【作者】 勾丽；

【导师】 魏江；

【作者基本信息】 浙江大学 ， 企业管理， 2010， 博士

【摘要】 发达国家和地区的发展经验表明,那些具有国际或区域竞争优势的产业大多聚集于某些特定区域并以产业集群的形式出现。产业集群这种独具生命力的组织形态在促进我国产业发展和提升区域经济等方面同样也取得了举世瞩目的成就,经过20多年的孕育与发展,我国产业集群逐渐形成了具有较强经济活力、较高就业水平、较强创新和竞争力的产业空间结构,并向更高、更新的阶段迈进。然而,不容忽视的是我国产业集群在现阶段发展过程中正面临着诸多挑战,全球化背景下我国产业集群面临着结构性转型与升级的巨大压力,集群内企业在产业集群环境中呈现明显的成长绩效差异性现象,有的集群企业表现出发展后劲不足,甚至出现了企业大规模倒闭现象,而有的集群企业却依然能够保持持续稳定地发展。产业集群的主体是企业,只有先解决好集群内微观企业的持续发展问题,才能进一步从中观层面更好地探讨产业集群的转型升级。因此,当前我国产业集群研究有必要将研究对象从产业集群层面深入到集群企业层面。本文围绕“为什么在相同产业集群背景下,企业间会出现显著的成长绩效差异”这一现实问题,在文献回顾的基础上,以“产业集群背景下企业关键资源要素如何作用于成长绩效”作为研究的理论命题,着重探讨产业集群背景下影响企业成长绩效差异的关键资源要素有哪些,这些关键资源要素在产业集群背景下具有哪些特点,它们如何通过战略能力的中介作用影响企业成长绩效,并用我国传统产业集群内企业发展实践作为实证支撑。具体而言,本文逐层深入地探究了以下四个研究子问题:(1)探索出影响产业集群背景下企业成长绩效差异之源的关键资源要素,并具体剖析各关键资源要素与集群企业成长绩效的关系。(2)研究产业集群背景下战略能力与企业成长绩效关系。(3)研究产业集群背景下关键资源要素与战略能力关系。(4)研究产业集群背景下企业关键资源要素、战略能力与成长绩效间整体关系。为了论述上述研究问题,本文采用理论研究与实证研究相结合、文献阅读与调查访谈相结合、质性研究与定量研究相结合的研究方法。子研究一在对前人研究成果梳理分析的基础上,运用扎根理论研究方法,对传统产业集群内26家企业进行深度访谈。首先,探索出影响集群背景下企业成长绩效差异之源的关键资源要素。其次,具体研究关键资源要素与集群企业成长绩效的关系。本文将挖掘三大关键资源要素在产业集群背景下的变量特征,结合理论分析与扎根研究结果,确定产业集群背景下企业关键资源要素与成长绩效之间的假设关系。子研究二在以往文献基础上,通过半结构化访谈进一步补充或验证产业集群背景下企业战略能力关键维度测量指标。接着,通过理论分析提出产业集群背景下企业战略能力的关键变量与成长绩效的关系。子研究三依次对企业家特质、高管团队特征、网络关系与战略能力中战略制定能力、资源整合能力之间的作用关系展开分析,提出关于集群企业三大关键资源要素与战略能力之间的假设关系。子研究四构建“关键资源—战略能力—成长绩效”的概念模型,提出一系列相关假设。通过对304家传统产业集群企业的问卷调查,运用因素分析、多元回归分析、结构方程模型等方法对所提出的概念模型进行检验与修正,深入剖析产业集群背景下企业关键资源要素通过作用于战略能力进而影响成长绩效的作用机制。通过上述研究工作,本文得出以下主要结论:(1)通过扎根研究探索出影响传统产业集群背景下企业成长绩效差异之源的三类关键资源要素,分别是企业家特质、高管团队特征及企业网络关系。(2)企业家特质对集群企业成长绩效有积极的影响作用。具体而言,企业家主动性、创新性和冒险性对提高集群企业成长绩效有积极影响作用。(3)高管团队特征对集群企业成长绩效有积极的影响作用。具体而言,高管团队理念一致性、知识异质性和行为互动性对提高集群企业成长绩效有积极影响作用。(4)网络关系对集群企业成长绩效有积极的影响作用。具体而言,关系范围、关系强度和关系稳定性对提高集群企业成长绩效有积极影响作用。(5)战略能力包含战略制定能力和资源整合能力两大构成要素,它们分别对集群企业成长绩效有积极影响作用。(6)关键资源要素通过影响战略能力作用于集群企业成长绩效。具体而言,企业家特质主要通过战略制定能力影响成长绩效;高层管理团队特征分别通过影响战略制定能力和资源整合能力进而正向作用于成长绩效;网络关系主要通过促进战略制定能力和资源整合能力进而影响成长绩效。本文以产业集群与企业成长理论、资源基础理论、战略能力观为理论基础,紧紧围绕“产业集群背景下企业关键资源要素如何影响成长绩效”这一基本研究命题,试图在以下几方面进行创新并作出相应的理论贡献:(1)探索出产业集群背景下影响企业成长绩效差异之源的关键资源要素,并提炼出企业各关键资源要素在产业集群中的特征表现,是对资源基础理论的深化和拓展。运用扎根研究方法,通过小样本访谈调查探索出产业集群背景下影响企业成长绩效差异之源的关键资源要素,分别是企业家特质、高层管理团队特征、企业网络关系。这三类关键资源要素分别体现企业个体、群体、组织间三个层面,能够更系统地解答“产业集群背景下企业成长绩效差异”问题。(2)界定和剖析了企业战略能力内涵、特征、构成要素及其在产业集群背景下对企业成长绩效的积极作用,丰富并深化了战略能力理论的相关研究。通过对组织能力理论的回顾和比较,本研究明晰了战略能力的内涵及构成要素。此外,本研究采用实地访谈的方式对产业集群背景下企业战略能力两大构成要素的各个测项与访谈结果进行验证和补充,确定了产业集群背景下企业战略能力的多维度构思并分析了它们在产业集群背景下的特征表现,而后通过问卷调查、实证数据统计对该构思及其与成长绩效的关系进行验证。(3)揭示出产业集群背景下企业关键资源要素影响成长绩效的本质过程。本文紧紧围绕传统产业集群企业特点,创造性地构建了“关键资源—战略能力—集群企业成长绩效”的理论分析框架,实证得出企业关键资源通过影响战略能力进而影响成长绩效的基本结论,揭示了产业集群背景下企业关键资源影响成长绩效的基本路径和内在机制。更多还原

【Abstract】 The experiences from developed countries and regions have shown that those with international or regional competitive advantage in industries are mostly clustered in certain specific areas and in the form of industrial cluster. The unique organizational form of industrial cluster and its vitality have made remarkable achievement in the development of Chinese industries and upgrading of regional economy. During the last two decades, Chinese industrial clusters have contributed a lot to the strong economic vitality, high employment level, improved innovation and competitiveness of the industrial structure. However, what should not be overlooked is that the development of Chinese industrial clusters is facing many challenges at this stage. With the economic globalization, Chinese industrial clusters are facing the pressure of structural transforming and upgrading. The firms in industrial cluster are rendering more and more obvious differences in growth performance. Some clustered firms demonstrate lack of development potential, and even demise, while others are still able to maintain sustainable and stable development. The