【作者】 范轶琳；

【导师】 吴晓波；

【作者基本信息】 浙江大学 ， 企业管理， 2014， 博士

【摘要】 当前,在经济快速增长的同时出现了许多复杂的问题,如贫富差距、就业压力、资源短缺等。有证据显示,仍有相当部分的欠发达地区人口被排斥在传统的发展体系之外。随着这些问题的不断加剧,政策制定者日益意识到需要探求新的发展途径。在此背景下,“包容性增长”成为了探索发展战略的政策关键词,联合国开发计划署(UNDP)、世界银行(World Bank)、亚洲发展银行(ADB)等国际机构均将包容性增长理念列为指导思想与核心战略,包容性增长研究亦逐渐成为学术界关注的焦点。然而,现有的包容性增长研究仍停留在概念的探讨和摸索阶段,尚处于理论发展的初期,存在如下的局限性：首先,国内外少有学者对包容性增长的概念进行严格的内涵界定与维度划分,后续深入的实证研究则更为少见；其次,现有的包容性增长研究大多聚焦在个体层面,关注如何消除贫困人口所面临的社会排斥,实现机会平等和公平分享,而未能将产业集群这一实现包容性增长的特殊组织形态纳入研究视野,探究企业层面的包容性增长；最后,现有研究未能形成统一的理论体系以揭示包容性增长的内在机理。本文围绕“集群共享性资源对中小企业包容性增长的作用机制”这一基本命题展开研究,力图揭示产业集群背景下中小企业包容性增长的内在机理。具体而言,本文逐层深入探究如下四个科学问题：(1)集群共享性资源的构成要素是什么?(2)集群共享性资源对中小企业包容性增长有怎样的影响?(3)企业能力如何调节集群共享性资源和中小企业包容性增长之间的关系?(4)集群制度环境如何调节集群共享性资源和中小企业包容性增长之间的关系?本文采用规范研究与实证研究相结合、定性研究与定量研究相结合的方法,对上述四个科学问题进行深入研究。首先,本文在27家样本企业访谈材料的基础上,运用扎根理论研究方法,探析集群共享性资源的构成要素；其次,通过20家样本企业的探索性多案例研究,探寻集群共享性资源对中小企业包容性增长的作用机制,并提出6个初始假设命题,为后续研究提供源于实践的理论构想；再次,在以往理论与实证研究的基础上,构建概念模型,发展10个研究假设；最后,运用层次回归法对231份来自浙江省制造业集群企业的问卷数据进行统计分析,以检验集群共享性资源对中小企业包容性增长的影响,以及集群制度环境、企业能力在集群共享性资源和中小企业包容性增长关系中的调节作用。基于上述研究工作,本文得出如下主要结论：(1)集群共享性资源是一个多维度的构思。具体包含产业链配套体系、集体学习的网络、当地机构的支持、紧密的竞合互动氛围和共同声誉五大维度。(2)集群共享性资源是影响中小企业包容性增长的重要决定因素。集群共享性资源越丰富,中小企业实现过程公平和结果公平的程度就越高。(3)集群制度环境是影响集群共享性资源和中小企业包容性增长关系的重要因素。集群正式制度环境越好,集群共享性资源对过程公平和结果公平的正向促进作用就越大。集群非正式制度环境越好,集群共享性资源对过程公平和结果公平的正向促进作用就越大。(4)企业能力是影响集群共享性资源和中小企业包容性增长关系的重要因素。中小企业的机会识别能力越强,集群共享性资源对过程公平和结果公平的正向促进作用就越大。但是,中小企业的资源整合能力对集群共享性资源和过程公平的关系,以及集群共享性资源和结果公平的关系均无显著的影响。纵观全文,本文围绕“集群共享性资源对中小企业包容性增长的作用机制”这一基本命题展开研究,在如下方面进行了创新性的研究：(1)揭示了集群共享性资源对中小企业包容性增长的影响作用.现有的包容性增长研究多聚焦于个体层面,关注如何消除贫困人口所面临的社会排斥,实现机会平等和公平分享,而未能将产业集群这一实现包容性增长的特殊组织形态纳入研究视野,探究企业层面的包容性增长。本文通过系统整合集群共享性资源理论和包容性增长研究,弥补了这一研究空白。本文通过基于大样本数理统计分析的实证研究揭示了集群共享性资源对中小企业包容性增长的影响作用,从资源观视角对企业层面的包容性增长研究进行了拓展.(2)剖析了企业能力和集群制度环境对中小企业包容性增长的作用机理。现有的包容性增长研究虽然指出,能力和制度是实现包容性增长的两大关键因素,但并未就能力和制度对包容性增长的作用机理展开深入的研究。本文结合自身研究问题,创新性的将企业能力和集群制度环境整合到集群共享性资源对中小企业包容性增长的作用机制中,考察这两大关键因素在集群共享性资源对中小企业包容性增长作用机制中的重要作用,有利于更为深入的理解产业集群背景下能力和制度对包容性增长的作用机理。(3)构建了企业层面的包容性增长测量量表。现有研究主要依靠经济统计数据来构建包容性增长的测量指标,且大多聚焦于国家、区域等宏观层次或弱势群体、贫困人口等个体层次。本文结合公平理论、社会排斥理论和福利经济学研究,在企业认知的基础上,构建了企业层面的包容性增长测量量表,从而与现有研究形成了较好的互补,丰富了尚处于概念探讨和摸索阶段,并且以定性思辨为主的包容性增长研究,推动了未来企业层面包容性增长定量实证研究的开展。更多还原

