วารสารปัญญาภิวัฒน์ ปี 9 ฉบับ supplementary by วารสารปัญญาภิวัฒน์

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ธันวาคม 2560 PANYAPIWAT JOURNAL Volume 9 Supplementary Issue December 2017 สถาบันการจัดการปัญญาภิวัฒน์

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ธันวาคม 2560 PANYAPIWAT JOURNAL Volume 9 Supplementary Issue December 2017

จัดท�ำโดย

สถาบันการจัดการปัญญาภิวัฒน์ 85/1 หมู่ 2 ถนนแจ้งวัฒนะ ต�ำบลบางตลาด อ�ำเภอปากเกร็ด จังหวัดนนทบุรี 11120 โทรศัพท์ 0-2855-1102, 0-2855-0908 โทรสาร 0-2855-0392

พิมพ์ที่

โรงพิมพ์แห่งจุฬาลงกรณ์มหาวิทยาลัย ถนนพญาไท ปทุมวัน กรุงเทพฯ 10330 โทรศัพท์ 0-2218-3549-50 โทรสาร 0-2215-3612 http://www.cuprint.chula.ac.th E-mail: cuprint@hotmail.com

ปีที่ 9 ฉบับ Supplementary ธันวาคม 2560 Vol.9 Supplementary Issue December 2017 ISSN 1906-7658 วารสารปัญญาภิวฒ ั น์ ได้ดำ� เนินการตีพมิ พ์เผยแพร่อย่างต่อเนือ่ งตัง้ แต่ปี พ.ศ. 2552 ปัจจุบนั เป็นวารสารทีอ่ ยู่ ในฐานข้อมูล TCI (Thai-Journal Citation Index Centre) กลุ่มที่ 1 สาขามนุษยศาสตร์และสังคมศาสตร์ และเป็น วารสารที่ผ่านการคัดเลือกเข้าสู่ฐานข้อมูล ASEAN Citation Index (ACI) โดยมีนโยบายการจัดพิมพ์ ดังนี้ วัตถุประสงค์ 1. เพื่อเป็นเวทีในการเผยแพร่ผลงานวิจัยและวิชาการในสาขาวิชา บริหารธุรกิจ การจัดการธุรกิจอาหาร วิทยาการจัดการ ศิลปศาสตร์ ศึกษาศาสตร์ นิเทศศาสตร์ วิศวกรรมศาสตร์และเทคโนโลยี อุตสาหกรรมเกษตร นวัตกรรมการจัดการเกษตร และสาขาอื่นที่เกี่ยวข้อง ส�ำหรับคณาจารย์ ผู้วิจัย และนักศึกษาทั้งในและต่างประเทศ 2. เพื่อเป็นแหล่งสารสนเทศและแลกเปลี่ยนองค์ความรู้ในด้านต่างๆ อันจะน�ำมาสู่ประโยชน์ในการพัฒนา ธุรกิจและประเทศต่อไป ขอบเขตผลงานที่รับตีพิมพ์ ขอบเขตเนือ้ หา ประกอบด้วย สาขาวิชาบริหารธุรกิจ การจัดการธุรกิจอาหาร วิทยาการจัดการ ศิลปศาสตร์ ศึกษาศาสตร์ นิเทศศาสตร์ วิศวกรรมศาสตร์และเทคโนโลยี อุตสาหกรรมเกษตร นวัตกรรมการจัดการเกษตร และ สาขาอื่นที่เกี่ยวข้อง ประเภทผลงาน ประกอบด้วย บทความวิจัย (Research article) บทความวิชาการ (Academic article) บทวิจารณ์หนังสือ (Book review) และบทความปริทัศน์ (Review article) นโยบายการพิจารณากลั่นกรองบทความ 1. บทความทีจ่ ะได้รบั การตีพมิ พ์ ต้องผ่านการพิจารณากลัน่ กรองจากผูท้ รงคุณวุฒิ (Peer review) ในสาขา ทีเ่ กีย่ วข้อง จ�ำนวนอย่างน้อย 2 ท่านต่อบทความ โดยผูท้ รงคุณวุฒจิ ะไม่ทราบข้อมูลของผูส้ ง่ บทความ (Double-Blind Peer review) 2. บทความทีจ่ ะได้รบั การตีพมิ พ์ ต้องไม่เคยตีพมิ พ์เผยแพร่ทใี่ ดมาก่อนและต้องไม่อยูใ่ นกระบวนการพิจารณา ของวารสารหรือสิ่งตีพิมพ์อื่นใด รวมทั้งผู้เขียนบทความต้องไม่ละเมิดหรือคัดลอกผลงานผู้อื่น 3. บทความ ข้อความ ภาพประกอบ และตารางประกอบ ที่ตีพิมพ์ในวารสารเป็นความคิดเห็นและความ รับผิดชอบของผู้เขียนแต่เพียงผู้เดียว ไม่เกี่ยวข้องกับสถาบันการจัดการปัญญาภิวัฒน์แต่อย่างใด 4. กองบรรณาธิการขอสงวนสิทธิ์ในการพิจารณาและตัดสินการตีพิมพ์บทความในวารสาร ก�ำหนดพิมพ์เผยแพร่ ปีละ 3 ฉบับ (ฉบับแรก เดือนมกราคมถึงเดือนเมษายน ฉบับที่สอง เดือนพฤษภาคมถึงเดือนสิงหาคม และ ฉบับที่สาม เดือนกันยายนถึงเดือนธันวาคม)

ติดต่อกองบรรณาธิการ ส�ำนักวิจัยและพัฒนา สถาบันการจัดการปัญญาภิวัฒน์ 85/1 หมู่ 2 ถนนแจ้งวัฒนะ ต�ำบลบางตลาด อ�ำเภอปากเกร็ด จังหวัดนนทบุรี 11120 โทรศัพท์: 0-2855-1102, 0-2855-0908 โทรสาร: 0-2855-0392 อีเมล: journal@pim.ac.th เว็บไซต์: http://journal.pim.ac.th

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ธันวาคม 2560 PANYAPIWAT JOURNAL Vol.9 Supplementary Issue December 2017 ISSN 1906-7658

ที่ปรึกษา อธิการบดี รองอธิการบดี ผู้ช่วยอธิการบดี และคณบดี

สถาบันการจัดการปัญญาภิวัฒน์

บรรณาธิการ รองศาสตราจารย์ ดร.ทิพย์พาพร มหาสินไพศาล

สถาบันการจัดการปัญญาภิวัฒน์

รองบรรณาธิการ ผู้ช่วยศาสตราจารย์สาคร สมเสริฐ

สถาบันการจัดการปัญญาภิวัฒน์

กองบรรณาธิการ ผู้ทรงคุณวุฒิภายนอกสถาบัน ศาสตราจารย์ ดร.โกสินทร์ จ�ำนงไท ศาสตราจารย์ ดร.สัญชัย จตุรสิทธา รองศาสตราจารย์ ดร.ชนิดา ม่วงแก้ว รองศาสตราจารย์ ดร.ธนัญญา วสุศรี รองศาสตราจารย์ ดร.ยุภาดี ปณะราช รองศาสตราจารย์ ดร.วิไลลักษณ์ รัตนเพียรธัมมะ รองศาสตราจารย์ ดร.สงวนศรี เจริญเหรียญ รองศาสตราจารย์ ดร.เอ็จ สโรบล ผู้ช่วยศาสตราจารย์ ดร.โกวิทย์ พิมพวง ผู้ช่วยศาสตราจารย์ ดร.ธิตินันธุ์ ชาญโกศล ผู้ช่วยศาสตราจารย์ ดร.นิษฐา หรุ่นเกษม ผู้ช่วยศาสตราจารย์ ดร.บัณฑิต ผังนิรันดร์ ผู้ช่วยศาสตราจารย์ ดร.บุษยา วงษ์ชวลิตกุล Dr. Kelvin C. K. Lam

มหาวิทยาลัยเทคโนโลยีพระจอมเกล้าธนบุรี มหาวิทยาลัยเชียงใหม่ มหาวิทยาลัยราชภัฏจันทรเกษม มหาวิทยาลัยเทคโนโลยีพระจอมเกล้าธนบุรี มหาวิทยาลัยราชภัฏก�ำแพงเพชร มหาวิทยาลัยเกริก มหาวิทยาลัยเกษตรศาสตร์ มหาวิทยาลัยเกษตรศาสตร์ มหาวิทยาลัยเกษตรศาสตร์ มหาวิทยาลัยศรีนครินทรวิโรฒ มหาวิทยาลัยราชภัฏพระนคร มหาวิทยาลัยราชภัฏสวนสุนันทา มหาวิทยาลัยวงษ์ชวลิตกุล มหาวิทยาลัยธุรกิจบัณฑิตย์

ผู้ทรงคุณวุฒิภายในสถาบัน รองศาสตราจารย์ ดร.วรวิทย์ สิริพลวัฒน์ ผู้ช่วยศาสตราจารย์ ดร.ดัชกรณ์ ตันเจริญ ผู้ช่วยศาสตราจารย์ ดร.ธัญญา สุพรประดิษฐ์ชัย ผู้ช่วยศาสตราจารย์ ดร.เปรมฤทัย แย้มบรรจง ผู้ช่วยศาสตราจารย์ ดร.พูลทรัพย์ นาคนาคา ผู้ช่วยศาสตราจารย์สกุลศรี ศรีสารคาม อาจารย์ ดร.ชาญชัย ไวเมลืองอรเอก อาจารย์ ดร.ตันติกร พิชญ์พิบุล อาจารย์ ดร.ณตา ทับทิมจรูญ อาจารย์ ดร.พิฑูร ธนบดีกิจ อาจารย์ ดร.วัชราภรณ์ เขื่อนวัง อาจารย์ Dr. Hongyan Shang

คณะนวัตกรรมการจัดการเกษตร คณะวิศวกรรมศาสตร์และเทคโนโลยี คณะบริหารธุรกิจ คณะการจัดการธุรกิจอาหาร ส�ำนักการศึกษาทั่วไป คณะนิเทศศาสตร์ คณะอุตสาหกรรมเกษตร คณะการจัดการโลจิสติกส์และการคมนาคมขนส่ง คณะวิทยาการจัดการ วิทยาลัยนานาชาติ คณะศึกษาศาสตร์ วิทยาลัยบัณฑิตศึกษาจีน

ฝ่ายจัดการและเลขานุการกองบรรณาธิการ นายศุภชัย วุฒิชูวงศ์ นางสาวสุจินดา ฉลวย นางสาวเมธาวี ฮั่นพงษ์กุล นางสาวหทัยชนก เสาร์สูง

ส�ำนักวิจัยและพัฒนา ส�ำนักวิจัยและพัฒนา ส�ำนักวิจัยและพัฒนา ส�ำนักวิจัยและพัฒนา

ผู้ทรงคุณวุฒิกลั่นกรองบทความ (Reviewers) รองศาสตราจารย์ ดร.ชวลิต จีนอนันต์ รองศาสตราจารย์ ดร.ปริทรรศน์ พันธุบรรยงก์ รองศาสตราจารย์ ดร.ปรียานุช อภิบุณโยภาส รองศาสตราจารย์ ดร.พนารัตน์ ปานมณี รองศาสตราจารย์ ดร.พรพรรณ จันทโรนานนท์ รองศาสตราจารย์ ดร.เรืองศักดิ์ แก้วธรรมชัย รองศาสตราจารย์ ดร.วีระศักดิ์ คุรุธัช รองศาสตราจารย์ ดร.ศากุน บุญอิต รองศาสตราจารย์ ดร.สมโรตม์ โกมลวนิช รองศาสตราจารย์ ดร.อรุณี อินทรไพโรจน์ รองศาสตราจารย์ชนินทร์ ชุณหพันธรักษ์ ผู้ช่วยศาสตราจารย์ ดร.พิสิษฐ์ จันทร์วราสุทธิ์ ผู้ช่วยศาสตราจารย์ ดร.สิริฉันท์ สถิรกุล เตชพาหพงษ์ ผู้ช่วยศาสตราจารย์ ดร.อภิชาติ พงศ์สุพัฒน์ Asst. Prof. Dr. Wei Meng ผู้ช่วยศาสตราจารย์ก่อศักดิ์ ธรรมเจริญกิจ ผู้ช่วยศาสตราจารย์พิมล พูพิพิธ ผู้ช่วยศาสตราจารย์วรศักดิ์ มหัทธโนบล ดร.สมชาย วงศ์รัศมี ดร.อารีรัตน์ ปฐมชัยวาลย์ Dr. Jingyan Zhao

สถาบันเทคโนโลยีนานาชาติสิรินธร ศูนย์บางกะดี สถาบันการจัดการปัญญาภิวัฒน์ มหาวิทยาลัยเกษตรศาสตร์ มหาวิทยาลัยธรรมศาสตร์ มหาวิทยาลัยหัวเฉียวเฉลิมพระเกียรติ สถาบันการจัดการปัญญาภิวัฒน์ มหาวิทยาลัยเทคโนโลยีมหานคร มหาวิทยาลัยธรรมศาสตร์ สถาบันการจัดการปัญญาภิวัฒน์ อดีตอาจารย์ประจ�ำ มหาวิทยาลัยเทคโนโลยีราชมงคลธัญบุรี มหาวิทยาลัยสุโขทัยธรรมาธิราช สถาบันเทคโนโลยีนานาชาติสิรินธร ศูนย์บางกะดี จุฬาลงกรณ์มหาวิทยาลัย มหาวิทยาลัยเกษตรศาสตร์ มหาวิทยาลัยธุรกิจบัณฑิตย์ อดีตอาจารย์ประจ�ำจุฬาลงกรณ์มหาวิทยาลัย มหาวิทยาลัยรามค�ำแหง จุฬาลงกรณ์มหาวิทยาลัย อดีตอาจารย์ประจ�ำมหาวิทยาลัยเทคโนโลยีมหานคร มหาวิทยาลัยสยาม มหาวิทยาลัยหัวเฉียวเฉลิมพระเกียรติ

บทบรรณาธิการ “หนึ่งแถบหนึ่งเส้นทาง” เส้นทางสายไหมแห่งศตวรรษใหม่ โครงการ “หนึง่ แถบหนึง่ เส้นทาง” หรือ One Belt, One Road ซึ่งรัฐบาลสาธารณรัฐประชาชนจีนริเริ่มขึ้น และตั้งเป้าหมายว่าจะเป็นการฟื้นฟูเส้นทางสายไหม แห่งศตวรรษที่ 21 ไม่เพียงแต่จะส่งผลต่อสาธารณรัฐ ประชาชนจีนเท่านัน้ แต่ภมู ภิ าคแถบเอเชียจนถึงแถบยุโรป และแอฟริกาจะได้รับอานิสงส์อย่างมากจากโครงการนี้ กระทรวงพาณิชย์ของสาธารณรัฐประชาชนจีนเปิดเผยว่า การค้าระหว่างสาธารณรัฐประชาชนจีนกับกลุม่ ประเทศ ตามแผนริ เ ริ่ ม หนึ่ ง แถบหนึ่ ง เส้ น ทางมี มู ล ค่ า เกื อ บ 800,000 ล้านดอลลาร์สหรัฐฯ (ราว 27.5 ล้านล้านบาท) ในช่วงสามไตรมาสแรกของปีนี้ หรือเพิ่มขึ้นถึง 15% จากปีกอ่ นหน้า โดยประเทศไทยก็ได้รเิ ริม่ โครงการระเบียง เศรษฐกิจภาคตะวันออก หรือ EEC เพื่อเชื่อมต่อกับ นโยบาย “หนึ่งแถบหนึ่งเส้นทาง” ของสาธารณรัฐ ประชาชนจีน ในโลกยุคใหม่ นโยบายหลักประเทศต่างๆ ไม่เพียง แต่สง่ ผลต่อการเมือง การค้า และเศรษฐกิจ แต่ยงั ส่งผล ต่อองค์ความรู้อย่างมีนัยส�ำคัญ การเชื่อมโยงความรู้ ในศาสตร์ต่างๆ จะมีความส�ำคัญไม่แพ้การ “รู้กระจ่าง แต่อย่างเดียว” กองบรรณาธิการวารสารปัญญาภิวัฒน์ จึงได้รเิ ริม่ จัดท�ำวารสารวิชาการฉบับภาษาจีนและภาษา อังกฤษขึ้น เพื่อเป็นส่วนหนึ่งในการเชื่อมโยงความรู้ ข้ามพรมแดน ซึ่งวารสารฉบับนี้มีบทความที่น่าสนใจ หลายเรือ่ ง ทัง้ เรือ่ งการพัฒนาธุรกิจร้านขายของทีร่ ะลึก

ส�ำหรับนักท่องเที่ยวต่างชาติ การปฏิรูปรัฐวิสาหกิจ ของสาธารณรัฐประชาชนจีน การเปรียบเทียบการศึกษา ในโรงเรี ย นของสาธารณรั ฐ ประชาชนจี น และไทย เทคโนโลยีของแอปพลิเคชัน่ WECHAT โปรแกรมสนทนา ออนไลน์ ซึ่งมีผู้ใช้สูงที่สุดในสาธารณรัฐประชาชนจีน รวมทัง้ บทความเกีย่ วกับปรัชญาโบราณในคัมภีร์ “อีจ้ งิ ” เป็นต้น วารสารปัญญาภิวัฒน์ฉบับ Supplementary ได้ ด�ำเนินการมาเป็นปีที่ 3 แล้ว และตั้งแต่ปีนี้ได้ยกระดับ โดยแยกเป็นวารสาร 2 เล่ม คือ วารสาร International Scientific Journal of Engineering and Technology เพือ่ เผยแพร่ผลงานวิชาการด้านวิทยาศาสตร์และเทคโนโลยี ในภาษาอังกฤษ และวารสาร Chinese Journal of Social Science and Management เพื่อเผยแพร่ ผลงานด้านมนุษยศาสตร์และสังคมศาสตร์ในภาษาจีน วารสารทั้ง 2 เล่มนี้จะสืบสานภารกิจการเป็นวารสาร วิชาการ และเพิ่มความเป็นสากลเพื่อเชื่อมโยงความรู้ ให้เท่าทันโลกยิ่งขึ้น ผู้สนใจสามารถติดตามได้ที่เว็บไซต์ journal.pim.ac.th บรรณาธิการ รองศาสตราจารย์ ดร.ทิพย์พาพร มหาสินไพศาล tippapornmah@pim.ac.th

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Panyapiwat Journal Vol.9 Supplementary Issue December 2017

THE DETERMINANTS OF SOUVENIR SHOPPING SATISFACTION OF INTERNATIONAL TOURISTS ปัจจัยที่มีผลต่อความพึงพอใจในการซื้อของที่ระลึกของนักท่องเที่ยวต่างชาติ Chanin Yoopetch College of Management, Mahidol University

Abstract

The aim of this research is to identify the factors affecting the souvenir shopping satisfaction of international tourists in Thailand. Thailand has attracted visitors from around the world and with the greater demand for souvenirs that the tourists can select and purchase for their own consumptions or for others. Data were collected by survey questionnaires for international tourists in Thailand. The results showed that perceived quality, cultural attribute, price fairness, store perception and shopping enjoyment had the positive influence on souvenir shopping satisfaction, respectively. Practical implications and directions for future research were also provided. Keywords: Souvenir Shopping Satisfaction, International Tourists, Thailand

บทคัดย่อ

วัตถุประสงค์ของการวิจัยนี้คือ เพื่อให้สามารถระบุถึงปัจจัยที่มีผลกระทบต่อความพึงพอใจในการเลือกซื้อ ของที่ระลึกของนักท่องเที่ยวชาวต่างชาติในประเทศไทย ประเทศไทยได้ดึงดูดนักท่องเที่ยวจากทั่วโลกและเมื่อความ ต้องการในการซือ้ ของทีร่ ะลึกของนักท่องเทีย่ วมีมากขึน้ ซึง่ นักท่องเทีย่ วสามารถเลือกซือ้ เพือ่ น�ำไปใช้เองหรือเพือ่ เป็น ของฝาก ข้อมูลในการศึกษานีม้ าจากแบบสอบถามส�ำรวจจากนักท่องเทีย่ วชาวต่างชาติในประเทศไทย ผลจากการศึกษา พบว่า ปัจจัยดังนีค้ อื การรับรูค้ ณ ุ ภาพของสินค้า องค์ประกอบทางด้านวัฒนธรรม ความเป็นธรรมของราคา ความคิดเห็น เกี่ยวกับร้านค้า และความสนุกจากการเลือกซื้อมีผลเชิงบวกต่อความพึงพอใจในการเลือกซื้อของที่ระลึกเรียงล� ำดับ จากมากไปหาน้อย รายงานวิจยั นีย้ งั ได้แสดงถึงแนวทางในการน�ำผลการศึกษาไปใช้เพือ่ การปฏิบตั ใิ นทางธุรกิจและได้ มีการเสนอแนะแนวทางการท�ำงานวิจัยในอนาคตด้วย ค�ำส�ำคัญ: ความพึงพอใจในการเลือกซื้อของที่ระลึก นักท่องเที่ยวต่างชาติ ประเทศไทย

Corresponding Author E-mail: chaninyoo@gmail.com

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

Introduction

Tourism has great impacts on economic developments in many aspects. Tourists use several services before arriving at the destination and they purchase many different products along their trips, ranging from food, beverage, and clothes to souvenir. In all the activities of tourists, shopping is one of the important parts of tourism experiences (Yu & Littrell, 2005). As Thailand is known as one of the leading destinations in Asia, there are more than 29 million visitors, traveling to Thailand in 2015. Obviously, the tourism expenditures contributed directly to Thai economy. With several campaigns supporting greater numbers of international tourists to increase their spending, including value-added tax (VAT) refund for tourists together with many other promotions at the major department stores and shops, participating in shopping promotion. The goal is clear and simple, that is to increase the spending of the international tourists on products and services. Turner & Reisinger (2001) suggested that shopping is an important leisure and tourist activity and contributes around two-third of visitor expenditure in a certain destination. Souvenir is one of the main products aiming to attract the tourists to purchase and there are many places for the tourists, from arrival to departure, to explore and to decide buying some products of their choice. This study attempts to investigate the factors affecting souvenir shopping satisfaction to understand the roles of important factors and the results of the study are expected to help providing

guidelines for tourism businesses and other related organizations to improve their practices to better match the satisfaction of the tourists, which are their major customers. Souvenir shopping can be useful in enhancing tourist experience for any tourism destination. Kong & Chang (2012) found that souvenir shopping is an essential part to enrich the tourist overall experience when the tourists visited Macau for casino tourism. In addition, limited attention was paid into exploring the importance of souvenir shopping in the marketing literature (Oviedo-García et al., 2014; Kong & Chang, 2012).

Research Objective

The aim of the current study is to identify the factors affecting souvenir shopping satisfaction and therefore practical contributions can be provided to support the tourism businesses.

Literature Review

In this section, key terms are explained and hypotheses are provided for further data analysis.

Souvenir Shopping Satisfaction

When purchasing the souvenir, tourists evaluated their choice and reflected the level of satisfaction. Satisfaction is an indicator for overall results of how the customers realized their decision of purchasing or consuming the products or services. In addition, satisfaction can lead to customer loyalty and long-term customer relationship management. In the area of shopping research, shopping satisfaction is one of the most investigated factors and is

ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

used as the ultimate measure of customer’s perception about the products and services. LeHew & Wesley (2007) and Eroglu, Machleit & Barr (2005) studied tourist’s shopping satisfaction in the shopping malls and found that there are many levels of satisfaction among different tourists. Turner & Reisinger (2001) shopping satisfaction of tourists can show the overall shopping experience at the destination. Shopping satisfaction is appropriate to measure the overall evaluation of the tourists towards their shopping experience. According to Oviedo-García et al. (2014), souvenir shopping satisfaction was composed of four components, including internal attraction, service differentiation, service provision and external attraction. In this current study, shopping satisfaction is the dependent variable.

justifiably or not. In addition, consumers can identify the fairness of price on comparative assessment. Hence in the process of price fairness, it implies that the consumers will have to consider overall price aspects of the product and at the same time comparing such products with other similar products (e.g. Bolton, Warlop & Alba, 2003). Price fairness has been one of the conditions to evaluate the customer satisfaction on the products (Bei & Chiao, 2001). In addition, the perception of price fairness determined the satisfaction level of the customer on how they evaluate the products. (Herrmann et al., 2007).

Price Fairness

Product quality is crucial for customer decision to buy. In the aspect of souvenir shopping, the tourists may have short period of time to explore the products and then have to make the decision based on some conditions. However, tourists have to their best judgements in the store to evaluate the product quality. Tourists explore the materials and certification symbols to help them buy the souvenirs, as well as durability of the products. Fornell et al. (1996) noted that perceived quality is an important determinant of overall customer satisfaction in marketing literature research. Beneke et al. (2013) identified that perceived product quality has an important impact on consumer decision process of willingness to buy

Price is a basic factor on the decision making of customers to buy the product. In addition, the consumers can use price to evaluate the product in terms of value for money (Collins et al., 2014). As a customer looks for the right product, price fairness is critical to their decision to purchase. In the context of souvenirs, tourists who may not be familiar with the products or general prices of the local product can have a concern regarding the fairness of price of souvenir, targeting tourists. According to Xia, Monroe & Cox (2004), price fairness is referred to an evaluation of customer regarding whether the price of product or service is set reasonably, acceptably and

Hypothesis 1: Price fairness has positive influence on shopping satisfaction.

Perceived Product Quality

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

the product. Turner & Reisinger (2001) noted that product attributes and quality played important roles on the shopping satisfaction. Jang & Namkung (2009) perceived quality is vital for overall customer evaluation of the products. From the empirical research, Bei & Chiao (2001) and Tsiotsou (2006) showed that perceived quality had a direct effect on overall satisfaction and on purchase intentions. Hypothesis 2: Perceived quality has positive influence on shopping satisfaction Cultural Attribute According to Seva & Helander (2009) and Fang & Rau (2003), culture has an impact on product assessment in customer decision process. In the buying process of consumers, cultural recognition and cultural elements can be used a part of product development. In the context of souvenir, culture usually is included in the products, such as symbols of the destination and a drawing representing the way of life of the local people. Furthermore, Dekimpe, Parker & Sarvary (2000) explained that cultural elements can be found in many products, including digital telecommunication, T-shirts, and souvenirs. Moon & Song (2015) stated that cultural elements are attractive for international retailing to attract foreign tourists to purchase the local products, including souvenir. Moalosi, Popovic & Hicklink-Hudson (2010) proposed that culture is considered one of the main elements of product development and is used to attract the customers to buy

the products. Moreover, Gagliardi (2001) found that cultural element has a direct impact on customer satisfaction. Hypothesis 3: Cultural Attribute has positive influence on shopping satisfaction

Store Perception

Store perception can be defined as the layout, design, schemes and image of the store that the customers can perceive. The concept of store perception can be referred to in many contexts, including physical store and online store. In addition, store perception can provide the overall image of the store and reflect the store environment in both tangible and intangible aspects. Based on Jacoby (2002), store perception represents a combination of interacting components of all characteristics related to the store. Donovan & Rossiter (1982) found that consumers’ approach behaviors such as returning to the store, spending money, time spent browsing, and exploration of the store were influenced by their perceptions of the retail store environment. Collins-Dodd & Lindley (2003) noted that many dimensions of store perception have to reflect the several conditions, including variety of products and pleasant atmosphere. According to the work of Schlosser (1998), for hedonic products, such as gifts and jewelry, store atmosphere had an effect on the way that customer perceived the product quality of the store. In addition, attractive and appealing stores

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have greater impact on customer perception and their decision (Pantano & Servidio, 2012; Dennis et al., 2010; Kim, Fiore & Lee, 2007). The way that the customers perceive the store may result in the change in perceptions and behaviors of customers (Dijksterhuis et al., 2005). Therefore, store perception acted as the stimulus for customer shopping attitude and actions. LeHew & Wesley (2007) identified that store environments had influence on the satisfaction level of the tourists. Hypothesis 4: Store perception has positive influence on shopping satisfaction

Shopping Enjoyment

Most customers will agree that one of the reasons why they love shopping because it is fun. A number of empirical research has confirmed this dimension of shopping (Kim, Fiore & Lee, 2007). However, Wong et al. (2012) noted that few research investigations have been done to improve the understandings about shopping enjoyment in greater perspectives. Wong et al. (2012) implied also that shopping enjoyment can be explained as a personality trait of a customer who assesses shopping trip with greater pleasure and enjoyable qualities. Shephard, Kinley & Josiam (2014) stressed the importance of shopping enjoyment in the retailing environment and suggested that

shopping enjoyment can be defined as the experience of customers regarding amusement, fun, entertainment, and other stimulants occurring due to shopping activities. Heitz-Spahn (2013) implied that shopping enjoyment may come from many related activities, such as cross-channel shopping, such as online shopping and shopping at the store. Hypothesis 5: Shopping enjoyment has positive influence on souvenir shopping satisfaction

Research Method

The data were collected via questionnaires. Samples of this study were international tourists visiting metropolitan areas in Bangkok and Bangkok International Airport. The international tourists were asked to respond to self-administered questionnaires. Screening question about the experience of buying souvenir was applied to ensure that the all respondents had bought souvenir for their trip. The questionnaires were developed with the scale from 1 (strongly disagreed) to 7 (strongly agreed). From the reliability test, all factors showed adequate Cronbach’s alpha, which is greater than 0.8, indicating that the factors used in this research were highly reliable.

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Table 1 Reliability Analysis Key terms Souvenir Shopping satisfaction

Questions Cronbach’s alpha 1. I am pleased with the outcome of my shopping. 0.89 2. I am happy with the outcome of my shopping. 3. I am contented with the outcome of my shopping. 4. Overall, I am satisfied with the outcome of my shopping. 1. The price of souvenir is reasonable. 0.89 Price fairness 2. The price of souvenir is acceptable. 3. The price that I pay for this souvenir is appropriate, comparing with similar products. 4. The price of the souvenir is justifiable. 1. The materials of the souvenir are reliable. 0.81 Perceived Quality 2. The souvenir is durable. 3. The souvenir has a quality certification. Cultural Attribute 1. The souvenir represented local arts. 0.85 2. The souvenir showed the identity of the destination. 3. The souvenir has symbol or signs to indicate local history. 4. The souvenir represented the shared value of local people. 5. The souvenir reminds me of historical or cultural dimensions of the destinations. 1. The souvenir store was accessible. 0.82 Store perception 2. The store is attractive. 3. The store is appealing. 4. The staff of the souvenir store are helpful. 5. The store has a variety of souvenir. 6. The souvenir store arranges souvenirs in appropriate categories. 0.83 Shopping enjoyment 1. Shopping is fun. 2. Shopping is enjoyable. 3. Shopping is a leisure activity.

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Results

From a targeted 400 samples, a total of 305 respondents were completed and usable for further data analysis. Most respondents were Asian (60%), while 30 percent were European and the rest were others. The majority of respondents earned Bachelor’s degree (80%), 11% completing Master’s degree or higher. Sixty-five percent of respondents had yearly

income more than USD 1,500 per month. The remaining respondents reported income less than USD 1,500 per month. For the souvenir, about 60 percent of the respondents bought products for others and 40 percent purchased souvenir for themselves. There were many types of souvenir purchased by the international tourists and the main products were key chains, clothes, local products, snacks and others.

Table 2 Descriptive Statistics Table Descriptive Statistics Factors Mean Std. Deviation Souvenir Shopping Satisfaction 4.65 1.155 Price Fairness 5.56 1.163 Perceived Quality 5.20 1.045 Cultural Attribute 5.05 .976 Store Perception 4.45 1.138 Shopping Enjoyment 4.93 1.038 From Table 2 of descriptive statistics, price fairness had the highest mean score (mean = 5.56) from the 7-point Likert scale, followed by perceived quality (mean = 5.20) and cultural attribute with mean score of 5.50, respectively. The lowest mean score was store perception (mean = 4.45). Based on the results, it was obvious that the international tourists found that price fairness for shopping for souvenir products in Thailand was highly important. In

N 305 305 305 305 305 305

Ranks 5 1 2 3 6 4

addition, as perceived quality came as the second most important factor, therefore clearly the tourists not only expected that souvenirs to be fairly priced, but they also concerned about the perceived quality of the product. On the contrary, store perception had the lowest mean score, representing that when the tourists shopped for the souvenir, they did not look at the importance in terms of store accessibility or the friendliness of the store staff.

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Table 3 Results of Multiple Regression Model Factors (Constant) Perceived Quality Price Fairness Cultural Attribute Shopping Enjoyment Store Perception

Standardized Coefficients (Beta) .629 .198 .221 .132 .145

Sig.

-.409 14.087 4.872 5.331 3.372 3.360

.683 .000 .000 .000 .001 .001

Note: DV = souvenir shopping satisfaction The output from regression analysis also demonstrated ANOVA with F-value of 81.533 and the p-value of the model was significant (Sig. = 0.00), showing that the model is appropriate for further data analysis (table 4). The R-square was 0.577, meaning that almost 60 percent of variation in souvenir shopping satisfaction can be explained by five independent variables. In terms of autocorrelation test, Durbin-Watson was 2.064, indicating no autocorrelation problem. Additionally, the highest VIF was 1.410, which is much less than the cutoff point of 10, showing that there is no multicollinearity among the variables. The multiple regression model was developed relating souvenir shopping satisfaction with five independent variables shown in the table 3. Based on the results, all five independent variables had the positive influence on souvenir shopping satisfaction. Perceived quality showed the highest influence on the dependent variable,

followed by cultural attribute, price fairness, status consumption and shopping enjoyment, respectively. The results of the regression model were provided in Table5, showing the following regression model. Souvenir shopping satisfaction = .629 Perceived Quality + .198 Price Fairness + .221 Cultural Attribute + .132 Shopping Enjoyment + .145 Store Perception

Discussions

According to the results from multiple regression analysis, the section discussed the results from empirical study with the past literature. Firstly, perceived quality indicated the highest influence on souvenir shopping satisfaction. The result was supported by Turner & Reisinger (2001) and Jang & Namkung (2009). During shopping activities, tourists spent their time

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browsing and selecting the souvenir, from regression analysis, store perception is statistically influential to souvenir shopping satisfaction. LeHew & Wesley (2007) and Pantano & Servidio (2012) also suggested similar results. A great number of souvenir contains cultural attribute, including national symbol, local animal and local handicraft. The results provided that the cultural attribute contributed to greater satisfaction of tourists. Gagliardi (2001) and Moon & Song (2015) noted that cultural element has a direct impact on customer satisfaction. In the current study, it is found that cultural attribute of souvenir had a positive influence

towards souvenir shopping satisfaction. In many shopping literature one of the main characteristics of shopping is that it is fun and enjoyable. Shopping enjoyment is shown to have statistically and positively influential on souvenir shopping satisfaction. Further, the test results were supported by Shephard, Kinley & Josiam (2014) and Heitz-Spahn (2013). Similarly, shopping enjoyment is positively influential to shopping satisfaction (Wong et al., 2012). The table 4 below summarized the proposed hypotheses and the test results.

Table 4 Results of Hypothesis Testing Proposed Hypothesis Hypothesis 1: Price fairness has positive influence on shopping satisfaction. Hypothesis 2: Perceived quality has positive influence on shopping satisfaction Hypothesis 3: Cultural Attribute has positive influence on shopping satisfaction Hypothesis 4: Store perception has positive influence on shopping satisfaction Hypothesis 5: Shopping enjoyment has positive influence on souvenir shopping satisfaction

Conclusion and Recommendations

Souvenir shopping is uniquely different from other types of shopping. Tourists and travellers are the target customers of souvenir stores around the world. This clearly provides great opportunity for souvenir stores to increase their revenues from the tourist segment. In terms of the implications from these findings, souvenir store managers should pay

Results Supported. Supported. Supported. Supported. Supported.

more attention in developing strategies to meet the needs of the tourist segment. This research was built on factors affecting souvenir shopping satisfaction. The research makes critical points for souvenir sellers to improve on the approach to the products. Since perceived quality showed the highest influence on shopping satisfaction, souvenir sellers should highlight on the quality standard of

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their products. Presenting certifications of quality standard or accreditation can also provide useful information about the product quality for the consideration of the buyers. For local products, shop owners may provide the history of the products to inform the tourists about the development and uniqueness of the products. Regarding the effect of cultural attribute on souvenir shopping satisfaction, this characteristic of souvenir is highly well-known to tourists for buying as a memento for their visits. For this reason, souvenir shops may consider offering souvenirs that represent local culture so that the tourists can browse for different local products suitable for their needs. In addition, one of the most critical factors is price fairness. Tourists might spend time searching for the right souvenir and at the same time they compare prices of the same products across different shops. The shops should display information about prices clearly or ensure that the prices are suitable for each type of souvenir. The last two influential factors are store perception and shopping enjoyments. About store perception, shop owners should pay attention to store atmosphere, including lighting, shelving and product displays. Additionally, shopping enjoyment may be increased by providing some sale promotion or having friendly staff to support

the customers. Store perception had a direct influence on satisfaction of the tourists. LeHew & Wesley (2007) confirmed that store managers, expecting to attract tourists should decorate the stores differently from the store type to attract the resident shoppers, because tourists need to be attracted by interesting store environments. The store managers should pay attention about the types of store characteristics that international tourists are interested in. In addition, the store managers should try to improve the store environments to enhance the satisfaction of the tourists, such as playing Thai traditional songs in the store and decorating the stores with Thai traditional style. Lastly, regarding directions for future research, what remains to be tested in the realm of souvenir study is categorized into many variables. First, the researchers may explore the long-term relationship among the factors in the study or further investigate the impacts of influential factors on tourist loyalty intention, because it is important for the tourists to provide the word-of-mouth evidence for their friends and family or to comment in the social media so that other potential tourists can also support the stores and purchase the souvenir in the future.

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References

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Tsiotsou, R. (2006). The role of perceived product quality and overall satisfaction on purchase intentions. International journal of consumer studies, 30(2), 207-217. Turner, L. W. & Reisinger, Y. (2001). Shopping satisfaction for domestic tourists. Journal of Retailing and Consumer Services, 8(1), 15-27. Wong, Y. T., Osman, S., Jamaluddin, A. & Yin-Fah, B. C. (2012). Shopping motives, store attributes and shopping enjoyment among Malaysian youth. Journal of retailing and consumer services, 19(2), 240-248. Xia, L., Monroe, K. B. & Cox, J. L. (2004). The price is unfair! A conceptual framework of price fairness perceptions. Journal of marketing, 68(4), 1-15. Yu, H. & Littrell, M. A. (2005). Tourists’ shopping orientations for handcrafts: what are key influences? Journal of Travel & Tourism Marketing, 18(4), 1-19.

Name and Surname: Chanin Yoopetch Highest Education: Ph.D. (Development Administration), National Institute of Development Administration University or Agency: College of Management, Mahidol University Field of Expertise: Consumer Behavior, Behavioral Finance Address: 69 Vipawadee Rangsit Rd., Samsennai, Phayathai, Bangkok 10400

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FACTORS AFFECTING HUMAN RESOURCE DIVERSITY ORIENTATION STRATEGY: AN EMPIRICAL EVIDENCE FROM ELECTRONIC BUSINESSES IN THAILAND ปัจจัยที่ส่งผลกระทบต่อกลยุทธ์การมุ่งเน้นความหลากหลายของทรัพยากรมนุษย์: การศึกษาเชิงประจักษ์จากธุรกิจอิเล็กทรอนิกส์ในประเทศไทย Jirayu Rattanaborworn1 Phaprukbaramee Ussahawanitchakit2 and Karun Pratoom3 1,2,3Mahasarakham Business School, Mahasarakham University

Abstract

The phenomenon of globalization leads to an increase in workforce diversity in many businesses. Human resource diversity orientation strategy plays a pivotal role in determining business success. Therefore, the purpose of this research was to investigate the factors affecting human resource diversity orientation strategy. The internal environment contained long-term business vision, human capital orientation and organizational experience value. The external environment consisted of technological uncertainty and environmental pressure that were proposed as antecedents. Data were collected from 137 electronic businesses in Thailand. The hypotheses were tested using the multiple regression analysis. The findings indicate that technological uncertainty, organizational experience value, environmental pressure and long-term business vision had a positive influence on human resource diversity orientation strategy. This research provides a better understanding of diversity strategy for practitioners and researchers under the notion of human resource management. Additionally, the findings suggested possible directions for businesses to increase an effective management towards diversity. Keywords: Human Resource Diversity Orientation Strategy, Electronic businesses

Corresponding Author E-mail: jirayu.ra@gamil.com

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บทคัดย่อ

จากปรากฏการณ์กระแสของโลกาภิวตั น์นำ� ไปสูก่ ารเพิม่ ขึน้ ในความหลากหลายของแรงงานของธุรกิจ กลยุทธ์ การมุ่งเน้นความหลากหลายของทรัพยากรมนุษย์จึงมีบทบาทส�ำคัญต่อความส�ำเร็จของธุรกิจ ดังนั้น การศึกษานี้ มีวตั ถุประสงค์ในการศึกษาปัจจัยทีส่ ง่ ผลกระทบต่อกลยุทธ์การมุง่ เน้นความหลากหลายของทรัพยากรมนุษย์ โดยปัจจัย ที่ส่งผลกระทบ ได้แก่ สภาพแวดล้อมภายใน ประกอบไปด้วยวิสัยทัศน์ระยะยาวของธุรกิจ การมุ่งเน้นทุนมนุษย์ และคุณค่าของประสบการณ์ธุรกิจ และสภาพแวดล้อมภายนอก ประกอบไปด้วยความไม่แน่นอนของเทคโนโลยีและ ความกดดันของสภาพแวดล้อม โดยเก็บข้อมูลจากธุรกิจอิเล็กทรอนิกส์ในประเทศไทยจ�ำนวน 137 แห่ง ผลการทดสอบ สมมติฐานโดยใช้การวิเคราะห์ถดถอยพหุพบว่า ความไม่แน่นอนของเทคโนโลยี คุณค่าของประสบการณ์ธรุ กิจ ความกดดัน ของสภาพแวดล้อม และวิสัยทัศน์ระยะยาวของธุรกิจมีผลกระทบเชิงบวกต่อกลยุทธ์การมุ่งเน้นความหลากหลายของ ทรัพยากรมนุษย์ ผลการศึกษาจะท�ำให้เกิดความเข้าใจเพิม่ มากขึน้ ในเรือ่ งกลยุทธ์ความหลากหลายของทรัพยากรมนุษย์ ต่อผูบ้ ริหารและนักวิจยั และเป็นแนวทางในการเพิม่ ประสิทธิภาพในการจัดการความหลากหลายของทรัพยากรมนุษย์ ต่อไป ค�ำส�ำคัญ: กลยุทธ์การมุ่งเน้นความหลากหลายของทรัพยากรมนุษย์ ธุรกิจอิเล็กทรอนิกส์

Introduction

The rapid changes due to globalization have an impact on economy, communication, and information technology. Therefore, it is important that a business develops itself in order to obtain an effective operation to fight against its competitors (Tieng et al., 2016). Such changes bring about extensive labor mobility and human resource diversity in an organization. Therefore, human resource is then identified differently in knowledge, ability and skills (Senichev, 2013). An organization with a high level of flexibility will be able to cope with challenges related to its business milestone. Human resource functions as a key factor that leads an organization to move forward and to deal with uncertainty (Yang & Konrad, 2011). Moreover, working within a workplace, people cannot avoid different types of reaction. Therefore, diversity management has become

a key strategy which leads an organization to obtain success (D’ Netto et al., 2014). Human resource diversity orientation strategy is a tool used to deal with changes of labor by developing employee’s competency, supporting knowledge exchange and encouraging teamwork. It not only involves managing people for operation of a firm following its strategic management plans, but it also functions as crucial factor that generates the organization’s success under uncertain and constantly changing environment (Agars & Kottke, 2005). Contingency theory suggests that there is no best way to manage an organization. Each management strategy is suitable for different situations. The efficiency of an organization depends on its ability to adapt itself to fit the changing situation (Sauser, Reilly & Shenhar, 2009). Thus, an organization needs to study both internal and external environments that

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have an effect on it. Chances and obstacles need to be investigated so as to determine what strategies should be used to gain a competitive advantage under uncertain situations. Therefore, this study on internal environment factors namely long-term business vision, human capital orientation and organizational experience value, and external environment factors pertaining to technological uncertainty and environmental pressure was investigated because it could affect diversity strategy formulation. The purpose of this research was to highlight the factors affecting human resource diversity orientation strategy. Two main reasons why selecting electronic business in Thailand were its fast growth rate and its high employment rate. Additionally, it is a kind of business that needs

a diversity of skillful labor. Diversity of skillful and talented labor is the most important factor that leads an organization to obtain effectiveness (Rasiah, 2003).

Research Objective

The main objective of this research was to investigate the relationship between human resource diversity orientation strategy and its antecedents of the electronic businesses in Thailand.

Literature review

Based on the previous review, the conceptual model was proposed as presented in Figure 1. All hypotheses were tested to be positive.

Figure 1 Conceptual Model ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

Human Resource Diversity Orientation Strategy (HRDOS)

Human resource diversity strategy is a critical human resource management strategy which responds to the changing labor. Human resource diversity strategy deals specifically with the firms operation, long-term planning, strategic planning, and survival in environments with uncertain and turbulent changes (Agars & Kottke, 2005). This research defines human resource diversity orientation strategy as the potential of a firm in managing the difference of employees. It involves the facets of capability, knowledge and skill to integrate these competencies to be the potential of a firm through learning process, participation in organizations, and development of communication among several groups within an organization for the creation of a competitive advantage. There are five components relating to human resource diversity orientation strategy including knowledge exchange orientation, employee competency integration, idea-challenging encouragement, intra-organizational learning capability, and teamwork value enhancement. The objectives of human resource diversity orientation strategy are identified into development in acknowledging capability, acceptance, and value diversity in workplace. Moreover, this objective includes perceiving multiculturalism through organizational intervention for quality, modification of organizational culture, and leadership practices (Soni, 2000). Furthermore, human resource diversity orientation strategy deals with the allocation of the values

of cultural differences towards enhancing organizational and economic performance (Glastra, Schedler & Kats, 2002).

Antecedents of Human Resource Diversity Orientation Strategy

Long-Term Business Vision (LBV) Long-term business vision refers to the direction of a long-term business approach to create the way and the method of achievement, effective operation, an implementation, and a consistency with future trends (Revilla & Rodríguez, 2011). Previous studies have found that a long-term vision is the key point of a firm to reach a competitive position in the future. It leads to strategy formulation and organizational implementation. In addition, a long-term vision pertaining to diverse workforce is able to foster business to gain future success by generating a strategy that fits with a clear direction and goals. It also determines and describes what actions are possible and preferable for the business. With this capability, businesses can increase their workforce condition in order to harmonize and handle changes for both of internal and external environments (Calantone, Cavusgil & Zhao, 2002). To be summarized, this research proposes the following hypothesis: H1: LBV has a positive effect on human resource diversity orientation strategy. Human Capital Orientation (HCO) Human capital orientation is defined under the umbrella of the organizational approach. It emphasizes the importance of human

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capital as a valuable asset through knowledge, capability, and skill or expertise, which aligns to the organization’s mission and strategic goal (Ployhart & Moliterno, 2011). The prior studies have suggested that in firms, human capital is the fundamental source of productivity and competitive advantage. Furthermore, it is a source of strategic renewal whether it is from brainstorming and developing or improving personal skills (Bontis & Fitz-Enz, 2002). As a result, this research proposes the following hypothesis: H2: HCO has a positive effect on human resource diversity orientation strategy. Organizational Experience Value (OEV) Organizational experience value refers to the collective expertise, knowledge, and experience from the past. It provides more values of operation and integrate with the present capability of a firm to reach sustainability (Kuckertz & Wagner, 2010). Experience is necessary for learning development and decision making. The professional in business operation arises from expertise, knowledge from past experience, a variety of experience, and a wide range of deep experience. Several firms need to continue to learn and use their experience to evaluate the internal and external environments that may affect their implementation (Kim & Miner, 2007). In brief, firm’s experience relates to a market context and the environment. It can be used to adapt a new strategic creation towards the business success (Cho & Padmanabhan, 2005). Thus, the hypothesis is posited as:

H3: OEV has a positive effect on human resource diversity orientation strategy. Technological Uncertainty (TU) Technological uncertainty is defined as the changes of technology that reveal hard prediction of the future results. It relates to the turbulence and dynamics of the surrounding environment (Stock & Tatikonda, 2008). There are a number of studies about the perception of uncertain technology for estimating the environment. Businesses need data for making strategic decisions, and keeping this data in developing technology. It plays a crucial role in business competition (SubbaNarasimha, Ahmad & Mallya, 2003). Additionally, a competitive business obtains new ideas to select alternative technology from customers’ ideas and recommendations. It affects cultural development and firm process. Consequently, a business has to continue following the technology changes in the growth of its technology enterprise compared to the external organization. Besides, a firm needs to adopt new types of work process pertaining to improving new technologies and solving technical problems (Bresnahan, Erik & Lorin, 2002). Thus, the hypothesis is posited as: H4: TU has a positive effect on human resource diversity orientation strategy. Environmental Pressure (EP) Environmental pressure refers to the changing environment that affects business operation. It causes influences from customers, competitors, market and consumer styles. These are the driving forces for business which lead to the change of operational formats following the

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

environmental changes (González-Benito & González-Benito, 2010). The previous literature has revealed that the high competition of an industry will be under pressure caused by environment. It results mainly in the implementation of operations from customers, and competitors. Additionally, the complexity of environment affects the diversity of a group decision-making to formulate any strategies (Benschop, 2001). Hence, the hypothesis is posited as follows: H5: EP has a positive effect on human resource diversity orientation strategy.

Research Methodology

A total number of 773 electronic businesses in Thailand were targeted as the population of this study. The data were obtained from the online database of the Department of International Trade Promotion, Ministry of Commerce, Thailand, accessed on February 14, 2016. They were chosen to participate in this study because electronic businesses were important for Thai economy and domestic employment. The electronic business in Thailand represents a large amount of the country’s foreign direct investment (FDI), one of the most interesting sectors for foreign investors. Moreover, these businesses were categorized as both fast-growing and concentrated workforce. More importantly, it is necessary for business to obtain diversity skill development (Rasiah, 2003). The key informants were the managing directors or managing partners. The data were gathered by mail questionnaire. Each variable

was measured by a five-point Likert scale, ranging from 1 (strongly disagree) to 5 (strongly agree). A total of 137 questionnaires were returned and usable. The response rate of this sample was approximately 20.33 percent. The non-response bias was examined. The t-test statistics was employed by comparing between early and late responses of the group mean by using the firm characteristics (Armstrong & Overton, 1977). The result revealed that there were no significant differences between two groups. Thus, it indicated that this research was without nonresponse bias problem. The factor loadings of each item of all variables were between 0.617 and 0.915 which indicated the acceptable construct validity. Moreover, Cronbach’s alpha coefficients of each item of all variables were between 0.715 and 0.952. It could be concluded that the internal consistency of the entire scale was existed (Nunnally & Bernstein, 1994). The multiple regression analysis was selected to examine the hypothesized relationships. The equation of relationships is presented as: HRDOS = α1 + β1LBV + β2HCO + β3OEV + β4TU + β5EU + β6FA + β7FS + ε1

Results and Discussion

Table 1 presents the descriptive statistic and correlation matrix of human resource diversity orientation strategy on its antecedents. All of these correlations are less than 0.80 (Hair et al., 2010). Consequently, it can be concluded that the multicollinearity is not problematic.

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Table 1 Descriptive Statistics and Correlation Matrix Variables Mean S.D. HRDOS LBV HCO OEV TU EP FA FS ***p

HRDOS 3.97 0.58 1 .571** .381*** .457*** .771*** .622*** .011 .097

LBV 4.19 0.58

HCO 3.72 0.74

OEV 3.96 0.59

TU 4.10 0.66

EP 4.15 0.65

1 .402*** .222*** .548*** .410*** .013 .045

1 .206*** .367*** .222*** .142 .061

1 .362*** .511*** -.068 .164

1 .579*** .018 .099

1 -.024 .092

< 0.01

The results of regression analysis of the relationships among human resource diversity orientation strategy and its antecedents are presented in Table 2. First, the analysis shows that long-term business vision has a positive influence on human resource diversity orientation strategy (β1 = 0.102, p < 0.05). The finding is consistent with Schermerhorn (2005) who mentions that long-term business vision is the future to generate or achieve improvement upon the present state of any affairs. Moreover, long-term business vision with particular reference to team direction, objectives and goals, leads to team effectiveness (Carmen, María de la Luz & Salustiano, 2006). In addition, long-term business vision of leaders guides and directs the creation of new ideas that help improve their work and lead to the formulation and implementation

of a strategy (Calantone, Cavusgil & Zhao, 2002). Thus, hypothesis 1 is supported. Second, human capital orientation has no significant influence on human resource diversity orientation strategy (β2 = 0.035, p > 0.10). It is consistent with the findings of Carpenter, Sanders & Gregersen (2001) which state that high quality human capital is one of the key factors that affects organizational performance. However, the electronic businesses do not emphasize the development of employee’s skill and expertise. Furthermore, employee’s competencies are not in accordance with the international standards (Sunthonkanokpong, Jitgarun & Chaokumnerd, 2011). From this reason, it is possible to post that the firm does not pay attention to the development of human resource. Human capital orientation does not play a significant role in

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

human resource diversity orientation strategy. Thus, hypothesis 2 is not supported. Third, organizational experience value has a positive influence on human resource diversity orientation strategy (β3 = 0.122, p < 0.05). It is consistent with Majocchi, Bacchiocchi & Mayrhofer (2005) who argue that experience can reduce uncertainty and increase credibility in a global market. Furthermore, it can increase knowledge from collective experience to create opportunities for both domestic and oversea markets. Then, it increases knowledge, information and

experience of business leading to formulation strategy (Kim & Miner, 2007). In addition, a business can apply experience in creating a network and a relationship to obtain credit and commitment. Additionally, the higher experience of a firm will increase high quality of an employee performance. It also responds to an increase in customer requirements. Therefore, an increased level of experience leads to value and effectiveness (Patanakul & Milosevic, 2008). Thus, hypothesis 3 is supported.

Table 2 Results of Regression Analysis Dependent Variable HRDOS Long-Term Business Vision (LBV: H1) 0.102** (0.049) Human Capital Orientation (HCO: H2) 0.035 (0.044) Organizational Experience Value (OEV: H3) 0.122** (0.047) Technological Uncertainty (TU: H4) 0.696*** (0.054) Environmental Pressure (EP: H5) 0.111** (0.053) Firm Age (FA) 0.052 (0.083) Firm Size (FS) -0.024 (0.083) Adjusted R2 0.790 Maximum VIF 1.904 ***p < 0.01, **p < 0.05, Beta coefficients with standard errors in parenthesis Independent Variables

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Fourth, technological uncertainty has a significant influence on human resource diversity orientation strategy (β4 = 0.696, p < 0.01). The result is consistent with Li (2012) who indicates that technological uncertainty causes effects of doing business. Therefore, it is beneficial for practitioners and entrepreneurs in understanding and guiding firms to adopt product development process, new ideas and new types of working process pertaining to improving training with new technology and teamwork to solve technical problems. Likewise, the businesses which perceive more technology uncertainty tend to utilize environmental scanning. Besides, the perceived uncertainty leads to an examination of a wider set of factors and a broader set of information sources such as information support which provides strategy implementation (Ngamkroeckjoti & Speece, 2008). Thus, hypothesis 4 is supported. Finally, environmental pressure has a positive influence on human resource diversity orientation strategy (β5 = 0.111, p < 0.05). It is consistent with Sharma (2000) who mentions that the environmental pressure is the factor affected from production environment change, competitor, technology, and market. Moreover, Mar FuentesFuentes, Albacete-Sáez & Lloréns-Montes (2004) state that leaders who perceive degrees and change uncertainty will make a decision to create a strategy that supports the dynamic environment. It leads them to come up with approaches in strategic creation for teamwork consistent with dynamic change. Likewise, firms provide a suitable approach that can be used

to change their business for getting a better performance consistent with the environmental context. Thus, hypothesis 5 is supported.

Contributions

This research provided an understanding of the relationships between human resource diversity orientation strategy and its antecedents. Moreover, it also described the theories associated with how an organization improved its appropriate strategy that fit between the internal and external environment. Additionally, the results provided some managerial implications for practitioners. Managing directors and executives can develop and improve their strategic alignment from both internal and external business environments. It is important to note that technological uncertainty was strongly related to human resource diversity orientation strategy. Due to high-tech industry, technological uncertainty increased the learning of a firm in applying technology that could generate sustainable competitiveness over its competitors. Thus, an organization should pay attention to and put emphasis on learning about technological uncertainty which can be adapted to suit work operation. Moreover, managing directors and executives would better understand how their firms could create strategy and encourage their firms to operate quickly and effectively.

Summary and Conclusion

The purpose of this research was to investigate the factors affecting human resource diversity

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

orientation strategy. The sample consisted of 137 electronic businesses in Thailand. The multiple regression analysis results showed that technological uncertainty, organizational experience value, environmental pressure and long-term business vision had a positive influence on human resource diversity orientation strategy. Therefore, further research should pay attention to other moderating variables to examine the relationships among organizational flexibility,

cultural change, and collaborative culture since they function as the alternative moderating variables of human resource diversity orientation strategy framework. In addition, a future study may consider a larger sector, different population, and a service sector. This is because a further investigation on the service sector may reveal a high level of diversity of workforce which enhances the generalizability of the study.

References

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Rasiah, R. (2003). Foreign ownership, technology and electronics exports from Malaysia and Thailand. Journal of Asian Economics, 14(5), 785-811. Revilla, E. & Rodríguez, B. (2011). Team vision in product development: How knowledge strategy matters. Technovation, 31(2), 118-127. Sauser, B. J., Reilly, R. R. & Shenhar, A. J. (2009). Why projects fail? How contingency theory can provide new Insights-A comparative analysis of NASA’s Mars Climate Orbiter loss. International Journal of Project Management, 27(7), 665-679. Schermerhorn, J. R. (2005). Management (8th ed.). John-Wiley & Sons. Senichev, V. (2013). Human resource diversity and performance within the frame of organizations, teams and individuals. Business: Theory and Practice/Verslas: Teorija ir Praktika, 14(4), 337-345. Sharma, S. (2000). Managerial interpretations and organizational context as predictors of corporate choice of environmental strategy. Academy of Management Journal, 43, 681-697. Soni, V. (2000). A twenty-first-century reception for diversity in the public sector: A case study. Public Administration Review, 60(5), 395-408. Stock, G. N. & Tatikonda, M. V. (2008). The joint influence of technology uncertainty and interorganizational interaction on external technology integration success. Journal of Operations Management, 26(1), 65-80. SubbaNarasimha, P. N., Ahmad, S. & Mallya, S. N. (2003). Technological knowledge and firm performance of pharmaceutical firms. Journal of Intellectual Capital, 4(1), 20-33. Sunthonkanokpong, W., Jitgarun, K. & Chaokumnerd, W. (2011). Competence development in the electronics industry in Thailand. Research & Practice in Human Resource Management, 19(1), 53. Tieng, K., Jeenanunta, C., Rittippant, N., Chongphaisal, P., Hamada, R. & Komolavanij, S. (2016). The Difference in Impacts of Supply Chain Capital Structures on Customer and Supplier Collaboration in Manufacturing Firms in Thailand. Panyapiwat Journal, 8(Supplementary Issue), 121-135. Yang, Y. & Konrad, A. M. (2011). Understanding diversity management practices: Implications of institutional theory and resource-based theory. Group & Organization Management, 36(1), 6-38.

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Name and Surname: Jirayu Rattanaborworn Highest Education: Ph.D. candidate at Mahasarakham Business School, Mahasarakham University University or Agency: Mahasarakham University Field of Expertise: Management Address: Mahasarakham Business School, Mahasarakham University Name and Surname: Phaprukbaramee Ussahawanitchakit Highest Education: Ph.D. Business Administration, Washington State University, USA University or Agency: Mahasarakham University Field of Expertise: Accounting Address: Mahasarakham Business School, Mahasarakham University Name and Surname: Karun Pratoom Highest Education: Ph.D. Applied Behavioral Science Research, Srinakarinwirot University University or Agency: Mahasarakham University Field of Expertise: Management Address: Mahasarakham Business School, Mahasarakham University

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

伦理型领导对员工建言行为的影响研究—基于建言氛围视角

STUDY OF THE EFFECTS OF ETHICAL LEADERSHIP ON EMPLOYEE VOICE BEHAVIOR: THE PERSPECTIVE OF VOICE CLIMATE 梁月俏1 叶龙2 Yueqiao Liang1 and Long

Ye2

1,2正大管理学院中国研究生院

1,2Chinese

Graduate School, Panyapiwat Institute of Management

摘要

近年来，学者们从不同的视角来探索伦理型领导如何影响员工的建言行为。本研究旨在从建言

氛围视角探索伦理型领导如何影响员工建言行为。采用问卷调查法，以广西9家企事业单位424名员工为样本，探讨建言氛围在伦理型领导与员工建言行为之间的作用。采用SPSS和AMOS统计软件对数据进行分析，回归分析结果表明，伦理型领导正向影响建言氛围和员工建言行为，建言氛围在伦理型领导与员工建言行为之间起中介效应。关键词: 员工建言行为, 伦理型领导, 建言氛围测量

Abstract

In recent years, researchers have studied the mechanism of ethical leadership’s effects on employee voice behavior from different perspectives. This research aimed at exploring how ethical leadership affects employee voice behavior from the perspective of voice climate. A structural questionnaire was employed as the research instrument for this study. Taking 424 employees from nine enterprises and public service institutions in Guangxi as samples, the study explored the mechanism of ethical leadership’s effects on employee voice behavior. SPSS and AMOS were used as the analytical instrument, and the multiple linear regression equation showed that ethical leadership positively affected voice climate and employee voice behavior, and voice climate played the mediating role between ethical leadership and employee voice behavior. Keywords: employee voice behavior, ethical leadership, voice climate Corresponding Author E-mail: liangyueqiao@sina.com

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28 前言

定的成果（Hames, 2012; Morrison, Wheeler-Smith

在现代组织中，了解员工如何看待与上司的

& Kamdar, 2011; Chen, 2015）。学者们对建言氛

沟通非常重要，因为组织需要员工参与建言，使

围的研究表明，支持性的建言氛围可以促进员工

组织得以持续进步，保持竞争优势。组织能够保

建言行为（Hames, 2012; Morrison, Wheeler-Smith

持竞争优势的方法之一就是鼓励员工提出改进程

& Kamdar, 2011; Chen, 2015）。

序、产品和服务的建议。员工建言行为研究是探

讨员工与上司之间沟通的方法。

响员工建言行为进行了有益的探索。本研究从建

近年来，随着组织公民行为、关系绩效等角

言氛围这一新的视角来探讨伦理型领导如何影响

色外行为研究的兴起，员工建言行为也得到国内

员工建言行为，是本研究的一个创新点，有利于

外学者的广泛关注。 LePine & Van Dyne （2001）

深化人们对伦理型领导与员工建言行为之间关系

认为建言行为是“为了改变现状而进行的建设性

的理论认识。

不同学者从不同的视角对伦理型领导如何影

的、变革导向的沟通行为”。建言旨在“解决组织中出现的实际问题”、 “推动组织变革与创新”、

文献综述

“提高组织效率”、 “完成团队任务”、 “改善组织

建言行为

现有的经营状况”、 “减少决策失误”等。建言行为

包括建设性地鼓励某事物发生的促进性行为

（1）建言行为的结构和性质（LePine & Van Dyne,

（promotive behavior）和挑战现状促使某事物消

1998; Liang, Farh, & Farh, 2012）。 LePine &

逝的抑制性行为（prohibitive behavior）（Van

Van Dyne （2001）认为建言行为是建设性的、变

Dyne， Cummings & Parks， 1995）。

革导向的沟通行为， Liang, Farh & Farh （2008）

员工建言行为受到个体因素、组织环境因素

认为员工建言行为包括促进性建言和抑制性建言

和领导者因素的影响。领导行为的影响研究是组

行为。（2）建言行为的影响因素以及影响机制。建

织行为学的一个热点问题。不同领导行为对员工

言行为的影响因素主要从三个方面入手：个体层

的态度、组织公民行为、绩效等产生不同的影响

面、组织环境层面和领导者层面。个体层面主要

（Detert & Burris, 2007; Duan & Huang， 2014；

集中于人格、态度、责任感、自我监控、认知风

Jing， 2015）。研究发现，伦理型领导积极影响员

格、个人目标取向等个体特质与建言行为之间的

工的组织承诺（Neubert et al., 2009）、工作满

关系（LePine & Van Dyne, 1998; Fuller, Marler

意度（Meng et al.， 2014）、员工建言行为等

& Hester, 2006; Duan & Huang， 2013）。影响员

（Walumbwa & Schaubroeck, 2009）。

工建言行为的组织氛围主要包括：团队构成特征、

Schneider (1975) 指出组织中存在不同的氛

组织氛围、组织认同、组织公正、组织支持感、组

围，如创新氛围、安全氛围等。借鉴于 Schneider

织自尊等（Morrison, Wheeler-Smith & Kamdar,

(1975) 对组织不同特定氛围的论述， Frazier

2011; Detert & Burris, 2007; Liang, Farh &

（2009）在她的博士论文中提出了 “建言氛围” 的

Farh, 2008; Walumbwa & Schaubroeck, 2009）。

构念。建言氛围概念的提出，给组织行为学打开

影响员工建言行为的领导行为主要包括：变革型领

一个新的研究视角，一些学者从建言氛围的不同

导、真实型领导、伦理型领导、权威领导、德行

层面来探索其维度以及测量方法，研究取得了一

领导、服务型领导、管理开放性、领导－成员交

目前对建言行为的研究主要分为三个方面：

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

换关系等（Detert & Burris, 2007; Duan &

国内对伦理型领导影响结果的研究大多采用

Huang， 2014; Jing， 2015）。不同学者从社会交换

根据西方文化情景开发的量表，使用以我国组织

视角如心理安全 (Detert & Burris, 2007)、组织

情境为基础开发的伦理型领导量表，研究伦理型

认同 (Liu, Zhu & Yang, 2010) 等，以及从资源保存

领导对员工建言行为影响的实证研究很少。

(conservation of resources) (Ng & Feldman, 2012) 等视角探讨员工建言行为的影响机制。（3）建言

建言氛围

行为对组织和个人的影响，目前的研究发现表明

建言行为对组织和个人均有积极促进作用（Ng &

发展，目前国内外对建言氛围的研究成果较少。

Feldman, 2012)。

建言氛围的构念是建言文献中一个比较新的

目前建言氛围研究取得的成果主要有：（1）建

言氛围结构与测量工具。建言氛围分为三个层面：伦理型领导

个人层面、团队层面以及组织层面。个人层面的

伦理型领导的概念由Enderle （1987）提出，

测量量表主要有两个，一个是改编自 Van Dyne &

旨在明确描述管理决策中的伦理问题，并规范了

LePine （1998） 6 个题项的建言行为量表 (Hames,

决策过程所参照的伦理原则。 Treviño, Hartman

2012)，另一个量表是由 Liang （2017）在质性研

& Brown (2000) 认为伦理型领导既是道德人，也

究的基础上开发的包含 12 个题项，三个维度的

是道德管理者。道德人是指领导者的个人特质，如

量表。团队层面的量表有单一维度的（Frazier,

诚实、值得信任、正直、领导者行为的伦理特性等

2009）、双维度的（Morrison, Wheeler-Smith &

(Treviño & Brown, 2005; Treviño, Brown &

Kamdar, 2011）和四维度的（Chen， 2015）。组织

Hartman, 2000)。道德管理者通过制定清晰的道德

层面的建言氛围的测量工具目前没有找到。（2）建

标准和行为准则有意识地培养员工的道德行为

言氛围的影响因素。影响建言氛围的因素主要有：

(Brown & Treviño, 2006)。

团队责任心、外向性、团队主动性人格、团队中

目前伦理型领导的研究成果主要体现在以下

庸思维、家长式领导中的德行领导、权威领导

几个方面：（1）伦理型领导的结构与测量方法

（Wang， 2016； Chen， 2015）。（3）建言氛围的影响

（Brown, Treviño & Harrison, 2005; De Hoogh &

结果。研究发现团队建言氛围正向预测团队建言

Den Hartog, 2008; Meng et al., 2014）。（2）伦

行为、团队绩效和创业团队的创新绩效（Frazier

理型领导的影响因素，主要包括情景因素和个人

& Fainshmidt, 2012; Morrison, Wheeler-Smith

特征因素。情景因素包括社会距离、决策情景、绩

& Kamdar, 2011）。

效压力等；个人特质因素有宜人性、尽责性、道

德推理、神经质、权术主义和心理控制源、领导

织公民行为、员工建言行为的影响机制：（1）自我

者道德推理水平、权力需求和内控型人格等

认知，如效能感、内在动机、心理安全、责任知觉

（Brown & Trevino, 2006; De Hooph & Den Hartog,

等（Ren & Deng， 2013； Yu， 2012； Liang， 2014）。

2008）。（3）伦理型领导的影响结果，如对员工态

（2）关系认知，如领导—成员交换关系等（Zhang

度、员工行为和绩效等均有积极影响（Walumbwa

& Zhong, 2012）（3）环境关系，如组织支持感、

& Schaubroeck, 2009; De Hoogh & Den Hartog,

心理授权、组织公平等（Han & Zhang， 2015）。

学者们从不同的视角探索了伦理型领导对组

2008）。

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560 本研究从建言氛围的视角出发，研究伦理型

提出假设：

领导如何影响员工的建言行为，更深入理解员工

假设 H1：伦理型领导和员工建言行为正相关。

建言行为的影响机制。建言氛围是一个新的研究

早期学者们认为领导力是影响氛围感知的一个重

视角，研究将丰富组织行为学的理论，有助于组

要组织因素 (Blake & Mouton, 1964)。根据组织

织管理实践。

支持理论和社会交换理论，如果员工感知到组织里有良好的支持性氛围，他们就有可能建言，支

研究假设与模型

持性组织氛围主要来源于支持性团队关系、支持

社会信息加工理论指出职场的社会环境的信

性组织环境和支持性领导。 Schneider & Reichers

息会影响员工的感知和行为 (Salancik & Pfeffer,

（1983）指出，组织氛围的形成来源于成员间的

1978)，员工基于存在的信息调整自己的感知、态

“集体释意”，人们从外界环境（如政策或他人言

度和行为。此外，社会信息加工理论认为员工对

行等）中领会信息，以此作为自己行动的出发点，

可接受行为的感知受到多种因素的影响，其中领

将外界环境转化为某个心理状态。员工通过和周

导通常是最显著的社会信息。建言是有风险的，因

围同事沟通并交换信息，从而更好理解工作需要、

为它是对现状的挑战 (Edmondson, 1999; Van Dyne,

限制以及成果得失。伦理型领导在组织中作为道

Ang & Botero， 2003)。在组织中，上司通常控制

德模范，建立和维护道德规范，并展示其伦理型

了员工完成工作所需的资源，而且他们负责制定

领导行为；通过与员工沟通，以及制定相关奖惩

下属必须遵守的规则，因此，直接针对上司的进

措施，在组织中承担道德管理者的角色，在组织

谏风险特别高。级别差异使向上进谏改变现状特

中形成一种道德氛围，使员工感知到哪些行为是

别危险，因为建言可能会引发惩罚和其他消极后

组织所倡导的，哪些行为是被唾弃的。而员工建

果 (Ryan & Oestreich, 1991)。伦理型领导和较

言是能够改进组织现状、促进组织发展的建设性

强的伦理文化可以让下属更愿意建言，特别是指

行为，是组织应该倡导的。因此，本论文提出假设：

出组织或同事存在的问题等抑制性建言行为，因

假设 H2：伦理型领导和建言氛围正相关。

为他们更有可能感觉到被保护，不被打击报复，相

社会环境提供了影响一个人的态度和行为的

信采取积极行为来解决他们关系的问题。当下属

各种社会信息，因此一个人的态度和行为不仅取

感知到领导的行为更具伦理性，他们更有可能从

决于自身的需求和目标, 而且在很大程度上受到

事亲社会的行为，而不太可能进行一些偏常或反

周围环境的影响 (Salancik & Pfeffer, 1978)。

效果行为 (Mayer et al., 2009; Neubert et al.,

2009)。研究者认为当领导者的行为符合员工的道

纳或鼓励建言的信念或文化的感知。社会信息加

德期待时，会在组织中营造出一种鼓励员工参与

工理论认为，在释义过程中，个体对从外界环境

的氛围，并最终促进员工的建言行为 (Walumbwa,

或氛围中获取的信息进行判断处理，从而产生相

Morrison & Christensen, 2011; Walumbwa &

应的心理氛围，并以此作为自己行动的出发点。

Schaubroeck, 2009)。前人的研究发现伦理型领导

和员工建言行为正相关，员工更有可能向上级反

直接和间接影响组织环境，进而影响员工的感知

映问题 (Brown, Trevino & Harrison, 2005;

