【作者】 李荣庆；

【导师】 周殿昆；

【作者基本信息】 西南财经大学 ， 流通经济学， 2009， 博士

【摘要】 从1850年代,连锁经营产生以来,走过了150多年,在大部分国家发展成直营连锁、特许连锁和自愿连锁三种经营形式。西方发达国家的三种连锁经营都发展得相当完善,而作为发展中国家的中国,连锁经营是在改革开放10多年后,1990年代初期才逐渐移植进入并发展起来。连锁经营促进了中国经济的发展,对国民经济快速增长、增加就业率,提高人民生活水平等方面作出了重要贡献。作为移植式制度,三种连锁经营在我国的发展快慢和规模大小又不尽相同,直营连锁的发展较为顺利,特许连锁的发展有起有落,自愿连锁的发展则进展缓慢。如何促进三种连锁经营较快较好的发育,为国民经济的增长作出重要贡献,是论文的选题意义所在。论文分为三个部分:第一部分(第2—4章),发育环境形成。在理论基础和参照系的铺垫下,分析连锁经营成功移植我国的原因,并对三种连锁经营的发育现状进行了国内和国际比较。第二部分(第5—7章),发育的机理分析。从宏观、系统和动态的视角比较分析了三种连锁经营发育的动力机制、行业适应性和店铺监管问题,这是论文的核心部分。第三部分(第8章),发育障碍及对策。分析我国三种连锁经营发育过程中存在的障碍,特许连锁和自愿连锁发育的难点,并据此提出克服障碍和难点的政策建议。论文提出了以下有创新性的观点:1.利用制度变迁和制度移植理论分析我国连锁经营制度移植成功的原因是:企业自主选择移植的方式保证了移植进来的连锁经营制度与我国的制度环境基本适应。制度变迁和制度移植理论认为,制度移植能否成功取决于移植方式和所移植的制度与移入国制度环境的相互适应性。1990年代初期,我国在经过10多年的改革的量变的积累,已经形成了适合连锁经营发育的基本的文化和社会条件,表现为城市居民的收入大幅度提高;稳固买方市场形势的确立;竞争性市场经济的形成;外资跨国连锁集团公司进入中国市场,树立学习模板。改革开放初期,传统的商业企业需要一种全新的经营形式摆脱困境;同时,政府的开放政策又增加了连锁经营制度的供给,在此情况下,出于降低交易费用,带来规模经济效应的目的,企业自主选择移植连锁经营制度。由于我国的企业了解其生存的制度环境,并且移植符合企业追求利润的目标,所以带来移植的成功。2.以种群生态学理论为指导,加以经济学、管理学的相关理论,从宏观、系统和动态的视角,全面分析三种连锁经营发育的动力机制是如何相互影响,并最终形成相互竞争、互补共生的商业种群生态系统。首先是环境的竞争加剧,企业为了获取“竞争优势”而创新出直营连锁组织形式;然后是连锁公司总部为了“无有形资本扩张”和创业者为了“提高创业成功率”而共同创新出特许连锁组织形式;最后是在大型连锁公司的挤压下,不愿失去“独立性”的中小企业为了保护“生存空间”而创新出自愿连锁组织形式。三种连锁经营都经历了组织变种、组织选择和组织保留三个阶段,并最终在整个生态群中找到了自己的位置,固化为一种先进的流通制度。它们既相互竞争又相互补充,形成生机勃勃的连锁经营商业生态群落,共同发挥作用,推动商业发展,为制造商提供快捷的销售渠道,为消费者提供便捷的多样化的购物场所。3.在数据统计和案例分析的基础上,从店铺投资额、店铺成本控制特点、店铺运行的核心技术和连锁公司品牌消费特点四个方面,分析并得出三种连锁经营适应于不同行业和业态的结论。连锁经营行业可细分为零售业、餐饮业和其它服务业。直营连锁的行业特点是:店铺投资额较高、店铺成本控制属于“总部成本”控制型、店铺运行的核心技术较弱、连锁公司品牌价值较低的连锁行业,规模较大的零售业态均符合这四个条件,适合直营连锁经营。特许连锁的行业特点是:店铺投资额较低、店铺成本控制属于“店内成本”控制型、店铺运行的核心技术较强、连锁公司品牌价值较大的连锁行业,零售业中的便利店和品牌专卖店,各式餐饮店以及和人们日常生活紧密相关的多种服务业都符合这四个条件,适合特许连锁经营。自愿连锁由于其产生的背景和组织特点,主要是适应于规模较小的零售业态,集中在杂货店、中小超市、便利店和一些小型专业店(例如药店)等零售业态上。4.设计连锁公司的店铺监管有效性测量模型,并用以分析三种连锁经营的店铺监管特点及监管难度,据此提出增强总部监管能力的有效措施。由于店铺承载着连锁公司的利润来源和品牌形象,而店铺和总部又存在信息不对称引起的代理问题,导致店铺的违约行为会在一定程度上损害总部的利益和品牌形象。连锁公司店铺监管有效性是总部的监管供给满足店铺的监管需求的结果,监管需求是店铺的监管难度,受影响于店铺的信息和服务质量的不可控程度以及店铺与总部的空间距离;监管供给是总部的监管能力,受决定于总部的监管投入和对监管投入的利用效率。本文利用委托代理理论和集体行动理论分析了三种连锁经营的店铺监管难度。直营连锁由于实行对店铺的全面控制,所以监管难度较小;特许连锁依合同监管,店铺存在逆向选择和道德风险,监管较难;自愿连锁因为契约松散,店铺存在集体行动的搭便车和败德行为,监管难度最大。据此,直营连锁增强监管供给的措施是改善人力资源管理,健全激励-约束机制,提高员工的忠诚度;特许连锁增强监管供给的措施是健全特许体系;自愿连锁增强监管供给的措施是加强联盟运行机制和相关制度建设。5.指出我国连锁经营发育的障碍及难点,据以提出促进三种连锁经营快速成长的政策建议。三种连锁的发育现状中,直营连锁较为顺利,特许连锁有起有落,自愿连锁发育缓慢;和发达国家相比,我国的连锁经营无论在企业规模、市场集中度还是管理水平等方面都存在较大差距。我国连锁经营的发育障碍是环境条件缺失、跨国公司挤压、渠道冲突和跨区域发展的盲目性;特许连锁发育的难点是克服总部和店铺的双向违约问题;自愿连锁发展的难点是克服“集体行动困境”。论文针对这些障碍和难点提出了相关政策建议,如社会诚信制度的建立、打破区域分割建立统一市场、健全社会物流基础设施、规范市场竞争秩序、进行商业网点规划、保护中小商业企业的生存空间等。更多还原

【Abstract】 Since the 1850’s, the chain operations have gone through more than 150 years. In most countries, there are three forms which are called regular chain, franchise chain and voluntary chain. In the western developed countries, these three types of operations are well developed. As a developing country, since the early 1990’s, China has gradually transplanted and developed the chain operations after China’s ten years’reform and opening up. The operations have promoted China’s economic development, and they have made great contributions to the rapid growth of national economy, the increasing employment rates, the raising of the people’s living standards. However, as the transplanted system, the three types of Chain operations have developed differently referring to the development pace and size. The regular chain has developed more smoothly, the franchise chain has had its ups and downs, and the voluntary chain has been developing slowly. So how to promote the rapid development of these three types of chain development is the meaning of this paper.Based on the questions above, this paper is divided into three parts and nine chapters. The first part is the formation of the development. Based on the theoretical foundation and the reference frame, it analyses the success of the transplantation of the chain management is the environmental adaptation, and also it compares