【作者】 于荀；

【导师】 高闯；

【作者基本信息】 辽宁大学 ， 企业管理， 2013， 博士

【摘要】 模块簇群介于科层组织与市场组织的中间地带,是一种新的组织形式。它通过复杂产品的模块化生产将各模块企业组织集聚而形成。模块簇群是企业组织在市场环境高度不确定性条件下,既能保证生产的灵活性,又有利于交易成本节约的一种自主选择。在模块簇群发展中,一些特殊企业贡献巨大,他们占据核心资源,发挥领袖作用。目前,对这类领袖型企业的研究较少。主要体现在,首先对于模块簇群中这类企业的界定还缺少明确标准,其次领袖型企业治理的要素与其他组织形态治理有何不同缺少对比分析。第三对于领袖型企业治理机制的研究一般都是从正式治理机制角度分析,很少考虑非正式治理机制的影响。基于此,本文以管理学为基础、综合了经济学以及社会学等理论,采用规范分析与实证研究有效结合的方法对领袖型企业治理机制进行研究,首先界定了领袖型企业及领袖型企业治理机制的定义,然后构建了领袖型企业治理机制的逻辑框架,并利用这一分析框架对领袖型企业治理机制的结构,内容及作用机理等进行了理论论述和实证检验。可以说,这一新的视角和研究内容丰富了领袖型企业治理理论体系,同时对于企业有效识别治理维度,分析影响合作绩效的因素,巩固和提升企业在模块簇群中的地位等具有现实意义。文章共分为七部分。第一部分概括介绍论文的选题背景和理论及现实意义、给出了研究内容和框架、说明了研究方法及论文的创新之处等。第二部分是领袖型企业治理机制的文献综述,通过对模块簇群,领袖型企业,企业治理的相关研究文献梳理和回顾,揭示目前模块簇群视角下的领袖型企业治理研究的局限和不足。第三部分在对模块簇群发展的背景揭示下,通过与战略联盟,虚拟企业,产业集群的对比,论述了模块簇群的本质及特征,指出了模块簇群中领袖型企业的存在及重要性。运用文献分析和访谈法等,界定了领袖型企业的识别标准。第四部分分别从传统企业,模块簇群,领袖型企业治理要素比较的角度探讨领袖型企业治理的必要性及特殊性。第五部分论述了领袖型企业治理机制结构,内容和运作机理。从正式治理机制的角度,探讨了领袖型企业系统规则和契约治理机制的作用和调节机理,阐述了领袖型企业以正式治理机制为主的观点。同时运用社会资本理论分析了领袖型企业非正式治理机制的作用,内容及及调节机理等。第六部分通过实证分析,验证了模块簇群视角下领袖型企业治理机制与合作绩效的关系。实证研究结果表明领袖型企业正式治理机制和非正式治理机制共存,对于合作绩效有明显的积极影响。最后一部分为结论,概括并总结论文的主要观点,提出与结论相关的政策建议,同时对于本文的局限及后续研究进行了相应的探讨。本文的创新之处集中体现在以下四个方面：第一,对于模块簇群视角下的领袖型企业进行了系统界定。第二,基于模块簇群视角研究领袖型企业治理问题。区别于单一的企业,论文是在模块簇群的网络视角下探讨领袖型企业治理问题,揭示了领袖型企业的关系治理特征。第三,构建了模块簇群视角下领袖型企业治理机制体系模型。为从制度视角研究领袖型企业治理问题提供了定性和定量分析基础。论文立足于模块簇群的本质特征,通过行业观察和文献分析等方法,论述了领袖型企业治理机制结构,内容及运作机理。领袖型企业通过系统规则和契约正式治理机制约束和调整企业间的合作行为。同时分析了领袖型企业非正式治理的作用,分析探讨了非正式治理机制的内容,主要特征和运作机理。指出了领袖型企业正式治理机制与非正式治理机制在模块簇群中的共存性。第四,通过问卷调查与统计分析等实证手段检验了模块簇群视角下领袖型企业正式治理机制和非正式治理机制对于合作绩效的共同作用。验证了领袖型企业治理机制的理论模型。通过系统分析与探讨,本文得到了以下五条重要结论：(1)模块簇群具有比较优势,是产业集群的高级形态。模块簇群能够规避产业集群的内生性风险。(2)领袖型企业在模块簇群发展中具有特殊性和重要性。领袖型企业是系统的设计师,拥有核心价值模块,产品在同行业中属于领先位置,具有吸引和选择伙伴商的能力。(3)领袖型企业治理是一种关系治理,以正式治理机制为主。系统规则为选择和协调机制。契约是一种保障激励机制。(4)领袖型企业的非正式治理机制是正式治理机制的有效补充。领袖型企业存在动用非正式治理机制进行治理的现象,非正式治理机制能够调节治理刚性,提高合作效率。(5)领袖型企业正式治理机制和非正式治理机制对于合作绩效的产生具有积极作用。更多还原