和行为 (Zalesny & Ford, 1990)。影响员工行为

Walumbwa & Schaubroeck, 2009)。因此，本论文

有多种因素，如组织、领导、同事等 (Salancik &

建言氛围是成员对组织中是否存在着一种接

社会信息加工理论认为组织的政策和做法将

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

Pfeffer, 1978; Zalesny & Ford, 1990)。

言可能会招致他人误解、引发人际矛盾，甚至是

个体行为是个体因素与外界社会环境因素相

惩罚或报复。伦理型领导的影响不仅体现在影响

互作用的结果。员工建言行为是一种个体行为，不

直接下属，而且体现在通过伦理文化的辐射作用

仅受到个体因素如个性、认知风格等影响，也受

以及高层管理者对下一层管理者的影响间接影响

到团队、组织等影响。组织对员工建言行为持何

各个层级（Schaubroeck et al., 2012）。 Schaubroeck

种态度将直接影响员工的建言行为。组织氛围给

et al. （2012）以美国2009年5月派遣到伊拉克的

具有建言意向的员工提供一种暗示，提示员工是

军队为研究样本，发现伦理型领导通过伦理氛围

否要表达自己的声音，考虑该环境是否适合提出

影响士兵的伦理行为。伦理型领导通过自身的道

自己的见解。积极的环境可能会促进员工建言，而

德魅力影响员工，表扬、奖励合乎伦理道德行为

消极的环境则会抑制建言行为，特别是指出组织

的员工，批评、惩罚违反道德规范的员工，创造

或同事存在的问题等抑制性建言行为。因此，提

出一种较强的伦理氛围，使下属关注道德，并影

出假设：

响下属的思想和行为。支持性的组织氛围可以促

假设 H3：建言氛围正向预测员工建言行为。

进员工的建言行为，建言氛围是组织氛围的一个

员工建言行为是一种角色外人际交流行为，向

具体方面，应该同样可以促进员工的建言行为。员

组织中的领导者或同事主动提出建设性变革导向

工如果感知到组织中存在一种建言是安全的信念、

的建议或者指出缺点错误，旨在提高组织效率、改

建言能够得到领导的重视和奖励，他们就会就组

进工作流程、解决组织中遇到的实际问题，或者

织中存在的问题和改善组织现状而积极提出自己

改善组织现状、减少决策失误等。与合作性的组

的意见和建议。因此，本论文提出假设：

织公民行为不同, 建言可能为组织带来新的思想，

但是也可能意味着破坏组织的原有秩序, 容易被

行为之间起中介作用。

误解为是对领导者、组织现状或同事的不满。建

假设 H4：建言氛围在伦理型领导和员工建言本研究的研究框架如图1所示。

图 1 理论假设模型研究方法

工和基层管理者为主。共发放纸质问卷 550 份，

1. 研究取样

回收 480 份，回收率为 87.3%，剔除回答不完整、

本研究采用随机抽样方法进行抽样，以广西

答案显示明显的规律性、选择 “不确定” 选项的

南宁、柳州 9 家国有及民营企业和事业单位的员

题项超过一半的问卷，有效问卷为 389 份，有效

工为样本，收集数据。调查问卷发放有纸质问卷

问卷率为 70.7%。网络问卷共得到 35 份有效问

和网络问卷。纸质问卷主要通过研究者本人现场

卷。有效问卷总数为 424 份。

发放和回收，或者通过单位高层管理者协助发放

和回收，网络问卷是通过 “问卷星” 邀请本人的

占 48.6%。大部分受试者年龄在 20-40 岁之间，

学生、同事和朋友填写。调查对象主要以基层员

这个年龄段的样本有 297人，占 70.1%， 40-50 岁

样本中男性 218 人，占 51.4%，女性共 206，

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

之间有 104 人，占 24.5%， 20 岁以下和 50 岁以

（3）中介变量—建言氛围

上的样本较少，共 23 人，占 5.4%。基层员工最

多，有 258 人，占 60.8%，基层管理者 93 人，

研究结果编制的量表，该量表分为三个维度：组

占 21.9%，中层管理者 48 人，占 11.3%，高层

织纳言氛围、领导纳言氛围、团队纳言氛围，共

管理者 25 人，占 5.9%。样本受试者的教育程度

12 个题项。

不同，高中及以下学历的有 110 人，占 25.9%，

3. 研究结果

专科 101 人，占 23.8%，本科最多，有 165 人，

3.1 信度与效度检验

占 38.9%，硕士或 MBA 有 22 人，占 5.2%，博士

使用 SPSS 17.0 和 AMOS 17.0 对量表的信度

26 人，占6.1%。关于样本受试者所在单位的性质，

与效度进行检验。

国有企业的有 90 人，占 21.2%，民营企业的有

118 人，占 27.8%，事业单位的有 180 人，占

合效果较好，各评价指标基本超过临界标准值。

42.5%。

χ²/df=2.278， RMSEA=0.055， RMR=0.032， GFI=0.90，

2. 变量测量工具

AGFI=0.88， NFI=0.90， IFI=0.94，道德品质、尊重

（1）自变量—伦理型领导

与包容和道德奖惩分量表的AVE分别为 0.50、 0.50

伦理型领导采用伦理型领导测量量表采用

和 0.53，均达到0.5 的下限。同时，道德品质、尊

Meng et al. (2014) 对上海地区各行业在职员工

重与包容、道德奖惩的组合信度分别为 0.89、 0.88

进行调查得到的数据所编制的中国道德领导的量

和 0.87，大于 0.6 的临界值，表明伦理型量表具

表，该量表有24个题项，分为三个维度：道德品质、

有较好的聚合效度。

尊重与包容、道德奖惩。该量表的总α系数是

0.949，其中道德品质、尊重和包容、道德奖惩各

2.883， RMSEA=0.067， RMR=0.03， GFI=0.96，

维度的α系数分别是 0.923、 0.918、 0.866，具有

AGFI=0.93， NFI=0.97， IFI=0.98，促进性建言行为、

比较高的信度。选择该量表的原因有两点：一是

抑制性建言行为量表的AVE分别为 0.59 和 0.60。

该量表是针对中国文化情景开发的，相对于西方

同时，促进性建言行为、抑制性建言行为的组合

学者开发的量表，更符合中国对伦理型领导的定

信度均为 0.88，表明员工建言行为量表具有较好

义；二是该量表具有较高的信度和效度，项目设

的聚合效度。

计科学合理。

（2）因变量—员工建言行为

RMSEA=0.068， RMR=0.036， GFI=0.94， AGFI=0.91，

员工建言行为采用Liang等的10个题项的量表，

NFI=0.94， IFI=0.96，领导纳言氛围、组织纳言氛

该量表把建言行为分为 2 个维度：促进性建言、

围和团队纳言氛围量表的AVE分别是 0.67、 0.58

抑制性建言。选择该量表的原因有两点：一是该

和 0.53。同时，领导纳言氛围、组织纳言氛围和

量表经过国内一些学者的实证研究（Liang &

团队纳言氛围的组合信度分别为 0.86、 0.87和

Tang， 2009； Jing, 2015），表明其具有较好的心

0.82，表明建言氛围量表具有较好的聚合效度。

理学特性与稳定的结构；二是该量表是针对中国

组织情景员工建言行为所开发的测量工具，比较

Cronbach’s α值分别为： 0.934、 0.920、 0.892，均

合适地反映中国组织中的员工建言行为。

超过 0.8，说明所有量表的内部一致性较高。

建言氛围量表采用 Liang （2017）根据质性

经过验证性因子分析，伦理型领导各项目拟

员工建言行为各项目拟合效果较好， χ²/df=

建言氛围各项目拟合效果较好， χ²/df=2.966，

伦理型领导、员工建言行为和建言氛围的

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

3.2 描述性统计结果

表 1 各变量的均值、标准差以及相关系数矩阵变量

均值

标准差

1 性别

1.49

0.50

2 年龄

2.97

0.90

-0.189***

3 职位

1.62

0.90

-0.139*** 0.351***

2.42

0.04

0.038

0.033

0.329***

3.24

1.74

0.090

-0.213**

0.017

0.646***

4.01

0.52

0.026

-0.041 -0.219*** -0.277*** -0.176***

3.89

0.66

-0.016

-0.042

3.92

0.60

0.007

-0.027

4 教育程度 5 单位性质 6 伦理型领导 7 建言行为 8 建言氛围

1 1

-0.083 -0.173*** -0.191*** 0.578***

-0.142** -0.268*** -0.204*** 0.654*** 0.533***

注： N=424。性别： 1=男， 2=女。学历： 1=高中及以下， 2=大专， 3=本科， 4=硕士/MBA， 5=博士/博士生。职位： 1=基层员工， 2=基层管理者， 3=中层管理者， 4=高层管理者。单位性质： 1=国有企业， 2=民营企业， 3=中外合资企业， 4=外商独资企业， 5=政府/事业单位， 6=其他。

***p<0.001, **p<0.01, *p<0.05。

从表 1 中可以看出，伦理型领导、建言氛围

3.3 假设检验

和员工建言行为之间显著相关，相关系数在

使用多层回归分析进一步检验本研究提出的

0.498-0.654 之间，说明这些变量两两之间存在相

假设。回归分析结果如表2所示。

关性。

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

表 2 假设检验层级回归分析结果变量

建言氛围

员工建言行为

模型 11

模型 12

模型 21

模型 22

模型 23

模型 24

性别

0.009

-0.002

-0.018

-0.028

-0.023

-0.027

年龄

-0.011

-0.020

-0.066

-0.074

-0.060

-0.609

职位

-0.074

0.024

-0.045

0.044

-0.007

0.038

教育程度

-0.189

-0.063

-0.043

0.073

0.056

0.090

单位性质

-0.084

-0.057

-0.175

-0.150

-0.131**

-0.135*

0.631***

伦理型领导

0.579***

建言氛围

0.413*** 0.519***

0.263***

F 值

7.132***

54.318***

4.168*

37.532***

29.151***

37.913***

F 值变化

7.132***

267.512***

4.168*

194.692***

146.798***

64.042***

R²

0.079

0.439

0.047

0.351

0.295

0.389

R²值变化

0.079

0.360

0.047

0.303

0.248

0.094

注：

***p<0.001, **p<0.01, *p<0.05

检验中介变量建言氛围的步骤如下：

到验证。

（1）分析伦理型领导对员工建言行为的影响

从模型 23 可以看出，建言氛围对员工建言行

（模型 12）；（2）分析伦理型领导对建言氛围的影

为有显著的正向影响（β=0.519， P<0.001），方差解

响（模型 22）；（3）分析建言氛围对员工建言行

释度从 4.7% 提高到 24.8%， F 值检验 P<0.001，

为的影响（模型 23）；（4）同时考虑伦理型领导

达到显著，回归模型拟合比较好，建言氛围对员

和建言氛围对建言行为的影响（模型 24）。

工建言行为的解释能力显著，假设H3得到验证。

从表2模型22回归分析结果可以看出，伦理型

根据 Baron & Kenny (1986) 的中介变量检验

领导对员工建言行为具有正向显著影响（β=0.579

标准，从模型 12、 22、 23 我们可以看到，条件

， P<0.001），方差解释度从 4.7% 提高到 30.3%，

（1）和（2）已经得到满足。从模型24结果来看，

F 值检验 P<0.001，达到显著，回归模型拟合比较

与仅以伦理型领导为自变量相比较，同时把伦理

好，伦理型领导对员工建言行为的解释能力显著，

型领导和建言氛围作为自变量能够更好预测员工

假设H1得到验证。

的建言行为，而且中介变量建言氛围仍然显著影

从模型 12 可以看出，伦理型领导正向显著

响建言行为（β=0.263， p<0.001），说明伦理型领

影响员工的建言氛围感知（β=0.631， P<0.001），

导对员工建言行为的影响只有一部分是通过中介

方差解释度从 7.9% 提高到 36%， F 值检验

变量建言氛围来实现。因此，建言氛围在伦理型

P<0.001，达到显著，回归模型拟合比较好，伦理

与员工建言行为之间起部分中介作用，假设 H4

型领导对建言氛围的解释能力显著，假设 H2 得

得到验证。

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

总结与讨论

释力较弱。今后的同类研究可以考虑采取纵向研

1. 研究贡献

究，跟踪研究相关研究对象，收集纵向数据，对研

究问题的因果关系进行更严格的检验。

本研究采用根据中国文化情景开发的量表，不

仅丰富了中国组织情境中影响员工建言行为的前

因变量，而且对领导效能的本土化研究具有积极

及社会资源的限制，只能选择广西各市的国有企

贡献。

业、民营企业和事业单位进行调研，样本的地域

揭示了建言氛围在员工建言行为发生中的作

性仍有一定局限性。不同地域的组织在经营环境、

用。本研究从员工建言氛围感知的视角来探讨伦

运营环境、领导体制等方面各有差异，因此组织

理型领导对员工建言行为的影响机制，使人们进

政治氛围和领导风格可能会有较大的不同，对员

一步了解伦理型领导对员工建言行为的影响路径。

工建言的影响机制也会有差异。因此，要把本研

2. 研究不足与未来研究展望

究结论推广，还需补充不同地域组织的样本，对

研究模型进行验证，确保研究结论的信度与效度。

2.1 本研究的局限性

在整个理论推导和分析过程中，本研究力

（3）样本选择的局限性。由于时间、精力

2.2 未来研究展望

求科学严谨，但是由于时间和精力有限，研究仍

有一些不足。

究，学者们从不同的视角来探究这个问题，取得

了一些成果，但是仍然需要完善相关理论体系。

（1）员工建言行为的测量。本研究采用的

领导风格对员工建言行为的影响机制研

是员工自评的方式获取数据，从员工自身的角度

评价自己的建言行为，个体自评的结果可能会受

的建言氛围的量表开发仍需要完善，建言氛围的

到宽大效应等偏差的影响。今后的研究可以采取

前因变量有待进一步探索和验证。

员工及直属上司、甚至是同事评价等多方面来收

集数据，然后将不同来源的数据进行整合，这样

突破。目前大多数学者集中研究员工建言行为的

对员工建言行为的评价将会更加客观。

影响因素，较少涉及对其结果变量的研究。今后

可以考虑采用纵向法研究员工建言行为给组织带

（2）本研究采用的是横截面研究方法，所

有数据的收集均在一个时间段，数据可以很好地

（1）目前对建言氛围研究较少，不同层面

（2）员工建言行为的影响结果研究有待

来的影响结果。

解释变量之间的相关关系，但是在因果关系上解

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

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Name and Surname: Yueqiao Liang Highest Education: Ph.D. Candidate, Panyapiwat Institute of Management University or Agency: Panyapiwat Institute of Management Field of Expertise: Organizational Behavior, Second Language Acquisition Address: 85/1 Moo 2, Chaengwattana, Bang Talad, Pakkred, Nonthaburi 11120 Name and Surname: Long Ye Highest Education: Ph.D. of Beijing Jiaotong University University or Agency: Panyapiwat Institute of Management Field of Expertise: Business Administration Address: 85/1 Moo 2, Chaengwattana, Bang Talad, Pakkred, Nonthaburi 11120

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

品牌資產: 顧客視角和市場視角的維度與關係研究 —以筆記本電腦市場的調研

BRAND EQUITY: THE STUDY BETWEEN THE DIMENSION AND RELATIONSHIP OF CUSTOMER PERSPECTIVE AND MARKET PERSPECTIVE-TAKE THE MARKET SURVEY OF LAPTOPS AS AN EXAMPLE Yishu

劉一書1 湯之敏2 Liu1 and Zhimin

Tang2

1,2正大管理学院中国研究生院

1,2Chinese

Graduate School, Panyapiwat Institute of Management

摘要

根據現有的研究理論, 多數研究者傾向利用單一視角來研究品牌資產。在本研究中, 首先根據現

有理論確定了顧客視角品牌資產和市場視角品牌資產內部的各評價指標的情況下, 構建了基於兩個視角

的品牌資產的研究模型。本研究以泰國本地市場的筆記本電腦用戶為調研對象, 發放調查問卷, 通過對

問卷數據的實證分析, 證明了顧客視角和市場視角的品牌資產的各評價指標在所屬的研究視角中存在內部一致性, 同時經檢驗還發現兩個視角的品牌資產存在強相關關係。

關鍵詞: 品牌資產, 顧客視角, 市場視角

Abstract

Most present studies measure brand equity in a single perspective. However, after former literature research, this paper, firstly, establishes a brand equity model with intra-evaluation indexes in both customer perspective and market perspective. Secondly, it takes laptop users in Thailand as the investigation subjects by questionnaire. The results of an empirical analysis showed that each index was in a high internal reliability and also tested that the customer perspective and the market perspective was in a strong correlation. Keywords: Brand Equity, Customer Perspective, Market Perspective

Corresponding Author E-mail: lys18802721108@gmail.com

Panyapiwat Journal Vol.9 Supplementary Issue December 2017 前言

顧客視角和市場視角的品牌資產的各評價指標和

在市場營銷研究領域, 對品牌資產的研究開始

於 20 世紀 80 年代, 品牌資產的概念一經提出,

方法、比較顧客視角和市場視角的品牌資產的關係、研究基於兩個視角的品牌資產的結構關係。

就成為 20 世紀 90 年代市場營銷領域最引人關註的概念之一, 盡管只經過了 30 多年, 但關於品

文献综述

牌資產相關研究的文章就數以萬計。研究者對品

牌資產的理解從當初沒有統一的確切含義, 發展

十分棘手的問題, 不同的研究者從自身擅長的角

到以顧客、市場、財務視角三個不同視角對品牌資產進行定義和測量, 而 Keller & Lellnlann

(2003)

提出的品牌價值鏈理論, 所謂品牌價值鏈,

品牌資產概念一直就是品牌管理領域中一個

度提出獨特的看法 , 使得其概念顯得十分雜亂各種各樣的品牌資產定義使得研究者在研究品牌資產時感到十分疑惑。鑒於此, 部分研究者對品

(2003),

牌資產也進行了梳理。Zhao

目標, 從企業經營的整個業務鏈入手, 梳理和改善

Huang (2014), 造成了一定的研究影響, 為推進品

每壹個環節, 使之符合品牌價值的要求。通過對

品牌資產相關文獻的總結發現, 現有研究對品牌

資產的研究主要集中在基於單一視角品牌資產的概念和測量以及品牌資產的形成機理等方面, 而對於不同視角的品牌資產之間內在關係的研究還相對較少和不足, 有待於進一步深入探討。

同時, 通過研究者的總結發現, 目前對於品牌

資產的相關研究都是針對有形產品領域的, 而對

與產品相關的無形因素的研究雖有涉及, 但是非

(2013),

就是以企業向用戶承諾的最終品牌價值為導向和

牌資產的研究起了很好的作用。但是由於品牌资产本身这一概念的复杂性, 現有研究中也处於争执的状态, 因此相当部分的研究結論在一定程度

上还存在一些不够全面的地方, 需要更進一步的

分析。本研究在大量文獻回顧的基礎上, 通過比較整理, 從顧客視角和市場視角两個方面對品牌

資產的概念進行了總結、梳理和評述, 以便既能

清晰分辨品牌資產的各種定義, 又能了解其中的區別和局限。

常的少, 處於初級的探討階段, 研究理論還不成

熟。這些無形因素可以理解成企業的體驗性產

來定義品牌資產。如果品牌對於顧客而言沒有任

品。當前, 由於受到科學技術快速進步和人類需

何價值, 那麽品牌對於投資者、生產商或零售商

求層次不斷提高的影響。社會經濟價值演進從商品經濟、財貨經濟、服務經濟, 已邁入體驗經濟

目前, 絕大部分的現有研究中都是從顧客視角

也都不會有任何意義, 因此品牌資產的核心便成

為如何為顧客建立品牌的內涵 (Wu, 2011)。現有

階段。體驗經濟時代, 營銷訴求的重點在於創造

研究中較早提出以顧客視角定義品牌資產的研究

提供, 體驗已成為了解顧客行為的重要因素。所

反應出顧客品牌知識的差異性。品牌資產的目的

對顧客有價值的體驗, 而不僅僅是產品或服務的

以研究者還需要對無形服務與品牌資產的關係進行更加深入的探討。

结果里提到, 營銷活動會產生不同的品牌效果, 會在於改善營銷能力, 在高成本、競爭激烈、需求減少的現實狀況下, 廠商如何增加營銷費用的使

用效率, 最終還是必須要去了解顧客行為, 以便對研究目的

本研究以品牌受眾為研究對象, 針對顧客視角

品牌資產和市場視角品牌資產的相互關係, 提出

目標市場和產品定位有更佳的策略與抉擇

(Keller,

2010)。在該概念的影響下, 為數不少的

研究者開始把研究的目標轉向顧客, 提出了以顧

概念模型的同時進而進行實證分析。通過本研究

客視角為基準的品牌資產概念。品牌資產是一種

的檢驗, 期望在理論上達到以下的目標: 研究基於

品牌的長期顧客專屬及其財務價值的疊加, 因為

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

品牌是服務性資產, 必須受到高級管理人員和財

比較, 所產生的價格溢出 (Mullen & Mainz, 1989)

務管理人員的承認; 而財務價值依賴於顧客形成

資來加強 (Berry, 2000)。此外, 品牌資產也被定

量模式特點的基礎上, 站在品牌資產的綜合研究

對顧客視角品牌資產和市場視角品牌資產的

的品牌強度, 顧客專屬可透過產品品質和廣告投

關係进行測量, 現有研究在分析不同品牌資產測

義為顧客對某一品牌的整體偏好與多重屬性客觀

角度, 把不同視角的品牌資產測量模式視為品牌

評估加總的差異 (Keller, 2010)。

在以市場視角對品牌資產的研究中指出, 品牌

資產是來源於品牌所形成的市場地位, 是超過實

體資產價值的附加部分。有企業願意花費高額的溢價去購買品牌, 可能的原因是不斷有新的競爭

價值創造鏈中的不同環節, 認為它們之間存在關

聯性, 並用實證方式進行檢驗, 得到了科學的研究結果。根據研究整理, 單一的顧客視角品牌資產

的測量模式有利於診斷品牌存在的問題, 便於調

整營銷戰略, 可是在宏觀把控市場方面具有明顯

者進入到現有市場之中, 而企業為保有其市場占

的缺陷; 而單一的市場視角品牌資產的測量模式

有品牌。品牌資產是指品牌喚起註意者思考、感

又不能反映品牌的未來走向 (Yu & Zhao, 2003)

有率及獲利率, 有時必須去購買品牌或者延伸現

受、感知、聯想的特殊組合, 此組合會進而產生

市場購買的影響力 (Wen, 2007)。所謂的註意者是指註意品牌並會做出例行購買行為, 且對現存產

更多反映了品牌過去的營銷活動導致的結果, 但它

因此, 本研究應該更清楚的理解不同視角的品牌

資產的關係, 更要兼顧不同品牌資產測量模式, 避免單一測量模式結果的誤導性。

品有穩定的需求, 或是會由新產品, 需要擴張購買行為的人 (Schmitt, 1999)。研究者從產品政策的觀

研究設計

點分析, 品牌價值具有長期投資, 以建立競爭者持

的觀點來看品牌資產, 品牌資產是和一般競爭者

模型。

久及差異化優勢的作用 (Doyle, 1990)。如果從競爭

首先, 本研究在在進行廣泛的文獻研究、前人

的研究成果分析的基礎上, 提出整個研究的概念

圖 1 研究框架

本研究構建了如圖 1 所示的理論模型。這個

模型是通過對現有文獻的規範化分析, 提出的建

議性模型。根據現有研究成果, 本研究將顧客視

角品牌資產分為感知體驗、情感體驗、社會體驗等三個指標, 市場視角品牌資產則選擇了品牌溢價、價格彈性、品牌延伸等三個指標。

該模型的基本邏輯是: 顧客對品牌產品使用過

程中, 對品牌產品的感知體驗、情感體驗和社會

體驗的強弱感受, 將會直接影響到顧客對品牌資

產的評價。同時, 除了以上三個評價品牌資產的指標以外, 品牌溢價、價格彈性、品牌延伸三個

評價指標的實現, 也會對企業品牌資產的提升起

Panyapiwat Journal Vol.9 Supplementary Issue December 2017 到作用。另外, 以上的六個指標雖然分別屬於顧

客視角和市場視角, 但是在實際的運用中, 兩個視

間存在相關性。

研究将会利用問卷調查的方法收集調研數據,

角之間也會存在著一定的關係, 正因為這種關係

對本研究提出的顧客視角和市場視角品牌資產的

的存在, 對提升品牌的市場競爭力, 達到其它品牌

研究理論、研究模型和研究假設进行分析, 取得

難以實現的營銷優勢有著積極的作用。

可信的實證结论。

根據對以上各評價指標的分析, 本研究根據研

究現實, 提出了以下三個假設:

H1: 顧客視角品牌資產三個指標具備內部一致

性。

量表的設計是實證研究的基礎, 量表設計的合

理性與否直接關係到研究能否得到有效的數據 , 并對最終的研究結果產生影響。本研究根據

H2: 市場視角品牌資產三個指標具備內部一致

性。

(1) 量表開發

Schmitt (1999) 等研究者的理論設計了兩個視角品牌資產各評價指標的量表。

H3: 顧客視角品牌資產與市場視角品牌資產之

表 1 顧客視角和市場視角品牌資產的量表變量感知

具體內容產品的購買和使用過程讓您對該品牌有強烈的印象;

體驗

產品的購買和使用過程給予您強烈的興趣;

情感

產品的購買和使用過程中, 企業的努力讓您感到快樂;

問項出處 Schmitt, 1999

產品的購買和使用過程很有吸引力。

體驗

產品的購買和使用過程中, 企業的努力讓您感到滿意;

社會

產品的購買和使用過程, 讓您感覺是某一類型消費群體;

產品的購買和使用過程中, 企業的努力符合您的期望值。

Porter, 1997

體驗

產品的購買和使用過程, 是否讓您覺得與同品牌產品的顧客擁有一致的價值觀; Schmitt, 1999

品牌

相對於其它品牌, 我願意為該品牌多支出價格;

產品的購買和使用過程, 是否會改變您在別人心目中的形象。

溢價

只有該品牌產品價格上漲很多, 才會轉向其它品牌的服務;

價格

這個品牌漲價是有合理理由的;

彈性

只要該品牌價格上漲不是太多, 我不會轉向其它品牌。如果這個品牌漲價, 多半是因為產品品質改進了;

該品牌降價是因為技術改進, 而不是服務質量下降。

這個品牌推出的新產品一定很受歡迎; 品牌延伸

這個品牌推出的新產品質量會比其它品牌的好; 這個品牌提出的新產品品質會更好;

Netemeyer et al., 2004 Wang & Yu, 2006

Wang & Yu, 2006

這個品牌有足夠能力在相關行業推出新產品。

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

(2) 預測試

採用整體抽樣的方式來進行。其中在泰國正大管

預測試中采用CTIC值對題項進行凈化, 並采用

理學院發放了 200 份問卷, 泰國曼谷曼德琳教育

探測性因子分析的方法。相關性分析研究的是兩

了 160 份問卷, 共發放問卷 560 份, 回收有效

Cronbach 係數α值檢驗量表信度; 效度檢驗採用

個視角品牌資產間聯係的緊密程度, 相關分析通

機構發放了 200 份問卷, 泰國羅勇中華商會發放

問卷 529 份, 有效問卷達 94.46％。之所以選擇

過相關係數衡量變量之間的緊密程度。本研究用

大學生進行調研是因為大學生作為筆記本電腦產

的是 Pearson 相關係數來分析。

品的主要購買人群, 在首次進行筆記本電腦購買

預調研的對象主要有泰國正大管理學院和泰

後, 還會對產品進行持續性投入。而中華商會的

國暹邏大學的的學生和工作人員, 兩校各發放問

會員企業, 也大多以國際企業為主, 因為各種條件

96%。

公需求需要使用到筆記本電腦。

卷 130 份, 總共回收了 251 份, 回收率達到了

預測試結果顯示, 顧客視角品牌資產的三個

的限制, 在正常的工作時間以外, 也有著一定的辦

實證分析中, 將使用 SPSS 23.0 統計軟件, 對

評價指標感知體驗、情感體驗和社會體驗的

正式調研中所收集的數據進行描述性統計分析

Cronbach 係數的α值分別為 0.852、0.864、0.747,

然後進行數據的可靠性分析, 檢驗數據的可靠性

市場視角品牌資產的三個研究指標品牌溢價、價格彈性、品牌延伸的 Cronbach 係數的α值分別為 0.718、0.832 和 0.860, 所有的係數均大於 0.7, 基本滿足研究的要求。再經過進一步探測性因子

之後再應用 SPSS Amos 24.0 軟件, 通過對大範圍調研所得的數據進行驗證性因子分析, 檢驗大樣

本數據結果是否符合預調研小樣本得出的結果, 根據分析結果, 看結論是否支持本研究的研究假設。

分析, 顧客視角品牌資產和市場視角品牌資產的

大於 0.5, 且沒有出現多維度符合的現象, 滿足一

顧客視角品牌資產和市場視角品牌資產量表里的

因子分析的旋轉成分矩陣, 各題項的因子載荷均

正式的分析中, 作為實證分析的基礎, 在描述

性統計分析中, 根據偏度和峰度的正態檢驗結果,

進步研究的需要。

所有題項都滿足了偏度小於 1 且峰度也小於 1

的參考標準, 檢驗結果屬於正態分佈。再通過對

還通過對顧客視角品牌資產和市場視角品牌

資產的相關係數的分析, 得出了兩個視角品牌資

產之間的 Pearson 相關係數為 0.664, 證實了基於顧客視角品牌資產和基於市場視角的品牌資產之間的強相關性, 這在理論上支持了研究中對兩個視角品牌資產測量方法結合使用的做法。

平均值和標準差的檢驗發現, 本研究的正式樣本

的標準差的結果結果均大於 0.5。因為數據均呈

現出正態分佈, 平均值和標準差也符合要求, 所以本研究的正式調研數據適合進行結構方程模型的分析。

實證分析

根據預測試研究的結果, 對調查問卷的測量題

項做出了相應的調整後, 2016 年 6 月至 7 月, 本研究進行了正式調研的問卷發放。所有問卷的發放集中在泰國正大管理學院、泰國曼谷曼德琳教育機構、泰國羅勇中華工業園區進行, 問卷是

可靠性檢驗里, 兩個視角品牌資產總的

Cronbach 係數α值分別為 0.848 和 0.829。其中

各評價指標的 Cronbach 係數α值也都超過 0.7 的參考標準, 分別為: 0.820、0.802、0.731 (顧客視角)、0.726、0.715、0.792

(市場視角)。所以, 正式調研所獲取的數據的可靠性是較高的, 可以進行下一步的驗證性因子分析。

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

圖 2 顧客視角和市場視角品牌資產的驗證性因子分析模型圖經過本研究預調研的檢測, 兩個視角品牌資產

題項的刪減。最終, 品牌溢價的量表中含有兩個

中顧客視角品牌資產的 3 個變量分別是: 感知體

伸的量表由 4 個題項組成。兩個視角品牌資產

的潛變量都具備進行驗證性因子分析的條件, 其

驗、情感體驗和社會體驗, 在這三個潛變量中, 每

題項, 價格彈性的量表由 3 個題項組成, 品牌延

的驗證性因子分析的模型如圖 2 所示。正式調

一個潛變量都具有 3 個測量變量。市場視角品

研獲取的數據導入統計軟件Amos 24.0 進行運算,

牌資產的 3 個潛變量則是品牌溢價、價格彈性

本研究結合正式調研數據的可靠性分析 Cronbach

和品牌延伸。但是在正式調研的問卷設計中, 研

係數α值的檢測結論, 得到了模型的擬合分析結

究者對市場視角的品牌資產的量表進行了修改和

果。

表 2 顧客視角和市場視角品牌資產模型擬合分析結果變量

非標準化

標準化負

Cronbach

組合

及指標

負荷係數

荷係數

係數 α 值

信度

1.00

0.70

0.820

0.8248

0.6112

1.10

0.79 0.802

0.8052

0.5809

0.731

0.7368

0.4847

感知體驗: CA1 CA2 CA3 情感體驗: CB1 CB2 CB3 社會體驗: CC1 CC2 CC3

1.18

0.85

1.00

0.79

0.84

0.68

1.00

0.81

1.00

0.63

1.09

0.67

1.21

0.78

AVE

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

表 2 顧客視角和市場視角品牌資產模型擬合分析結果變量

非標準化

標準化負

Cronbach

組合

及指標

負荷係數

荷係數

係數 α 值

信度

1.00

0.726

0.7261

0.5701

1.00

0.68

0.715

0.7254

0.4698

0.91

0.62

0.792

0.794

0.4914

品牌溢價: 1.00 1.02

價格彈性: MB1 MB2 MB3 品牌延伸: MC1 MC2 MC3 MC4

1.02

1.04

1.02

0.75

1.00

0.68

1.08

0.73

1.15 0.95

0.74

AVE

0.65

(1) 模型的整體擬合性分析

中比較常見的評判結構方程模型是否合理的參考

結構方程模型構建的合理性通常通過多個擬

指標, 所以本研究也把這四類評判指標添加進來,

合指標來評判。其中 x2/df、RMSEA、RMR、GFI為

作為評判本研究的結構方程模型構建是否合理的

絕對擬合指標, 而 AGFI、CFI、IFI、NFI 增值擬

指標 (表 3)。

合指標, RFI、TLI、PNFI、PCFI 則是在現有研究

表 3 顧客視角和市場視角品牌資產研究的擬合指標結果及評判標準擬合指標類型

絕對擬合指標

增值擬合指標

其它評判標準

指標名稱 x2/df

數值範圍＞0

評判標準＜3 或＜5

顧客視角結論

市場視角結論

RMSEA

＞0

0.038

3.981

RMR

＜0.08

1.781

＞0

GFI

＞0.9

0.016 0.983

0.030

0-1

AGFI

0-1

CFI

0-1

IFI

0-1

NFI

0-1

RFI

0-1

TLI

0-1

PNFI

0-1

PCFI

0-1

＜0.08 ＞0.9 ＞0.9 ＞0.9 ＞0.9 ＞0.9

＞0.9 ＞0.5 ＞0.5

0.968 0.990 0.990 0.977 0.965 0.984 0.651 0.660

0.075 0.962 0.929 0.952 0.952 0.937 0.906 0.928 0.625 0.635

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

一般的卡方自由度小於 3.0 時表示模型的適

高的顯著性水平, 並且標準化負荷係數基本上大

配。若是大於 3.0 時, 一般情況下表示假設模型

標能夠較好的反映變量, 這些指標可以作為變量

配度較佳。當其值小於 1.0 時, 表示模型過度適

於 0.6, 各因子均有符合要求的負荷, 說明測量指

尚無法反映真實觀測的數據, 模型需要改進。但是

的測量指標。

也有特殊情況, 就是當樣本數量較大時, 檢測結果

(3) 因子信度分析

大於 3 至小於 5 這個區間里也是可以被接受

根據正式調研所獲取數據的可靠性分析的結

為 1.781＜3,

果 , 顧客視角和市場視角的品牌資產三個維度

於 3, 但是因為正式研究中的問卷數量達到了 500

但是, 為了研究需要, 研究者還進一步檢驗了正式

顧客視角品牌資產模型的

x2/df

市場市場品牌資產模型 x2/df 為 3.981, 雖然大

份以上, 屬於樣本數量較大的情況, 所以也能被接受。因此, 兩個視角品牌資產的模型的整體擬合

度較好。

如果近似誤差均方根RMSEA值越小, 表示模型

的適配度越好, 顧客視角和市場視角的品牌資產

的 RMSEA 值分別為 0.038 和 0.075, 小於 0.08

的評判標準, 所以從RMSEA的結論來看, 兩個視角

的品牌資產的模型的這配度是很好的。還有, 顧

Cronbach 係數α值都是大於 0.7 的參考標準的調研中獲取數據的組合信度, 具體方法是把已求

出的每一題項的標準化負荷係數, 輸入到

“AMOS

組合信度和平均變異數抽取量” 的工具中進行運

算 , 所得結果分別為 : 0 .8248、0 .8052、0 .7368 0.7261、0.7254、0.794, 全部都大於信度檢驗的參考標準 0.7。所以, 這裡根據檢驗結論再次證明了

兩個視角品牌資產各維度的正式調研數據是具有穩定性和可靠性的。

客視角和市場市場品牌資產模型的樣本方差和協

(4) 因子效度分析

方差減去對應估計的方差和協方差的平方和 RMR

的計算結果分別為 0.016 和 0.030, 遠遠小於

量及其測量題項都是借鑒了現有研究中的內容, 所

個視角品牌資產的模型的擬合是很好的。

還進行了小範圍的訪談, 訪談對象包括本專業的

0.08 的評判標準, 所以從RMR的計算結論來看, 兩

根據表 3 的檢驗結論, 兩個視角品牌資產的

GFI、AGFI、CFI、IFI、NFI、RFI、TLI 值都大於 0.9 的評判標準, 表示兩個視角品牌資產的模型從理論上是完全可以接受的。另外, 顧客視角

和市場視角品牌資產的簡約調整後之規範擬合指數 PNFI 的值分別為 0.651 和 0.625, 簡約調整

後之比較擬合指數的PCFI的值則分別為 0.660 和

內容效度方面, 首先, 本研究所涉及的研究變

以具有較高的成熟性; 其次, 在問卷設計的過程中

教授、市場工作者以及普通的顧客, 對問卷中的

所有內容都進行了審慎的檢查; 還通過預調研, 獲取了小範圍的調研數據, 把不符合研究實際的題

項進行了刪減, 最后才形成了本研究的正式調研的問卷。所以, 問卷內容方面符合內容效度方面的要求。

建構效度方面, 由表 2 顧客視角和市場視角

0.635, 也都大於 0.5 的評判標準, 所以從 PNFI

品牌資產模型擬合分析結果中可以看出, 變量的

模型也具有較好的擬合度。

個因子的AVE的平方根比該因子與其他因子之間的

(2) 指標評估

相關係數大, 說明測量變量的解釋力是超過了其

和 PCFI 的計算結果來看, 兩個視角品牌資產的

由表 2 的計算結果可知, 顧客視角和市場視

角品牌資產的各因子的標準化負荷係數都具有較

各個指標的標準化負荷係數均大於 0.6。而且, 各

誤差方差的, 所以各變量的測量有足夠的收斂效度。

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

還有從表 4 和表 5 的結果中已知, 在兩個

表 7 市場視角品牌資產的因子分析結果

視角的品牌資產的模型中, 潛在變量AVE的平方根明了測量變量是具有良好的判別效度的。表 4 顧客視角品牌資產各變量相關係數感知體驗情感體驗社會體驗感知體驗

情感體驗

0.65

社會體驗

0.60

0.52

AVE 平方根

0.782

0.762

0.700

成分

題項

都有大於該變量與其它變量的相關係數, 這就說

表 5 市場視角的品牌資產的各變量相關係數

MA1

0.225

0.061

0.842

MA2

0.186

0.149

0.837

MB1

0.175

0.736

0.263

MB2

0.163

0.850

0.091

MB3

0.314

0.692

0.036

MC1

0.725

0.145

0.250

MC2

0.683

0.170

0.376

MC3

0.743

0.223

0.187

MC4

0.754

0.284

0.010

KMO 值=0.837, 顯著性為 0.000

品牌溢價價格彈性品牌延伸

品牌溢價

價格彈性

0.40

品牌延伸

0.65

0.68

AVE 平方根

0.755

0.685

0.701

23.0 軟件, 對正式調研中所取得的數據利用軟件的因子分析功能進行分析, 在軟件的選項中選擇

主成分分析法和最大方差旋轉法, 可以得到旋轉成份矩陣, 具體結果見表 6 和表 7。

表 6 顧客視角品牌資產的因子分析結果題項

研究中的結構效度的檢驗, 還可以利用 SPSS

從表 6 和表 7 中可以看出, 顧客視角和市

場視角品牌資產的因子分析中, 分別提取了 3 個

成分

因子, 每個因子對應題項在該因子上的負荷量都

CA1

0.802

0.179

0.148

CA2

0.810

0.245

0.241

CA3

0.798

0.259

0.181

CB1

0.322

0.746

0.187

研究結論

CB2

0.170

0.860

0.165

CB3

0.197

0.785

0.139

度檢驗, 說明了數據呈現近似的正態分布; 通過對

CC1

0.153

0.162

0.741

顧客視角品牌資產和市場視角品牌資產模型擬合

CC2

0.268

0.103

0.791

CC3

0.102

0.177

0.789

KMO 值=0.851, 顯著性為 0.000

大於 0.6, 結合前面所得數據, 說明具有較好的收斂效度; 而每一因子所對應的題項在其他因子上的負荷量都很小, 說明具有較好的區分效度。

通過對本研究正式調研獲取數據的偏度和峰

指數的評判, 說明了本研究模型構建的合理性; 通

過對信度和效度的檢驗, 說明了問卷量表的內部一致性和穩定性。

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

表 8 本研究的理論假設結論編號

假設

顧客視角的品牌資產三個指標具備內部一致性;

支持

市場市場的品牌資產三個指標具備內部一致性;

支持

顧客視角的品牌資產與市場視角的品牌資產之間存在相關性;

支持

因此, 經過以上分析, 本研究對於第三部分所

提出的三個研究假設都得到了相應的驗證 (表 8) 根據此結論, 本研究得出了以下的分析結果:

結論

1. 顧客視角品牌資產的三個評價指標感知體

顧客視角品牌資產和市場視角品牌資產之間經過 Pearson 相關係數的檢驗, 得到的結果為 0.664, 根據參考標準判斷, 是具有強相關性的。

本研究正式調研獲取的顧客視角品牌資產和

驗、情感體驗、社會體驗和市場視角的三個評價

市場視角品牌資產的數據滿足了線性關係、連續

指標品牌溢價、價格延續、品牌延伸, 每個評價

數據、正態分佈的特點, 正式研究中研究者使用

指標分別都設計了相應的題項, 通過本研究預測

試分析和測驗, 證實了兩個視角品牌資產的評價

指標的每一個對應題項之間都具備了與現有理論

收斂效度再次檢測在顧客視角品牌資產和市場視角品牌資產量表中同一構念的其它指標間確實相互關聯的程度, 考察每個指標在其相應變量上標

匹配的相同的內容或特質。顧客視角品牌資產和

準化因子負荷係數, 得到了表 2 的結論, 在結論

市場視角品牌資產的各個評價指標的題項一致性

中可以了解到本研究各維度標準化因子負荷係數

信度均大於 0.7 的參考值, 證明每個評價指標題

均大於 0.6 的參考值, 同時各維度的組合信度也

信度較強。

值與其它不同的構念之間的不相互關聯程度, 表

為了進一步了解顧客視角品牌資產和市場視

4 和 5 的研究結論顯示AVE的平方根均大於該因

角品牌資產的數據的信度, 本研究利用標準化負

子與其它因子之間的相關係數。本研究的檢驗結

果依序分別為 0.8248、0.8052、0.7368、0.7261

物理定律的情況下, 相關性也許可能是很低的, 但

標準, 所以再次證明了顧客視角品牌資產和市場

種復雜多變因素影響, 預測試 0.664 的相關係數,

項所評價的內容具有實際意義, 其評價結果的可

荷係數, 計算出六個研究指標的組合信度, 計算結

0.7254、0.794, 結果均大於組合信度 0.7 的參考視角品牌資產的三個維度的正式調研數據的穩定性和可靠性。

因此, 根據實證檢驗結果, 顧客視角品牌資產

和市場視角品牌資產的研究量表滿足了內部一致性信度的最低要求, 具有較好的內部一致性。

2. 顧客視角品牌資產和市場視角品牌資產的

相關關係是一種非確定性關係, 相關係數是研究

大於 0.7。再接著利用判別效度檢驗每一個測量

果, 如果是應用在使用高性能的儀器來驗證一個

如果是應用在社會科學中, 由於社會科學受到各

正式調研中大於 0.6 的標準化負荷係數, 組合信度CR大於 0.7, AVE的平方根大於該因子與其它因子之間的相關係數, 這樣的結果在社會科學中已

經可以證明兩者之間是具有強相關性的。所以, 結

果也驗證了在評價品牌資產的一整個過程中, 基

於兩個視角的品牌資產的評價方法, 不是獨立的, 會相互關聯, 甚至有可能相互會受到影響。

變量之間線性相關程度的量。在預測試中通過對

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

這樣的計算結果, 反映了顧客視角品牌資產和

實證檢驗是有效的, 完全符合研究的需要, 模型中

市場視角品牌資產之間相關關係密切程度的統計

的六個研究指標也完全能夠用來評價品牌資產。

指標。另外, 對正式研究獲取數據平均值和標準

差的計算, 顧客視角和市場視角品牌資產每個評

價指標的標準差都為正數, 均大於 0, 所以本研究的相關係數結論是有意義的。

3. 研究過程中, 分別以感知體驗、情感體驗

討論與總結

研究中從綜合研究角度分析了兩個視角品牌

資產測量模式之間的內部壹致性和關聯性, 證實了它們之間存在因果關系。研究結論給企業的品

社會體驗作為顧客視角品牌資產的評價指標, 品

牌營銷戰略提供了幾點重要啟示。

牌溢價、價格彈性、品牌延伸作為市場視角品牌

資產的評價指標, 在問卷設計過程中, 對應研究的

式, 避免單壹測量模式結果的誤導性。企業需將

第一, 企業需兼顧不同視角的品牌資產測量模

理論變量, 問卷設計了多個問項。這些所對應的

不同視角的測量結果應用得恰到好處。顧客視角

驗了感知體驗、情感體驗、社會體驗、品牌溢

整營銷戰略, 市場視角的測量方法更多反映了品

理論變量就是因子, 每個題項都是測度項, 研究檢價、價格彈性、品牌延伸反應品牌資產的評價指標, 根據表 2 檢驗結果, 所有變量的標準化負荷

係數均大於 0.6, 測量指標都可以較好的反映變

量, 這些指標均可以做為變量的測量指標。

驗證性因子分析中, 通過對兩個視角品牌資

產一般卡方自由度的檢驗, 顧客視角品牌資產的

x2/df 值為 1.781, 市場視角品牌資產的 x2/df 值為 3.981, 雖市場視角品牌資產

x2/df

的值, 大

的測量方法有利於診斷品牌存在的問題, 便於調牌過去的營銷活動導致的結果, 但它並不能反映品牌的未來走向。

第二, 創建品牌資產是企業的長遠戰略。研究

的實證結果告訴我們, 僅在營銷的數量上投入不

足以創建品牌資產, 還必須提高營銷質量, 僅從單

壹的角度也不足以創建品牌資產, 還需要各種相關因素的配合。

品牌資產測量的維度涉及到眾多指標, 同時需

於較為嚴格的 “3” 的參考標準, 但因為本研究的

要大量的分析和實證研究, 才能夠對各個維度的

是符合現有研究理論中提出的, 當樣本量較大時,

對市場顧客的問卷調查, 在數據處理的過程中難

x2/df

免忽視主觀性問題。

的樣本達到 529 份, 屬於樣本量較大的情況, 但

處於 3-5 中間, 也是可以被接受的情況。

同時, 顧客視角品牌資產和市場視角品牌資產

相關關系進行研究, 本文的研究數據來源主要是

从綜合視角研究品牌资产, 进一步的努力方向

在絕對擬合指標的其它指標檢驗中, 還有增值擬

有几点。第一, 检验兩個視角品牌资产测量模式

合指標及 RFI、TLI、PNFI、PCFI 等其它擬合指

之间的路径关系。未来研究应检验兩個視角品牌

標的檢測結果, 檢驗所得結論均是處於較為嚴格

资产测量模式之间的路径关系。第二, 检验调节

的參考標準之內, 根據此檢驗結論, 本研究認為,

構建的顧客視角品牌資產和市場視角品牌資產的模型是合理的。

綜上所述, 本研究所構建的基於顧客視角和市

因素及调节效应對品牌資產的影響。第三, 可以

採取非量化的方法, 來對品牌資產中的各變量進

行測量, 利用非量化的數據, 對品牌資產的各變量

設計的內容進行探測性和解釋性的分析。

場視角品牌資產的各維度與關係研究的模型, 經過

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

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Yu, C. L. & Zhao, P. (2003). Brand Equity and the Concept Analysis of Measurement. Nankai Management Review, 6(1), 10-13. [in Chinese] Zhao, P. (2003). Brand Equity and the Concept Analysis. Nankai Management Review, 7(2), 15-125. [in Chinese]

Name and Surname: Yishu Liu Highest Education: Ph.D., Panyapiwat Institute of Management University or Agency: Panyapiwat Institute of Management Field of Expertise: Marketing Management, Brand management Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120 Name and Surname: Zhimin Tang Highest Education: Ph.D., University of Cambridge University or Agency: Panyapiwat Institute of Management Field of Expertise: Policy environment, Business strategies in the Asia Pacific under the background of globalization and information economy Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

社会资本对创业绩效的影响研究 ——以中国五市的创业青年群体为例

THE IMPACT OF SOCIAL CAPITAL ON ENTREPRENEURIAL PERFORMANCE: AN EXAMPLE FROM YOUTH ENTREPRENEURIAL GROUPS IN FIVE CITIES IN CHINA 葛宏翔1 罗教讲2 Hongxiang Ge1 and Jiaojiang

Luo2

1,2正大管理学院中国研究生院

1,2Chinese

Graduate School, Panyapiwat Institute of Management

摘要

在 “大众创业，万众创新” 的号召下，创新与创业迅速成为学术界关注的重点。社会资本在创

业中的重要作用已毋容置疑，而社会资本各维度的具体影响作用仍有待探索。利用具有针对性的社会资本和创业绩效量表，通过对在中国五市选取的640份问卷进行因子分析和多元回归分析发现，社会资本的结构维度、关系维度和认知维度均显著影响了生存绩效和成长绩效，创业者的社会资本对创业绩效存在显著正向影响作用。关键词: 社会资本, 创业绩效, 青年群体

Abstract

Under mass entrepreneurship and innovation, innovation and entrepreneurship have rapidly became the focus of academic circles. There is no doubt about the important role of social capital in entrepreneurship, but the specific impact of social capital dimensions is still to be explored. Using targeted social capital and entrepreneurial performance scale, using factor analysis and multiple regression analysis analyzing 640 questionnaires selected in five cities in China, we discover the structure dimension, relation dimension and cognitive dimension significant impact on survival performance and growth performance. The social capital of the entrepreneur has a significant positive influence on the performance of entrepreneurial performance. Keywords: Social capital, Entrepreneurial performance, The youth group Corresponding Author E-mail: 120920128@qq.com

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

54 引言

究后，指出积累社会资本对推动企业家的成长有

随着经济全球化的逐步深入和科学技术的迅

重要作用，也是新企业良好发展的主导因素之一。

猛发展，企业生存的环境变得更加动态化和复杂

Weisz (2004) 在对新生创业团队的社会资本进行

化。企业必须紧抓企业内外一切可利用的资源，才

了理论分析与实证研究的基础上，发现创业团队

能在激烈的竞争中生存与发展。创业者是创业企

的外部和内部社会资本均对企业的成长存在着积

业成功的重要推动力量，其在企业初创与成长过

极的正向作用。

程中的重要作用及意义已经毋容置疑，但目前研

究创业者的文献中较少直接使用创业者社会资本

影响，并取得了丰硕的研究成果。 Bian & Qiu

的概念，一般使用社会关系来代替社会资本，使

(2000) 以企业家在相关政府部门和其他企业的任

用网络理论来解释创业企业的创建、生存和成长。

职经历以及社会交往和联系的广泛性等指标来反

本研究的主要问题集中在初创企业的社会资本是

映社会资本的水平，结果表明社会资本对企业的

否会对创业绩效产生影响。如果产生影响，又是

经营管理水平与经济效益的提升有直接作用。

如何影响的呢？因此，本文在综合国内外相关研究

Peng & Luo (2000) 以中国安徽、浙江等地区的

的基础上，设计了测量社会资本各维度和创业绩

127位企业经理人为研究对象，采用问卷调查的方

效各维度的量表，并构建了响应的分析模型，提

式收集数据，并验证了企业经理人与政府官员和

出了响应的理论假设，然后通过在中国五市收集

其他企业经理人的社会关系有助于提升企业的绩

的问卷调查和定量的实证分析来进一步验证理论

效。 Wu, Wei & Du (2004) 通过实证发现制药企业

假设的合理性，从而为初创企业通过培育和提升

通过利用与科研院所和其他制药企业之间的社会

企业社会资本来进一步提高创业绩效提供理论与

资本可以促进企业技术创新能力的提高，从而提

实践指导。

升创业绩效。 Yang & Zhang (2008) 通过实证分

国内学者则集中研究社会资本对创业结果的

析了社会资本、创业机会与创业初期绩效之间的文献回顾

关系，并阐述了资源整合效率和效果在社会资本

学者们已经认识到社会资本在创业中的重要

利用水平与创业初期绩效之间的中介作用，同时

作用，并将社会资本视为在创业过程中利用环境

分析了创业机会属性在社会资本利用方式与创业

资源来克服障碍和处理危机的主要工具。国外研

初期绩效之间的调节作用。 Ma (2010) 以第三产

究主要关注社会资本对企业成长的影响。 Abell、

业上市公司为对象，将社会资本分为横向关系网

Crouchley & Mills (2001) 通过对 1955-1990 年

络、纵向关系网络和社会关系网络，在通过实证

间英国私营企业创业成功率的实证分析，表明许

研究后表明社会资本总体上对企业创业绩效影响

多对创业型企业成功率产生影响的因素可纳入到

显著。目前，学者们都比较认同社会资本对创业

企业家个人社会资本的分析范畴。 Hitt & Ireland

绩效的正向影响作用。

(2002) 认为在21世纪，成功企业需要建立一种全

新的战略导向，即在企业内建立社会资本和人力

现学者们普遍认同社会资本对创业绩效的正向影

资本这两种无形资产。 Davidsson & Honig (2003)

响作用，但社会资本各维度对创业绩效的具体影

对 380 位新生企业家进行长达 18 个月的跟踪研

响作用还有待进一步验证。

综合考虑国内外学者的研究成果，本研究发

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

样本选取与变量测量

基于此，总计设计了15个选项，采用李克特量表，

（一）样本选取：

答案分别为 “1=极不赞同， 2=不赞同， 3=基本赞

综合考虑调查成本和青年创业群体的代表性，

同， 4=赞同， 5=完全赞同”。其中，结构维度的题

在中国的东西南北中各选取一个城市发放问卷。

项为： “我在政府、企业以及教育部门有很多朋友

依据城市的经济发展程度和青年创业群体的活跃

（15人以上）”、 “我和这些朋友关系非常密切”、

程度，本文选取上海、重庆、深圳、北京和武汉五

“我与这些朋友经常走动、联络”、 “我是关系圈里

市作为问卷和个案访谈地点。在 “大众创业、万

的核心人物”、 “我会经常帮圈里的朋友处理一些

众创业”的号召下，我国高校大学毕业生的创业率

他们棘手的事情”。关系维度的题项为： “我相信

迅速上升，如2014年教育部直属高校毕业生创业

亲人、朋友会帮助我解决创业中的困难”、 “我和

人数同比上升27.3%，高校毕业生创业已经引起学

亲人、朋友之间相互信守诺言”、 “第一次和政府

术界越来越广泛的关注。同时，笔者长期在重庆、

打交道，我相信政府颁布的相关政策、法规”、 “

北京等地从事教育事业，与调查地点的大部分民

我和政府等部门建立私人关系后，更相信一些政

办高校中高层管理人员有往来，故本次问卷的发

策法规”、 “第一次和商业伙伴合作，我相信企业

放范围为选取城市的高校毕业生与在校生，样本

的合同和承诺”、 “我和相关的商业伙伴建立私人

的毕业年限不限，

只要被访者的年龄低于

关系后，更相信合同及承诺”。认知维度的题项为：

40岁即可。因此，问卷的发放地点首先选定为上

“我和交往的群体拥有共同的语言和话题”、 “我

海、重庆、深圳、北京和武汉五市；然后在每市

会经常和别人谈心、交心”、 “我能与人有效地沟

选取4所学生创业率比较高的高校；最后依据每所

通”、 “我和交往的群体有相同的价值观”。

高校创业人数的多少发放问卷。为对比分析不同

2. 创业绩效

文化程度创业者的社会资本和创业能力，本研究

借鉴 Cai & Yin (2009) 所采用的度量指标，

在遵循上述样本选取原则外，还通过高校毕业生

本文设计创业绩效的题项包括： “净收益率 (净收

的社会网络，调查其推荐的具有一定代表的青年

益/总销售额) ”、 “投资收益率 (投资收益／投资

创业者，故最终的样本总体中，除了包含具有本

成本) ”、 “市场占有率 (产品销售量/该类产品整

科文化程度的创业者外，还包含具有其他文化程

个市场销售总量) ”、 “销售额增长速度”、 “新员

度的创业者。

工数量增长速度”、 “市场份额增长速度”6个题项。

采用电子问卷的形式发放和回收问卷，剔除

询问被访者与同行业主要竞争对象相比，自己企

无效问卷后，共收集640份有效问卷。为深入研究

业近三年的绩效情况。采用李克特量表，答案分

青年创业群体的社会资本、创业能力和创业绩效，

别为 “1=非常差， 2=比较差， 3=一般， 4=比较好，

本研究辅之以个案访谈，在五个市选取有代表性

5=非常好”。

的创业者进行深入个案访谈，共计访谈21人。

（二）变量测量：

研究假设

1. 社会资本

在本研究中，社会资本是创业者通过其社会

能以较低的成本获取资源，甚至能获取竞争对手

关系网络获取的实际资源和潜在资源的总和，主

难以获取的稀缺性资源。 Starr & Macmillan

要包括结构维度、关系维度和认知维度三个维度。

（1990）认为创业者具有的社会资源越好，其越容

Hansen （1995）指出凭借社会资本，创业者

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

易获得更多更好的资源，并能在社会上为自己或

有正向影响；

新创的企业树立良好的形象。创业者拥有越强的

社会关系网络，其发现新创业机会的机率越高，能

有正向影响；

在社会关系网络中得到更加多的资源，也更容易

同他人建立良好的信任关系。不仅创业者获取外

有正向影响。

H3：创业者关系维度社会资本对创业绩效具

H4：创业者认知维度社会资本对创业绩效具

部支持的能力大小受到社会资本水平高低的影响，发现创业机会的概率也同样受社会资本水平高低

数据分析

的影响。 Yang & Chen (2006）从结构维度、关系

维度和认知维度三个维度研究社会资本，并把创

会资本和创业绩效两个量表进行因子分析。社会

业者区分为科技创业者和非科技创业者两类，通

资本分为结构维度因子、关系维度因子、认知维

过对比发现相对于科技创业者而言，非科技创业

度因子；创业绩效分为生存绩效因子、成长绩效

者从社会资本中获取的资源或帮助更大，且社会

因子。按照回归分析的要求，在对数据进行回归

关系网络越紧密，强度越大，其越能给创业者或

分析之前需检验数据之间是否存在序列相关、多

其新创企业带来更好的成长性。 Chen （2010）通

重共线性等问题。由于本文属于横截面研究，不

过实证研究发现创业者社会资本的各维度显著影

需要考虑序列相关问题，需检验多重共线性问题。

响了创业绩效水平。 Zhou (2014）基于广东大学

各模型检验的结果显示，所有模型的容忍度（TOL）

创业园区125名已毕业创业者的问卷调查，实证分

大于 0.1 且方差膨胀因素（VIF）值小于 10，故

析了创业者知识存量、社会资本与创业绩效的关

各模型中的自变量均不存在多重共线性问题，可

系，研究结果表明创业者社会资本显著正向影响

进行多元回归分析。

创业绩效水平。

因此，本文认为创业者拥有的社会资本水平

效的影响。模型1为分析人口学特征变量对创业绩

越高，越能够获取更多、更好的资源，甚至是稀

效的影响程度，模型2为控制了人口学特征的前提

缺性资源，使得创业者或新创企业拥有更好的人

下，分析企业基本情况对创业绩效的影响程度；模

脉资源和社会资源，有利于与外界建立良好的信

型3为控制了人口学特征和企业基本情况的前提

任合作关系，推动新创企业更好、更快地成长，最

下，分析社会资本各位维度对创业绩效的影响程

终对创业绩效产生积极影响作用。

度。具体的数据分析结果如下：

（一）人口学变量对生存绩效的影响

绩效的影响作用提出以下研究假设：

总体上来说，人口学变量对生存绩效产生了

不同程度的影响作用。具体体现为，性别变量与

基于以上文献分析，本文就社会资本对创业

H1：创业者社会资本对创业绩效具有正向影

响；

H1a：创业者社会资本对生存绩效具有正向影

即相对于女性来说，男性创业者所创公司的生存绩效更好，文化程度越高创业者所创公司的生存

H1b：创业者社会资本对成长绩效具有正向影

响；

本文将通过三个模型分析社会资本对创业绩

文化程度变量两个变量显著影响公司的生存绩效，

响；

在开展多元回归分析之前，本研究首先对社

绩效更好。年龄变量对生存绩效无显著影响作用，具体分析如下：

H2：创业者结构维度社会资本对创业绩效具

注： a:参照类别为女性， b:参照类别为无创业经历。

639

523

0.056

0.000

样本量

0.000

0.029

523

0.300

21.389

调整后的R2

0.000

5.729

F 值

4.886

1.623

3.121

常数 0.000

0.243

社会资本认知维度 2.929

0.152

0.062

0.059

0.001

0.006

0.074

0.001

-0.063

0.085

回归系数

社会资本关系维度

0.995

0.007

0.141

0.430

0.000

0.370

0.366

0.002

P 值

0.163

0.002

0.109

0.070

0.044

0.194

0.457

-0.460

0.053

标准回归系数

模型 2

社会资本结构维度

0.004

有创业经历b

0.126

0.047

0.000

0.001

公司销售额

0.162

0.257

-0.054

0.001

0.111

文化程度

0.516

0.307

0.091

回归系数

公司员工数

0.001

年龄平方

-0.466

0.004

P 值

0.008

-0.057

年龄

0.089

标准回归系数

公司成立时间

0.120

男性a

回归系数

模型 1

表 1 社会资本对生存绩效的多元回归模型

0.259

0.155

0.187

0.036

0.135

0.081

0.030

0.114

0.486

-0.541

0.064

标准回归系数

模型 3

0.000

0.010

0.000

0.007

0.000

0.353

0.004

0.049

0.529

0.003

0.270

0.220

0.001

P 值

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560 第一，人口学变量对生存绩效的影响较为显

即年龄较大和年龄较小的创业者所创公司的绩效

著。总的来看，性别变量与文化程度变量显著影

较高，处于中间段的创业者所创公司的绩效较低。

响了公司的生存绩效。其中，性别变量的回归系

本文调研对象为40岁以下的青年创业群体，导致

数为正数，文化程度的回归系数也为正数，表明

年龄变量与生存绩效呈U型关系可能的解释为：在

相对于女性而言，男性创业者成立的公司具有更

创业过程中，具有创业灵感和闯劲、具有较为广

高生存绩效，文化程度越高创业者成立的公司具

阔的社会资源是保障创业成功的两个重要因素，

有更高生存绩效。通过观察模型 1、模型 2 和模

而年龄越小的创业者，创业灵感和闯劲较强；年

型 33 三个模型中性别变量和文化程度变量的显

龄越大的创业者，拥有的社会资源越广。因此，这

著性变化程度，本文发现在加入了公司基本情况

两类人的生存创业绩效往往相对较高。

和社会资本变量后，两个变量依旧显著影响了公

（二）公司基本情况变量对生存绩效的影响

司的生存绩效。表明性别和文化程度变量对公司

公司的基本情况包括成立时间、员工数目、年

生存绩效的影响非常显著且稳定。在中国，虽然

销售额和创业经历四个变量。总体而言，四个公

性别平等早已深入人心，但男权主义和社会分工

司的基本情况变量对公司生存绩效的影响较小。

的不同依旧限制了女性的工作时间和精力，一般

具体而言，销售额变量和员工数目变量显著影响

而言，女性会花费更多的时间和精力照顾家庭。特

了公司的生存绩效。其中，销售额变量显著影响

别是青年女性，面临着生育和抚育孩子的压力，随

作用在模型 2 和模型3中都存在，表明其对公司

着二孩政策的推广，青年女性的大部分时间花在

生存绩效的影响非常强烈且稳定，是影响公司生

照顾孩子和家庭上。因此，面对纷繁复杂的市场

存绩效的一个重要因素，表明年销售额越高的公

环境，相对于男性创业者而言，青年女性由于缺

司，生存绩效也越好。员工数目在模型 2 中无显

乏充足且持续的时间和精力投入，创业之路更为

著影响作用，但其在模型3中显著影响了公司的生

艰辛，期创立公司的生存绩效也相对较低。在知

存绩效。表明员工数目对公司生存绩效存在一定

识经济时代，创新成为当代中国的主旋律，李克

影响作用，但不够稳定和强烈。回归系数为正，但

强总理在2014年的下级达沃斯论坛上提出 “大众

系数非常小表明员工越多的公司生存绩效越好。

创业，万众创新”的口号。对于缺乏社会资本和资

综合前面的文献综述，我们发现青年创业群体由

金的青年创业者而言，努力学习新知识进行创新

于受到社会资本和资金的限制，无法创立规模很

成为生存的必要前提。面对当前知识迅速换代升

大的企业，并且段时间内也难以迅速扩大公司规

级，没有较高的文化程度显然无法跟上时代的步

模。因此，这些公司的员工数目通常较少，它们

伐。因此，文化程度越高的创业者，在学习并利

主要依靠技术创新获取利益，而不是简单的增加

用新知识进行创新、创业上具有优势，导致其创

公司员工数目获取利益。其他两个个变量对公司

立公司的生存绩效较高。

生存绩效无统计学意义的显著影响作用，可通过

第二，年龄、年龄平方变量对生存绩效无显

观察回归系数了解其对公司生存绩效的影响。成

著影响作用，我们依旧可观察回归系数来了解其

立时间和创业经历两个变量的回归系数都为正，

对生存绩效的影响情况。年龄变量的回归系数为

表明公司的生存绩效会随公司的成立时间的增加

负数，而年龄平方的回归系数为正数，表明年龄

而有所上升，有创业经历或管理经历的创业者所

变量与生存绩效并非呈线性影响关系，呈U型关系，

创公司的生存绩效更高。

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

（三）社会资本变量对生存绩效的影响

更高的成长绩效，文化程度越高创业者成立的公

在模型3中，本研究在多元回归中添加了社会

司具有更高成长绩效。通过观察模型1、模型2和

资本变量的结构维度、关系维度和认知维度，观

模型3三个模型中性别变量和文化程度变量的显著

察控制了人口学变量和公司基本情况变量变后，

性变化程度，本文发现在加入了公司基本情况和

社会资本变量对生存绩效的影响作用。观察模型

社会资本变量后，两个变量依旧显著影响了公司

3 中的P值，我们发现社会资本的三个维度因子均

的成长绩效。表明性别和文化程度变量对公司成

显著影响了公司的生存绩效，回归系数为正数，表

长绩效的影响非常显著且稳定。前文已经指出，随

明社会资本越广的创业者所创立公司的生存绩效

着二孩政策的放开，中国女性花费在家庭上的时

更高，具体而言：具有社会网络关系越多的创业者

间和精力会越来越多，而公司规模的扩大需要创

所创立公司的生存绩效更高，与他人形成关系模

业者花费比原来更多的时间和精力，因此，相对

式越多的创业者所创立公司的生存绩效更高，与

于女性来说，男性创业者有更多的时间和精力去

朋友之间具有共同文化和目的越多的创业者所创

扩大公司规模，不断提升公司的销售额和市场份

立公司的生存绩效更高。表明对于青年创业群体

额。在知识经济时代，新创企业需要不断学习新

来说，社会资本是影响企业生存绩效的一个重要

知识和新技术使得公司得以生存。在当下中国，市

因素，社会资源越广，意味着创业者的朋友遍布

场竞争已经非常激烈，部分的竞争已经接近白热

政府、企业和教育等部门，其可利用掌握的资源

化，新创公司如果要扩大规模、提升销售额与市

帮助自己或者朋友解决遇到的困难，在与政府、企

场份额，就必须进行创新，而知识的学习对创新

业等部门打交道过程中也更容易形成彼此信任的

至关重要。因此，生存绩效的提升很大程度上依

合作关系。因此，宽广的社会资本能帮助创业者

赖于创业者的文化程度。

在激烈的市场竞争中优先获取信息或资源，在行

业竞争中脱颖而出。

显著影响作用，且年龄变量的回归系数为负，年

龄平方的回归系数为正。表明年龄变量与生存绩

本文提出的研究假设H1a得到验证。（四）人口学变量对成长绩效的影响

第二，年龄、年龄平方变量对成长绩效存在

效并非呈线性影响关系，呈U型关系，即年龄较大

总体上来说，人口学变量对生存绩效产生了

和年龄较小的创业者所创公司的成长绩效较高，

较为明显的影响作用。具体体现为，性别、年龄

处于中间段的创业者所创公司的成长绩效较低。

和文化程度变量三个变量显著影响公司的成长绩

本文调研对象为40岁以下的青年创业群体，导致

效，即相对于女性来说，男性创业者所创公司的

年龄变量与成长绩效呈U型关系可能的解释为：年

成长绩效更好，文化程度越高创业者所创公司的

龄较小的创业者由于新创立公司不久，急需通过

成长绩效更好，年龄变量与成长绩效呈U型关系。

各种手段来增加公司的员工数、提升公司的销售

具体分析如下：

额和市场份额。年级较大的创业者具备的社会资

第一，人口学变量对公司成长绩效的影响较

本较多，拥有较为雄厚的资金基础，其创立公司

为显著。总的来看，性别变量与文化程度变量显

经过一段时间的平稳发展后急需进行一定程度的

著影响了公司的成长绩效。其中，性别变量的回

突破，扩大公司规模。而年级处于中间层次的创

归系数为正数，文化程度的回归系数也为正数，表

业者，其创立公司刚经过高速的新创增长期，对公

明相对于女性而言，男性创业者成立的公司具有

司来说，稳定发展胜过继续扩大规模。因此，年龄

注： a:参照类别为女性， b:参照类别为无创业经历。

639

样本量

523

0.050

523

0.219

14.353

0.022

0.000

调整后的R2

4.466

3.517

F值

0.000

2.979

0.000

3.796

常数

4.103

0.240

社会资本认知维度 0.000

0.102

0.038

社会资本关系维度

0.264

0.076

0.001

-0.001

0.052

0.002

-0.136

0.143

回归系数

0.151

0.051

0.009

0.064

0.869

0.001

0.083

0.046

0.007

P 值

社会资本结构维度

0.092

有创业经历b

0.143

0.089

0.009

0.144

0.099

0.066

0.002

0.885

-1.018

0.109

标准回归系数

模型 2

0.002

公司销售额

0.125

0.152

-0.126

0.001

0.090

文化程度

0.657

0.127

0.117

回归系数

公司员工数

0.002

年龄平方

-0.702

0.003

P 值

0.002

-0.091

年龄

0.010

标准回归系数

公司成立时间

0.117

男性a

回归系数

模型 1

表 2 社会资本对成长绩效的多元回归模型

0.241

0.098

0.163

0.021

0.165

0.099

-0.004

0.076

0.922

-1.100

0.124

标准回归系数

模型 3

0.000

0.003

0.000

0.609

0.001

0.023

0.944

0.009

0.047

0.018

0.002

P 值

60 วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

与企业的成长绩效并未线性关系，而是呈U型关系。

因素。公司的生存需要社会资本，公司的成长更

（五）公司基本情况变量对成长绩效的影响

需要社会资本。宽广的社会资本能使创业者获取

公司的基本情况包括成立时间、员工数目、年

更多、更好的资源，甚至是稀缺性资源，让公司

销售额和创业经历四个变量。总体而言，四个公

再市场竞争中迅速提升销售额和市场份额。

司的基本情况变量对公司的成长绩效存在一定程

本文提出的研究假设H1b得到验证。

度的影响。具体而言，销售额变量和员工数目变

综合考虑社会资本各维度对生存绩效和成长

量显著影响了公司的成长绩效。其中，销售额变

绩效的影响程度，本文发现创业者的社会资本对

量显著影响作用在模型2和模型3中都存在，表明

创业绩效具有正向显著影响作用；创业者社会资

其对公司成长绩效的影响非常强烈且稳定，是影

本中的结构维度对创业绩效具有正向显著影响作

响公司成长绩效的一个重要因素，年销售额越高

用；创业者社会资本中的关系维度对创业绩效具

的公司，成长绩效也越好。员工数目在模型2中无

有正向显著影响作用；创业者社会资本中的认知

显著影响作用，但其在模型3中显著影响了公司的

维度对创业绩效具有正向显著影响作用。

成长绩效。表明员工数目对公司成长绩效存在一

定影响作用，但不够稳定和强烈。回归系数为正，

验证。

本文提出的研究假设 H1、 H2、 H3、 H4 得到

但系数非常小，表明员工越多的公司成长绩效越好。其他两个个变量对公司成长绩效无统计学意

六、结论与讨论

义的显著影响作用，可通过观察回归系数了解其

（一）社会资本对生存绩效的影响作用

对公司成长绩效的影响。成立时间和创业经历两

人口学变量对生存绩效产生了不同程度的影

个变量的回归系数都为正，表明公司的成长绩效

响作用。具体体现为，性别变量与文化程度变量

会随公司的成立时间的增加而有所上升，有创业经

两个变量显著影响公司的生存绩效，即相对于女

历或管理经历的创业者所创公司的成长绩效更高。

性来说，男性创业者所创公司的生存绩效更好，文

（六）社会资本变量对成长绩效的影响

化程度越高创业者所创公司的生存绩效更好。年

在模型3中，本研究在多元回归中添加了社会

龄变量对生存绩效无显著影响作用。总体而言，四

资本变量的结构维度、关系维度和认知维度，观

个公司的基本情况变量对公司生存绩效的影响较

察控制了人口学变量和公司基本情况变量变后，

小。具体而言，销售额变量和员工数目变量显著

社会资本变量对成长绩效的影响作用。观察模型

影响了公司的生存绩效。年销售额越高的公司，生

3中的P值，我们发现社会资本的三个维度因子均

存绩效也越好；员工越多的公司生存绩效越好。

显著影响了公司的成长绩效，回归系数为正数，表

成立时间和创业经历对公司生存绩效无统计学意

明社会资本越广的创业者所创立公司的成长绩效

义的显著影响作用。

更高，具体而言：具有社会网络关系越多的创业者

所创立公司的成长绩效更高，与他人形成关系模

后，社会资本变量的结构维度、关系维度和认知

式越多的创业者所创立公司的成长绩效更高，与

维度均显著影响了公司的生存绩效，回归系数为

朋友之间具有共同文化和目的越多的创业者所创

正数，表明社会资本越广的创业者所创立公司的

立公司的成长绩效更高。表明对于青年创业群体

生存绩效更高，具体而言：具有社会网络关系越多

来说，社会资本是影响企业成长绩效的一个重要

的创业者所创立公司的生存绩效更高，与他人形

在控制了人口学变量和公司基本情况变量变

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

成关系模式越多的创业者所创立公司的生存绩效

的创业者所创立公司的成长绩效更高，与他人形

更高，与朋友之间具有共同文化和目的越多的创

成关系模式越多的创业者所创立公司的成长绩效

业者所创立公司的生存绩效更高。

更高，与朋友之间具有共同文化和目的越多的创

（二）社会资本对成长绩效的影响作用

业者所创立公司的成长绩效更高。

人口学变量对公司成长绩效的影响较为显著，

（三）讨论

具体体现为，性别变量与文化程度变量两个变量

本文融合社会资本与创业两大理论体系，设

显著影响公司的成长绩效，即相对于女性来说，男

计出测量社会资本和创业绩效具体维度的量表，

性创业者所创公司的成长绩效更好，文化程度越

并构建出一个社会资本对创业绩效影响的理论分

高创业者所创公司的成长绩效更好，年龄变量对

析框架模型，试图揭示主要变量之间的基本关系

生存绩效无显著影响作用。总体而言，四个公司

和内在规模，在理论上拓展了社会资本与创业绩

的基本情况变量对公司的成长绩效存在一定程度

效的研究领域。

的影响。具体而言，销售额变量和员工数目变量

显著正向影响了公司的成长绩效，即年销售额越

对创业绩效有着非常大的影响作用，是企业生存

高的公司，成长绩效也越好；员工越多的公司成

与发展的关键因素。为不断积累社会资本，创业

长绩效越好。

者一方面需要积极寻求业务合作伙伴，参加各种

在控制了人口学变量和公司基本情况变量变

正式或非正式的商务活动，不断开发具有异质性

后，社会资本变量的结构维度、关系维度和认知

的社会网络。另一方面还应加强与相关政府部门

维度均显著影响了公司的成长绩效，回归系数为

的联系，外部资源对创业企业来说非常关键，创

正数，表明社会资本越广的创业者所创立公司的

业企业应尽可能多地获取外部力量的支持。

依据数据分析结果可知，创业者的社会资本

成长绩效更高，具体而言：具有社会网络关系越多

References

Abell, P., Crouchley, R. & Mills, C. (2001). Social Capital and Entrepreneurship in Great Britain. Enterprise & Innovation Management Studies, 2(2), 119-144. Bian, Y. & Qiu, H. (2000). The social capital and effect of enterprises. Social Sciences in China, 2, 87-99. [in Chinese] Cai, L. & Yin, M. M. (2009). Study of the influence of start-up’s learning ability, resource integration method to its corporate performance. Management World, 10, 129-132. [in Chinese] Chen, X. (2010). Research on the effect of entrepreneurial performance of entrepreneur’s human capital and social capital. Master’s thesis, Shandong University. [in Chinese] Davidsson, P. & Honig, B. (2003). The role of social and human capital among nascent entrepreneurs. Journal of Business Venturing, 18(3), 301-331. Hansen, E. L. (1995). Entrepreneurial Networks and New Organization Growth. Entrepreneurship Theory and Practice, 19(4), 7-19. ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

