【作者】 姜劲；

【导师】 徐学军； 孙延明；

【作者基本信息】 华南理工大学 ， 工业工程与管理工程， 2013， 博士

【摘要】 自改革开放以来，珠三角就成为中国经济增长最快的地区之一。特别的，这一区域已经成为港台企业和跨国公司的全球制造基地。珠三角大多数制造企业从事OEM和ODM代工生产模式，典型的，这些企业以低廉的劳动力和原材料等低成本优势著称。然而，随着近年来商品生产成本的逐年攀升，这些代工企业在实现商业价值增值上面临着巨大压力。面对这样的竞争背景，发展中国家的能力和对外部关系的管理对其企业升级的实现至关重要。对于本土代工企业而言，企业升级的过程先从简单产品的加工制造开始，逐渐向更复杂的产品的装配、零部件的设计，再到完整产品制造等循序的价值增值活动的转变。对企业升级这一主题的研究成为过去几十年研究的热点，尤其是基于全球价值链（GVC）的升级研究。升级涉及到一个组织学习过程，通过这一过程，本土代工企业可以通过价值链的关系进行新知识的获取。GVC文献同样表明了国际联结有助于企业技术知识的获取并促进组织学习和企业升级。虽然GVC文献强调了组织学习和国际联结对代工企业升级的重要性，但相关研究并没有明确的调查这些学习和升级是如何通过国际联结实现的。基于资源基础理论的分析，本文将这种国际联结视为社会资本。我们同样认为现在的研究文献没有将社会资本、组织学习和企业升级系统地整合在一起，对这些概念之间的联系存在研究空白。一些研究强调了知识转移和关系发展之间的联系，而另一些研究强调了知识处理过程（知识获取和分享）同企业升级的关系。然而，很少将社会资本理论、组织学习理论和资源基础观这些理论联系在一起。因此，本文提出了社会资本、组织间学习、组织内学习和企业升级的研究框架。同时以珠三角185家代工企业为样本，采用问卷调查、统计以及结构方程模型分析方法，对理论模型和假设进行检验和修正，得出如下主要结论：（1）在外部社会资本的三个维度中：结构社会资本显著正向影响认知社会资本和关系社会资本；认知社会资本显著正向影响关系社会资本；结构社会资本是认知社会资本和关系社会资本发展的先决条件。（2）关系社会资本显著正向影响组织间学习；结构社会资本和认知社会资本对组织间学习有间接影响；结构社会资本是社会资本的关键要素。（3）组织间学习显著正向影响流程升级和产品升级；组织间学习对职能升级由间接影响。（4）组织间学习显著正向影响组织内学习。组织内学习在组织间学习与职能升级关系中起中介作用。（5）组织内学习显著正向影响流程升级、产品升级和职能升级。通过对本土代工企业外部社会资本、组织学习和企业升级关系所进行的实证研究，相关理论创新贡献在于：（1）目前代工企业升级的研究主要是基于价值链理论（GVC）和技术能力演化理论，两种理论都强调了组织间关系、组织学习对代工企业升级实现的重要性。然而，现有文献没有系统地解决组织间关系、组织学习和企业升级之间的联系，或者强调了组织间关系对知识转移为主的组织学习活动的影响，或者探讨组织学习对企业升级的影响，而没有将三者整合在一个研究框架内。因此基于资源基础理论、社会资本理论和组织学习理论，本研究提出了社会资本、组织学习和企业升级的研究框架。此外，在研究方法上，过去的企业升级研究以案例和理论分析为主，本文则通过大规模问卷调查进行，这在方法上是对企业升级研究的一个补充。（2）目前GVC理论不能详细地调查代工企业学习和创新是如何通过组织间关系而在企业内部产生并影响升级的。基于相关理论分析，本文将这种组织间关系视为代工企业同顾客企业的外部社会资本。为了更好解决组织间关系如何影响代工企业组织学习这一问题，本文除了提出了社会资本对组织间学习影响的研究假设，还提出了社会资本三个维度之间关联的假设。相关研究结果验证了这种假设的合理性，并发现了组织间关系对本土代工企业升级作用的机理：国际联结（结构社会资本）和资源平衡或资源杠杆（认知和关系社会资本）。并识别出了对组织学习影响最重要的社会资本要素，即以信任为主的关系社会资本。（3）现有企业升级研究虽然强调组织学习的重要性，但并没有深入探讨代工企业在企业升级过程中经历了怎样的学习？为解决这一问题，本文将代工企业在GVC上的学习分为两个阶段：以知识获取为主的组织间学习；以知识散布、整合和运用为主的组织内学习。提出了组织间学习、组织内学习和企业升级的研究框架。相关研究结论不仅对流程、产品和职能升级实现的途径进行了分析，而且得出了组织学习对企业升级作用的机理：组织间学习与组织内学习的有效结合。前者是代工企业技术、市场知识等资源的重要来源，后者是其升级所需能力提升的必然过程。更多还原