【Abstract】 Modular clusters exist between bureaucratic organization and marketing organization and is a new form of organization. They are formed from modular organization through a complex product’s modulizaion. Modular clusters are the autonomous options in order to ensure production flexibility, but also save transaction cost in the conditions of market environment high uncertainty. With the modular cluster development, some special enterprises have made great contributions, they occupy the core resources and play leadership role. Currently, there are a few researches on leading corporate. They are mainly reflected in the followlings:firstly, such corporate still lack clear definition; secondly, few studies on governance elements comparative analysis between leading corporate and other organizational forms; thirdly, leading corporate governance mechanisms are generally researched from the perspective of formal governance mechanisms, rarely considering the impact of informal governance mechanisms. So, the dissertation study leading corporate governance mechanisms issues integrating management, economics and sociology and combining empirical research with standardized method. It first defines leading enterprise corporate and governance mechanisms and then constructs a logical framework of corporate governance mechanisms. According this analytical framework it discusses leading corporate governance mechanisms structure, contents and interaction by the theoretical analysis and empirical test. It can be said that this new perspective and research enrich leading corporate governance theoretical system, while also have practical significances for corporate in governance dimension’s effectively identifying, affecting factors analysis of cooperation performance and consolidating and enhancing enterprise’s status in modular clusters.The dissertation is divided into seven parts. The first section briefly summarizes the background and significance, discusses research contents and framework, points out research methods and innovation of the dissertation. The second part is the literature review. It discloses the limitations of the leading corporate governance research in modular cluster by analyzing modular cluster, leading enterprises, corporate governance mechanism theory. The third part defines the nature and characteristics of the modular clusters by comparing with strategic alliances, virtual enterprises and industrial clusters according to the analysis of the modular clusters development background. Later, through the analysis of the modular cluster type, it points out that the leading corporate exist and play the important roles in the modularcluster. Furthermore, it defines leader cooperate identification standards by using of comprehensive literature analysis and interviews. The fourth part explores the necessity and the particularity of the leading corporate governance by comparing with traditional enterprises and modular clusters. Therefore, the leading cooperate governance mechanism model is constructed. The fifth part discusses the leading corporate governance mechanisms’structure,contents and operating.It points out that dominance rules and contract play their roles in the perspective of fomal governance mechanisams while social captal in the perspective of informal. The sixth part verifies corporate proformance contributed by formal and informal governance mechanisams.The conclusion part comes last. It mainly puts forward the important points of the dissertaion and brings some policy suggestions, as the same time, it also reveals the limitations of this dissertation and discusses further research direction.The innovations of this dissertation exist in the following four areas:firstly, it defines the leading cooperate criteria.Secondly; it discusses leading corporate governance mechanisams issues in the modular clusters. Distinguished from a single enterprise perspective, this dissertation discusses leading corporate governance issues in the modular clusters network perspective, revealing the leading corporate relationship governance characteristics. Thirdly, it builds a leading corporate governance framework. It lays a foundation of qualitative and quantitative analysis in leading corporate governance mechanisms. Based on the essential characteristics of the modular clusters, it discusses leading corporate governance structure and operation mechanisms through industry observation and document analysis.Leading corprate constraints and adjusts cooperation through formal governance mechanisms such as system rules and contract. It also analyzes the role of corporate informal governance and explores the contents of informal governance mechanisms, the main features and operation of the mechanisms. It reveals that the formal and informal corporate governance mechanisms coexistence in modular clusters. Fourthly, through questionnaires, statistical analysis and other empirical means, it tests that both formal and informal governance mechanisms contribute to leading cooperate cooperative performance from the module clusters perspective. It also verifies theoretical model of leading corporate governance mechanisms.Through systematic analysis and discussion, this dissertation deduces the following conclusions:The first, modularcluster has a comparative advantage and is the senior form of industrial cluster. Modularcluster can avoid the risk of industry cluster. The second, Leading corporate obtain particularity and importance with the development of modular cluster.Leading cooperate are the system’s designers, have core modules, occupy the leading position in the industry and have capabilities to attract and select the partners. The third, leading corporate governance mechanisms focus on relationship governance and are given priority to formal governance mechanisms. Dominance Rules are selecting and coordinate regulation. Contract is a kind of incentive mechanism. The fourth, the informal governance mechanisms is an effective complement to formal governance mechanisms. Informal governance mechanisms can adjust and improve the efficiency of cooperation.The fifth, both formal and informal governance mechanisms have positive effects for the generation of cooperative performance.更多还原