Hitt, M. A. & Duane, R. (2002). The Essence of Strategic Leadership: Managing Human and Social Capital. Journal of Leadership & Organizational Studies, 9(1), 307-18. Hitt, M. A. & Ireland, R. D. (2002). The Essence of Strategic Leadership: Managing Human Capital and Social Capital. Journal of Leadership and Organization Studies, 9(1), 3-14. Ma, L. (2010). Measurement of entrepreneurs’ social capital and its impact on corporate performance—based on the research on emerging tertiary industry listed companies. South China Economy, 5, 33-45. [in Chinese] Peng, M. W. & Luo, Y. (2000). Managerial ties and firm performance in a transition economy: The nature of a micro-macro link. Academy of Management Journal, 43(3), 486-501. Starr, J. A. & Macmillan, I. C. (1990). Resource Cooptation Via Social Contracting: Resource Acquisition Strategies for New Ventures. Social Science Electronic Publishing, 11(Special Issue), 79-92. Weisz, N. (2004). A theoretical and empirical assessment of the social capital of Nascent entrepreneurial teams. Purdue University. Wu, X. B., Wei, Y. & Du, J. (2004). The strategy network research of pharmaceutical enterprise technology innovation in China. R&D Management, 16(6), 24-28. [in Chinese] Yang, J. & Zhang, Y. L. (2008). The construction of theoretical model of social capital, entrepreneurial opportunities and startup performance and related research proposition is put forward. Foreign Economics & Management, 30(10), 17-24. [in Chinese] Yang, J. P. & Chen, Y. (2006). Analyzing the influence of social capital of science and technology business enterprise growth. Ethnic higher education research, 12(1), 45-48. [in Chinese] Zhou, J. (2014). Study on the Entrepreneurs relationship between the stock of knowledge, social capital and entrepreneurial performance. Journal of Kaifeng Institute of Education, 6, 290-291. [in Chinese]

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Name and Surname: Hongxiang Ge Highest Education: Ph.D. Candidate, Panyapiwat Institute of Management University or Agency: Panyapiwat Institute of Management Field of Expertise: Business Management Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120 Name and Surname: Jiaojiang Luo Highest Education: Doctor of Economics, Wuhan University, China University or Agency: Panyapiwat Institute of Management Field of Expertise: Behavioral Economics Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

个人-组织匹配、心理授权和员工组织承诺关系研究

STUDY ON THE RELATIONSHIP OF PERSON-ORGANIZATION FIT, PSYCHOLOGICAL EMPOWERMENT AND EMPLOYEE ORGANIZATIONAL COMMITMENT 袁华

Hua Yuan 正大管理学院中国研究生院

Chinese Graduate School, Panyapiwat Institute of Management

摘要

本研究以社会交换理论为基础, 提出了个人-组织匹配、心理授权和员工组织承诺之间关系的理

论模型。采用问卷调查法, 收集到 548 份有效问卷, 使用SPSS 21.0 软件对数据进行了分析。结果显

示, 个人-组织匹配与员工组织承诺是正的相关关系, 并且心理授权在两者间起部分中介作用。研究告诉

企业领导者, 不仅要通过提高个人-组织匹配来提高员工的组织承诺, 而且要善于为员工营造一种心理授权的感受, 提高员工的自我效能, 从而提高员工的组织承诺。关键词: 个人-组织匹配, 心理授权, 员工组织承诺

Abstract

Based on the theory of social exchange, the paper puts forward the theoretical model of the relationship between person-organization fit, psychological empowerment and employee organizational commitment. A total of 548 valid questionnaires were collected, and the data were analyzed by SPSS 21.0 software. The result shows that relationship between person-organization fit and employee organizational commitment is positive, and psychological empowerment plays a partial mediating role between them. It tells the business leaders not only to improve personorganization fit, but also to create a better feeling of psychological empowerment, so as to improve employee organizational commitment. Keywords: Person-Organization Fit, Psychological Empowerment, Employee Organizational commitment Corresponding Author E-mail: 35335713@qq.com

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68 引言

在当今世界, 随着科技的飞速发展, 知识经济

理授权 (Psychological Empowerment) 是授权的个体内心的综合体验, 包含意义、自我效能感自

已成为时代潮流。国际竞争日趋激烈。在经济全

主性以及影响四个维度。心理授权能提高员工组

球化和知识经济时代, 不仅是国家之间的综合国

织承诺。

力的竞争。而且企业竞争的焦点也逐渐转移到科

技知识作为核心竞争力。科学技术中最突出的竞

究。而且并没有将个人-组织匹配、心理授权、组

争体现在人力资源方面。企业管理者关心如何才

织承诺作为一个整体进行研究。

能吸引、选聘、留住高素质人才。个人-组织匹配

(Person-Organization

配效应进行探究, 同时, 从维度层面研究个人-组

fit, P-O fit) 问题的研

究近年来受到了学术界和企业界的高度关注。

个人-组织匹配是讨论个人与组织的相容性,

大多数学者的研究中, 多是从单一维度进行研

因此, 有必要对多维度概念下的个人-组织匹

织匹配对心理授权、组织承诺的具体作用机理。

个人-组织匹配的深层心理动机是什么 ? 个

主要从价值观、需求-供给匹配、要求-能力匹配

人-组织匹配和员工组织承诺之间的影响机制是什

三个方面考查个人与组织的关系。组织承诺

么? 本文在中国情景下, 通过实证调查制造业和非

(Psychological Empowerment), 是员工对组织的承诺, 组织承诺能对员工的工作满意度、组织公民行为有良好的影响, 能预测员工的离职倾向心

制造业的员工, 探讨以上问题。

本文研究模型如图 1 所示。

图 1 个人-组织匹配、心理授权和员工组织承诺关系模型理论基础及研究假设

个人-组织匹配的理论基础 : 社会交换理论

(social

exchange theory)。员工和组织之间是

一种交换关系, 员工提供组织所需要的技能、资源等。组织为了回应员努力工作工和满足社会情绪需求, 重视他们的贡献和关心他们的幸福。

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

1. 个人-组织匹配与员工组织承诺

图 2 提出的人-组织匹配整合模型 (Kristof, 1996)

(1) 个人-组织匹配

(2) 组织承诺

个人-组织匹配可以被看作是个体的特质与他

或她工作的整个组织的特质之间的兼容

Backer最早提出的组织承诺概念。员工对组

织的认同, 随着个人单方面对组织的投入增加而

性。(Lewin, 1935) 提出的吸引—选择—保留 (ASA)

对组织产生的依附。早期研究将构造视为一个维

产生吸引, 个体会进入组织。(Schneider, 1987)

(Porter

理论, 指个人和组织的特质相似时, 组织会对个体

度 , 基于态度视角 , 包含身份识别 , 参与和忠诚

指出, 态度和行为是由人与环境的属性之间的一

人与特定组织的识别和参与的相对强度”。(Allen

致性。个人特征可以包括个人的生里或心理需求, 价值观, 目标, 能力或个性; 环境特征可以指内在

或外在的奖励, 物质或心理需求, 文化价值或环境

et al., 1974)。组织承诺被定义为

“个

& Meyer, 1996) 将组织承诺定义为员工和组织之间的心理联系, 使员工不愿意自愿离开。一个忠

诚的员工认同组织, 做出个人的努力, 无私地工作,

条件。(Kristof, 1996) 在总结前人研究, 将个人-

有助于提高组织的整体绩效。将组织承诺分为三

一个实体提供其他需要, 或 (b) 它们具有相似的基

组织匹配定义为人与组织之间的兼容性, (a) 至少

维度: 感情承诺、持续承诺、规范承诺。

中国学者 Ling, Zhang & Fang (2000), 提出

本特征或 (c) 两者。并总结提出了匹配的整合模

了中国员工组织承诺的

型 (一致性匹配、互补性匹配、整合性匹配)。

“五因素模型”。他认为, 中国员工组织承诺应包含五个基本维度: 感情承

诺、规范承诺、理想承诺、经济承诺和机会承诺

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(3) 个人-组织匹配与员工组织承诺 Kristof (1996) 研究发现个人-组织价值观匹

三个维: 情感承诺、持续承诺和规范承诺的全面研究。

配对员工满意度、组织承诺、工作角色外的行

为、工作表现、压力、员工行为取向和离职率都

基于上面的论述, 提出以下研究假设:

H1: 个人-组织匹配与员工组织承诺呈正相关

有正面的影响。研究发现人-组织匹配与组织承诺

关系, 即个人-组织匹配程度越高, 员工的组织承

间存在显著的相关关系。

诺越高。

Verquer, Beehr & Wagner (2003) 运用元分

析方法, 研究表明, 个人-组织匹配和工作满意度、

H1a: 价值观匹配程度越高, 员工的组织承诺

越高。

组织承诺之间均呈正相关关系; 个人-组织匹配和

离职倾向之间呈负相关关系。个人-组织匹配对三

诺越高。

个态度变量均有预测作用。(Sekiguchi, 2003) 通

过研究在美国西北的一个大型公立大学的 91 个

诺越高。

参加高管教育项目学习的经理和业务专家。发现

个人-组织匹配比个人-工作匹配更加适合长期的

2. 个人-组织匹配与心理授权

职位, 而且个人-组织匹配更能影响员工的工作状

个体的行为。

是提升自我效能感到过程, 这种内在信念的改变

态。表明, 个人-组织匹配度能更好的预测和解释

Saleem & Allama (2011) 调查了沙特阿拉伯

公立高等教育事业单位 315 名管理者, 研究结果

表明组织承诺和知识共享态度呈正相关, 提高个

人-组织匹配, 增加员工组织承诺, 从而影响员工

H1b: 需求-供给匹配程度越高, 员工的组织承 H1c: 要求-能力匹配程度越高, 员工的组织承

Conger & Kanungo

(1988)

以社会认知理论

为基础, 提出授权是一个内在激励的过程, 其本质与外部环境因素有关, 常常会导致个体行为的改变。

Spreitzer (1995) 研究指出, 领导行为、组织

文化、薪酬结构以及员工的自尊、知识、信息获

知识共享态度。(Bremner & Goldenberg, 2016)

取都对员工心理授权产生影。而外向型个体特征

表明个人-组织匹配在领导满意度和组织承诺之间

任务激励增加, 表现为一组四种认知反映了个人

通过调查加拿大武装部队的 6503 名人员, 结果起到完全中介作用, 在组织支持和组织承诺之间

在这些因数中起着调节作用。心理授权是 “内在

对其工作角色的定位: 能力, 影响, 意义和自我决

起到部分中介作用。

定”。能力是指感觉自我效能或个人掌握能力, 能

中国许多学者对个人-组织价值观匹配与组织

够成功地完成任务。影响是指个人的工作在实现

承诺之间的关系也做过相应的研究, (Chen & Wang,

任务的目的和个人认为他或她可以影响组织结果

2007) 研究表明, 个人-组织匹配各维度和组织承

的程度上有所不同的程度。意义是指个人对给定

诺均有显著正相关 (相关系数在 0.16-0.46 之间)

任务基于个人标准的重量, 而自我决定或选择是

指在做出关于工作的决策中的自主感。

学者们关于个人-组织匹配研究方面, 主要是

以个人-组织匹配作为整体一个维度, 或从价值观匹配一个维度研究与组织承诺关系。并且还没有学者从个人-组织匹配的三个维度: 价值观匹配需求-供给匹配、要求-能力匹配, 研究与组织承

Johnson & Thurston (1997) 在研究中发现, 在

组织环境影响因素中, 管理者的沟通团队工作员工与公司关系会对员工的心理授权产生影响, 任务导向和关系导向的组织文化也对员工的心理授

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

权产生影响。(Gregory, Albritton & Osmonbekov,

理想承诺都是显著正相关。(Pan, Zhou & Zhou,

员的调查, 结果这个样本的结果表明, 心理授权中

影响。

2010) 通过对大学教师和具有主管绩效的工作人

介了个人-组织匹配和工作内绩效之间的关系, 以及个人-组织匹配和工作满意度之间的关系。个

人-组织匹配和心理授权的两个因数 (影响和自我决定) 相关。

基于上面的论述, 提出以下研究假设:

H2: 个人-组织匹配与员工心理授权呈正相关

2010) 的研究证实了心理授权对组织承诺的显著

在人力资源开发领域, 组织承诺是满意度, 绩

效, 变革和创新中最常用的变量之一。虽然有各

种各样的研究探索心理授权和组织承诺, 但是很少研究同时调查三个维度反映组织的动态。为了进一步研究心理授权与组织承诺之间的关系, 本研究将调查心理授权和组织承诺的每个维度之间

关系, 即个人-组织的匹配度越高, 员工心理授权

的关系。

越高

H2a: 价值观匹配度越高, 员工心理授权越高。

H2b: 需求-供给匹配度越高, 员工心理授权越

高。

H2c: 要求-能力匹配度越高, 员工心理授权越

基于上面的论述, 提出以下研究假设:

H3: 员工心理授权与组织承诺呈正相关关系,

即个人表现出的心理授权越多, 其组织承诺越高。

H3a: 工作意义程度越高, 员工的组织承诺越

高。 H3b: 自主性程度越高, 员工的组织承诺越高。

高。

3. 心理授权与组织承诺

高。

Thomas & Velthouse (1990) 认为, 经过授权

的员工在工作中会更积极主动、参与度更高, 从

H3c: 自我效能程度越高, 员工的组织承诺越

H3d: 工作影响程度越高, 员工的组织承诺越

高。

而产生更高的工作满意度和组织承诺 , 因此心

理授权与员工满意度和组织承诺呈正相关

4. 心理授权的中介作用

Spreitzer, Janasz & Quinn (1999) 的研究进一

步证明, 心理授权的不同维度对员工参与度、工

作有效性、员工工作满意度、组织承诺、组织公民行为等的影响不完全相同。

Liden, Wayne & Sparrowe (2000) 研究表明,

Liden, Wayne & Sparrowe (2000) 研究心理

授权对工作、人际关系和工作结果关系的中介作用, 调查结果表明, 领导成员交换 (LMX), 团队成员

交换关系 (TMX), 和工作成果。心理授权的意义和

能力维度对工作特性与工作满意度有中介作用

心理授权可以导致更高水平的工作满意度, 组织

意义维度中介工作特性与组织承诺之间的关系

究根据对韩国首尔 29 家高档酒店餐厅的 330

由工作性质的解释 (通过授权) 但LMX与TMX与工作

承诺和工作绩效。(Beomcheol et al., 2012) 研名员工的调查, 研究发现心理授权的维度和组织

承诺之间的正向影响关系, 实证了管理层信任度

在心理授权与承诺之间关系中的中介作用。

Liu (2006) 研究表明, 员工心理授权的工作意

义、工作自主性和影响力与感情承诺规范承诺和

这些研究结果表明, 工作满意度在很大程度上是特性与授权相结合, 解释变化的组织承诺和工作绩效。

Avolio (2004) 以新加坡公立医院护士作为研

究对象, 研究变革型领导、心理赋权和组织承诺

的关系研究时, 发现变革型领导具有与心理赋权

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和组织承诺的显着关系。

Gregory, Albritton & Osmonbekov (2010) 通

过对大学教师和具有主管绩效的工作人员的调查,

结果这个样本的结果表明, 心理授权中介了个人-

家企业现场发放问卷调查。一共发放问卷 160 份, 有效问卷 132 份 (有效率 82.5%)。进行探测性的然后进行因子分析。(3) 讨论。我邀请了 1 位高校从事企业管理研究的教授和 5 位企业人力资

组织匹配和工作内绩效之间的关系, 以及个人-组

源主管对问卷进行集体讨论。(4) 经过以上步骤,

织匹配和工作满意度之间的关系。个人-组织匹配

对量表进一步修改。组织承诺量表中的

如何影响员工的态度和行为的原因: 心理授权的

两个因数 (影响和自我决定), 解释个人-组织匹配

“我觉得自己人生观价值观与企业组织的价值观很一致” 这 1 条的删除, 形成 17 个条目的量表。

和工作满意度之间的关系以及个人-组织匹配和角

色绩效之间的关系的两个因素。

数据统计分析

Li & Tian (2006) 等验证了变革型领导通过

心理授权来影响员工的态度和行为。

基于上面的论述, 提出一下研究假设:

H4: 心理授权在个人-组织匹配与组织承诺的

关系中起中介作用。

四川等地的企业发放和回收, 共发放问卷 900 份, 总计共收回 760 份, 回收率为 84.4%。经过初步检查, 剔除漏项填答及填答一致 (如均选 5) 之无效问卷 212 份, 有效回卷共 548 份, 有效问卷

研究设计 1. 量表的选择本文所研究的概念的测量量表主要来自于西

方学者的研究文献。(1) 个人-组织匹配量表。采用 (Cable & Derue, 2002) 的研究成果, 共包含

了价值观匹配、需求-供给匹配和要求-能力匹配, 3 个维度, 共 9 个题项。(2) 心理授权量表。采用

(Spreitzer,

1995) 开发的心理授权量表, 共包含

工作意义、自我效能、自主性、工作影响 4 个维度, 共 12 个题项。Li & Tian (2006) 在中国文化背景下对问卷的适用性做了验证, 表明信度

较好。(3) 组织承诺量表。采用 Allen & Meyer

(1996) 的组织承诺量表, 共包含情感性承诺、持续性承诺、规范性承诺 3 个维度, 共 18 个题项。 2. 研究过程

本研究问卷调查历经三个多月在青岛广州

回收率为 60.8%;

(1)

量表的翻译。首先, 请 2 位企业管理专

业和英语专业的的研究生共同将量表由英文翻译成中文。然后, 给 1 位人力资源方向的教授, 请他评价修改。(2) 问卷的预调查。在四川成都的两

人口统计分析为: 性别: 男, 303 人, 占 55.3%,

女 , 245 人 , 占 44 . 7% ; 职位阶层 : 普通职员 , 251 人, 占 45.8, 基层管理者, 152 人, 占 27.7%, 中层管理者 , 125 人 , 占 22 . 8% , 高层管理者 , 20, 占 3.6%; 年龄: 20 岁以下, 13 人, 占 2.4%, 21-25 岁, 46 人, 占 8.4%, 26-30 岁, 144 人, 26.3%, 31-35 岁, 170 人, 占 31.0%, 36-40 岁, 135 人, 占 24.6%, 41-45 岁, 23 人, 占 4.2%, 46-50 岁, 10 人, 占 1.8%, 51-55 岁, 5 人, 占 0.9%; 学历: 中专及以下, 69 人, 占 12.6%, 大专, 119 人, 占 21.7%, 本科, 261 人, 占 47.6%, 硕士, 89 人, 占 16.2%, 博士, 10 人, 占 1.8%; 工作年限: 1-2 年, 102 人, 占 18.6%, 3-5 年, 128 人 , 占 23 .4% , 6-10 年 , 158 人 , 28 .8% , 11-15 年, 70 人, 占 12.8%, 15 年以上, 90 人, 占 16.4%; 月收入: 2000 元以内, 23 人, 占 4.2%, 2000-3999 元, 141 人, 25.7%, 4000-5999 元, 128 人, 占 23.4%, 6000-7999 元, 89 人, 占 16.2%; 公司规模: 10 人以下, 24 人, 占 4.4%, 11-20 人,

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

48 人, 占 8.8%, 21-50 人, 98 人, 占 17.9%,

进行数据的统计性分析、信度、效度、相关分析

占 7 .3% , 201-500 人 , 58 人 , 占 10 .6% , 500

结论。

51-100 人, 80 人, 占 14.6%, 101-200 人, 40 人,

多元回归分析, 并根据统计分析的结果得出相关

人以上, 200 人, 占 36.5%; 公司类型: 民营企业,

1. 相关分析

311 人, 占 43.2%, 非民营企业, 237 人, 占 56.8%;

437 人, 占 79.7%。

配心理授权、组织承诺各维度, 因子两两之间

行业性质: 制造, 111 人, 占 20.3% 非制造业,

量进行相关分析。从表 4.1 可知, 个人-组织匹

本研究主要采用 SPSS 21.0 统计软件, 逐步

本部分主要采用 Pearson 相关分析法对各变

均在 0.01 水平上显著相关。

表 1 各变量的描述性统计与相关分析

均值

标准差

3.453

0.937

—

3.600

0.959

0.551**

—

3.839

0.978

0.363** 0.338**

—

3.853

0.929

0.461** 0.582** 0.399**

—

3.729

1.015

0.308** 0.404** 0.371** 0.533**

—

3.934

0.890

0.264** 0.248** 0.683** 0.393** 0.466**

—

3.361

1.142

0.351** 0.397** 0.271** 0.353** 0.561** 0.333**

—

3.58

0.976

0.513** 0.491** 0.233** 0.497** 0.466** 0.245** 0.454**

—

3.60

0.997

0.514** 0.545** 0.222** 0.521** 0.407** 0.220** 0.408** 0.841**

—

3.53

1.073

0.387** 0.380** 0.201** 0.410** 0.338** 0.226** 0.348** 0.644** 0.732**

—

注: 个人-组织匹配三个维度: 1. 价值观匹配、2. 需求-供给匹配、3. 要求-能力匹配; 心理授权四个维度: 4. 工作意义、5. 自主性、6. 自主效能、7. 工作影响; 组织承诺三个维度: 8. 情感承诺、9. 持续承诺、10. 规范承诺; ***p＜0

.001; **p＜0.01; *p＜0.05 (双侧检验)

2. 信度和效度分析

从表

4 .2

中的信度检验结果可知, 从

Cronbach’sα值信度系数值得出个人-组织匹配的总信度系数达到 0 . 812 , 各维度的信度系数为

(0.766、0.755、0.705); 心理授权的总信度系数达到 0.883, 各维度的信度系数为 (0.827、0.831 0.769、0.899); 组织承诺的总信度系数达到 0.929, 各维度信度系数为 (0.856、0.849、0.775), 信度系

数也大于 0.7, 因此可见, 每个题项的信度都是较好的, 量表整体具有较高的信度。

从表 4.3 中的效度检验结果可知, 个人-组织

匹配的KMO 值为 0 .727 , 球形检验结果为显著

(显著性水平为

1%); 心理授权的KMO 值为 0.798,

球形检验结果为显著 (显著性水平为 1%)。组织

承诺的KMO 值为 0 .903 , 球形检验结果为显著

(显著性水平为

1%)。

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以上信度和效度检验结果表明, 本文研究所采

用的问卷, 适用于对企业员工的研究。

3. 多元回归分析

在控制了人口统计变量下, 从符合多元线性回

归分析的条件出发, 采用因子分析后的因子作为

表 2 信度分析

解释变量和被解释变量。为了验证心理授权的中

检验维度 1

检验维度 2

Cronbach’s α 值

价值观匹配

0.766

分量表 Cronbach’s α 值

介作用, 下文建立四个模型:

模型 2: M=aX+e2, M 是中介变量, a 是中介

效应

个人-组织匹配需求-供给匹配

0.755

要求-能力匹配

0.705

工作意义

0.827

效应

自主性

0.831

自主效能

0.769

工作影响

0.899

情感承诺

0.856

持续承诺

0.849

规范承诺

0.775

心理授权

组织承诺

0.812

模型 1: Y = cX+e1, c 是 X 对 Y 的总效应

0.883

0.929

模型 3: Y=dM+e3, M 是中介变量, d 是中介模型 4: Y=cX+bM+e4, M 是中介变量, b 是中

介效应, c’ 是直接效应

3.1 个人-组织匹配与组织承诺回归分析对模型 1 的检验结果如下表 4.4 所示: 个

人-组织匹配中价值观匹配和需要-供给匹配维度对组织承诺及其各个维度的回归中均呈现正向影响, 其中需求-能力匹配对情感承诺、持续承诺

表 3 效度分析个人-组织匹配取样足够度的 Kaiser-Meyer-Olkin 度量

0.727

近似卡方 338.735 Bartlett 的球形度检验

规范承诺的回归不显著。总体来说个人-组织匹配心理授权组织承诺

0.798

0.903

873.354

1319.946

153

Sig.

0.000

对组织承诺有显著的正向影响。假设

H1a、H1b 得到验证, 假设成立。假设 H1c 未通过验证, 假设不成立。

3.2 个人-组织匹配与心理授权回归分析对模型 2 的检验结果如下表 4.5 所示, 个

人-组织匹配对心理授权的各个维度的回归中均呈现正向影响, 其中价值观匹配和需求-供给匹配对自主效能的回归不显著; 价值观匹配对自主性的

回归系数不显著。总体来说个人-组织匹配对心理授权有显著的正向影响。假设 H2 H2a、H2b、H2c 得到验证, 假设成立。

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

表 4 个人-组织匹配与组织承诺的回归分析组织承诺

变量性别年龄

人口统计变量

教育程度职位工作年限月收入公司类型行业性质公司规模价值观匹配

个人-组织匹配

需求-供给匹配要求—能力匹配 F R2 DR2

情感承诺

持续承诺

规范承诺

组织承诺

0.199**

0.145**

0.051

0.146**

0.116

-0.

0.010

-0.

-0.030

127**

0.132** 0.048

-0.013 -0.025

-0.

212**

0.002

158**

-0.014

-0.189**

-0.191

-0.

0.319**

0.215**

0.325**

-0.022

0.068

0.014

0.067*

-0.007

0.305**

0.388**

25.

541**

0.364 0.350

104**

0.142**

-0.047**

-0.003

0.008

0.077*

-0.013

0.347**

0.053

31.

647**

0.415 0.402

0.007

0.244**

262**

-0.019

0.257** 16.

215**

0.267 0.250

0.128** 0.045

-0.004

-0.097** 0.131** 0.044

-0.076**

-0.110**

-0.

-0.223**

0.0730.073 242**

-0.029

0.069

-0.027

0.350**

0.575**

30.043**

31.140**

0.438

0.355

0.403

0.367

注: 哑变量, 公司类型: 1=民营企业、0=非民营企业; 行业性质, 1=制造业、0=非制造业表 5 个人-组织匹配与心理授权回归分析心理授权

变量

工作意义性别年龄

人口统计变量

教育程度职位工作年限月收入公司类型行业性质公司规模价值观匹配

个人-组织匹配

需求-供给匹配要求—能力匹配 F R2 DR2

178**

0.019

-0.

129**

自主性

自主效能

-0.008

-0.

113**

-0.062

-0.006

0.175**

-.085** 099**

0.077

-0.

230**

0.036

157**

0.073*

121**

0.058

-0.006

-0.036 0.051

0.437**

0.275**

34.

17.

0.176** 236**

0.434 0.422

0.210** 934**

0.287 0.271

158**

0.042

0.002

工作影响

心理授权

-0.096

-0.027

-0.

137**

-0.071

-0.068

-0.112**

0.161**

0.043

0.101**

0.441**

0.031

0.060

0.134**

-0.058

-0.147*

-0.060* 0.056

-0.

144*

0.011

0.222**

0.052

0.039*

-0.072**

0.003

0.252**

0.590**

31.750**

54.880**

0.403

0.496

0.001

0.642**

44.

318**

0.499 0.487

0.127** 0.059

0.416

-0.010

0.505

注: 哑变量, 公司类型: 1=民营企业、0=非民营企业; 行业性质, 1=制造业、0=非制造业

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规范承诺的回归不显著; 自主效能对组织承诺

3.3 心理授权与组织承诺回归分析

对模型 3 的检验结果如下表 4.6 所示: 心

以及其各个维度的回归系数均不显著。总体来说

理授权中工作意义、自主性和工作影响对组织承

心理授权对组织承诺有显著的正向影响。假设

诺的各个维度的回归中均呈现正向影响, 其中自

H3、H3a、H3b 得到验证, 假设成立。假设 H3c

主性对

未通过验证, 假设不成立。

表 6 心理授权与组织承诺回归分析组织承诺

变量性别年龄教育程度职位人口统计变量

工作年限月收入公司类型行业性质公司规模工作意义

心里授权

自主性自主效能工作影响

F R2 DR2

情感承诺

持续承诺

规范承诺

组织承诺

0.149**

0.056

0.013

0.081

0.116

0.001

-0.021

0.031

-0.020 0.020 0.000

0.037

-0.056 0.002 0.045

085** 086*

0.027

-0.253**

-0.163**

-0.171**

-0.140

-0.154*

-0.012

-0.098**

-0.127

-0.085

-0.

0.322**

0.421**

0.304**

-0.026

-0.024

0.058

0.007

0.181** 0.281**

-0.018 -0.035 0.089*

0.234**

0.229**

173*

-0.011

0.013 0.062

-0.015

0.385**

0.079

0.128**

0.214**

0.268**

0.002

0.013 0.061

-0.015

0.603**

23.655**

17.607**

27.407**

29.548**

0.356

0.350

0.283

0.386

0.343

0.372

3.4 个人-组织匹配、心理授权与组织承诺的

回归分析

0.031

24.291**

0.365

0.300

0.400

注: 哑变量, 公司类型: 1 =民营企业、0=非民营企业; 行业性质, 1=制造业、0=非制造业

0.044

0.053

-0.103** -0.029

0.055

对模型 4 的检验结果如下表 4.7 所示: 个

人-组织匹配对组织承诺的回归结果如下表所示: 只有要求-能力匹配对规范承诺的回归系数不显著, 并且价值观匹配、需求-供给匹配对组织承诺

0.355

的各个维度的回归系数均显著比在不加入中介变量的时候小得多, 可见心理授权的中介作用显著, 其中自主效能对组织承诺的回归系数均不显著, 说明在心理授权的量表总自主效能这个维度的中介效用不明显。假设 H4 得到验证, 假设成立。

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

表 7 个人-组织匹配、心理授权与组织承诺的回归分析变量价值观匹配个人-组织匹配

需求-供给匹配要求-能力匹配工作意义自主性

心里授权

自主效能工作影响 F R2 DR2

情感承诺

持续承诺

规范承诺

0.291**

0.267**

0.163**

-0.093**

-0.108**

-0.042

0.187**

0.091**

0.143** 0.147** 0.021

0.183**

0.115**

0.207**

0.187**

0.037

0.079

0.117**

0.365**

0.081

0.151**

0.357**

28.169**

30.156**

16.635**

36.772**

0.443

0.460

0.314

0.418

0.459

3.5 心理授权的总中介效用

由以上分析可知假设 H1、H2、H3 已经等到

验证, 从归回分析总体来看, 个人-组织匹配对组织承诺的回归在 0.01 的水平下显著, 系数c为

0.575; 个人-组织匹配对心理授权的回归在 0.01

的水平下显著, 系数a为 0.590; 个人-组织匹配心理授权对组织承诺的回归在 0.01 的水平下显著, 中介变量的系数b为 0.357, 自变量的系数 c’

为 0.365。c’ 为c的二分之一左右, 所以从总体来

看, 心理授权有显著的中介效用。因此, 假设H 4 等到验证。研究结论

0.243**

组织承诺

从以上的实证研究得出以下结论:

(1) 个人-组织匹配与组织承诺呈正相关关系, 即个人-组织匹配程度越高 , 员工的组织承诺越高。其中检验结果显示: 要求-能力匹配对组织承诺没有显著性影响。根据社会交换理论的互惠原则, 在组织工作中, 员工提供组织需要的能力, 组

织给予回馈, 员工也会表现出更多对组织的依附

0.476

0.334

0.430

角度分析, 这可能是由于员工个人有很好的能力

胜任现有的工作岗位, 完成工作任务, 有更好的发

展空间, 进而对组织的依赖不强。所以要求-能力匹配对组织承诺没有显著性影响。

(2) 个人-组织匹配对心理授权呈正相关关系。根据授权理论来解释, 个体受到工作环境的影响, 个体与组织匹配程度高会影响到个体的心理程度, 个体会更好地理解组织的要求, 组织也会

回馈个体并提供相应的资源。

(3) 员工心理授权与组织承诺呈正相关关系, 即个人表现出的心理授权越多, 其组织承诺越高其中检验结果显示: 自我效能与员工的组织承诺没有显著的影响。可以理解为, 在组织管理中发现跳槽的员工大多很优秀, 他们自我效能感高, 认

为自己在工作中没有挑战性。所以自我效能感高的员工或许在情感上对组织有依附感, 但是可能跳槽到待遇或者工作前景更好的企业中去。还有一些自我效能感高的员工, 自信能够从容面对压

力或解决工作中的相关问题, 愿意继续留在组织

中。

感及更高的组织承诺。从赫茨伯格双因素理论的

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(4) 心理授权在个人-组织匹配与组织承诺的

关系中起部分中介作用。

统计学分析结果看: 公司类型, 民营企业的规

范承诺高于非民营企业; 行业性质。制造业与非

人员的培训中, 要强调主管的责任, 要关心员工, 提供更多支持, 这样才可以提升员工的组织承诺感。研究的局限性与未来研究建议

制造业比较, 制造业的员工组织承诺要比非制造

业低。

研究的同时为企业的管理及企业提供了有益的借

鉴, 取得了一些有理论与实践意义的成果, 但由于

管理实践的启示

(1) 多途径提高员工与组织的匹配程度。 a. 从招聘环节着手, 提高员工与企业间的匹配程度; b. 加强培训, 提高员工与企业间的匹配

程度。

(2) 加强有效沟通, 提高员工的心理授权。 (3) 完善绩效考核与薪酬激励机制, 提高员工

组织承诺。研究创新

(1) 使用心理授权为中介变量, 分析出个人-组

本文通过实证研究在发展个人-组织匹配理论

研究条件所限, 本研究存在以下局限:

(1) 研究经费和时间不足等原因, 研究样本的采集有限。样本主要来自, 四川地区的企业、事业单位等组织, 少数来源于上海、青岛和杭州等城市。今后可以扩大样本采集来源, 进一步验证结论的有效性和和推广。

(2) 数据搜集中可能存在 “同源误差”。本文的采用的量表是西方开发的, 在研究中被广泛采用, 是一个成熟的量表。但是, 由于采用的是自评方式, 可能形成假性的显著关联。应该扩大数据的收集方式, 如主管和员工评价相结合, 从而增强

织匹配与员工组织承诺的中介机制。

数据的客观性和研究的信度。

(2) 提出了实践意义: 组织需要怎样做, 才可以提升组织承诺: 首先是保证人与组织匹配, 其次是提升主管支持与关怀, 其中的原动力是员工有

被授权的感觉。他们得到激励与鼓舞。今后的管

理方向可以: 从招聘上, 我们要挑选合适的、匹配

介变量心理授权影响个人-组织匹配和员工组织承

的员工, 从绩效考核与薪酬激励上, 要表彰能力

价值观与组织匹配的优秀人才, 在公司各级管理

(3) 本文的研究对象没有具体区分,

在未来的

研究中可分为劳动型员工和知识型员工, 讨论其与组织的匹配程度和组织承诺的不同。

(4) 理论上,

这项研究只研究了一个可能的中

诺之间的关系。可能存在其他中介变量或调节变量; 需要进行未来的研究来探索这些额外的变量。

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Mowday, R. T., Porter, L. W. & Steers, R. M. (1981). Employee-organization linkages: the psychology of commitment, absenteeism, and turnover. Organizational & Occupational Psychology, 19-43. O’Reilly, C. A. & Chatman, J. (1986). Organizational commitment and psychological attachment: the effects of compliance, identification, and internalization on prosocial behavior. Journal of Applied Psychology, 71(3), 492-499. Pan, J., Zhou, X. & Zhou, X. (2010). The role of leadership between the employees and the organization: a bridge or a Ravine? An empirical study from China. Journal of Management and Marketing Research, 5(1), 1-14. Porter, L. W., Steers, R. M., Mowday, R. T. & Boulian, P. V. (1974). Organizational commitment, job satisfaction, and turnover among psychiatric technicians. Journal of Applied Psychology, 59(5), 603-609. Saleem, W. A. & Allama, I. (2011). Person organization fit, organizational commitment and knowledge sharing attitude-An analytical study. Information Management & Business Review, 3(2), 110-116. Schneider, B. (1987). The people make the place. Personnel Psychology, 40(3), 437-453. Sekiguchi, T. (2003). The role of person–organization fit and person–job fit in managers’ hiring decisions: The effects of work status and occupational characteristics of job openings. Ph.D. University of Washington. Song, L. J. & Zhang, X. & Wu, J. B. (2014). A Multilevel Analysis of Middle Manager Performance: The Role of CEO and Top Manager Leadership CEO. Management and Organization Review, 10(2), 275-297. Spreitzer, G. M. (1995). Psychological, empowerment in the workplace: dimensions, measurement and validation. Academy of Management Journal, 38(5), 1442-1465. Spreitzer, G. M., Janasz, S. C. D. & Quinn, R. E. (1999). Empowered to lead: the role of psychological empowerment in leadership. Journal of Organizational Behavior, 20(4), 511-526. Thomas, K. W. & Velthouse, B. A. (1990). Cognitive elements of empowerment: an “interpretive” model of intrinsic task motivation. Academy of Management Review, 15(4), 666-681. Verquer, M. L., Beehr, T. A. & Wagner, S. H. (2003). A meta-analysis of the relationships between person–organization fit and work attitudes. Journal of Vocational Behavior, 63(3), 473-489. Yang, Y. (2011). Study on the Relationship of Person-Organization Fit. Psychological Empowerment and Employee’s Innovative Behavior. Ph.D. Thesis, Ji Lin University. Zhang, Z., Fang, L. & Ling, W. (2001). Re-examining the structure model of Chinese employees’ organizational commitment. Psychological Science, 24, 148-150. [in Chinese] ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

Name and Surname: Hua Yuan Highest Education: Ph.D. Candidate, Panypiwat Institute of Management University or Agency: Panyapiwat Institute of Management Field of Expertise: Business Management Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

居民收入与消费行为关系的实证研究

AN EMPIRICAL STUDY ON THE RELATIONSHIP OF INCOME AND CONSUMING BEHAVIOR Zhao

陈召1 罗教讲2 Chen1 and Jiaojiang

Luo2

1,2正大管理学院中国研究生院

1,2Chinese

Graduate School, Panyapiwat Institute of Management

摘要

今天的社会已经被称为消费社会, 消费已经成为社会科学研究的重要问题。文章运用具有权威

性的第二手数据: “2013 年中国社会状况综合调查 (CSS 2013)” 数据, 对中国城乡居民收入与消费行为之间的关系进行了实证研究。在对中国城乡居民的收入、消费行为进行描述性分析外, 对城乡地区居民

的收入水平、消费水平进行了交互分析, 并研究了城乡居民收入对消费行为的影响。研究发现: 中国城镇居民的收入水平与消费水平均高于乡村居民, 生活必需品支出是城乡居民消费支出的主要部分。城乡

居民收入水平、消费水平的分布形态有同有异。在城镇地区与乡村地区中, 大部分居民收入水平与消费

水平处于同一个等级层次。除了对城镇地区居民的人情消费占比未产生显著性影响外, 居民收入对消费

水平、消费结构均有显著性影响。研究居民收入与消费水平之间的关系, 对提高居民消费水平、促进经济发展有重要的现实意义, 也可以为相关部门制定政策提供一定的参考。

关键词: 收入, 消费行为, 城乡居民

Abstract

Nowadays the society has been known as the consumer society, and consumption has become an important issue in social science research. Based on the authoritative secondary data of 2013 Chinese Social Survey conducted by Chinese Academy of Social Sciences, the author makes an empirical study on the relationship of income and consuming behavior of urban and rural residents in China. Besides a descriptive analysis of income and consuming behavior of Chinese urban and rural residents, the author makes an interaction analysis of income level and consume level, and also does a research on the impact of income on consumer behavior. The study has some findings: the income level and consumption level of urban residents in China are higher than that of rural residents, and expenditure on necessities of life is the main part of the Corresponding Author E-mail: zdtychen@126.com

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

consumption expenditure of urban and rural residents. There are similarities and differences in the distribution of the income level and consumption level between the urban and rural residents, and most of the residents’ income level and consumption level are at the same level. Residents’ income has a significant impact on consumption level and consumption structure except the proportion of the human consumption of urban residents. The study of the relationship between income and consumption level is of great practical significance to improve the level of consumption and promote economic development, and also can provide some reference for the relevant departments to develop policies. Keywords: Income, Consuming behavior, Urban and rural residents 前言

众所周知, 投资、消费和净出口是拉动经济增

长的三驾马车。今天的社会已经被称为消费社会,

消费现象已经成为一种重要的社会现象, 消费活动是社会中重要的经济活动, 消费行为成为人类

重要的行为类型。因此, 消费已经成为社会科学研究的重要问题, 而消费水平是反映人们生活水

平和质量的重要指标。

消费是推动经济增长的一个重要手段, 居民收

入水平的提高也能体现出经济的增长。对城乡居民收入、消费行为之间的关系进行研究, 有着重要的理论意义和现实意义, 不仅可以探究二者之

间的影响关系, 也有助于为相关政府部门制定政策提供参考依据。

消费是影响经济持续增长的重要因素, 收入是

消费的基础, 收入决定消费, 消费水平与消费行为

问题的研究最直接、影响较大的理论主要有

“绝

对收入假说 ”、 “持久收入假说 ”、 “相对收入假

说”、“生命周期理论” 等。

“绝对收入假说” 是由凯恩斯 (Keynes, 1963) 提出的, 凯恩斯将消费看作收入的函数, 他认为, 人们的收入若增长 , 消费的支出也会随着增加 , 但是其增加的比例是不断地减少的, 因此, 收入增加的化 , 社会对于消费品的需求就将是不足的由于凯恩斯的消费函数所关注的是短期内的消费与收入的关系, 而且他的观点认为消费主要取决

于现期的收入水平, 所以, 凯恩斯的观点被称作为

“绝对收入假说”。 “持久收入假说” 是弗里德曼 (Friedman, 1957) 在《消费函数理论》一书中提出的, 他将消费者的收入划分为一时收入与持久收入两大类, 同样也将消费划分为一时消费与持久消费两大类。所

是消费的重要组成部分, 因此, 研究居民收入与消

谓一时收入, 是指瞬时间的、非连续性的、带有

施、发挥消费需求对经济发展的带动作用, 都具

料到的长久性的、带有常规性质的收入, 例如工

有重要的现实意义。

资、房租收入、利息和股息收入等。弗里德曼认

费行为的关系, 对于制定促进消费增长的政策措

偶然性质的收入, 而持久收入是指消费者可以预

为, 人们的消费支出并不是同他的现期收入有关,

文献综述

消费是影响国家与地区经济发展的一个重要

因素, 因而, 对消费问题的研究始终受到了高度的关注。国外关于消费问题研究的理论比较完整, 也

有着较高的起点。在国外的研究中, 与消费水平

而主要是与可预计的未来的收入 (也就是持久收入) 有关系, 人们对未来收入的预期对当前的消费支出有着直接的影响。

“相对收入假说” 则由是杜森贝利 (Duesenberry, 1949) 提出的。他认为, 消费具有 “示范效

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

应” 或 “攀比效应”, 消费者的消费不仅受到自身的收入的影响, 而且也受到周围人的消费行为及

对天津市居民收入水平和消费水平提高提出了若干思考。

收入与消费相互关系的影响。另一方面, 消费者

的消费支出不仅受自己目前收入的影响, 而且也

建立静态与动态面板数据模型, 对影响我国城镇

受自己过去收入和消费水平的影响。

居民消费水平的三大因素作了深入地分析。研究

莫迪利安尼 (Ando & Modigliani, 1963) 等人

Zhao & Jeffrey (2013) 运用面板数据, 通过

发现收入、前期消费、价格指数对于城镇居民的

提出 “生命周期假说”, 他们认为一个人消费多少,

本期消费有着正面影响。

和其当前的收入并没有多大关系。消费者不同年

龄段的消费支出取决于他一生获得的收入和继承

里德曼的持久收入假说, 结合我国城乡居民消费

的财产价值, 他必须对整个生命周期的消费和储

蓄做出合理安排, 以便实现二者在高低收入不同

阶段的合理配置。

在这些经典的消费理论中, 都肯定消费者收入

对于消费有着重要影响。

对于收入与消费关系的研究, 国内学者以我国

Niu (2012) 基于凯恩斯的绝对收入假说和弗

与收入关系的实证检验, 结果发现, 收入差距的扩大对于我国城乡居民消费的影响存在着显著的差异。收入差距的扩大减少了城镇居民的消费支出, 而永久性收入增长缓慢是农村居民长期消费水平偏低的重要影响因素。

综合以往的研究成果来看, 研究者研究消费水

经济发展的实践为基础, 从不同角度对于收入与

平与消费结构的影响因素最主要的都是从收入因

消费的关系进行分析, 获得了较为丰富的研究成

素方面着手, 对于收入与消费结构的影响, 也有不

果。国内学者大多针对我国城镇与农村的消费分

少的实证研究。

别研究, 近来也有很多学者思考收入分配不均等

的影响, 结合传统消费理论进行实证研究, 亦有一

民的消费结构进行了实证研究, 研究的结果表明:

些学者对某一区域城乡居民收入状况和消费状况

居民的收入差异对城镇居民的消费结构有着显著

进行了研究, 也有不少学者对居民收入与消费进

的影响。

行了实证研究。

Li & Dong (2009) 根据 1995 年- 2007 年

安徽省的统计数据, 采取偏最小二乘回归方法, 对

安徽省农民收入和消费水平关系进行了实证分析,

有学者运用 Panel Data 模型对中国城镇居

Bi (2015) 通过对河南省居民消费水平与消费

结构的实证分析, 发现对河南省居民消费水平有

着显著影响的因素有: 技术进步、社会保障情况收入水平情况、人口的年龄结构以及整个经济发

结果发现: 安徽省农民收入越高, 其消费水平越

展形势的不确定性。

高。

Liu & Zhang (2014 ) 基于 VAＲ模型和

基于有研究关于农村居民家庭禀赋的观

点——即农村居民家庭禀赋是指农村居民的家庭

Granger 因果检验, 以 1978-2012 年数据为基础,

成员及整个家庭所拥有的包括了天然所有的及其

对我国城乡居民消费水平和收入水平之间的关系

后天所获得的资源和能力。具体包括家庭人口规

进行比较研究。研究发现, 我国居民的消费水平

模以及家庭成员的年龄、教育程度、经历、性格

和收入水平之间存在长期的均衡关系, 但城乡之

间的差异是明显的。

Wang & Wang (2011) 通过研究居民收入理论

和消费理论逻辑链接, 并利用预防性储蓄 (消费) 模型检验天津市居民收入差距与消费之间的关系,

特征、社会网络、信息资源和家庭的经营规模地理位置、经济状况、经济环境、社会环境等 , Li (2013) 认为, 上述原因共同决定了农村居民收入以及其消费结构, 甚至可以决定整个区域经济

的发展。通过定性与定量结合的方法对陕西农村

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

居民消费结构进行了研究, 研究结果表明, 家庭人

和村庄, 共回收问卷 10268 份。

口规模和农村居民消费结构演变过程具有密切的

关系。农村居民受教育程度是通过影响其在第二

总收入数额, 居民消费行为包括居民的消费水平

产业和第三产业当中的部门分配, 从而影响了村

居民的工资性收入, 也影响了其消费结构。文化

程度越高, 农村居民消费结构层级越高。

以及消费结构两个方面, 消费水平具体对应问卷

中家庭年总消费支出数额, 消费结构归类为生活必需品消费、信息消费和人情消费。本文在对中国城乡居民的收入、消费行为进行描述性分析外,

研究方法

在本研究中, 居民收入具体对应问卷中家庭年

对城乡地区居民的收入水平、消费水平进行了交

本文中的研究采取定量研究方法, 采用统计软

件SPSS对数据进行分类处理, 所运用的数据是具

有权威性的第二手数据:

“2013

互分析, 并研究了城乡居民收入对消费行为的影响。研究结果

年中国社会状况

综合调查 (CSS 2013)” 数据。

(一) 人口学特征整体描述

2013 年 “中国社会状况综合调查” (CSS 2013)

本研究中的人口学变量主要包括性别、年龄

于 2013 年 4 月至 2013 年 10 月展开, 通过

婚姻状况、受教育程度、政治面貌、户口性质

绘图抽样, 采用概率抽样的入户访问方式, 对全国

阶层分布以及区域分布, 通过描述这些变量, 能够

31 个省或自治区的城市社区和乡村展开问卷调

更加全面地了解有效样本的基本情况。

查, 调查范围涉及 151 个县 (区) 和 604 个社区表 1 样本的人口学特征分布情况人口特征

类别

频次

百分比 (％)

性别

男

4521

44.8

N＝10092

女

5571

55.2

22 岁及以下

516

5.1

23 岁－32 岁

1489

年龄

33 岁－42 岁

2077

N＝10092

43 岁－52 岁

2570

53 岁－62 岁

2151

62 岁及以上

1289

12.8

未婚

926

9.2

初婚有配偶

8173

婚姻状况

再婚有配偶

294

N＝10087

离婚

178

丧偶

454

同居

14.8 20.6 25.5 21.3

81.0 2.9 1.8 4.5 0.6

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表 1 样本的人口学特征分布情况人口特征

类别

频次

百分比 (％)

未上学

1229

12.2

小学

2576

初中

3260

受教育程度

高中

1178

N＝10075

中专

461

职高技校

大学专科

632

大学本科

603

研究生

0.7

中共党员

979

9.7

政治面貌

共青团员

538

N=10057

民主党派

群众

8525

84.5

户口性质

农业户口

7229

71.6

N＝10072

非农业户口

2843

28.2

社会上层

0.5

社会中上层

642

社会中层

4095

社会中下层

2953

社会下层

2192

21.7

区域分布

东部

4523

44.8

N＝10092

中部

3395

西部

2174

社会阶层 N=9931

25.5 32.3 11.7 4.6 0.7 6.3 6.0

5.3 0.1

6.4

40.6 29.3

33.6 21.5

本研究中, 有效样本数总数为 10092, 各人口

数的 14.8%; 33—42 岁的居民有 2077 人, 占 20.6%;

(1) 在性别分布上, 有效样本数为 10092, 其中, 男性居民为 4521 人, 占 44.8%; 女性居民为 5571 人, 占 55.2%。样本数据表明, 男性居民数略少于女性居民数, 但样本性别总体上来说基本均衡。 (2) 在年龄分布上, 有效样本数为 10092, 其中, 22 岁及以下的居民有 516 人, 占有效样本数的 5.1%; 23—32 岁的居民有 1489 人, 占有效样本

岁的居民有 2570 人, 占 25.5%; 53—62 岁的居

学变量的分布情况具体如下:

43—52 岁的居民有 2570 人, 占 25.5%; 43—52

民有 2151 人, 占 21.3%; 63 岁及以上的员工有 1289 人, 占 12.8%。样本数据表明, 被调查居民

的年龄以中老年居多, 集中在 33—62 岁之间, 22 岁及以下的居民、 63 岁及以上的居民所占比例相对较低。

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

(3) 在婚姻状况分布上, 有效样本数为 10087, 其中, 未婚居民为 926 人, 占有效样本总数的 9.2%; 初婚有配偶者为 8173 人, 占 81.0%; 再婚有配偶者为 294 人, 占 2.9%; 婚姻状况为离婚的居民有 178 人, 占 1.8%; 丧偶的居民有 454 人, 占 4.5%; 处于同居状况的居民有 62 人, 占 0.6% 样本数据表明, 在被调查居民中, 无论是初婚还是再婚, 现处于已婚状态的居民所占的比例远远高

位的居民有 642 人, 占 6.4%; 认为自己处于中层

于其他婚姻状态的居民。

相当。

(4) 在教育程度分布上, 有效样本数为 10075, 其中, 未上学的居民有 1229 人, 占有效样本总数的 12.2%; 小学教育程度的居民有 2576 人, 占 25.5%; 初中教育程度的居民有 3260 人, 占 32.3%; 高中学历的居民有 1178 人, 占 11.7%; 中专和职高技校的居民分别有 461 人、69 人, 所占比例分别为 4.6%、0.7%; 大学专科毕业的居民有 632 人, 占 6.3%; 具有大学本科学历的居民有 603 人, 占 6.0%; 研究生毕业的居民有 67 人, 所占比例为 0.7%。样本数据表明, 有效样本中, 居民的受教育程度偏低, 绝大多数居民的教育程度为高中及以下, 具有大学及以上学历的居民数不多。 (5) 在政治面貌分布上, 有效样本数为 10057, 其中, 共产党员有 979 人, 占有效样本总数的 9.7%; 共青团员有 538 人, 占 5.3%; 民主党派有 15 人, 占 0.1%; 群众有 8525 人, 占 84.5% 样本数据表明, 在有效样本中, 大部分居民是群众身份, 近十成为共产党员, 共青团员所占比例不到六成, 民主党派居民数量远远小于其他。 (6) 在户口性质分布上, 有效样本数为 10072, 其中, 户口为农业户口的居民有 7229 人, 占比 71.6%; 非农业户口的居民有 2843 人, 占 28.2% 样本数据表明, 在被调查的居民中, 绝大部分居民为农业户口, 城乡的分布并不十分均衡。 (7) 在社会阶层分布上, 有效样本数为 9931, 其中, 认为自己处于上层社会经济地位的居民有 49 人, 占 0.5%; 认为自己处于中上层社会经济地

(8) 在区域分布上, 有效样本数为 10092, 其中, 东部的居民有 4523 人, 占比 44.8%; 中部的居民有 3395 人, 占比 33.6%; 西部的居民有 2174 人, 占比 21.5%。样本数据表明, 东部、中部、西部居民数量呈现递减状态, 东部居民接近一半。由上述人口学变量基本分布情况, 我们可知: 男性居民数略少于女性居民数, 但样本性别总体上来说基本均衡; 被调查居民的年龄以中老年居多, 集中在 33—62 岁之间, 22 岁及以下的居民 63 岁及以上的居民所占比例相对较低; 在被调查居民中, 无论是初婚还是再婚, 现处于已婚状态的居民所占的比例远远高于其他婚姻状态的居民 ; 居民的受教育程度偏低, 绝大多数居民的教育程度为高中及以下, 具有大学及以上学历的居民数不多; 大部分居民是群众身份, 近十成为共产党员, 共青团员所占比例不到六成, 民主党派居民数量远远小于其他; 在被调查的居民中, 绝大部分居民为农业户口, 城乡的分布并不十分均衡; 东部、中部、西部居民数量呈现递减状态, 东部居民接近

社会经济地位的居民有 4095 人, 占 40.6%; 认为

自己处于中下层社会经济地位的居民有 2953 人, 占 29.3%; 认为自己处于下层社会经济地位的居民

有 2192 人, 占 21.7%。样本数据表明, 居民认为

自己处于上层及中上层社会经济地位的占比很小, 大部分居民认为自己处于中层社会经济地位, 认为自己处于中下及下层社会经济地位的居民数量

一半。 (二) 居民收入、消费行为描述

本研究中, 消费行为包括消费水平及消费结构

两个方面 , 消费结构又归类为生活必需品消费信息消费以及人情消费。收入、消费水平在 CSS 2013 问卷中, 具体对应全家 2012 年收入总额及消费支出总额。在 CSS 2013 调查问卷中,

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

“C5. 请您告诉我, 去年 (2012 年) 您全家的收入情况”, 居民的家庭年总消费支出对应题目 “C4. 请您告诉我, 去年 (2012 年) 您全家的生活消费支出情况”。居民的居民的家庭年总收入对应题目

也有分项收入、消费支出项, 而且往往总额数目

项并没有那么准确, 因而, 在数据处理上, 收入总额及消费支出总额所代表的是各个分项相加的总数。在具体的分析中, 消费结构则量化为生活必

家庭年总支出中的衣、食、住、行、用等小项归

需品消费、信息消费、人情消费支出占生活消费

为生活必需品消费, 医疗、通讯、教育、文化娱

总支出的比例。在有效样本中, 城镇地区与乡村

乐旅游等支出项归为信息消费, 赡养老人、红白

地区居民家庭年总收入、消费水平、生活必需品

喜事等支出归类为人情消费。

消费占比、信息消费占比、人情消费占比均值情

由于在问卷题目设置中 , 既有总额数目项 ,

表 2 城镇地区居民收入、消费行为分布表类别收入消费水平生活必需品消费占比信息消费占比人情消费占比

况分别如表 2、表 3 所示。表 3 乡村地区居民收入、消费行为分布表

均值

类别

83030.7119 (元)

收入

70929.8424 (元)

消费水平

63.12 (%)

生活必需品消费占比

24.74 (%)

信息消费占比

10.79 (%)

在调查中 , 城镇地区居民的有效样本数为

2843, 乡村地区居民有效样本数为 7229。由上述

表格可知, 城镇地区家庭年总收入的均值为

人情消费占比

均值 (元) 48666.3883 (元)

49453.7852 (元) 59.64 (%) 25.64 (%) 11.89 (%)

出的绝大部分。相对于城镇地区居民来说, 乡村地区居民的信息消费、人情消费在生活消费中所占的比例更大。

83030.7119 元, 家庭年生活消费总支出的均值为

48666.3883 元, 家庭年生活消费总支出的均值为

中等收入户、中等偏上户、较高收入户、最高收

70929.8424 元。乡村地区家庭年总收入的均值为 49453.7852 元。

总体来看, 城镇地区家庭年总收入均值约为乡

村地区家庭年总收入均值的 1.7 倍, 城镇地区家庭年生活消费总支出均值约为乡村地区家庭年总收入均值的 1.2 倍。城镇地区居民的收入均值大

于消费均值, 而在乡村地区, 居民的收入均值低于

消费均值。这表明, 整体而言, 城镇地区居民 2012 年为收大于支, 而乡村地区居民则是入不敷出。

从消费结构来看, 无论是城镇地区还是乡村地

区, 生活必需品的消费占据了居民生活消费总支

参照 2013 年中国统计年鉴数据中按收入等

级分 ( 最低收入户、较低收入户、中等偏下户入户) 城镇居民家庭基本情况 (2012 年) 与按收入五等份分 (低收入户、中等偏下户、中等收入

户、中等偏上户、高收入户) 农村居民家庭基本

情况 (2012 年) 两个表格中的数据, 笔者计算出低收入户、中收入户、高收入户的年平均收入与消费支出数额, 并以此为标准, 将CSS 2013 中的城镇地区与乡村地区居民的收入与消费水平分别划分为低水平、中水平、高水平三个层次。在有效样本中, 城镇地区与乡村地区的收入水平、消费水平基本分布情况如表 4、表 5 所示。

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

表 4 城乡居民家庭年总收入情况分布表区域城镇地区 N＝2843

乡村地区 N＝7229

收入水平

频次

百分比 (％)

低

1017

35.8

中

1040

高

786

27.6

低

2465

34.1

中

2187

高

2577

35.6

消费水平

频次

百分比 (％)

低

1096

38.6

中

911

高

836

29.4

低

3286

45.5

中

1015

高

2928

36.6

30.3

表 5 城乡居民家庭年总消费水平情况分布表区域城镇地区 N＝2843

乡村地区 N＝7229

由城乡地区居民家庭年收入、消费水平基本

32.0

14.0 40.5

在乡村地区, 居民的有效样本数为 7229, 其中,

分布表可知, 在调查中, 城镇地区居民有效样本数

低收入水平居民有 2465 人, 占比 34.1%; 低消费

35.8%; 低消费水平居民有 1096 人, 占比 38.6%;

民有 2187 人, 占比 30.3%; 中消费水平居民有

为 2843, 其中, 低收入水平居民有 1017 人, 占比中收入水平居民有 1040 人, 占比 36.6%; 中消费水平居民有 911 人, 占比 32.0%; 高收入水平居

民有 786 人, 占比 27.6%; 高消费水平居民有

水平居民有 3286 人, 占比 45.5%; 中收入水平居

1015 人, 占比 14.0%; 高收入水平居民有 2577 人,

占比 35.6%, 高消费水平居民有 2928 人, 占比 40.5%。样本数据表明, 乡村地区居民家庭年收入

836 人, 占比 29.4%。样本数据表明, 城镇地区居

水平在低、中、高三个层次的分布也较为均衡, 低

民家庭年总收入水平在低、中、高三个层次中分

收入水平与高收入水平所占的比例略高于中收入

布较为均衡, 低收入水平与中收入水平所占的比

水平。但乡村地区居民家庭年消费水平在低、高

低、中、高三个层次中分布相对来说也较为均衡,

平所占的比例比中消费水平要大得多。总体而言,

例略高于高收入水平; 居民家庭年总消费水平在

两个层次的分布相当, 且低消费水平与高消费水

低消费水平与中消费水平所占的比例略高于高消

乡村地区居民收入水平与消费水平的基本分布情

费水平。整体看来, 城镇地区居民收入水平与消

况存在较大的差异性, 消费水平的分布呈明显的

费水平的基本分布情况差别不大, 具有一致性。

两头大、中间小的形态, 分化比较严重。

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(三) 城镇地区、乡村地区收入水平、消费水平交

互分析, 更加准确地体现城乡地区居民收入分层

互分析

与消费分层之间的关系。

为了能够更好地体现不同层次收入水平的城

在交互分析中, 以消费水平为列, 以收入水平

乡居民所处的消费水平层次, 本文分别对城镇地

为行, 城镇地区、乡村地区居民收入水平、消费

区、乡村地区居民的收入水平与消费水平进行交

水平 X2 检验表分别如表 6、表 7 所示。

表 6 城镇地区居民收入水平、消费水平 X2 检验表消费水平 (%)

收入水平

合计

低

中

高

低

61.5

25.7

13.0

35.8

中

30.1

53.0

27.2

36.6

高

8.4

21.3

59.8

27.6

100

合计

Pearson 卡方=922.603 Df=4 P<0.001 Gamma=0.658

表 7 乡村地区居民收入水平、消费水平 X2 检验表消费水平 (%)

收入水平

合计

低

中

高

低

54.6

22.6

15.1

34.1

中

31.4

40.4

25.4

30.3

高

14.0

37.0

59.4

35.6

100

Pearson 卡方=1706.342 Df=4 P<0.001 Gamma=0.623

表 6、表 7 分别显示了城镇地区、乡村地

的居民分别占比 30.1%、27.2%; 高层次收入水平

区不同收入水平居民的消费水平情况, 从表中我

的居民, 其消费水平处于高水平层次的占比 59.8%,

们能看去城镇地区、乡村地区居民收入水平与消

高收入水平居民的消费水平处于低水平、中水平

费水平之间关系的异同。

层次的居民分别占比 8.4%、21.3%。

对于城镇地区居民来说, 低收入水平的居民,

对于乡村地区居民来说, 低收入水平的居民,

其消费水平处于低水平层次的占比 61.5%, 低收入

其消费水平处于低水平层次的占比 54.6%, 低收入

水平居民的消费水平处于中水平、高水平层次的

居民分别占比 25.7%、13%; 中层次收入水平的居

居民分别占比 22.6%、15.1%; 中层次收入水平的

入水平居民的消费水平处于高水平、低水平层次

低收入水平居民的消费水平处于高水平、低水平

民, 消费水平处于中层次水平的占比 53.0%, 低收

居民 , 消费水平处于中层次水平的占比 40 .4% ,

Panyapiwat Journal Vol.9 Supplementary Issue December 2017 层次的居民分别占比 31.4%、25.4%; 高层次收入

(四) 居民收入对消费行为的影响分析

水平的居民, 其消费水平处于高水平层次的占比

59.4%, 高收入水平居民的消费水平处于低水平

对居民收入对消费行为的影响分析, 笔者分别

分析了城镇地区居民与乡村地区居民的收入对消

中水平层次的居民分别占比 14.0%、37.0%。

费行为的影响。

整体而言, 在城镇地区与乡村地区中, 大部分

居民收入水平与消费水平处于同一个等级层次, 换

在城镇地区、乡村地区居民收入对消费行为

影响的回归分析中, 本研究分别设置了 4 个模型,

句话说, 城镇地区、乡村地区居民的收入水平与

即采用模型 1、模型 2、模型 3、模型 4 分别

消费水平具有一定的同质性。对绝大部分居民而

考察收入对居民消费水平、生活必需品消费占

言, 处于什么样的收入水平, 其消费水平与之相对

比、信息消费占比、人情消费占比的影响。笔者

应; 收入水平与消费水平不对等的居民所占比例

试图通过以上方法, 分析居民消费行为是否及多

较少。收入水平的层级在很大程度上决定了消费

大程度上受到收入因素的影响。收入对城镇地区

水平的层级。低收入水平的居民在消费水平的分

居民和乡村地区居民消费行为影响的回归分析分

布上呈现明显的倒金字塔结构, 中等收入水平的居

别如表 8、表 9 所示。

民在消费水平的分布上较为均衡, 高收入水平的

居民在消费水平的分布上呈现明显的金字塔结构表 8 城镇地区居民收入对消费行为影响的回归分析变量

模型 1

模型 2

模型 3

模型 4

Beta 值

P 值

Beta 值

P 值

Beta 值

P 值

Beta 值

P 值

-.030

.051

.027 -.048 .018 .027 .050 -.013 -.023 .011 .032 .002 -.034 -.018 .137 .074 0.481 0.011 0.006 2.120

.172 .075 .473 .423 .077 .608 .380 .548 .178 .935 .088 .367

-.032

.104 .064 .922

-.010

.592 .957

人口学变量男性a 年龄年龄平方已婚b 离婚或丧偶b 文化程度共青团员c 民主党派c 群众c 阶层地位中部d 西部d 收入收入对数平方常数 R2 调整后的 R2 F 值

