【作者】 曾咏梅；

【导师】 李明生；

【作者基本信息】 中南大学 ， 管理科学与工程， 2010， 博士

【摘要】 在我国产业集群嵌入全球价值链模式的选择实践中,通常存在两种错误倾向,一种是机械主义倾向,另一种是实用主义倾向。机械主义倾向主要表现为对单一嵌入模式的追求。在这种情况下,嵌入模式选择的主要任务就是寻求恰好适应本集群的嵌入模式融入全球价值链。随着外部环境的变化和产业集群自身特性因素的演化,僵化的嵌入模式策略意味着集群不但要损失机会成本,还要承担“习惯性谬误”的代价。在实用主义倾向下,集群通常以一种低风险的嵌入模式来开始自己的全球化业务,而且这种初始模式通常是贴牌生产或间接出口。只有当贴牌生产或间接出口模式不可行或不能盈利时,集群才会转而寻求更有效的嵌入模式。这种模式能够极大地降低集群嵌入全球价值链的不确定性,从而避免可能的失败风险。但是,在这种错误倾向指导下,集群不会积极地寻找盈利能力更强、更具有战略意义的嵌入模式。因而,面对竞争加剧的全球环境,集群可能会被更积极的市场拓展者抛在后边。通过对现存产业集群嵌入全球价值链模式选择指导思想的修正,立足于权变管理理论,从动态角度构建产业集群嵌入全球价值链模式权变选择模型并进行实证检验,就是本文所要做的工作。论文以权变理论作指导,以Humphrey和Schmitz提炼的基于价值链治理结构基础上产业集群嵌入全球价值链模式为基本框架,在吸收前人研究成果的基础上,采用文献整理和实地调研相结合、定性分析和定量分析相结合的研究方法,构建了产业集群嵌入全球价值链模式权变选择模型。通过研究,取得了以下研究成果：(1)结合具体嵌入渠道,基于价值链治理结构基础上概括出五种嵌入模式。基于集群发展路径的角度界定集群嵌入模式只能大概描述集群未来的发展状况,并没有对集群嵌入模式做具体分析；基于具体嵌入渠道来界定嵌入模式有助于拓展经济行为主体的视野,使它们在加入全球价值链之前能够对多种渠道的适用性、获取的难易程度等方面进行对比权衡,以作出最优选择,但是具体嵌入渠道只是提供进入全球价值链的直接入门之道,对进入全球价值链之后的不同行为主体在链上的地位及其升级前景无法体现。本文借鉴Humphrey和Schmitz相关研究成果,基于价值链治理结构基础上概括出被并购、贴牌生产、互利合作、交钥匙工程和出口五种嵌入模式,这五种嵌入模式将价值链治理结构与具体嵌入渠道联系起来。一方面提供了进入全球价值链的直接入门之道,另一方面体现了全球价值链上不同行为主体之间权力的对称程度,能够成为分析价值链参与者升级前景的代表性同一框架。(2)产业集群生命周期、生产要素是集群嵌入全球价值链模式选择的重要权变因素。本文结合相关文献总结概括出集群根植性、集群规模、集群生命周期和集群生产要素四因素是集群嵌入全球价值链模式选择的重要权变因素,并进而分析这些权变因素作用于嵌入模式选择的机制。接着对基于定性研究推导出的结论进行了量化分析与验证。研究结果表明：随着集群生命周期从诞生到成熟阶段演进,嵌入模式将经历从被并购、贴牌生产、互利合作、交钥匙工程、出口的一个转换过程；当集群具有明显的劳动力密集型特征时,集群选择贴牌生产嵌入模式的可能性最大,其次是出口模式,而选择交钥匙工程模式的可能性最小；当产业集群具有明显的技术密集型特征时,集群选择出口嵌入模式的可能性最大,其次是交钥匙工程模式,而选择贴牌生产模式的可能性最小。(3)产业集群权变因素与嵌入全球价值链模式类型一致对集群升级有正向影响。依照权变管理理论,本研究提出嵌入模式类型的选择与权变嵌入影响因素一致时将促进集群实现有效升级。本文通过分别对产业集群生命周期、劳动力生产要素和技术生产要素三者与嵌入模式类型的实证检验表明嵌入全球价值链模式权变选择对集群升级的作用机制是显著的。更多还原

