【作者】 罗剑宏；

【导师】 高阳；

【作者基本信息】 中南大学 ， 管理科学与工程， 2003， 博士

【摘要】 当前民营企业正面临新一轮的创业和发展，在实施企业扩张战略的时候，现有的扩张理论和模式不能使民营企业既快速扩张又有效地避开扩张中的陷阱，因而许多民营企业在发展中都陷入了困境。因此，探索新的民营企业扩张模式非常紧迫。而作为当代管理学和经济学交融的最新成果的核心能力理论正是构建新模式的有力工具。近年国外有关企业扩张战略的文献中已经有一些明确提出了核心能力共享的问题，并且进行了一定的研究。国内也开始出现基于核心能力的企业扩张问题的研究。但是总的来说，对于核心能力共享的研究还很不深入，基于核心能力共享的民营企业扩张模式的研究属于理论前沿。为此，本论文在借鉴核心能力等相关理论的基础上，利用博弈论、经济计量学等方法，主要研究了核心能力共享的理论框架、基于核心能力共享的民营企业扩张模式的理论依据和现实可行性、基于核心能力共享的民营企业内涵式扩张和外延式扩张模式等问题。 (1)论文结合共享的本意以及共享的相关概念，首次给出了核心能力共享的定义。通过深入研究核心能力的定义、判断标准、相关文献和实例，指出核心能力具备被共享的基本属性，从核心能力理论诞生开始，核心能力共享就是核心能力理论研究的内容，不过目前理论界还没有对其进行系统研究。在此基础上，论文研究了共享的管理模式和程序，共享的风险和共享的内外环境，从而建立了核心能力共享的理论框架。 (2)论文通过较多数据分析了当前我国民营企业发展的现状和扩张的特点，在此基础上，运用知识管理理论、企业扩张与交易成本理论、核心能力与竞争战略理论，从理论上论述了基于核心能力共享的民营企业扩张模式的可行性和突出的优势。其中，作者构建的民营企业核心能力共享的动态博弈模型，给出了共享中转移支付的标准讨价还价解和两阶段、无限阶段、具有不确定结束日的多阶段共享博弈的均衡解及均衡实现条件。均衡分析表明，共享双方通过签订合同确定核心能力共享应得的补偿，并且在运作过程中采取适当的策略(如引入警告因子P)，合作共享能够成为均衡策略。 (3)论文利用所建立的核心能力共享理论框架，以我国民营连锁企业为研究对象，利用经济计量方法，进行了民营企业基于核心能力共享的扩张的实证研究，结果表明共享能够带来利益。论文还利用共享理论框架，结合企业扩张等理论进行了国外企业和国内民营企业扩张案例分析。案例覆盖了两种基本划分的扩张形式，案例研究验证了核心能力共享理论，揭示了核心能力共享在民营企业扩张战略中的重要地位，得出了民营企业应该把核心能力共享作为实现扩张的重要出发点的基本结论，提出了民营企业扩张应该实现核心能力内部共享和外部共享相结合的基本主张，提供了基于核心能力共享的民营企业扩张的基本思路。在此基础上，对于民营企业各种扩张模式的进一步比较分析说明，基于核心能力共享的扩张是民营企业扩张的首选模式。 (4)论文分析了民营企业内部核心能力共享的必然性，研究了内部共享实现的前提条件和三种主要的实现方式，并研究了外延式扩张后内部核心能力共享的变化和调整问题，从而建立了基于核心能力共享的民营企业内涵式扩张模式。 (5)集中列举了很多中外企业包括一部分民营企业的核心能力，并且进行了归类分析，由此建立了核心能力识别分类体系，提出了一套结合表现形式和特征、结合专家与企业进行核心能力识别与评价的方法体系。在此基础上，作者提出了基于核心能力共享的民营企业并购、战略联盟和连锁经营模式。在战略联盟模式讨论中分析了民营企业联盟的逻辑和联盟共享风险，并利用A刊甲法建立了共享风险评价模型。在连锁经营模式的讨论中，建立了民营企业连锁共享核心能力中的总部与加盟店博弈模型，探讨了连锁经营总部与加盟店的利益分配冲突问题。更多还原

【Abstract】 China’s private enterprises (PTEs) are facing the second undertaking and development now. When they carry out their expansion strategy, existing theory and model of expansion cannot guarantee them to expend quickly without tremendous risk. Many private enterprises fell in dilemma. So, probe to the new expansion model seems to be very urgent. Theory of core competence which is the newest result of Management Science with Economics is a powerful tool to set up the new model. Some literatures about enterprise expansion in later years have put forward sharing of core competences, and studied it in some extent. We can also see a very few researches on expansion based on core competence in China. But study on sharing of core competence is very few, the research of expansion model of the PTEs based on sharing of core competence is still the leading research area of the theory. So based on the theory of core competence etc and by using game and econometric methods, the dissertation studied mainly the theoretic framework of sharing core competences, the theory support and practical possibilities of PTEs’ expansion model based on sharing of core competences, the model of interior expansion and exterior expansion of PTEs based on sharing of core competences and so on.(1) The dissertation defined the sharing core competence by uniting the original meaning of sharing with relevant concept of Sharing for the first time. By means of the thorough research on definition of sharing core competence , judging criterion , relevant literature and example , pointed out that the core competence possess the fundamental property of sharing. Since the birth of the core competence theory , sharing corecompetence has been content of the core competence theory. However at the moment we cannot find the systematic study on it Based on this, it studied the logic, management model and procedure, risks and environment of sharing. So it built up the theory framework of sharing core competences.(2) Having analyzed the current situation of China’s private enterprises by means of a lot of data, the dissertation discussed the theoretical feasibilities and advantage of the PTE expansion model based on sharing of core competences by using theory of Knowledge Management , Expansion and Transaction Cost Theory, Theory of Core Competence and Competition Strategy. In this part, the author built up a dynamic game model about the PTEs’ sharing core competences, and gave out the Standard Bargaining Solution of transfer in the sharing process and the equilibriums and its realizing conditions of two periods game, infinite periods game and game with uncertain end date. The results stated clearly the two sharing parties can decide the compensation of sharing core competences by signing a contract, and use suitable strategy such as introducing warning factor P in practical process to make the cooperation and sharing to become an equilibrium strategy.(3) From the framework on, the dissertation carried out a empirical study of the expansion model by using econometric method to analyze the data of China’s private chain stores. The results show that PTEs can benefit from sharing core competence. The dissertation also did cases study on several foreign enterprises and China’s PTEs. Cases covered various forms of two main classifications of expansion. It included interior sharing, exterior sharing, M&A, strategy alliance and chain store. The cases study verified the theory framework of sharing of core11competences and fully reveled the importance of sharing of core competences in PTEs’ expansion, got a conclusion that private enterprises’ expansion should start mainly from sharing core competences and must combine interior with exterior sharing of core competences. It also provided a basic thinking of the private enterprises’ expansion based on sharing of core competences. From this point on, the comparing and analyzing of various PTEs’ expansion model stated clearly the model of sharing core competences is the best one.(4) The dissertation a更多还原