the development conditions of the three chain management in the domestic and international markets. The second part is the analysis of the development mechanism. By the perspective of a macro, systems and dynamic, it analyses the driving force mechanism, the industrial adaptability and the store supervisions. And this part is the core of the paper. The third part is the development obstacles and the recommendations. It analyses the obstacles in the development processes of the three chain operations, the difficulties of the franchise chain and the voluntary chain, and based on this it proposes how to overcome the obstacles and gives the policy recommendations. This paper presents the following innovative ideas:1. By using the system changes theory and system transplant theory, it analyses the successful reasons of China’s transplant of the chain operation system. In these theories, they think whether the system transplant can succeed depends on how to transplant and the mutual adaptation of the environments between the countries transplanting and transplanted. The success of China’s chain marketing system is that companies can choose their own transplant ways, so that the transplanted chain marketing system fits up to China’s system environment. After 10 years’quantitative change of reform accumulation, in the early 1990s, China has formed the basic cultural and social conditions for the chain operation development. These basic conditions conclude the significantly increasing of the urban residents’incomes, the firm establishment of a buyer’s market situation, the formation of a competitive market economy, the learning template coming from the enter of the foreign multinational chain groups. At the beginning of the reform and opening up of China, the traditional commercial enterprises needed to form a new type of operation to overcome the difficulties, at the same time, the government’s open-door policy helped to increase the supply of the chain management system. In this case, based on the lowering transaction costs and bringing the economies of scale, enterprises became to choose the form of chain operation.2. By the guiding of the population ecology theory, adding the theories of economics and management, from the perspective of macro concept, system concept and dynamic concepts, this paper gives a comprehensive analysis of the interactive process of these three chain operations’engine, and ultimately it forms the commercial symbiotic ecosystem which is developed by the competing and complement of these three chain operations. The first chain operation is the increasing competition of the environment, in order to obtain the competitive advantage, enterprises innovate the organization of the regular chain. The second one is because the headquarters want to get“non-physical capital expansion”and the entrepreneurs want to“improve the success rate of entrepreneurship”, they work together to co-innovate the organization of franchise chain. In the environment of the extrusion of large-scale company, the small and medium-sized companies who don’t want to lose their independence to innovate the organization of voluntary chain. All these three chain operations have endured organization variations, organization selection and organization retention, and in the end, they have found their own positions in the whole eco-group and cured them as an advanced circulation system. These three chain operations compete with each other and complement each other to form a vibrant commercial chain ecological community. And they play a role in the promotion of business development, in the efficient provision of marketing channels for manufacturers and in the provision for consumers with a convenient shopping place.3. Based on the data static’s and case studies, and from the research of store investment revenues, store costs control characters, the core technique