导　　师： 蓝海林

学科专业： 120202

授予学位： 博士

作　　者： ;

机构地区： 华南理工大学

摘　　要： 加入WTO以来,随着中国经济转型的进一步深入,面对全球化竞争,中国企业亟需通过整合国内市场来提升国际竞争力。然而,经济转型期的制度因素及其所导致的市场双重性特征严重制约了中国企业横向整合国内市场的管理模式的选择。关于企业横向整合管理模式选择的既有理论分别建立在市场统一性和市场分割性两个相互对立的假设前提上,面对中国企业所处的既具有统一性又具有分割性的双重性市场特征,既不能对企业有效整合市场的管理模式选择提供有效的理论解释,又不能对企业横向整合管理模式的实践提供有效的指导。在前人研究的基础上,本文对中国特殊情景下的企业横向整合管理模式选择进行了深刻的反思,结合前人的研究和中国经济转型期的特殊情景,将中国企业横向整合管理模式置于RBV、MBV、IBV和企业认知的观点下展开研究。本文认为:/(1/)中国经济转型期的制度因素及其所导致的市场双重性特征,客观上使得中国企业横向整合管理模式的选择采取以制度为基础的战略思维方式成为首要思路;/(2/)中国经济转型期的制度因素及其所导致的市场双重性特征,客观上使得企业为获取市场优势而追求市场资源,以及以资源为基础的战略思维方式仍然在其横向整合管理模式选择中起着基础性的作用;/(3/)中国经济转型期的制度因素及其所导致的市场双重性特征连同其复杂性,客观上使得企业认知在其横向整合管理模式的选择中具有重要的中介作用,行业市场特征与企业自身特征的匹配需要通过企业认知这个中介变量起作用。 鉴于研究问题的特殊性,本文在详细分析影响企业横向整合管理模式各种因素的基础上,设定了如下的研究思路:/(1/)鉴于企业战略与其管理模式之间的双向决定作用已经是学术界达成共识的结论,本文不再研究企业战略力量对企业横向整合管理模式的影响,而是以企业横向整合战略与其管理模式的匹配为基本出发点和假设前提,研究企业横向整合管理模式在战略既定前提下的决策问题;/(2/)重点研究企业横向整合管理模式与其战略不一致或不匹配的情景,探索中国特殊的制度环境和市场特征如何影响企业横向整合管理模式选择及其效果。在此基础上构建了本文的研究框架。 鉴于研究问题的特殊性和探索性特征,本文采取了案例研究的方法。通过理论抽样选取六家典型企业,通过资料获取的可信性、模式匹配的程度、命题建立的合理性、研究过程的严谨性和可靠性检验保证了案例研究的科学性,通过深度访谈、各种报导、查询公司历史资料以及文献研究资料等多种方法获得研究资料和数据,通过三角验证保证资料的可信性,并通过构念效度、内部效度和信度三个方面进行检验。 通过对六家案例企业横向整合管理模式选择的深入分析和讨论,本文得到如下的主要研究结果:/(1/)在中国经济转型期,整合国内市场的重要性已经得到中国企业的重视,但企业整合国内市场的管理模式受制度因素和市场因素的双重制约;/(2/)企业在经济转型期的发展历史中所经历的成功和失败及其所沉淀的管理传统以及企业制度地位对企业横向整合管理模式选择具有紧密的联系。企业管理传统越是被证明有效,企业横向整合管理模式就越具有路径依赖的特征;企业管理传统越是受到挑战,企业横向整合管理模式就越具有路径修正的特征;/(3/)行业市场特征这个变量所代理的制度因素和市场因素对企业横向整合管理模式选择具有直接影响。行业的整合潜力越高,企业越倾向于采取高度整合的管理模式;/(4/)行业市场特征对企业横向整合管理模式选择的影响程度强于企业自身特征对企业横向整合管理模式选择的影响程度,这体现了制度因素的强制性特征和市场因素的诱致性特征对企业横向整合管理模式的作用和影响;/(5/)企业认知调节了企业自身特征和行业市场特征与企业横向整合管理模式选择的关系。在行业市场特征与企业对行业市场特征的认知不一致的情况下,企业横向整合管理模式会背离行业市场特征,而与企业对行业市场特征的认知趋向于一致;/(6/)企业对自身特征的认知与行业市场特征匹配所决定的横向整合管理模式有助于企业取得更好的国内市场整合效果。 研究结果显示,行业市场特征所代理的制度因素和市场特征显著影响企业横向整合管理模式的选择,并通过企业认知这个中介变量促使企业针对行业市场特征做出有效的变通。企业自身特征中的管理传统和企业制度地位显著影响企业横向整合管理模式的选择,并通过企业认知这个中介变量调节企业整合国内市场的战略行为。行业市场特征与企业自身特征的匹配通过企业认知这个中介变量影响企业横向整合管理模式的选择行为。 本文的研究结果表明,中国企业横向整合管理模式的选择在经济转型背景下表现出独特的特征:企业自身特征和行业市场特征在企业认知调节下促使企业在横向整合管理模式方面做出了具有独特性的选择。考虑到中国经济转型特定阶段上的行业市场特征,中国企业基于自己的管理传统和制度地位对横向整合管理模式做出了“情景嵌入式的变通”,而企业对行业市场特征和企业特征的认知对变通方式发挥了明显的调节作用。基于对中国企业横向整合管理模式的认识,本文的研究结论既能够为中国企业横向整合管理模式的选择提供理论指引,也能够为中国经济转型的进一步深入提供理论建议。 After joined WTO, with China's economic transition furtherly and facing with the global competition, Chinese enterprises need to integrate the domestic market in order to promote its international competitiveness. However, the institutional factors and the dual characteristics of the market which caused by institutional factors seriously constraints managerial patterns of horizontal integration in Chinese enterprises. The existing theories about managerial pattern of horizontal integration in enterprises are respectively based on the two opposite hypotheses. The one is the unification of the market, and the other is the fragment of the market. Facing the dual characteristics of the market which is both unified and fragmented, the existing theories can neither supply effective theoretical explanations nor provide a valid practical guidance for the managerial pattern of horizontal integration in enterprises. On the basis of the previous researches, in the IBV /(Institution-Based View/), MBV /(Market-Based View/), RBV/(Resource-Based View/) and enterprise cognitive view, the paper deeply introspects the managerial patterns of horizontal integration in Chinese special situations. This paper thinks: /(1/) the institutional factors and the dual characteristics of the market which caused by institutional factors in the economic transition, objectively make the Chinese enterprises adopt the institutional base view to choice the patterns of horizontal integration in the primary consideration; /(2/) objectively make enterprises pursue market resources for market advantages, and the Resource-based View still generally influences the choice of managerial pattern of horizontal integration; /(3/) because of the institutional factors and the dual characteristics of the market which caused by institutional factors, enterprise cognition has a important medium role when enterprises choice the managerial patterns of horizontal integration, and the match between industry//market characteristics and enterprises’characteristics also need this cognition to intermediate. Given the particularity of this problem, on the detailed analysis for various factors which affect the managerial patterns of horizontal integration, the research thoughts of this paper including: /(1/) for the consensus that there is a two-way decisive relation between the strategy and its managerial patterns, this paper no longer researches how the strategy affects the managerial patterns. But in the essential match view of both which is also the hypothesis, this paper researches the choice of managerial patterns of horizontal integration when the strategy is decided; /(2/) focusing on the mismatch or the inconsistent between the horizontal integration strategy and its managerial patterns, this paper explores how the particular institutional circumstance and market characteristics in China influence the managerial patterns and the result of horizontal integration. Based on