【Abstract】 Generally, two erroneous tendencies exist in the choosing practice on the imbedding of the domestic industry clusters into the mode of global value chains, the one is the tendency of mechanism and the other is tendency of pragmatism. The tendency of mechanism is mainly manifested as pursuing of single embedded mode. Under the circumstances, the main task of embedded mode selection is to seek the embedded mode of the domestic industry clusters to merge into global value chains.Along with the continuous change of the external environment and the development of the self competition, the rigid embedded mode represents not only the lost of opportunity cost but the price of habitual faculty. Under the tendency of pragmatism, the domestic industry clusters usually begin their own global business with the low-risk embedded mode and the initial mode is original equipment manufacture or indirect export in most cases. Domestic industry clusters has to seek the more efficient mode only when it doesn’t work or can’t gain profits. This initial mode can reduce the uncertainty of the integrating the global value chain to avoid the possible risk of failure. However, guided by the erroneous thought, domestic industry clusters wouldn’t seek the more profitable and strategic mode actively. Therefore, facing the increasing competition in the global environment, domestic industry clusters would be overtaken by the more active market explorers. In accordance with the contingency theory, the present paper constructs the contingent choice mode on the imbedding of the existing industry clusters into the mode of global value chains and makes empirical test dynamically through the modification.Guided by the contingency theory, in this article we use the Humphrey and Schmitz’s mode on the imbedding of the existing industry clusters into the mode of global value chains based on the management structure of value chain, stand for the former achievement, adopt the method of combining literature review with field study and the combination of qualitative analysis and quantitative analysis to construct the contingent choice mode on the imbedding of the existing industry clusters into the mode of global value chains. The research results as followed:Combining embedding channel,generalizing 5 embedding modes based on the management structure of value chain.From the point of view of cluster developmental approach, the definition of the clusters embedding mode only can describe the future development of clusters assumably and can’t make a concrete analysis about the clusters embedding mode; from the point of view of embedding channel, the definition of the clusters embedding mode could expand field of vision of economicagents and make the best choice through comparing and weighing the applicability of multiple channel and the difficult degree of acquirement before they join the global value chain. But the specific embedding channel only can provide the direct entrance of the global value chain and can’t show the status of the different concrete behavior subjects and the upgrading prospect after they enter into the chain. This article uses the related research achievements of Humphrey and Schmitz for reference and generalizes 5 embedding modes based on the management structure of value chain. Such as:Being merged、Original equipment manufacture. Mutual benefit cooperation、Turnkey job and Export.Embedding channels and the management structure of value chain are related together organically by these 5 modes. On the one hand, these modes provide the direct entrance of the global value chain, and on the other hand, these embodies the symmetry degree of power between different concrete behavior subjects in global value chain, therefore, these can form the same representative framework to analyze the upgrading prospects among the participators of the value chain.Life periods,production factors of industrial clusters is the important contingency factor to choose the mode on the imbedding of the domestic industry clusters into the mode of global value chains.This article combined with the relevant literature to get the conclusion that embeddedness,size, life period production factor of industrial clusters is the important contingency factor to choose the mode on the imbedding of the domestic industry clusters into the mode of global value chains. Furthermore, it analyzes the mechanism about the contingency factors to choose the embedding modes and verifies that subjective inference. And then, by means of statistical methods, such as correlated analysis、factor analysis、variance analysis and so on, and by using spss15.0 professional software,this article quantified analyses and verifies the conclusion deduced out by qualitative research. The results showed that the embedding modes would be converted among the 5 modes followed with the evolution from formative phases to mature stages. When the character of labor intensive is obvious, the possibility to choose the mode of Original Equipment Manufacture is maximal, Export Mode is secondly and the possibility to choose the Turnkey Job mode is minimal. While the character of technology intensive is obvious the possibility to choose the mode of Export is maximal, Turnkey Job mode is secondly and the possibility to choose the Original Equipment Manufacture mode is minimal.The fitness of embedding mode and influence factors of contingency embedding will positively related with cluster upgrade.In accodance with contingency theory,this paper point out the fitness of embedding mode and influence factors of contingency embedding will positively related with cluster upgrade. This article makes empirical test of the action mechanism of life periods、labor and technology production factors of industrial clusters working on the embedding modes. The results showed that the fitness of embedding mode and influence factors of contingency embedding will positively related with cluster upgrade.更多还原