main body of industrial cluster is a firm, and only to resolve the clustered firm sustainable development, we can resolve the issues about industrial clusters transformation and upgrading better. Therefore, the current study of Chinese industrial cluster is necessary to be transferred from the industrial cluster level into the clustered firm level.This dissertation focuses on "why the clustered firms will appear different growth performance in the same industrial cluster context". Based on the literature review, this dissertation discusses the question about "how critical resources influence growth performance of clustered firms", "which are these critical resources characteristics in the industrial cluster context". And has the development practice of Chinese traditional industrial cluster as its empirical support.Based on the industrial cluster and firm growth theory, the resource-based theory, organizational capability theory, strategic capability view, this dissertation aims to answering the basic question of "how critical resources influence growth performance of clustered firms". According to introduce the strategic capability as the intermediate variable, this dissertation tries to open the black box of the interaction mechanism to analyze in depth the significant impact of the critical resources, strategic capability on clustered firms growth performance. Particularly, this research can be break down to the following four issues. Firstly, what are the critical resource factors that influence the different growth performance between the same industrial cluster firms? Secondly, what is the relationship between a firm’s strategic capability and growth performance? Thirdly, what is the relationship between the critical resource factors and firm’s strategic capability? Finally, what is the whole relationship between the critical resource factors, strategic capability and clustered firms growth performance?This dissertation explores these issues by four sub-researches with combination of theoretical study and empirical study, literature review and investigation, and as well as qualitative research and quantitative research.Based on literature review, the first sub-research uses grounded theory method to interview 26 traditional clustered firms. Firstly, the research explores the critical resource factors which influences the clustered firm growth performance, and then analyzes the relationship between each critical resource factor and growth performance specifically. The first sub-research concludes the three critical resource factors’ dimension in industrial cluster, brings forward a primary theoretical supposition relationship between the critical resources factor and growth performance.The second sub-research supplements and confirms the firm strategic capability measurement index by the semi-structured interview, and then puts forward the supposition relationship between the strategic capability and growth performance.The third sub-research analyzes in depth the mechanism between the three critical resource factors which including the entrepreneur trait, the top management team characteristic and firm network and strategic capability which including the strategy making capability and resource integration capability. And then gives some hypotheses between the critical resource factors of clustered firms and strategic capability. The fourth sub-research builds a concept model of "critical resources—strategic capability—growth performance", and puts forward some hypothesizes. 