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论文编号：	2861
作者编号：	1120060698
上传时间：	2010/12/11 16:03:36
中文题目：	集群社会资本及其对企业成长的影响研究
英文题目：	Cluster social capital and its impact on the firm growth
指导老师：	王迎军
中文关键字：	集群，集群社会资本，个体社会资本，集体社会资本，企业成长
英文关键字：	Cluster, Cluster social capital, Individual-level social capital, Collective-level social capital, Firm growth
中文摘要：	集群是同一或相关产业内企业在特定地理区域的集聚。它为集群内企业成长提供了独特的环境，良好的集群甚至可以形成一个区域乃至国家的竞争力。然而，不同集群内的企业成长经验是不同的。因此，分析集群环境对集群内企业成长的影响，探寻集群内企业成长的机制，明确集群内中小企业成长路径是十分有价值的议题。 近年来，越来越多的学者开始注意到社会资本在集群成长和企业成长中的作用。社会资本是嵌入在行动者关系网络中的资源，它与组织内部资源一样，是组织成长的重要推动力量，也是组织竞争优势的来源。社会资本可分为个体社会资本和集体社会资本两个层次，它不仅有助于个体企业克服新进入缺陷和小企业缺陷，也有助于集群的整体发展。由于社会资本的定义本身就包含了个体和集体两个层次，因此采用社会资本的视角来分析集群内企业成长，可以更好地整合不同流派的思想，体现出企业成长背后的深刻内容。 目前在社会资本与集群成长以及社会资本与企业成长领域都分别有一些研究，但将集群、社会资本和企业成长置于一个统一框架内开展的研究尚不多见。本文以集群发展为背景，探讨了集群社会资本对于企业成长的影响。在综合前人研究的基础上，笔者首先确定了集群社会资本的内涵，将集群社会资本划分为个体社会资本和集体社会资本两个层次，前者指个体企业从自身网络中可摄取的资源，后者指集群中的企业作为一个整体共享资源和生成新资源的集体行动能力。在研究中，笔者将两个分析层次结合起来，构建了集群社会资本与企业成长的分析框架，分析了不同层次社会资本对于集群企业成长的作用机制，并深入探讨了如何构建集体社会资本等问题。 本文主要使用质性研究方法，以四川省某镇一个童鞋集群（以下简称Y集群）为案例开展研究。笔者在该镇进行了两个多月的田野调查，在研究中综合使用了深度访谈、焦点组、非参与观察等方法，全面收集了Y集群以及集群中四十多家企业成长发展的数据和资料。然后使用案例分析、网络分析、比较分析等方法，深入剖析这些资料，得出研究结论。 自上个世纪八十年代以来，Y集群经历了从萌芽、形成、收敛到最终衰落的过程，集群内的企业也始终未能真正做大做强。本研究从集群社会资本的角度，对这一过程做了全面的解读。研究发现：集群内企业在成长过程中，一直在积极使用自身的个体社会资本来获得成长中所需要的资金、技术、客户等资源。企业家通过不断积极建构自身的社会网络，建立起了关系结构合理、内容差异性大的动态个体网络，积累了比较丰富的个体社会资本。个体社会资本对企业的早期成长起到了重要的推动作用。但是我们同时也发现，当整个集群走向败落时，即便是拥有丰富个体社会资本的企业也无法独善其身。这说明，在集群的背景下，个体社会资本对企业成长的作用是有局限性的，集群中的集体社会资本对集群和企业发展的作用是不可或缺的。 从其他成功集群的经验看，集群内企业如能通过互动形成紧密联系的内部网络，将有效地提升集群的集体行动能力，具体表现为共享现有资源和采取集体行动争取新资源的能力。然而，在Y集群中，我们始终没有观察到这种集体社会资本的存在。Y集群内的企业一直未能建立起社会信任和合作规范，未能形成紧密合作的内部网络。这样，集群内的企业始终无法形成深入的分工与合作，也无法作为整体从外界获取更多的资源。集体社会资本不足，是Y集群及其企业无法突破发展“瓶颈”的重要原因。 积累集体社会资本需要企业和政府的共同努力，企业需要采取更多的利他性和合作性行动，基于共同发展基础上来构建社会资本。政府则应采取积极措施，提供良好的制度环境和服务支持来促进企业间合作网络的形成。 本研究的理论和实践突破点在于：一是厘清了集群社会资本的概念，将其确定为个体社会资本（资源）和集体社会资本（能力）两个层次，并对不同层次社会资本的作用及其关系进行了探讨，提出集体社会资本发展需要实现个体社会资本超越的观点。二是明确了集群社会资本在企业成长中的作用机制，并特别指出：集群内企业成长需要个体社会资本与集体社会资本的融合，集群的成长需要集体社会资本的发展，只有积累起丰富的集体社会资本，才有可能使集群得以发展，为集群内的企业成长提供资源。三是尝试性提出了建构集体社会资本，推动集群及其内部企业成长的可行措施。明确了在此过程中，企业和政府等行动者应承担的责任。
英文摘要：	Defined as the sectoral and spatial concentrations of firms, the cluster not only provides firms with the benefit of rapid growth, but also provides a driving force for the accumulation of competitive advantage of regions and nations. However, in reality, not all firms grow rapidly in a cluster, and not all clusters grow rapidly. Therefore, it is of great importance to understand the impact of cluster on the growth of firms, and to explore how firms could develop better in the cluster. In recent years, more and more researchers have realized the importance of social capital in the growth of firms and clusters. As resource embedded in social networks, social capital consist an indispensable resource for the growth of organization and the source of competitive advantage. It helps the new firms to overcome the liability of newness and smallness, provides firms with resources for further growth. As the definition of social capital consists of micro and macro levels, involving the perspective of social capital in firms’ growth in cluster could help us to better integrate ideas from different schools in this field. Although there are already some studies on the relationship between cluster and firm growth, and social capital and firm growth, few studies have endeavored to put social capital and firm growth, and clustering in one comprehensive theoretical framework. This dissertation tries to discuss the impact of social capital on the growth of enterprises in the background of clustering. Cluster