【作者】 何文章；

【导师】 卢福财；

【作者基本信息】 江西财经大学 ， 管理理论与企业管理， 2013， 博士

【摘要】 价值创造是企业最基本的活动,一直是企业战略关注的焦点。伴随着价值链模式向产业价值链转变,价值创造活动空间范围相应地突破了传统价值链局限于单个企业内部的主要活动和辅助活动,向上拓展到供应商价值链和向下延伸到顾客价值链,形成了一个更大的价值创造系统,即产业价值链。它由企业内部价值链和外部价值链构成,除了传统价值链主要和辅助价值创造活动之外,还包括与供应商和顾客关系互动的价值创造活动,这些转变表现在三个方面：一是分析边界从企业内部拓展到企业间或链网间；其次是价值范围从成本的降低到顾客价值,直至合作创造价值；三是治理视角从无视外部关系演变为重视合作关系。价值创造是企业将自身能力与产业价值链上其他合作伙伴能力结合起来改善和提高整个链的竞争力过程,企业通过构建和发展与供应商、顾客企业之间关系,充分整合他们的资源、专业知识以及能力优势,提升企业及其整个产业价值链的竞争力,实现价值创造。价值创造是由资源组合与交换构成的过程,它依赖于公司内部化和适应合作伙伴的技能、能力的能力以及转换信息、知识而满足环境需求的能力,在知识经济和信息网络通讯技术发达以及互联网广泛应用的动态环境下,作为价值创造组织新形式的产业价值链,它的价值创造过程对现有的企业能力匹配有了新的需求。价值创造的商品主导模式关注于嵌入价值的产品或服务,传统的交易观点越来越为新的方式和互动影响所取代,服务主导逻辑为价值创造的认识提供一个全新的视角和分析框架,本文从价值创造服务主导逻辑出发,在分析和探讨产业价值链价值创造活动与过程,以及其中参与者各自角色的基础上,通过实证调查研究,利用结构方程模型,分析和检验发起者企业能力与产业价值链价值创造之间的关系,从而更好地识别与产业价值链价值创造活动及过程相匹配的企业能力,指导企业对资源和能力的合理部署与配置。1.结合前人研究成果,本文从以下几个方面开展研究：(1)绪论。主要是对研究背景和意义、研究内容等进行概述,明确本文研究方法与思路,提出研究创新点等。(2)国内外文献研究综述。首先对产业价值链、价值创造、企业能力现有文献进行综述,分别给出评价及本研究含义,为分析产业价值链价值创造活动及其过程和探讨企业能力与产业价值链价值创造之间的关系提供理论基础和实证依据。(3)产业价值链价值创造理论分析。概述产业价值链分析与传统企业价值链分析的异同,简述了产业价值链价值系统特征。从服务主导逻辑视角,探讨产业价值链价值创造参与者作用：价值促进者、价值合作创造者、价值创造者,并将产业价值链价值创造区域划分为供应商区域、供应商与发起者企业互动区域、发起者企业区域、发起者企业与顾客互动区域以及顾客区域。在此基础上提出产业价值链由供应商价值创造、企业内部运作价值创造以及顾客价值创造三个部分构成。(4)企业能力与产业价值链价值创造。从企业能力角度,理论分析产业价值链关系及其价值创造；探讨了发起者企业能力要素体系,主要包括企业内部运作能力与外部资源整合能力两个方面；分析了发起者企业能力对产业价值链价值创造的影响。(5)研究模型与假设。在文献研究和前面相关论述基础上,分析了企业能力与产业价值链价值创造关系,并提出本研究概念模型与相关假设；分析了产业价值链发起者企业能力及其价值创造相关维度和测量,设计出初始问卷并加以检验,形成正式问卷。(6)企业能力与产业价值链价值创造关系实证分析。简要说明正式问卷的发放和收集,对问卷进行整体性统计分析、信度分析和验证性因子分析,并对本研究相关变量进行相关性和回归分析,运用结构方程模型对相关假设进行检验,分析检验结果,提出相关管理建议。(7)研究总结和未来展望。对本论文相关研究结果进行总结,提出研究中出现的不足以及未来研究建议。2.通过对包头和赣州地区企业进行问卷调查,以SPSS17.0和AMOS20.0作为统计软件工具,通过探索性因子分析、验证性因子分析、相关性分析以及结构方程模型分析方法检验了研究假设,本文得出如下研究结论。(1)企业内部运作能力与供应商整合能力之间彼此具有显著性正向影响。(2)企业内部运作能力与顾客整合能力之间彼此具有显著性正向影响。相对于供应商整合能力,内部运作能力与顾客整合能力之间显著性正向影响更大。(3)供应商整合能力与顾客整合能力之间彼此具有显著性正向影响。(4)企业内部运作能力对产业价值链价值创造具有显著性正向影响,其中各维度影响大小顺序是产品设计与创新、制造柔性、顾客导向以及采购能力。(5)供应商整合能力与产业价值链价值创造之间具有显著性正向影响。(6)顾客整合能力与产业价值链价值创造之间具有显著性正向影响。对产业价值链价值创造影响来说,企业能力维度中,内部运作能力影响最大,其次是供应商整合能力,最后是顾客整合能力。3.在前人研究基础上,本文在以下几个方面可能进行了创新：(1)从企业能力角度,本研究理论分析了企业能力与产业价值链价值创造之间的关系,构建了他们之间的关系模型,并通过实证研究加以检验,丰富了产业价值链研究视角。(2)基于产业价值链上参与者角色以及他们之间关系互动,本研究将产业价值链价值创造活动划分为五个区域：供应商区域、供应商与企业互动区域、企业区域、企业与顾客互动区域以及顾客区域；提出了产业价值链价值创造由供应商价值创造、企业内部运作价值创造和顾客价值创造三部分构成,进一步发展和完善了产业价值链研究内容体系。(3)在文献研究基础上,本研究从内部业务流程和外部资源整合两个角度,构建了本研究的企业能力结构体系,并将企业内部运作能力划分产品设计与创新、采购能力、制造柔性以及顾客导向四个维度,改编或部分地开发了量表,通过探索性和验证性因子分析检验,四个维度较好地反映了企业内部运作能力。4.在研究过程中,本文研究中存在的不足：(1)企业内部运作能力的构成问题。本研究主要是基于波特的价值链价值创造主要活动、供应链流程以及产业价值链价值创造活动综合考虑而提出企业内部运作能力,没有考虑价值链中价值创造辅助活动中其他的能力,比如信息技术。在当前经济全球化、信息通讯技术发达和互联网技术广泛应用背景下,信息技术显得尤为重要,本研究没有单独列出来,而是在外部资源整合能力的供应商整合能力和顾客整合能力的量表及测量题项中有所体现,在今后的研究中有待进一步发展和完善。(2)相关研究变量量表的改编或开发问题。国外文献主要关注供应链和价值链方面的研究,对于产业价值链研究文献几乎没有。产业价值链研究主要集中在国内,而国内又绝大数是采用定性研究方法,没有现成的或相近的量表可以参考,因此,主要是通过自己对文献资料的整理而提炼,部分借鉴了国外供应链方面的量表,改编或部分开发了本研究中产业价值链价值创造量表,应用于我国可能存在一定的局限性,尽管本文研究过程中尽可能多的涵盖比较重要的题项表达,但仍然会有些没有被考虑到,在未来研究中有待改进。(3)研究样本选取与量表问题：由于受到地域限制和当前严格的稀土管制政策的影响,样本选取主要集中在稀土行业两个代表性地区：包头和赣州,没有覆盖到全国,特殊时期的稀土管制政策使得稀土企业对调研和问卷调查特别敏感,实地调研难以更为深入的进行。另外,本研究主要是针对稀土企业调研,受行业特点的限制,企业能力与产业价值链价值创造关系的研究结论及其部分测量量表推广应用于其他行业,还有待于进一步检验和发展完善。(4)产业价值链发起者企业问题从稀土产业价值链来看,除了中游环节的稀土冶炼分离加工的企业,发起者企业还可能是上游稀土资源的供应商企业,也可能是下游稀土新材料的顾客企业,如果选择了资源供应商企业或新材料顾客企业作为产业价值链的发起者,尽管产业价值链价值创造活动区域和构成基本类似,因为他们同样有着自己的供应商企业和顾客企业,但此时,他们的企业能力结构体系会有所不同,进而企业能力与产业价值链价值创造之间关系模型会有所差异,实证检验结果就会不尽相同,这些都是将来继续深入研究的地方。更多还原

【Abstract】 Value creation is the most basic one of all business activities, which has been the focus of corporate strategy. With the changes of value chain model toward industrial value chain, value-creating activities correspondingly breaking through the traditional value chain spatially, not confined in a single firm’s main activities and ancillary activities, it expands upward to the supplier value chain and extends downward to the customer value chain, and it forms a greater value creation system. Industrial value chain(IVC) consists of the internal and external value chains, on the base of value creation activities of the traditional value chain, such as product design and development, manufacturing, marketing, and