-.098

.000

-.014

.472

-.008

.715

.093

.093 -.011 -.017 -.010 -.026 -.011 -.036 .100 .906 2.315 0.383 0.380 123.163

.000 .000

.596 .256 .580 .110 .496 .021 .000 .000 0.000

0.000

.002

.091 0.000

0.009

.049 .002 -.076 -.052 -.022 .032 -.003 -.018 .033 -.012 -.013 -.103 -.030 0.360 0.016 0.011 3.247

.024

.064 .361 .228 .859 .435 .103 .550 .511 .021

.496 0.000

0.000

.001 -.054 .060 .000 .059 -.006 -.014 -.046 -.045 .062 .044 -.042 -.048 0.130 0.020 0.016 4.145

.031

.071 .990 .016

.821 .450 .052 .024 .002 .027

.344 .270 0.000

0.000

注: (1) a 参考类别为女性, b 参考类别为未婚, c 参考类别为党员, d 参考类型为东部。

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表 9 乡村地区居民收入对消费行为影响的回归分析变量

模型 1

模型 2

Beta 值

P 值

Beta 值

-.017

.096

.028 -.071 .058 .013 .023 -.018 -.074 .017 .002 -.049 -.066 -.011 .160 .161 0.477 0.030 0.028 15.309

模型 3

模型 4

P 值

Beta 值

P 值

Beta 值

P 值

.023

-.023

.068

-.004

.752

人口学变量男性a 年龄年龄平方已婚b 离婚或丧偶b 文化程度共青团员c 民主党派c 群众c 阶层地位中部d 西部d 收入收入对数平方常数 R2 调整后的 R2 F 值

-.122 -.035

.104 .039 .094 .024 .004 -.007 -.021 .024 -.018 .769 .537 2.683 0.332 0.331 250.354

.000 .003 .000 .009 .000

.105 .668 .603 .039 .022

.090 .000 .000 0.000

0.000

.000 .000

.497 .189 .228 .000

.160 .917 .000 .000

.383 .000 .000 0.000

0.000

.073 -.006 -.030 -.035 -.009 .063 -.013 -.011 .095 -.002 .002 -.159 -.150 0.347 0.034 0.032 17.548

.000

.695 .125 .048

.526 .000

.281 .499 .000

.850 .894 .000 .000 0.000

0.000

.030 -.077 .013 .006 .046 .008 -.006 -.010 -.059 .074 .013 -.067 -.053 0.177 0.016 0.014 8.240

.049 .000

.500 .751 .002

.660 .585 .549 .000 .000

.307 .001 .009 0.000

0.000

注: (1) a 参考类别为女性, b 参考类别为未婚, c 参考类别为党员, d 参考类型为东部。

由表 8、表 9 可知, 无论是城镇地区居民,

收入水平、消费水平进行了交互分析, 并研究了

还是乡村地区居民, 收入对居民消费水平、居民

城乡居民收入对消费行为的影响。通过分析, 笔

居民信息消费占比有负向的显著性影响。但在对

于乡村地区居民, 城镇地区居民 2012 年为收大

生活必需品消费占比均有正向的显著性影响, 对

人情消费占比的影响方面, 居民收入对城镇地区

居民的人情消费占比没有显著性影响, 对乡村地

区居民的人情消费占比有负向的显著性影响。

者发现: (1) 城镇地区居民的收入、消费水平要高于支, 而乡村地区居民则是入不敷出。(2) 从消费

结构来看, 无论是城镇地区还是乡村地区, 生活必需品的消费占据了居民生活消费总支出的绝大部分。相对于城镇地区居民来说, 乡村地区居民的

结论与讨论

信息消费、人情消费在生活消费中所占的比例更

大。(3) 城镇地区与乡村地区的收入、消费水平分

本文通过采用 2013 年中国社会科学院开展

的 “中国社会状况综合调查” (CSS 2013) 的数据,

运用 SPSS 分析软件, 在对中国城乡居民的收入消费行为进行描述性分析外, 对城乡地区居民的

布形态有同有异, 从收入的分布形态来看, 城镇地区与乡村地区的整体分布形态具有一致性; 从消

费水平的分布形态来看, 城镇地区与乡村地区的

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

整体分布呈现出了明显的差异性。(4) 整体而言,

者认为, 在城镇地区, 居民在人情消费方面有更多

与消费水平处于同一个等级层次。(5) 从研究收入

在人情消费方面的自主性不高, 因而, 相对于用样

在城镇地区与乡村地区中, 大部分居民收入水平

对城乡居民消费行为影响的回归分析结果中可以看出, 无论是城镇地区居民, 还是乡村地区居民,

的自主性, 而在乡村地区, 居民处在熟人社会中,

的人情消费数额, 收入越低的居民, 其人情消费所

占总消费的比例则越大, 因而, 收入对乡村地区居

收入对居民消费水平、居民生活必需品消费占比

民的人情消费具有负向的显著性影响。

均有正向的显著性影响, 对居民信息消费占比有

负向的显著性影响。但在对人情消费占比的影响方面, 居民收入对城镇地区居民的人情消费占比

没有显著性影响, 对乡村地区居民的人情消费占

比有负向的显著性影响。

从收入对城乡居民人情消费的影响来看, 收入

对城镇地区居民人情消费并无显著性影响, 而对

乡村地区居民人情消费有负向的显著性影响。笔

通过本研究的分析可知, 中国居民的收入水平

对消费水平具有显著性的正向影响, 因此, 要提高居民的消费水平, 最直接最有效的方式则是努力

提高居民的收入, 提升居民的消费能力。而中产

阶级具有与其他阶层不同的消费特征, 在消费水平的分布上较为均衡, 具有极大的、可挖掘、均

衡的消费潜力, 激发中产阶级的消费动力, 能够提

高消费水平, 从而拉动内需。

References

Ando, A. & Modigliani, F. (1963). The Life Cycle Model: Aggregate Implications and Tests. American Economic Review, (53), 55-84. Bi, Y. (2015). Empirical Analysis of the Residents’ Consumption Level and Structure in Henan Province. Master Degree Thesis, Zhengzhou University. [in Chinese] Duesenberry, J. S. (1949). Income, Saving and Theory of Consumer Behaviour. Cambridge: Harvard University Press. Friedman, M. (1957). A Theory of the Consumption Function. Beijing: Princeton University Press. [in Chinese] Guo, Y. (2008). Consumption of Rural Residents in China and Its Influencing Factors. Doctoral Dissertation, North West Agriculture and Forestry University. [in Chinese] Keynes. (1963). General theory of employment interest and money. Beijing: The Commercial Press. [in Chinese] Li, W. & Dong, M. (2009). The Relationship between Farmers’ Consumption Level and Income Level in Anhui Province Based on Partial Least Squares. Shopping Modernization, (583), 66-68. [in Chinese] Li, X. (2013). Study on the Consumption Structure of Rural Residents in Shanxi. Doctoral Dissertation, North West Agriculture and Forestry University. [in Chinese]

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

Liu, Y. & Zhang, Z. (2014). Comparative Study on Consumption Level and Income Level of Urban and Rural Residents—Based on the VAR Model and Granger Causality Test. Journal of Hunan Finance and Economics University, (150), 111-117. [in Chinese] Niu, S. (2012). An Empirical Analysis on the Influence of Income Gap on Urban and Rural Inhabitants Consumption in China. Journal of Central University of Finance and Economics, (3), 11-16. [in Chinese] Wang, L. & Wang, S. (2011). Reflections on the Double Improvement of Residents’ Income Level and Consumption Level: a Case Study of Tianjin. Tianjin Social Sciences, (3), 72-75. [in Chinese] Zhao, H. & Jeffrey, F. (2013). Income, Price and Interest Rate to Chinese Resident Consumption Level Effect Research—Based on the Static and Dynamic Panel Data Model. Journal of Applied Statistics and Management, (2), 211-220. [in Chinese]

Name and Surname: Zhao Chen Highest Education: Ph.D. Candidate of Panyapiwat Institute of Management University or Agency: Panyapiwat Institute of Management Field of Expertise: Marketing Management Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120 Name and Surname: Jiaojiang Luo Highest Education: Doctor of Economics, Wuhan University University or Agency: Panyapiwat Institute of Management Field of Expertise: Economic Sociology Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

中国高校教练员工作疏离感产生的归因研究

RESEARCH ON THE ATTRIBUTION OF UNIVERSITY COACHES’ WORK ALIENTION Long

刘龙1 华国伟2 Liu1 and Guowei

Hua2

1,2正大管理学院中国研究生院 1,2Chinese

Graduate School, Panyapiwat Institute of Management

摘要

随着国家推行 “体教结合” 的体育竞技人才培养模式，中国高校出现一批体育教师走向专业体

育教练员的岗位，转岗成为教练员的职业心里健康重要性，也是组织管理的突出问题，本文选取 112 所高校 437 名篮球教练员为研究对象，进行工作疏离感问卷调查，数据统计分析结果表明：教练员的工作疏离感处于中等水平，其中自我疏离感的工作无意义和工作环境疏离感的领导职能上面表现较高。工作疏离感来源于组织管理的内部；所以降低工作疏离感要不仅在管理方式和领导行为上进行改革；提倡竞争和考核，优化教练员聘任制度和职称改革，适度的压力来激发教练员的工作热情，更好地提升组织管理水平。关键词: 教练员, 工作疏离感, 工作绩效, 产生机理, 组织管理

Abstract

With the national implementation of the “integration of physical education” sports talent training model, a number of Chinese university physical education teachers are on the way to new positions as professional sports coaches, specifically coaches of the importance of professional and psychological health, but also of the organization and management of the prominent problems. This article selected a total of 437 basketball coaches from 112 colleges and universities as the object of study. The results of statistical analysis showed that the alienation of coaches was at a moderate level, in the personal sense of work alienation due to the meaningless of work and the alienation in the work environment due to leadership functions was relatively high. The sense of alienation comes from the internal organization and management; so in order to reduce the sense of alienation not only in the field of management but also in leadership behavior it is necessary to enact reforms, to promote competition and assessment, to optimize the appointment Corresponding Author E-mail: 714286660@qq.com

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

system and job title reform, to stimulate the enthusiasm of coaches, and even better is to raise the level of organization and management. Keywords: Coach, Work alienation, Job performance, Production mechanism, Organization management 问题的提出

者没有达到与实际的理想和期望所导致的工作分

2002 年，中国北京申奥成功，中共中央 8 号文

离状态。疏离（alienation) 来源于拉丁语，指的

件提出 “青少年体育要以学校为重点”，贯彻科教

是个体与所存在的世界分疏隔离的一种现象；马

兴体的方针，到 2010 年形成体教结合共同培养

克思在《经济哲学手稿》中创造了 “疏离/异化”

高水平体育后备人才建设体系，学校建成若干世

(alienation) 一概念，用来解释政治经济学的某

界先进水平的训练、科研、教育一体化训练基地。

些现象，在社会学和心理学中解释几乎所有的异

从此学校体育老师从幕后推到前台，开启了学校

化行为。哲学上的疏离感一般指异化，主体在其

组建高水平体育队伍的热潮，改变了我国传统的

发展过程中，分离出对立面的客体，这个客体逐渐

体育培养模式有体工队培养，退役后进入高校学

与主体疏远，从而成为外在的异己的力量而反对

习的运动员培养模式。但是在发展的过程中，制度

主体。心理学家车文博把疏离感诠释为对原来熟

建设落后，特别是受到大学行政化、学术职业化、

悉的事物觉得陌生，或对原来很自然的事物觉得

教练员聘用制度改革三股力量的冲击给高校教练

别扭。教练员本身是解惑、传技、授业者，在发展

员的选材和训练、学术、工作产生了阻力，行政资

的过程中被外在的力量所异化，导致工作疏离，本

源左右着各种人情关系和招生选材，行政力量决

文重点探讨大学行政化的组织环下，学术偏离状

定评优评先，评奖获奖，职称晋升。学术不规范种

态下教练员工作情感的产生偏差的原因。

种情况导致默默干活的人不能完成任务，导致教师默默无闻，诲人不倦的作风荡然无存。

1. 研究目的与意义

体育训练活动是一项不断创新训练方法和手

1.1 研究目的

段的，最大程度的挖掘运动员的潜能的活动。教练

本文对工作疏离感产生原因的研究，分析工

员要保持敏捷的思维、持续对运动员的关注和长

作疏离感危害和对工作绩效消极影响，最终研究

期的智力、体力投入，才能换取优异成绩的回报。

目的是进行工作疏离感和工作绩效关系的是迫切

但是当教练员在各种关系的处理、运动员兴趣爱

需要积极的寻求对的方式才能缓解和应对工作疏

好的转变、运动员运动周期把握，科学的训练和

离感带来的危害，才能提高自己对环境的适应力

康复手段的应用稍有不合理，运动成绩就会出现

和自身的竞争力。具体三点体现：

偏差，给比赛胜利带来和对不确定性，同时教练员

心里就会产生巨大压力，执教成就感就会受阻，再

的活力。

加上外在舆论的压力，感受不到工作带来的乐趣

和价值，就会产生对工作的冷漠，厌倦、直至疏远；

平，更加人性化。

这种对工作感到无力、疏远、无价值意义就是工

作疏离感。是指因工作所处情景不能满足期望或

特征、工作压力、领导特征，针对教练员工作疏离

（1）构建和谐的劳动关系、提升主动参与竞争

（2）提升高校管理者的人才资源科学管理水

（3）采用回归分析教练员工作疏离感与工作

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

感产生的根源提出消融的路径和方法，最终目的

究和医院护士工作领域、学生学习疏离感领域。

是提高工作效率，培养出更多的人才。

具体研究现状如下：

1.2 研究意义

2.1 疏离感的提出及发展

研究意义关注高校篮球教练员工作疏离感和

疏离（alienation) 送一词来源于拉丁语，最

工作绩效的关系研究，对教师而言其实就是关注

开始作为一个哲学命题，指的是个体与所存在的

高校篮球教练员在训练和生活中生理、心理和行为

世界分疏隔离的一种现象。疏离感在《牛津大辞

的对外在因素的反应，确保教练员工作的积极性；

典》中被定义为 “疏远或疏远的状态”。大部分学

从学校管理者角度来讲，就是如何激发老师的工

者所关注的疏离感，指的是社会成员也理上的无

作热情，规避消极的情绪，提高工作效率，培养出

力、疏远、冷漠的主观感受和体验。西方哲学家如

更多的篮球人才。

萨特马安库塞等人认为其含义是指感到个人的命

(1) 理论意义

运不受自己的控制，而由各种的外力、命运、运气、

高校篮球教练员工作疏离感的研究从理论上

机遇或制度的安排所决定，有一种被排除在杜会

干预实际上就是就是从源头解决影响教练员工作

之外的孤独感觉，认为人生是在一个毫无意义和

的不利因素，正确认识自己的职业价值和社会价

悲观失望的世界里达到充分的自我意识； Marx

值，克服困难，塑造良好的师德和抗外界干扰能力，

(1844) 在其经典巨著《经济哲学手稿》中创造了

主动投入篮球训练和人才培养工作中。

“疏离/异化” (alienation) 一概念，用来解释政

(2) 实践意义

治经济学的异化现象；从社会学的角度分析，疏离

①研究工作疏离感对高校篮球教练员产生的

是一个人或一群人认为自己与环境间产生被迫参

原因对中国高校篮球发展具有推动作用，为管理

与或非期望行为的关系，这样的主观态便是疏离

者提供制定高校教练员工作策略提供理论性支持。

感。疏离感一词引入也理学后，在管理学界主要

②分析中国高校篮球教练员工作疏离感产生

有以下几种学说： (1) 环境决定论。主要代表人物

的归因和对工作绩效的影响，从工作疏离感的视

是马克思。 (2) 特质论。此观点研究者认为疏离感

角探讨激励高校篮球教练员工作热情和提高工作

是人的一种特质，而非环境所决定的。主要代表

绩效的理论依据。进一步探讨造成高校篮球教练

人物是Davids (1955) 提出特质衡量疏离感，特质

员工作疏离感的影响因素，为如何提高工作效率

五种倾向：自我中心 (egocentricity)，不信任

建立可靠的理论支撑。同时扩展了管理学和心理

(not strust)、悲观 (pessimism)、焦虑 (anxiety)

学教育学的研究范围。

和怨恨 (resentment)。 (3) 交互作用论。 Seeman、 Kanungo等国内外的学者观点他们认为，疏离感是

2. 研究现状与研究假设

环境与人格交互作用的产物，既不是人格特质，

也少受环境所决定。

工作疏离感并不是一个全新的学术概念，在西

方研究欧美国家起步比较早，已经有着多年的研

2.2 工作疏离感概念

究历史。然而从中国国内研究相关文献看，工作

工作疏离感的概念发展与疏离感一致，从环

疏离感的研究大约从 2005 年左右开始起步，学

境定论到个人特质论再到交互作用论。当前研究

者们的研究主要集中在概念和文献综述等方面，

者接受的是交互作用论，认为工作疏离感是由工作

相关实证研究主要集中在知识型员工工作疏离研

与人格交互作用的产物，既不是人格特质，也不单

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独受环境决定。如Seeman (1975) 认为工作疏离感

工作投入和组织承诺。

是由于工作内和工作外的自我与社会关系之间的

隔离而产生的一种也理隔离状态。 Suarez-Mendoza

相关研究主要包括：领导、工作特征、组织结构、

& Zoghbi-Manrique-de-Lara (2008) 认为工作疏

人口学变量和个体特征变量。

离感实质反映的是员工的需要无法从工作中得到

(1) 领导行为与工作特征

满足，来源于客观的工作情境与员工的价值观、理

关于领导行为与工作特征对工作疏离感的影

想、爱好之间的差距。 Moch认为：工作疏离感反映

响，学者们研究得最多。这里的领导行为主要是

的是员工的一种态度和情况，不关心工作，工作仅

指变革型领导、交易型领导和支持型领导、家长

仅是为了得到报酬。当前学术界普遍认同的工作

式领导。 Sarros et al. (2002) 等对工作疏离感与

疏离感定义工作情境不能满足员工的需要或与期

领导行为和组织结构的研究发现，变革型领导与

望不符导致的员工与工作分隔的也理状态，工作

较低的工作疏离感相关，而交易型领导与较高的

动机下降。因此，工作疏离感至少包含 3 个方面

工作疏离感相关。该项研究表明领导行为风格要

的含义： ①它反映的是员工对自己与工作的关系

比组织结构对员工工作疏离感的影响所起的作用

的感知； ②工作疏离感产生的根本原因是工作没

要重要得多。 Banai ＆ Reisel (2003) 以古巴员

有满足员工的需要； ③工作疏离感是对工作的一

工为样本，调查硏究发现积极的领导行为和工作

系列主观、消极也理体验的组合。

设计 (工作特征模型) 对降低员工的工作疏离感具

2.3 工作疏离感的研究假设

有积极的影响。 Banai, Reisel & Probst (2004)

工作疏离感的研究过程从最初的企业员工延

对匈牙利 5 家企业 395 名员工的调查研究表明，

伸到社会的各个层面，主要研究分类为：首先从

组织方面的支持性领导行为和工作持征以及个人

概念的研究从马克思的工人与所有权的分离异化

因素控制点都能够有效地解释员工工作疏离感。

现象到目前的疏离感，无统一的概念认识，管理学

Banai & Reisel (2007) 对工作疏离感在古己、德

者认为：工作环境不能满足工作者的愿望，工作

国、匈牙利、以色列、俄罗斯和美国的 1933 名工

不能满足自己的期望而产生的离职行为；心理学

人和非管理岗位的人员。研究发现各国之间员工

研究者认为工作疏离感是员工因为知觉到工作情

的工作疏离感具有显著差异。支持性领导和工作

境不能满足员工的需要或与期望而产生的一种孤

特征对工作疏离感具有显著的负向作用。

立于、受制于工作的心理状态，是一种导致的员

工与工作分隔的心理状态。组织行为学研究认为：

样本，结果发现辱虐管理对员工工作疏离感及其

员工的需要无法从工作中得到满足，来源于客观

3 个维度 (无力感、孤立感和压抑感) 均具有显著

的工作情境与员工的价值观、理想、爱好之间的

的正向影响。 Long & Mao (2014) 195 名员工为被

差距。

试,探讨了家长式领导的 3 个维，即仁慈领导、德

其次从工作疏离感的构成维度进行研究包括

行领导与威权领导对员工工作疏离感的影响及其

单因素维度，双因素维度、多因素维度。从工作疏

作用机制。研究表明，仁慈领导对员工工作疏离

离感的作为调节和中介变量进行研究，包括工作

感有显著的负向影响，德行领导对员工工作疏离

疏离感受制于其他因素的调解或中介作用，同时

感的影响不显著，威权领导对员工工作疏离感有

工作疏离感也作为中介或者调节变量影响员工的

显著的正向影响。

最后是从结果变量和工作疏离感的影响因素

Ren, Xu & Chen (2014) 以中国 304 份数据为

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

工作特征与工作疏离感的关系，大多学者支

2.4 教师工作疏离感的研究

持这种观点，包括Marx （1981）工作特征的感受程

Huang (2007) 研究了台湾地区中学排球教练

度越高，则对工作疏离感受程度越低、 Banai &

的工作疏离感，发现工作疏离感对工作效能有显著

Reisel （2007）的研究进一步证实了这一观点。

的消极影响。 Suarez-Mendoza & Zoghbi-Manrique-

Berger et al. （2008）提出工作本身的特征也会

de-Lara （2008）以西班牙高中教师为研究样本，

限制员工参与决策，从而导致工作疏离感。 Nair &

探讨了个人-组织匹配、工作疏离感和组织公民行

Vohra （2010）发现工作疏离感首要的预测因子就

为的关系。在高校教师工作疏离感研究方面一共

是工作特征。高校体育教练员也是大学老师的，只

有六篇文章对高校教师的工作疏离感的研究。 Liu

是工作性质和特征发生了一定变化，充分体现专

（2017）采用回归分析教练员工作疏离感对工作绩

业的人干专业的事情这一工作特征，国外研究表

效的影响研究工作压力过大也会导致工作疏离感。

明，单调的重复性工作特征容易产生工作疏离感、

Yu et al. （2016）从组织认知、工作压力、工作特

这也是高校体育教练员区别于普通体育教师的特

征三方面对大学教师工作疏离感特征及其在组织

征，因此我们提出假设 3：高校体育教练员工作特

行为中的作用路径。 Fang （2015）实证研究高校

征对工作疏离感有显著影响。因此我们提出研究

教师工作疏离感及其影响因素研究中工作压力对

假设 1：领导行为与工作特征对高校教练员工作

工作疏离感有显著影响； Yu et al. （2016）大学

疏离感存在显著影响。

教师的工作疏离感处于中等水平，其中无规范感

（2）人口学和个体变量

最高达到中上水平，说明组织缺乏清晰明确的规

从人口学变量和个体特征变量的研究主要体

则；组织政治认知工作特征和压力都可以显著预

现在：就年龄和性别作为研究代表的有 Blauner

测工作疏离感。尹平等人的研究表明，高校教师

（1964）, Steitz & Kulpa （1984）, Ma （1984）从年

总体压力水平偏高，有 63.6% 的教师感到压力较

龄和性别视角讨论与作疏离感的差别。从婚姻视

大或很大，而感到压力较小或没有压力的仅占总

角研究的代表有， Evans （1986）, Liu （2017）讨论

数的 8.7%，比中小学教师压力要高。因此我们提

了婚姻支持对工作疏离感的影响。 Chen （2012）

出假设 3：高校体育教练员工作压力对工作疏离

认为高校教师在工作疏离感在年龄、婚姻状况人口

感有显著影响。

统计变量上则存在着显著性的差异； Huang （2008）

对高校教师工作疏离感研究认为工作疏离感各维

校教师工作中，其消极后果主要是影响工作绩效、

度在人口学因素上差异显著；从职称和教育程度

工作态度和工作行为；而对高校的教师的心理健

研究代表： Zhou （2001）, Almond & Verba （1965）,

康和工作绩效的研究主要集中在工作压力，职业

Neal & Seaman，（1964）, Seeman （1966）, Bullough

困惑等方向较多。教师作为人类文化的传播者，

（1967）, Li （1993）、研究认为职称和受教育程度

沉载着社会和家庭太多的责任和期望。随着时间

越高工作疏离感越小。文献研究表明，人口学变

的推移，压力对教师生命和健康均产生了不利于

量对工作疏离感的影响还是存在分歧，如陈虎强

影响。许多教师因孤立、挫折和待遇问题而离开

认为在职称、性别职务上差别不明显和黄毅研究

了教育行业，其中不免一些最好、最有成效的教师。

存在差别，这些说明工作疏离感在人口学个体变

数据显示，相比其他行业，新教师由于工作条件不

量存在差异，所以我们提出假设 2：高校体育教练

佳会有高于平均年流动率的离职率。所以本文通

员工作疏离感在人口学变量上存在差异。

过实证研究分析高校体育教练员工作疏离特征、

相关文献资料研究表明：工作疏离感存在高

100

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其他压力导致工作疏离感的原因，探索工作疏离

3.2 研究工具

感对工作绩效的危害。

问卷采用国内研究者成熟的本土化问卷。

（1）工作疏离感问卷：本研究以 Hirschfeld

3. 研究工具与研究方法

& Field (2000) 修订的 Maddi 3 维度量表为基础，

3.1 研究对象

同时结合 Seeman (1959) 五维度量表， Mottaz

本文研究对象是高校篮球教练员。问卷发放

(1981) 的无意义、无力感和自我疏离感量表以及

集中在全国CUBA联赛、 CBO联赛和体院杯，三次大

国内龙力荣、 Wang (2006) 本土化结合三因子量表，

型亲自在比赛期间发放收集。本研究全国各地共

采用李克特 7 点计分，形成共 15 题的工作疏离

发放问卷 437 份，总计回收问卷 412 份。经过整

感量表。得出结果进行验证行因子分析。分值大

理筛选，剔除无效问卷 31 份，最后共计回收有效

说明疏离感强。经检验a值为 0.81 . 符合标准。

问卷 381 份，问卷有效回收率为 85.2%。这 381

份有效数据主要来自全国各地 200 多家高校的问

Van & Motowidlo (1996) 的量表，采用李克特 5

卷调查，涉及 112 所普通高校院系。有效问卷中，

点计分，分值越高绩效越高，检验a值为 0.73：

性别上， 80.01% 为男性， 19.99% 为女性。年龄上

16.27% 25 岁以下， 25.46% 在 26 岁和 35 岁之间，

的单维问卷，李克特五点计分，分数越高说明体验

30.45.5% 在 36 岁和 45 岁之间，而 45 岁以上的

到的工作压力越大， a 系数为 0.80。

则占 27.82%。婚姻上； 23.88% 是未婚， 72.12%

是已婚。学历上；大专或以下学历 0%，本科学历

数为 0.81，认为工作中提供物质、心理、社会或组

24.67%，硕士或博±学历 75.33%。工作年限上：

织方面的资源和要求。

在 5 年下 122 人占 32.02%， 41.99% 在 6 年和

10 年之间， 20.73% 在 11 年和 15 年之间， 4.72%

依据研究假设，是运用 SPSS 20.0 系统进行数据

在 16 年和 20 年之间， 0.05 %在 20 年以上。职

处理。

（2）工作绩效问卷量表，工作绩效量表采用

（3）工作压力问卷量表，是由３个题目组成

（4）工作特征工作量表采用，五点计分， a 系

3.3 研究方法：采用问卷法收集研究样本数据，

称层次上： 9.19% 为初级职称， 43.30% 为中层职称， 28.87% 为副高级职称人员， 18.64% 为高级职称人

4. 研究结果

员。单位地域上， 23.84% 为省会重点高校， 38.95%

为省会非重点高校， 4.65% 为地方重点高校， 32.56%

统计特征

1、高校篮球教练教练员工作疏离感的描述性

为地方非重点高校。表 1 高校篮球教练教练员作疏离感描述性统计特征自变量

平均值

标准差

最小值

最大值

自我疏离感

4.658

0.898

关系疏离感

4.290

0.711

环境疏离感

3.625

0.902

工作疏离感

4.400

0.751

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

从上表可以看出，高校篮球教练员工作疏离

101

意自己的周边关系；环境疏离感值 3.625, 教练员

的值为 4.400，标准差为 0.751， Huang （2008）,

对自己的工作环境比较满意。

Chen （2012）的高校教师工作疏离感结果（4.66）；

2、工作疏离感及不同维度在性别上的差异

已经超过中等的标准，按照高校篮球教练教练员

由于性别是一个二分变量，因此在检验工作

工作疏离各个维度的均值进行比较，篮球教练教

疏离感性别差异的时候，使用的统计方法是独立

练员作疏离工作本身最大 4.658，说明自身工作压

样本t检验，使用SPSS 20.0 统计软件进行分析的

力较大、其次是人际关系 4.3，证明教练员基本满

结果如下

表 2 工作疏离感及不同维度在性别上的差异工作疏离感及不同维度在性别不同维度的均值和标准差性别

工作疏离感感

自我疏离感

关系疏离感

环境疏离感

男

4.53 （0.53）

5.07 （0.82）

4.17 （0.74）

3.85 （0.94）

女

4.34 （0.57）

3.81 （0.92）

3.80 （0.69）

3.62 （0.95）

T值

-3.556**

4.279**

2.380**

2.522*

sig

0.0000.000

0.014

0.013

注: 括号中的数字为标准差 **P<0.01, *P<0.05

从上表 2 中可以看出，工作疏离感及不同的

大于女性工作本身工作疏离感；在关系工作疏离

维度在性别方面存在着显著的差异。具体来说，工

感方面，男女之间存在显著差异，男性的人际关系

作疏离感方面，男女之间存在着显著的差异，男性

工作疏离感大于女性的人际关系工作疏离感；在环

总体工作疏离感方面大于女性工作总体工作疏离

境疏离感方面，男女之间不存在显著的差异。

感；对于工作本身的工作疏离感，男女之间存在

着显著的差异，男性在工作本身工作疏离感方面

准差

3、工作疏离感及不同人口学变量的均值和标

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102

表 3 工作疏离感及不同人口学变量的均值和标准差变量

项目

样本量

均值

标准差

年龄工

25 岁以下

2.351

0.611

作

26—35

2.457

0.521

疏

36--45

116

2.582

0.443

离

45 岁以上

106

2.287

0.591

感

总量

381

2.419

0.542

学历工

本科

2.479

0.402

研究生

116

2.601

0.549

总量

381

2.540

0.495

x²

F值

377

0.503

0.317

1.589

0.176

377

2.812

0.302

9.322

0.000

377

0.839

0.315

2.663

0.048

377

2.180

0.342

7.767

0.000

作疏离感

工龄工

5 年以下

122

2.319

0.621

作

6--10

160

2.465

0.506

疏

11--15

2.502

0.543

离

15 年以上

2.407

0.501

感

总量

381

2.423

0.542

职称

工

初级

2.510

0.536

作

中级

165

4.285

0.670

疏

副高

110

3.763

0.902

离

高级

1.896

0.657

感

总量

381

2.629

0.921

在工作本身疏离感方面， 36--45 岁的教练员

疏离感（F=8.869， p=0.000）；关系疏离感（F=5.388,

感到疏离感最大， 25 岁以下，工作本身疏离感最

p=0.001）组环境疏离感（8.134， p=0.000）具体来

低为 46 岁以上的教练员。人际关系疏离感在

说，在工作疏离感方面，研究生学历的教练员感到

36--45 岁的教练员感到疏离感最大，次为 36-40

疏离感最大，其次是本科生；在工作本身疏离感

岁的教练员; 在工作疏离感、环境疏离感方面不

方面，研究生学历的教练员感到疏离感大于本科生；

存在显著的年龄差异

在人际关系疏离感方面，研究生学历的教练员感

到疏离感较大，其次是本科生在环境疏离感方面，

工作疏离感及其维度在学历上存在显著差异

的是：工作疏离感（F=9.322， p=0.000），工作本身

本科生学历的教练员感到疏离感大于是研究生。

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

103

在工作疏离感及其维度在教练员职称存在显

水平的考验，由于高校篮球队教练员大多数是非

著差异的是:工作疏离感（F=7.767， p=0.000），自

专业运动员出身，科研能力又有一定的局限性，在

我疏离感（F=8.800， p=0.001）；关系疏离感

训练和球队建设上压力比较大，普遍的教练员反

（F=7.291， p=0.000）。具体来说，在工作疏离感方

映工作量大，工作任务繁重。工作负荷过重有三

面，中级职称教练感到疏离感最大，其次为副高级

种表现形式：一是工作任务太多，工作数量大；二

教练员；在工作本身疏离感方面，中级职称教练

是工作要求的质量太高，很多教练员自己很难达

感到疏离感最大，其次为副高级教练员；在关系

到，而又不想失去手中的权力；三是要处理好比

疏离感方面，副高级职称教练感到疏离感最大，其

赛成绩，领导同事关系，很多工作都不能按照自己

次为中级高级教练员。在实际中说明职称是困扰

要求去做，当工作负荷是别人强加在个体身上，而

教练教练员作疏离感的主要因素。

自身利益又得不到保障时，教练员个体更容易产

生工作疏离感。

通过对工作疏离感及其各维度的人口统计学

变量的单因素方差 (ANOVA) 分析，发现不同的人

口统计学变量在工作疏离感的不同维度上存在着

特征的回归分析

显著的差异。验证了假设 2；研究结论与前期学者

的研究是一致的，假设 2 成立。

响，研究表明：加入人口统计学的控制变量，分析

结果将科学合理。具体分析结果如下表 4：

当今各个高校组建高水平篮球队建设要求越

4、工作疏离感对工作绩效、工作压力、工作采用回归的方法来研究自变量对因变量的影

来越高，不仅仅是招生质量的体现，也是队教练员表 4 回归分析工作疏离感对工作绩效工作压力、工作特征的影响因变量

工作绩效

工作压力

工作特征

性别

-0.038

-0.057

-0.055

年龄

0.135**

0.140**

0.210**

学历

0.071

0.059

0.089

婚姻

-0.052

-0.030

-0.046

职称

0.049

0.011

0.037

0.183

0.244

0.260

自我工作疏离感

0.263**

0.254**

0.295**

工作关系疏离感

-0.152**

0.217**

0.192**

工作环境疏离感

0.139**

0.252**

0.383**

0.039

0.188

0.557

3.550**

5.637**

4.011**

△R

0.040

0.143

0.226

△F

3.587**

12.100**

9.860**

控制变量

自变量工作疏离感

注：

**P<0.01， *P<0.05

104

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560 从表 4 看出，控制变量了解释了工作绩效 4%

感和工作绩效的关系是疏离感越大工作绩效越低，

的方差变异、工作特征的为 22.6%。而F检验可知

因此改善人际关系，也可以促进工作绩效的提升。

此解释变量对因变量的影响是显著的。工作疏离

在工作压力和工作特征中对工作疏离感的影响是

感的 3 维度对工作绩效都有影响。深层次分析发

明显的，缓解工作压力，还要完成计划任务这是一

现；关系疏离感主要是指工作任务和工作负荷给

个矛盾，所以适度的压力有利于提高工作效率；工

工作带来的负面影响，工作负荷较重来自工作本

作特征的不同工作疏离感产生反向不同，工作疏

身的疏离感较大，但是也正是由于工作负荷重，工

离感不同维度对工作特征的影响方向和强度都不

作量大、工作要求高；因此更能显示出较好的工

一样，存在着显著的差异。

作效率；主要原意是社会竞争里的体现，对自我职业要求较高的教练原来说，只有按照学校领导

5. 讨论

的要求完成任务绩效，才能体现自我价值，因此疏

离感正向影响任务绩效；环境疏离感是指工作中有

学的视角发现工作疏离感对高校体育教练员的工

不合理安排、非正常程序的工作引起的心理反应，

作带来的危害，如何消除工作疏离感，提高工作绩

常言道：我们不能改变这个环境，只能改变自己，

效是每一位管理者的心愿。

才能体现出突出的任务绩效。

从表 4 看出，控制变量了解释了工作压力

根源是由于其他原因导致自我意识的工作无意义

14.3% 的方差变异，这是工作疏离感 3 维度对工

和工作无价值感觉， Banai, Reisel, & Probst (2004)

作压力的特殊贡献，通过F检验可解释自变量对因

的工作疏离感定义工作情境不能满足员工的需要

变量的影响是显著的。工作疏离感的 3 维度对工

或与期望不符导致的员工与工作分隔的也理状态，

作压力都有影响。高校教练员工作压力对工作疏

工作动机明显下降的表现。 Davids (1955) 提出自

离感存在显著的正向的，可以解释为压力越大，工

我中也 (egocentricity) 不信任 (化strust)、悲观

作疏离感程度越高，可以证明其工作疏离感的程

(pessimism)、焦虑 (anxiety) 和怨恨 (resentment

度也越高可知此解释变量对因变量工作压力也是

特质的方式来衡量疏离感。 Suarez-Mendoza &

的影响是显著的。

Zoghbi-Manrique-de-Lara (2008) 观点是员工无

从表 4 看出，工作疏离感 3 维度对工作特征

法从工作中满足自己的理想、实现自我价值、实

的特殊贡献，通过F检验可解释自变量对因变量的

际工作环境与理想存在差距。面对疏离感的存在

影响是显著的。工作疏离感的 3 维度对工作特征

状态，学校体育管理部门、人力资源管理处，都应

所以项目都有影响。可知此解释变量对因变量工

该从本校实际出发，首先要关注教练员的工作状

作特征也是的影响是显著的。

态，生活状态与态度，特别是训练状态，训练准时

度，训练过程中细节的把握等，如果在这些环节存

所以假设 1 和假设 3 得到验证、假设 1 和假

工作疏离感是一种消极的表现形式，从管理

1. 从自我疏离感角度来讲自我疏离感产生的

设 3，假设成立，如表 4。

在明显的问题或带有情绪，作为主管部门应该积

究其因当今，高校教师的工作任务和工作负

极的关心教练员，了解问题所在，及时的解决发生

荷较重,来自工作本身的疏离感强烈，工作自身疏

的问题。当前教练员面临的问题需要组织解决的

离感较强烈时，就需要改善工作环境，在工作中减

有待遇和职称，如果组织能在教练员面前体现多

少摩擦，才有利于工作绩效的完成；在关系疏离

劳多得或者制定详细的奖惩和职称评定标准能区

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

105

别于其他体育老师，细化技术型教练员和科研型

在工作疏离感在年龄、婚姻状况人口统计变量上

教师的职称评定差别，政策应该倾向于一线工作

则存在着显著性的差异，高校教师社会支持改善

教师。

环境工作疏离；所以环境疏离感的改善要从教练

2. 从工作关系疏离感方面，关系疏离感队教

员的人文关怀出发，环境不是随人定的意识有决

练与工作疏离感与工作绩效的影响仅次于自我疏

定的，这种认识是基于自我熟悉的环境对比产生

离感，是在工作过程中因为各种关系的影响而让

的，不能改变环境只能对人进行改善，增加组织关

人产生对工作的厌恶情绪，本研究表明关系疏离

怀，从其他方面提供超值的服务感受，给予教练员

感与工作绩效存在负相关影响，工作疏离感阻碍

自己根据实际应变处理的空间。

工作绩效的发展。所以，在组织与个人，个人与跟

人之间，要保持一种长期沟通的方式。高校篮球

组织领导的特征对工作疏离感的影响是积极的，

对学生来源于各个院系和不同的专业，每个院系

领导的风格比组织结构对工作疏离感的影响明显。

对学生的要求不一样，训练比赛要占用学生的上

2003 年古巴学者 Banai ＆ Reisel 调查硏究发现

课和业余活动时间，影响到院系的部分安排或利

领导行为积极性和工作设计的完整性对降低员工

益，在处理院系之间的矛盾和利用是要保持一种

的工作疏离感具有积极的影响。 Banai, Reisel &

开放式沟通，不要一旦有了优异的成绩，各个院系

Probst (2004) 交易型领导员工工作疏离感明显，

都急于占有利益，我院（系）学生在什么什么比赛

支持性领导行为和工作持征及个人因素控制点可

中取得什么成绩，为了争取相关的利益，忽视了教

以分析和解释员工工工作疏离感。 Banai & Reisel

练员的作用；另外就是一旦没有成绩院系对学生

(2007) 发现工作疏离感与领导行为、工作特性存

训练产生各种抱怨，因为所有的学生训练、比赛

在具有显著差异。 Ren, Xu & Chen （2014）对以中

所占用的时间都需要教练员与各院系沟通，所有

国家长对工作疏离感的影响作用分析。 Long & Mao

的一切都需要教练员承担；要建立一种积极沟通

(2014) 研究表明，仁慈领导对员工工作疏离感有

的管理理念，专门部门统一管理，统一协调，也是

显著的负向影响，德行领导对员工工作疏离感的

可以提高教练员工作积极性的重要措施。

影响不显著，威权领导对员工工作疏离感正向影

3. 从环境疏离感视角来看是因为工作环境、

响。 Sarros et al. (2002) 以员工作疏离感和领导

社会环境、组织环境与教练员训练要求的差距产

类型的关系研究，变革型领导对下属有消极影响；

生的厌恶心里反应，是影响工作绩效的重要因素，

因此，所有的事物都不是一成不变的，都是在推陈

有些环境因素可以改变，有些事无法改变的，所以

出新，所以学校体育领导要推崇变革型领导有利

研究发现，采取一定的措施是可以改善环境疏离

于高校体育事业的发展，领导根据需求随时调整

感； Liu （2017）认为教练员面对环境疏离感时，

可以满足教练员的需求，满足心理需要，教练员工

应采用增加工作投入的时间和精力和采取积极应

作投入和对组织的认可度增减，可以明显降低工

对策略来调节改善。 Yu et al. （2016）从组织认知、

作疏离感。

等方面对大学教师工作疏离感的环境特征进行改

进。 Fang （2015）实证研究高校教师工作疏离感

适度压力即是动力，过重的压力即是一种消极的

及其影响因素中任务组织环境改善，提高高校教

影响，压力对工作疏离感的产生显著的正向影响，

师的工作绩效。 Chen （2012）研究表明，高校教师

工作压力越大工作疏离感程度越高。就做一名高

4. 从领导的行为和管理方式分析，研究发现

5. 从工作压力视角来看，压力具有双重性，

106

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560

校教练员的的亲身体会就是压力无处不在，面度

在工作疏离感的影响，中级职称教练最为明显，实

各种要求，各种竞争，首先要完成本职工作，也就

际中说明职称是困扰教练教练员作疏离感的主要

是自我压力；其次要面对各种复杂的人际关系，关

因素。

系压力；面对家庭生活和工作冲突，家庭压力；所以职业要发展、人际关系要维持，家庭和工作之

结论

间要协调，按照社会交换理论来分析，每一个教练

员要付出很多来应对压力。必须能够适度的缓解或

水平，其中自我疏离感的工作无意义和工作环境

者化解压力才能避免因为压力而产生工作疏离感。

疏离感的领导职能上面表现较高。回归分析高校

6. 从人口学变量分析，工作疏离感及不同的

体育教练员工作疏离感在人口学变量上存在差异；

维度在性别方面存在着显著的差异。高校篮球教

高校体育教练员工作特征对工作疏离感有显著影

练员工作疏离感在性别上存在着显著的差异。由

响；高校体育教练员工作压力对工作疏离感有显

于性别原因和男女处世态度、社会交往存差异，女

著影响。

性教练员优于男性，工作疏离感男性教练员大于

女性教练员；在自我疏离感方面，男女差别较大，

感主要原因是工作压力和组织工作环境，人际关

男性大于女性。在关系工作疏离感方面，男女之

系影响最小；中国人普遍信奉关系主义和潜规则，

间存在显著差异，男性的人际关系工作疏离感大

这影响了人们对周围环境观察与感知的角度，比如

于女性的人际关系工作疏离感；在大学一般情况

当晋升资源有限时，教师通常将无法晋升的原因

下女性付出更多，而且疏离感程度低于男性，访谈

归于未运作关系。即使组织政治对自己没有威胁，

过程中一专家认为是说明女性喜欢倾诉有关，把

生活在防范、嫉妒中，他们也会感到压抑、身心疲

问题讲出来是一种释放，也是一种积极的应对策

惫，想从工作中抽离。因此建立量化的评优评先，

略。教练员人口年龄控制变量在工作疏离感中存

职称评审，教练员聘用职责，在监管上多做文章，

在显著差异。 36--45 岁的教练员感到疏离感最大，

将组织和关系影响因素堵死在制度面前。

原因教练员在 36—45 岁之间是事业发展的高峰

期，事业、家庭、职位、职称都是上升期，面临的

持续长期工作厌倦，无动力，无意义，感觉没有组

工作压力，关系压力、环境压力、家庭压力，疏离

织规范感，会导致离职的发生。对日常工作问题

感程度高也是情理之中。在工作疏离感方面，研

变得厌倦，为改变只有寻求其它就业技能，那就只

究生学历的教练员感到疏离感大于本科生。练员

有辞职这一步。当个人感到工作动力被无组织五

工作年限与工作疏离感存在差异：工作年限在

规范和职业厌倦击垮，那么倦怠本身可能会导致

11-15 年之间的疏离感程度最大，其次为 5-10

一个人改变工作，甚至考虑变换职业 (Figley,

年的； 15 年以上的疏离感最小。在自我疏离感方

2002)。在层次回归分析中发现，自我疏离感是正

面工作年限与疏离感程度成反比， 5 年以下的疏

向预测的，所以提高工作绩效，寻求工作动力是克

离感最大； 15 年工龄的最小；分析具体实际原因，

服工作疏离感的有效途径。

年轻的教练员想证明自己，工作努力，工作压力较

大。而老教练已经产生工作疲惫，我干什么样我

受到众多变量的影响，篮球教练员的工作本身是

还是我，职称，地位先对稳定，没有压力。职称对

一个动态的，对于选材、训练、比赛、管理、对手、

（1）高校体育教练员的工作疏离感处于中等

（2）工作疏离感的各个维度中，造成工作疏离

（3）工作疏离感的对工作的破坏特别明显，

（4）造成工作疏离感的原因也是多方面的，也

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是在不停地变化过程，在同等压力下、不同的天

能最终解决教练员工作疏离感的问题。因此尽量

时、地利，人际关系下的工作疏离感，在不同时节、

考虑到各种中介和调节变量的影响。采取纵向和

不同地点的个体都有差异的，这是竞技体育领域

横向的研究设计相结合的研究以进一步得出变量

的重点和难点问题。单纯的分析工作疏离感对工

之间的因果关系。

作绩效，工作压力个工作特征的影响机理或许不

References

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Steitz, J. A. & Kulpa, C. M. (1984). Occupational involvement and alienation among adults: the effects of gender and age. International Journal of Behavioral Development, 7(4), 479-499. Suarez-Mendoza, M. J. & Zoghbi-Manrique-de-Lara, P. (2008). The impact of work alienation on organizational citizenship behavior in the Canary Islands. International Journal of Organizational Analysis, 15(1), 56-76. Sun, X. & Sun, Y. (2015). Work alienation effect on employees’ performance in the traditional Chinese as moderator variables. Management Review, (10), 128-137. [in Chinese] Van, S. Jr. & Motowidlo, S. J. (1996). Interpersonal facilitation and job dedication as separate Facets of contextual performance. Journal of Applied Psychology, 81(5), 525-531. Wang, X. (2006). The components and related research of Chinese employees’ sense of work alienation. Jinan University. [in Chinese] Yang, J. (2015). Influence of leadership style on employee performance. Dalian University of Technology. [in Chinese] Yu, H. Q. et al. (2016). The Alienation of College Teachers’ Work and Its Role in Organizational Behavior. Guanghua University Education Research, 37(5), 92-100. [in Chinese] Yu, H. Q., Jing, P. F., Wang, Z. Y. & Fang, Y. G. (2016). What is the alienation of the work of teachers in colleges and universities - based on the investigation of five universities in the subject of academic research. Higher Education Research, 37(1), 57-63. [in Chinese] Yu, X. & Chen, W. (2016). Empirical Study on the influence of organizational self-esteem on job alienation of employees the role of negative emotion and tradition. Journal of Dalian University of Technology, (2), 71-77. [in Chinese] Zhou, J. M. (2001). High-tech company employees occupational stress and professional alienation of the relevant research. Kaohsiung Normal University Institute of Industrial Science Education Master’s. [in Chinese]

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Name and Surname: Long Liu Highest Education: Ph.D. Candidate, Panyapiwat Institute of Management University or Agency: Panyapiwat Institute of Management Field of Expertise: Sports Management Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120 Name and Surname: Guowei Hua Highest Education: Doctor of management, Sciences Academy University of China University or Agency: Panyapiwat Institute of Management Field of Expertise: Supply chain management Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120

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个人隐性知识转移四阶段循环模型理论框架研究

THE FOUR STAGE CYCLIC MODEL OF INDIVIDUAL TACIT KNOWLEDGE TRANSFER: AN OVERVIEW Song

宋贝1 陈奡2 Bei1 and Chen

Ao2

1,2正大管理学院中国研究生院 1,2Chinese

Graduate School, Panyapiwat Institute of Management

摘要

隐性知识转移是企业知识管理的重点。本研究采用文献研究方法，从经验主义知识视角概述了

个人隐性知识的内涵，并构建了个人隐性知识转移四阶段循环理论模型：即个人隐性知识觉知阶段，个人隐性知识外在化阶段，个人隐性知识接收阶段和个人隐性知识生成阶段。研究结果表明个人隐性知识的觉知阶段可以为企业或个人带来突破性知识创新，个人隐性知识的生成阶段则可为企业和个人带来继承性的知识创新。最后，建议研究者们不仅要注重继承性个人隐性知识的传递阶段，更应该重视个人隐性知识的觉知阶段的开发，促进革命性的知识创新。关键词: 个人隐性知识，个人隐性知识转移机制，循环模型，知识创新

Abstract

Tacit knowledge transfer is the focus of enterprise knowledge management. This study adopts the method of literature research, and summarizes the connotation of individual tacit knowledge from the perspective of empirical knowledge, then we further builds the individual tacit knowledge transfer four stage cycle theory model: namely the individual tacit knowledge awareness stage, the stage of individual tacit knowledge externalization, individual tacit knowledge receiving and individual tacit knowledge generation phase. The model reveals the individual tacit knowledge awareness stage can bring a breakthrough in knowledge innovation for enterprises or individuals, the formation stage of personal tacit knowledge can bring inherit innovative knowledge for enterprises and individuals, the researchers suggest that we not only focus on the transfer of personal tacit knowledge inheritance, we also should pay more attention to the sense Corresponding Author E-mail: 313222527@qq.com

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of personal tacit knowledge development the stage of knowledge, and to promote knowledge innovation revolutionary. Keywords: Individual tacit knowledge, Individual tacit knowledge transfer mechanism, Circulation model, Knowledge innovation 引言

一方面迎合理论需求，一方面为现实服务，需要

21 世纪是信息时代，对国家或企业而言，

经济和生产的竞争最终都是人才的竞争。人才

因此，个人隐性知识转移模型理论框架研究

研究者进行探讨和研究。

是生产力的核心驱动力，拥有丰富知识的核心价值在于其脑海里的知识，人才的竞争归终到底是

基于两种知识观下的个人隐性知识内涵探讨

隐藏在个体头脑中的知识的竞争。

Polany 认为存在人脑中的知识分为显性知

质及价值的思考，任何偏离知识内涵的知识管理

识和隐性知识，隐性知识是一切显性知识的支

研究都会导致研究偏离正确的方向。因此，个人

撑，完全显性的知识是不存在的， OECD 的 The

隐性知识管理应当从对知识的元思考开始，什么

Knowledge-based Economy 的报告中指出对于

是个人隐性知识？知识的哲学来源是什么？

个人和组织来讲，最有价值的是他们所拥有的隐

性知识。具体来讲，显性知识容易传播和共享，

学普遍将人的知识分为隐性知识和显性知识，受

被竞争对手学到，然而其隐性知识不易传播、共

传统知识观的影响，有关隐性知识的管理普遍分

享、转化，因而成为组织构筑自己竞争优势的关

为两个流派，以理性主义知识观为主的隐性知识

键，是个人自主创新能力的关键。

和以经验主义知识观为主的隐性知识，具体情况

总结如下：

以往研究主要是从理性主义知识观出发，

无论是个人还是组织，都不能脱离对知识本

自波兰尼将知识分为隐性与显性以来，管理

认为隐性知识可以被完全显性化，所以更加注重

1. 理性主义知识观下的个人隐性知识

转移知识的存储，数据的开发等的研究，然而，

理性主义影响下的个人隐性知识普遍被定义

个人隐性知识是不能言传且无法通过言语进行

为：隐性知识是存在大脑中的已知的高度个人化

传递的高度个人化的知识。对于，个人隐性知识

的理性知识，并非意味着不能编码，而是 “还没

是如何从获得到传递，这部分研究相对欠缺。我

有显性化” 的知识。

们不能只研究隐性知识的传递过程，而应该将个

人隐性知识从无到有的完整过程进行细致研究，

滕伯格，其中 Nonaka (1991) 年指出隐性知识

因此，进一步研究个人隐性知识是怎么样被个体

是包括认知和技术。它是植根于行为本身，受个

觉知，怎么样从有到无，进而实现传递的意义重

体所处环境的约束的知识，可以看出他认为的隐

大。完整的隐性知识转移理论模型研究不足。现

性知识也是可以完全显性化的。另外， Sternberg

实中管理中，企业管理者如何挖掘和管理蕴藏在

et al. (1995) 年指出隐性知识指的是以行动为

员工头脑中的隐性知识是知识型组织管理的核

导向的知识，是程序性的知识。只要将程序性知

心重点。

识进行详细编码也可以进行显性化。总结发现

本文主要总结理性主义代表野中郁次郎和斯

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研究者普遍认为：显性知识是指可以通过语言和

2. 经验主义知识观下的个人隐性知识

文字方式进行传播、可以表达、可以确知、可以

相较于理性主义，经验主义加入了人的主观

编码输入计算机的知识。总之，理性主义更愿意

能动性，个体在知识的生成创造中的主体地位得

相信隐性知识可以完全显性化。

到了重视，更符合社会现实。然而经验主义有关

理性主义知识观影响下的隐性知识内涵，虽

的隐性知识研究不足，波兰尼虽然从经验主义探

然不够统一，但是有关隐性知识的范畴内涵有了

讨了隐性知识，但是关于隐性知识的概念，转移

一致的认识，研究者普遍认为隐性知识是高度个

机制，管理机制都不成熟，需要进一步探讨和发

人化，高度情景化，是还没有显性化的理性知识，

掘。

只要人们具备一定的手段，技术，便可以将隐性

知识完全显性化，隐性知识和显性知识是个相互

传播范围非常有限，主要是通过人与人之间的相

作用，在一定条件下可以相互转化的知识。

互接触和工作环境传播，同时，隐性知识在干中

Nonaka等人的SECI知识转化模型指出，隐性知识

才能学到，通过实践不断积累，由于它难以表达，

和显性知识处于互动状态，两种类型知识之间的

因此传播代价非常昂贵。

相互作用称为 “知识转化”。在的知识创造的螺

旋模型中，知识在组织内部自下而上运动，从个

识 (即隐性知识) 指的是那些存在于个人头脑里

人层面开始，通过社会化、显性化、组合和内化，

的经验性知识。王德禄认为：所谓隐性知识，或

实现个人和组织间隐性知识的转移和互动，从而

称为 “隐含经验类知识”，往往是个人或组织经

实现知识的创造。

过长期积累而拥有的知识，通常不易用语言表

达，也不能传播给别人或传播起来非常困难。

以野中郁次郎为首的理性主义隐性知识管理

波兰尼（Polanyi， 1966）认为，隐性知识的

郁义鸿把隐加内什·纳塔拉詹认为，隐含知

引起了热议，研究者们纷纷研究如何开发个人理

根据经验主义隐性知识概念的研究发现：

性内隐知识，不难发现，理性主义希望通过技术

首先，隐性知识是潜藏在个体内部的知识体系，

革新，社会科学进步来挖掘个人隐性知识的开发

处于混沌状态，机体拥有庞大的隐性知识体系，

工具，然而却忽视了个人在隐性知识转化中的作

但是还不明确，不清晰，在一定情况下可以被觉

用。首先，人类知识是个人在情境实践中发展而

知。个体很大程度上还没有意识到自己拥有哪

来的。而情境又是个复制动态的变化过程，不同

些隐性知识。其次，个人隐性知识高度个人化，

的个人在不同的实践情境下产生的知识经验具

依赖情境而生存。在情境转变下，隐性知识也会

有差异性。其次，波兰尼认为的个人隐性知识是

随之而在一定程度上进行改变。总之，他们认为

和显性知识不可分开的相互作用体，隐性知识镶

隐性知识不可被显性化，但是可以通过某些手段

嵌在显性知识之中，二者是 from to 的结构关

实现外在，且隐性知识在没有被认知前是混沌的，

系，并不是结构绝缘的相互独立体，他指出任何

需要通过某些事件发生，让个人觉知到隐性知识

完全显性化的知识是不可思议的。最后，理性主

的存在，才可以被外在化和转移。

义关于隐性知识的生成过程并没有提起，个人隐

性知识的生成并不是简单的复制粘贴，而是个人

移大都是集中在如何将知识传递，对于个人隐性

通过情境实践创造的过程。

知识到底是怎们样发生发展的并没有提及。然而

综上，我们可以看出，有关个人隐性知识转

个人隐性知识并不是凭空来了，他们是个人隐性

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知识转移的前提条件，只有了解到个人隐性知识

电子邮件、数据存储技和相关的文件管理系统

是如何发生发展的，才可以进一步做出转移与传

和数据导向的数据库；其中的某些技术如视频面

递。另一方面，个人隐性知识转移和企业隐性知

谈、电子邮件、合作工作系统被用来捕捉和共享

识转移有着本质的区别，企业组织隐性知识转移

隐性知识。

强调固化的稳定的知识传递，而个人隐性知识转

移更多的是注重人与人之间的交流，并不是组织

主要是通过识别组织内部网络上的隐性知识以

上简单的固化的技术传递，更多的是知识的共

促进知识管理和知识的交流，体现出学者希望通

享，情景创设，而且强调交往环境融洽性，他们

过新颖的应用信息技术来打开挖掘隐性知识的

认为随着情景的变化个人隐性知识的传递方式

奥秘。

也是不同的，显然个人隐性知识更具有情景依赖

性，因此我们可以得出，个人隐性知识转移只是

希望创造更好的有利于知识共享的环境氛围，

个人隐性知识传递与分享，可以借用各种工具实

更注重人的主动性。例如: Barnes & Vidgen

现其外在化，然而外露、外在化过程中，隐性知

（2003）认为隐性知识的转移不一定非要显性化

识形态并没有发生改变，其本身仍然是隐性的。

才可以实现，通过建立包含个人兴趣的用户档案

由此我们可以看出，简单强调隐性知识可以显性

来描述其隐性知识，并促进其传播，可以实现隐

化的研究并不适合个体间隐性知识的转移，开创

性知识的共享。 Rodhain （1999）， Zhang, Wang &

个人隐性知识转移的机制模型更符合现实要求。

Wei (2009) 认为认知地图（Cognitive mapping）

总之，一系列基于软件代理程序技术的研究，

然而认为隐性知识不能被显性化的研究者则

是把隐性知识向显性知识转移的有效工具。 Ma 个体隐性知识转移现状分析

（2006）认为 “改进型学习历史事件法” 的隐性

知识转化方法，也可以实现隐性知识的转化与显

最初的隐性知识转移是在企业层面， 1977 年，

Teece 最早提出知识转移的思想，他认为通过技

性。

术转移可以帮助企业积累对其有价值的知识并

促进技术扩散，从此缩小区域间的技术差距，进

为是隐性知识转移的主要通道，不管是同事之间、

而节省人力，避免因为人才流失而造成的经济损

同行之间师徒之间以及上下级之间的日常交流

失。随着互联网技术的发展，研究者们企图利用

和共同工作环境都提供了大量的隐性知识转移

新的传媒手段实现个人隐性知识的编码，存储和

机会和渠道。

转化。于是研究者们展开了如何将企业核心技

术保留传递的隐性知识显性化的研究。

人之间的交流，如 Koskinen & Vanharanta （2002)

理性主义认为隐性知识可以被完全显性化，

等认为隐性知识的获取和转化可以通过技术创

他们注重开发隐性知识的转化工具，以野中郁次

新中人们之间的非正式的交流和行动学习两种

郎为代表的隐性知识显性化研究认为隐性知识

途径实现。 Swap et al. （2001）认为非正式的

和显性知识形态可以互相转化，是可以被完全显

学习、师徒制以及讲故事是隐性知识内化和社

性化的，他们注重开发隐性知识的转化工具，例

会化的最有效的方式。

如 Mitri （2003）指出知识管理系统运用相似

的技术，包括远程交流工具，如 FTP、因特网、

以理性主义知识观下的日本的知识管理专家

社会网络（Zhang, Pu & Li， 2009）亦被认

在个人隐性知识转移的研究着重于研究人与

然而，目前有关隐性知识转移模型，主要是

116

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Nonaka 和 Takeuchi 的 SECI 螺旋式模型，他

程分为开始、执行、跃迁、整合四阶段，他们都

们从组织层面出发，提出 “个人、组织知识创造

是基于个人对隐性知识的理性认识之上，认为隐

螺旋理论”，认为组织内隐性知识和显性知识处

性知识可以完全显性化，忽略了经验主义中知识

于不断的互动状态，组织的知识创造主要是通过

创造主体主观能动性作用，经验主义能弥补传统

显性知识和隐性知识之间的相互作用来完成的，

理性主义知识观的瑕疵，增加人的主体作用，对

他将这两种类型知识之间的相互作用称为 “知

知识创造的认识更符合现实隐性知识状态。

识转化”。在知识创造的螺旋模型中，知识在组

织内部自下而上运动，从个人层面开始，向上转

性，但是经验主义关于个人隐性知识是如何创造

化为团队层面的知识，最后变成组织层面的知

的并没有深入研究。个人隐性知识是个庞大的

识。个人、组织通过 “知识创造螺旋” 的方式，

混沌体，有待个人的觉知，基于经验主义的角度，

实现隐性知识的转移和互动，在这四个阶段中可

个人在知识的觉知过程中是主动的，个人隐性知

以看出有个人到组织的知识转化，也有个人到个

识转移机制是从始至终的过程，理应包括隐性知

人的知识转化，这也是后来研究者们研究个人间

识的发生，发展，再到个人隐性知识的发送，接

隐性知识转移的借鉴根据。

收者的接收、生成的完整过程。以往研究多是直

虽然经验主义认识到人在知识创造中的重要

接研究知识发送者到知识接收者的转移问题，这基于经验主义知识观的个人隐性知识转移机制的

就忽视了个体隐性知识的发生机制，也即是个人

构建与探析

隐性知识是怎么样从无意识状态被个人隐隐约

无论是野中郁次郎 (Nonaka， 1994) 转化的

约意识到的过程。因此个人隐性知识转移四阶

SECI 模型，还是 Suzlanski (2000) 的组织内

段理论模型应包含隐性知识最初的觉知阶段，具

部最佳实践转移，他把组织内部知识转移整个流

体理论模型构建如下图：

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

1. 个人隐性知识转移模型的第一阶段：个人

117

情、图像等来展现。 Wang & Gu (2005）等学者

隐性知识的觉知阶段

认为隐性知识的转移需要对隐性知识外化才能

实现。也即是知识转移第二阶段，觉知后的个人

个人隐性知识在未被觉知前是混沌且无意义

的，个人对隐性知识的觉知是隐性知识转移的先

隐性知识借助媒介实现隐性知识的外在化。

决条件，我们在研究个人隐性知识转移过程时，

首要考虑的是个人隐性知识的觉知阶段，根据波

体隐性知识接收阶段

兰尼观点，隐性知识指人类知识总体中那些无法

言传或不清楚的知识，人的意识分为辅助意识与

递的开始，按照 Suzlanski (2000) 根据内部最

目标意识，他认为隐性知识就是意识的辅助意识

佳实践研究知识转移，他认为知识转移流程一旦

和目标意识的动态组合过程，也即是 from to

外在化开始后，就已经发送，进而被接收方接收。

的结构，比如，在用锤子敲钉子的活动中，我们

而在这过程中接收者的吸收能力起了决定性作

既意识到钉子，也意识到锤子和握锤子的手掌、

用， Gilbert & Cordey-Hayes （1996）认为知识

手指中的感觉，我们注意的中心是钉子，而不是

转移过程也是知识的学习过程，由知识接收方采

握锤子的手掌、手指中的感觉，波兰尼认为，我

用、接受和同化为自身的部分的过程。个人隐性

们对钉子的意识是集中意识，而对握锤子的手

知识经过传递要想被真正的掌握和习得，需要接

掌、手指中的感觉的意识是一种辅助意识，在用

受者对隐性知识传递信息的吸收加工。 Szulanski

锤子敲钉子的活动中，我对手掌中的感觉的辅助

（1996）指出知识受体的吸收能力主要指其对接

意识被融进了敲钉子的集中意识之中。这正印

收的隐性知识表现出的学习能力、交流能力和

证了个人隐性知识转移的第一阶段，个人隐性知

应用能力等。知识受体的吸收能力会影响组织

识通过某些辅助工具实现个人对自身隐性知识

内最佳实践的转移。因此知识转移的第三阶段

的觉知阶段。

为，知识发出发外在化的隐性知识通过接收方的

吸收能力实现。

2. 个体间隐性知识转移模型的第二阶段：个

3. 个体间隐性知识转移模型的第三阶段：个个人隐性知识外在化过程本身就是知识的传

体隐性知识外在化阶段

隐性知识的生成阶段

个人隐性知识一旦为个体所觉知，便具备了

4. 个体隐性知识转移模型的第四阶段：个人

可以转移的前提条件，个人隐性知识转移的开始

个人将吸收到的知识运用到新的社会实践中

是外在化（Szulanzki， 1996），可见个体隐性知

去，进而生成属于自己的个人隐性知识。 Dong-Gil,

识外在化可以实现知识的发送。个人隐性知识

Kirsch & King (2005) 认为隐性知识转移是知

总是可以被某种方式表达或者展现，他所说的某

识转移双方之间的沟通，使其能为接受方学习和

种方式称为个体隐性知识转移的媒介或者辅助

应用，其中在不同环境下的知识应用标志着个人

工具。按照波兰尼观点，这种辅助工具可以是物

隐性知识的成熟。 Liao & Hu （2007）认为，知

质工具，如锤子、手杖等，是人类身体的自然延

识转移是知识接受者获得知识提供者的知识，并

长，也可以是非物质的，语言，行为，隐喻等。

用其积累和更新生产能力的过程，强调在不同情

格里门认为，隐性知识也是知识，它可以通过某

境下的知识生产力。可见个人隐性知识转移在

些方式被显示、习得、传递、积累和批评，除了

经历过知识发送方的知识外化，知识传递之后，

以语言方式，还可以非语言的方式，如动作、表

接受者经过情境实践而生成新的隐性知识，也即

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118

是个人隐性知识转移的第四阶段，个人隐性知识

段循环模型图可以清晰的看出，个人隐性知识的

的生成阶段。

生成有两个方面，第一阶段的个人在某些辅助工

需要指出的是，该模型为循环模型，可以看

具的作用下自我觉知到的全新知识，另一方面是

出当个人隐性知识生成后，如果在进行知识传递

在已有的隐性知识传递的基础上生成，个人隐性

则直接进入第二阶段，原因主要是该阶段的知识

知识转移四阶段模型揭示了知识创新的两个方

已经是个体觉知到的知识，如若要有突破性的知

向，一个是无限循环的继承性知识创新，一个是

识，则应在第一阶段下工夫。

突破性的革命创新。其中继承性创新发生在知识的第四阶段，突破性创新发生在第一阶段。

结论

本研究基于经验主义对隐性知识理解，认为

我们发现个人隐性知识的获得有两个渠道，一个

隐性知识是高度个性化的，依附性的，寄寓环境

是基于辅助工具的自我觉知和挖掘，一个是在已

性的知识，是无法言传或还未必觉知的知识。要

有知识传递基础上的继承发展。建立在传统知

通过特定的情境或事件的发生，才能产生和被察

识传递基础上的知识创新是在继承性的知识创

觉的知识。

新，其本质还在前人的研究基础之上的完善和改

个人隐性知识转移是个阶段过程，在知识转

良，并没有实质性的突破。而借助辅助工具自我

移过程中，应该注重隐性知识的初始状态的开

知识的觉知和挖掘则是突破性，革命性的知识创

发，个体间隐性知识转移为知识发送发将知识传

新。我们在研究知识转移的过程中，不仅仅要重

递给知识接收方的过程，分为四个阶段，第一阶

视已有知识的传递和发展，更应该注重个人隐性

段：个人隐性知识自我觉知阶段。第二阶段：个人

知识的挖掘和觉知，继承性的创新虽然在现实中

隐性知识外在化阶段；第三阶段：个人隐性知识的

非常重要，但是革命性的、突破性的创新才是竞

接收阶段；第四阶段：个人隐性知识的生成阶段。

争的核心和优势。

个人可以无限循环将自己的知识再次传递给别

人，直接到知识传递的第二阶段，第三阶段，第

方法进行的一篇综述研究，主要是构建个人隐性

四阶段，因为第四阶段生成的知识是个人觉知后

知识转移理论框架，为下一步验证做好理论基

的知识。

础。未来对如何促进个人隐性知识的觉知和如

何促进个人隐性知识的生成还需要进一步的研

隐性知识传递模型是个无限循环继承的过

程，而真正全新的创新知识是在起始阶段。四阶

基于隐性知识转移四阶段循环模型的构建，

最后，本研究是采用用文献资料研究的研究

究与探讨。

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

119

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Name and Surname: Song Bei Highest Education: Ph.D. Candidate, Panyapiwat Institute of Management University or Agency: Panyapiwat Institute of Management Field of Expertise: Knowledge Management Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120 Name and Surname: Chen Ao Highest Education: Ph.D. in Management, University of Leicester, UK University or Agency: Panyapiwat Institute of Management Field of Expertise: Knowledge Management and Organisational Context Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120

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SERVQUAL MODEL AND ANALYTIC HIERARCHY PROCESS ON THE EXPRESSWAY SERVICE QUALITY ASSESSMENT การใช้แบบจ�ำลอง SERVQUAL และวิธี ANALYTIC HIERARCHY PROCESS (AHP) ในการประเมินคุณภาพการให้บริการของทางพิเศษแห่งประเทศไทย Veeris Ammarapala School of Management Technology, Sirindhorn International Institute of Technology, Thammasat University

Abstract

Expressway is a common mean of transportation for Bangkok commuters due to the traffic congestion problem. Because of the higher toll rate on expressway, the service quality of the expressway, therefore, has received a greater emphasis. The identification of user satisfaction is important for improvement of the service quality of the expressway which is managed by the Expressway Authority of Thailand (EXAT). This study attempts to identify the service quality of the expressway and seeks for the most important service criteria. For that, the utilization of SERVQUAL approach with gap analysis model to compare expectation and perception on services are applied along with the Analytic Hierarchy Process (AHP) method to assess the weights of different service criteria. The results provide a better understanding about the expectation of expressway users and how to meet their satisfactions by minimizing the identified gap. In addition, the results provide suggestions on which service factors the EXAT needs to put greater emphasis on, in order to achieve the highest standard for expressway services. Keywords: Service Quality, Analytic Hierarchy Process (AHP), Expressway Authority of Thailand (EXAT), SERVQUAL

Corresponding Author E-mail: veeris01@gmail.com

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บทคัดย่อ

ทางพิเศษแห่งประเทศไทย หรือทางด่วน เป็นเส้นทางหลักเส้นทางหนึ่งที่ผู้ใช้รถใช้ถนนในกรุงเทพมหานคร และปริมณฑลเลือกใช้เพื่อหลีกเลี่ยงการจราจรที่ติดขัด แต่เนื่องจากทางด่วนมีการเรียกเก็บค่าบริการที่ค่อนข้างสูง ดังนั้น มาตรฐานการให้บริการที่ดีจึงเป็นสิ่งที่จำ� เป็น งานวิจัยนี้มุ่งเน้นที่จะพัฒนาแนวทางการวัดระดับความพึงพอใจ ของผูใ้ ช้บริการทางด่วน โดยใช้หลักการของแบบจ�ำลอง SERVQUAL ทีจ่ ำ� แนกปัจจัยหลักในการวัดระดับความพึงพอใจ ของการให้บริการออกเป็น 5 ด้าน และยังสามารถใช้วดั ช่องว่างระหว่างสิง่ ทีผ่ ใู้ ช้บริการคาดหวังและสิง่ ทีไ่ ด้รบั ได้อกี ด้วย อย่างไรก็ดปี ญ ั หาหนึง่ ของ SERVQUAL ทีเ่ ห็นได้ชดั คือ การที่ SERVQUAL ให้นำ�้ หนักปัจจัยหลัก 5 ด้านทีใ่ ช้วดั ระดับ ความพึงพอใจในการให้บริการเท่าๆ กัน ดังนัน้ งานวิจยั นีจ้ งึ พยายามแก้ปญ ั หาดังกล่าว โดยน�ำวิธี Analytic Hierarchy Process (AHP) มาประเมินค่าความส�ำคัญที่แตกต่างกันของแต่ละปัจจัย โดยอาศัยความคิดเห็นจากกลุ่มผู้เชี่ยวชาญ ผลของงานวิจยั นีจ้ ะช่วยให้การทางพิเศษแห่งประเทศไทยเข้าใจถึงปัญหาในการให้บริการขององค์กร ว่าควรต้องปรับปรุง การให้บริการในด้านใดเป็นหลัก และแบบจ�ำลองนี้สามารถน�ำไปประยุกต์ใช้กับองค์กรที่ให้บริการอื่นๆ ในวงกว้างได้ ต่อไป โดยนักวิจยั มีความเชือ่ มัน่ ว่าการประยุกต์ใช้ AHP กับ SERVQUAL ร่วมกันจะท�ำให้ผลทีไ่ ด้รบั แม่นย�ำกว่าการใช้ SERVQUAL เพียงอย่างเดียว ค�ำส�ำคัญ: ระดับความพึงพอใจในการให้บริการ Analytic Hierarchy Process (AHP) การทางพิเศษแห่งประเทศไทย SERVQUAL

Introduction

The major problem of Bangkok traffic congestion is the limited road space and the fast growing of number of vehicles registered in Bangkok (Tanaboriboon, Quium & Changsingha, 1993: 207-223; Burapatana & Ross, 2011: 25-42). According to Transport Statistics Sub-Division, Planning Division of Department of Land Transport, in 2013 (Department of Land Transport, 2013) the total roads space in Bangkok only supports 1.6 million vehicles. There are about 8 millions of registered vehicles are accumulated in the Bangkok Metropolis which is about 5 times of the roads space. In consequence, the expressway network has become one of the important alternatives for commuters to reduce their traveling times. Nowadays, the service quality has become

a serious issue of discussion as people are more concerned about receiving the highest utility or satisfaction level on what they have paid for. With the same reasons, the service quality of the expressway has received a greater emphasis as the toll rate on expressway is higher than before. There is a tendency to increase the toll rate every now and then. The purpose of this paper is to evaluate the service quality of expressways by combining the AHP and SERVQUAL techniques. A group of experts were interviewed for obtaining weight of importance for each factor and how it affects the overall satisfaction level. Their judgments were collected in pairwise comparison manner. Then, the weights of all criteria were applied to SERVQUAL model. Questionnaire surveys of expressway users

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were conducted at the expressway service area to obtain the information as the inputs for SERVQUAL model. The results of the SERVQUAL model suggest the gap between what the expressway users expect and what can be realized in the current situation.