of the store operation and the brand consumption of chain enterprises, this paper concludes that these three chain operations adapt to different industries. The regular chain is characterized by: the store investment is high, and the store costs control belongs to the headquarter costs control, the core technology or the patents of the store operations are weak. The chain industry which have lower brand value companies or the large-scale retail industries can use the regular chain. The franchise chain is characterized by: a lower amount of store investment, and the store costs control belong to“the shop costs”, the core technology or the patents of the store operations are strong. The chain industry which have higher brand value companies or the small-scale retail industry can use the franchise chain .And all kinds of restaurants and service industries which fit up to the four conditions can also use the franchise. The voluntary chain is suitable for smaller retail formats and it is focused on the grocery stores, small and medium-sized supermarkets, convenience stores and small specialty (such as pharmacies) and so on.4. By designing the monitoring effectiveness models of the store supervision and using the model, it analyzes the supervision characteristics and difficulties of the three types of chain store operations. The chain store carries the profits the company’s profits and brand image, and the stores and the headquarters have the agency problems caused by the information asymmetry, and this will probably lead to stores defaults. Finally, to some extent, it will damage the headquarters’benefits and brand image. The monitoring effectiveness of chain stores is the result of the supervision supply of the headquarters’meets the store supervision demands. The supervision demands are the difficulty of supervision, because it is affected by the information of the store, the non-controlled service quality and the space distance between the stores and the headquarters. The regulatory ability of the headquarter company is the supervision supply and it is decided by the efficiency of the supervision and its regulatory input. This paper analyses the difficulty of store supervision in these three store chain operations, by using the principal-agent theory and collective action theory. The regular supervision has the smallest difficulty, the franchise supervision is more difficult, and the most difficult supervision is for the voluntary chain. Accordingly, the measurement of regular supervision are improving the human resource management, improving incentives-binding mechanism and improving the staff loyalty. The measurement of the franchise chain supervision is building a sound licensing system. The measurement of voluntary chain supervision is establishing a selective incentive mechanism, and the members can be different and should strengthen the alliance with the operating mechanism and the system.5. It points out the obstacles and difficulties of the development of chain operation in China, and based on this it proposes some policy recommendations based on how to promote the three ways of chain operation development. The obstacles of chain operation in China are the lack of environmental conditions, the extrusion of multinational companies, the channel conflict and the blindness of the cross-regional development. The problem faced by franchise chain is how to overcome the two-way non-compliance issues, the problem faced by voluntary chain is how to overcome the“collective action problem.”In response to these obstacles and problems, this paper gives some policy recommendations such as the establishment of social credit system, the establishment of a unified market by breaking the regional division, building a sound logistics system, planning the commercial networks and supporting the development of small and medium-sized companies.更多还原