service activities, it also links to value creation activities by the external suppliers and customer relationship interactions mainly in three aspects:Firstly, to extend the boundary from inside of the firms to the inter-firm or inter-chain or networks; Secondly, the value ranges changes from cost reduction to customer value, through to value co-creation; Thirdly, the governance perspective evolves from ignoring emphasis on external relations to emphasizing cooperative relations.Value creation is the firm combines their capabilities with the capabilities of the industrial value chain partners together to improve and enhance the competitiveness of the whole chain, by building and developing relationships with the suppliers and customers, and fully integrating their superior resources, expertise and capabilities to enhance the overall competitiveness of industrial value chain to achieve maximum value creation. Value creation is constituted by a combination of resources and the exchange process, which depends on the company’s internalizing and adapting partners’ skills, capabilities as well as the ability to transfer the information, knowledge and the ability to meet environmental requirements. In the knowledge economy and advanced information communication technology, internet used widely, as well as dynamic environment, industry value chain process makes a claim firm must matches its existing capabilities with the new requirements as a new organizational form of value creation.Goods-dominant model of value creation focuses on the value embedded in the product or service, more and more traditional exchange ideas are replaced by new ways of interaction effects, service-dominant logic provides a new perspective and analytical framework for understanding value creation, Based on services-dominant logic of value creation, under the analysis and discussion on the value creation activities and processes of the industrial value chain, as well as based on the participants’ respective roles and by empirical research and the use of structural equation modeling, the paper analysises and tests the relationships between the capabilities the initiator firm in the industrial value chain and value creation of the industrial value chain, in order to better identify the value creation capabilities of the firm which matches with the industrial value chain to guide firms rationally deploy and allocate resources and capabilities, The primary coverage as follows:(1) The Introduction Part. It is about background and significance of the study, a brief description of contents, research methods and ideas, and puts forward the possible innovation points.(2) Literature Reviews. It mainly focuses on the industrial value chain, value creation and firm capabilities(FC) and other articles reviews, this provides theoretical guidance and empirical research references for analyzing the value creation activities and process of the industrial value chain, empirically exploring the relationship between the initiator firm capabilities and the value creation of the industrial value chain.(3) Study on the Value Creation of the Industrial Value Chain. It outlines the similarities and differences between the industrial value chain analysis and traditional firm value chain analysis, and analysizes simply the value system characteristics of the industrial value chain. From a service-dominant logic perspectives, it explores the roles of the industrial value chain participants during value creation:value facilitators, value co-creators and value creators, and then the of value creation spheres of the industrial value chain are divided:the sphere of the suppliers, the sphere of interaction between the supplier and the initiator firm, the sphere of the initiator firm, the sphere of interaction between the initiator firm and customers and sphere of the customer. On this basis, it proposes the industrial value chain consists of supplier value creation, internal operational value creation, and customer value creation.