpretation of market segmentation has a significant positive effect on both the depth andbreadth of geographic diversification, but controllable interpretation of market segmentationdoesn’t.(3) Technological capabilities have a significant positive effect on both the positiveinterpretation and controllable interpretation; political relations have a significant positiveeffect on controllable interpretation and a significant curvilinear (U-shape) relationship withpositive interpretation.(4) Positive interpretation plays a significant partial mediating effecton the relationship between technological capabilities and geographic diversification (depthand breadth), and a significant curvilinear (U-shape) mediating effect on the relationshipbetween technological capabilities and the depth of geographic diversification, but not thebreadth of geographic diversification; addition, the mediating effects controllableinterpretation are all not significant.This paper contributes to theoretical literature and managerial practice in terms of threeaspects:(1) Under the context of market segmentation, this study investigates the relationshipamong enterprise capabilities, managerial cognition and geographical diversification, whichunfolds the black box of enterprise capabilities and geographical diversification, and enrichesthe theorical knowledge of geographical diversification stratege;(2) This study discusses theeffect of two different typles of enterprise capabilities——market capabilities, andnon-market capabilities on geographical diversification, and the conclusions of empiricalstudy show that effects of the two are different. These results enrich the theorical connotationof enterprise capabilities in developing countries, and also provide new interpretation for the argument that enterprises’s development should depend on government or market?(3) Theresearch on the effect of managerial cognition in this paper is an exploratory empirical studywhich is based on the cognitive theory. The antecedents and outcomes of managerialcognition are studied by taking it as the mediator of the relationship between enterprisecapabilities and geographical diversification, then, cognitive theory in the field of strategicmanagement is expanded vastly. In addition, the conclusions of this paper have somereference and guidance for managerial practices and government policy-making. Finally, thepaper also points out the shortcomings of the paper and the future research directions.更多还原