Literature Review

1. The Expressway Authority of Thailand (EXAT) The Expressway Authority of Thailand (EXAT) is a state-owned enterprise, under Ministry of Transport, established in 1973 (as announced by the Revolutionary Council No. 290) (Expressway Authority of Thailand EXAT, 2013). EXAT takes all responsibilities for all services and problems which occur on expressways. The systems operated under EXAT are primarily in the Bangkok area, and some nearby provinces. The system first opened to service in 1981. And the system currently consists of seven completed sub-systems, as illustrated in Figure 1, covering a total distance of 198.43 kilometers. The expressway system consists of (in order of

completion): Chalerm Maha Nakhon Expressway (First Stage Expressway System); length 27 kilometers. Si Rat Expressway (Second Stage Expressway System); length 38.46 kilometers. Chalong Rat Expressway (Ramindra - At Narong Expressway); length 28.16 kilometers. BuraphaWithi Expressway (Bang Na Expressway); length 32 kilometers. UdonRatthaya Expressway (Bang Pa-in Pak Kret Expressway); length 55 kilometers Third stage expressway System, S1 section (At Narong - Bang Na); length 4.67 kilometers. Bang Phli - Suk Sawat Expressway (South Kanchanaphisek ring road); length 22.53 kilometers. As the expressways have become more important for urban travel, the number of users of expressways is ever increasing. In 2013, the Expressway Authority of Thailand (EXAT) Governor, reported that the expressway commuters currently make 190,000 trips daily on the expressways (Expressway Authority of Thailand EXAT, 2013).

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Figure 1 Bangkok Expressways International Foods & Drinks, Hotels, Bakery Exhibition (2016)

2. Service Quality Model (SERVQUAL) SERVQUAL is one of the most famous tools used for measuring service quality from the customers’ perspective. It measures the scale of ‘quality’ in the service sectors. Service quality was defined by Parasuraman, Berry & Zeithaml (1990: 34-44) as a consumer’s overall judgment or attitude towards the service. Such consideration of service is important, and it has been realized

that by achieving higher service quality it would lead to an increased customer satisfaction, which yields an increase in business (Zeithaml, Berry & Parasuraman, 1996: 31-46). Service quality has gained popularity, and became an important research topic, mainly due to its close relationship with customer satisfaction (Daugherty, Stank & Ellinger, 1998: 35-51; Innis & La Londe, 1994: 1-27; Stank et al., 2003: 27-55).

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As the basis of its service quality measurement instrument, SERVQUAL uses five dimensions: Tangible, Reliability, Responsiveness, Assurance, and Empathy (Parasuraman, Zeithaml & Berry, 1988: 12-37), as follows: Reliability: The ability to perform the promised service dependably and accurately Assurance: The knowledge and courtesy of employees, and their ability to convey trust and confidence Tangible: The appearance of physical facilities, equipment, personnel and communication materials Empathy: The provision for caring, and individualized attention to customers Responsiveness: The willingness to help customers and to provide prompt service In this paper, there are four dimensions which are Reliability, Assurance, Tangible, and Responsiveness that would be considered as the criteria in the Expressway Service Quality, due to the type of service of the EXAT that is aimed to be a venue for a mass public transportation. Therefore, the ‘Empathy’ aspect provided to specific customers could be difficult to provide and provisioned. According to Parasuraman, Zeithaml & Berry (1985: 41-50), customers generally have a tendency to compare the service they ‘perceive’ with the service they ‘expect’. If the perception does not fit to the expectation then a gap will increase. This measures the gap between customer’s expectation and experience, and the basic assumption of measurement was that

customers can evaluate a firm’s service quality by comparing their perceptions with their expectations. Therefore, this study employed a questionnaire survey to obtain customers’ opinions about their perceptions and expectations through the 1 to 5 Likert’s scale, for which 1 means the lowest satisfaction level and 5 means the highest satisfaction level, respectively. 3. Analytic Hierarchy Process (AHP) The Analytic Hierarchy Process (AHP) (Saaty, 1980) is a powerful tool, which can be used to make decisions when multiple and conﬂicting objectives/criteria are present, and both qualitative and quantitative aspects of those decisions need to be considered. Common application themes of AHP include selecting the best alternative, planning and development, and optimization (Vaidya & Kumar, 2006: 1-29). By using the AHP, dimensions of service quality can be identified about which one should be acquired the most attention, in order to create a sustainable competitive advantage. After structuring the problem as a hierarchy and identifying criteria which contribute to the overall goal (service quality), as shown in Figure 2, experts were asked to rate the weight of importance between pairs of service dimensions, e.g. ‘tangibles’ versus ‘reliability’. This is to indicate whether they felt that one dimension was ‘equally important’, ‘more important than’ or ‘less important than’ another dimension, by using the Saaty’s rating scale table (as in Table 1) in the form of a pair-wise comparison matrix.

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Figure 2 AHP Model for Measuring Service Quality of Thailand Expressway. Table 1 Saaty’s Rating Scale Table Intensity of importance 1

Definition Equally important

Somewhat more important

Much more important

Very much more important

Absolutely more important

2,4,6,8

Intermediate values

Explanation Two factor contribute equally to the objective Experience and judgment slightly favor one over the other Experience and judgment strongly favor one over the other Experience and judgment strongly favor one over the other. Its importance is demonstrated in practice The evidence favoring one over the other is of the highest possible validity When compromise is needed

Source: Saaty (1980)

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In the matrix of pair-wise comparisons: A = [aij] represents the value of the expert’s preferences between pairs of criteria (Ai vs. Aj, for all i, j=1,2,..,n). They are usually chosen based upon a given scale table. Given n criteria

{A1,A2,,,,An}, a decision maker compares pairs of criteria for all possible pairs, and a comparison matrix A is obtained, where the element aij shows the preference weight of criterion obtained by comparing Ai with Aj, as shown in Equation 1.

The next step is to convert the matrix into a rank of criteria, using the eigenvector approach. Saaty (1980), developed the Eigenvalue Method (EM), in order to synthesize a pair-wise comparison matrix, and to obtain a priority weight vector for several decision criteria and

alternatives. The weights are denoted by {w1, w2,…,wn} and the matrix of the ratios of all weights by (As shown in Equation 2): Then, matrix A is multiplied by the vector formed by each weighting w, as shown in Equation 3:

As aij is a subjective rating given by the decision-maker, there must be a distance

between them and the actual values wi /wj. Thus, Aw = nw cannot be calculated directly.

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Therefore, Saaty (1980) suggested using the maximum Eigenvalue. Once the weighting scheme is determined (As shown in matrix A), the relationship can be solved by the linear equation (or use approximation methods) as shown in Equation 4: Aw = λmaxw: that is, (A - λmax I) w = 0

(4)

If this equation has a nonzero solution for w, then λmax which is a scalar, is said to be

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an Eigenvalue or characteristic value of A: which is an n x n matrix of pair-wise comparisons and w (which is an n x 1 matrix), and is said to be an Eigenvector belonging to λ. I is the identity matrix, a diagonal matrix, with the main diagonal terms equal to 1 and 0, elsewhere. The final step is to estimate Saaty’s Eigenvector method using the Consistency Ratio technique. Saaty proposed what is called the ‘Consistency Ratio’, which is a comparison between Consistency Index (CI) and Random Consistency Index (RI), or as shown in Equation 5:

CR = CI / RI = (λmax- n) ÷ (n -1) / RI (5) Where, λmax = Maximum Eigenvalue of the priority matrix, n = Number of elements in the matrix, RI = Random Consistency Index computed for matrices of order n. Different-order random matrices are given by Lee, Fawcett & Briscoe (2002: 374-387) and Saaty (1995). If the value of Consistency Ratio is smaller or equal to 10%, the inconsistency is acceptable. If the Consistency Ratio is greater than 10%, then it is needed to consider revising our subjective judgments.

Survey development and data collection

To obtain the importance of each attribute in the AHP model, five experts in the transportation related area were interviewed. Two of the experts are professors from two different Universities with background in Transportation

Management. The other two experts are executives in the Ministry of Transports (MoT). Their responsibilities are to look after the service levels of highways and roads in Thailand. The last expert came from the Department of Highways (DoH). His responsibility is to manage the service level of Motorways, which are the other toll-way sections under supervision of the DoH. Then, their judgments in each dimension were used to construct the AHP matrix, in order to find the most important dimension of expressway services. In this study, adapted from SERVQUAL, there are four dimensions for the experts that are used to evaluate

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the importance of the service quality of the EXAT’s performance. Their pairwise comparison judgments were based upon a nine-point relational scale of importance: similar to the one used in the original AHP instrument (Saaty, 1980). After the comparison matrix is obtained, the net weight of each attribute is calculated using the AHP approach. Next, these net weights are multiplied by the average scores obtained from SERVQAUL questionnaire that provides the results in scale of 1 to 5. Alongside with the interview of the experts, a questionnaire survey of the expressway users was conducted. The questionnaire consists of two parts. The first part is a SERVQUAL questionnaire, which asked customers who use the expressways to rate their preferences for expressway services, based upon scales of expectation and perception. This process helps determine which dimensions of SERVQUAL achieve the greatest interest from customers. The second part of the questionnaire is an open question for respondents to write their opinions or suggestions. The ‘Taro Yamane’ formula is used to suggest the sample size of expressway drivers to be interviewed in this project, as follows in Equation 6 (Yamane, 1967):

N 1 + Ne2

Where, n = The sample size, N = The population size E = Allowable error of 5%

(6)

According to Yamane (1967), at the 95% confidence level, the sample size is suggested to be at least 400 participants for the study. Therefore, the questionnaires were distributed to 400 respondents. The sampling techniques utilized in this research were cluster sampling technique combined with simple random sampling. Different service areas on the expressways were considered to be different clusters. The research team has randomly selected two services areas to administer the questionnaire survey, which are Bangsue and Bangna service areas.Then, two hundred questionnaires were randomly distributed to expressway users in each service area on weekdays and weekends. After data is collected from both experts and expressway users, the net score of each attribute is obtained and evaluated to identify which aspects should be considered as important expressway service quality, as a reflection of both the experts and expressway users’ judgments.

Methodology and Results

1. AHP and Expert’s Opinions Step 1 After Expert’s judgments were obtained, the matrix is formed. The matrix, as depicted in Table 2, displays numerical values (based upon the nine-point importance scales) denoting the importance of the service dimension, by pair-wise comparison.

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Table 2 Pairwise Comparison Matrix Criteria Reliability Tangible Assurance Responsiveness

Reliability 1 0.82787 0.6645 0.3029

Tangible 1.2079 1 1.2899 0.2755

From a rough observation from the judgment values in the comparison matrix, most of the experts have rated Reliability highly. On the other hand, Responsiveness was rated with only few scores. Step 2 The matrix is computed by using the AHP method in excel, and completed by the following steps (shown in Table 3): (1) Squaring the matrix (2) Computing the eigenvector a. sum the rows b. sum the row totals c. divide the row summations by the row totals (3) Repeat these processes until the eigenvector solution does not change from the previous one, in order to obtain the important weight of each dimension. (4) Divide eigenvector 1 with eigenvector 2, to check the difference in eigenvector value. If there is not much difference, then the value is considered valid.

Assurance 1.5047 0.7752 1 0.34375

Responsiveness 3.3010 3.6296 2.9090 1

Table 3 Eigenvector Obtained from AHP Calculation. Criteria Reliability Tangible Assurance Responsiveness

Eigenvector 0.3494 0.2768 0.2818 0.0918

Step 3 Consistency Ratio computation is completed by the following steps: (1) Sum each column (2) Divide each column with total sum of each column (3) Sum each row (4) Divide each total row with size of matrix (4) (5) Use Multiplication Function (=MMULT ()) to get Consistency Measure of each dimension (6) Average all Consistency Measure and then subtract with size of matrix (4) to get CI (7) The size of matrix is 4, from table 4, the RI = 0.89 (Saaty, 1980).

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(8) Divide CI with RI to get Consistency Ratio: (9) CI = 0.0127931 (10) RI = 0.89 Consistency Ratio (CI/RI) = 0.0143743 The Consistency Ratio of this matrix equals to 0.01 which is less than 10% or 0.1. Therefore, the inconsistency is acceptable. After the results of AHP are obtained, the ‘Expert Choice’ software is used to validate

whether the results obtained from step 2 is correct, or not. Expert Choice is a decision making software that enables teams to prioritize alternatives in the AHP model, in order to obtain the best choice of confidence for important organizational decisions. The results from manual calculations were confirmed by the results obtained from Expert Choice software, as shown in Figures 3 and 4.

Table 4 Random Consistency Index (RI) Size of matrix (or n) Random consistency index Source: Saaty (1980)

0.0

Reliability

0.52 0.89 1.11 1.25 1.35 1.40 1.45 1.49

Tangible 1.208

Assurance Responsiveness 1.505 3.301 1.29 3.63 2.909

Reliability Tangible Assurance Responsiveness Incon: 0.01 Figure 3 AHP Calculation by Expert Choice Software.

Priorities with respect to: Goal Reliability 0.349 Tangible 0.277 Assurance 0.282 Responsiveness 0.092 Inconsistency = 0.01 with 0 missing judgment Figure 4 AHP Results Obtained from Expert Choice Software. ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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According to the validation process, the results and the ranks from both methods can be validated to be the same. Regarding the final scores, that are shown in Table 3 and Figure 4, the Reliability aspect achieved the greatest importance score, amongst the four dimensions, and Responsiveness received the lowest score. This means that the participants valued ‘Reliability’ as the most important expressway service, followed by Assurance, Tangible and Responsiveness, respectively. Step 4 For the SERVQUAL questionnaire, scores is combined from each criterion’s questions, and then the geometric mean was used to obtain

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the final customer satisfaction scores Step 5 Combine the results from the AHP method with the SERVQUAL scores by (1) Multiplying importance of weight by perception, and expectation, separately. (2) Subtracting the weighted expectation score from the weighted perception score, to obtain the different gap values. Tables 5 and 6 show the results of the net scores after the weights of service from AHP were combined with final scores from the SERVQUAL questionnaire survey, on Expectation and Perception aspects, respectively.

Table 5 Net Scores Obtained from Combination of Expectation of Expressway Users and Eigenvector from the AHP Approach. Criteria Reliability Tangible Assurance Responsiveness

Expectation 4.2076 3.7785 3.7238 3.4582

Eigenvector 0.3494 0.2768 0.2818 0.0918

Expectation*Eigenvector 1.4703 1.0460 1.0496 0.3176

Table 6 Net Scores Obtained from Combination of Perception of Expressway Users and Eigenvector from the AHP Approach. Criteria Perception Eigenvector Perception*Eigenvector Reliability 3.6904 0.3494 1.2895 Tangible 3.1675 0.2768 0.8769 Assurance 3.2324 0.2818 0.9111 Responsiveness 2.8669 0.0918 0.2632 Note: Gap score = (Expectation*Eigenvector) – (Perception*Eigenvector)

Gap Scores 0.1807 0.1691 0.1384 0.0543

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It is obvious that reliability aspect achieves the highest rank in both customer perception and expectation, among the four dimensions. Nevertheless, when finding the gap scores by subtracting ‘Perception’ score from ‘Expectation’ score, Reliability yielded the highest gap between perception and expectation followed by Tangible, and Assurance. The lowest gap is Responsiveness.

Discussion and Conclusion

As service is important in any business, its quality needs to be highly considered. Service providers often assess their service quality to understand how well they perform at meeting customer satisfaction, improve their services. Normally, to measure the service quality level in different aspects of service provided, SERVQUAL is a standard technique. However, one drawback of SERVQUAL is that it treats all the different aspects of service quality the same way. In reality, because of the different natures of service organization, some service aspects may be much important than the others. Therefore, it is essential to identify the difference level of importance in different service aspects in SERVQUAL. The AHP technique is applied to analyze the different levels of importance in different service dimensions of the Expressway Authority of Thailand (EXAT). According to SERVQUAL theory the factors of expressway services are considered to preside in four service dimensions, which are: (a) reliability, (b) tangible, (c) assurance, and (d) responsiveness.

The utilization of AHP helped find the different important levels of service dimension for EXAT. From the above analysis, Reliability achieved the greatest weight of importance of 0.3494 or 34.94%, followed by Assurance at the weight of 0.2768 or 27.68%, Tangible at the weight of 0.2818 or 28.18% and Responsiveness at the weight of 0.0918 or 9.18%, respectively. Therefore, Reliability is the most highly considered dimension which EXAT specifically focus upon. Thereafter, the weight of service from AHP was combined with each dimension’s final score from the SERVQUAL survey as can be shown in Table 5 and 6. After the combination, Reliability still achieved the highest rank in both customer perception and expectation, amongst the four dimensions. This shows that both customers and experts place the greatest emphasis on this dimension. However, after the Gap scores is determined, in Table 7, by finding the differences between ‘Perception’ scores and ‘Expectation’ scores, Reliability yielded the highest gap score of 0.1807, followed by Tangible at the score of 0.1691, Assurance at the score of 0.1384, and Responsiveness at the score of 0.0543. This expresses concern of customers that, in their opinion, Reliability aspect is the most important criterion. Yet, it is in their concern that the Reliability aspect of Expressway service still does not match with their expectations. On the other hand, the criterion that obtains the lowest gap is Responsiveness at the score of 0.0543. Therefore, no matter which dimension EXAT places greater importance upon, users

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still feel some difference between what they perceive and what they expect. From these results, EXAT should focus on the improvement of their service quality pertaining to ‘Reliability’, in order to reduce the gap between perception and expectation, and to give customers greater satisfaction and gain better trust in the service. Improvements to Reliability could be accomplished through the improvements in many aspects, such as, Timeliness, Accuracy, Standardization, and etc. With regard to the service of the expressways, most customers rarely have an opportunity to be in contact with EXAT staff, so they may not be aware of the Responsiveness of EXAT staff. In addition, this study suggests EXAT to understand their strengths and weaknesses in order to improve service performance, not only with regard to responsiveness, but also other dimensions as well. Despite the gaps between perception and expectation being very small (less than 1), in order to keep customers

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using the services continuously, EXAT may need to regularly evaluate and identify their service problems to improve their performances provided to customers. The technique presented in this paper that combines AHP and SERVQUAL can be applied to many different scopes of problem. The main drawback of this combination technique resides in the complication of AHP, which requires involvement of experts and the agglomeration of their opinions. Nevertheless, the combination of these two techniques could greatly assist the evaluation process to become a much more accurate evaluation system, when compared to the use of SERVQUAL alone. This is especially true in the service environment that customers place greater emphasis on one or two aspects of service areas. Therefore, the results of gap analysis that helps identify which service areas require greater attention would be more accurate, so the organization could apply their efforts and budget accordingly.

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Lee, T. N., Fawcett, S. E. & Briscoe, J. (2002). Benchmarking the challenge to quality program implementation. Benchmarking: An International Journal, 9(4), 374-387. Parasuraman, A., Berry, L. L. & Zeithaml, V. A. (1990). Guidelines for conducting service quality research. Marketing Research, December, 34-44. Parasuraman, A., Zeithaml, V. A. & Berry, L. L. (1988). SERVQUAL: A multiple-item scale for measuring consumer perceptions of service quality. Journal of Retailing, 64(1), 12-37. Parasuraman, A., Zeithaml, V. A. & Berry, L. L. (1985). A conceptual model of service quality and its implications for future research. Journal of Marketing, 49(4), 41-50. Saaty, T. L. (1995). Decision making for leaders. Pittsburgh: RWS Publications. Saaty, T. L. (1980). The Analytical Hierarchy Process. New York: McGraw-Hill. Stank, T. P., Goldsby, T. J., Vickery, S. K. & Savitskie, K. (2003). Logistics Service Performance: Estimating Its Influence on Market Share. Journal of Business Logistics, 24(1), 27-55. Tanaboriboon, Y., Quium, A. S. M. A. & Changsingha, C. (1993). Performance indicator analysis: A management tool for the improvement of bus transit operation in Bangkok. Journal of Advanced Transportation, 27(2), 207-223. The 24th International Foods & Drinks, Hotels, Bakery Exhibition. (2016). Retrieved Febraury 13, 2017, http://www.foodhotelthailand.com/food/2016/en/venue.asp Vaidya, O. S. & Kumar, S. (2006). Analytic hierarchy process: An overview of applications. European Journal of Operational Research, 169(1), 1-29. Yamane, T. (1967). Statistics: An introductory analysis (2nd ed.). New York: Harper and Row. Zeithaml, V. A., Berry, L. L. & Parasuraman, A. (1996). The behavioral consequences of service quality. Journal of Marketing, 60(2), 31-46.

Name and Surname: Veeris Ammarapala Highest Education: Ph.D. in Industrial and Systems Engineering, Rutgers University, The State University of New Jersey, USA University or Agency: Sirindhorn International Institute of Technology (SIIT), Thammasat University Field of Expertise: Decision support systems, Risk management, Transportations Maintenance Management System Address: SIIT, 131 Moo 5, Bangkadi, PathumThani 12000

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STRATEGIC NETWORK MANAGEMENT CAPABILITY AND FIRM SUSTAINABILITY: AN EMPIRICAL RESEARCH OF TOURISIM FIRMS IN THAILAND กลยุทธ์ความสามารถในการจัดการเครือข่ายและความยั่งยืนของกิจการ: งานวิจัยเชิงประจักษ์ของธุรกิจน�ำเที่ยวในประเทศไทย Tawanron Sungyuan1 Phaprukbaramee Ussahawanitchakit2 and Karun Pratoom3 1,2,3Mahasarakham Business School, Mahasarakham University

Abstract

Strategic network management capability has significant roles in firm developments and operation process improvement, which enables the firm to gain resources and capability from inter-relationship between partners. Therefore, this research aims to examine the relationships between strategic network management capability and firm sustainability by collecting data from 329 tourism firms in Thailand. The result found that information sharing orientation and resource exchange competency has a positive influence on firm sustainability. Moreover, the research also finds that four of five dimensions (knowledge integration emphasis, learning collaboration capability, resource exchanage competency and inter-organizational teamwork focus) of strategic network management capability influences the firm sustainability through value creation. Additionally, this research helps understanding the phenomena relating to network management capability and specifying key success factors on business advantage in tourism industry. Keywords: Strategic network management capability, Value creation, Business advantage and Firm sustainability

Corresponding Author E-mail: tawanron.su@gmail.com

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บทคัดย่อ

กลยุทธ์ความสามารถในการจัดการเครือข่ายมีบทบาทส�ำคัญส�ำหรับการพัฒนาและการปรับปรุงกระบวนการ ในการด�ำเนินงานซึ่งช่วยให้กิจการมีทรัพยากรและความสามารถจากความสัมพันธ์ระหว่างกิจการ งานวิจัยครั้งนี้มี วัตถุประสงค์เพือ่ ตรวจสอบความสัมพันธ์ระหว่างกลยุทธ์ความสามารถในการจัดการเครือข่ายและความยัง่ ยืนของกิจการ โดยรวบรวมข้อมูลจากธุรกิจน�ำเทีย่ วในประเทศไทยจ�ำนวน 329 กิจการ ผลการวิจยั พบว่า การมุง่ เน้นการแบ่งปันข้อมูล สารสนเทศและความสามารถในการแลกเปลีย่ นทรัพยากรมีอทิ ธิพลในเชิงบวกต่อความยัง่ ยืนของกิจการ นอกจากนีพ้ บว่า มิตจิ าก 4 ใน 5 (การมุง่ เน้นการบูรณาการความรู้ ความสามารถในการร่วมมือกันเรียนรู้ ความสามารถในการแลกเปลีย่ น ทรัพยากร และการมุง่ เน้นการท�ำงานเป็นทีมระหว่างองค์กร) ของกลยุทธ์ความสามารถในการจัดการเครือข่ายมีอทิ ธิพล ต่อความยัง่ ยืนของกิจการผ่านการสร้างคุณค่า นอกจากนีง้ านวิจยั ยังก่อให้เกิดความเข้าใจไปยังปรากฏการณ์ทเี่ กีย่ วกับ ความสามารถในการจัดการเครือข่ายและปัจจัยแห่งความส�ำเร็จในการสร้างความได้เปรียบทางธุรกิจของอุตสาหกรรม ท่องเที่ยว ค�ำส�ำคัญ: กลยุทธ์ความสามารถในการจัดการเครือข่าย การสร้างคุณค่า ความได้เปรียบทางธุรกิจและความยั่งยืน ขององค์กร

Introduction

Because of competitive environment, modern companies nowadays face pressures from various sources, such as external economics, and the change of technology and political environment. Particularly, economic phenomenon becomes one of major factors for tourism industry to consider future productions, novel approaches, and adaptive strategies and models to meet the current requirement. (Marion et al., 2014). The basic idea of sharing resources within the network exists in the relationship structure, and should not be excluded from inter-relationship among the business parties. Network management, and inter-organizational relationships provide approach to access resources and capability from the outside. By learning from transaction of resources and interaction between parties, and combining the new learnt knowledge, the firms can create a

new business operation. (Lemmetyinen & Go, 2009). Moreover, Cao & Zhang (2011) indicate business relationship as the tools to create and strengthen business operation, increase benefits and business opportunities from combining information, and reduce operational process and costs. Therefore, strategic network management capability becomes one of capabilities to improve firm operation which potentially leads to firm sustainability. This research focuses on the tourism firms’ learning process through partners from the network that provide firm the ability to improve and develop new business approach. The main research objective is to examine the relationship of five dimensions of strategic network management capability and value creation, business advantage and firm sustainability. The key research question is “how strategic network management capability influences value creation,

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business advantage, and firm sustainability.” The research data are collected from small and medium size tourism companies in Thailand, because these enterprises are highly sensitive to the changes in consumer tastes, varieties of tourist attractions, emergence of new competitors, and technological change. Thus, these tourism businesses are likely to entail value added in the process through developing new approaches to increase competitiveness. This research contribution is to develop the concepts and provide clearer understanding of strategic network management capability and

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firm sustainability.

Literatures Review

The model of this research demonstrates that strategic network management capability (SNMC) and firm sustainability are as appearing in Figure 1. This research offers five dimensions of SNMC which indicate the illustration of relationship, understanding, and process within the network to bring task competition. The detailed discussion of these dimensions is provided below.

Figure 1 Conceptual model of the relationship between SNMC and Firm sustainability

Strategic Network Management Capability (SNMC)

SNMC is used as the main concept of this study. In the 21st century, the business competition is increasingly changing. It takes place between networks rather than between individual companies (Möller & Rajala, 2007). In term of organizational capability, the capability as a strategic management is an integrates,

re-arranging both internal and external organization resource (Helf & Peteraf, 2015). Hence, network management means an ability to organize the relationship between related firms and develops a network for strong relationships (ties) (Walter, Auer & Ritter, 2006). In this research, SNMC refers to an ability to collect, integrate, co-ordinate resource, activities, and collaboration between the firms (Manser et al., 2015).

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Consequently, SMNC reflects the firm’s ability to collect resource and capability from outside, and integrate them with inside resources, which helps the firm reduce transaction and monitoring cost, and enable faster decisionmaking. Thus, the network becomes a key success factor that leads to firm competitive advantage and firm sustainability as well. The five dimensions of strategic network management capability are as follow:

Information Sharing Orientation (ISO)

ISO refers to the firm’s focus on exchange processes of vital information for business operations between the firms (Frazier, Powell & Dayanik, 2009). Xiao, Zhang & Basadur (2016) finds that information sharing provides varieties of knowledge to the firms and give new perspective that might lead to product and service improvement. Gibb, Sune & Albers (2016) indicate that if a firm can leverage their resources to a greater value, it will be more competitive advantage than other firms in the industry. Therefore, the hypothesis of relationships in this research is given as follows: Hypothesis 1: Information sharing orientation has a positive effect on a) value creation; b) business advantage; and c) firm sustainability.

Knowledge Integration Emphasis (KIE)

KIE refers to the firm’s concentration on collection and combination of knowledge and a transformation to new knowledge (Roussel & Deltour, 2012). Machado et al. (2016) indicated that knowledge integration is not only to protect

the asset, but also enhance and take customer needs, which lead to competitive advantage are increase. According to Gibb, Sune & Albers (2016) found that information sharing provides the firm’s ability to utilize their knowledge to create superior performance. Thus, KIE leads to the increase of competitive advantages and firm sustainability as well. Therefore, the relationships of this research related to the second dimension is hypothesized as follows: Hypothesis 2: Knowledge integration emphasis has a positive effect on a) value creation; b) business advantage; and c) firm sustainability.

Learning Collaboration Capability (LCC)

LCC refers to the firm’s ability to gain and acquire knowledge, and to joint-work with other firms Learning activities are embedded among the interactions between the firms, such as co-operation, transaction, and coordination (Baggio & Cooper, 2010). Moreover, the previous research shows that collaborative learning is positively associated with tourism operations (Mendonça, Varajao & Oliverira 2015). Klievink, Bharosa & Tan (2016) found that firms collaboration provide ability to access vital knowledge that leads to develop a new product and service as well as new practice. Thus, the collaboration of learning process is tools that provide firm have business advantage and sustainability as well. Therefore, the relationships in this research are hypothesized as follows:

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Hypothesis 3: Learning collaboration capability has a positive effect on a) value creation; b) business advantage; and c) firm sustainability.

Resource Exchange Competency (REC)

REC refers to the firm’s ability to transfer, and the mutual (tangible and intangible) resource utilization between the firms (Wong, Fang & Tjosvold, 2012). Martin-Rios (2014) found that inter-organization relationship becomes the ways and channels to access and transfer resources, which lead to the firm’s ability to develop and reconfigurate performance. Correspondingly, Oliver (2004) found that when the firm interacts with its business partners, the coordination becomes one of the opportunities to exchange and mutually utilize their capability. Therefore, the firm relationships in this research are hypothesized as follows: Hypothesis 4: Resource exchange competency has a positive effect on a) value creation; b) business advantage; and c) firm sustainability.

Inter-organizational Teamwork Focus (IOTF)

IOTF refers to the firm’s emphasis on activities and goals in working together with business partners (Tarricone & Luca, 2002). Camison & Fores (2015) found that inter-firm relationships provide inter-organiztional teamwork and opportunity to exchange working knowledge (learning by doing), which lead to new product and service improvement. Moreover, Camison & Fores (2015) opine that good partner provides

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better value chain and strengthen business operation. Therefore, the relationships in this research are hypothesized as follows: Hypothesis 5: Inter-organizational Teamwork Focus has a positive effect on a) value creation; b) business advantage; and c) firm sustainability.

The Effect of the Consequences of SNMC In this research, the consequences of SNMC comprise value creation, business advantage, and firm sustainability.

Value Creation (VC)

Delivering superior value to the customer is a core task of services of the firms in competitive marketplace (O’Cass & Sok, 2015). In this research, VC refers to the firm ‘s ability to respond to customer needs for superior product and service (Pongpearchan & Ussahawanitchakit, 2011). Nasution & Mavondo (2008) suggest that delivering superior value to customers is important to business success and is the source of competitive advantage. According to Kuo & Wu (2012), customer value in tourism firm, when the firm possess the ability to respond to customer’s needs, provides the firm’s competitive advantages. Therefore, the relationships in this research are hypothesized as follows: Hypothesis 6: Value creation has a positive effect on a) business advantage; and b) firm sustainability.

Business Advantage (BA)

Business advantage will be reflected when the firm has gained both short and long-term

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performance which established on the firm’s relationships within the industry and among competitors. In this research, BA refers to firm’s possession of valuable resources and capability to develop superior performance (Agha, Alrubaiee & Jamhour, 2012) Zhao & Aram (1995) explained that business SMEs networks are able to access to a specific source that influences the business accomplishment. Lemmetyinen & Go (2009) found that skill or capability enhances business performance. According to Flagestad & Hope (2001) indicate that the richness of resources than other firms in tourism context. It is the essential of business advantage and one of factor to create firm sustainability. Therefore, the relationships examined in this research are hypothesized as follows: Hypothesis 7: Business advantage has a positive effect on firm sustainability.

Firm Sustainability (FSA)

Firm sustainability is significant for becoming a market leader. FSA comes from combining the firms’ resources and capability. The environmental change and technology development help leading the firm to achieve superior performance over other firms in the industry (Wong & Avery, 2009). In addition, firm sustainability represents an achievement of the firm’s strategy through implementing approach and outcomes. (Slater, Hult & Olson, 2010) Therefore, in this research FSA relates to the firm’s achievement of long-term objectives, both in the growth of sales and the profitability on target.

Research Methods

The data for further analysis is collected from managing directors or managing partners of 329 inbound and outbound tourism firms in Thailand by using questionnaire. The effective response rate is approximately 19.51 percent from mailing survey, Aaker, Kumar & Day (2001) point that response rate which range between 15-20 percent from top manager are acceptable, and the rule of thumb for the minimum sample size should exceed five observations for each variable. Moreover, this research has also tested non-response bias (early and late of respondents) on basic characteristics such as firm size (full time employees), firm age (operational years), and firm capital (operational capital) by t-test statistic. The test result finds that there are non-significant statistically differences between two groups. Thus, the non-response bias does not appear to be a problem in this research (Armstrong & Overton, 1977). On validity and reliability measurement, the research shows that factor loadings are between 0.481 and 0.912 (<0.4), and statistically significant. Meanwhile, reliability value -Cronbach’s alpha coefficients have a value between 0.714 and 0.867, which exceed the acceptable cut-off score (<0.7) (Hair et al., 2010). This research employs the ordinary least squares (OLS) regression analysis for examining all hypothesized relationships provided in prior sessions. To understand the relationship, the following equation is used in the research:

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Equation: VC = α1 + β1ISO + β2KIE + β3LCC + β4REC + β5IOTF + β6FA + β7FS + β8FC + ε1 BA = α2 + β9ISO + β10KIE + β11LCC + β12REC + β13IOTF + β14FA + β15FS + β16FC + ε2 FSA = α3 + β17ISO + β18KIE + β19LCC + β20REC + β21IOTF + β22FA + β23FS + β24FC + ε3 BA = α4 + β25VC + β26FA + β27FS + β28FC + ε4 FSA = α5 + β29VC + β30BA + β31FA + β32FS + β33FC + ε5

Results and Discussion

According to Table 2 that shows the relationships among variables, the correlations among all variables is between 0.123 p < 0.05 to 0.547 p < 0.01. The variance inflation factors (VIF) in equation models 1-3 indicate the maximum value as 1.905 (>10), according to Hair et al. (2010). Hence, multicollinearity is not a problem in this research. Firstly, the results of multiple regression analysis in Table 3 demonstrates that information sharing orientation has significantly and positively related to firm sustainability (β17 = 0.213, p < 0.05). These empirical results are consistent with perspective of Xiao, Zhang & Basadur (2016) and Gibb, Sune & Albers (2016). Thus, hypothesis 1c is supported. Moreover, the research also finds that information sharing orientation has non-significant impact on value creation (H1a: β01 = -0.050, p > 0.10) and

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business advantage (H1b: β09 = -0.090, p > 0.10). It may be emerged from external situation such as market uncertainty in tourism context. Thus, hypotheses 1a and 1b are not supported. Secondly, knowledge integration emphasis has significantly on value creation (H2a: β02 = 0.156, p < 0.05), business advantage, (H2b: β10 = 0.190, p < 0.01) and firm sustainability (H2c: β18 = 0.201, p < 0.01). These empirical results are consistent with perspective of Machado et al. (2016) Thus, hypotheses 2a, 2b and 2c are supported. Thirdly, learning collaboration capability has positively significant influence on value creation (β03 = 0.237, p < 0.05). The results is consistent with Camarinha-Matos et al. (2009) that collaborative network organization allows firms to get information and exchange experience and specific tools between other firms in the network. Thus, hypothesis 3a is supported. Additionally, learning collaboration capability has not significant on business advantage (β11 = 0.237, p < 0.05) and firm sustainability (β19 = 0.237, p < 0.05). This exhibits that tourism firm has dependency characteristics and tend to have short-term operation with other firms. The possible reason for explaining such result is collaboration in short-term period provide inadequate time to learn and absorb knowledge and innovation to improve business operation. Thus, hypotheses 3b and 3c are not supported. Fourthly, the research finds that resource exchange competency has significant on value creation (β04 = 0.064, p > 0.10) and business

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advantage (β12 = 0.064, p > 0.10). According to the study of Oliver (2004). Thus, hypotheses 4a and 4b are supported. Moreover, the results found that resource exchange competency is not significant on firm sustainability (H4f: β20 = -0.020, p < 0.10). According to Pace (2016),

tourism firms tend to use the methods from the outsources and exchanges energy efficiency with external business partners. So, when firm uses external source it may lessen gain of the firm in the long-term period. Thus, hypothesis 4c is not supported.

Table 1 Descriptive Statistics and Correlation Matrix Variables Mean S.D. ISO KIE LCC REC ITOF VC BA FSA Fa Fs Fc **p

ISO 4.04 0.51 1 .476*** .383*** .441*** .414*** .240*** .123** .231*** -.014 .055 -.089

KIE 4.22 0.47

LCC 4.06 0.49

REC 3.99 0.55

ITOF 4.05 0.48

VC 3.98 0.54

BA 3.79 0.70

FSA 3.84 0.45

1 .492*** .547*** .379** .385*** .292*** .244*** -.013 .034 -.085

1 .520*** .443** .401*** .246*** .137** .039 -.089 -.093

1 .517*** .427*** .289*** .141** -.088 .094 -.046

1 .335*** .218*** .167*** .010 .057 .001

1 .338*** .252*** -.060 .059 -.128**

1 .154*** .062 .064 .038

1 .099 .106 -.010

< 0.05, ***p < 0.01

Fifthly, inter-organizational teamwork focus has significant on value creation (β05 = 0.068, p > 0.10). Camison & Fores (2015) argue that inter-organizational teamwork provides the cross-border team, which is better for a group of members to have opportunity to exchange (learning by doing together). Thus, hypothesis 5a is supported. On the other hand, the research

results show that the effect of inter-organizational teamwork focus is not significant on business advantage (H5e: β13= 0.064, p > 0.10) and firm sustainability (H5f: β21= 0.077, p > 0.10). Tourism operation team is often established for specific mission or project. Martin-Rios (2014) suggests that outsourcing might cause the firm lost advantage in the long period.

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Thus, hypotheses 5b and 5c is not supported. Sixthly, value creation has significant on value creation on business advantage (β25 = 0.068, p > 0.10) and firm sustainability (β29 = 0.068, p > 0.10). Kuo & Wu (2012) indicate that firm emphases on the creation and delivery of superior value to customer lead to customer satisfaction, loyalty, and high performance as well. Thus, hypotheses 6b and 6b are supported. Finally, business advantage has non-significant on firm sustainability (β30 = 0.068, p > 0.10). The possible factors for tourism are the trends and a short-term period as well as the season of travel, and new attractions. Tourism firms might take opportunity from the current trends to create competitive advantage (Thomas, Shaw & Page, 2011). Thus, hypothesis 7 is not supported.

Conclusion and Contributions

The purpose of this research is to examine whether the relationship between SNMC that includes five dimensions affects firm sustainability. The research samples are from 329 tourism firms in Thailand. Hypothesis testing is conducted by OLS regression analysis.

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Table 2 Results of Regression Analysis Independent Variables

Dependent Variables VC BA FSA (Model 1) (Model 2) (Model 3) ISO H1a-c - 0.050 - 0.090 0.144** (0.058) (0.063) (0.064) KIE H2a-c 0.156** 0.190*** 0.201*** (0.062) (0.068) (0.069) *** LCC H3a-c 0.195 0.087 - 0.086 (0.062) (0.067) (0.068) *** ** REC H4a-c 0.193 0.150 - 0.027 (0.066) (0.072) (0.073) IOTF H5a-c 0.108* 0.064 0.077 (0.059) (0.064) (0.065) VC H6a-b 0.350*** 0.232*** (0.053) (0.057) H7 0.065 (0.057) Firm age - 0.120 0.160 0.251* (0.129) (0.140) (0.143) Firm size 0.127 0.093 0.153 (0.107) (0.116) (0.118) Firm capital - 0.273* 0.158 - 0.013 (Fc) (0.149) (0.162) (0.165) 2 0.244 0.110 0.079 Adjusted R Maximum VIF

1.905

< 0.10, **p < 0.05, ***p < 0.01

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The findings show that KIE and REC have the influence on the firm performance. Furthermore, the four dimensions comprising with KIE, LCC, REC and IOTF influences firm sustainability through value creation. This research result helps to explain and expand the usage of SNMC on organizational learning perspective through five dimensions. Managerial contribution, and SNMC supports operations through a learning process for developing the outcomes. The internal and external environment provide the firm business advantage and firm sustainability as well. Therefore, managing directors and managing partners can improve firm operation through

inter-relationship between partners. Especially, KIE is strongly and significantly related to firm sustainability. Moreover, the research finds that SNMC has an influence on firm sustainability through value creation. Consequently, learning process from inter-relationship becomes a source of knowledge from outside for improving firm operation which provides firm sustainability as well. For the future research, the research should be re-examined the research hypotheses that are not statistically significant, or consider different sectors, or compare the sampling group in this research to other service sectors to verify the generalizability of the study.

References

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Name and Surname: Tawanron Sungyuan Highest Education: Ph.D. Candidate, Mahasarakham University University or Agency: Mahasarakham University Field of Expertise: Management Address: 18 Soi 1 Sathorn-Chaiang-khan Rd., Amphoe Mueang Loei, Loei Name and Surname: Phaprukbaramee Ussahawanitchakit Highest Education: Ph.D. Business Administration, Washington State University, USA University or Agency: Mahasarakham University Field of Expertise: Management Address: Mahasarakham Business School, Mahasarakham University Name and Surname: Karun Pratoom Highest Education: Ph.D. Applied Behavioral Science Research, Srinakarinwirot University University or Agency: Mahasarakham University Field of Expertise: Management Address: Mahasarakham Business School, Mahasarakham University

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RESEARCH ON PERSONAL CREDIT EVALUATION BASED ON CRIMINAL JUSTICE DATA Miao Wei1 and Guowei Hua2 1,2Chinese Graduate School, Panyapiwat Institute of Management

Abstract

Traditional regional economics and management science may justify the personal credit evaluation system in one way or another, but generally speaking, they are not specific enough. This article sets the personal credit evaluation based on criminal justice data as the focus and uses theories of management, regional economics, sociology, law and criminology to explore its source and inner mechanism of action. Keywords: Regional economics, Personal credit evaluation, Criminal justice data

Introduction

The Silk Road Economic Belt and the 21st-Century Maritime Silk Road is very important for the development of Southeast Asian and South Asia. People often focus on the economics of the Belt and Road, but the most important part of the B & R is the credit system of Southeast Asian and South Asia. Personal credit is the foundation for both individual accomplishments and national development. The biggest online payment system Alipay in this area also work successful in both China and US, but this system relies heavily on personal credit system, so if we hope the economy develop rapidly and steadily near the Belt and Road in Southeast Asian and South Asia, we must solve personal Corresponding Author E-mail: zdtyfangcaodi@163.com

credit problems. This article sets the personal credit evaluation based on criminal justice data as the focus and uses theories of management, regional economics, sociology, law and criminology to explore its source and inner mechanism of action. Personal credit evaluation in China The current Chinese economic development and transition are challenged by series of credit problems including neglecting credit, cheating, failing to perform economic contracts, malicious delinquent loans and troublesome triangular debts. According to the statistics from the State Administration of Industry and Commerce (SAIC), the lack of credit has caused

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economic confusion and invalid cost which amounts to 10 percent to 20 percent of the whole GDP of China, resulting in up to RMB 500 billion worth of both direct and indirect economic losses. Credit even becomes an issue in judicial practice of safeguarding people’s rights, for example, the typical acts of ignoring the law and maliciously evading debts not only harms the rights of the creditors by making the judicial execution more difficult but also destroys the mutual trust between people and restrains the healthy growth of the social economic order. In recent years, Chinese courts at all levels deal with about 2,400,000 new execution cases on average each year, the number reaching 2,820,000 in 2014, 70 percent of which witnessed the property debtors delay the execution, or even evade or violently defy the execution, causing serious waste of judicial resources. Key figures of personal credit are not currently transparent in China, and most personal credit evaluation organizations have not included judicial data in their research. Even the credit information publicity system supported by the judicial power is not without flaws. Today, the inquiry platform for the breach of the person subjected to execution is available for the public to check the information of the breachers in all the execution cases either newly received or unfinished by 3,484 local courts in China since January 1st, 2007. In November, 2013, the Executive Board of the Supreme People’s Court signed a memorandum of cooperation with the Credit Information Center of the People’s Bank of China, agreeing on the decision to include the list of the defaulters in the bank’s

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work related to credit information, the defaulters’ breach of execution to be added to their credit archives and presented in the format of a credit report to financial institutions for reference before they approve a loan in future. So far the courts at all levels have successfully matched with 19 bank systems nationwide. However, only the People’s Bank of China is able to realize money online real-time transfer execution, and that is only after a complicated process. What’s more, the public is not given access to the information. There is still a lot of space for improvement. Personal credit evaluation in US. The US has both governmental and nongovernmental organizations that specialize in collecting personal credit data related with the judicial field (Saunders & Allen, 2010). Despite the differences in social and economic systems, China bears similarity to the US in the fundamental economic principles that elicit breach of the credit system, and the criminal motives. Combining personal credit evaluation with judicial data will exert three influences on business transactions: (1) It will prevent transaction cheating, improve the security of the transactions and make them more normative by verifying the credit of the transaction parties. (2) It will help to drill into the heads of the businesses and individuals the concept of obeying the law, respecting the contract and valuing one’s credit in mind and actions. (3) It will serve as a punishment to those who have defaulted in the judicial execution and restrict their capacity and qualifications in big economic activities.

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Theory and hypotheses

Transaction Cost Theory Traditional economics assumes that the transaction cost is zero, and the pricing mechanism is omnipotent by efficiently organizing and coordinating transactions. However, the new institutional economics (NIE), which has its roots in two articles by Ronald Coase, “The Nature of the Firm” (1937) and “The Problem of Social Cost” (1960) , holds that there is a transaction cost and thus comes the transaction cost theory. Coase (1937) proposed that transaction cost was the price paid for attaining precise market information, as well as the cost for negotiation and regular contracts. Specifically speaking, the transaction cost includes the cost for attaining information, signing contracts, negotiating, monitoring and managing, and dealing with defaults. The transaction cost theory gives an explanation to the credibility problems in society from the perspective of the cost: if abandoning one’s credibility could not bring as serious economic losses, the defaults will remain, whereas if the cost of abandoning one’s credibility proves much above the profits, the defaults will, no longer driven by interest, diminish and even disappear. Therefore a strict punishment mechanism for defaults must be established to reduce the frequency of defaults and warrant a healthy credit environment. Hypothesis 1: Default cost is closely associated with default frequency Routine Activity Theory Routine Activity Theory is actually an exten-

sion of Rational Choice Theory. Developed by Cohen & Felson (1979), it analyzes and explains the different probabilities of criminal assaults by different groups. The theory states that a criminal is an event, which needs at least three factors to aggregate in time and space to occur: a motivated offender, a suitable target, and the absence of a capable guardian (not only a family guardian, but also social guardians like policemen). In other words: for a crime to occur, a likely offender must find a suitable target with capable guardians absent. Without anyone of the three, the crime might not be committed. To take a macro-level view, among the three factors, any change to any one may influence the crime probability. Once the three simultaneously appear, the probability will increase progressively. The motived offender is only going to commit a criminal activity after comprehensively weighing and considering the time, location, the suitable victim and the lack of a capable guardian. (Brunnermeier, 2009: 2201-2238). Therefore, to avoid a crime, those factors must be reduced to make sure at least one factor is missing. It actually contains punishment deterrence here by making the crime factors incomplete to prevent the offender from taking any chance, to let him or her know that a crime means more risks and so give up the criminal intention. However, the theory is more about inevitability of punishment than its severity. Hypothesis 2: Judicial supervision and punishment reduces the frequency of defaults

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Profit Maximization Theory Profit maximization theory, also a market theory, proposes that a firm aims to get profits by manufacturing and selling its products. If the total revenue exceeds the total cost, there will be a surplus called “profit”. According to the relationship between cost and revenue, if the total revenue is equal to the total cost, the firm neither gains nor losses, but only gains normal profits. However, if the total revenue is below the cost, there will be a loss. In 1968, Gary Becker, an American economist, used the basic economic theory of “cost-benefits” in his article “Crime and Punishment: An Economic Approach” to analyze crime and punishment, holding that the theory also applied to the rational offender: only when the benefits of the crime outweigh the cost will the offender commit a criminal action. Thus to curb the offender’s motivation, the crime cost must be increased so as to surpass the benefits. Punishment deterrence may be used here, for it is a process during which the offender compares and calculates the crime cost, or risks, and the benefits. Each criminal is a “rational” calculator, comparing the crime cost and benefits before a final decision to commit a crime is made. In his book “The Economic Approach to Human Behavior”, Becker expounds upon the cost of crime and punishment, and provides the best solutions to counter different crimes with different risk tendencies of the offenders. According to Becker, compared with legal acts, criminal acts are more uncertain. So to curb crimes the “subjective expected utility” of legal acts must be strengthened, whereas if the “subjective

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expected utility” of criminal acts outweighs that of legal acts, the offenders will opt for a crime (Tittle, Botchkovar & Antonaccio, 2011). The construction of the credit system must keep an institutional rein on the three factors of crime, lower the risks of defaults, better the objective conditions for both sides to keep promise and use punishment deterrence to prevent anyone taking a chance to default, for if the cost of defaults is far above that of keeping one’s credibility, defaulting will be no longer a rational choice (Ghasemi, 2012). Hypothesis 3: Rewarding credibility will reduce the default frequency

Methodology

Logistic Regression Model In studying real problems, people have to find out the relationship between the probability of a random event A and certain factors. P means the probability of A when the independent variable is X1, X2,... The logistic regression model is described as: P= (1) S= (2) Xi (i = 1,2,…,k) is the independent variable, meaning the evaluation indicators in personal credit evaluation. βi (I = 1,2,···,k) is the coefficient. The regression value p ∈ (0, 1) means the outcome of the credit evaluation. The closer it gets to 0, the worse the credit is. Since p falls between 0 and 1, logit (p) = lnp / (1-p) can be used to transform the equation above into a linear model: ln (3)

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Lasso Algorithm Lasso Analysis Method, introduced by Tibshirani (1996), formulates a penalty function to create a refined model, shrinking large regression coefficients in order to reduce over-fitting and to make the interpretation simpler. It is an estimate to handle with collinear covariates. The basic idea of Lasso is to force the sum of the absolute value of the regression coefficients to be less than a fixed value, minimize the residual sum of squares, set certain coefficients to zero, and effectively choose a simpler model that does not include those coefficients. Let there be a given data (xi, yi), i = 1, 2, ..., n. Let xi = (xi1, xi2, ..., xip)T = be the predictor variable and yi be the response variable. In ordinary regression models, all the observed values are presumed to be independent from each other, or the response variables are independent when a fixed predictor variable is given. Meanwhile, consider all the xi are

= argmin

l(β)=

normalized, namely fitting ΣiXip/N=0, Σixip2/ N=1, If = , = argmin (4) In (x) of (4), the first measures the goodness of fit while the second is in fact a penalty function which prevents over-fitting. As the harmonic coefficient λ varies, the number of preserved variables also changes. The bigger λ is, the stronger the penalty function is and the fewer variables will be preserved. Lasso Estimate of Logistic Regression Model Fan and Li proposed to introduce Lasso penalty method into the linear model and generalized parametric model, as well as in proportional hazard model. Then they posed a framework of making the linear model adapting to Lasso, holding that the sum of squares of residuals can be replaced by likelihood function.

(5)

(6)

(7)

So the in Lasso Estimate of Logistic Regression Model can be described as:

Data Analysis

Source of Data and Variables The data is from Montgomery County Community Supervision Department of Public

(8)

Safety and Correctional Services. This article chooses 50000 cases from the data base. From figure 1, there are several variables for each single case.

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Figure 1 The single case from the Maryland Community Supervision data base. Model Evaluation and Variable Selection The evaluation model combining Lasso and logistic regression model in this article uses the glmnet program package of R-studio for cross validation and gets the graph which indicates the model error varies on the Y-axis as λ changes on the X-axis. The X-axis above is the number of variables selected for each λ. In graph 1, the dotted line on the left indicates the value of λ when the error is minimized and the number of variables selected by the model. As can be seen in the graph, the error changes as λ grows in value. So does

the shrinking degree of the model. (Gaffney, 2009: 983-1038). Therefore the model error and the number of selected variables must be comprehensibly considered. Graph 1 indicates that as λ grows in value, the shrinking degree of the model increases and its function to select variables is more obvious. To get as many important variables as possible, the perfect value for λ would be what makes the shrinking degree of the model strongest. According to Tibshirani (1996: 267-288) in his research, when the log (Lambda) value on the right-side dotted line is chosen and λ = e-6.

Graph 1 lambda and the numbers of the variables ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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Table 1 lists the parameter estimation results of all variable logistic model, Lasso-logistic model and Ridge-logistic model. As can be seen from the graph, the all variable logistic model, with the significance level being 5%, sifts out X1, X4 and keeps 4 independent variables; Lasso-logistic model abandons X1, X2, X4 and keeps 3 variables; X1, X2, X4 fails to select the variables. After comparison, Lassologistic model stands out in reducing the number of variables, making the model simpler and

making it easier to spot the key variables that will influence the final result. After analyzing X3, X5 and X6 the conclusion of H1, H2, and H3 can be made: Default cost is closely associated with default frequency Judicial supervision and punishment reduces the frequency of defaults. Rewarding credibility will reduce the default frequency.

Table 1 Variable Evaluation Variables

Symbol

Income level Criminal record Defaults cost Insurance Supervision level Parole and Probation

X1 X2 X3 X4 X5 X6

All variable logistic model 0 -0.080 0.171 0 0.427 -0.144

Lasso-logistic model 0 0 0.148 0 0.466 -0.130

Ridge-logistic -1.041 0.077 0.158 -0.017 0.472 -0.137

Accuracy Comparison of the Models Table 2 Prediction accuracy Model ALL variable logistic Lasso-logistic Ridge-logistic

95% 65.15% 65.13% 64.57. %

90% 66.10% 65.79% 65.53%

85% 66.28% 65.75% 65.81%

80% 65.74% 65.75% 65.81%

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After the establishment of the evaluation model, this article also tests one by one the prediction accuracy of the three models mentioned above: all variable logistic model, Lasso-logistic model and Ridge-logistic model. Table 2 offers the prediction performance of the three models at different sampling rates. It can be seen that there is little difference between their performances, with all variable logistic model, Lasso-logistic model slightly but not remarkably better than Ridge-logistic model. However, in real prediction, faced with enormous amounts of data, predictors have to take into account the time it takes to predict. That is, both prediction accuracy and efficiency are important. In this aspect, Lasso-logistic model excels for it needs shorter time to produce a prediction upon a huge database than all variable logistic model. In real practice, while processing the sample amount of data in this article, Ridge-logistic model has already shown signs of insufficiency in its running speed, which makes it time-consuming besides its lack of advantage in accuracy. Therefore, comprehensively speaking, Lasso-logistic model is better at prediction than all variable logistic model and Ridge-logistic model.

Conclusion

This article introduces Lasso analysis method to Logistic Regression Model and brings judicial data into personal credit evaluation. With Lasso analysis method and Logistic Regression Model combined, the function to shrink the model and select the variables is realized. The

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conclusions are as followed: first, after analysis and comparison, Lasso-logistic model proves to set more regression coefficients to zero and boasts a stronger ability to shrink the model than all variable logistic model and Ridge-logistic model; second, there is little difference between their performance in predicting, with all variable logistic model, Lasso-logistic model slightly but not remarkably better than Ridge-logistic model; third, considering the huge amount of data to be processed in real practice, Lasso-logistic model is obviously better than all variable logistic model and Ridge-logistic model. Therefore to use the logistic model combined with Lasso analysis method as the model for personal credit valuation enables an efficient selection of judicial data evaluation indicators, increases the evaluation efficiency and enhances the effect of personal credit evaluation. In conclusion, the personal credit system based on judicial credit data will: (1) establish institutional deterrence against defaults (2) make it possible to check the information about the defaulter’s property (3) efficiently propel the person subjected to execution to actively fulfill the due obligations (4) prevent financial risks (5) mitigate social transaction risks (6) reduce the waste of social resources caused by invalid lawsuits (7) make the public administrative management more scientific. A successful credit system is the key of the development of this regional economy, and this is the most important part of The Silk Road Economic Belt and the 21st-Century Maritime Silk Road in Southeast Asian and South Asia.

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This article try to solve personal credit problems, and sets the personal credit evaluation based on criminal justice data as the focus and uses theories of management, regional economics, sociology, law and criminology to explore its source and inner mechanism of action, it is the first time to solve this kind of problems and prepare for the establishment of the credit system near the Belt and Road in Southeast

Asian and South Asia.

Acknowledgment

This paper is supported by Professor Hua Guowei, Panyapiwat Institute of Management and Dr. Udamber, Department of Public Safety and Correctional Services, thanks for the information and helps from these professors.

References

Becker, G. S. (1968). Crime and Punishment: An Economic Approach. Journal of Political Economy, 76(2), 169-217. Brunnermeier, M. & Pederson, L. H. (2009). Market Liquidity and Funding Liquidity. Review of Financial Studies, 2201-2238. Brunnermeier, M. (2009). Deciphering the Liquidity and Credit Crunch 2007-2008. Journal of Economic Literature, 23(1), 77-100. Coase, R. H. (1937). The Nature of the Firm. Economica, 4(16), 386-405. Coase, R. H. (1960). The Problem of Social Cost. Journal of Law and Economics, 3, 1-44. Cohen, L. E. & Felson, M. (1979). American Sociological Review, 44(4), 588-608. Dong, G., Lai, K. K. & Yen, J. (2010). Credit scorecard based on logistic regression with random coefficients. Procedia Computational Science, 1(1), 2463-2468. Gaffney, M. (2009). Money, Credit, and Crisis. American Journal of Economics and Sociology, 68(4), 983-1038. Gertler, M. & Kiyotaki, N. (2010) Financial Intermediation and Credit Policy in Business Cycle Analysis. Handbook of monetary economics, 3, 547-599. Ghasemi, M. (2012). Visceral factors, criminal behavior and deterrence: empirical evidence and policy implications. European Journal of Law and Economics, 39(1), 145-166. Kumar, K & Haynes, J. D. (2003). Forecasting credit ratings using an ANN and statistical techniques. International Journal of Business Studies, 11(1), 91-108. Lando, D. (2009). Credit Risk Modeling: Theory and Applications. NJ: Princeton University Press. Manova, K. (2013). Credit Constraints, Heterogeneous Firms, and International Trade. Review of Economic Studies, 80(2), 711-744. Ruef, M. & Patterson, K. (2009). Credit and Classification: The Impact of Industry Boundaries in Nineteenth-century America. Administrative science quarterly, 54(3), 486-520. ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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Saunders, A. & Allen, L. (2010). Credit Risk Management In and Out of the Financial Crisis: New Approaches to Value at Risk and Other Paradigms. NJ: John Wiley & Sons. Tibshirani, R. (1996). Regression shrinkage and Selection via the Lasso. Journal of the Royal Statistical Society, 58(1), 267-288. Tittle, C. R., Botchkovar, E. & Antonaccio, O. (2011). Criminal Contemplation, National Context, and Deterrence. Journal of Quantitative Criminology, 27(2), 225-249.

Name and Surname: Miao Wei Highest Education: Master in Arts, Ph.D. candidate in management University or Agency: Panyapiwat Institute of Management Field of Expertise: Credit evaluation, Criminal justice data Address: No. 34, Lane 612, Nanjing West Rd., Shanghai, China Name and Surname: Guowei Hua Highest Education: Ph.D. in Management University or Agency: Panyapiwat Institute of Management Field of Expertise: Supply Chain Management, Decision Analysis Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120

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THE RELATIONSHIP BETWEEN EXTERNAL KNOWLEDGE AND PRODUCT INNOVATION OF MANUFACTURING FIRMS IN THAILAND ความสัมพันธ์ระหว่างความรู้จากภายนอกองค์กรและนวัตกรรมผลิตภัณฑ์ ในอุตสาหกรรมการผลิตในประเทศไทย Nuchjarin Intalar1 Chawalit Jeenanunta2 Nattharika Rittippant3 Pornpimol Chongphaisal4 Ryoju Hamada5 Pisit Chanvarasuth6 and Somrote Komolavanij7 1,2,3,4,5,6Sirindhorn International Institute of Technology, Thammasat University 7Panyapiwat Institute of Management

Abstract

An external source of new technologies and information is an important factor for developing existing product to create added value and a new product development. This paper examines the relationship between the external source of new technologies and information (i.e. local customers (LC), local suppliers (LS), multination companies (MNCs), and joint ventures (JVs), and universities) and product innovation. Data collection through questionnaire surveys during 2011-2015. A total of 1,516 valid datasets from manufacturing firms. The collected data were analyzed using logistic regression. The results show that manufacturing firms are more likely to introduce a new product by packaging redesign and appearance redesign of exiting products when they use new technologies and information from LC and customers from MNCs/JVs located in Thailand. Moreover, they are more likely to develop a new product by using new technologies and information from LC, LS, customers from MNCs/JVs located in Thailand, and MNCs/JVs supplier located in a foreign country. Keywords: External knowledge, Product innovation, Supply chain collaboration

Corresponding Author E-mail: i.nuchjarin@gmail.com

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บทคัดย่อ

ความรู้ภายนอกองค์กรเกี่ยวกับเทคโนโลยีและข้อมูลใหม่เป็นปัจจัยส�ำคัญต่อการพัฒนาผลิตภัณฑ์เดิมและ สร้างมูลค่าเพิม่ ในการพัฒนาผลิตภัณฑ์ใหม่ บทความวิจยั ฉบับนีศ้ กึ ษาความสัมพันธ์ระหว่างความรูจ้ ากภายนอกองค์กร เกี่ยวกับเทคโนโลยีและข้อมูลใหม่ (จากลูกค้าและซัพพลายเออร์ทั้งในประเทศ และจากบริษัทข้ามชาติที่อยู่ในหรือ ต่างประเทศ และสถาบันการศึกษา) และนวัตกรรมผลิตภัณฑ์ในอุตสาหกรรมไทย งานวิจัยใช้ข้อมูลจากการจัดเก็บ แบบสอบถามระหว่างปี 2554-2558 ซึง่ มีจำ� นวนข้อมูลทัง้ หมด 1,516 ชุด ข้อมูลถูกวิเคราะห์โดยใช้เทคนิคการวิเคราะห์ การถดถอยโลจิสติกส์ (Logistic Regression) ผลการวิเคราะห์พบว่า บริษทั มีแนวโน้มอย่างสูงในการแนะน� ำสินค้าใหม่ โดยการปรับเปลีย่ นบรรจุภณ ั ฑ์ หรือการปรับเปลีย่ นการออกแบบรูปแบบสินค้าทีม่ อี ยู่ เมือ่ ใช้ความรูเ้ กีย่ วกับเทคโนโลยี และข้อมูลใหม่จากลูกค้าในประเทศและลูกค้าจากบริษทั ข้ามชาติหรือบริษทั ร่วมทุนกับต่างชาติทตี่ งั้ อยูใ่ นประเทศไทย นอกจากนี้งานวิจัยยังพบว่า บริษัทมีแนวโน้มอย่างสูงที่จะสามารถผลิตสินค้าใหม่ เมื่อใช้ความรู้ภายนอกองค์กรจาก ลูกค้าและซัพพลายเออร์ในประเทศ ลูกค้าจากบริษัทข้ามชาติหรือบริษัทร่วมทุนกับต่างชาติที่ตั้งอยู่ในประเทศไทย และซัพพลายเออร์จากบริษัทข้ามชาติหรือบริษัทร่วมทุนกับต่างชาติที่ตั้งอยู่ต่างประเทศ ค�ำส�ำคัญ: ความรู้จากภายนอกองค์กร นวัตกรรมผลิตภัณฑ์ ความร่วมมือในห่วงโซ่อุปทาน

Introduction

In globalization era, organizations need to be responsive and adaptive to internal and external change. It requires several factors and skills in order to enhance its competitive advantages and organizational performances and lead to sustainable growth. As the innovation paradigm has changed from being discovery-based to being centrally learning-based (Lundvall, et al., 2002), firms have to adapt and emerge the way in which knowledge processes within firms and between partners. Innovation has played an important role as a critical factor that enhances organizational performances and is one of a business’s key enabler of long-term success and improve business competitiveness (Ahuja, Lampert & Tandon, 2008; Baker & Sinkula, 2002; Balkin, Markman & Gomez-Mejia, 2000). In term of business, innovation includes the introduction of new technological products and

new organizational processes (Mol & Birkinshaw, 2009). External knowledge is important for firms to create innovation and improve the production system. Firms’ innovation model comes from the coordination and cooperation among their external business partners such as suppliers and customers (Boudreau & Lakhani, 2009). A degree of diversity of external networks affects the innovation and performance of a firm (Laursen & Salter, 2006). Knowledge is a crucial asset for both individual and organizations. Therefore, firms need to assess existing knowledge and integrate with external knowledge in order to create new ideas and opportunities. External knowledge sources are widely available such as customer, suppliers, business partner even competitors. If firms have the ability to target, capture, absorb and utilize the external knowledge efficiently, they can improve product quality,

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create product innovation, and gain competitive advantages. This paper aims to investigate the relationship between the different type of external knowledge source (LC, LS, MNCs/JVs, and university) and product innovation using the logistic regression analysis.

Literature Review

Many organizations use innovation as a key strategy to enhance business performances and to achieve competitive advantages over rivals. Innovation allows firms to discover new opportunities for both product development and process improvement which lead to market opportunities. Research on innovation has become more popular. Adler & Shenhar (1990) defined innovation as: (1) the ability to develop products to meet the needs of market, (2) the ability to use existing technology to develop products, (3) the ability to develop new products or update existing products to meet the needs of markets, and (4) the ability to acquire new technology to create new opportunities. Product innovation involves improvement in existing products or introduction of new features/ products/services to meet customer needs (Damanpour, Walker & Avellaneda, 2009). The improvement or addition of new features to products requires technical knowledge that is tangible and discrete (Mol & Birkinshaw, 2009). Moreover, product innovation changes what a firm can offer to its customers and the outside world (Forés & Camisón, 2016). The introduction of new products have an immediate impact

on market sales, and hence the potential to change the distribution of market share among competing companies (Damanpour, Walker & Avellaneda, 2009). Knowledge is derived and absorbed from both internal and external sources. For internal knowledge sources, it includes the experience and knowledge that already possessed by an organization. External knowledge source refers to acquisitions, licensing, purchases, collaboration, cooperation, employment, adoption, an inter-organizational relationship such as research and development and joint venture, and so on (Tseng, 2012). External knowledge relations are important and can be complement with internal knowledge (Teirlinck & Spithoven, 2008). The organization needs to continue improving utilizing internal knowledge and acquiring external knowledge to gain competitive advantages and enhance organizational performance. A firm can develop knowledge by itself or develop together with external sources (Leonard-Barton, 1995). Cockburn & Henderson (1998) state that firms must develop the ability to identify the value of external knowledge, absorb and transform it into their knowledge according to employee’s experience, value, and cultures. Knowledge can be created from the interaction among customers, suppliers, and company (Nonaka & Toyama, 2003). Previous studies have focused on the impact of different sources of knowledge on innovation (e.g. Machikita et al., 2010; Tseng, 2009). Tseng (2009) developed a conceptual framework to explore how an enterprise obtains three different types of

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external knowledge, which are customer, supplier and competitor knowledge. The findings show that enterprises apply internal knowledge chain activities to gain customer, supplier, and competitor knowledge, then transform this to enhance enterprise competitiveness. Machikita et al. (2010) examine the effect of internal and external sources of knowledge on the introduction of new products based on new technologies or information using binary probit model. The results show that local firms achieved new product innovation by using a local source of knowledge, however, foreign-owned firms rely mainly on internal R&D and cooperate with local universities. Laursen & Salter (2006) argue that suppliers and customers are the most important external sources of knowledge inputs for innovations. Brettel & Cleven (2011) indicate that the use of external knowledge in the new product development process can enhance firm’s competitiveness through innovation performance. Granero & Vega-Jurado (2012) concluded that suppliers are considered as the main driver of the development of new or improved products. In contrast, universities and research institutes do not have a direct effect on innovation. Since there are conflicting research results of the relationship of different types of external sources on product innovation, therefore this paper investigates the relationship between the external source of new technologies and information (local customers (LC), local suppliers (LS), multination companies (MNCs), and joint ventures (JVs), and universities) and product

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innovation of manufacturing firms in Thailand. From a review of the literature, this paper focuses on two perspectives of product innovation, which are the introduction of a new product by packaging redesign and appearance redesign of exiting products and the new product development. The external source is classified into nine sources namely, local customers, local suppliers, MNCs/JVs customers located in Thailand, MNCs/JVs suppliers located in Thailand, MNCs/JVs customers located in a foreign country, MNCs/JVs suppliers located in a foreign country, universities, and local business. We propose the following hypotheses. Hypothesis 1: The introduction of a new product by packaging redesign and appearance redesign of exiting products is more likely to occur if a firm uses technology and information from external knowledge sources (local customers, local suppliers, MNCs/JVs customers located in Thailand, MNCs/JVs suppliers located in Thailand, MNCs/JVs customers located in a foreign country, MNCs/JVs suppliers located in a foreign country, universities). Hypothesis 2: The new product development is more likely to occur if a firm uses technology and information from external knowledge sources (local customers, local suppliers, MNCs/JVs customers located in Thailand, MNCs/JVs suppliers located in Thailand, MNCs/JVs customers located in a foreign country, MNCs/JVs suppliers located in a foreign country, universities).