(4) Research on Firm Capabilities and Value Creation of Industrial Value Chain. Theoretically analysizes relationships between firm capabilities(FC) and industrial value chain(IVC), and puts forward the capability elements of the initiator firm in industrial value chain, including internal operation capabilities(IOC) and external resource integration capabilities (ERIC), and analyze the effects of capabilities of the initiator firm on the value creation of industrial value chain.(5) Research Models and the Assumptions. Based on the relevant literature researches and discussions, it analyzes the relationships between the firm capabilities and the value creation of industrial value chain, puts forward the conceptual model and some assumptions, analyzes elements and dimensions measurements about the capabilitites of the initiator firm and the value creation of industrial value chain. On the basis of the previous analysis, this study provides an initial questionnaires and investigations, and tests and analyzes measurement items, and finally gets a formal questionnaire.(6) Empirically Analyzing the Relationship between the Firm Capabilities and the Value Creation of Industrial Value Chain. Questionnaires are tested by reliability and confirmatory factor analysis, and analyze the correlations and regression analaisies of related variables, then by using structural equation model to test the underlying assumptions and give the test results of the analysis.(7) Research Summaries and Future Proposes. Based on theoretical analysises and empirical research findings, the paper puts forward the research conclusions and some shortfalls, and proposes some suggestions about future researches.By the questionnaires in Baotou and Ganzhou, using SPSS17.0and AMOS20.0as statistical software tools, by using exploratory factor analysis, confirmatory factor analysis, correlation analysis and structural equation modeling analysis method, the paper testes hypotheses, draws conclusions of the study as follows:(1) There are the significant positive effects between the initiator firm’s internal operational capabilities and capabilities of supplier integration each other.(2) There are the significant positive effects between the initiator firm’s internal operational capabilities and capabilities of customer integration each other.According to the results, we can find there are even greater positive effects between the initiator firm’s internal operational capabilities and customer integration each other than supplier integration.(3) There are the significant positive effects between the capabilities of supplier integration and the capabilities of customer integration each other.(4) Firm’s internal capabilities have significant positive effects on the value creation of industrial value chain, in which size order within the four dimensions is product design and innovation, manufacturing flexibility, customer orientation, and purchasing capabilities.(5) the capabilities of supplier integration has a significant positive effects on the value creation of industrial value chain.(6) the capabilities of customer integration has a significant positive effects on the value creation of industrial value chain.For the impacts on value creation of the industrial value chain, among the initiator firm’s capabilities dimension, firm’s internal operational capabilities is greatest, followed by the supplier integration, and finally customer integration.The innovation of this study may be as follows:(1) From the perspective of the firm capabilities, the paper theoretically analysises the relationship between the firm capabilities and the value creation of industrial chain, builds up the relationship model between them, and tests them by the empirical research methods, it enriches the research perspective of industrial value chain.