产业链纵向整合研究

【作者】 刘慧波；

【导师】 黄祖辉；

【作者基本信息】 浙江大学 ， 企业管理， 2009， 博士

【摘要】 当前市场竞争日趋激烈,企业的持久生存能力与持续成长性是理论界关注和研究的热点问题。企业为了更加有效地控制产业链资源,往往采取横向一体化或纵向一体化的扩张模式。因此,基于产业链纵向一体化的核心发展成为产业经济学与企业管理者关注的重点。在产业链纵向一体化整合研究领域,从分工的角度,交易费用理论和企业知识等理论的基础都是基于新古典经济学的均衡分析框架,从本质上而言是静态的,即使进行动态化的努力,也是从一个均衡点到另一个均衡点的比较静态分析,没有描述产业链演变的路径。已有文献多聚焦于企业个体层面上的提升竞争能力,获取竞争优势的研究,尚缺少在动态环境下对产业链纵向一体化演进机制的专门探讨。本文将产业经济学与演化经济学两个研究领域的研究成果结合,就这一相关问题进行了系统化的讨论。影响核心企业产业链纵向一体化整合绩效既有其自身内部因素,也有外部环境因素。本研究选择影响核心企业纵向一体化整合内、外部因素作为切入点,以核心企业作为研究对象,沿着“影响整合因素(内、外部)—→整合策略/整合水平—→纵向一体化整合绩效(体现在持久的生命性与持续成长性)”这一逻辑思路,基于文献回顾并结合浙江省制造企业进行研究,提出研究假设和理论模型,采用典型案例研究、深度访谈研究问卷调研的方式获取研究数据,运用CITC分析法、α系数法、相关分析法、确定性因子分析法检验测量量表的信度与效度,运用独立样本T检验和方差分析法检验控制变量的作用效果,运用结构方程模型法检验整合策略和整合水平的中介效应并对研究假设和理论模型进行验证,以期探询影响我国制造业企业产业链持久生存性与成长性的内在机理。本研究主要基于以下几点展开:本文的第一个研究确立起产业链核心企业的整合背景,旨在明确企业进行产业链整合目标特征以及影响整合绩效的评价维度与影响因素的维度。这个研究又包括两个子研究。第一个子研究先通过典型案例与深度访谈方法,对不同地区、性质和规模的浙江省内制造业企业的产业链一体化整合活动进行了现场调查,获取关于产业链整合的翔实资料,然后采用内容分析技术对访谈资料进行结构化分析。研究发现,大多数企业的产业链整合目标聚焦于持续竞争能力的提升以及未来的良好成长性。第二个子研究以产业链整合绩效及其影响因素为依据,在415份有效问卷的基础上,采用结构方程建模技术分析数据。研究发现,影响产业链纵向整合绩效自变量有三个维度,即纵向关系维度、企业资源维度、企业能力维度。经验研究显示相应的测量量表具有较好的信度与效度,表明上述划分具有一定的科学性与合理性。并且自变量因素与产业链整合后的绩效正相关。第二个研究旨在明确产业链纵向一体化整合过程中整合策略对整合水平的影响作用。本研究主要运用深度访谈法,针对不同地区、性质和规模的8家企业的15次产业链整合活动,详细调研了其不同整合策略下的整合过程,获取了关于产业链纵向一体化整合模式与整合水平的第一手资料;然后基于演化视角的产业链整合的界定,采用内容分析技术结构化分析了访谈资料。研究发现,产业链纵向一体化整合中,核心企业一般选择高或中等产业链整合水平;并且在高整合水平上一般采用基于直接并购的整合模式,在中等产业链整合水平上一般采用外包式整合模式。最后,为了确保研究的外部效度,本研究基于并购整合的相关研究结论,通过问卷法进一步佐证了访谈研究结果。第三个研究旨在揭示产业链纵向一体化整合选择的过程和关键影响因素,期望探求内在机理。当前的研究多集中于,如资源、能力角度对企业的成长性的直接效应的研究,关于纵向关系资本与持久生存性的研究还不多见,而且也未对资源、能力是否会通过影响其它变量进而影响产业链持久生命力与成长性进行研究。研究表明,产业链整合策略和整合水平在自变量因素对产业链持久生存性的影响中起到了完全中介的作用。第四个研究旨在分析产业链纵向一体化整合协同效应的控制策略。本研究基于演化经济学的相关理论,主要分析产业链核心企业选择发展机制下的控制策略。最后,本文系统概括了主要研究结论,探讨了研究的理论进展和现实意义。上述研究中相当一部分内容属于探索性研究。当然,本研究也存在某些不足之处,有待后续研究的修正与完善。更多还原