this, this paper establishes the framework of the research. For the particularity and the explority of the research problem, this paper adopts case study approach. The six case enterprises were selected by theory sampling and the methodology is guaranteed by the credibility of information, the matching extent of patterns, the rationality of hypotheses, the stringency of the research process and the reliability of testing. The research materials and data were obtained through various ways, including deep interviews, reports, historical data and literatures. The credibility of the data is ensured by triangulation verification. The data are tested through construction of validity, internal validity and reliability. By the thorough analysis and discuss of the managerial patterns of horizontal integration in six case enterprises, the following conclusions were obtained: /(1/)in the China's economic transformation, Chinese enterprises have paid much attention to the importance of integrating domestic market, but the managerial patterns of intergrating have been doubly restricted by the institutional factors and the market factors. /(2/)the successful or failure experience of enterprises, its managerial traditions and its insititutional status in the history of economic transition have a substantial influence on the managerial patterns of horizontal integration. The enterprise’s managerial tradition is proved to be effective, and the managerial pattern of horizontal integration in it has the path dependence chacteristics; the enterprise’s managerial tradition is proved to be invalid, and the managerial pattern of horizontal integration in it has the path revision chacteristics. /(3/) the industry//market characteristics which is the proxy variable of the institutional and market factors has important influence on the managerial patterns of horizontal integration; the stronger the integrating potential in the industry is, the more the enterprise is inclined to adopt the highly integrated managerial pattern; /(4/)The degree of influenc of industry//market characteristics on the managerial patterns of horizontal integration is stronger than the degree of influence of enterprise’s own characteristics on the managerial patterns of horizontal integration, which reflects that the mandatary characteristic of institutional factors and the induced characteristic of market facors have an affect on managerial pattern of horizontal integration. /(5/)Enterprise cognition has a moderate influence on the relationship between enterprises own characteristics with industry//market characteristics and the managerial patterns of horizontal integration. If industry//market characteristics is inconsistent with enterprise cognition, the managerial pattern of horizontal integration will depart from industry//market characteristics, and tend to be consistent with enterprise cognition; /(6/)The effective match between enterprise own characteristics with its cognition and industry//market characteristics with enterprise’s cognition on it can promote the enterprise to integrate domestic market effectively. The results show that the industry//market characteristics which is a proxy variable of the institutional and market factors has a remarkable influence on the choice of the managerial patterns of horizontal integration in enterprises, and promotes enterprises to do effective alternative for the industry//market characteristics through enterprise cognition which is a mediator variable; The managerial traditions and institutional status in enterprise own characteristics also have a remarkable influence on the choice of the managerial patterns of horizontal integration, and adjust the strategic conductions of enterprise through enterprise cognition which is mediator variable; By the enterprise cognition which is a proxy variable, the match between industry//market characteristics and enterprise own characteristics effects the choice of the managerial patterns of horizontal integration. The results reveal that in the economic transition the choice of managerial patterns of horizontal integration in Chinese enterprises shows its speciality: Though the mediation of enterprise cognition, enterprise own characteristics and industry//market characteristics sitimulate enterprise to make perticular choices on the managerial patterns of horizontal integration. Considering the industry//market characteristics in Chinese economic transition and based on its managerial tradition and institutional status, Chinese enterprises make a Context-Embededness alternative, and the enterprise cognitions of industry//market characteristics and its own characteristics have a remarkable moderating affect on the alternative modes. Because of the recognization of the managerial patterns of horizontal integration in Chinese enterprises, the conclusions can provide both the theoretical guidance for the choice of managerial patterns of horizontal integration in Chinese enterprises and the theoric proposals for the further economic transition in China.

关 键 词： 横向整合 管理模式 制度因素 行业市场特征

分 类 号： [F279.2]

领　　域： [经济管理] [经济管理]