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Methodology

1. Sample and Data Collection The questionnaire surveys were constructed and distributed to Thai manufacturing firms located in Thailand by mail, email, direct interview, and phone interview during 2011-2015. The questionnaire survey contained 5 parts. First part was the question about the firm characteristics and organizational performance. Second part included questions relating to the achievements in product innovation. Third part was the questions relating to the result of the internal knowledge sharing and organizational learning. Forth part was the results of the external sources of information sharing. Last part was the business linkage with main customer and supplier. A representative sample of 3,000 companies was sent the questionnaire. There are 1,516 valid questionnaires, representing a response of 50.5 percent. The dataset were analyzed by descriptive statistical and logistics regression analysis. A summary of firm characteristics is shown in Table 1. It shows the basic information of responding firms. For example, approximately 82.3% are local firms, 8.2% are MNCs, and 9.5% are JVs. For the establishment, most of the respondents are factory (84.1%) and headquarters (36.6%). Most firms have less than 50 employees (42.6%).

Table 1 Descriptive statistics of the respondents. Variable Freq. % Capital structure 100% Locally-owned 1,247 82.3 100% Foreign-owned (MNCs) 125 8.2 Joint-Venture (JVs) 144 9.5 Total 1,516 100.0 Type of establishment Headquarters/Main office 555 36.6 Regional Headquarters 49 3.2 Factory/Plant 729 48.1 Branch Office/Sales Office 166 10.9 No response 17 1.1 Total 1,516 100.0 Number of full-time employees (Persons) < 50 646 42.6 50 - 200 405 26.7 > 2000 435 28.7 No response 30 2.0 Total 1,516 100.0 Type of Manufacturing Food 152 10.0 Textiles, Apparel, footwear 133 8.8 Wood products 97 6.4 Paper products 65 4.3 Chemicals products 33 2.2 Plastic, rubber products 74 4.9 Non-metallic products 23 1.5 Iron, steel 63 4.2 Non-ferrous metals 20 1.3 Metal products 79 5.2

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Table 1 Descriptive statistics of the respondents. (cont.) Variable Machinery, equipment Computers Electronics Automobile, auto parts Transportation equipment Other No response Total

Freq. % 84 5.5 35 2.3 105 6.9 156 10.3 21 1.4 356 23.5 17 1.1 1,516 100.0

2. Measurement Scale The dependent variables are two types of product innovation, the introduction of a new product by packaging redesign of existing products (hereafter NPR) and the new product development (hereafter NPD). The dichotomous questions are used to measure the achievement of product innovation (0 = Not achieved and 1= Achieved). The independent variables are the seven types of external source, which are local customers (LC), local suppliers (LS), MNCs/JVs customers located in Thailand (CMJT), MNCs/JVs suppliers located in Thailand (SMJT), MNCs/JVs customers located in a foreign country (CMJF), MNCs/JVs suppliers located in a foreign country (SMJF), and universities (UNI).

Results and Discussions

The summary statistic of dependent variables is shown in Table 2. It shows two main product innovations: (1) introduction of a new product by packaging redesign and appearance redesign

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of exiting products and (2) new product development. An approximately 61% of the sample firms are able to introduce a new product by packaging redesign and appearance redesign of exiting products and about 71% of the firms developed a new product. Table 2 Statistics of Product Innovation Product Mean S.D. Min Max innovation New product 0.61 0.49 0 1 by packaging redesign (NPR) New product 0.74 0.44 0 1 development (NPD) Table 3 shows the summary statistics of external sources of new technologies and information. Based on the mean of each external sources, the respondents agree that external sources are important for product innovation. Table 3 Statistics of External Sources External sources LC LS CMJT SMJT CMJF SMJF UNI

Mean S.D. 3.92 3.74 3.35 3.29 3.31 3.27 3.01

1.06 1.03 1.30 1.25 1.27 1.22 1.18

Min

Max

0 0 0 0 0 0 0

1 1 1 1 1 1 1

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3. Hypothesis 1 Testing A logistic regression was performed to ascertain the effects of each type of external source on the likelihood that the respondents achieve the introduction of a new product by packaging redesign and appearance redesign of exiting products. Table 4 shows that the model mostly predicts “achieved” because more respondents achieved this type of product innovation (1,118 compared to 385 according to the achieved column). The overall percentage in classification table indicates that this approach to prediction is 74.3 percent of the time. Table 4 Classification Table of NPR

Not achieved 8 Achieved 5 Overall Percentage

Achieved

Not achieved

Observed

Predicted NPR Percentage Correct 385 1118

2.0 99.6 74.3

Table 5 shows the variables in the equation that indicates the contribution of each external source to the model and its statistical significance. The fitted model is: Probability (Achieved NPR=1) = 0.947 + 0.322LC - 0.142LS - 0.313CMJT + 0.045SMJT + 0.076CMJF + 0.096SMJF – 0.087UNI. (1) The findings show that local customers (LC, p = .000) and MNCs/JVs customers located in Thailand (CMJT, p = .000) added significantly to the introduction of a new product by packaging redesign and appearance redesign of exiting products. The results indicate that the probability of successfully introducing a new product by packaging redesign and appearance redesign of exiting products (“achieved” category) is 1.380 times greater for using technology and information from local customers as opposed to not using it. Moreover, the probability of successfully introducing a new product by packaging redesign and appearance redesign of exiting products (“achieved” category) is 0.731 times greater for using technology and information from MNCs/JVs customers located in Thailand as opposed to not using it. However, the others external sources do not add significantly to the model.

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Table 5 Logistic Regression of Hypothesis 1 with NPR as Dependent Variable Hypothesis 1 LC LS CMJT SMJT CMJF SMJF UNI Constant

0.322*** -0.142 0.313*** 0.045 0.076 0.096 -0.087 0.947***

S.E. 0.070 0.076 0.088 0.096 0.098 0.095 0.061 0.265

Wald 21.418 3.459 12.588 0.221 0.608 1.034 2.031 12.751

df 1 1 1 1 1 1 1 1

P value 0.000 0.063 0.000 0.638 0.436 0.309 0.154 0.000

Exp (β) 1.380 0.868 0.731 1.046 1.079 1.101 0.917 2.577

Note: ***p < 0.001, **p < 0.01, *p < 0.005 4. Hypothesis 2 Testing For the external source on the likelihood that the respondents achieve the new product development, Table 6 shows that the model always predicts “achieved” because most of the respondents achieved this type of product innovation (874 compared to 506 according to the achieved column). The overall percentage in classification table indicates that this approach to prediction is 62.9 percent of the time. Table 6 Classification Table of NPD

Not achieved 79 Achieved 57 Overall Percentage

Achieved

Not achieved

Observed

Predicted NPD Percentage Correct 506 874

13.5 93.9 62.9

Table 7 shows the variables in the equation that indicates the contribution of each external source to the model and its statistical significance. The fitted model is: Probability (Achieved NPD=1) = 0.177 + 0.274LC + 0.158LS + 0.293CMJT + 0.123SMJT + 0.006CMJF + 0.219SMJF + 0.004UNI. (2) The findings show that local customers (LC, p = .000), local suppliers (LS, p = .020) and MNCs/JVs customers located in Thailand (CMJT, p = .000), and MNCs/JVs suppliers located in a foreign country (SMJF, p = .010) added significantly to the new product development. The results indicate that the probability of achieved new product development (“achieved” category) is 1.315 times greater for using technology and information from local customers as opposed to not using it. The probability of achieved new product development is 0.854 times for using technology and information from local suppliers as opposed to not using it. The probability of achieved new product development is 0.746 times

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for using technology and information from MNCs/JVs customers located in Thailand as opposed to not using it. Moreover, the probability of achieved new product development is 1.245 times greater for using technology and

information from MNCs/JVs suppliers located in a foreign country as opposed to not using it. However, the others external sources do not add significantly to the model.

Table 7 Logistic Regression of Hypothesis 2 with NPD as Dependent Variable Hypothesis 2 LC LS CMJT SMJT CMJF SMJF UNI Constant

0.274*** 0.158* 0.293*** 0.123 0.006 0.219** 0.004 0.177

S.E. 0.063 0.068 0.081 0.087 0.087 0.085 0.054 0.240

Wald 18.829 5.404 13.032 1.989 0.004 6.667 0.007 0.547

df 1 1 1 1 1 1 1 1

P value 0.000 0.020 0.000 0.158 0.949 0.010 0.935 0.460

Exp (β) 1.315 .854 .746 1.131 1.006 1.245 1.004 .838

Note: ***p < 0.001, **p < 0.01, *p < 0.005 The results from Hypothesis 1 and 2 are compared in Table 8. The findings show that local customers and customers from a multinational companies or joint ventures (MNCs/JVs) located in Thailand have contribute to both types of product innovation; the achievement of the introduction of a new product by packaging redesign and appearance redesign of exiting products. Since, customers play important role in product design improvement because they can provide feedback about what needed to be redesigned or improve to attract more

customers. For new product development, firms who use information and technology from local suppliers and suppliers from a MNCs/JVs located in foreign countries are more like to achieve the new product development. It shows that suppliers also play key role of a new product development because they facilitate or provide new machine or technology of the firms. They provide the ideas of new design and coordinate in the process of production.

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Table 8 The comparison of NPR and NPD with logistic regression. External Source LC LS CMJT SMJT CMJF SMJF UNI

NPR 0.322*** (0.070) -0.142 (0.076) 0.313*** (0.088) 0.045 (0.096) 0.076 (0.098) 0.096 (0.095) -0.087 (0.061)

NPD 0.274*** (0.063) 0.158* (0.068) 0.293*** (0.081) 0.123 (0.087) 0.006 (0.087) 0.219** (0.085) 0.004 (0.054)

Note: ***p < 0.001, **p < 0.01, *p < 0.005

Conclusion

This paper examined the relationship between external sources of new technology and information in Thai manufacturing firms with 1,516 sample. The results of logistics regression showed that firms using a new source of technologies and information from local customers and from customers from a MNCs/JVs located in Thailand are more likely to introduce a new product by packaging redesign and appearance redesign of exiting products. The findings indicated that new technology and information from local and MNCs/JVs customers

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in Thailand are useful and help firms to improve the design and appearance of their product. They provide feedback and valuable information of the application of product after they used it. They can detect defect or pitfalls of the product and notify firms to improve it. For new product development, firms are more likely to develop a new product by using new source of technologies and information from local customers, local suppliers, customers from MNCs/JVs located in Thailand, and MNCs/JVs supplier located in a foreign country. The findings show that using new technologies and information from universities do not add probability in achieving the introduction of a new product nor a new product development. Moreover, the findings also indicated that besides new technologies and information from local and MNCs/JVs customers in Thailand, local suppliers and MNCs/JVs suppliers in a foreign country also contribute to the probability of a new product development. Suppliers provide insight about how to improve production process with new technologies that they have. They can provide high quality and a new specification of input that allow firms to successfully develop a new product. Foreign suppliers also transfer technical knowledge and high technology to firms for further development. This paper contributes to the literature by providing strong evidence to support an important of knowledge from customers and suppliers. Firms who build a strong collaboration with customers and suppliers can exploit in-depth technological capabilities, knowledge, feedback,

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and valuable information from them. New technologies and information from both local and foreign customers and suppliers provide new ideas and insight for firms to improve an existing product, which can lead to a new product development.

Acknowledgement

This research is supported by Economic Research Institute for ASEAN and East Asia (ERIA) and the Logistics and Supply Chain Systems Engineering Research Unit (LogEn), Sirindhorn International Institute of Technology (SIIT), Thammasat University (TU). Authors would like to express our gratitude to firms for providing valuable information for the analysis.

References

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Granero, A. G. & Vega-Jurado, J. (2012). External knowledge sourcing and innovation performance: The role of managerial practices. Knowledge Acquisition, 52(1), 68-82. Laursen, K. & Salter, A. (2006). Open for innovation: the role of openness in explaining innovation performance among UK manufacturing firms. Strategic Management Journal, 27(2), 131-150. Leonard-Barton, D. (1995). Wellsprings of knowledge: Building and sustaining the sources of innovation. University of Illinois at Urbana-Champaign’s Academy for Entrepreneurial Leadership Historical Research Reference in Entrepreneurship. Lundvall, B.-Å., Johnson, B., Andersen, E. S. & Dalum, B. (2002). National systems of production, innovation and competence building. Research Policy, 31(2), 213-231. Machikita, T., Miyahara, S., Tsuji, M. & Ueki, Y. (2010). The effect of internal and external sources of knowledge on product innovation in Southeast Asia. Paper presented at the Management of Innovation and Technology (ICMIT), 2010 IEEE International Conference. Mol, M. J. & Birkinshaw, J. (2009). The sources of management innovation: When firms introduce new management practices. Journal of business research, 62(12), 1269-1280. Nonaka, I. & Toyama, R. (2003). The knowledge-creating theory revisited: Knowledge creation as a synthesizing process. Knowledge Management Research & Practice, 1(1), 2-10. Teirlinck, P. & Spithoven, A. (2008). The spatial organization of innovation: Open innovation, external knowledge relations and urban structure. Regional Studies, 42(5), 689-704. Tseng, S. M. (2009). A study on customer, supplier, and competitor knowledge using the knowledge chain model. International Journal of Information Management, 29(6), 488-496. Tseng, S. M. (2012). Correlations between external knowledge and the knowledge chain as impacting service quality. Journal of Retailing and Consumer Services, 19(4), 429-437.

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Name and Surname: Nuchjarin Intalar Highest Education: Master of Engineering, Sirindhorn International Institute of Technology, Thammasat University University or Agency: Sirindhorn International Institute of Technology, Thammasat University Field of Expertise: Logistics and Supply Chain Management Address: 131 Moo 5, Tiwanont Rd., Bangkadi, Mueang, Pathumthani 12000 Name and Surname: Chawalit Jeenanunta Highest Education: Ph.D. Virginia Polytechnic Institute and State University, USA University or Agency: Sirindhorn International Institute of Technology, Thammasat University Field of Expertise: Industrial and Systems Engineering Address: 131 Moo 5, Tiwanont Rd., Bangkadi, Mueang, Pathumthani 12000 Name and Surname: Nattharika Rittippant Highest Education: Ph.D. University of Texas at Arlington, USA University or Agency: Sirindhorn International Institute of Technology, Thammasat University Field of Expertise: Strategic and International Management Address: 131 Moo 5, Tiwanont Rd., Bangkadi, Mueang, Pathumthani 12000 Name and Surname: Pornpimol Chongphaisal Highest Education: Ph.D. Ritsumeikan University, Kyoto, Japan University or Agency: Sirindhorn International Institute of Technology, Thammasat University Field of Expertise: Human Resources Management Address: 131 Moo 5, Tiwanont Rd., Bangkadi, Mueang, Pathumthani 12000

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Name and Surname: Ryoju Hamada Highest Education: Ph.D. Tohoku University, Japan University or Agency: Sirindhorn International Institute of Technology, Thammasat University Field of Expertise: Law and Technology Address: 131 Moo 5, Tiwanont Rd., Bangkadi, Mueang, Pathumthani 12000 Name and Surname: Pisit Chanvarasuth Highest Education: Ph.D. Rensselaer Polytechnic Institute, New York, USA University or Agency: Sirindhorn International Institute of Technology, Thammasat University Field of Expertise: Information Technology Management Address: 131 Moo 5, Tiwanont Rd., Bangkadi, Mueang, Pathumthani 12000 Name and Surname: Somrote Komolavanij Highest Education: Ph.D. University of Texas at Arlington, Arlington, Texas, USA University or Agency: Panyapiwat Institute of Management Field of Expertise: Industrial Engineering Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120

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清莱经济特区云南籍华裔中学生语言使用及语言态度调查报告

A SURVEY ON LANGUAGE USE AND LANGUAGE ATTITUDES OF YUNNANESE CHINESE MIDDLE SCHOOL STUDENTS IN CHIANGRAI’S SPECIAL ECONOMIC ZONE Nisareen 1,2School

纳静安1 林才均2 Wangtakwadeen1 and

1,2皇太后大学汉学院

Lin Caijun2

of Sinology, Mae Fah Luang University

摘要

我们以问卷调查法与访谈法，对清莱经济特区云南籍华裔中学生的语言使用及语言态度情况进

行了较为详细的调查。调查结果显示：调查对象最常用的语言是泰语，其次是汉语，在不同语域里和面对不同交际对象时语言使用的情况不尽相同。在语言能力方面，调查对象泰语的 “听、说、读、写” 能力最强，英语明显最弱。在语言态度方面，调查对象对各种语言的态度都比较积极，认同程度由高到低依次为汉语、英语、云南话、泰语。在语言期望方面，他们对英语的语言期望相对最高，汉语次之。调查对象的性别、民族和世代与语言能力和语言态度及语言期望之间存在不同程度的关联。关键词: 清莱经济特区，云南籍华裔中学生，语言使用，语言能力，语言态度

Abstract

Based on the questionnaire survey and interview survey, we investigate and analyze the language use and language attitudes of Yunnanese Chinese middle school students in Chiangrai’s special economic zone. The result of the survey shows that the most commonly used language is Thai by them, followed by Chinese, and the language use is not the same when in different register and face different communication object. In terms of language ability, the four language abilities of Thai are highest, and English is obviously lowest. In terms of language attitudes, their attitude towards each language is positive, and the degree of language identity from highest to * บทความวิจัยนี้เป็นส่วนหนึ่งของงานวิจัยหัวข้อ “การวิจัยส�ำรวจการใช้ภาษาและอัตลักษณ์ทางด้านวัฒนธรรมของนักเรียนชาวไทย เชื้อสายจีนยูนนานระดับมัธยมศึกษาที่อาศัยอยู่ในเขตเศรษฐกิจพิเศษชายแดนจังหวัดเชียงราย” ซึ่งได้รับทุนสนับสนุนจากโครงการ วิจัยของมหาวิทยาลัยแม่ฟ้าหลวง Corresponding Author E-mail: nisareen@mfu.ac.th

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lowest is Chinese, English, Yunnan dialect and Thai language. In terms of Language expectation, they have the highest language expectation of English, followed by Chinese. There are different degrees of relevance between gender, ethnicity, generation and language ability, language attitudes, language expectations. Keywords: Chiangrai’s special economic zone, Yunnanese Chinese middle school students, Language use, Language ability, Language attitudes 引言

使用情况是怎样的呢？和生活在清莱府非经济特

泰国是一个多元种族社会，随着民族间的频

区的云南籍华裔是否存在差异？ “汉语热” 对他

繁交往与日益融合，必然伴随着语言的接触

们的语言使用有什么影响等问题都值得我们深刻

（language contact）。而语言接触往往会带来语

思考。学生作为社会中的特殊群体，其语言使用

言兼用（双语现象）（Bilingualism）、语言转用、

情况一直备受社会语言学界的关注。为了了解清

语言混合等现象。泰北是泰国各民族大杂居且相

莱经济特区云南籍华裔中学生的语言使用、语言

对集中之地，其中约有30万从中国云南迁来的汉、

能力与语言态度等情况，为清莱中学生的语言教

回、苗、瑶、傣（泐）、佤等族的华人华侨居住在

育提供参考，我们特以清莱府美赛县的美塞中学、

清迈府、清莱府和夜丰颂府（Xu， 2008）。清莱府

鹏博冠学校、清孔县的回索中学、清盛县的清盛

地处泰国最北端，同时又地处泰缅和泰老边境，

中学共四所学校为例，分别于 2017 年 5 月和 7

当地双语现象十分普遍也尤为突出。据中国知网

月对这四所学校云南籍华裔中学生的语言使用及

检索，目前有关泰国华人语言使用情况的研究不少

语言态度等情况进行了实地访谈与问卷调查。调

（Zhu， 2005； Yi， 2008； Su， 2010； Xiao， 2011；

查内容主要包括被调查者的基本情况、各语言使

Wang， 2013； You， 2015）。但专门针对泰北云南

用情况、语言能力、语言态度和语言期望等四大

籍华裔学生语言使用等方面研究却不多（Liu，

部分，要求被调查者在课堂上当堂独立完成。本

2013； Chanida & Lin， 2015）。 Liu （2013）以

文的撰写正是基于此次调查。我们共发放了 250

清莱府夜发銮县美斯乐村的两所中学为例对云南

份问卷，收回有效问卷213份。为了便于数据统

华裔中学生的语言使用情况、语言态度和语言期

计，我们随机选择了200份问卷作为研究样本，运

望进行了考察与探讨。 Chanida & Lin （2015）

用Spss20统计软件对各种数据做了描述性和相关

以清莱府美塞县光明华侨公学为例，探析了泰北

性分析。

华校华裔小学生的语言使用情况。可见，目前有关泰北云南籍华裔学生语言使用情况的研究还较

被调查者的基本情况

薄弱，存在研究范围较小同时缺乏历时性的研究

等不足。这都有待我们进一步深入研究。

人，女性明显多于男性。调查对象的年龄介于 15

语言经济学认为，语言和经济关系密切。美

岁至 22 岁之间。从年龄层次的分布来看， 16-18

塞县、清孔县和清盛县是清莱府的三大经济特区，

岁的高中学生居多，合计占 79.5%。在民族分布

同时也居住着大量的云南华人华裔。他们的语言

方面，调查对象中 84.5% 为汉族。其他少数民族

在 200 名调查对象中，男性67人，女性 133

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179

为阿卡族、瑶族、傣族、拉祜族、苗族、傈僳族、

结果同时学会了两种语言。总的来说，调查对象

回族等，其中以阿卡族为最多，瑶族和傣族次之。

首先学会的语言跟他们所属民族基本一致。

在世代分布方面，调查对象中第二代云南华裔最多，约占50%。第一代约占 33%，第三代及以上仅约

调查对象的语言使用情况

占 17%。所有调查对象均学过汉语，其中学过 10

年以上的汉语人数高达 88%。我们认为这与近十

情况分为在家里、在经济特区之华校、在家和经

年来泰国出现 “汉语热” 的趋势是一致的。同时，

济特区之华校外、个人休闲活动等四种不同语域

这还与云南籍华裔中学生语言认同感较强学习需

（Register）来讨论。具体如下：

求明显密切相关。大多数调查对象最先学会的语

一）在家里的语言使用情况

根据调查问卷，我们将调查对象的语言使用

言是云南话，约占 60.5%。其次是泰语，然后是

“在家里” 的调查内容包括和爷爷、和奶奶、

国语或普通话。本题可以多选，原因是有些调查

和外公、和外婆、和爸爸（男性抚养人）、和妈妈

对象存在小时候同时学会两种语言的情况。如：

（女性抚养人）、和兄弟姐妹、和全家人一起吃饭共

有人小时候跟爸爸学云南话，而跟妈妈学泰语，

八类交际对象或场合时调查对象的语言使用情况。

表 1 调查对象在家里的语言使用情况

汉语

泰语

汉泰同用

英语

其他

和爷爷

76.5%

6.5%

8.5%

和奶奶

81%

7.5%

和外公

69.5%

13.5%

7.5%

和外婆

71%

14%

7.5%

和爸爸（男性抚养人）

61.5%

10.5%

25%

和妈妈（女性抚养人）

51%

10.5%

33%

6.5%

和兄弟姐妹

26.5%

24%

47%

全家人一起吃饭

51%

14%

32.5%

均值

61%

12.5%

20.7%

0.1%

7.2%

总的来说，调查对象在家里使用频率明显最

泰语不如汉语而更愿意说汉语有关。到了与父辈

高的是汉语，然后依次为汉泰同用、泰语、其他、

们谈话时，虽然调查对象仍以使用汉语为主，但

英语。调查结果显示，随着谈话对象的不同，调查

其汉语的使用频率显著下降，均值降为 56.25%，

对象在家里所使用的语言的频率也在变化。与祖

而汉泰同用显著上升，均值升为 29%，泰语的使用

辈们谈话时，调查对象汉语的使用频率明显最高，

频率基本没变化，均值为 10.5%。我们认为，由于

均值高达 74.5%，其次依次是泰语（10.25%）、汉泰

生活环境的改变与需要，父辈一代的汉语已经明

同用（7%）。这与祖辈们汉语保持得比较好及其

显不如祖辈一代了，泰语水平则有了明显的提高，

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汉泰水平基本相当。因此，调查对象对父辈说汉语

与全家人一起吃饭时，调查对象汉语的使用频率

泰语都可以，这使得汉泰同用大幅度上升。当然，

较与兄弟姐妹有了明显的增加（51%），汉泰同用

也存在父母一方为泰族人而使得汉泰同用频率上

的使用频率有所下降（32.5%），泰语的使用频率

升的情况。调查对象在家里跟兄弟姐妹谈话时，

基本不变。这与迁就祖辈们习惯使用汉语有很大

汉泰同用的使用频率最高，占 47%，然后依次是

关系。 “其他” 项主要是少数民族的语言，如阿

汉语（26.5%）、泰语（24%）。相对于与父辈谈话

卡语、瑶语、傈僳语、苗语、傣语和拉祜语等。

来说，在与兄弟姐妹谈

当这些少数民族的云南华裔中学生在家里时，由

话时，汉泰同用与泰语的使用频率都明显上

于祖辈、父辈和兄弟姐妹们习惯了或只会说自己

升，而汉语使用频率大幅下降。究其原因，到了

的民族语言，调查对象在跟他们说话时，一般只

兄弟姐妹这一代，他们的汉语水平又有了非常明

说自己民族的语言。二）在特区华校的语言使用情况

显的下降，有不少人只会听说少量的汉语，已经不会读写了。加之其此时他们的泰语水平明显高

“在华校” 的调查内容包括和老师（课堂）、

出汉语水平，因此在与兄弟姐妹谈话时泰语的使

和老师（课后）、和同学共三类交际对象时调查

用频率明显增加，汉泰同用比率也随之上升。在

对象的语言使用情况。

表 2 调查对象在经济特区之华校的语言使用情况

汉语

泰语

汉泰同用

英语

其他

未选择

和老师（课堂）

76%

3.5%

20%

0.5%

和老师（课后）

79%

7.5%

13.5%

0.5%

和同学

17%

24.5%

58%

0.5%

均值

57.33%

11.83%

30.5%

0.0033%

0.0017%

统计结果显示，调查对象在华校与老师说话

生不得不用汉语与老师说话。在与同学说话时，

时，无论在课堂上还是课后都是明

调查对象主要以汉泰同用为主，占 58%，然后依

次是泰语（24.5%）、汉语（17%）。这与调查对象

显以汉语为主，均值为77.5%。其次为汉泰同

用，均值为 16.75%。极少学生只使用泰

更愿意说他们更加熟悉的泰语有关。三）在家和特区华校外的语言使用情况

语与老师说话。另外，我们也注意到，调查

对象在课堂和课后与老师说话时各语言的使用频

在本研究中， “在家和华校外” 的范围限定为

率趋势基本一致。我们认为出现此种情况的原因

调查对象家与特区华校所处的华人社区。调查内

在于华校为专门学习汉语的地方，老师在课堂上

容包括在商店买东西、在饭店点菜、和邻居、和

和课后都会主要使用汉语与学生交流，同时也会

亲戚共四类交际对象或场合时调查对象的语言使

要求学生尽量多使用汉语。并且某些华校的汉语

用情况。

老师来自台湾或中国大陆，不会泰语，这就让学

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表 3 调查对象在家和华校外的语言使用情况

汉语

泰语

汉泰同用

英语

其他

未选择

在商店买东西

8.5%

51%

42.5%

在饭店点菜

24.5%

27.5%

47.5%

0.5%

和邻居

29%

21.5%

47.5%

1.5%

0.5%

和亲戚

36.5%

17.5%

44.5%

均值

24.63%

29.38%

45.5%

1.25%

0.0017%

统计数据显示，总体上，调查对象在家和华校

特别是泰语的重要性日益上升。因此，双语

外汉泰同用的使用频率相对最高，均值为 45.5%。

现象在华人社区普遍存在。另外，由于新一代华

相对在家里和华校来说，在家和华校外时泰语和

裔汉语水平相对祖辈、父辈整体上有所下降，为

汉泰同用的使用频率有显著上升，汉语的使用频

了交流畅通，这也致使他们更愿使用自己更加熟

率成倍地大幅下降。这与华人社区复杂的语言的

悉的泰语。四）个人休闲活动

环境以及新一代华裔汉语水平整体下降有关。一般来说，华人社区基本上都是华人、泰族、少数

在本研究中， “个人休闲活动” 的调查内容包

民族聚居的社区，其中华人人数最多，其次是泰

括在上网、看电影、听歌、书写记录共四类使用

族人。随着华人与各民族之间的频繁交流与生活

场合时调查对象的语言使用情况。

需要，语言接触在所难免，表 4 调查对象个人休闲活动的语言使用情况汉语（汉字）泰语（泰文）英语（英文）

日语

韩语

其他

未选择

上网

29.5%

60.2%

8.7%

1.6%

看电影

34.4%

39.9%

13.5%

3.4%

8.6%

0.3%

听歌

31.2%

26.4%

4.3%

11.2%

0.3%

书写

36.8%

59.6%

3.2%

0.4%

均值

32.98%

46.53%

12.95%

0.65%

0.075%

根据统计结果，调查对象在个人休闲活动时

找歌曲、看电影等目的。看电影

使用频率最高的是泰语，均值为 46.53%。然后依

时，调查对象虽然仍以看泰语电影的人数比列

次是汉语（32.98%）、英语（12.95%）。上网时，调

（39.9%）最多，但看汉语电影的人数比例（34.4%）

查对象明显常常浏览泰语网页获取信息资料。经

却与之相差较小。相对于上网来说，调查对象看

过访谈我们了解到，他们浏览汉语、英语网页主

电影时泰语的使用频率大幅下降，汉语和英语的

要是为了实现学习语言、找资料做作业、玩游戏、

使用频率都有所上升，并且出现了使用韩语、日

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语的情况。这与韩剧与日剧在泰国比较流行有关。

对老师时，主要使用的是汉语；面对同学则以汉

特别是韩剧，近年来已成为泰国年轻人最爱的外

泰同用为主。在家和特区华校外，调查对象主要

来剧。听歌时，调查对象使用频率最高的是汉语

以汉泰同用为主。在个人休闲活动时，调查对象

（31.2%），泰语和英语使用比率一样（26.4%）。与

使用的主要语言是泰语。可见，语域和交际对象

看电影相比，调查对象听歌时泰语的使用频率明

直接影响着语言的选择与使用。同时，我们发现，

显下降，英语的使用频率明显上升，韩语的使用

在清莱经济特区学习生活的云南籍华裔中学生与

频率也有所上升。在书写记录方面，调查对象通

在 “云南村” 学习生活的华裔中学生在不同语域

常用泰文来书写记录，占 59.6%。其次是汉字，占

里语言使用分布趋势（Liu, 2013）基本一致。只

36.8%。同时，也有少部分学生兼用泰文与汉字来

是各语言的使用程度存在差异。由于生活之语言

书写记录。

环境的影响，令前者在泰语和汉泰同用的使用比

率明显更高，而后者在汉语的使用频率上更高。

为了从整体上了解调查对象最常用什么语言，

我们也做了相关调查。根据调查结果，总体上，调查对象最常用的语言是泰语（57%），其次是汉

调查对象的语言能力

语（42.5%）。这既表明泰语已经成为云南籍华裔

中学生的主要语言，也说明双语现象在华裔中学

语的听、说、读、写能力，最低分为0分，最高分

生的生活中普遍存在。

为 5 分；自评云南话的听、说能力，最低分为

综上所述，调查对象总体上最常用的语言是

0 分，最高分为5分；各种种语言能力比较；着急

泰语，其次才是汉语，但他们在不同语域里语言

时第一反应使用哪种语言；想问题时最常用哪种

使用的情况不尽相同。在家里，调查对象与长辈

语言。调查问卷要求调查对象在给自己的听、说、

说话时，主要选择的是汉语；与同辈说话时，主

读、写能力打分时，可以用小数 0.5。

本部分的调查内容包括自评汉语、泰语、英

要选择的是汉泰同用。在特区华校，调查对象面表 5 调查对象自评汉语能力情况

0.5

1.5

2.5

3.5

4.5

A. 听懂

0.5%

2.5%

0.5%

24.5%

0.5%

40%

25%

B. 会说

0.5%

4.5%

0.5%

8.5%

0.5%

27%

41.5%

0.5%

16%

C. 能读

7.5%

13%

34%

28%

10.5%

D. 会写

0.5%

10%

23%

31%

0.5%

21.5%

0.5%

11%

“听懂” 一项得 4 分的人数最多，占 40%。

仅为 1%。

得 4-5 分的合计为 66%。得零分的仅占 0.5%。

“会写” 一项得 3 分的人数最多，占 31%，

“会说” 一项得4分的最多，为 41.5%。得 4-5 分

其次是得2分的，为 23%。得 4-5 分的合计仅为

的合计为 58%。没有得零分的人。 “能读” 一项

33%。得零分的占 0.5%。可见，对调查对象来说，

得 3 分的人数最多，占 34%，其次是得4分的，

自评汉语 “听、说、读、写” 的水平排序大致为：

为 28%。得 4-5 分的合计为 40.5%。得零分的

听懂＞会说＞能读＞会写。

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183

表 6 调查对象自评泰语能力情况

0.5

1.5

2.5

3.5

4.5

A. 听懂

0.5%

3.5%

0.5%

5.5.%

0.5%

32%

0.5%

52.5%

B. 会说

0.5%

2.5%

0.5%

14%

28%

48.5%

C. 能读

0.5%

3.5%

0.5%

16%

0.5%

37%

33.5%

D. 会写

3.5%

0.5%

3.5%

0.5%

21.5%

32%

1.5%

27%

“听懂” 一项得5分的人数明显最多，占 52.5%。

得 4-5 分的合计为 72.5%。得零

得 4-5 分的合计高达 85%。得零分的仅为 0.5%。

分的为 3%。 “会写” 一项得4分的人数最多，

“会说” 一项也是得 5 分

占 32%，其次是得5分的，为 27%。得 4-5 分的

的明显最多，为 48.5%。得 4-5 分的合计为

合计为 60.5%。得零分的占 3.5%。可见，对调查

76.5%。没有得零分的人。 “能读” 一项得4分的人

对象来说，他们自评泰语 “听、说、读、写”

数最多，占 37%，其次是得 5 分的，为 33.5%。

的水平排序大致为：听懂＞会说＞能读＞会写。

表 7 调查对象自评英语能力情况

0.5

1.5

2.5

3.5

4.5

A. 听懂

10%

30%

28%

0.5%

25.5%

0.5%

B. 会说

12%

34%

32%

1.5%

15%

0.5%

C. 能读

8.5%

26%

0.5%

22%

1.5%

24.5%

14%

D. 会写

12%

2.5%

28.5%

30%

0.5%

20%

0.5%

1.5%

“听懂” 一项得1分的人数最多，占 30%。其

分的，为 24.5%。得 4-5 分的合计为 15%。

次是得 2 分的，为 28%。得 4-5 分的合计仅为

得零分的占 8.5%。 “会写” 一项得2分的人数最多，

2.5%。得零分的占到了 10%。 “会说” 一项得 1

占 30%，其次是得1分的，为 28.5%。得 4-5 分

分的最多，为 34%。其次是得 2 分的，为 32%。

的合计仅为 4.5%。得零分的高达 12%。可见，对

得 4-5 分的合计也仅占 2.5%。得零分的高达

调查对象来说，他们自评英语 “听、说、读、写”

12%。 “能读” 一项得1分的人数最多，占 26%，其

的水平排序大致为：能读＞听懂＞会写＞会说。

次是得 3 表 8 调查对象自评云南话能力情况 0

0.5

1.5

2.5

3.5

4.5

A. 听懂

0.5%

1.5%

14%

27.5%

1.5%

51.5%

B. 会说

2.5%

0.5%

2.5%

5.5%

14.5%

24.5%

2.5%

47.5%

184

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560 “听懂” 一项得5分的人数明显最多，为 51.5%。

计占 74.5%。得零分的为 2.5%。可见，调查

其次是得 4 分的，为 27.5%。得 4-5 分的合计

对象自评云南话的 “听懂” 水平略高于 “会说”，

高达 80.5%。得零分的仅占 2%。 “会说” 一项也

并且两者均高于调查对象自评的汉、泰、英的听、

是得 5 分的最多，占 47.5%。其次是得4分的，

说水平。

为 24.5%。得 4-5 分的合表 9 调查对象自评各种语言能力之均值比较表

汉语

泰语

英语

云南话

听

3.847

4.202

1.730

4.280

说

3.607

4.044

1.568

4.176

读

3.230

3.694

2.068

写

2.997

3.555

1.686

从表 9 可知， “听懂、会说” 这两种能力都

与汉语的情况基本一致，只是 “听懂” 和 “会写”

以云南话最强，泰语次之，英语最弱。 “读、写”

两种能力之间的差距不如汉语那样显著。这与泰

这两种能力都以泰语最强，汉语又比英语强。因

语的高使用频率有直接关系。调查对象的汉、泰

云南话没有书面形式，所以 “读、写” 两项为零

两种语言都明显以 “听、说” 能力最强， “写”

分。仅就汉、泰、英来说，调查对象的 “听、说、

的能力最弱。就英语来说，调查对象整体上 “能读”

读、写” 能力都是以泰语最强，英语明显最弱。

能力最强， “会说” 能力最弱， “听懂” 能力又稍

就汉语来说，调查对象整体上 “听懂” 的能

高于 “会写”，但 “听、说、写” 三种能力之间

的差异很小。这与英语作为调查对象真正意义上

力最强， “会写” 的能力明显最弱， “会说”

的能力又略强于 “能读” 的能力。就泰语来说，

的第二语言（外语）有关。

表 10 调查对象着急时第一反应和想问题时的语言使用情况

汉语

泰语

汉泰同用

其他

着急时

26%

46.5%

27%

0.005%

想问题时

27.5%

38.5%

34%

从表 10 来看，多数调查对象着急时第一反

最高不同（Liu, 2013）。多数调查对象想问题时

应会使用泰语。这说明多数调查对象最熟悉的语

最常用的语言是泰语。这进一步说明多数调查对

言是泰语。这与泰语的整体使用频率最高相符，

象最熟悉的语言还是泰语。但值得注意的是，想

但与 “云南村” 华裔中学生着急时汉语使用频率

问题时 “汉泰同用” 的调查对象也不少，接近于

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185

泰语的使用频率。这表明调查对象双语能力较为

语言人的语言能力和语言行为产生深刻的影响。

突出。

为了探析调查对象对各种语言的态度与期望，我们的调查内容包括自评对汉语、英语的听觉印象，

调查对象的语言态度与语言期望

分为五个等级：非常好听、比较好听、一般、不太

好听、不好听；自评对泰语、云南话的亲切程度，

语言态度属于语言的社会心理范畴。好听、亲

切、有用、社会影响力分别属于

也分为五个等级：非常亲切、比较亲切、一般、

语言态度构成因素中的情感因素（好听、亲切）

不太亲切、不亲切；对能流利地说汉语的人的羡

和认知因素（有用、社会影响力）。在人们的语

慕程度；对各种语言期望值比较；汉、泰两种语

言生活中，语言态度起着十分重要的作用，并对

言对泰国的商务和旅游的重要性。

表 11 调查对象自评对汉语和英语的听觉印象

非常好听

比较好听

一般

不太好听

不好听

未选择

汉语

33.5%

43.5%

23%

英语

31%

42%

23%

调查对象认为汉语 “比较好听” 的比例最高，

为 43.5%。 “非常好听” 和 “比较好听” 两项合

“比较好听” 的比例最高，为 42%。 “非常好

听” 和 “比较好听” 两项合计占 73%。

计占 77%。调查对象认为英语表 12 调查对象自评对泰语和云南话的亲切程度

非常亲切

比较亲切

一般

不太亲切

不亲切

泰语

27%

36.5%

35%

1.5%

云南话

36%

33%

27.5%

1.5%

调查对象认为泰语 “比较亲切” 的比例最高，

调查对象认为云南话 “非常亲切” 的比例最

为 36.5%。其次是 35% 的调查对象认为泰语

高，为 36%。其次是 “比较亲切” 占 33%。两项

“一般”，所占比率较高。 “非常亲切” 和 “比较

合计占 69%。

亲切” 两项合计占 63.5%。

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186

图 1 觉得各种语言非常好听（非常亲切）和不好听（不亲切）的比率图

调查对象对汉、英两种语言，认为汉语比英

好听” 和 “比较好听”、 “非常亲切” 和 “比较

语好听，并且还有1%的人认为英语不好听；对泰

亲切” 来看，调查对象相对来说最喜欢的是汉语

语和云南话，他们认为云南话更亲切，但也有1.5%

（77%），然后依次是英语（73%）、云南话（69%）、

认为云南话不亲切。也就是说，在语言心理上，

泰语（63.5%）。这表现出调查对象对汉语极大的

调查对象对于汉语与英语两种语言更喜欢汉语，

认同感。但同时我们也注意到，总体上，调查对

对于泰语和云南话更喜欢云南话。而综合 “非常

象对各种语言的态度都比较积极。

表 13 调查对象自评对能流利地说汉语的人的感觉

想一样

没感觉

不喜欢

其他

人数

109

百分比

54.5%

44.5%

0.5%

从语言心理上，我们发现，大多数调查对象

由是因为自己也能很流利地说汉语，所以 “没感

（54.5%）是羡慕汉语说得流利的人。另外，经过

觉”，并不是不羡慕。选择 “其他” 的学生的回

访谈我们了解到，选择 “没感觉” 的多数人的理

答是 “一般”。

表 14 调查对象认为汉语和英语对促进泰国商务和旅游

汉语

英语

非常重要

比较重要

一般

不太重要

不重要

人数

百分比

49.5%

40%

10%

0.5%

人数

107

百分比

53.5%

38%

7.5%

0.5%

根据表 14，我们不难发现，多数调查对象认

为汉语和英语对促进泰国的商务和

旅游非常重要。相对来说，调查对象更看好英语，但差异并不明显。

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

187

表 15 调查对象认为哪种语言对自己的未来最重要

泰语

汉语

英语

人数

百分比

7.5%

44.5%

48%

不难发现，有近一半的调查对象都认为英语

人口、民族、世代等诸多因素。语言变项则指的

对自己未来发展最重要。也就是说，他们对英语

是语言使用、语言能力、语言态度与语言期望等。

的语言期望最高。这跟英语是全国中学生的必修

为了进一步探析调查对象各社会变项与语言变项

课与升学必考科目密切相关，因此师生和家长都

是否存在显著关系，我们将借助皮尔森相关系数

比较重视。值得

（Pearson correlation coefficient）来探析云

注意的是，虽然汉语目前被多数中学定为选

南籍华裔中学生的性别、年龄、民族、世代等四

修课，但调查对象认为它的重要性远超过泰语，

项社会变项与语言能力相关性。同时，我们将通

而且十分接近英语。这表明调查对象学习汉语的

过比较，来探析社会变项与语言态度和语言期望

意愿强烈。

的关系。一）社会变项与语言能力的相关性分析

社会变项与语言变项的相关性分析

1. 性别与语言能力的相关性

社会变项主要指职业、年龄、性别、环境、

表 16 性别与云南话语言能力之相关性

Pearson 相关性 1.1 性别

1.1.1 听懂

1.1.2 会说

**在

1.1 性别

1.1.1 听懂

1.1.2 会说

.032

-.005

.797

.969

显著性(双侧) N

200

Pearson 相关性

.032

.550**

显著性(双侧)

.797

200

Pearson 相关性

-.005

.550**

显著性(双侧)

.969

.000

200

.000 200 1 200

0.01 水平（双侧）上显著相关.

188

วารสารปัญญาภิวัฒน์ ปีที่ 9 ฉบับ Supplementary ประจ�ำเดือนธันวาคม 2560 报告 1.1 性别

1.1.1 听懂

1.1.2 会说

均值

4.06

3.93

标准差

1.137

1.234

均值

4.29

4.09

133

标准差

1.041

1.245

均值

4.18

4.01

200

标准差

1.124

1.240

1. 男性

2. 女性

总计

根据表 16 可知，男性在云南话听、说方面

其中男女性着急时使用汉语、泰语的差异很明显，

的得分分别是 4.06、 3.93，女性在云南话听、说

但汉泰同用的差异甚微。在想问题时，使用汉语

方面的得分分别是 4.29、 4.09。可见，女性在云

的男性的比例（41.79%）远高于女性（20.30%），

南话听说方面都强于男性。总体来说，云南籍华

使用泰语的女性的比例（45.87%）和汉泰同用的

裔中学生听的能力与性别的关系要比说的关系更

女性的比例（33.84%）都高于男性使用泰语的比

加密切。采用同样的方法，我们对性别与汉、英、

例（23.88%）和汉泰同用的比例（32.84）。男女

泰语的听、说、读、写能力的相关性进行了分析。

性在想问题时使用语言差异最大的是泰语，然后

分析结果表明，在汉语能力方面，女性除了说方

依次是汉语、汉泰同用。同样，男女性想问题时

面的能力略低于男性外，听、读、写方面的能力

使用汉语、泰语的差异很明显，但汉泰同用的差

均超过女性。汉语四种能力与性别关系的密切程

异很小。

度排名依次为写、听、读、说。在泰语能力方面，

2. 年龄与语言能力的相关性

女性在听、说、读、写方面都超过男性。泰语四

采用性别与语言能力相关性同样的方法，

种能力与性别关系的密切程度排名依次为写、说、

我们考察了年龄与语言能力的相关性。据统计，

读、听。在英语能力方面，女性在听、

15-16 岁、 17-18 岁、 19-22 岁三个年龄段在云

说、读、写方面都超过男性。英语四种能力

南话 “听” 方面的得分分别是 4.27、 4.09、 4.54，

与性别关系的密切程度排名依次为写、听、说、

在云南话 “说” 方面的得分分别是 4.06、 4.04、

读。据统计，在着急时，使用汉语的男性的比例

4.44。可见，各年龄段在云南话 “听” 方面都强于

（35.82%）高于女性（21.05%），使用泰语的女性的

“说” 方面。总体来说，云南籍华裔中学生听的

比例（50.38%）和汉泰同用的女性的比例（27.82%）

能力与年龄的关系要比说的关系更加密切。在汉

都高于男性使用泰语的比例（38.83%）和汉泰同

语能力方面， 19-22 岁年龄段的调查对象在听、

用的比例（25.37）。男女性在着急时使用语言差

说、读、写方面的能力均超过其他年龄段，并且

异最大的是汉语，然后依次是泰语、汉泰同用。

随着年龄的增长学生的汉语各方面的能力也逐步

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

189

提高。汉语四种能力与年龄关系的密切程度排名

在泰语能力方面，汉族华裔中学生听、读、写方

依次为说、写、读、听。在泰语能力方面， 19-22

面的能力均超过少数民族。泰语四种能力与民族

岁年龄段在听、说、读、写方面都低于其他年龄

关系的密切程度排名依次为听、写、说、读。在英

段。 17-18 岁年龄段的调查对象除了读方面的能

语能力方面，少数民族华裔中学生在听、说、读、

力低于 15-16 岁年龄段的调查对象，听、说、

写方面都超过汉族。英语四种能力与民族关系的

写方面的能力都高于 15-16 岁年龄段的调查对象。

密切程度排名依次为听、写、读、说。另外，经

泰语四种能力与性别关系的密切程度排名依次为

统计发现，在着急时，少数民族使用泰语的比例

读、写、说、听。在英语能力方面， 17-18 岁年

（64.52%）明显高于汉族调查对象的比例（43.2%），

龄段在听、说、读、写方面都超过其他年龄段，

汉族着急时使用汉语的比例（27.81%）和汉泰同

19-22 岁年龄段的调查对象除了听方面的能力高

用的比例（29.59%）都高于少数民族。汉族与少

于 15-16 岁年龄段的调查对象，说、读、写方

数民族在着急时使用语言差异最大的是泰语，然

面的能力都低于 15-16 岁年龄段的调查对象。英

后依次是汉泰同用、汉语。在想问题时，少数民

语四种能力与年龄关系的密切程度排名依次为读、

族使用泰语的比例（51.61%）明显高于汉族调查

写、说、听。另外，根据统计结果显示，在着急时，

对象的比例（36.10%），汉族想问题时使用汉语的

各年龄段的调查对象使用泰语的比例分别为

比例（28.99%）和汉泰同用的比例（35.50%）都高

45.83%、 47.11%、 41.94%，均高于使用汉语和汉泰

于少数民族。汉族与少数民族在想问题时使用语言

同用的比例。各年龄段的调查对象在着急时使用

差异最大的是泰语，然后依次是汉泰同用、汉语。

语言差异最大的是汉语，然后依次是汉泰同用、

4. 世代与语言能力的相关性

泰语。在想问题时， 15-16 岁和 17-18 岁两个年

采用性别与语言能力相关性同样的方法，我

龄段的调查对象使用泰语的比例分别为 39.58%、

们还考察了世代与语言能力的相关性。据统计，

42.98%，均高于使用汉语和汉泰同用的比例。但是，

第一代、第二代、第三代及以上的调查对象三个

19-22 岁这一年龄段的调查对象在想问题时使用

世代云南话 “听” 方面的得分分别是 4.46、 4.05、

汉语的比例（48.39%）明显高于使用泰语的比例

3.87，在云南话 “说” 方面的得分分别是 4.29、

（25.81%）和汉泰同用的比例（22.58%）。各年龄

3.86、 3.26。可见，各世代在云南话 “听” 方面都

段的调查对象在想问题时使用语言差异最大的是

强于 “说” 方面。并且我们也发现，云南华裔中

汉语，然后依次是汉泰同用、泰语。

学生世代越高，云南话的听、说能力就依次下降。

3. 民族与语言能力的相关性

总体来说，云南籍华裔中学生说的能力与世代的

采用性别与语言能力相关性同样的方法，我

关系要比听的关系更加密切。在汉语能力方面，

们也考察了民族与语言能力的相关性。据统计，

第三代的调查对象在听、说、读、写方面的能力

汉族在汉语听、说、读、写方面的得分分别是

均超过其他世代，并且随着世代的增长学生的汉

3.94、 3.70、 3.35、 3.06，少数民族在汉语听、说、

语各方面的能力也逐步提高。汉语四种能力与世

读、写方面的得分分别是3.34、 3.08、 2.57、 2.65。

代关系的密切程度排名依次为写、说、听、读。

可见，汉族在汉语听、说、读、写方面都强于少

在泰语能力方面，第三代及以上的调查对象在听、

数民族。总体来说，云南籍华裔中学生汉语的四

说、读、写方面都高于其他世代，并且世代越高

种能力与民族关系密切程度依次为读、说、听、写。

泰语各方面的能力也依次增强。泰语四种能力与

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世代关系的密切程度排名依次为说、写、读、听。

“比较亲切” 所占比例合计为 69.17%，男性为

在英语能力方面，第三代及以上的调查对象在听、

68.66%。可见，女性认为汉语和英语的 “好听”

说、读、写方面都高于其他世代，并且世代越高

的程度率都明显高于男性，认为泰语 “亲切” 的

英语各方面的能力也依次增强。英语四种能力与

程度也明显高于男性，认为云南话 “亲切” 的程

世代关系的密切程度排名依次为读、听、说、写。

度则略高于男性。整体来看，女性对各语言的语

另外，根据统计结果显示，在着急时，各世代的调

言态度都比男性积极。在对说汉语流利的人的羡

查对象使用泰语的比例分别为 40.91%、 41.11%、

慕程度方面，从语言心理上，女性（56.93%）羡

41.18%，均高于使用汉语和汉泰同用的比例。第一

慕汉语说得流利的人的程度高于男性（50.75%）。

代着急时汉泰同用的比例（34.9%）都高于其他世

在各语言的重要性方面，男性（89.56%）认为汉

代，第二代着急时使用汉语的比例（24.2%）高于

语对促进泰国的商务和旅游重要性整体上略高于

其他世代。各世代的调查对象在着急时使用语言

女性（89.47%）。女性（93.23%）认为英语对促进泰

差异最大的是汉语，然后依次是汉泰同用、泰语。

国的商务和旅游重要性整体上高于男性（88.06%）。

在想问题时，第一代的调查对象汉泰同用的比例

56.72%的男性华裔中学生认为汉语对自己未来发

最高，为 43.94%，其次依次是汉语（28.79%）和

展最重要，明显高于对泰语、英语的重视程度。

汉泰同用（27.27%）。第二代的调查对象使用泰语

54.89%的女性华裔中学生认为英语对自己未来发

的比例最高，为 46.94%，然后依次是汉泰同用

展更重要，明显高于对汉语、泰语的重视程度。

（29.05%）和汉语（24.29%）。第三代的调查对象

2. 年龄与语言态度及语言期望的关系

使用泰语的比例（37.93%）最高，然后依次是汉语

据统计，在各语言好听与亲切与否方面，

（31.03%）和汉泰同用（27.57%）。各世代的调查

15-16 岁的调查对象认为汉语 “非常好听” 和

对象在想问题时使用语言差异最大的是汉泰同用，

“比较好听” 所占比例合计为 83.33%，超过 17-18

然后依次是汉语、泰语。

岁的 76.86% 和 19-22 岁的 64.51%。 17-18 岁的

二）社会变项与语言态度及语言期望的关系分析

调查对象认为英语 “非常好听” 和 “比较好听”

Guo （2013）认为，语言态度是社会态度的体

所占比例合计为 75.21%，超过 15-16 岁的 66.66%

现，社会发展、文化背景、年龄、性别、社会群

和 19-22 岁的 70.97%。 17-18 岁的调查对象认

体的紧密程度等都与语言态度有密切联系。本文

为泰语 “非常亲切” 和 “比较亲切” 所占比例合

在此主要探讨性别、年龄、民族与世代等社会变

计为 66.94%，超过 15-16 岁的 58.28% 和 19-22

项与语言态度和语言期望的关系。

岁的 58.07%。 19-22 岁的调查对象认为云南话

1. 性别与语言态度及语言期望的关系

“非常亲切” 和 “比较亲切” 所占比例合计为

据统计，在各语言好听与亲切与否方面，女

70.97%，超过 15-16 岁的 68.75% 和 17-18 岁的

性认为汉语 “非常好听” 和 “比较好听” 所占

70.25%。可见， 15-16 岁的调查对象认为汉语

比例合计为81.96%，男性为67.16%。女性认为英语

“好听” 的程度率最高，并且年龄越小越觉得汉

“非常好听” 和 “比较好听” 所占比例合计为

语 “好听”，而且差异明显。 17-18 岁的调查对

78.95%，男性为 61.19%。女性认为泰语 “非常

象认为英语 “好听” 和泰语 “亲切” 的程度都

亲切” 和 “比较亲切” 所占比例合计为 68.42%，

高于其他两个年龄段。 19-22 岁的调查对象认为

男性为 53.73%。女性认为云南话 “非常亲切” 和

云南话 “亲切” 的程度率最高，并且年龄越大越

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觉得云南话 “亲切”。在对说汉语流利的人的羡

46.15% 的汉族华裔中学生认为汉语对自己未来发

慕程度方面，从语言心理上， 15-16 岁的调查对

展最重要，略高于对英语的重视程度（45.56%）。

象羡慕汉语说得流利的人的程度（60.42%）高于

少数民族的华裔中学生则明显认为英语对自己未

其他两个年龄段（56.2%、 38.71%）的调查对象，

来发展更重要。我们认为，这与汉族华裔中学生

并且羡慕程度随着年龄的增长而降低。在各语言

对自己母语即汉语有较强的认同感有关。

的重要性方面， 17-18 岁的调查对象认为汉语和

4. 世代与语言态度及语言期望的关系

英语对促进泰国的商务和旅游 “非常重要” 和

据统计，在各语言好听与亲切与否方面，第

“比较重要” 合计所占比率分别为 93.39% 和

一代至第三代以上的华裔认为汉语 “非常好听”

95.87%，整体上都高于其他两个年龄段。也就是说，

和 “比较好听” 所占比例合计分别为 72.72%、

17-18 岁的调查对象最看好汉语和英语对促进泰

80.96%、 89.66%、 70.24%。第一代至第三代以上的

国的商务和旅游的重要性，其次是 19-22 岁的

华裔认为英语 “非常好听” 和 “比较好听” 所占

调查对象， 15-16 岁的调查对象相对来说最不看

比例合计分别为 81.82%、 76.19%、 82.76%、 61.90%。

好汉语和英语对促进泰国商务与旅游的重要性。

第一代至第三代以上的华裔认为泰语 “非常亲切”

15-16 岁（41.67%）和 17-18 岁（49.59%）的调

和 “比较亲切” 所占比例合计分别为 60.60%、

查对象都认为英语对自己未来发展最重要。 19-22

66.67%、 75.86%、 60.63%。第一代至第三代以上的

岁的调查对象则明显认为汉语对自己未来发展更

华裔认为云南话 “非常亲切” 和 “比较亲切”

重要。我们认为，这与近年来汉语在泰国经贸活

所占比例合计分别为 80.31%、 66.67%、 65.52%、

动中的重要性不断提升与泰国出现 “汉语热” 有

61.90%。可见，第三代华裔认为汉语和英语 “好听”

关。

与泰语 “亲切” 的程度都高于其他世代。第一代

3. 民族与语言态度及语言期望的关系

华裔认为云南话 “亲切” 的程度明显高于其他世

据统计，在各语言好听与亲切与否方面，少数

代。在对说汉语流利的人的羡慕程度方面，从语

民族认为汉语和英语 “非常好听” 和 “比较好听”

言心理上，第二代华裔羡慕汉语说得流利的人的

所占比例合计分别为 77.42%、 74.20%，略高于汉

程度（66.67%）高于其他世代的华裔（56.06%、

族的 76.92%、 72.78%。少数民族认为泰语 “非常

62.07%），并且羡慕程度总体上随着世代的增长而

亲切” 和 “比较亲切” 所占比例合计为 67.74%，

降低。在各语言的重要性方面，第一代至第三代

略高于汉族的 62.73%。可见，少数民族认为汉语

以上的华裔认为汉语 “非常重要” 和 “比较重要”

和英语的 “好听” 的程度都高于汉族，认为泰语

所占比例合计分别为 90.92%、 100%、 89.65%、

的 “亲切” 的程度也高于汉族。在对说汉语流利

85.71%。第一代至第三代以上的华裔认为英语

的人的羡慕程度方面，从语言心理上，少数民族

“非常重要” 和 “比较重要” 所占比例合计分别为

羡慕汉语说得流利的人的程度高于汉族。在各语

87.88%、 95.24%、 89.65%、 94.05%。可见，第二代

言的重要性方面，少数民族认为汉语和英语对促

华裔认为汉语和英语对促进泰国商务和旅游的重

进泰国的商务和旅游 “非常重要” 和 “比较重要”

要性程度都高于其他世代。第一代至第三代的华

合计所占比率分别为 90.32% 和 96.78%，整体上

裔都认为英语对自己未来发展最重要，并且第二

都高于汉族。也就是说，少数民族认为汉语和英

代认为汉语和英语同样重要。第三代以上的华裔

语对促进泰国商务与旅游的重要性高于汉族。

则认为汉语对自己未来发展更重要，略高于对英

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语的重视程度，这与近几年来中国的崛起与泰国

基本一致，只是 “听懂” 和 “会写” 两种能力

“汉语热” 密切相关。

之间的差距不如汉语那样显著。就英语来说，各能力由高到低依次为能读、听懂、会写、会说”，

结语

但 “听、说、写” 三种能力之间的差异很小。在

随着长久的语言接触，双语现象在清莱云南

语言态度方面，调查对象对各种语言的态度都比

华人社区已十分普遍。研究结果表明：清莱经济

较积极。调查对象相对来说最喜欢的是汉语，然

特区云南籍华裔中学生最常用的语言是泰语，其

后依次是英语、云南话、泰语。这表现出调查对

次才是汉语，而且在不同语域里和面对不同交际

象对汉语极大的认同感。在语言期望方面，他们

对象语言使用的情况不尽相同。这与在 “云南村”

对英语的语言期望相对最高，但对汉语的期望值

学习生活的华裔中学生在不同语域里和面对不同

十分接近英语，这表明他们学习汉语的意愿也很

交际对象时的语言使用分布趋势基本一致。但各

强烈。在社会变项与语言变项的关系方面，性别、

语言的使用程度存在差异。前者在泰语和汉泰同

民族和世代与语言能力和语言态度及期望存在不

用的使用比率明显更高，而后者在汉语的使用频

同程度的关联。总体上，女性和汉族的各语言的

率上更高。在语言能力方面， “听懂、会说” 这

整体能力强于男性与少数民族，世代越高汉、泰、

两种能力都以云南话最强，泰语次之，英语最弱。

英的整体语言能力越强，但云南话的整体能力也

“读、写” 这两种能力都以泰语最强，汉语又比

越低。女性和少数民族对汉、泰、英的语言态度

英语强。就汉、泰、英来说，调查对象的 “听、

都比男性和汉族积极，世代越高对汉、泰、英的

说、读、写” 能力都是以泰语最强，英语明显最

语言态度也越积极，而对云南话的语言忠诚

弱。就汉语来说，各能力由高到低依次为听懂、

（language loyalty）程度也越弱。

会说、能读、会写”。就泰语来说，与汉语的情况

References

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Wang, C. J. (2013). Northern Thai Middle School Students Language Attitude and Influence on Chinese Acquisition: Take Chiang Mai City Vantaa Nuotaipa Yao Middle School as an Example. Journal of Nanchang College of Education, 28(3), 112-113. [in Chinese] Xiao, H. (2011). A Survey on Language Use of Chinese Thai in Chachoengsao Community of Thailand. Master’s thesis, Xiangtan University. [in Chinese] Xu, Z. H. (2008). The Status Quo and Future for the Chinese Language Education in North Thailand. Journal of Huaqiao University (Philosophy Social Sciences), (3), 114-118. [in Chinese] Yi, Q. (2008). A Survey on Language Use of Chinese-origin in Lampang. Master’s thesis, Yunnan Normal University. [in Chinese] You, R. J. (2015). A Survey of Language Ecology of Overseas Chinese in Thailand. Overseas Chinese Education, (1), 52-63. [in Chinese] Zhu, H. (2005). A Survey on Language Use of Thai Chinese Village Located in Northern Thailand. Master’s thesis, Yunnan Normal University. [in Chinese]

Name and Surname: Nisareen Wangtakwadeen Highest Education: Ph.D. in Anthropology, Xiamen University, China University or Agency: Mae Fah Luang University Field of Expertise: TCSL and Chinese Cultural Studies Address: 333 Moo 1, Thasud, Mueang, Chiang Rai 57100 Name and Surname: Lin Caijun Highest Education: M.A. in TCSL, Mae Fah Luang University University or Agency: Mae Fah Luang University Field of Expertise: Chinese Acquisition and Teaching, Sociolinguistics Address: 333 Moo 1, Thasud, Mueang, Chiang Rai 57100

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易经唯物论

MATERIALISM OF I CHING 孟巍

Wei Meng 泰国博仁大学，中国·东盟国际学院

China-ASEAN International College, Dhurakij Pundit University 摘要

长期以来学术界一直将易经中的唯物主义理论定位于古代朴素的唯物主义范畴，认为古代唯物

主义都属于朴素唯物主义的范畴，并以古代唯物主义采用某种或某几种具体物质形态来解释世界本原做为其证据。马克思主义易学学派的学者们将历史唯物主义、辩证唯物主义、唯物辩证法的基本原理与易经哲学体系相结合，采用定性研究与文献定性分析法相结合，逆向思维法、系统逻辑分析法与推理法相结合的研究方法。论证了易经唯物论不是朴素唯物主义，而是具备鲜明辩证唯物主义和历史唯物主义核心特征的易经辩证唯物主义，这将改变学术界长期以来关于易经唯物论属于朴素唯物主义的定论，具有划时代的意义。论证过程具有 “破” 和 “立” 二重性，即用驳论的方式论证了将古代唯物主义等同于朴素唯物主义的哲学认知缺陷，用立论的方式确定了易经唯物主义的性质，能够为易经的后继研究者们搭建一个比较完备、可靠的易经辩证唯物主义理论平台。关键词：易经, 朴素唯物主义, 辩证唯物主义, 历史唯物主义

Abstract

Materialism of I Ching has been seen as ancient simple materialism for a long time in academia, where they consider ancient simple materialism as simple materialism and use ancient materialism with some or a number of specific material forms to explain the origin of the world as their evidence. The scholars of Marxist I Ching combine historical materialism, dialectical materialism, materialistic dialectics and the system of I Ching philosophy together and adopt qualitative research in combination with literature qualitative analysis method, as well reverse thinking method in combination with system logic analysis and reasoning method to do the research. They demonstrated that materialism of I Ching is not simple materialism but dialectical materialism possessing the core feature of distinct dialectical materialism and historical materialism, which has an epoch-making significance with changing the long-held conclusion in academia that Corresponding Author E-mail: uk666666@qq.com

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materialism of I Ching is simple materialism. The process of demonstration has the duality of “breaking” and “establishing”, that is, using the way of refuting to demonstrate the philosophy cognitive defect that the ancient materialism is equivalent to the simple materialism, by way of argument to determine the property of I Ching, so that it can build a relatively complete and reliable I Ching dialectical materialism platform for the future researchers of the I Ching. Keywords: I Ching, Simple Materialism, Dialectical Materialism, Historical Materialism 第一章引言

化、大众化，继续发展21世纪马克思主义、当代中

一、研究背景

国马克思主义” (Xi, 2014) 这一中国哲学社会科

易经是中国最古老的文化典籍之一，属于中

学的一项重要任务的推动下，马克思主义理论研

国传统儒家经典著作 “四书五经” 的重要组成部

究学者也在试图与中国古典哲学相结合寻求中国

分，是中华民族的智慧结晶，被誉为 “群经之首，

化的路径。正是在这种内因和外因双重作用下，

大道之源”。对于易经的研究、解析与应用绵延数

以易经为代表的中国古典经典文化创新和再创造

千年之久，时至今日对于易经的讨论之声仍然不

以及如何弘扬中国优秀的传统文化成为一个研究

绝于耳，可见易经中文化内涵的魅力。近代尤其

热点。对于当代中国来说这种 “要使中华民族最

是在马克思主义哲学进入中国以后，对易经的诸

基本的文化基因与当代文化相适应、与现代社会

多哲学属性方面的争论一直在持续。例如，易经

相协调” (Xi, 2014) 的问题，不仅关系到一个国家

究竟是唯物还是唯心主义

综合实力最核心、最高层的文化软实力的体现，

的产物，易经是否在宣传迷信和神秘主义，易

还关系到 “一个民族精气神的凝聚” (Xi, 2014) 和

经中的唯物论思想是否处于朴素唯物主义阶段，

“坚持道路自信、理论自信、制度自信” (Xi, 2014)

易经中的唯物主义是否是朴素的辩证唯物主义，

以及最根本的文化自信。

易经中的唯物论思想的深度与内涵方面究竟如何？

这些争议的存在很大程度上反映了对于易经的研

研究不论是理论层面还是实践层面所出的研究成

究中体系化方面的欠缺，也反映了对于现有易经

果都寥寥无几，且现有研究成果基本处于浅尝辄

研究成果的传播力度方面的不足及当代易经研究

止层次，缺乏系统性、有深度的成果。我们据此可

涉足热点事件、热点应用方面的不足。随着中央

以断定有关该领域的研究处于起步阶段。 Meng

“加快构建中国特色哲学社会科学” (Xi, 2016)、中

（2006： 152-154）在中国进行的易经矛盾论课题

国特色哲学应 “体现继承性、民族性；体现原创性、

研究存在一定的继承关系，他 “揭示的是易经中

时代性；体现系统性专业性” (Xi, 2016) 三点要求

唯物论、辩证法的基本思想；论证了易经中有关矛

的提出，以及 “在指导思想、学科体系、学术体系、

盾的一系列思想和理论的科学性、先进性；找到

话语体系等方面充分体现中国特色、中国风格、中

了易经中应用演绎法进行矛盾分析的证据；证实

国气派。” (Xi, 2016) 等基本原则的提出，包括易

了易经中应用演绎法研究客观世界的事实；解答了

经在内的中国古代经典哲学开启了再创新征程。

科学界长期对此存在的争议。” Meng （2006) 本课

同时在 “继续推进马克思主义哲学中国化、时代

题易经唯物论主要是将易经中的唯物主义要素系

具体到本课题，前人对于易经唯物论课题的

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统化、结构化从概念等本质区别上论证易经中的

易经唯物主义研究的理论基础平台。能够论证易

唯物论并非传统观念认为的朴素唯物主义，而是

经完全能够成为马克思主义哲学中国化过程中可

具有辩证唯物主义性质的唯物主义，易经唯物主

以依托的可靠的中国经典理论体系之一。第三，作

义具备科学性和先进性。该课题的研究与其他题

者通过对易经中深层次的唯物论思想系统的挖掘，

目字样等，形式上具有一定关联性的研究虽然不

积极落实了习近平主席 “构建中国特色哲学社会

存在继承或补充关系，但是作者会对相关研究文

科学学科体系、学术体系、话语体系，增强我国哲

献的核心观点进行分析和评论，对存在的问题会

学社会科学国际影响力” (Xi, 2017)，加快构建

举证和展开驳论。该课题的研究基础和研究框架

“体现继承性、民族性” (Xi, 2016) 的中国特色的

为作者依照易经和辩证唯物主义、唯物辩证法的

哲学社会科学的战略要求。积极在中国古典哲学

基本原理自主建立。

理论方面研究和探索 “让收藏在禁宫里的文物、陈列在广阔大地上的遗产、书写在古籍里的文字

二、研究的目的和意义

都活起来。” (Xi, 2014) 的系统梳理传统文化的方

式方法，根本上提升中华民族的文化自信。

作者选择该课题进行研究的目的体现在两个

方面：首先，期望通过对于长期以来与易经与唯物主义有关的争议内容进行科学系统的辨析，提

三、研究的主要问题

出符合科学认知和一般规律的、明确的观点，并

问题一：易经唯物论是否属于朴素唯物主义？

给出正确的判断。其次，希望通过对易经系统本

问题二：易经唯物论是怎样的唯物论，易经唯物

身的系统性研究（而不是通过对与易经相关文献

论是否具有辩证唯物主义和历史唯物主义性质？

的研究）建立一套相对完善的有关易经唯物论的原理系统，为后续的易经研究者奠定一个良好的

第二章文献综述

基础。本研究的意义在于三方面：第一，作者通过

系统论证来证明易经唯物主义不是朴素唯物主义，

论研究正相关的文献数量相当稀少。所谓正相关

这个论证本身具有划时代的颠覆性意义，它可以

是指与作者的研究课题内容有直接的关联性、与研

根本性改变长期以来学术界将古代唯物主义笼统

究课题范围内的部分要素有一定的相似性。作者

的定位于朴素唯物主义，认为易经中的唯物主义

通过对现有文献数据库进行检索没有发现与本课

属于朴素唯物主义范畴的结论。第二，作者通过

题题目和研究目的相同的课题，基本可以确定在

对易经唯物主义全因素的系统研究给出易经唯物

易经唯物论方向上不论是国内还是国际上都没有

主义以明确定位，即解答了易经中的唯物论是什

出现与本课题研究内容和研究目的一致的高水平

么类型的唯物论的问题，易经唯物论究竟具备怎

学术研究成果公开发表。这里文献评述主要选择

样的本质特征，这些特征决定了易经唯物论的独

的是与该论文研究内容和研究范围有较高关联性

特性。本研究具有在 “破” 和 “立” 两个维度，即

的文献进行有针对性的深入评述。

以驳论的方式论证易经为什么不是朴素唯物主义，

以立论方式来确定易经唯物主义究竟是怎样的唯

问题， Hou （1988： 1-6）认为易经中的朴素唯物主

物主义，具有 “破” 和 “立” 二重性。该项研究能

义是反映论的结果，但是到了阶级社会被唯心主

够为后继研究者搭建一个比较完备、比较可靠的

义和不可知论发展了。换而言之，他认为易经中

作者通过对现有文献的研究，发现易经唯物

对于易经唯物主义是否属于朴素唯物主义的

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的唯物主义属于朴素唯物主义的范畴，但是易经

解释，而是简单的认为 “万事万物都有阴阳”、

中的部分内容具有唯心主义和不可知论的神秘色

“阴与阳的概念就是矛盾的概念”、 “阴阳对立统一

彩。 Qi （2007： 129）认为易经从总结历史经验教

的思维核心，是矛盾对立统一的哲学思想，也是万

训出发，把大量历史事实以故事的形式编进了易

事万物的运动的根本规律”。这种结论性的判断在

经的爻辞中，只是将占卜的时间、人物省略掉隐

文章中缺乏严谨的论证过程，因而此结论不具严

晦的记录在卦爻中，所以易经 “从头至尾都放射

谨的学术意义。此外作者在解释变化规律时，将阴

着历史唯物主义的光芒。” Jin （1998： 107-111）

阳解释为阴阳二气的运动规律，并得出阴阳二气

谈论的主要是易经中的辩证法问题，而不是易经

运动规律揭示事物运动的普遍规律的认识属于典

中的唯物辩证法问题，他的研究方法主要是 “以

型的朴素唯物主义的观点，他们的研究最终陷入

经解经” 法即在解释易经爻辞时，尽可能选用易

了朴素唯物主义和朴素辩证法的结论中，论文的

经中其他能够帮助解释这一爻辞的相关爻辞或者

研究的最终目标没有实现。

易传中的相关内容对这一爻辞进行说明，这种方

法在基督教传道中经常用到，即用圣经的内容去

具有一定系统性，他的研究主要目的是探索马克

解释圣经。他在研究中指出《周易》中有对立统

思主义中国化的问题，他认为《周易》蕴含着十

一规律，也有质量互变规律、否定之否定规律，

分深刻而丰富的唯物辩证法思想。应该通过对这

但是他并没有从构建易经辩证法系统这样的层次

一传统文化的经典著作进行 “批判的继承和创造

去进行研究，该研究属于浅尝辄止的类型，且最终

性地阐述和解读，探索《周易》与马克思主义哲

没有根本性解决易经的辩证法是唯物辩证法还是

学的思想的契合点和共同点。” (Du, 2009) 他认为

唯心辩证法问题。 Gao & Shi （2002： 106-107）认

《周易》是古老而朴素的唯物辩证法 “自始至终都

为易经的哲学思想能够证明《易经》与唯物主义、

以阴阳辩证思维方法解释宇宙间所有事物既对立

辩证法是统一的。《易经》 “通过阴阳八卦的形式

又统一的变化规律，核心问题是讲阴阳的对立统

和方法来论述‘一分为二’，对立统一的宇宙观。”