【Abstract】 With increasingly keen market competition,the ability of enterprises to exist and develop has become an important topic for academic researches.In order to effectively control source of industrial chain,companies always choose integration pattern to grow.In the research field of industrial chain integration,from the perspective of division of labor,the theory of transaction cost and the knowledge-based theory of the firm are both based on equilibrium analyzing framework of New Classical Economics,which is static in essence.Even though dynamized,it is still comparative static analysis from one equilibrium point to another, which can not describe the process of change.The currently available literatures are all concentrated on improving the competition ability and acquiring competition advantage for individual enterprise which are lacking in a specialized research in the level of integration,evolution mode and strategy of integration in a dynamic environment in terms of vertical integration of industrial chains.The dissertation combining industrial economics and evolution economics,investigated systemically the fact that in dynamic environment,industrial chains has vertical integration level of synergy of evolution.The performance of vertical integration of core enterprise industrial chains is influenced by internal factors as well as external ones.This research chose the internal and external factors which influence core enterprise vertical integration as point of penetration,and managers of enterprises as research subjects.We train our thought along a logical line of "factors influencing integration(internal and external)—→integration strategy/integration level—→performance of vertical integration(which is reflected in lasting vitality and development)".On the base of literature review and combined with the project of construction of base for advanced manufacturing industry in Zhejiang Province,we put forward our research hypothesis and model of theory.The data are gained via typical case studies,depth interviews, and questionnaires.We adopt analysis methods such as CITC,a coefficient, correlation analysis,factor analysis,independent- sample T test,ANOVA and CEM to explore the mediating effects of strategy of integration and level of integration and to test all the proposed research hypotheses and theoretical model.The purpose of this research is to explore function mechanism bf internal and external factors influencing the lasting existence and development of core enterprises as far as the manufacturing industry is concerned.The research included such parts as follows: Study one was to establish the background of integration of core enterprises of the industry chain in order to make sure the target feature of industry chain integration, the performance evaluation and influencing factors.This study includes two sub-studies.Through typical cases and depth interview,the first one investigated the practice of industry chain integration of the manufacturing enterprises in different areas of Zhejiang Province with different ownership and size.With full and accurate data about industry chain integration,the structure is analyzed through content analysis method.The result indicates that the goals of industry chain integration for most enterprises are concentrated on improving the ability of competition and further development.In the second sub-study,based on the literatures and interviews,the dimension and performance of industry chain integration.The 415 returned questionnaires were valid.Exploratory factor analysis,confirmatory factor analysis and SEM(Structural Equation Modeling) revealed that the independent variable affecting industry chain vertical integration performance had three dimensions,that is,vertical relation,resources,and ability.Empirical study showed that these measure scales had good reliability and validity.Furthermore,a positive correlation was found between the independent variable and performance after integration.The purpose of the second study was to make sure the influence of integration strategy on integration level during the process of industrial chain vertical integration. The first-hand material about the level and pattern of industrial chain integration of 15 integrating practices in 8 firms was acquired by depth-interview.Content analysis revealed that core enterprises often selected high or middle level of integration,and often use the pattern of human resource integration of direct management based on direct integration at high level of integration and use the pattern of outsourcing at middle level of human resource integration.Finally,the research results the interview were supported by the questionnaire research.In the third study,the process and key effectives of industrial chain vertical integration selection were investigated in order to reveal the internal mechanism.The current researches focus on factors such as direct effect of resources,ability on enterprise development,while researches on thevertical relation captial and lasting existence are rare,and it has not been investigated whether resource and ability can influence lasting vitality and development of industrial chains through influencing other factors.This research indicated that industrial chain integration strategy and integration level have complete mediating effect on lasting vitality of industrial chain.The fourth study aimed at the analysis of control strategy of cooperative effect of vertical integration of industrial chains.This study mainly analyzed control strategy under mechanism of selection of core enterprises of industrial chains on the basis of theories of evolutionary economicsFinally,the main conclusions of this paper were summarized.The theoretical progresses and practical implications of the present study were discussed,and the limitations of this study and the directions for future research were provided.更多还原