【Abstract】 The Pearl River Delta is the fastest growing economic zone of the People‘s Republic ofChina since China‘s economic reform in1979. Especially, The Pearl River Delta has becomea global manufacturing base for many Hong Kong and Taiwan entrepreneurs, and foreignmultinationals. The majority of firms in this area engage in original equipment manufacturerand original design manufacturer, typically, they rely on the cost advantage of cheap labourand raw materials. However, there is growing pressure on the OEMs to create and addbusiness value as the cost of manufacturing has increased dramatically in recent years. For theOEMs, the process of upgrading begins with delineating the production of easy-to-produceitems. From there, the OEMs may sequentially add higher value-adding activities such asassembly of more complex parts, design of components, and the manufacture of completeproduct lines into their portfolio of operations.The increasing interests in EU have inspired a rich literature during the past two decades,especially from the global value chain (GVC) analysis. Upgrading involves a learning processthrough which those who run enterprises acquire new knowledge—often throughrelationships with other firms in the value chain. GVC literature shows that internationallinkages play a crucial role in getting access to technological knowledge and promotinglearning and EU. However, most of the studies within the GVC approach do not explicitlyinvestigate how learning and EU occur within firms through external linkages. The externallinkages can be seen as social capital based on the resource-based view. We also believe thatthe literature dealing with social capital (SC), learning and EU has not been integrated in asystematic fashion, leaving gaps in the understanding of the links among the concepts. Somestress the linkage between relationship development and knowledge transfer, and othershighlight the connection between knowledge process systems (i.e., knowledge acquisition andsharing) and EU. Very few attempts, however, have yet been made to relate key concepts fromthe SC view, organizational learning theory and the resource based view. By emphasizing theimportant link between SC capital, inter-and intra-firm learning and EU, we seek tocontribute to a further convergence between different domains of research. We applied theOEMs in the Pearl River Delta, the total sample of the survey is185. With the corrected andverified of the theoretic model and the correlation hypothesis, we can draw the mainconclusion as fellow:（1）The three dimensions of external social capital: Structural social capital hassignificantly positive effect of cognitive social capital, and relationship social capital; cognitive social capital has significantly positive effect of relationship social capital;Structural social capital is a prerequisite for the development of cognitive social capital andrelationship social capital.（2）Relationship social capital has significantly positive effect ofinter-organizational learning; Structural social capital and cognitive social capital has anindirect impact on inter-organizational learning; Structural social capital is a key element ofsocial capital.（3）Inter-organizational learning has significantly positive effect of processupgrading and product upgrading; Inter-organizational learning has an indirect impact onfunction upgrading.（4）Inter-organizational learning has significantly positive effect ofintra-organizational learning. Organizational learning plays an intermediary role ininter-organizational learning and function upgrading.（5）Intra-organizational learning hassignificantly positive effect of process upgrading, product upgrading, and function upgrading.Through the research of the relationship of social capital, organizational learning andenterprise upgrading, the paper contributes to theoretical literature and managerial practice interms of three aspects:（1）The current research of the OEMs‘upgrade is mainly based on thevalue chain theory (GVC) and technical capacity evolution theory, two theories haveemphasized the inter-organizational relationships, organizational learning the importance ofmanufacturing enterprises to upgrade to achieve. However, the existing literature does notsystematically address the link between inter-organizational relationships, organizationallearning and enterprise upgrading, or emphasize the impact of inter-organizationalrelationships based on knowledge transfer organization of learning activities, or explore theimpact of organizational learning on upgrades, but not the three integrated within a researchframework. Therefore, based on resource-based theory, social capital theory andorganizational learning theory, this study proposes a research framework of social capital,organizational learning and enterprise upgrading. In addition, the research methods in the pastto upgrade enterprise case study and theoretical analysis based paper through a large-scalesurvey carried out, which is a supplement to upgrade research enterprise in the way.（2）Incurrently, GVC theory can not investigate the OEMs in detail that how the learning andinnovation can be generated through inter-organizational relationships and affect the upgrade.Based on the theory analysis, this article views the relationship between the OEMs and itscustomers as the bridge social capital. To better address this problem that howinter-organizational relationships can affect the OEMs organizational learning, this paperproposes the research hypothesis that social capital has the impact on inter-organizationallearning, also proposed a hypothetical link between the three dimensions of social capital. Research results verify the reasonableness of this assumption and found the mechanism ofinter-organizational relationships of local manufacturing enterprises to upgrade the role:international links (structural social capital) and resource balancing or resource leverage (therelationship between cognitive and social capital). And identify the impact of organizationallearning the most important elements of social capital, that trust-based relationship betweensocial capitals.（3）Though Escalation emphasizing the importance of organizational learning,the existing study of enterprises upgrading did not explore in depth that the OEMs how tolearn during the upgrading process? To solve this problem, we divided the organizationallearning of the OEMs in the GVC into two phases: inter-organizational learning, which aboutknowledge acquiring; inner-organizational learning, which about knowledge distribution,integration and application. The framework of inter-organizational learning,inner-organizational learning and enterprise upgrading was proposed. Related researchconclusions not only analysis on the way to the process, product and functional upgrading,and draw on conclusion of the mechanism of the role of organizational learning on upgrading:inter-organizational learning and the effective integration of the learning organization. Theformer is an important source of the OEMs‘technology, market knowledge and otherresources, which is a necessary process to enhance the capacity needed to upgrade it.更多还原