social capital can be divided into two different levels. Beyond the individual-level social capital owned by individual enterprises, there is also collective-level social capital in the cluster, which enable the cluster to act as a collective actor. This dissertation includes two levels of social capital in the same theoretical framework. The main research questions include the impact of different level of social capital on firm growth, the mechanism of the impact, and how to effectively construct cluster social capital. The methodology adopted in this study is mainly qualitative ones. The author conducted field study in a shoe cluster (Cluster Y thereafter) in a township in Sichuan province for more than three month. Using methods such as in-depth interviewing, focus group, non-participatory observation, the author collected data from the township and more than forty firms in the cluster. Then the data is analyzed with the method of case study, network analysis, and comparative studies. Since the 1980’s, Cluster Y had undergone a process of rapid developing and declining, while the firms in the cluster also remained under-developed. The author trys to explain this process from the perspective of social capital. It is found that the firms in the cluster have been actively using individual social capital to get resources such as funds, techniques, and customers. The entrepreneurs build up abundant individual-level social capital by actively constructing personal social network. And individual-level social capital did play a positive role in promoting the early growth of firms. However, it is also found that, when the whole cluster is declining, no firms can survive alone in the cluster. This has indicates the limit of individual-level social capital and the importance of collective-level social capital. The experience of other successful clusters shows that, once the firms within a cluster can form a dense network of interaction, the capability of collective action in a cluster will be greatly enhanced. Unfortunately, in Cluster Y, this type of collective capital had never been observed. Firms in Cluster Y had never been able to build up a good trust and norms for cooperation. Therefore, they had not built a dense network, which limited their division of labor and cooperation, and also their capability to acquire external resources. The lack of collective-level social capital is the main reason why Cluster Y and the firms in it stopped developing. The accumulation of collective-level social capital needs the endeavor of both firms and government. For firms, they should construct collective social capital by more altruistic actions. For the government, they should take active pleasures in providing good institutional environment and public service in order to promote the formation of cooperative networks of firms. The theoretical and policy contributions of the study includes: First, the study clearly proposed the concept of cluster social capital, divided them into individual level (resource) and collective level (capability), and discussed the relationship between the two levels. Second, the study clarified the mechanism of the impact of collective-level social capital in the growth of firms. The study emphasized that the growth of firms is based on the combination of individual-level and collective-level social capital, and the development of a cluster is based on the accumulation of collective-level social capital. Finally, the study proposed some policy recommendations as for how to construct cluster social capital
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