导　　师： 蓝海林

学科专业： 120202

授予学位： 硕士

作　　者： ;

机构地区： 华南理工大学

摘　　要： 随着入世和改革开放的不断发展，中国企业面临着经济全球化和中国市场分割性的影响。中国经济的可持续增长将主要依赖于中国企业能否积极参与中国乃至世界市场和行业的整合，同时提升国际竞争力，从而带动中国经济的发展突破市场、资源和环境的制约。目前，很多行业的企业实施整合战略，将有限的资源高度集中，依靠在国内市场上获得了规模优势和市场控制力，并且在创新方面形成了世界级的竞争力。 本文回顾了产业组织学关于横向整合战略、创新理论的相关研究。产业组织理论的经济学家一直致力于研究横向整合战略对于市场结构的影响，从资源基础观的角度来说，横向一体化能够使企业占有更多的市场资源，能够增强对市场和供应链上下游的控制力度，形成市场势力。对于技术创新的研究，主要是在熊彼特等人的创新理论基础上，运用SCP框架来探讨市场结构、企业规模等多方面与技术创新的关系。基于此，本文提出初步的研究框架：遵循产业组织基本范式SCP的动态框架，通过一个微观的视角，探讨企业横向一体化战略行为、市场结构、市场力量、技术创新之间的传导机制。 本文采用案例研究的方法，研究对象是中国汽车制造产业从“三大三小”（2000）到“四大四小”（2009）十年时间，四家企业的横向一体化行为、市场力量变化及其企业技术创新能力。通过对中国轿车企业的案例研究，剖析企业横向一体化对企业创新能力的影响机制，试图证明在中国可以通过国内横向整合提升国际竞争力的命题。文章首先分析中国轿车产业的市场结构，进而运用SPSS对四家案例企业进行了横向一体化行为次数与市场力量关系、企业市场力量与技术创新关系的时间序列的曲线估计回归，最后分别对四家企业进行结构性案例分析。 在对研究结果讨论的基础上，本文得到以下结论：第一，企业实施横向一体化提高了企业市场力量。中国轿车产业是在中国特定的情境下发展起来。尽管四家企业的曲线估计结果呈现不一致，但借助情景化解释的案例研究方法，支持命题；第二，中国企业在与外方战略联盟中的关系资本是中国轿车企业市场力量形成的重要调节因素。我国轿车企业的发展是与跨国汽车企业合资合作形成的战略联盟所推动的。关系资本这种独特的企业资源，一方面通过联盟资源的协调与联盟伙伴活动的协作，使联盟能够有效的将资源进行整合和利用，另一方面通过增加联盟伙伴间的信任关系，使联盟伙伴间沟通更加顺畅，从而帮助联盟企业在合作中获益，提高联盟企业各方的核心竞争力。第三，中国轿车企业的发展验证了“企业市场力量的提高，可以提高企业创新能力”的命题。汽车工业“三高”的特征以及中国国情，决定了我国轿车企业选择合资合作的模式。战略联盟作用的发挥与中国企业的创新能力紧密相关。第四，中国企业在与外方战略联盟中对外方的学习程度对市场力量与企业技术创新活动的关系具有正向调节作用。在战略联盟中向合作方学习是企业竞争优势和提升创新能力的一个重要来源。具体而言，战略联盟组织间学习程度的两个因素——学习能力和吸收能力，影响企业的技术创新能力提高。 本文研究成果将为企业提高市场力量与创新能力提供理论依据，对分割市场条件下的战略行为研究有重要的推动作用，对企业行为的指导和政府政策的制定提供重要方向。 With the continuous development of the WTO and the reform and opening up,Chinese enterprises are facing the impact of economic globalization and marketfragmentation. Sustainable economic growth in China will mainly rely on the Chinesecompanies can actively participate in the integration of China and the world marketand industry, while improving the international competitiveness. This can helpChinese enterprises break market、resources and environmental constraints andstimulate the development of economic. Enterprises in many industries havecompleted the horizontal integration strategy in the domestic market. They highlyconcentrated the limited resources and got the advantages of scale and market power,and also have the formation of a world-class competitiveness in innovation. This paper reviews the industrial organization on horizontal integration strategyand innovation theory. The theory of industrial organization economists have beenworking on a horizontal integration strategy for the influence of market structure.From the perspective of the resource based view, the horizontal integration enableenterprises to occupy more market resources and enhance efforts to control themarkets and the supply chains of upstream and downstream, so as to form the marketpower. Research for technological innovation, mainly on the basis of innovationtheory of Schumpeter and other people, explore the market structure, firm size andother aspects of the relationship with technology innovation in the use of the SCPframework. Based on this, this paper presents preliminary research framework: followthe industrial organization paradigm of the dynamic framework of the SCP, through amicro perspective, to explore the transmission mechanism between the horizontalintegration strategy behavior, market structure, market power and the technologyinnovation. Based on the case study method, the object of this paper is four enterprises’horizontal integration behavior, changes in market power and its technologyinnovation ability during the decade of China automobile manufacturing industryfrom the "three big three small"/(2000/) to "four big four small"/(2009/).Through to theChinese car enterprise case studies, we analyze the horizontal integration mechanismsof enterprises' innovation ability, trying to prove the proposition that in China throughdomestic horizontal integration can improve the international competitiveness. Thispaper first analyzes the market structure of China's car industry, and then carries out curve estimation on the time-series data of the four enterprises with SPSS software inorder to discuss the relationship between horizontal integration behavior and marketpower, the enterprise market power and technology innovation. Finally, we do thecase study for four companies. The results indicate some conclusions. Firstly, China's car industry is developedin a particular situation. Although four enterprise curve estimate results appearinconsistent, but with the case study of the context theorization explain method, wecan conclude that, enterprise which implemented the integration strategy can enhancethe its market power. Secondly, the strategic alliance relational capital is an importantadjustment factor of the market power of China's car companies. The development ofChina's car companies are driven by strategic alliances which form with the jointventures of multinational auto companies. Relational capital this kind of uniqueenterprise resources, on the one hand, through the coordination of resources andalliance partner activities, can make the alliance effectively integrate and utilize ofresources. On the other hand, by increasing the trust relationship between partners, thealliance has more smooth communication between partners, which helping alliancebenefit in cooperation and improving the core competitiveness of the allianceparties.Third, the development of China’s car enterprise verifies the proposition thatimproving the enterprise market power can improve its innovation ability. With thecharacteristics of the auto industry and China's national conditions, China's autoenterprises choose the joint venture cooperation pattern. The role of the Strategicalliance is closely related to the innovation ability of the enterprise. Fourth,inter-organizational learning in the strategic alliances is an important adjustmentfactor of enterprise technology innovation activities. Inter-organizational learning inthe strategic alliances is an important source of the competitive advantage andinnovation ability. There are two factors influence inter-organizational learning in thestrategic alliances: learning ability and absorption ability, which strengths andweaknesses can affect the technological innovation ability. In this paper, the research results provide a theoretical basis for enterprises toimprove the market power and innovation ability. It will promote the research on thestrategic behavior under the conditions of market fragmentation, and also provide animportant direction on corporate behavior guidance and the formulation ofgovernment policy.

关 键 词： 横向一体化 市场力量 技术创新 战略联盟 轿车企业

分 类 号： [F273.1 F426.471 F224]

领　　域： [经济管理] [经济管理] [经济管理] [经济管理]