一。” (Du, 2009)。 Du (2009) 以易经《系辞》 “仰则

(Gao & Shi, 2002) 他们认为易经的阴阳两个符号

观象于天，俯则观法于地，观鸟兽之文与地之宜，

可以代表宇宙万物，且 “在中国思想史上第一次

近取诸身，远取诸物” (Du, 2009) 来说明古人探索

提出了把宇宙万物分为即对立又统一的两大类别，

世界的客观实在性，这一点没有问题。但是他进

也是最早的辩证法思想的形象代表。” (Gao & Shi,

一步得出： “《周易》认为世界是物质的，包括人

2002) 这种用阴阳讨论事物对立统一关系的思维

类社会在内的世界统一于物质。” (Du, 2009) 这一

是值得肯定的，但是该文在论述阴阳两个符号能

结论则属于缺乏源于易经明确证据而进行的臆测

够代表宇宙万物给出的理由不充分，论述中不够

和放大性解读，这种放大性解读会造成对易经内

严谨，甚至存在 “阴阳是万事万物矛盾两个方面

容的哲学认知的偏差。

的统一性” 这种存在较大争议甚至是错误的论述。

我们知道矛盾就是对立统一，阴阳是矛盾的两个

若，他在中国最早开启历史唯物主义和辩证唯物

方面，阴阳之间存在对立统一关系，研究阴阳的统

主义理论研究《周易》哲学思想的大门，而且早

一性实际上就是在研究阴阳这对矛盾的同一性。

在 20 世纪 20-30 年代就开始将马克思主义哲学

但是作者并没有对阴阳的同一性给出有说服力的

与中国传统文化结合进行研究。他认为 “《周易》

在易经与辩证法研究领域， Du (2009) 的研究

作为马克思主义哲学易学学派开启者的郭沫

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的观念其根本是阴阳两性的对立，一切万事万物

第三章研究方法

都是由这样的对立而成，宇宙充满了矛盾。” (Du,

一、研究类型与对象

2009)、 “宇宙整个是一个变化过程，是一个运动，

本文研究类型属于应用马克思主义哲学理论

所以统名之曰‘易’” (Du, 2009)。这种观点将易经

在中国易学哲学领域进行的系统的关于基础理论

研究的变化和唯物辩证法的运动相结合，是一个

的创新型研究。研究的主要对象易经和唯物论，

较大的进步。

所涉及到的相关内容为朴素唯物主义、辩证唯物

Meng （2006： 152-154）在中国比较早的开始

主义和历史唯物主义以及唯物辩证法。研究成果对

了应用马克思主义哲学唯物辩证法原理研究易经，

构建中国特色哲学社会科学学科体系、学术体系、

他明确提出易经的宇宙观是唯物辩证法的宇宙观

话语体系，增强中国哲学社会科学国际影响力具

对此进行了论证，同时对易经预测思想进行了说

有重要的、积极的推动作用。

明，找到了卜筮方法的依据，论证了 “爻辞是人类

二、资料收集方法与过程

客观实践的产物，是运用归纳法逐渐形成的”。同

作者在研究中紧密围绕与课题紧密相关的易

时也阐明和有效论述了易经中存在演绎法的重要

经与唯物辩证法领域广泛收集具有代表性的核心

依据，并且说明在应用易经进行预测过程中的断

文献资料。首先，根据论文的研究方向确定文献

卦法体现了人类用演绎法认识世界的事实，提出易

收集方法和收集路径。其次，检索相关书籍，选择

经是归纳法和演绎法的统一。同时以易经《系辞》

符合研究需要的图书。再次，广泛检索互联网上

“极数知来之谓占，通变之谓事，阴阳不测之谓神”

相关没有正式出版的文献、短文或者仅仅是观点，

为依据论证了易经中并无神秘思想，也并没有宣

对相关内容进行保存和研究。

传唯心主义内容，其中的 “神” 是一种借代的表

第一阶段检索：相同或相似性文献检索。

述方法。他还第一次系统了严谨的阐述了易经体

第二阶段检索：相关性文献检索。检索方法如

现的辩证法主次矛盾的的关系，解析了太极表述

上所述，输入更为宽泛的检索关键词 “易经唯物

的是绝对运动和相对静止的物质运动属性，太极中

论”、 “易经辩证法”，发展相关研究文献依然稀少，

蕴含的质量互变原理。同时创新的提出了 “太极

作者将这些相关的数量不多的文献全部下载后对

偏移” 现象，据此进一步研究了易经中的矛盾主

文献进行细致而深入的研究。

要方面和次要方面的原理。同时他还研究了易经

太极、内卦、外卦还有《序卦传》中的矛盾统一性

进行订购。

和斗争性问题。除了理论研究外，孟巍还应用他

的研究成果对人性结构分析提出了易经太极与人

重要讲话数据库。作者所研究的马克思主义哲学

性均衡、人性偏移和人性偏激等三种状态，进而

中国化、用马克思主义哲学对中国传统文化解读

应用太极理论对人性要素结构进行分析，得到了

属于中央政府提倡的热点研究问题。

“太极阳仪人性结构49个代表要素”、 “太极阴仪

三、研究方法与设计

51 个代表性要素”、 “基于太极阴阳鱼‘鱼眼’的阴

作者在研究中采用定性研究与文献定性分析

中阳阳中阴人性11个可转化代表要素”。他在马克

法相结合、逆向思维法、系统逻辑分析法与推理

思主义哲学与中国传统文化易经结合研究领域做

法相结合的组合研究方法。采用以上研究方法组

出一定贡献，对易经进行了创造性解读。

合的原因是这项研究属于不同哲学系统的融合性

第三阶段检索：检索相关书籍、确定相关版本

第四阶段检索：检索人民网习近平主席系列

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199

创新研究。这类研究将马克思主义哲学与易经哲

比较完备的基本框架。

学两种不同的哲学系统相互融合，并应用辩证唯

物主义和唯物辩证法对易经这一传统哲学思想进

要求对涉及易经、周易、朴素唯物主义、辩证唯物

行与时俱进的中国化的创造性阐释。客观上要求

主义、太极、阴阳等事物本质进行确定。通过检索

作者在研究方法设计中应用多种方法发现现有研

中国权威学术辞书《辞海》寻找能够揭示这些事

究存在谬误的地方，进而修正这些错误，得出正确

物本质特征的概念或定义，力图通过对这些概念

结论。

对事物的表象进行全面、深入细致的考察和分析，

(2) 定性研究。作者在研究中依照定性研究的

(1) 文献定性分析法。文献分析的前提是保证

进而正确揭示能够决定这些事物运动、变化、发

文献资料来源及其所涉及内容的可靠性，同时要

展的内在规律。作者在研究中特别注重对易经与

对文献与研究课题相关的观点的资料进行梳理，

唯物论有关问题的理论探索、唯物论、辩证法的

解释其内在逻辑关系。首先，作者对检索到的与

历史与它们发展现状和发展趋势的结合。

本研究课题研究问题相关度较高的文献资料按照

涉及的问题进行归类整理、排出大致顺序，并加

思维法来确认研究问题，即将缺点变为可利用的

以编号。在这个梳理工作的过程中对文献资料中

东西。作者从当代学者受传统思维和知识结构的

的引用和参考文献部分进行鉴别，正文中的引用

影响可能存在对朴素唯物主义认知上可能出现的

部分要落实到被引用的文献的原文进行查验，如

漏洞出发，逐步厘清相关问题，探索事物的本来面

果发现断章取义、引用不准确的进行标注。这个

貌。中国传统哲学教育关于中国古代唯物主义的

过程可以保证作者获取的参考文献资料的可靠性。

属于朴素唯物主义的学说造成大部分学者认为易

其次，作者进一步确认参考文献与调查的易经历

经中的唯物主义属于朴素唯物主义的范畴，作者

史唯物论和辩证唯物论这一主题的关系。对于初

首先发现这个可能存在错误的认知，进而通过查

步整理好进行编码的文献材料，仔细反复推敲，

找相应的文献，结合朴素唯物主义的概念来对这

理清这些文献材料内部的逻辑关系，理清朴素唯

个可能存在的错误是人们认知中的真正错误，这

物主义与易经唯物主义的相关关系，从中归纳出稳

就是颠覆性的发现。在采用缺点逆向思维法的同

定的、可靠的、精准的概念，进一步根据这些概念

时，作者还应用了转换型逆向思维法，即在研究问

演绎成推理，即形成作者的基本观点。再次，作者

题时，由于解决这一问题的方法受阻，可能无法直

对研究中得出的基本观点及观点反映的内容与研

接实现研究目标，将原有问题转换为另外问题，应

究主题的关系进行认真思考，进一步明确该主题

用其他手段，或转换思考角度思考，以使问题得以

的要义及其逻辑层次和逻辑顺序，形成本课题的

顺利解决。作者在研究易经物质定义过程中遇到

理论架构。最后，初步确定研究课程的基本框架。

了相应障碍，即易经中没有谈到与马克思主义哲

在这一步中作者要根据形成的理论架构，对原定

学物质概念完全一致的问题，这种情况下就需要

的易经、唯物论、辩证法相关的参考文献进行进

将此问题转换为物质的根本属性方面进行论证，

一步的精选，通过反复比较，选择应用价值较大、

进而寻找到易经中的物质概念。

覆盖较全、能够一针见血揭示事物本质的成分进

行确定。通过这一由表及里、去粗取精的过程，最

法的主要是针对历史唯物主义、辩证唯物主义及

终形成课题的内容框架，同时结合理论架构，形成

易经原文系统进行检索、梳理过程中的问题。采用

(3) 逆向思维法。本文在研究中采用缺点逆向

(4) 系统逻辑分析法。作者选用系统逻辑分析

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系统逻辑分析法有助于快速对文献中理论的核心

视为世界的本原，同时易经根本上否定神创论，

要素和核心结构进行把握，进而为探索易经中的

易经中的 “神” 是一种借代语言, 《系辞》有言

唯物论的理论内核选择最优方案。

“阴阳不测之谓神”。易经中出现过 “阴” 和 “阳”

(5) 推理法即逻辑推导法，指 “在掌握一定的

的表述亦有 “一阴一阳之谓道” (Wang, 2014)

事实数据和事物相关性信息的基础上。通过一定

的论述，但是易经从来没有认为 “阴” 和 “阳”

的逻辑关系，进行顺次的、逐步的、合理的推演，

是世界的本原，也没有认为 “道” 是世界的本原。

最终获得新的结论的一种逻辑思维方法。” (Tracy,

易经中的 “阴” 和 “阳” 是古代哲学家认为的贯

2017) 作者应用假言推理法从设想的结论即易经

通于一切事物的两个对立面 (Xia & Chen, 2009)。

唯物论不是朴素唯物主义这一结论出发，推理出

通过推理我们可以得出易经中的 “阴”、 “阳”

如果这一结论成立所需要的前提条件，而后在研

是唯物辩证法中所谈到的矛盾中的对立面，即

究中逐步满足这些相关条件，进而将研究假设变

“有阴、有阳称作道” (Wang, 2014) 有阴和阳两个

为研究结论。同时在写作中还应用了常规推理法

对立面就可以称作矛盾。通过推理我们可以得出

和归纳推理法。

易经中的 “道” 就是唯物辩证法所指的对立统一

即矛盾，二者描述的内容指向高度一致。作者通第四章研究结果

过比对和推理得出易经中的 “道” 就是矛盾这一

一、对于易经唯物论性质的研究结果

结论。这一结论具有原创性，是作者第一次提出。

中国古代有 “五行” 学说被当作用五种具体

易经没有将物质与物质的具体形态相混淆，易

物质形态的例证。学术界广泛认为易经中的唯物

经中的 “天地” 指的宇宙（以宇宙喻天地），宇宙

主义就是典型的朴素唯物主义。没有充足证据表

的含义是天地万物的总称，与恩格斯 “物、物质无

明 “五行” 学用 “金、木、水、火、土” 某种或者

非是各种物的总和。” 基本一致，属于最高抽象的

几种物质具体形态来解释世界本原，因为不具备

哲学范畴，与马克思主义哲学上的物质概念描述

朴素唯物主义特征。从 “五行” 学说起源来看，

基本一致。易经认识论属于运用归纳法形成的，

“五行” 最早起源与天道历数即是天文观测中的

已经超越了感性认识的即停留这事物表面现象和

一种计算方法，指历数之五时。作者认为 “五行”

外部联系上的认识，而是进入了设定概念、进行

只是用来表示和区分不同物质具体形态属性的一

判断和推理层次的理性认识阶段。易经唯物论不

种归类方式、是一种创新的研究方法，目的是对

具备朴素唯物主义要素任何一个特征，易经唯物

五行代表的物质具体形态之际的相生相克关系进

论不是古代朴素唯物主义即不是朴素唯物主义。

行研究。将 “五行” 学说当作用物质具体形态解

二、易经唯物论是怎样的唯物论，是否具备辩证

释世界的本原的古代朴素唯物主义的认识是缺乏

唯物论和唯物史观性质的研究结果

依据的，是直观的。在缺乏依据的前提下凭借直

(一) 易经辩证唯物论的运动观研究结果

观印象和主观想象而得出的结论，陷入主观主义

易经有 “三易” 即 “不易”、 “变易” 和 “简

的旋窝，是错误的。

易”。整部易经就是在研究变化，而且研究的是阴

易经唯物论不具备朴素唯物主义任何一个特

阳的变化。阴阳即矛盾双方、矛盾的两个对立面，

征。作者论证了易经没有将某种或者某几种物质

“易” 的变化可以与辩证唯物主义 “运动” 这一哲

具体形态来解释世界本原，易经也没有将 “五行”

学概念相对应，是物质的运动。唯物辩证法认为：

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“时间和空间是运动着的物质的存在形式” (Mu,

高诱注： ‘四方上下曰宇，古往今来曰宙’ 以喻天

2014)， “运动是物质的根本属性和存在方式。” (Mu,

地。” (Xia & Chen, 2009) 根据以上分析我们可以判

2014) “运动是指宇宙间所发生的一切变化和过程。”

定在中国古代哲学系统中的 “宇宙” 就是 “天地”

(Zheng, 2013)。可以判定易经中的 “易” 表述的

（宇宙以喻天地）。 “宇” “宙” 就是 “时空”，进而

就是运动（含变化、发展）。作者用运动原理对

可以推理 “天地” 与 “时空” 密不可分； “宇宙”

“三易” 进行解读，易经谈的 “不易” 指的就是运

也是 “天地万物的总称” (Xia & Chen, 2009)，

动、变化和发展的永恒性，也就是客观世界始终

《序卦传》也有印证 “盈天地间者唯万物”。这样

处于运动、变化、发展之中，这是永恒不变的。

“宇宙”、 “天地”、 “天地万物”、 “时空” 的关系就

各种运动形式可以相互转化，但是运动是守恒的。

变得非常明了。又因时空含义是根据 “宇” 和 “宙”

任何运动都不会从无到有，也不会从有到无，物质

两字单独解析获得，因而作者认为 “时空” 是运

运动是不能任意地创造和消灭的，因而被称为

动着的宇宙（天地万物的总称）或天地（“宇宙”

“不易”； “变易” 指的是运动形式的多样化、复杂

以喻天地）的一种存在形式，即抽象的哲学概念

性、各种运动形式在一定条件下相互转化性。运动

中运动着的物质的存在形式。 “宇宙” 是天地万物

包含一切变化，变化揭示了运动的具体内容。而

的总称，也就是 “天地” 是天地万物的总称（高度

“简易” 指的是客观事物的运动、变化和发展是有

概括抽象的哲学范畴）。换句话来说， “宇宙” 和

规律的，只要能够搞清楚运动、变化和发展的关系，

“天地” 与 “运动” “物质” 一样都是最高抽象的

那么运动、变化和发展的规律是可以被把握的，

哲学范畴，区别于物质具体形态。这与辩证唯物

因此解决变化的问题就会变得简单。 “生” 也是运

主义哲学中的 “物质” 的含义是一致的，恩格斯

动（含变化、发展）的含义，这种由 “生” 引起的

指出： “物、物质无非是各种物的总和，而这个概

运动过程如下：阴阳组合而产生八卦，由八卦两

念就是从这一总和中抽象出来的。” (Xia & Chen,

两叠加产生了六十四卦；六十四卦中，每卦有六个

2009) 作者通过 “宇宙”、 “天地” 概念的深入探

爻，于是又产生了三百八十四爻。用三百六十四

究，可以得出易经中 “天地” 的概念与唯物辩证

爻来演绎万物万物的运动（含变化和发展）状态

法的 “物质” 的概念含义基本相同， “天地” 的存

以及运动（含变化、发展）过程中的对立统一规

在形式与时空及其运动密不可分。

律。要特别指出的是以上内容是作者在国际易学

研究中首次提出的解读方式。

“时空” 关系的研究结果

(二) 易经辩证唯物论的时空观研究结果

1、 “易” 与 “宇宙”、 “天地”、 “时空” 之间关

纶天地之道。” (Zheng, 2013) “范围天地之变化而

系的研究结果。 “易” 就是唯物辩证法的 “运动”

不过，曲成万物而不遗，通乎昼夜之道而知，故神

的概念。 “天地” 的含义我们做一下推理和论证。

无方而易无体。” 这体现了易经唯物论物质运动与

在中国古代哲学中： “宇，空间的总称。《墨子·

时空之间的关系原理。 “易” 即运动、变化和发展

经上》： ‘宇，弥异所也。 ’弥，遍，包括。意谓 ‘宇’

是以 “天地” （即物质）为范本来进行研究的，

包括一切处所。” (Xia & Chen, 2009) “宇” 就是空

因而 “易” 能够涵盖 “天地” （即物质）的运动、

间的总称， “宙” 是 “时间的总称”； “宇宙，天地

变化和发展的规律。易理包括了 “天地” （即物质）

万物的总称。 ‘《淮南子·原道》：纮宇宙而章三光’

运动、变化、发展而不偏离 “天地” （即物质）运动，

2、易经辩证唯物论天地

(物质) “运动” 与

易经《系辞·上》谈到 “易与天地准，故能弥

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曲折成就了万物的物质具体形态的多样性而不会

然后有夫妇；有夫妇，然后有父子；有父子，然后有

有任何遗漏，认清了 “阴阳” 即矛盾的两个对立

君臣；有君臣，然后有上下；有上下，然后有礼仪

面之间的对立统一关系而知道了其中的奥妙，所

有所错。” 这里 “天地” 的空间是哲学上抽象的所

以能运用 “阴阳” 的对立统一法则到神奇奥妙、

有物质的三维空间容积，而绝非具体的某个天体

变化莫测程度的人，就会深刻的认识到 “天地”

的三维空间容积。时空的无限性从质上来说 “随

（即物质）运动的时间、空间的无限性和永恒性，

着物质运动形式和层次的变化，时间和空间的具

是不会有固定的空间的， “易” 即运动、变化、

体样式是无限的。” (Mu, 2014) 易经中所谈到继

发展，它是绝对性的是不拘泥于固定的形态、固定

“天地 “后产生的万物其实就是物质的具体形态，

的主体的。上述内容阐述了易经就是在研究运动，

男女、夫妇、父子、君臣、上下等等都是时间和空

“易” 就是运动、变化、发展， “易” 是以 “天地”

间的具体样式，这些具体样式的表现形式是无限

（即物质）为范本进行研究的，所以易经能够涵盖

的。具体的物质形态一定是有生有灭的 “有体积

“天地” （即物质）的运动、变化和发展的规律。

和规模的大小的，因而作为具体的物质形态的时

也就是易经首先明确的是天地（物质）与运动不

间和空间也必然是有限的。” (Mu, 2014) 所以对于

可分， “易” 是天地（物质）的运动、变化和发展，

易经中 “天地” 的理解绝对不能简单的理解为

“易” 研究的是天地（物质）的运动、变化、发展

“天地” 就是只我们地球上的时空，在易经产生的

规律，所以能够涵盖天地万物运动、变化发展规律。

时代，人们也并没有地球的概念，那时候的天地是

易理囊括物质运动规律，而不偏离物质运动的，

万事万物抽象出来的 “时空”，是具有无限性的时

成就了物质具体形态的多样性， “易” 的 “天地”

空观念。抽象的哲学上的 “天地” 即物质，而不是

（物质）运动规律可以适用于所有物质具体形态，

物质的具体形态。这种抽象的 “天地” 从量上讲

没有任何的遗漏。 “天地” （物质）的运动是绝对

是无始无终、不生不灭、无形、无体、无质，它的

的，不会局限在具体的时空中，不会拘泥在物质的

时空从量上讲就是无始无终，永无止境的。易经

具体形态中、不会局限在固定的主体中。这与唯

“天地” （即物质）的运动时间和空间的客观实在

物辩证法的运动理论即世界是物质的，物质世界

性是绝对的，物质运动时间和空间的具体特征是

处于永恒的运动和变化之中。 “运动是物质的根本

相对的。时间和空间作为 “天地” 即物质的存在

属性和存在方式。” (Mu, 2014) “时间和空间是运

形式，它们的客观实在性是不变的、无条件的，是

动着的物质的存在形式” (Zheng, 2013) 异曲同工。

绝对的；时间和空间的具体形态、具体特征是可

变的、有条件的、相对的。

3、易经唯物论中时空无限性与有限性辩证关

系研究结果

(三) 易经唯物史观的研究结果

历史唯物主义认为： “实践就是由实践主体运

辩证唯物主义关于时空最重要的原理之一就

是时空的无限性和有限性辩证关系原理。易经唯

用实践手段作用于实践客体而形成的主观见之于

物论的时空观也体现了这一个原理。易经中的

客观的能动活动。” (Li, 2014) 易经有众多人类通

“天地” 即宇宙万事万物总称的抽象概念， “天地”

过时间获得真知和通过实践改造客观世界的例证。

即物质，而不是物质的具体形态。《序卦传》 “有

如易经《系辞·上》阐述了实践这种能动地改造

天地，然后万物生焉，盈天地之间者唯万物。”、

和探索物质世界的对象化活动。 “圣人有以见天下

“有天地然后有万物；有万物然后有男女；有男女，

之赜，而拟诸其形容，象其物宜，是故谓之象。圣

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人有以见天下之动，而观其会通，以行其典礼，系

主义 “物质” 概念描述基本一致。综上所述易经

辞焉，以断其吉凶，是故谓之爻。言天下之至赜，

唯物论不具备朴素唯物主义要素任何一个特征，

而不可恶也。言天下之至动，而不可乱也。拟之而

易经唯物论不是古代朴素唯物主义即不是朴素唯

后言，议之而后动，拟议以成其变化。” 体现了易

物主义，这个结论推翻了长期以来学术界将易经

经中的实践主体 “圣人” ，运用实践手段，即实践

中的唯物论当作朴素唯物主义来看待的错误认识。

主体在探索和改造现实世界活动中所使用的工具，

此外作者将易经的变化与辩证唯物主义的运动、

作用于实践客体即自然客体——天下的幽深之物，

变化、发展相关联，对易经 “不易”、 “变易”、

而形成的主观见之于客观的能动的活动。这里圣

“简易” 做出了符合辩证唯物主义运动规律一致

人使用的工具就是思维方法，在这里主要是指归

的全新解释。研究中作者通过复杂推理，成功将

纳法。

“宇宙” 定位于 “天地”、将 “宇宙” 定位于 “天地

(四) 研究结果总结

万物”，从而将 “天地” 成功定位于唯物辩证法的

综合以上研究结果我们可以做出以下判定：

“物质”。成功揭示了 “易” 与 “宇宙”、 “天地”

易经唯物论不是朴素唯物主义，而是具有鲜明的

和 “时空” 的关系；揭示了易经辩证唯物论天地

中国古典文化特色，鲜明辩证唯物主义性质，且其

（物质） “运动” 与 “时空” 关系；揭示了易经唯物

理论系统相对比较完备的中国辩证唯物主义和历

论中时空无限性与有限性辩证关系。最终确定了

史唯物史观性质的唯物论，作者将其称为易经辩

易经唯物论的基本性质。

证唯物主义和易经历史唯物主义。这就是易经唯

二、对新发现的思考及研究的理论意义和实践应

物论的基本性质。

用意义

在易经研究中有很多的难题有待解决，例如，

第五章讨论与总结

什么是道、什么是阴阳、什么是天地、甚至什么是

一、研究的重要发现综述

“易”？等等都是学术界没有明确的界定，这样就

作者在进行易经唯物论的研究过程中论证了

造成对于易经、易学等中国古典哲学进行研究中

易经的唯物论没有将某种或者某几种物质具体形

存在巨大障碍。对于易经的研究国内这些年来依

态作为世界的本原， “五行” 只是用来表示和区分

然还是局限在对易经内容和思想的探讨上，虽然

不同物质具体形态属性的一种归类方式、是一种

偶有研究易经中的辩证法、唯物论等内容的短文，

创新的研究方法，目的是对五行代表的物质具体

但是这些内容无法真正有效的提升易经系统研究

形态之际的相生相克关系进行研究。易经从来没

的层次和水平。作者的本文中的发现基本解决了

有认为 “阴” 和 “阳” 是世界的本原，也没有认

困扰易经及易学研究多年的几个核心关键概念的

为 “道” 是世界的本原。易经中的 “阴” 和 “阳”

定位问题，这将为今后的易经、易学研究起到了

是古代哲学家认为的贯通于一切事物的两个对立

引导作用、甚至是里程碑的作用。本项研究成果

面。 “道” 就是唯物辩证法所指的对立统一即矛盾，

将揭开马克思主义易学学派新的一页，同时将有

二者描述的内容指向高度一致。作者得出易经中的

效引导马克思主义中国化过程中，如何将马克思

“道” 就是矛盾这一结论。易经中的 “天地” 指的

主义与中国传统文化相结合的难题的解决方式，

是宇宙（以宇宙喻天地），宇宙的含义是天地万物

将对中国传统文化的时代化复兴起到积极作用。

的总称，属于最高抽象的哲学范畴，与辩证唯物

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三、对于与假设不符合的发现的详尽研讨

四、可能影响结果有效性或普遍性的研究局限

本研究假设即设定的研究问题全部得到解决，

本研究获得的理论包括解析方式，都是通过

并且研究假设与研究结果全部吻合。研究中的一

科学的文分析和严谨的逻辑推理获得，同时也经

些重要发现如将 “道” 成功定位于矛盾，将 “天地”

过严格的测试，测试方法如将词汇新的定位导入

成功定位于 “物质” 等的发现，都是在研究过程

到易经具体的理论中进行解析，研究易经的内在

中通过层层推理发现的，也就是这些定位的成功并

逻辑是否出现无法解释的情况，在研究中作者没

不是源于提前的假设，而是在研究中获得的成果。

有遇到过由于导入新发现的知识而导致易经内部

作者采用的推理法进行研究，推理的前提条件的

逻辑结构遭到破坏的情况。相反，新发现的内容

获得往往是在研究过程中逐步获得的，所以本项

对深入理解易经有非常大的帮助。作者由于时间

研究中能够取得众多新发现，并非对前置性研究

原因对于易经唯物史观部分研究不太深入，这方

假设的一对一的呼应，而是在不改变大的研究问

面存在一定的局限性。

题的基础上，对所涉及问题进行解刨似的要素分析，而后将涉及要素进行逐一研究，进而再通过推

五、后续研究建议

理法、系统逻辑分析法等研究方法进行精细化研

究而获得。

问题，同时在充分理解历史唯物主义的基础上可

在今后的研究中应该重点研究易经的认识论

以在易经唯物史观方面做系统的突破。

References

Du, X. (2009). I Ching and materialist dialectics. Retrieved September 24, 2017, from http://philosophy.whu.edu.cn/info/1039/2040.htm [in Chinese] Gao, T. & Shi, Q. (2002). On the Relation between I Ching Scripture and Dialectical Materialism. Journal of Harbin Institute, (6), 106-107. [in Chinese] Hou, Z. (1988). I Ching and its simple materialism and dialectics. Guizhou academy of social sciences, (6), 1-6. [in Chinese] Jin, J. (1998). Talk about dialectics of I Ching. Social science front, (3), 107-111. [in Chinese] Li, B. & Huo, X. (2014). The reform of the assembly has sounded--General secretary Xi Jinping with NPC and CPPCC members discuss national affairs documentary. Retrieved September 25, 2017, from http://theory.people.com.cn/n/2014/0313/c40531-24621631.html [in Chinese] Li, C. (2014). What is the historical materialism. Beijing: China Industry and Commerce Joint Publishing. [in Chinese] Liu, P. (2013). Concise book: Marxism theory of materialist dialectics. Changchun: Jilin Publishing. [in Chinese] Liu, Z. (1991). Chinese forecasting of I Ching. Beijing: Hongqi Publishing. [in Chinese] Meng, W. (2006). On contradiction of I Ching. Seeker, (1), 152-154. [in Chinese] ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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Meng, W. (2006). The research of identity and militancy of contradiction of I Ching. Contemporary Manager, (1), 161. [in Chinese] Meng, W. (2006). The theory of human nature structure of I Ching Taichi. Finance & Economy, (8), 118-119. [in Chinese] Mu, H. (2014). What is a dialectical materialism. Beijing: China Industry and Commerce Joint Publishing. [in Chinese] Qi, G. (2007). Light of historical materialism of I Ching. Modern Business Trade Industry, (6), 129-130. [in Chinese] Tracy. (2017) The method of literature qualitative analysis. Retrieved September 25, 2017, from http://wiki.mbalib.com/ [in Chinese] Wang, D. (2014). A complete explanation of the I Ching. Chengdu: Sichuan University Publishing. [in Chinese] Wen, S. (2012). The I Ching Vernacular Chinese translation of all. Shanghai: Lixin Accounting Publishing. [in Chinese] Xi, J. (January 1, 2014). Building a socialist cultural power to improve the national cultural soft power. People’s Daily, 1. [in Chinese] Xi, J. (May 18, 2017). Xi jinping to the Chinese academy of social sciences opened the 40th anniversary of the letter of congratulations. People’s Daily, 1. [in Chinese] Xi, J. (May 19, 2016). A speech of Xi Jinping in philosophy and social science work symposium. People’s Daily, 2. [in Chinese] Xia, Z. & Chen, Z. (2009). Ci Hai (6th ed.). Shanghai Dictionary Publishing. [in Chinese] Zheng, X. (2013). Marxist philosophy course. Hangzhou: Zhejiang University Publishing. [in Chinese]

Name and Surname: Wei Meng Highest Education: Doctor of Business Administration, Saint Leo University, USA University or Agency: Dhurakij Pundit University Field of Expertise: Administration Philosophy Address: 110/1-4 Prachachuen Rd., Laksi, Bangkok 10210

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206

ATTITUDES OF STATE-OWNED ENTERPRISES STAFFS TOWARDS GOVERNMENT FUNCTIONS IN THE REFORM OF STATE-OWNED ENTERPRISES IN CHINA ทัศนคติของพนักงานรัฐวิสาหกิจที่มีต่อบทบาทของรัฐบาลในการปฏิรูปกิจการรัฐวิสาหกิจ ณ มณฑลยูนนาน สาธารณรัฐประชาชนจีน Qun Yi1 and Vissanu Zumitzavan2 1,2College of Local Administration, Khon Kaen University

Abstract

The state-owned enterprises (SOEs) act as a special type of enterprises, playing a decisive role in the national economy of China. In the new historical era of deepening reform in SOEs, the government plays a vital role. It is necessary to understand how the SOEs staffs view the government functions in the process of SOEs reform and their attitudes are helpful for effective management of SOEs. This study took the Yunnan Construction and Investment Holding (YCIH) Group in Yunnan Province as a case study. Both qualitative and quantitative research methodologies have been applied through the tools of survey questionnaires and in-depth interview. For the quantitative approach, 400 questionnaires were distributed to to the staffs of the YCIH Group to collect data, and percentage analysis was used to analyze the data. For a qualitative approach, interview to 8 senior executives was employed to gather the insightful information. The findings from survey indicated that the most concerned element influencing the effectiveness of SOEs reform is government functions followed by organizational culture, incentives, leadership, innovation, external environment, individual attitude and human resources. The interview results showed that the key to the success of SOEs reform is that government fulfills its functions of macro-control, supervision and service. Keywords: Government functions, Reform of SOEs, Effectiveness, Attitudes

Corresponding author E-mail: malee@vclao.com

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บทคัดย่อ

รัฐวิสาหกิจ (SOEs) เป็นกิจการพิเศษซึ่งทรัพย์สินทั้งหมดเป็นของรัฐ ท�ำให้มีบทบาทส�ำคัญต่อสถานภาพ ทางเศรษฐกิจของประเทศจีน ในประวัตศิ าสตร์ยคุ ใหม่แห่งการปฏิรปู เชิงลึกของกระบวนการปฏิรปู รัฐวิสาหกิจ รัฐบาล มีบทบาทส�ำคัญในการบริหารจัดการ ดังนั้นการท�ำความเข้าใจมุมมองและทัศนคติของพนักงานรัฐวิสาหกิจที่มีต่อ กระบวนการปฏิรปู รัฐวิสาหกิจจะเป็นประโยชน์ในการบริหารรัฐวิสาหกิจให้มปี ระสิทธิภาพ ในครัง้ นี้ ยูนนาน คอนสตรัคชัน่ แอนด์ อินเวสท์เมนท์ โฮลดิ้ง (YCIH) กรุ๊ป ในมณฑลยูนนานได้ถูกเลือกเป็นกรณีศึกษา วิธีวิจัยที่ใช้เป็นแบบผสมที่ประกอบไปด้วยวิธีวิจัยเชิงปริมาณและเชิงคุณภาพระหว่างการใช้แบบสอบถาม และการสัมภาษณ์เชิงลึก ในการวิจัยเชิงปริมาณได้เก็บข้อมูลจากแบบสอบถามจ�ำนวน 400 ฉบับจากพนักงานบริษัท ยูนนาน คอนสตรัคชั่น แอนด์ อินเวสท์เมนท์ โฮลดิ้ง (YCIH) กรุ๊ป และวิเคราะห์ข้อมูลโดยใช้ค่าร้อยละ ในส่วนของ การวิจัยเชิงคุณภาพได้ใช้การสัมภาษณ์กับผู้บริหารระดับสูงจ�ำนวน 8 ท่าน เพื่อรวบรวมข้อมูลที่ลึกซึ้ง ผลจากการส�ำรวจพบว่า องค์ประกอบที่มีอิทธิพลต่อประสิทธิภาพของการปฏิรูปรัฐวิสาหกิจมากที่สุดเป็น บทบาทของรัฐบาลตามด้วยความเป็นผูน้ ำ� วัฒนธรรมองค์กร นวัตกรรม ทรัพยากรบุคคล ทัศนคติสว่ นบุคคล แรงจูงใจ และสภาพแวดล้อมภายนอก ผลจากการสัมภาษณ์พบว่ากุญแจสูค่ วามส�ำเร็จในการปฏิรปู รัฐวิสาหกิจคือ บทบาทของ รัฐบาลในการดูแล ควบคุม และบริการในระดับมหภาพ ค�ำส�ำคัญ: บทบาทของรัฐบาล การปฏิรูปรัฐวิสาหกิจ ประสิทธิภาพ ทัศนคติ

Introduction

The reform of state-owned enterprises (SOEs) is closely related to the national economy (Walter, 2010: 83-108). Since 1978, China’s SOEs reform has undergone for 30 years. After repeated exploration and practice, China’s SOE system is realized from the initial highly centralized planned economy to the socialist market economy. Although the SOEs reform has made breakthrough progress, the reform of SOEs caused by economic and social life in the deep-seated contradictions and problems of institutional malpractice has not been fundamentally eliminated. This shows that the tasks of reform persist to be arduous (Allen, Jackowicz & Kowalewski, 2013: 13-25). The relationship between government and enterprises is one of the key factors influencing the success

of SOEs transformation. Therefore, how to properly contend with the relationship between government and SOEs is essential for the transformation and development of SOEs. Without fundamental change the functions of government, SOEs reform may be hard to achieve (Lewis, 2003: 42-60). The functions of government can be explained in detail as the design and regulation of macroeconomic objectives, market planning related industrial policies and the development of industry regulations, market enforcement and supervision, the maintenance of social security (Leila & Huchet, 2006: 32). By the end of 2016, there are 18 provincial SOEs in Yunnan. The provincial SOEs especially refer to the SOEs funded by the provincial State-Owned Assets Supervision and Adminis-

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tration Commission (SASAC) with authorization by the Yunnan provincial government. Provincial SOEs play a strategic role in the economic development of Yunnan Province and they are the main force of economic development. According to the statistics from SASAC, by the end of December 2016, the total assets of provincial SOEs exceeded CNY 1,144.1 billion (1 CNY = 0.45 USD, Bank of China, 28 February 2017) with a year-to-year growth rate of 27.35%. Among the 18 provincial SOEs, there are three enterprises with total assets over CNY 100 billion, namely, Yunnan Construction and Investment Holding Group (YCIH), Yunnan Investment Group, and the Yunnan Metropolis Construction and Investment Group (YMCI). After three major reforms, Yunnan Province adopted a series of appraisal classifications such as merging and reorganization, closing down outdated enterprises, and cultivating large enterprises for six years. Yunnan provincial state enterprises reached a new level and the pace of development was unprecedented. However, since the financial crisis in 2008, the Yunnan provincial SOEs have fallen into difficulties, and some deep-seated problems were exposed, such as low quality development mode, single industrial structure, resource dependence, and incompetent institutional mechanisms. It may be difficult to achieve sustainable development whether or not these problems have been addressed. This paper tries to explore the attitudes of staffs of SOEs in Yunnan province towards government functions and the effectiveness of

SOEs reform with objectives to investigate and analyze the key factors contributing to SOEs reform, and identify countermeasures to explain the phenomenon in order to provide recommendations on how the government should embolden its functions to effectively support SOEs reform and improve corporate performance.

Literature Review

A. SOEs Reform State-owned enterprises (SOEs) are the modern contract organizations with the features of system, goal and management to compensate for the market failures under the conditions of socialized production. The general nature of state-owned enterprises is mainly for its profitability, and this particularity stems from a certain social and economic system to provide to society. The duality of SOEs determines that it is supposed to have dual functions: profit and social (Wang & He, 2005: 124-128). Reform of SOEs is associated with the reform of property rights system, funded by the state-owned assets so that those funded enterprises could carry out relevant implementation. B. the Role of Government in the SOEs Reform The definition of the role of government is varied. Peng (2002: 218) recommends that, from the perspective of political positions, the government is the sovereign and the governor of the state. From the perspective of economy, the government is both an athlete and a referee.

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From the perspective of promotion of reform, the government is both the reform promoter and reform object. In the process of economic and social development, government becomes the system provider and economic promoter. In addition, Liu & Xu (2010: 33-37) argued that the government can be categorized as one of four types: the “vigil” type, “intervention” type, “market promotion” type and the “management institution” type. This paper investigated the role of local government in the reform of SOEs. Ju (2010: 36) proposed that, in the process of economic transition, the contradictions between laws and regulations and rules, the difficulties of ownership finance, and administrative mechanism of the management system, lead to the dislocation and dysfunction of the role of local government. Xu & Tang (2000: 42-46) suggested that the local government needs to act as the ‘economic man’, to maximize its own interests. The local government chooses the ‘market transactions’ as an entrepreneur. As a ‘political man’, to accomplish political performance, the local government chooses the ‘irrational behavior.’ As a ‘moral man’, to maximize the interests of the community, the local government chooses to be the administrator of business and replace the market behavior. With the deepening of SOEs reform, the topic of government function has attracted a wide-range of academic research. Samuelson (1986: 137-143) said that our economy is controlled by both government and market, producing and consuming jointly, so our economy

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is a mixed economy, not a purely price economy. Shleifer (1997: 385-410) observed that the government may gain advantages by functioning in the following areas: to improve the legal system, to maintain national policy stability, to provide social services, to construct public infrastructure, and to protect vulnerable groups and classes. Sha & Qiao (2006: 198) disputed that the government should fulfill its role by following the principle of market economy, when necessary, regulating the economy, adapting the market, strengthening social management, and providing good public services. C. Government Functions There are two views about government functions: one is the theory of state intervention government function. American economist Samuelson believed that in the context of market failure, the government should be clear from the scope of the law, improve economic efficiency and promote income equality to ensure economic stability and play the government functions (Samuelson, 1976: 466-492). Rawls (1988: 14) proposed that fairness and justice should be maintained on the principle of ‘maximum and minimum principle’. The other is the theory of liberal government function. Buchanan believed that the government should lessen its functions; the shortcomings of the market should not be entirely generated by the government (Buchanan, 1986: 3). Through the analysis of above aspects, the author sets forth the views in the following way: Firstly, government behaviors play a vital role in the reform of the SOEs.

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Secondly, the government should define its role clearly in the reform of the SOEs and try to make it become a service-oriented government. Thirdly, the government should fulfill its two main functions: economic management and public service in accordance with basic rules of market economy while pushing for reform of SOEs.

Research Methodology

A. Research Philosophy and Methods Qualitative research focuses on the inner world of the researchers’ own view of what they could observe. The most important research tool is the researchers themselves (Saunders, Lewis & Thornhill, 2009: 106-135). Simultaneously, quantitative research conducts an objective and impartial study of social phenomena; more specifically, the researchers should be completely separated from the study so as to avoid bias. Therefore, applying the qualitative studies together with the quantitative studies may be useful to strengthen the approach to determine the nature of phenomenon (Bryman, 1984: 75-92). During the process of quantitative research, the researchers should also take advantage of qualitative methods to determine the quantitative bound and causes to the qualitative changes of the phenomenon (Remenyi & Williams, 1998). B. Population and Samples This is a case study on the attitudes towards government functions and effectiveness of SOEs reform. The Yunnan Construction and Investment Holding (YCIH) Group was selected as a unit of study.

The total number of organizational members in YCIH is more than 30,000 with 63 subordinated units. 500 sets of the survey questionnaires have been distributed and a total of 400 completed survey questionnaires were received, which amounted to a response rate of 80%. The informants are department managers, supervisors and organizational members in YCIH. In addition, semi-structured interviews have been conducted with 8 senior executives from the 63 subordinated units. The data were collected during October to December, 2016. C. Research Instruments The paper applied the research instruments including questionnaires and interview. Firstly, the author applied questionnaires to examine the hypotheses in this study. The data analysis was completed mainly adopting percentages analysis by SPSS version 17. The questionnaire design adopted the standard five component forms, where 1 was the comment least agreed with and 5 the most agreed with. In this research, Cronbach’s α coefficient was adopted to determine the internal consistency of the scale. Table 1 in the appendices shows the Cronbach’s α coefficient statistics for employee’s attitudes on company reform and government functions. The overall Cronbach’s α coefficient of the total scale is equal to 0.923, implying that the overall reliability is satisfactory. The author also calculated the scale of each dimension of Cronbach’s α coefficient, implying that the internal measurement consistency is reliable.

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Table 1 Cronbach’s α coefficient Factors Total scale Organizational culture Leadership Government functions External environment Individual attitude Human resources Innovation Incentives

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perception and reflection regarding the transformation of government functions, focused on their practical experience. This interview adopted three approaches of telephone interview, online interview, and face-to-face interview, with a total of 8 respondents.

Cronbach’s α coefficient 0.923 0.898 0.906 0.913 0.774 0.825 0.842 0.877 0.806

Results and Discussion

Secondly, the in-depth interview technique was applied. The in-depth interview asked respondents to sum up their own experience,

A. Quantitative Methods The author used percentage analysis to analyze the attitudes across the eight factors influencing SOEs reform. The eight factors are: (1) Organizational culture; (2) Leadership; (3) Government functions; (4) External environment; (5) Individual attitude; (6) Human resources; (7) Innovation; (8) Incentives. The results are presented in the table below:

Table 2 Percent of the Staffs in YCIH by their Responses to 8 factors (N = 400) Factors (Indicators) Organizational culture Leadership Government functions External environment Individual attitude Human resources Innovation Incentives

Totally agree 34.6 33.7 43.9 19.0 26.4 24.8 21.6 17.3

Mostly agree 29.4 32.2 30.1 21.8 27.6 27.1 28.9 32.5

Agree 23.8 19.5 14.4 38.3 17.5 12.2 32.3 37.1

Sometimes disagree 8.1 9.4 8.9 11.7 25.1 27.7 4.0 9.4

Totally disagree 4.1 5.2 2.7 9.2 3.4 8.2 13.2 3.7

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It can be determined that out of 400 respondents, 87.8 percent of respondents believed (totally agree, mostly agree and agree) that organizational culture plays an important role in the SOEs reform, while 85.4 percent of respondents had a positive attitude toward leadership in the reform of the group, 88.4 percent of respondents had confidence in the significance of government functions in the reform of the company, 79.4 percent of respondents agreed that the external environment would influence reform of the company, 71.5 percent of respondents stated that the individual attitudes would matters in the reform, 64.1 percent of respondents held that human resource may help to increase the effectiveness of reform, 82.8 percent of respondents agreed that innovation should be conducive to the promotion of reform and 86.9 percent of respondents believed that incentives could encourage the reform. In sum, in the organizational members’ opinions, the most concerned element influencing the effectiveness of SOEs reform is government functions followed by organizational culture, incentives, leadership, innovation, external environment, individual attitude and human resources. B. Qualitative Methods The results of essential elements from interviews were categorized correspondingly as the supervision, macro control and public service function of government. 1) Government Supervisory Function in the Reform of YCIH

In terms of supervisory behaviors, the SASAC of Yunnan Province on behalf of the provincial government fulfills the responsibility of state-owned assets supervision and establishment of the corporate party and leadership team. (Li & Liang, 2016: 199-212). The senior executives in the interview stated that in recent years, in order to further strengthen the supervision and management of provincial state-owned assets, the provincial government and the provincial SASAC issued a number of “opinions”, and “approaches.” At the same time, it constructed the corporate governance structure which conforms to the requirements of modern enterprise system, standardizes the enterprise supervision, decisionmaking and implementation mechanisms, and establishes the management method of stateowned assets. However, the responsibility of supervision and management is not very clear: the provincial SASAC fulfills only the responsibility of the provincial government, so the SASAC cannot monitor or constrain the SOEs in the conduct of some of the behavior of managers as the real owner of the asset. 2) Government Macro-control Function in the Reform of YCIH The interviewers mentioned that during the reform of YCIH, the local government has involved in the whole process of reform in various ways. The important macro-control function has contributed to the smooth progress of the Group’s reform. The behaviors are specified as “the local government acts in accordance with the relevant laws and regulations

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stipulated by the state and strictly regulate the reform of provincial SOEs.” “As one of the largest SOEs in Yunnan, the reform program of YCIH will also have the participation of the provincial government, and the government plays an important role in the approval of all the large programs.” 3) Government’s Public Service Function in the Reform of YCIH It was learnt from the interview that in the reform of YCIH, the government also fulfills the public service function to serve the Group’s reform, such as “Use the power of the government to clear the obstacles for the smooth reform of the group.” “Establish a social service and security system.” “The government provides a variety of services in the form of social and business to establish a service-oriented government.”

Conclusion and Recommendations

Regarding findings mentioned in the previous part, this part tries to put forward some countermeasures and suggestions for the local government in the reform of SOEs in Yunnan province. A. Change and Accurate Positioning the Role of Government in the Reform of SOEs The role of government in the reform of SOEs is an important part of the reform of SOEs system environment. Therefore, to find out what the government should do and

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should not do, the consideration of SOEs, government functions, and role orientation are supposed to be clarified. Firstly, from the perspective of public administration theory, the function of government is to provide services for social operation and development. The government functions should meet the needs of management and social services. Secondly, from the perspective of relationship between the government and enterprises, the government functional adjustment may need to be the priority in the SOEs reform. Therefore, when considering the relationship between government and business, it should first be clarified how SOEs could be improved, and then carry out the government function positioning according to the objectives of SOEs reform. B. The Government Should Pay Attention on Providing the Service Function With the continuous evolution of the economic system, the current role of the government is mainly as a public servant. For the government, it is necessary to clearly understand the responsibilities of government and market, regulate the relationship between government authorities and enterprises, and separate the ownership and management rights so as to effectively promote the reform of SOEs. The government should establish and improve a series of social service systems in order to promote the success of the reform of SOEs.

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References

Allen, F., Jackowicz, K. & Kowalewski, O. (2013). The Effects of Foreign and Government Ownership on Bank Lending Behavior during a Crisis in Central and Eastern Europe. Ssrn Electronic Journal, 61(1), 13-25. Bryman, A. (1984). The debate about quantitative and qualitative research: a question of method or epistemology. The British Journal of Sociology, 35(1), 75-92. Buchanan, J. M. (1986). Liberty, Market and State. Brighton: Harvester. Ju, J. W. (2010). The Role and Behavior of Township Government in the Process of Transition. China Social Science Press. [in Chinese] Leila, F. & Huchet, J. (2006). What’s Next for China’s SOEs. Far Eastern Economic Review, 169(5), 32. Lewis, P. (2003). New China–old ways? A case study of the prospects for implementing human resource management practices in a Chinese state-owned enterprise. Employee Relations, 25(1), 42-60. Li, S. & Liang, Y. (2016). Competition Model and the Change of Local Governments’ Behavior and Governance of China’s Local Government Debt. Chinese Economy, 49(3), 199-212. [in Chinese] Liu, J. J. (2003). Summary of Foreign State - owned Enterprise Reform Experience and Its Enlightenment to China’s State - owned Enterprise Reform. Contemporary Finance and Economic, (8), 82-85. [in Chinese] Liu, Y .X. & Xu, T.J. (2010). The Enlightenment of Keynesian Theory of Government Intervention in the Financial Crisis. Journal of Inner Mongolia University Philosophy and Social Sciences, 42(2), 33-37. [in Chinese] Peng, P. (2002). On the Role of Government. China Social Sciences Press. [in Chinese] Rawls, J. (1988). A theory of justice. China Social Science Press. Remenyi, D. & Williams, B. (1998). Doing research in business and management: an introduction to process and method. Thousand Oaks, CA: Sage. Samuelson, P. A. (1976). Economics of forestry in an evolving society. Economic inquiry, 14(4), 466-492. Samuelson, P. A. (1986). Theory of optimal taxation. Journal of Public Economics, 30(2), 137-143. Saunders, M., Lewis, P. & Thornhill, A. (2009). Understanding research philosophies and approaches. Research methods for business students, 4, 106-135. Sha, A. W. & Qiao, B. Y. (2006). A Review of International Experiences in Intergovernmental Fiscal Relations. People’s Publishing House. [in Chinese] Shleifer, A. (1997). Government in transition. European Economic Review, 41(3), 385-410. ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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Walter, C. E. (2010). The Struggle Over Ownership: How the Reform of State Owned Enterprises Changed China. The Copenhagen Journal of Asian Studies, 28(1), 83-108. Wang, X. B. & He, X. L. (2005). On the Behavior of Government in Key Stage of SOE Reform. Journal of Northwest University, 35(3), 124-128. [in Chinese] Xu, W. F. & Tang, B. F. (2000). An Analysis of the Role of Local Government Behavior. Jiang Hai Academic Journal, (2), 42-46. [in Chinese]

Name and Surname: Qun Yi Highest Education: Master’s Degree of Public Administration, Khon Kaen University University or Agency: College of Local Administration, Khon Kaen University Field of Expertise: Local Administration Address: 123 Moo 6, Mittapap Rd., Mueang, Khon Kaen 40002 Name and Surname: Vissanu Zumitzavan Highest Education: Ph.D. in Industrial Labour Economic, Birmingham Business School, University of Birmingham, United Kingdom University or Agency: College of Local Administration, Khon Kaen University Field of Expertise: Management Address: 123 Moo 6, Mittapap Rd., Mueang, Khon Kaen 40002

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A COMPARATIVE STUDY ON GOVERNMENT POLICY REGARDING SMALL-SIZED SCHOOLS IN CHINA AND THAILAND: A CASE STUDY OF SHANGYOU COUNTY IN GANZHOU CITY, CHINA AND NAM PHONG DISTRICT IN KHON KAEN, THAILAND การศึกษาเชิงเปรียบเทียบนโยบายของรัฐบาลที่เกี่ยวข้องกับโรงเรียนขนาดเล็กในประเทศจีน และประเทศไทย: กรณีศึกษา เขตชางโหยว เมืองก้านโจว ประเทศจีน และอ�ำเภอน�้ำพอง จังหวัดขอนแก่น ประเทศไทย Xiuzhen Yin1 and Pennee Kantavong Narot2 1,2College of Local Administration, Khon Kaen University

Abstract

This research investigated government policies regarding small-sized schools in China and Thailand. The objectives of the study were: 1) to study the current situation of small-sized schools in two places, 2) to analyze the problems of small-sized schools faced by two case schools, and 3) to compare the policies adopted by two local governments. The data were obtained from two case schools, Taozhu Primary School in Shangyou County, China and Phrathat Kham Kaen Pittayalai School in Nam Phong District, Thailand. The key informants included school administrations, teachers, students and parents from these two schools, totaling 22 people. Data were analyzed with content analysis, application of the case study method, and summarized report in descriptive manner. It was found that the small-sized schools in both places face problems and challenges. The same problems of small-sized schools in both places were: 1) the heavy workload of teachers, 2) the lack of professional teachers, multimedia sources and scientific laboratory equipment. And 3) the students were mostly left-behind children with a lack of family education and weak learning ability. A difference between the two case study schools was that there were relatively lower level of teacher education in the Taozhu Primary School, and teachers’ lack of in-service training opportunities.

Corresponding Author E-mail: pennee@kku.ac.th

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The policies implemented by the Shangyou County government include the Specially Contracted Teachers Plan, the Nutri-meal Plan, the Weak School Reform Plan and the Curriculum Reform Plan. Nam Phong District is implementing projects on School-based Management for Local Development and an Opportunity Expansion School model. Keywords: Small-sized school, Government policy, Comparative study

บทคัดย่อ

งานวิจัยนี้เป็นการศึกษานโยบายของรัฐบาลที่เกี่ยวกับโรงเรียนขนาดเล็กในประเทศจีนและประเทศไทย วัตถุประสงค์ของการศึกษานีม้ ดี งั นี้ 1) เพือ่ ศึกษาสภาพทัว่ ไปของโรงเรียนขนาดเล็กของทัง้ สองโรงเรียน 2) เพือ่ วิเคราะห์ ปัญหาของโรงเรียนขนาดเล็กของทั้งสองโรงเรียน 3) เพื่อเปรียบเทียบนโยบายด้านการศึกษาขององค์กรปกครอง ส่วนท้องถิ่นของทั้งสองประเทศ ข้อมูลทีใ่ ช้ในการศึกษานีไ้ ด้มาจากกรณีศกึ ษาของทัง้ สองโรงเรียน คือ โรงเรียนประถมเถาจู (Taozhu Primary School) ในเขตชางโหยว เมืองก้านโจว ประเทศจีน และโรงเรียนพระธาตุขามแก่นพิทยาลัยในอ�ำเภอน�ำ้ พอง จังหวัด ขอนแก่น ประเทศไทย ผู้ที่ให้ข้อมูลหลัก ได้แก่ ฝ่ายบริหาร ครู นักเรียน และผู้ปกครองของทั้งสองโรงเรียน จ�ำนวน ทั้งหมด 22 คน ข้อมูลที่ได้น�ำมาวิเคราะห์เชิงเนื้อหา (Content Analysis) ใช้กระบวนการวิเคราะห์กรณีศึกษา และ สรุปรายงานเชิงพรรณนาความ จากการศึกษาพบว่า โรงเรียนขนาดเล็กทัง้ สองแห่งมีปญ ั หาและความท้าทายต่างๆ โดยปัญหาทีท่ งั้ สองโรงเรียน พบเหมือนกันคือ 1) ครูมีภาระงานที่มากเกินไป 2) ขาดแคลนครูที่มีความเป็นมืออาชีพ ขาดสื่อการสอนที่มีคุณภาพ และขาดอุปกรณ์ที่ใช้ในห้องปฏิบัติการทางวิทยาศาสตร์ และ 3) นักเรียนส่วนใหญ่ไม่ได้อาศัยอยู่กับพ่อแม่ท�ำให้ขาด ความอบอุน่ มีผลให้มคี วามสามารถในการเรียนรูท้ ตี่ ำ�่ ข้อแตกต่างระหว่างสองโรงเรียนคือ การศึกษาของครูในโรงเรียน เถาจูตำ�่ กว่าครูในโรงเรียนพระธาตุขามแก่นพิทยาลัย และครูในโรงเรียนเถาจูได้รบั โอกาสในการอบรมเกีย่ วกับการเรียน การสอนไม่เพียงพอ การขับเคลือ่ นนโยบายองค์กรปกครองส่วนท้องถิน่ ในเขตชางโหยวนัน้ มีนโยบายทีเ่ กีย่ วกับแผนการท�ำสัญญา พิเศษของครู (Specially Contracted Teacher Plan) แผนการโภชนาการ (The Nutria-Meal Plan) แผนการปรับปรุง โรงเรียนที่ด้อยคุณภาพ (Weak School Reform Plan) และแผนการปรับปรุงหลักสูตรการศึกษา (Curriculum Reform Plan) ส่วนองค์กรปกครองส่วนท้องถิน่ ของจังหวัดขอนแก่นมีการน�ำโครงการบริหารโดยใช้โรงเรียนเป็นฐาน (School-Based Management) ในการพัฒนาท้องถิน่ และโครงการโรงเรียนขยายโอกาสทางการศึกษา (Opportunity Expansion School Model) มาใช้ ค�ำส�ำคัญ: โรงเรียนขนาดเล็ก นโยบายของรัฐบาล การศึกษาเชิงเปรียบเทียบ

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Introduction

The issue of retaining small-sized schools is becoming a more urgent policy issue for governments. The precarious position of the small school is caused by the decrease in the number of school-age students; low natural growth rate and population outflow from rural areas; the location of villages in remote and highly isolated places; the degraded natural geographical environment; the limited cultural or socio-economic conditions which reduce potential for entrance to large-scale schools; poverty in remote rural areas; inconvenience of transportation; lifestyle and living characteristics of nomadic population; and a shortage of teachers. As a basic education policy, the location of a school should be close to the student’s family. In remote villages and isolated communities, small-sized schools are the only way to meet the educational needs of local residents. Providing educational opportunities for all children should rely on the long-term existence of small-sized schools. Some countries need special development policies for remote villages due to historical, political, moral or religious reasons (Gordon, Lokisso & Allen, 1997). Keeping the small-sized schools is a general educational policy adopted by governments all over the world, in order to expand educational opportunities. This is the background of policy behind small-sized rural schools. As American educator Coleman (1966) pointed out, everyone should have equal opportunities for education, no matter their background. The governments, communities and scholars should pay attention

to how to achieve the equitable development of urban and rural education, and improve the implementation of educational policy. In Thailand the Office of Basic Education Commission stipulated the policy for improving the quality of schools, so the schools with less than 120 students are classified as small schools (Pinyowong, 2010). The Ministry set the clear objectives for school administration to enhance the school out comes with the development of quality of students, teaching and learning instruction and administrative work. In Thailand, the problem about how to accommodate the small-sized rural schools has been debated for several years as well. The issue is how to deal with these small-sized schools: close them, preserve them, or combine them with larger schools. In 2013, when the Thai government announced a policy to close and consolidate small-sized schools, there was a public outcry and, accordingly, this policy was suspended for re-examination (Buaraphan, 2013). In China, since the new round of the school distribution adjustment in 2001 up to the present, the distribution adjustment policies towards small-sized rural schools has changed several times. From 2001 to 2005, the policy of the central government gave more emphasis to removal and merging small-sized schools. Since 2006, more emphasis has been given to the requirement that the distribution adjustment shall “be practical and realistic, forging ahead steadily and making convenience for entry.” This period can be called the phase of “giving priority to the proper reservation and construction

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of small-sized schools”. In September 2012, the issue of Opinions of the General Office of the State Council on Regulating the Distribution Adjustment of Rural Compulsory Education Schools marked the time that policies began to protect small-sized rural schools, and the initiative of “running primary schools in villages and teaching points well” was also put forward (Zhang, 2012). Lei & Zhang (2014) believes that in the context of the process of urbanization, small-sized schools not only need to be restored and retained, but also developed into high-quality institutions. Based on long-term field investigation, he believes that the current small-sized school policy still needs to improve the efficiency on the aspects of value orientation, policy development and implementation. School size is a critical factor in determining educational outcomes. Chaiyamee (2016) observed that the effective of administering schools in the present decade needs to consider various aspects. He proposed the strategies for self-sufficiency schools. One of the important issues is strategy for participation from stakeholders. This strategy is under the approach suggested by Nenyod (2002) the School Based Management (SBM) approach for developing quality of learners. Under the SBM the small school can be jointly managed by the participation of three major groups. They are representative form the family of students, schools administrators and teachers, and representative from school board (Choompala, Pongpinyo & Larsak, 2014). Many urban systems have recently improved education for all students by breaking large

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schools into smaller units. (The Rural School and Community Trust, 2003) But small-sized schools have long been more common in rural areas. In this research, small-sized schools refer to small-sized rural schools run by the government. Small-sized urban schools and small-sized private schools are not in the scope of the study. Small-sized rural schools are those smallscale schools set up to meet the sparse conditions of students in remote rural areas (Sigsworth & Solstad, 2001). Domestic and foreign scholars have not come to an agreement on the definition of small-sized rural schools. The specific scale varies due to the different situations of different regions. Multi-grade schools are small and have the general characteristics of small-sized schools. In China, small-sized rural schools are usually named teaching points or primary schools located in villages. Over the past two decades, both in Thailand and China, the flow of large rural populations to cities and towns, and the change of the population structure has resulted in the rapid decline of the number of rural schools, and small-sized schools. These two types of schools have been the main targets for removal and mergers. (Zhang, 2012) .The student scale in rural schools has been declining year by year, so adjusting the school distribution and reducing the number of schools has become an inevitable trend. Numerous reports of news media have aroused the extensive attention and discussion of all sectors of society on small-sized rural schools.

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Study purposes

The purposes of the study were to: 1) study the current situation of small-sized schools in Shangyou, China and Nam Phong, Thailand, 2) analyze the problems faced by small-sized schools in Shangyou, China and Nam Phong, Thailand, and 3) compare the policies adopted by Shangyou County government and Nam Phong District government for small-sized schools.

Research method

This is a comparative study of government policy regarding small-sized schools in China and Thailand, conducted through cases visits. An in-depth investigation carried out in Taozhu primary school, Shangyou County and Phrathat Kham Kaen Pittayalai school, Nam Phong District. This paper primarily used literature analysis, comparative study method, field study method and case study method. The in-depth interview was conducted with 22 key informants including school administrators, teachers, students and parents from these two, small-sized schools. Altogether, the respondents include 3 students, 3 parents, 5 teachers, and 1 school administrator from Phrathat Kham Kaen Pittayalai School, and 3 students, 3 parents, 3 teachers, and 1 school administrator from Taozhu primary school.

Research tools

1. Observation forms include the times of observations, date, place, content, type, environmental status, details, questions and reflections.

2. Structured interview forms consist of three parts. Part one of the form is the personal information of the interviewee (name, gender, age, occupation, residence, nationality and place of birth). Part two has the general questions relevant to the type of key informant (i.e., students, parents, teachers, school administrators). Part three contains open-ended questions for the interviewee.

Data analysis

In this paper, the obtained data were analyzed by the qualitative research method. The available data were classified and sorted into patterns as the primary basis for organizing and reporting the study findings. Next, the data are presented in a descriptive manner (narrative descriptions, quotes from participants, charts and tables to demonstrate the study results).

Result

1. Background information of small-sized schools in the two cases 1.1 Small-sized schools in China In China, many scholars have set 100 students as a threshold for defining small-sized schools and non-small-sized schools. Lei & Zhang (2011), according to the scale of adjustment of the primary school or teaching point in the rural compulsory education school in China, concluded that 100 students or less is the standard criteria of a rural small-sized schools, and in line with the actual development of China’s education. According to the “China Rural Education Development Report 2016”, which presents

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research data of the China Rural Education Development Institute of Northeast Normal University in China, the rural compulsory education system shows that “small-sized schools in the rural area, boarding schools in the town, large-scale schools in the city” pattern. In 2015, there were 283,560 primary schools and teaching points, of which 200,199 were in rural areas, accounting for 70.6% of the total primary and teaching points in the country. There was a total of 126,751 small-sized schools in the country, accounting for 44.7% of the total primary and teaching points. There are 9,667 no students’ schools in the country, and 33,900 rural schools with less than 10 people. (China Rural Education Development Report 2016, 2016) 1.2 Small-sized schools in Thailand In Thailand, there are three general definitions of school size based on the number of students enrolled. The Office of the Basic Education Commission generally divides the school into seven sizes based on number of students: Size 1 (0-120), Size 2 (121-200), Size 3 (201-300), Size 4 (301-499), Size 5 (500-1,499), Size 6 (1,500-2,499) and Size 7 (2,500 or more) (Office of the Basic Education Commission, 2015). Some Thai scholars such as Sasithorn (2015) classified schools into four categories: small-sized schools, medium-sized schools, large schools and extra-large schools. Among them, less than 120 students means that a school is a small-sized school. The Upper Secondary Education Bureau of Thailand classified schools into four sizes

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as well, but determined by the budgeting and budgeting guidelines. They are small-sized schools (1-499 students), medium-sized schools (500-1,499 students), large schools (1,500-2,499 students) and extra-large schools (2,500 students or more). (Upper Secondary Education Bureau of Thailand, 2011) In 2015, the total number of schools in Thailand was 30,816. Schools in Thailand with less than 120 students totaled 15,577, nearly half of all schools in Thailand. The specific data is as follows: Table 1 Number of schools by size in Thailand, 2015 School size

Number of students (person) Type 1 Less than 20 21-40 41-60 61-80 81-100 101-120 Total Type 2 121-200 Type 3 201-300 Type 4 301-499 Type 5 500-1,499 Type 6 1,500-2,499 Type 7 2,500 and up Total (all types)

Number of schools (schools) 1,059 2,488 3,388 3,515 2,768 2,359 15,577 6,791 3,547 2,310 1,899 390 302 30,816

Sources: Office of the Basic Education Commission (2015)

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2. Situations of small-sized schools in two places The target small-sized school in China is Taozhu primary school, located in An He Township, Shangyou County, Ganzhou City, Jiangxi Province, China. It is a small village school as a branch of An He school (a central nine-years school in this district), under the management of Shangyou County Education Bureau. At present, the school has kindergarten, primary grade one and primary grade two, only three teachers and a total of 34 students in 2016 academic year. (Data collected from Taozhu primary school, March of 2017.) The target small-sized school in Thailand is Phrathat Kham Kaen Pittayalai school, located in No.199, Ban Kham Moo 2, Ban Kham Sub-district, Nam Phong District, Khon Kaen Province, Thailand. At present, school under the management of Khon Kaen Provincial Administrative Organization. The school has a total of 22 staffs, they are 1 director, 13 full-time teachers, 4 teaching assistants, 1 accountant, 2 equipment administrators and 1 janitor. It has both lower secondary and upper primary grades with a total of 143 students in 7 classes, of which 83 boys and 60 girls in the 2016 academic year. (Data collected from Phrathat Kham Kaen Pittayalai school, March of 2017.) 3. The problems faced by small-sized schools in two places According to the requirements of the national education policy, after field trips this study found that the two schools in the

education management system, teachers, students, funds, curriculum are facing some challenges and problems. Specifically, the problems faced by smallsized schools in Shangyou County include: (1) The teacher’s educational background is not good enough, and they have a heavy workload and lack of training opportunities. (2) The school lacks professional teachers and multimedia devices. Teaching facilities are not complete. The curriculum is too simple. Funding sources are meager. (3) Students mostly are ‘left-behind children’ with a lack of family educational support and have weak learning ability. The problems faced by small-sized schools in Nam Phong District are as follows: (1) The teachers have heavy workloads. (2) The school lacks professional teachers and scientific laboratory equipment. (3) The students mostly are ‘left-behind children’ with a lack of family education and weak learning ability. 4. The policies adopted by two governments 4.1 Analysis on the policies and implementation effects of the small-sized schools in Shangyou County (1) Specially Contracted Teachers Plan The specially contracted teachers program is a special policy of the central government to guide and encourage the graduates to work on rural education. It is intended as an innovation of the teachers’ supplementary mechanism to solve the problems of insufficient teachers and unreasonable structure in rural schools. This policy focuses on junior high schools,

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and takes into account primary schools. The specially contracted teachers are mainly assigned to the rural township junior high schools located outside the county, and take into account the township center primary school in a proper way. Therefore, generally, village schools have no chance to apply for the specially contracted teachers. The funds for recruitment of the specially contracted teachers are from both the central government and local finance; the central government is regarded as the major undertaker. The specially contracted teachers generally have three to five years of employment, but mostly three years. Many teachers do not continue to teach in rural areas after the end of the tenure, but seek new opportunities in the cities. The three years of the specially contracted teacher can be a good experience for them, and it gives them a great advantage in finding jobs in the big cities. But the schools they leave need to train new teachers. (2) Nutri-meal Plan After 2012, in order to alleviate the economic burden of the parents of poor students in rural schools, and to respond to the call of the state, the government of Jiangxi Province carried out a nutrition improvement program for students from poor families in 17 counties, including Shangyou, which were concentrated in the especially difficult rural areas. The government finance provides a nutritional dietary supplement for students in the compulsory education phase of the

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pilot area in accordance with the standard of three yuan per student per day (the whole school year is 200 days in accordance with the school time). According to the current research, in 2017, the standard has been raised to four yuan per student per day. In addition to nutrition lunch subsidies, the regions also raise and balance building renovation funds for the rural primary and secondary schools. The student canteen is the key construction challenge, and needs to meet standards and requirements of the licensing of catering services. All the grade one and two students of Tao Zhu primary school receive the nutritional meal subsidies. This policy solved the problem of students eating a cold lunch or having to rush home to eat at noon. This subsidy also reduced the financial burden of the students’ families. At the end of 2016, the financial allocation helped the school to repair the canteen, add tables and chairs, and has created a good dining environment for the children. (3) Weak School Reform Plan In order to implement the National Medium and Long Term Education Reform and Development Plan (2010-2020), the Ministry of Education and the Ministry of Finance have implemented the weak school reform program in rural areas since 2010. In 2013, the Ministry of Education promulgated the Education Counterpart Support of Shangyou County Program (2013-2020). With the help of the Ministry of Education, Shangyou County began to implement the weak school reform plan.