304 clustered firms are investigated via questionnaires, and factor analysis, multiple regression analysis, structural equation modeling is conducted to testify and modify the concept model. The results show that the critical resource factors can promote growth performance through strategic capability.Drawing on the above research, some conclusions can be presented as follows:(1) According to the grounded theory research, the dissertation find out three critical resource factors which are the source of influencing the traditional clustered firms growth performance difference: the entrepreneur trait, the TMT characteristic and firm network.(2) The entrepreneur trait has a positive effect on clustered firm growth performance. In this regard, the entrepreneur initiative, innovative and risk-taking can be beneficial to the improvement of clustered firm growth performance.(3) The TMT characteristic has a positive effect on clustered firm growth performance. In this regard, the TMT mind consistency, knowledge Heterogeneity and behavior interactive can be positive effect to improving the clustered firm growth performance.(4) The firm network has a positive effect on clustered firm growth performance. In this regard, the relation range, relation intensity and relation stability can be beneficial to the improvement of clustered firm growth performance.(5) Strategic capability includes strategy making capability and resource integration capability, they have positive effect for the growth performance.(6) The critical resource factors have a positive effect on clustered firm growth performance by the strategy capability. In this regard, the entrepreneur trait influences growth performance indirectly through the mediating role of strategy making capability. The TMT characteristic promotes growth performance through strategy making capability and resource integration capability respectively. The firm network improves growth performance through the strategy making capability and resource integration capability. As a whole, focusing on how critical resources influence growth performance of traditional clustered firm, this dissertation conducts some innovations as follows.(1) It’s a complement of the existing research on resource-based theory for it builds up linkages among theory of critical resources, strategic capability and growth performance in the industrial clusters context. This dissertation analyses the unique characteristic of critical resources which including the entrepreneur trait, the TMT characteristic and the firm network in industrial cluster. These critical resources embodied individual, group, and organization level respectively, could answer the black box of growth performance differences between the clustered firms.(2) It’s an expansion of the research on clustered firms’ strategic capability for its concept, elements and mechanism. Firstly, based on review the organizational capabilities theory, this dissertation proposed the practical and theoretical value on the strategic capability research. The constituent elements of strategic capability include the strategy making capability and resource integration capability. Secondly, this dissertation analyses the unique characteristic of strategic capability in industrial cluster.(3) It’s an in-depth analysis of the mechanism of firm critical resources on growth performance in industrial cluster. Considering the traditional industrial cluster feature and clustered firms feature, this dissertation puts forward a theoretical framework of "critical resource-strategic capability-growth performance". According to the empirical study, this dissertation reveals the path and the intrinsic mechanism which critical resources affect growth performance in industrial cluster context.更多还原