(2) Based on the role of the partcipants and the relationshps between them in industrial value chain, this study divides the value creation activities into five sphere: the sphere of suppliers, suppliers-firm jointly interactive sphere, the area of the firm, firm-customer interactive sphere, the sphere of the custmers. And puts forward the components of the value creation of industrial value chain:the value creation of suppliers, the value creation of the firm and the value creation of the customers. These further develop and enrich the research content system of the industrial value chain.(3) Based the reviews of the literatures, from perspectives of the internal business processes and external resource intergration, this study puts forward the architecture of the firm capabilities, divides the internal operational capabilities into four dimensions: product design and innovation, procurement capabilities, manufacturing flexibility and customer orientation, and adapts or partly develops the scales through exploratory and confirmatory factor analysis, the results of tests better reflect the internal operational capabilties.In this study, there are some shortcomings to be discussed deeply in the future:(1) The problems about internal operational capabilities of the initiator firm. The dimensions of internal operational capabilities are put forward according to the value creation activities of the value chain, supply chain and industrial value chain without considering about other value activities, for examples, information technology, in the current background of economic globalization, information and communication advanced ICT and internet technology widely used, IT is particularly important, but the paper does not separately list, but only is reflected in supplier integration and customer integration measurement scales, these questions in the future research needs to be deeply developed and refined.(2) Measurement scales about the value creation of industrial value chain. Foreign literatures focus on supply chain and value chain researches, industrial value chain research literatures for almost nothing. Industrial value chain researches are focused in the domestic, and the vast majority of researches use qualitative methods, there are not readily available a similar scale for reference. Therefore, mainly through literatures data collation and refinement, and with reference to foreign relevant scales of supply chain reasurches, the paper adapts or partially develops the value creation scale of the industrial value chain, which in China has its applied limitations, although this study covered as much as possible about the more important questions of expressions, but they will still be some not taken into account, these needs be improved in future studies.(3) Sample selection and scales issues. Due to geographical restrictions and the current policy impacts of strict regulatory rare earth, sample resources mainly are focused on two representative sphere of the rare earth industry:Baotou and Ganzhou, no coverage to the whole country. Special period of rare earth regulatory policy makes rare earth firms particularly sensitive, so more in-depth field researches are difficult to carry out. In addition, focused on rare earth firm and limited by the characteristics of the industry, the research findings and their corresponding measurement scales between the firm capabilities and the value creation of the industrial value chain may be difficult to be applied to other industries, these needs to be further tested and developed.(4) Issues about the initiator of the industrial value chain. From the rare earth industry value chain, in addition to the middle of rare earth smelting and processing firms, the initiator may also be the upstream of rare earth resources compangies, it could also be dowm stream rare earth new material firm, if selecting them as the initiator of the industrial value chain, although they have the same activity-sphere and value components of industrial value chain, but their firm capabilities architecture will be different, and thus the relationalship model between the firm capabilties and the value creation of industrial value chain, these will be to further be researched.更多还原