【Abstract】 With the rapid growth of economy, many problems occur or become apparent such as the widening gaps among social groups, employment pressure among other things, and the shortage of resources. Evidence shows that a considerable part of people from underdeveloped areas are still excluded from the traditional development system. Policy maker are aware of the need to test out or explore new approaches to development in the current circumstances."Inclusive growth", which is now key words of policy language, represents an important departure of development strategies from the conventional ones. United Nations Development Program (UNDP), World Bank, Asian Development Bank (ADB) and other international agencies all take inclusive growth as guiding ideology or core strategy, accompanying with inclusive growth research gradually becoming the focus of the academic.However, extant research still stays in the early stage of theory development and has several limitations as follows. Firstly, few scholars strictly define the connotation and dimension of inclusive growth, not to mention subsequent in-depth empirical research. Secondly, much of the extant research on inclusive growth is individual-level, which focuses on the elimination of social exclusion for the poor, being unaware of industrial cluster as an efficacious means to achieve firm-level inclusive growth. Finally, extant research fails to establish a unified theory to explore the internal mechanism of inclusive growth.This paper concentrates on "how shared resources influence inclusive growth of SMEs" and aims to answer the following questions:(1) What are the basic elements of shared resources?(2) What are the relationship between shared resources and inclusive growth of SMEs?(3) How does firm capability moderate the relationship between shared resources and inclusive growth of SMEs?(4) How does institutional environment of industrial cluster moderate the relationship between shared resources and inclusive growth of SMEs?Based on previous theoretical and empirical research, this paper carries out an in-depth research on the fore-mentioned four issues. Firstly, based on27sample firms, this paper explores the basic elements of shared resources by using grounded theory method. Secondly, by conducting a multiple case study, this paper concludes an initial theoretical framework of shared resources acting on inclusive growth. Thirdly, this paper proposes a conceptual model for subsequent empirical research.Finally, based on231questionnaires, this paper tests the relationship between shared resources and inclusive growth of SMEs, and then the moderating effects of institutional environment and firm capability on the relationship between shared resources and inclusive growth.As a result, some conclusions can be presented as follows:(1) Shared resources are multi-dimensional, including industrial chain supporting system, collective learning network, support of local institutions, intensive competing interactive atmosphere, and common reputation.(2) Shared resources are key determinants of inclusive growth. In detail, shared resources positively influence process equity and outcome equity.(3) Institutional environment significantly moderates the relationship between shared resources and inclusive growth. In detail, formal institutional environment positively moderates the relationship between shared resources and process equity, and the relationship between shared resources and outcome equity. Meanwhile, informal institutional environment positively moderates the relationship between shared resources and process equity, and the relationship between shared resources and outcome equity.(4) Firm capability significantly moderates the relationship between shared resources and inclusive growth. In detail, opportunity identification capability positively moderates the relationship between shared resources and process equity, and the relationship between shared resources and outcome equity. However, resource integration capability doesn’t significantly moderate the relationship between shared resources and process equity, and the relationship between shared resources and outcome equity.Overall, focusing on "how shared resources influence inclusive growth of SMEs", this paper conducts some theoretical innovations as follows:(1) This paper examines the influence of shared resources to inclusive growth. Much of the extant research on inclusive growth is individual-level, which focuses on the elimination of social exclusion for the poor, being unaware of industrial cluster as an efficacious means to achieve firm-level inclusive growth.This paper tries to fill the research gap by integrating shared resources theory and inclusive growth research. Based on a large sample empirical research, this paper reveals the relationship between shared resources and inclusive growth, which enriches firm-level inclusive growth research from RBV perspective. (2) This paper reveals the mechanism of firm capability and institutional environment to inclusive growth. Although extant research considers capability and institution as key factors to achieve inclusive growth, yet researchers don’t reveal the mechanism of capability and institution to inclusive growth. By creatively integrating firm capability and institutional environment to the mechanism of shared resources acting on inclusive growth, this paper is propitious to a better understanding of the mechanism of capability and institution to inclusive growth in the context of industrial clusters.(3) This paper develops a firm-level scale of inclusive growth. Extant research mainly uses economic statistics to measure inclusive growth, and maily focuses on macro-level or individual-level. This paper develops a firm-level scale of inclusive growth based on equity theory, social exclusion theory and welfare economics, which enriches currently qualitative thinking dominant inclusive growth research and promotes firm-level quantitative inclusive growth research in the future.更多还原