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The weak school reform plan requires more multimedia teaching equipment and office computers for the village schools and also laboratories and laboratory equipment, music equipment, and library configuration. Tao Zhu primary school has no such teaching facilities; the implementation of the weak school reform plan still needs to be strengthened. (4) Curriculum Reform Plan According to the notification and stipulation of the “Compulsory education curriculum experiment scheme (2001)” of the Ministry of Education, the courses shall be balanced and shall strengthen the comprehensiveness of the curriculum. There are clear instructions on the opening and development of English, information technology education, music, arts, and PE courses. Taozhu Primary School has no students at grade three and, thus, it is understandable that they haven’t opened English classes. That leaves only Chinese and mathematics classes for the grade one and two students. Due to the lack of the corresponding professional teachers, although the syllabus lists content in music, arts, and PE, the school doesn’t have real classes of these subjects. For example, the teacher occasionally holds a class meeting in which students sing or perform, and this is regarded as music class. The curriculum lists courses in diversity education to promote the all-round development of morality, intelligence, physique and aesthetic to develop morally, intellectually, physically and aesthetically. But, in practice, this is a mere formality, and the quality is not up to standard.

4.2 Analysis on the policies and implementation effects of the small-sized schools in Nam Phong District (1) School-based Management for Local Development Nowadays, local government plays an important role in school education, especially when the school is under the direct management of local government. Local government, schools and communities are closely related. In order to play a better role and advance the development of education, the School-based Management for Local Development (SBMLD) project was set up by the Department of Local Administration. SBMLD is an education policy of schools with the aim to promote youth and local people to aspire to lifelong learning, and to promote the development of individual talent. Local development is to be used as a guideline for the management and evaluation of educational institutions so that educational institutions should progress unceasingly and manage their education better. Phrathat Kham Kaen Pittayalai school participated in this project. In addition to extra funds for school development, following the guidance of this project, the school established a characteristic system. The school focuses on the development of sports and training athletes and, therefore, it has recruited athletes from other areas. It has had outstanding performance in enrollment for a small-sized school. (2) Opportunity Expansion School The ‘opportunity expansion school’ refers to the school which provides elementary

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to secondary (usually secondary 1-3) education, but is classified as an elementary school. These schools are located in districts with too few students in both primary and secondary levels. These schools are appropriate for the community’s cultural development and where the parents have no ability to pay for their children to go to school elsewhere. However, from the interviews with staff of the Phrathat Kham Kaen Pittayalai school, the researcher found that the principal and some teachers do not agree that the opportunity expansion school is useful. Frist, the education quality will be a problem, the teacher is only familiar with primary school curriculum but not secondary school curriculum. Second, the existence of some schools is not for the community and the students, but the principal is not willing to lose the position because of the closure of the school. Third, the school will also take away the original junior high school students, it affects the development of the original secondary school.

Conclusions and discussion

There are a number of small-sized schools in both countries of both regions. The development of small-sized school in both regions is facing problems and challenges in the education management system, curriculum, funds, teaching and learning. In response to these problems, the two governments have implemented different policies. Decentralization is the process of redistributing or dispersing functions, powers, people or things away from a central location

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or authority (The Free Dictionary, n.d.). Although the political system, educational system, social and culture are all different in China and Thailand, but the management of small-sized schools has been affected by decentralization both. School-based Management model is one of the policies support decentralization implementation. School-based management (SBM) is a strategy to decentralize decision making authority to the individual school site. It is part of an international school management reform movement that originated in the United States in the 1980s and then spread to most developed countries and regions. Now, school-based management has become a model with worldwide influence (Murphy, 1994). The comparison of small-sized school management between the two governments under the School - based Management model as follow: (1) Decentralization in SBM Decentralization in SBM refers to decentralizing the authority from the central government, the central education administrative organs and local education departments down to the school. Under this system of governance, schools become deregulated from the district office and gain control and responsibility over their own affairs. (2) Both countries have tried to carry out decentralization of educational authority from the central government to local governments and schools. However, in both settings, there is still considerable central control of the

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school. Small-sized school management is still basically managed by the central government and the central education administrative departments, just as in the past. The management authority of local government, the school and principal is very limited; they mostly just play an executive role. In China, the government established the Central Primary School Responsibility System for decentralization. However, the school lacks budgetary power, and only has daily teaching management power. Power is generally concentrated in the principal only. In Thailand, some schools are directly subordinate to the local administrative organization and, thus, those schools are more closely related to the local administrative organizations. But the devolution of administrative power only reaches as far as the local administrative organization. The principal and the school teachers still only play the role of administrative execution. (3) Decision making in SBM Decision-making is shared at the local school between teachers, parents, other community members, and sometimes students (Murphy, 1994). Authority is delegated to school, usually to a school board or school committee, not to the principal only. There is an emphasis on democratic management, i.e., in theory, the school committee is generally composed of the principal, teachers, parents, students and community members. (Huang, 2003)

The level of democratic management of the school is not high, however, in the two countries in this research. The school committee is actually comprises several senior teachers with almost no students, parents, community members being involved. (4) Functional change in SBM SBM reform has adjusted the relationship between government and school, and the educational administration and school functions have changed. The functions of the government are changing from command to support, coordination and evaluation. The school also is changing its function accordingly, from the original executive body to a decision-making body. As such, it enjoys more power, and must also assume more responsibility for the use of power and its results (Huang, 2003). But the real situation is functional change in two counties are not thorough enough. State policy makers, county administrators, principals, and teachers are altering their role in schools to accommodate the changes from traditional education processes and operations to SBM. (Murphy, 1994) In the actual situation, the principal is both a decision-maker, and also an implementer. Although teachers are increasingly involved in the management of schools, the role of teachers has not changed much, i.e., they still just play the role of classroom manager. Students, parents, community members are still limited to the role of education services consumers, recipients and sponsors.

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Suggestions

As Charles O. Jones believed, policy implementation is a series of activities to put policy into action, among which, the most important three are interpretation, organization and application. Educational policy implementation is a two-way interactive process which requires educators to follow a certain program, apply various resources, and transform the content of education policy into effective real results in order to achieve the policy objectives in a certain period of time. Therefore, the Chinese and Thai governments should review and reflect on the implementation of the policy thus far. They need to reconsider their own policies and learn the advantages of small-sized school management based on experience from other countries. This study found that the Phrathat Kham Kaen Pittayalai school, under the management of the Khon Kaen Provincial Administrative Organization, is under less control by the central government, and has strong support from local government, whether financial, teachers or teaching equipment. By contrast, the Taozhu primary school has less

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local support. In conclusion, we should focus more on the actual effect of decentralization and consider how to better to apply it in the future. Finally, the researcher would like to concede that this study has weaknesses regarding several areas. First, because of the limited theoretical books, the theoretical part of this paper is still relatively thin; Second, the limited research time, funding and geographical constraints led to the lack of continuous follow-up survey, this study cannot fully reflect the existence problems faced by small-sized schools and policies adopted by the two governments; Third, this study excessive attention to the problems of small-sized schools but lack of in-depth analysis of the reasons, the policy recommendations have yet to be explored, need to continue to enrich and improve in practice; Fourth, the language of the article is not concise, writing skills need to be improved. Above these weaknesses, the author in the future study will continue to keep going, and to be better.

References

Buaraphan, K. (2013). Educational Quality of Small Schools in Thailand. European Journal of Social Sciences, 41(1), 130-147. [in Thai] Chaiyamee, P. (2016). Effective Strategies for Administering Sufficiency Schools. Panyapiwat Journal, 8(2), 168-182. [in Thai] China Rural Education Development Report 2016. (2016). China Rural Education Development Institute of Northeast Normal university. Retrieved February 17, 2017, from http://news. jyb.cn/china/gnxw/ 201612/t20161226_691183.html [in Chinese] ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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Choompala, C., Pongpinyo, P. & Larsak, P. (2014). Research Report on A Case Study: Successful Model of Education Management in Small Schools in Northeast of Thailand. Bangkok: The Thailand Research Fund. [in Thai] Coleman, J. S. (1966). Equality of Education Opportunity. Washington, DC: US Department of Health, Education, and Welfare, Office of Education. Gordon, W., Lokisso, A. & Allen, J. (1997). Enhancing the effectiveness of single teacher schools and multi-grade classes. Norway: Royal Ministry of Education Research and Church Affairs. Huang, D. (2003). A Comparative Study of School Management System in China and West. 1994-2011 China Academic Journal Electronic Publishing House. [In Chinese] Jones, C. O. (1984). An Introduction to the Study of Public Policy. Monterey, CA: Brooks/Cole Publishing. Lei, W. P. & Zhang, X. Y. (2011). Discussion on Classification Development Policy of Rural Small-scale Schools. The Journal of Educational Research and Experiment, 21(6), 7-11. Lei, W. P. & Zhang, X. Y. (2014). Investigation on Resource Allocation and Operating mechanism of rural small-scale schools. People’s Education, 64(6), 29-32. [in Chinese] Merriam-Webster Dictionary. (n.d.). Definition of decentralization. Retrieved February 17, 2017, from https://www.merriam-webster.com/dictionary/decentralization Murphy, J. (1994). Principles of School-based Management. Carolina, USA: The University of North Carolina Press. Nenyod, B. (2002). School-Based Management: Thai Ways and Methods. Bangkok: Office of the National Education Commission. [in Thai] Office of the Basic Education Commission. (2015). Annual Report 2015. Bangkok: Office of the Basic Education Commission, Ministry of Education of Thailand. [in Thai] Pinyowong, E. (2010). Small-sized school management. Retrieved February 17, 2017, from https:// www.gotoknow.org/posts/343990 [in Thai] Sasithorn, L. (2015). Managing small schools by combining small schools into groups, under the Krabi primary education service area office. Master of Education Degree in Administration, Hatyai University. Sigsworth, A. & Solstad, K. J. (2001). Making small-sized schools work: A Handbook for Teachers in Small Rural Schools. UNESCO, International Institute for Capacity Building in Africa. The Free Dictionary. (n.d.). Definition of decentralization. Retrieved February 20, 2017, from http:// www.thefreedictionary.com/decentralization The Rural School and Community Trust. (2003). School Size: Research Based Conclusions. The Rural School and Community Trust. Retrieved February 13, 2017, from http://www. ruraledu.org/articles.php?id=2038 ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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Upper Secondary Education Bureau of Thailand. (2011). Guidelines of budgeting and management of budgeting of Secondary Education Services Area Office. Retrieved December 20, 2016, from https://www.sesao1.go.th/media/files/budget.pdf Zhang, X. (2012). A Policy Study on Rural Small Schools Development. Central China Normal University. [in Chinese]

Name and Surname: Xiuzhen Yin Highest Education: Master Degree of Public Administration, Khon Kaen University University or Agency: College of Local Administration, Khon Kaen University Field of Expertise: Language & Education Address: No.74, Shui Nan Rd., Dong Shan, Shang You, Gan Zhou, Jiang Xi, China Name and Surname: Pennee Kantavong Narot Highest Education: Ph.D. International and Development Education, University of Pittsburgh, U.S.A. University or Agency: College of Local Administration, Khon Kaen University Field of Expertise: Adult / Non formal education, Inclusive education Address: 123 College of Local Administration, Khon Kaen University, Khon Kaen 40002

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VEHICLE ROUTING FOR BLOOD PRODUCT DELIVERY การจัดเส้นทางขนส่งผลิตภัณฑ์เลือด Nannapat Taweeugsornpun1 and Morrakot Raweewan2 1,2School of Management Technology, Sirindhorn International Institute of Technology (SIIT), Thammasat University

Abstract

This study examines a real life case from a third-party logistics service provider using vehicles to substitute for hospital ambulances. The vehicle routes of blood product delivery are designed with the primary goal to minimize travel time from the National Blood Center (NBC) to hospitals. Each vehicle starts from the NBC and performs a tour on a designed route. Hospitals in the service system are located in the Bangkok metropolitan area, and also in other provinces having an airport nearby. For the latter group, the delivery is dropped off at Don Mueang International Airport and shipped to a destination airport. Integer programming is employed and coded in IBM ILOG CPLEX. Units of blood products are relatively small, compared to the capacity of vehicles. Thus, a change in hospital demand does not affect a route. Sensitivity analysis is studied only on the length of stay. A solution methodology is tested on real data obtained from past activities. The result recommends a maximum time for length of stay at a hospital in order to obtain an optimal solution. A time reduction from the maximum length of stay does not affect the delivery pattern. Keywords: Vehicle routing problem, Transportation and handling, Blood and blood products

Corresponding Author E-mail: morrakot@siit.tu.ac.th

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บทคัดย่อ

บทความนี้นำ� เสนอการออกแบบเส้นทางจัดส่งเลือดและผลิตภัณฑ์เลือด โดยมีวัตถุประสงค์หลักเพื่อใช้เวลา ในการจัดส่งให้น้อยที่สุด การจัดส่งจากศูนย์บริการโลหิตแห่งชาติไปยังโรงพยาบาลต่างๆ ให้บริการโดยบริษัทขนส่ง 3PL เอกชนที่น�ำพาหนะมาทดแทนรถฉุกเฉินของโรงพยาบาล โรงพยาบาลที่เป็นลูกค้าอยู่ในกรุงเทพและปริมณฑล หรือเป็นโรงพยาบาลในต่างจังหวัดทีอ่ ยูใ่ กล้สนามบิน ซึง่ เลือดและผลิตภัณฑ์เลือดส�ำหรับโรงพยาบาลในกลุม่ สุดท้ายนี้ จะน�ำส่งที่สนามบินนานาชาติดอนเมืองไปยังสนามบินปลายทาง การศึกษานี้ใช้แบบจ�ำลอง integer programming และโปรแกรม IBM ILOG CPLEX เพือ่ หาค�ำตอบเส้นทางน�ำส่ง ขนาดบรรจุของผลิตภัณฑ์เลือดมีขนาดเล็กมากเมือ่ เทียบ กับขนาดของรถทีใ่ ช้เพือ่ การขนส่ง ท�ำให้เมือ่ มีการเปลีย่ นแปลงความต้องการเลือดจะไม่สง่ ผลกระทบต่อเส้นทางจัดส่ง ที่ออกแบบไว้ ดังนั้นการวิเคราะห์ความอ่อนไหว (sensitivity analysis) จึงไม่รวมการเปลี่ยนแปลงความต้องการ ผลิตภัณฑ์เลือดและศึกษาเฉพาะผลกระทบของเวลาที่รถขนส่งจอดเพื่อให้บริการ ณ โรงพยาบาล (length of stay) แบบจ�ำลองนี้ได้ทดสอบกับข้อมูลจริงจากบริษัท 3PL ที่ให้บริการอยู่ในปัจจุบัน ผลการศึกษาแนะน�ำค่าระยะเวลา length of stay ในการให้บริการและการลดเวลานี้ไม่มีผลกระทบต่อเส้นทางการจัดส่ง ค�ำส�ำคัญ: ปัญหาการจัดเส้นทางการขนส่ง การขนส่งและการจัดการ เลือดและผลิตภัณฑ์เลือด

Introduction

Blood not only saves the lives of accident victims, but also is needed for patients being treated for: cancer, orthopedic surgeries, organ and marrow transplants, cardiovascular surgeries, or inherited blood disorders. Blood cannot be manufactured outside a human body. It is usually drawn as whole blood. One unit of whole blood can be divided into four different blood products/components: red blood cells (RBCs), white blood cells, platelets, and plasma. Different blood products are used differently. The Health Sciences Authority of the Singapore Government (2016) presents the usage of blood products as follows. Whole blood is used when patients have rapid and massive blood loss, like in accidents or during surgery. RBCs are used in the treatment of anemia or replacing loss of RBCs in accidents or during surgery or childbirth. Platelets are needed in

treatments for dengue, leukemia, and cancer patients. Fresh frozen plasma replaces clotting factors which may be depleted in bleeding or infection. Lastly, even though white blood cells are useful, they are not usually used for transfusions as they become unfit to use after 24 hours. The general process of a blood product supply chain is illustrated in Figure 1. It starts from blood collection from volunteer donors at a blood center or a mobile unit. Blood then goes through a rigorous screening process to reduce the risk of transmission of infectious diseases, including HIV and viral hepatitis. After complying with rules and regulations, units from donors are tested and stored or extracted before storage at a blood center. Hospitals place an order to a blood center according to a schedule of medical operations. Prior to a blood transfusion, a crossmatch test is performed to

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make sure that a patient’s blood is compatible with a donor’s blood. Our study focuses on the daily distribution between a national blood center and hospitals, to transport blood products for prescheduled operations. In Thailand, hospitals usually use an ambulance to pick up blood products at the National Blood Center (NBC) of the Thai Red Cross. However, an ambulance is a vehicle specially equipped for taking sick or

injured people to and from a hospital, especially in emergencies. Therefore, an ambulance should be utilized for such a purpose. This gives an opportunity to 3PL service providers to use vehicles to substitute for ambulances in a distribution system so that ambulances will be better utilized in emergencies. Distribution of blood products is illustrated in Figure 2.

Figure 1 Supply chain of blood products (adapted from Gunpinar & Centeno, 2015)

Figure 2 3PL-service vehicles substituting for ambulances in blood distribution Our case study is a real case from the 3PL company. A hospital places an order to the system. The order’s information consists of blood product type, units of blood product, and a pickup date at the NBC. The 3PL company then collects the orders, sorts by the pickup date, and designs routes to a number of hospitals

(customers) with a fleet of vehicles. The optimal tour used by the group of vehicles needs to be determined. This vehicle routing problem (VRP) is formulated using integer programming with the primary objective to minimize the travel time from the NBC to hospitals. A solution determines the number of vehicles, route,

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sequence of delivery, and the length of stay at each stop. While most of the past literature in blood transportation seeks the routing for a mobile blood donation system to collect blood from donation sites, our study presents routes to transport blood products to hospitals, used by a 3PL service provider.

Problem definition and related literature

Problem definition This is a real case study from a transportation service company in the healthcare industry. Hospitals can place orders 24 hours a day in the 3PL-company system. The orders are collected for the first round at 5 A.M. If there is an order, a vehicle is sent to a queue at the NBC. Orders are collected again at 8.15 A.M. Routes are then designed for delivery. Blood products released from the NBC are packed in a temperature-controlled transport container for the designed route and leave the NBC at 9 A.M. A vehicle must deliver blood products to hospitals no later than 2 P.M. Thus, the total working time on each route is five hours. Although, there is no strict delivery time window at each hospital, a single deterministic 5-hour time constraint is used. When the last order on a route is delivered, a vehicle is not required to come back to the NBC. Therefore, the total time is when a vehicle leaves the NBC at 9 A.M. until the last delivery arrives at the last hospital. The total time on a route consists of two metrics: 1) accumulated travel time from one location to another location until the last delivery reaches the hospital, and 2) the length of stay

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accumulated from each hospital, except at the last hospital because the accumulated time is cut off when the last delivery arrives at the last hospital. The hospitals using the service are mostly located in the Bangkok metropolitan area. These orders are delivered by vehicles. Some hospitals in the system are located far from Bangkok, such as in Phisanulok. In this case, the blood products are dropped off by a vehicle at a selected airline at Don Mueang International Airport. This delivery is set as the first stop on a route after a vehicle leaves the NBC, in order to manage the operating time, to ensure that blood products reach the destination in good quality and fit for use. Two vehicles are assigned to the system. Notice from Figures 3 and 4 that units of blood products are relatively small compared to the capacity of vehicles. Some countries like the UK use motorcycles to deliver blood products, displayed in Figure 5. In our study, the NBC is the only depot in the distribution system. For a single depot VRP, all vehicles must start from the origin or depot and end at the same location, with a distance dependent objective function (Braekers, Ramaekers & Nieuwenhuyse, 2016). Our study is different from the traditional VRP in three aspects. First, all vehicles start from the NBC (depot), but cannot come back to the NBC. They come back to a company. The company is located near the NBC. Hence, we use the NBC as the origin and a destination. Second, the total operating time accumulates when a vehicle departs the NBC until the last order arrives at the last hospital on the route. Therefore,

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the length of stay at the last hospital, and the travel time from the last hospital coming back to the NBC, are excluded in the total time. Third, the road and traffic conditions in Bangkok

are a big issue. Hence, decision making is more sensitive to time than distance, and the model objective uses time dependence, not distance dependence.

Figure 3 Vehicle assigned to transport blood products. Image from Transpeed Co., Ltd

Figure 4 Blood products released from NBC, packed in a temperature-controlled transport container. Image from Transpeed Co., Ltd

Figure 5 Blood runner or blood bike emergency vehicle in UK (The Rider’s Digest, 2013) ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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Related literature

Transportation of blood products is unique as blood is fragile and should be handled with care. Knowledge about blood handling and transportation helps to maintain the quality of blood. Concepts of blood anticoagulation and preservation, as well as storage and transportation can be found in Hardwick (2008a) and Hardwick (2008b). Beliën & Forcé (2012) presented trends in supply chain management of blood products, including routing decisions for a delivery pattern. However, most of the past related literature applies vehicle routing for blood collection, and a mobile blood donation system (Rabbani, Aghabegloo & Farrokhi-Asl, 2016; Şahinazan, Kara & Taner, 2015; Ozener & Ekici, 2011; Yi & Scheller-Wolf, 2003). Şahinazan, Kara & Taner (2015) and Ozener & Ekici (2011) studied the maximum blood collection problem – a vehicle collects blood from mobile sites on an optimal route and comes back to the depot. Similarly, Rabbani, Aghabegloo & Farrokhi-Asl (2016) also adopted vehicle routing in finding the optimal blood mobile location while minimizing the cost, as well as maintaining the level or potential of blood collection. Yi & Scheller-Wolf (2003) presented vehicle routing with time windows and a time-dependent reward to enhance the bring-back-operation of the American Red Cross. Sukaboon & Pathomsiri (2011), Bodhipundit & Pathomsiri (2011), and Pathomsiri & Sukaboon (2013) studied blood distribution in Thailand. Sukaboon & Pathomsiri (2011) used the Saving Algorithm to determine routes of blood distri-

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bution in the Bangkok metropolitan region, assuming that vehicles are operated by the NBC. Bodhipundit & Pathomsiri (2011) surveyed modes of blood distribution in Thailand and the associated costs. Pathomsiri & Sukaboon (2013) extended Sukaboon & Pathomsiri (2011) and used a cost effective approach to determine a fair price of delivery. Our work is similar to Sukaboon & Pathomsiri (2011) and Pathomsiri & Sukaboon (2013), but without cost analysis. Our model uses integer programming to determine the exact solution, to design the delivery routes. There are several types of VRP mathematical models. Braekers, Ramaekers & Nieuwenhuyse (2016), De Jaegere, Defraeye & Van Nieuwenhuyse (2015), and Eksioglu, Vural & Reisman (2009) offered a state of the art and intensive review on VRP. Examples of capacitated VRP without time windows can be seen in Chandran & Raghavan (2008), Caric & Gold (2008), and Kumar & Panneerselvam (2012).

Model development

The number of hospitals can be expressed as N = {1, 2,.., n}. The vehicles travel from hospital i to hospital j with different time tij where i,j ∈ n and i ≠ j. Let qi be the quantity of blood product required by hospital i where i ∈ N, and i = 1 means that hospital i is the origin (i.e. the NBC), and its demand is always zero. If tij = tji, this is called symmetrical VRP. If tij ≠ tji, this is called unsymmetrical VRP. Our case study is unsymmetrical VRP. Time from hospital i to hospital j is not equal to the time

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from hospital j to hospital i because of road patterns (such as one-way, two-way) and traffic conditions. Travel time from hospital i to hospital j is different than from hospital j to hospital i. Therefore, tij ≠ tji. A vehicle starts from the origin or i = 1, and travels for a delivery to hospital j. Suppose we have v vehicles, which K = {1, 2,…, v} and the kth vehicle has its own visited nodes and capacity. Let the capacity of vehicle k be ak. Indices: i, j Hospital i or j and i, j ∈ n, N = {1, …, n} k Vehicle k, k ∈ K, K = {1, …, v} Parameters: n Number of nodes qi Demand of blood products required by hospital i ak Capacity of vehicle k r Maximum route time (r = 300 minutes) tij Travel time from customer i to customer j fi Length of stay at hospital i Uik Variable used to avoid subtours, which can be interpreted as the accumulation of demand of vehicle k at node i Decision variables: Xijk = 1 if vehicle k travels from node i to node j, 0 otherwise Yik = 1 if vehicle k serves hospital i, 0 otherwise The minimum-time VRP model is described below. Minimize (1)

Subject to

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11) (12) (13)

(14)

Objective function (1) is intended to minimize the total time from hospital i to hospital j by vehicle k. As mentioned before, the total time is the accumulated travel time plus the accumulated length of stay. The travel time

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from the last hospital to the NBC and the length of stay at the last hospital are excluded from the total time. This means that the time from any hospital i to the NBC (j = 1) or tij is not included so j = 1 is excluded, and j is from 2 to n. Constraint (2) is the guarantee that the vehicles begin at the origin. Constraint (3) makes the routes end at the origin, assuming that the NBC and company locations are the same. Recall that vehicles come back to the company, but the company is located close to the NBC. Constraint (4) guarantees that one of the vehicles travels from the NBC to Node 4 (Don Mueang International Airport). This is to send blood products by plane to hospitals located in other provinces having an airport nearby. Constraint (5) guarantees that once a vehicle services a node, it will leave that node and proceed to another destination. Constraint (6) is the condition that a node will be serviced exactly one time. Constraint (7) ensures that the total demand from every node in the route will not exceed the vehicle capacity. Constraint (8) is the condition that when vehicle k is traveling to node i, this is only possible when vehicle k travels to node i from the path of one particular j. Constraint (9) ensures that the vehicles travel from nodes i to j, and node i is not equal to node j. That is, i and j must be different hospitals. Constraint (10) guarantees that the total route time of each vehicle will not exceed 300 minutes (or five hours). As mentioned before, the length of stay of the last hospital and the travel time from the last hospital are excluded; therefore, j = 2, 3,…, n. Constraints (11)-(13) prevent the

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occurrence of a subtour. Finally, constraint (14) defines the binary decision variables.

Data

The current service has 10 hospitals in the system. Table 1 shows the numbers and names of all nodes. The first node is the NBC, which is the origin. All locations are also geographically illustrated on the map in Figure 6. Travel times between locations are collected using Google Maps. A travel time is collected every 30 minutes from 9 A.M. to 2 P.M. for five working days. After that, the data is gathered and calculated to find the average time from one node to another. A coefficient of variation (CV) of those times is calculated. Since the CVs are low, the average time represents the travel time between locations, as shown in Table 2. Table 1 List of locations Index Name 1 NBC, Thai Red Cross (the origin) 2 Hospital 1 3 Hospital 2 4 Don Mueang International Airport, drop off location for Hospital 3, located in another province, having an airport nearby 5 Hospital 4 6 Hospital 5 7 Hospital 6 8 Hospital 7 9 Hospital 8 10 Hospital 9 11 Hospital 10

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Figure 6 Locations on Google Maps Table 2 Travel time between locations (minutes) i/j 1 2 3 4 5 6 7 8 9 10 11

1 0 62.90 55.28 39.94 69.96 53.38 57.48 52.28 49.34 56.34 30.20

2 49.34 0 1.96 41.52 98.32 65.20 89.30 88.40 54.92 62.24 58.64

3 50.56 3.62 0 41.14 96.16 66.61 91.20 87.98 53.60 63.96 59.88

4 63.08 60.14 46.68 0 122.72 109.00 71.40 45.18 13.80 33.20 43.38

5 58.04 98.78 91.14 64.04 0 17.12 30.36 50.10 68.68 61.50 51.30

Numerical result and sensitivity analysis This section presents the optimal results of the base case and the sensitivity analysis. 30 minutes for length of stay at each hospital with two vehicles From the company report, the average time for the length of stay at a hospital is

6 47.52 89.14 82.22 60.58 23.48 0 32.12 35.34 63.12 55.76 37.74

7 49.96 91.10 85.34 69.22 39.16 33.80 0 37.14 77.48 76.62 38.50

8 32.96 77.04 68.48 51.44 52.70 30.30 32.18 0 60.76 55.32 20.12

9 40.10 53.68 55.76 19.64 70.34 49.83 83.56 74.18 0 34.24 52.20

10 43.78 65.22 58.84 36.46 57.82 48.10 70.94 59.54 28.36 0 41.10

11 22.06 62.58 56.46 43.38 43.58 41.44 42.10 31.00 54.38 56.40 0

30 minutes. The result from the mathematical model supports this information. When the length of stay exceeds 30 minutes, there is no optimal solution. The 30-minute length of stay yields two routes. Table 3 and Figure 7 show the optimal result. A vehicle on Route 1 starts from the NBC. Then, it travels to the airport

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and Hospitals 8, 9, 1, and 2. The other vehicle on Route 2 starts from the NBC. Then, it travels to Hospitals 10, 7, 6, 5, and 4. The total route time is the summation of the total travel time and the total length of stay. The operating time from 9 A.M. to 2 P.M. is 300 minutes. When a vehicle arrives at the last hospital, the delivery arrives, and the accumulated total time is stopped. Therefore, the travel time from the last hospital coming back to the NBC, and the length of stay at the last hospital, are not included in the total time. The result shows that the travel times on Route 1 and Route 2 are 176.94 and 128.56

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minutes, respectively. The total length of stay is accumulated from the first four hospitals (the length of stay at the last hospital is excluded.). Thus, the total length of stay is 4*(length of stay), which is 4*30 or 120 minutes. Hence, the total time for Routes 1 and 2 are 296.94 and 248.56, respectively. Notice that the remaining allowed times on Routes 1 and 2 are 3.06 and 51.44 minutes, respectively. This means that a vehicle on Route 1 almost reaches the length of stay constraint, thus, a 30-minute length of stay is strictly employed at each stop.

Table 3 Optimal result Route Route 1: 1, 4, 9, 10, 2, 3 Route 2: 1, 11, 8, 7, 6, 5

Total travel time Total length of stay Total route time (min) (min) (min) 176.94 120 (or 4*30) 296.94 128.56 120 (or 4*30) 248.56

Figure 7 Optimal routes for two vehicles with 30-minute length of stay ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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30 minutes or less for length of stay at hospital with two vehicles Further calculation is carried out using a length of stay of less than 30 minutes. The result shows that the accumulated travel times for Routes 1 and 2 are equal to the times in the base case, and the sequence of delivery is unchanged. This means that the time reduction for the length of stay does not affect the delivery pattern.

30 minutes or less for length of stay at hospital with two vehicles and various hospital demands We found that changes in the hospital demand do not affect the pattern of the optimal routes. This is because units of blood products are relatively small. This makes accumulative demand relatively small, compared to vehicle capacity. Thus, the demand in this case study does not affect the delivery pattern.

Table 4 Optimal result Total travel time on R1 Total length of stay = 4 Length of stay at each and R2 from NBC to the stops*length of stay hospital last hospital (min) (min) 30 min (The base case) R1: 176.94 120 R2: 128.56 120 29 min R1: 176.94 116 R2: 128.56 116 28 min R1: 176.94 112 R2: 128.56 112 27 min R1: 176.94 108 R2: 128.56 108 26 min R1: 176.94 104 R2: 128.56 104 25 min R1: 176.94 100 R2: 128.56 100 24 min R1: 176.94 96 R2: 128.56 96 23 min R1: 176.94 92 R2: 128.56 92 21 min R1: 176.94 84 R2: 128.56 84 20 min R1: 176.94 80 R2: 128.56 80

Total route time (min) 296.94 248.56 292.94 244.56 288.94 240.56 284.94 236.56 280.94 232.56 276.94 228.56 272.94 224.56 268.94 220.56 260.94 212.56 256.94 208.56

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Conclusion

This paper solves a Vehicle Routing Problem (VRP) to cope with transportation for blood product delivery from the NBC to hospitals. Two vehicles of a 3PL service provider are assigned to substitute for ambulances sent from hospitals. The service provider currently uses two vehicles to serve 10 hospitals. Integer programming is employed to find an exact solution for this real case study. The computation yields optimal results of minimum total time and a sequence of deliveries. The result suggests as follows. First, to obtain an optimal result, the length of stay should not exceed 30 minutes. Second, if the length of stay is more than 30 minutes, an additional vehicle should be added to the system in order to design optimal routes. However, vehicles will have more idle time and not be effectively utilized. Third, a reduction of the length of stay from 30 minutes does not affect the delivery pattern. When using two vehicles, Route 1’s total time almost reaches five hours (the

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maximum time allowed on the route). Therefore, the policy of the 30-minute length of stay should be enforced rigorously. Lastly, an increasing demand for blood products also does not affect the delivery pattern. This is because the size of blood products is significantly smaller than the capacity of vehicles. For further study, more hospitals can be added to the system and the type of vehicle can be changed from a truck to a motorcycle to compare costs and service quality.

Acknowledgement

We would like to express our gratitude to Transpeed Co., Ltd. for providing industry experience and data for this study. We also would like to thank the following students who participated in data collection: Boonsiri Tangupala, Chayut Rojanakat, Kwanfah Arunrerk, Nott Srichannon, Pongsakorn Tantiwetruangdet, Prarattakorn Buranasiri, Rittikeat Mekararut, Thanaphon Arpornrat, and Vudhi Wasuwanich.

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Chandran, B. & Raghavan, S. (2008). Modeling and solving the capacitated vehicle routing problem on trees. In Golden B., Raghavan S., Wasil E. (eds). The Vehicle Routing Problem: Latest Advances and New Challenges. Operations Research/Computer Science Interfaces, vol 43. 239-261, Springer, Boston, MA. De Jaegere, N., Defraeye, M. & Van Nieuwenhuyse, I. (2015). The vehicle routing problem: State of the art classification and review, KU Leuven. Faculty of Economics and Business, 1-30. Eksioglu, B., Vural, A. V. & Reisman, A. (2009). The vehicle routing problem: A taxonomic review. Computer & Industrial Engineering, 57, 1472-1483. Gunpinar, S. & Centeno, G. (2015). Stochastic integer programming models for reducing wastages and shortages of blood products at hospitals. Computers & Operations Research, 54, 129-141. Hardwick, J. (2008a). Blood processing. ISBT Science Series, 3, 148-176. Hardwick, J. (2008b). Blood storage and transportation. ISBT Science Series, 3, 177-196. Health Sciences Authority of Singapore Government. (2016). Blood Components and their uses. Retrieved May 8, 2017, from www.hsa.gov.sg/content/hsa/en/Blood_Services/Blood_Donation/ Why_Should_I_Donate/Blood_Components_and_Their_Uses.html Kumar, S. N. & Panneerselvam, R. (2012). A Survey on the Vehicle Routing Problem and Its Variants. Science Research, (4), 66-74. Ozener, O. O. & Ekici, A. (2011). Vehicle Routing for Blood Collection. Proceeding of the 2011 Industrial Engineering Research Conference. Institute for Industrial Engineers Annual Conference and Expo, May 21-25, Reno, NV. Pathomsiri, S. & Sukaboon P. (2013). Determination of a fair price for blood transportation by applying the vehicle routing problem: A case for National Blood Center, Thailand. International Journal of Social, Behavioral, Educational, Economic, Business and Industrial Engineering, 7(2), 452-457. Rabbani, M., Aghabegloo, M. & Farrokhi-Asl, H. (2016). Solving a bi-objective mathematical programming model for bloodmobiles location routing problem. International Journal of Industrial Engineering Computations, 8(1), 19-32. Şahinazan, F. G., Kara, B. Y. & Taner, M. R. (2015). Selective vehicle routing for a mobile blood donation system. European Journal of Operational Research, 245, 22-34. Sukaboon, P. & Pathomsiri S. (2011). Routing of blood distribution in Bangkok metropolitan region: A case study for the National Blood Center, Thai Red Cross Society. Proceeding of IE Network Conference, 20-21 October 2011. Pattaya, Chonburi. 1543-1547. [in Thai] The Rider’s Digest. (2013). Blood Runner 182. Retrieved May 8, 2017, from www.theridersdigest. co.uk/blood-runner-2/ Yi, J. & Scheller-Wolf, A. (2003). Vehicle routing with time windows and time-dependent rewards: A problem from the American Red Cross. Manufacturing & Service Operations Management, 5(1), 74-77. ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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Name and Surname: Nannapat Taweeugsornpun Highest Education: B.Sc. in Engineering Management, Thammasat University University or Agency: Thammasat University Field of Expertise: Engineering Management Address: School of Management Technology, Sirindhorn International Institute of Technology (SIIT), Thammasat University Name and Surname: Morrakot Raweewan Highest Education: Ph.D. (Industrial Engineering), Clemson University, USA University or Agency: Thammasat University Field of Expertise: Analysis of Supply Chain Models, Simulation Modeling, Applied Optimization Address: School of Management Technology, Sirindhorn International Institute of Technology (SIIT), Thammasat University

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MATHEMATICAL MODEL FOR MULTIPLE PRODUCTS ALLOCATION OF A DISTRIBUTION NETWORK แบบจ�ำลองคณิตศาสตร์สำ� หรับการจัดสรรสินค้าหลายชนิดของเครือข่ายกระจายสินค้า Le Thi Diem Chau1 Jirachai Buddhakulsomsiri2 and Aussadavut Dumrongsiri3 1,2School of Manufacturing Systems and Mechanical Engineering, Sirindhorn International Institute of Technology, Thammasat University 3School of Management Technology, Sirindhorn International Institute of Technology, Thammasat University

Abstract

This paper involves a mathematical model of a multiple product allocation problem for a distribution network in Thailand. The distribution network includes four members: one factory, one internal warehouse, three external warehouses, and many customers. The problem considers multiple products, differentiated by quality level, package, and product movement, in multiple periods, with two shipment methods, and deterministic demand. The objective is to find optimal product allocation to multiple warehouses in the distribution network so as to minimize the total cost of transportation and warehouse. A linear programming model was developed to solve the problem. Keywords: Distribution network, Optimal product allocation, Linear programming

บทคัดย่อ

บทความวิจยั นีน้ ำ� เสนอแบบจ�ำลองคณิตศาสตร์สำ� หรับการจัดสรรสินค้าทีม่ หี ลายประเภทในเครือข่ายกระจาย สินค้าเครือข่ายหนึ่งในประเทศไทย ซึ่งประกอบด้วยโรงงานผู้ผลิตสินค้า คลังสินค้าที่ตั้งอยู่ในเขตโรงงาน คลังสินค้า ภายนอกที่ทางโรงงานเช่าเพื่อใช้จัดเก็บสินค้าส่วนเกิน 3 แห่ง และลูกค้าในจังหวัดต่างๆ ปัญหาการจัดสรรสินค้า เพื่อจัดเก็บในคลังสินค้าต่างๆ ของบทความวิจัยนี้มีลักษณะคือ พิจารณาสินค้าหลายชนิดที่มีความแตกต่างกัน โดยระดับคุณภาพของสินค้า บรรจุภณ ั ฑ์ และอัตราการเคลือ่ นไหวของสินค้า ท�ำการแก้ปญ ั หาส�ำหรับหลายช่วงเวลา (ปี) รวมถึงการกระจายสินค้า 2 วิธี คือ ส่งสินค้าจากคลังสินค้าของโรงงานถึงลูกค้าโดยตรง และส่งสินค้าที่มีการจัดเก็บ ในคลังสินค้าเช่าภายนอก โดยใช้คา่ ประมาณความต้องการสินค้าของลูกค้าต่อปีเป็นค่าคงที่ วัตถุประสงค์การแก้ปญ ั หา คือ เพื่อหาการจัดสรรสินค้าที่เหมาะสมที่สุดส�ำหรับการจัดเก็บสินค้าหลากหลายในคลังสินค้าทั้ง 4 แห่งในเครือข่าย Corresponding Author E-mail: jirachai@siit.tu.ac.th

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การกระจายสินค้านี้ ทีจ่ ะท�ำให้ตน้ ทุนการกระจายสินค้าซึง่ ประกอบด้วยค่าขนส่งและค่าจัดการคลังสินค้ามีคา่ ต�ำ่ ทีส่ ดุ ซึ่งแบบจ�ำลองเชิงเส้นได้ถูกพัฒนาขึ้นเพื่อใช้ในการแก้ปัญหาดังกล่าว ค�ำส�ำคัญ: เครือข่ายกระจายสินค้า การจัดสรรสินค้าที่เหมาะสมที่สุด แบบจ�ำลองเชิงเส้น

Introduction

Product distribution in a supply chain is an importation operation in today business’ intense competition. One of the key decisions is product allocation in a distribution network, which affects its competiveness because proper allocation leads to efficiency in satisfying customer demand Chopra (2003). This study involves a case study of designing a distribution network of a company in Thailand. The network structure is shown in Figure 1.

Figure 1 Distribution network Figure 1 illustrates the network under study, which consists of one factory, one internal warehouse, three external warehouses and many customers, domestic and oversea. The factory has a production capacity of 250,000 mt per year, and has its dedicated internal warehouse with storage capacity of 20,000 mt. Due to the limited

capacity of the internal warehouse, the company currently uses three externally rent warehouses, two small (located closer to the factory) and one large, all of which charge storage cost on a per unit per period basis. Customers can be divided into domestic customers in more than fourty provinces of Thailand and a group of oversea customers, whose delivery destination is the largest seaport of Thailand. Products vary by level of quality and are packed in six different package sizes and types. There is a total of 91 products resulting from unique combinations of quality level and package type. Customer demands can be satisfied by direct shipment from the internal warehouse or by inventories stored at the external warehouses, which require product to be transferred from internal to external warehouses. Future customer demand mixes between domestic and oversea are forecasted for a period of three years, from 2018 to 2020 (Figure 2). As seen from the figure, domestic demands are expected to slightly increase for the next two years (2018-2019), and grow in the third year (2020). In contrast, oversea demands are forecasted to decrease slightly for the next few years (2018-2019), and decrease relatively higher in the third year (2020).

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

Figure 2 Customer demand Product movement is simply divided into fast moving and slow moving. Table 1 shows the number of SKUs and average inventory days of the products. Table 1 Average inventory days of fast and slow moving product Factory No. of SKU 12 Fast moving Avg. Inv. Day 10.5 No. of SKU 79 Slow moving Avg. Inv. Day 53.8 The warehouse operations, both internal and external, include packaging, inbound loading and unloading with forklift or labor, putaway, storage, retrieval, and outbound loading and unloading. At internal warehouses, all products are delivered from factory for packaging first, Then, products are either stored at the internal warehouse, or transferred to one of the external warehouses. For transferred products, they will be packed, wrapped, and loaded before transferring. The products to be delivered to the customers, at both internal and external warehouses, are retrieved from storage, picked,

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wrapped, load and unload on to delivery trucks. There are three types of storages that require different storage areas in the warehouses: normal package and large package are block stacked in conventional storage areas, and some special products are kept in tent. Products and storage areas are preassigned according to the product quality level, package type, and value. These storage types must be taken into account, when considering the warehouse capacity. There are six modes of transportation: two types of 10-wheel trucks, two types (sizes) of 18-wheel trucks, bulk truck, and pipe. They are used to deliver products from factory to warehouses (pipe and 10-wheel truck), from warehouses to domestic customers (bulk truck and 10-wheel trucks), and from warehouses to oversea customers (18-wheel trucks). To efficiently meet future customer demand, an important decision is to find optimal product allocation in this network: from factory to each warehouse and from each warehouse to the customers. The objective is to minimize the total cost, consisting of transportation and warehouse costs, over the period of planning horizon. A mixed integer linear programming (MILP) model is developed to find optimal solution of this problem.

Literature review

The network design problems have been studied in the past few decades because of its importance in satisfying customer demand. Table 2 summarizes the decisions and problem characteristics of these studies.

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Table 2 Characteristics of the recent relevant studies

Wu, Zhang & Zhang (2006) Tuzkaya & Onut (2009) Sourirajan, Ozsen & Uzsoy (2009) Conceição et al. (2012) Askin, Baffo & Xia (2014) Hlayl et al. (2015) Shankar et al. (2013) This study

✓

U 1

✓

U >1

✓

U 1

Mathematical model

✓

D 1

✓

4 4

No. of SC echelos Product allocation No. of product (s) Direct shipment Throung D.C Demand No. of period(s)

Study

period, and deterministic demand in Hlyal et al. (2015) and Shankar et al. (2013); (2) single product, single period uncertain demand in Wu, Zhang & Zhang (2006) and Sourirajan, Ozsen & Uzsoy (2009); (3) multiple product, single period, and deterministic demand in Conceição et al. (2012); (4) multiple products, single period, and uncertain demand in Askin, Baffo & Xia (2014); and (5) multiple products, multiple periods, and uncertain demand in Tuzkaya & Onut (2009).

✓

U 1

✓

D 1

✓

D 1

✓

D 3

✓

Note: U denotes uncertain demand, D denotes deterministic demand In the previous studies, the number of supply chain echelons ranges from two to four members and a decision of product allocation appeared in all of them. There are some different characteristics of the relevant studies. In all studies, products are distributed through distribution center (DC), except Conceição et al. (2012). Various distribution network problems can be grouped into (1) a single product, single

Some notations are used for the mathematical formulation of model. Sets p : product, which are defined uniquely by quality level and package type. e : external warehouse. o : oversea customer. d : domestic customer. t : time period. m : transportation mode. opi : operations in internal warehouse. ope : operations in external warehouse. opt : operations for transferring products from internal warehouse to external warehouses. k : storage type. MIO = {5, 6}: Transportation mode set from internal warehouse to oversea customers. MEO = {5, 6}: Transportation mode set from external warehouses to oversea customers. MID = {2, 3, 4}: Transportation modes from internal warehouse to domestic customers.

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

MED = {2, 3}: Transportation modes from external warehouses to domestic customers. MDD = MID ∪ MED : Transportation modes from internal or external warehouses to domestic customers. MOD = MIO ∪ MEO : Transportation modes from internal or external warehouses to oversea customers. P = {1, 2, 3, .., 91}: All product set. T = {1, 2, 3}: Time period set. E = {1, 2, 3}: External warehouse set D = {1, 2, 3, .., 44}: domestic customer set. A = {1, 2, 3,.., 8}: all warehousing operation set at internal warehouse. B = {3, 5, 6, 9, 10, 11}: all warehousing operation set at external warehouses. C = {1, 4, 5, 6, 10}: all warehousing operation set of transferring from internal warehouses to external warehouses. K = {1, 2, 3}: storage type set. Parameters CFIt : Unit transportation cost from factory to internal warehouse in period t. CIEe,t : Unit transportation cost from internal warehouse to external warehouse e in period t. CIOm,t : Unit transportation cost from internal warehouse to oversea customer using mode m in period t. CEOe,m,t : Unit transportation cost from external warehouse e to oversea customer using mode m in period t. CIDd,m,t : Unit transportation cost from internal warehouse to domestic customer d using mode m in period t.

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CEDe,d,m,t : Unit transportation cost from external warehouse e to domestic customer d using mode m in period t. Copi : Unit cost of performing all warehousing operations for products stored at internal warehouse. Cope,e : Unit cost of performing all warehousing operations for products stored at external warehouse e. Copt : Unit cost of performing all warehousing operations of for products transferred from internal warehouse to external warehouse e. CAPe,k : Warehouse capacity at external warehouse. CAPIk : Warehouse capacity at internal warehouse. Ip : Inventory day of product p. DDd,p,m,t : Domestic customer d demand of product p using mode m in period t. ODp,m,t : Oversea customer demand of product p using mode m in period t. FCapp,t : Amount of products p supplied from factory in period t. Decision variable XFIp,t : Flow of product p from factory to internal warehouse in period t. XIEe,p,t : Flow of product p from internal warehouse to external warehouse e in period t. XIOm,p,t : Flow of product p from internal warehouse to oversea customers using mode m in period t. XEOe,m,p,t : Flow of product p from external warehouse e to oversea customers using mode m in period t.

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XIDd,m,p,t : Flow of product p from internal warehouse to domestic customers d using mode m in period t. XEDe,d,m,p,t : Flow of product p from external warehouse e to domestic customers d using mode m in period t. Yp,t : Amount of products p stored at internal warehouse in period t. Ye,p,t : Amount of products p stored at external warehouse e in period t. Zp,t : Amount of products p transferred from internal warehouse in period t. Sk,t : Total storage space of storage type k at internal warehouse in period t. S,e,k,t : Total storage space of storage type k at external warehouse e in period t. Mathematical model Minimize:

(1)

Subject to: (2) (3) (4)

(5) (6) (7) (8) (9) (10) (11) (12) (13) (14) The objective function in Eq.(1) includes the total transportation costs from factory to internal warehouse, then to external warehouses, and from all warehouses to domestic and oversea customers; and the total warehousing costs of 11 activities, ranging from unloading, packaging, putting away to loading, and all types of storage costs. Constraints (2-9) describe the flow balances of the network as follows. Constraints (2) force that the amount of products from factory to internal warehouse must not exceed the factory production capacity. Constraints (3) present the flow balance at internal warehouse that the amount of products that flow in must either be stored at the internal warehouse or transferred to an external warehouse. Constraints (4) relate the flow balance of stored products on the outbound

Panyapiwat Journal Vol.9 Supplementary Issue December 2017

of an internal warehouse that the total amount must be shipped to either domestic or oversea customers. Constraints (5) are the flow balances of transferred products on the outbound at internal warehouse that the products must be shipped to external warehouses. Constraints (6) are the flow balances on the inbound at an external warehouse that the transferred amount must be stored at that external warehouse. Constraints (7) are the flow balances on the outbound of external warehouses that the stored product must either be shipped to domestic or oversea customers. Constraints (8-9) display the flow balances from internal and external warehouses to domestic and oversea customers that the total amount shipped must satisfy the demand of domestic and oversea customers, respectively. Constraints (10-14) relate requirements of storage at warehouses. Constraints (10) force that the total amount of a product stored at both internal warehouse and external warehouses must be equal to the production capacity for that product. Constraints (11-12) compute the total required storage area at the internal warehouses and external warehouses, respectively, by storage type. Constraints (13-14) force that the total storage areas at internal warehouse and external warehouse must not exceed its capacity, respectively, by storage type. The problem contains one factory, one internal warehouse, three external warehouses, 91 products, and three periods. The MILP model

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has 72,920 variables and 10,175 constraints. The model is solved to optimality using CPLEX 12.6.3.0 in GAMS 24.7.3.

Results and discussion

The results show that the total logistics cost in three years is 418.3 million THB, which includes the total transportation cost of 277.0 million THB, and total warehouse cost of 141.3 million THB. Table 3 provides detail of the cost components, and Table 4 contains the optimal product allocation. Table 3 Cost of the network (mil.THB) Total cost (2018-2020): Total transportation cost: - From factory to int. W/H - From int. W/H to ext. W/H’s - From int.W/H to domestic customers - From int.W/H to oversea customers - From ext.W/H’s to domestic customers - From ext. W/H’s to oversea customers Total warehouse cost: - Int. W/H - Ext. W/H’s

418.3 277.0 0 17.7 110.2 63.3 44.3 41.4 141.3 88.1 53.2

Table 4 Fast-slow moving products of facilities Internal External warehouse warehouse E1 E2 E3 Fast moving 50.0% 0.5% - 1.7% Slow moving 14.9% 9.6% 5.9% 17.4% Product

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The internal warehouse capacity is primarily used to store most fast moving items (50% of all product volumes), with the remaining capacity for slow-moving item (14.9% of the total product volumes). For the external warehouses, their capacities are used for slow moving item storage, with small percentage of the remaining fast moving items kept at a small external warehouse (E1) and at the large external warehouse (E3). In addition, with this optimal allocation, the utilizations of the internal warehouse and two small external warehouses (Ext. W/H 1 and Ext. W/H 2) are at 100%. For the other external warehouse (Ext. W/H 3), the utilization of the warehouse cannot be estimated because it is a rented warehouses that are shared with other factories, not included in this network. This indicates that using smaller and closer external warehouses is more cost effective than using the large but farther external warehouse. This implies that the main reason for this product allocation is the transportation cost. The amount of products stored at each facility are presented in Table 5. Note that these amounts only represent the amounts of products that the model recommends to be store at these facilities, i.e. only some products are stored at each facility.

Table 5 Total amount of products stored at each facility Facility Factory: Int. W/H: • Domestic customers • Oversea customers Ext. W/H’s: +Ext. W/H 1: • Domestic customers • Oversea customers +Ext. W/H 2: • Domestic customers • Oversea customers +Ext. W/H 3: • Domestic customers • Oversea customers

Amount (ton) 730,147 474,416 239,080 235,336 255,731 73,609 37,673 35,935 43,190 16,567 26,623 138,932 48,981 89,952

The factory produces 730,147 ton of products that are totally moved to the internal warehouse for packaging. At internal warehouses, only 474,416 tons are stored, and the remaining 255,731 tons are transferred to the external warehouses. For the external warehouses: E1 stores 73,609 ton, E2 43,190 ton, and E3 138,932 tons. The table also provides the amounts at each facility that are distributed to the domestic and oversea customers. At each external warehouse, products are also supplied to domestic and oversea customers.

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Each unique product is a combination of quality level and type (or size) of package. Table 6 shows the number of package types for each product quality level, stored at internal and each external warehouse. For example, the first row of Table 6 indicates that there are two type (or sizes) of packages for product quality level 1. All of them are stored at the internal warehouse and then a part of them are shipped to external warehouse 3. Table 6 Kind of product of facilities Quality level Level 1 Level 2 Level 3 Level 4 Level 5 Level 6 Level 7 Level 8 Level 9 Level 10 Level 11 Level 12 Level 13 Level 14 Level 15 Level 16 Level 17 Level 18 Level 19 Level 20

No. of package type Internal External warehouse warehouse E1 E2 E3 1 1 4 2 3 4 8 1 5 3 1 1 3 1 2 4 3 3 1 4

1 1 1

3 1 2

1 1 1

1 2 8

2 2

1 2

3 1

1 1 1

1 1 1 2 4 2 1

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Table 6 Kind of product of facilities (cont.) Quality level Level 21 Level 22 Level 23 Level 24 Level 25 Level 26 Level 27 Level 28 Level 29 Level 30 Level 31 Level 32 Level 33

No. of package type Internal External warehouse warehouse E1 E2 E3 2 2 3 3 3 8 2 6 3 3 2 1 3 2 1 1 3 2 2 2 2 1 1 1 1 1 1 1 1 1 1

Conclusion

In this paper, we considered the problem of determining the optimal product allocation in a real-world distribution network. The problem is formulated as an MILP model. Solving the model gives a minimal total logistic cost is 418.3 million THB. The optimal solution clearly provides the amount of products in terms of quality level and type of package stored at each warehouse. This model provides an optimal base case scenario for further analysis in the case that a new facility is to be added to the network in the future.

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References

Askin, R. G., Baffo, I. & Xia, M. (2014). Multi-commodity warehouse location and distribution planning with inventory Consideration. International Journal of Production Research, 52(7), 1897-1910. Chopra, S. (2003). Designing the distribution network in a supply chain. Transportation Research Part E: Logistics and Transportation Review, 39(2), 123-140. Conceição, S. V., Pedrosa, L. H. P., Neto, A. S. C., Vinagre, M. & Wolff, E. (2012). The facility location problem in the steel industry: a case study in Latin America. Production Planning & Control, 23(1), 26-46. Hlyal, M., AIT bassou, A., Soulhi, A., El Alami, J. & El Alami, N. (2015). Designing a distribution network using a two level location capacity allocation problem: Formulation and efficient genetic algorithm resolution with an application to a moroccan retail company. Journal of theoretical & applied information technology, 72(2), 294-306. Shankar, B. L., Basavarajappa, S., Chen, J. C. & Kadadevaramath, R. S. (2013). Location and allocation decisions for multi-echelon supply chain network–A multi-objective evolutionary approach. Expert Systems with Applications, 40(2), 551-562. Sourirajan, K., Ozsen, L. & Uzsoy, R. (2009). A genetic algorithm for a single product network design model with lead time and safety stock considerations. European Journal of Operational Research, 197(2), 599-608. Tuzkaya, U. R. & Onut, S. (2009). A Methodology for integration based approach holonic transportation and warehousing functions of the supply network. Computers & Industrial Engineering, 56(2), 708-723. Wu, L. Y., Zhang, X. S. & Zhang, J. L. (2006). Capacitated facility location problem with general setup cost. Computers & Operations Research, 33(5), 1226-1241.

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Name and Surname: Le Thi Diem Chau Highest Education: Master, Sirindhorn International Institute of Technology, Thammasat University University or Agency: Sirindhorn International Institute of Technology, Thammasat University Field of Expertise: Lean manufacturing, quality management, production planning and control, and logistics and supply chain management Address: Sirindhorn International Institute of Technology, Thammasat University, Klongluang, Pathum Thani 12120 Name and Surname: Jirachai Buddhakulsomsiri Highest Education: Ph.D. in Industrial Engineering, Oregon State University, USA University or Agency: Manufacturing Systems and Mechanical Engineering, Sirindhorn International Institute of Technology, Thammasat University Field of Expertise: Applied operations research, data mining, statistical data analysis, discrete event system simulation, production planning and control, and logistics and supply chain management Address: Sirindhorn International Institute of Technology, Thammasat University, Klongluang, Pathum Thani 12120 Name and Surname: Aussadavut Dumrongsiri Highest Education: Ph.D. in Operations Management, the University of Washington, Seattle, WA, USA University or Agency: Management Technology, Sirindhorn International Institute of Technology, Thamasat University, Thailand Field of Expertise: Supply chain management, logistics and optimal pricing Address: Sirindhorn International Institute of Technology, Thammasat University, Klongluang, Pathum Thani 12120

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A VENDOR SELECTION TECHNIQUE BASED ON ANALYTICAL HIERARCHY PROCESS WITH VECTOR ANALYSIS เทคนิคการเลือกผู้จำ� หน่ายโดยการใช้กระบวนการล�ำดับชั้นเชิงวิเคราะห์และการค�ำนวณแบบเวคเตอร์ Manatsanan Aksornkul1 and Taweesak Samanchuen2 1,2Faculty of Engineering, Mahidol University

Abstract

Selection of the right vendor is an important process for business today. Many techniques are reserved for this function. In this work, an improvement of Analytic Hierarchy Process (AHP) with vector analysis technique is proposed for vendor selection process. The proposed technique is evaluated by using a case study of a company based on six criteria to be considered, including price, quality, delivery, productivity, service, and support. Four candidate vendors are applied in this work. The conventional techniques, including AHP and Decision Matrix techniques, are used for comparing with the proposed technique. The experimental results show that the ranking result from the Decision Matrix technique is similar to the ranking result of the proposed technique, while it is different from the rankings result of AHP. These ranking results are considered and finalized by an expert and are concluded that the result of the proposed technique is preferable than the conventional techniques. Keywords: Analytic hierarchy process, Multiple criteria decision making, Vendor selection

บทคัดย่อ

การคัดเลือกผูจ้ ำ� หน่ายเป็นขัน้ ตอนทีม่ คี วามส�ำคัญส�ำหรับองค์กรและการประกอบธุรกิจในปัจจุบนั ซึง่ ขัน้ ตอน ดังกล่าวสามารถท�ำได้หลายวิธี ส�ำหรับงานวิจัยนี้ได้น�ำเสนอการปรับปรุงพัฒนากระบวนการล�ำดับชั้นเชิงวิเคราะห์ (Analytic Hierarchy Process) โดยใช้หลักการค�ำนวณแบบเวคเตอร์ เพือ่ น�ำมาช่วยในการตัดสินใจคัดเลือกผูจ้ ำ� หน่าย ขององค์กร โดยได้น�ำตัวอย่างกรณีศึกษาจากบริษัทหนึ่งภายใต้ปัจจัยด้านต่างๆ ทั้งหมด 6 ด้าน ได้แก่ ด้านราคา ด้านคุณภาพ ด้านการส่งมอบงาน ด้านความสามารถในการผลิต ด้านบริการ และด้านบริการหลังการขาย โดยศึกษา จากผู้จ�ำหน่ายจ�ำนวน 4 บริษัท ซึ่งวิธีการที่น�ำเสนอในงานวิจัยชิ้นนี้จะเปรียบเทียบผลที่ได้กับวิธีกระบวนการล�ำดับ ชัน้ เชิงวิเคราะห์และวิธกี ารประเมินแบบเมตริกซ์ตดั สินใจ (Decision Matrix) ผลจากการทดลองพบว่า วิธกี ารทีน่ ำ� เสนอ Corresponding Author E-mail: taweesak.sam@mahidol.ac.th

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ในงานวิจัยชิ้นนี้มีความสอดคล้องกับผลที่ได้จากวิธีการประเมินแบบเมตริกซ์ตัดสินใจ ในขณะที่ผลที่ได้จากวิธีการที่ น�ำเสนอในงานวิจยั นัน้ แตกต่างกับผลทีไ่ ด้จากกระบวนการล�ำดับชัน้ เชิงวิเคราะห์ โดยขัน้ ตอนสุดท้ายผูเ้ ชีย่ วชาญจะเป็น ผูต้ ดั สินผลของการคัดเลือกผูจ้ ำ� หน่ายซึง่ สามารถสรุปได้วา่ ผลจากวิธกี ารทีน่ ำ� เสนอในงานวิจยั ชิน้ นีใ้ ห้คำ� ตอบทีต่ รงกับ ความต้องการมากกว่าวิธีดั้งเดิม ค�ำส�ำคัญ: กระบวนการล�ำดับชั้นเชิงวิเคราะห์ การเลือกผู้จ�ำหน่าย การตัดสินใจแบบพิจารณาหลายเกณฑ์

Introduction

Vendor selection process is sometimes very complex. Many organizations fail to achieve the expected performance results from vendors. The objective of the vendor selection process is to reduce risk, maximize the total value, get higher profit margin, and increase customer satisfaction. However, a vendor, who is fit for a company, may not necessarily be a suitable choice for another. This study starts with the need of a company that prefers to select a right vendor. The selection of vendors is one of the multiple criteria decision making (MCDM) (Aruldoss, 2013; Ishizaka & Nemery, 2013) Analytic Hierarchy Process (AHP), which was introduced by Saaty (2008), has emerged as a major tool in multi-criteria decision analysis. The process of this technique has been well documented by Saaty and many case studies which this technique have been using and reporting by many pieces of research (Aruldoss, 2013; Greer & Ruhe, 2004; Kousalya et al., 2012). However, there are some weak points of AHP process, which reported by several works such as (Belton, 1986) and (Belton & Gear, 1997), which stated on the computational and process complexity, while Holder (1990) and Hajkowicz, McDonald & Smith (2000) pointed

out the problem of the scale used for pairwise comparisons. Triantaphyllou & Mann (1995) mentioned the weakness in the additional process to calculate the total score which might not be a suitable way to add the values of the different domain. From the weaknesses of AHP as described above, some of them can be solved by using a computer software such as computational and process complexity. However, there is the issue that does not have any study on it, which is a summation of the total score of AHP as mention by Triantaphyllou & Mann (1995). This issue is a mathematical perspective, which can be considered as an important issue. According to AHP process, the final step of AHP will be the addition of the score in the different units if the criteria are expressed in different units. These might not be reasonable to add up values in different units or domains in mathematical term even though the weighting method is adapted to compensate. Therefore, to overcome this issue, vector analysis is applied in this work. There are two objectives of this work. The first one is to investigate the vendor selection process and the second one is to improve the AHP by using vector analysis.

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Literature Review

1. Vendor Selection Efficient vendor selection aims to find out a vendor who can provide products and services at the right time, right quantity, and right price with required quality (Mandal & Deshmukh, 1994). The selection of vendors has to be considerate of several factors (Liu & Hai, 2005; Wadhwa & Ravindran, 2007). Many decisionmaking techniques are used for vendor selection in many pieces of research (Petroni & Braglia, 2000; Weber & Ellram, 1993). 1.1 Vendor Selection Process Basically, vendor selection process comprises of four phases, given as realization of the need of new vendor, determination and formulation of vendor criteria, pre-qualification of potential vendors, and final vendor selection (De Boer & Van Der Wegen, 2003). 1.2 Vendor Selection Method The vendor selection method should have certain characteristics such as: be comprehensive, objective, reliable, and flexible enough. There are several vendor selection methods available in the literature (Ellram, 1995; Hill & Nydick, 1992; Petroni & Braglia, 2000).

Figure 1 A simple structure of AHP hierarchy

Many studies proposed the use of AHP as a consistent and appropriate methodology to determine the relative importance of criteria and the performance of vendors/suppliers versus each criterion. More details about the AHP will be discussed in next topic. 1.3 Vendor Selection Criteria Vendor selection is sometimes complicated when there are many criteria considered in the decision-making process. The success of vendor selection process depends on the quality of criteria (Bello, 2003). Weber & Ellram (1993) have surveyed the top ranks of criteria for vendor selection, which indicated the (net) price, delivery (time) and quality as the most important vendor selection criteria. 2. Analytic Hierarchy Process This work studies about Analytic Hierarchy Process (AHP) to support the decision-making process. The AHP is a modern decision-making method developed by Saaty (1980) for prioritizing alternatives when multiple criteria must be considered and allow the decision maker to structure complex problems in the form of a hierarchy. The final outcome is a score of each alternative. The AHP has a hierarchical scale of any complexity and problems of multi-criteria. It is based on three steps. 2.1 First Step: Hierarchy Construction The first step is to define the problem. Then, put all elements in a hierarchy as shown in Figure 1. The top part is the main objective or goal, where the bottom part is the alternatives that contribute to the goal through the middle

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criteria. The middle part of the hierarchy covers the goal and the alternatives. Representing them in a hierarchy is an effective way to visualize and define the problem and its components to deal with the complexity. 2.2 Second Step: Pairwise Comparison After establishing the hierarchy, the second step is to evaluate each set of criteria in pairs then the pairwise comparison matrices are constructed. Each member of matrices is obtained from the pairwise comparison process, where pairwise comparison are appraised of a pair of criteria or alternatives. These pairwise comparisons use a discrete scale introduced by Saaty (1980) to evaluate the preferences of comparison. According to this scale, the value of comparisons is a member of the set: {9, 8, 7, 6, 5, 4, 3, 2, 1, 1/2, 1/3, 1/4, 1/5, 1/6, 1/7, 1/8, 1/9}. For example, suppose 3 criteria, i.e., A, B and C, be compared with pairwise comparison technique. Assume the criterion B is preferable than the criterion A with a value of 9, the criterion C is preferable than the criterion B with a value of 5, and the criterion C is preferable than the criterion B with a value of 7. The pairwise comparison matrix can be constructed as shown in Table 1. Table 1 An example of pairwise comparison matrix Criterion A Criterion B Criterion C Criterion A 1 9 5 Criterion B 1/9 1 7 Criterion C 1/5 1/7 1

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This is repeated for all the criteria in the column on the left. The lower diagonal is filled using 1 aj,i = , (1) ai,j where aj,i is the element of row i column j of the matrix. This pairwise comparison needs to construct for all levels of hierarchy. It means that several of matrices for criteria, sub-criteria, and alternatives are constructed. Note that consistency of these matrices needs to be verified before conducting the next step. The consistency of comparison means that the given score of each criterion is reasonable. For example, if the score of criterion A more than the score of criterion B and the score of criterion B more than the score of criterion C, it will be consistency only if the score of criterion A more than the score of criterion C. Otherwise, it is not consistency. The consistency ratio (CR) is defined in (Saaty, 1980) as follows: CI CR = , (2) RI where CI is consistency index and RI is random index. The value of CI is calculated by CI = (λmax – n)/(n – 1), (3) where λmax is the maximum eigenvalue of pairwise comparison matrix and n is a number of comparison object. More details on computing CR can be found in (Triantaphyllou & Mann, 1995). The value of CR must be less than 0.1 to accept the consistency of the matrix. Otherwise, some of the element needs to be fixed.

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2.3 Third step: computation of eigenvectors and ranking The third step is to establish the eigenvector for criteria and sub-criteria matrices. The eigenvector is a vector of weighting factors to be multiplied with each criterion and sub-criteria for computing the ranking of an alternative. The eigenvectors can be obtained from P × v = λv, (4) where v is an eigenvector, λ is eigenvalue and

(5)

The numerical method could be utilized to compute v and λ. The v is a vector or a column matrix which contain the weighting factor as follows

Abst, wsm = max{Ai} for i = 1, 2 ... M, (8) where max{.} is the maximum notation. The model is called weighted sum model (WSM) (Fishburn, 1967).

An Improvement of AHP with Vector Analysis Model

According to AHP procedure, a total score of each alternative is computed from the summation of the weighted score of each criterion (wj) multiply with the pairwise score (aij) which is a scalar computation as shown in equation (7). However, mathematically, some kind of criteria, which have different quantities, cannot be compared or manipulated in scalar manner. For example, some criteria are quantitative such as price, quality, and capacity. To avoid this problem, Vector Analysis Model (VAM) is proposed to replace the scalar summation which is the last step of AHP process.

(6)

where w1 is weight factor associated with the first criteria, w2 is weight factor associated with the second criteria and so on. Finally, a decision matrix of the alternatives, denoted by Aj, of all the criteria combined are determined by the following equation. Aj = ai,jwi for j = 1, 2 ... M, (7) where M is a number of alternative and N is a number of criterion. The best alternative is the one that gives maximum value, denoted by Abst, wsm, i.e.,

Figure 2 Example of selection alternative based on vector analysis model

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Considering Figure 2, two-dimension of vector space is used for describing the concept of proposed idea where the x-axis represents the criterion x while the y-axis represents the criterion y. The maximum value of preferring based on the first criterion is xmax and the maximum value of preferring based on the second criterion is ymax. Therefore, the highest value of the test is at (xmax, ymax) as shown in Figure 2. However, according to the weighting factors wx and wy, for criteria x and y respectively, the maximum values of the reference are multiplied yielding the best point (pmax) pmax = (wxxmax, wyymax). (9) The best point is the maximum value that can obtain from AHP. Consequently, we can assume that if any of alternative can locate closest or equal to this point, it must be the best choice for the AHP. The vector from the point pa, which is preference value multiplied with weights factors, to best point (pmax) is determined as = pmax – pa, (10) = (wxxmax – wxxa, wyymax – wyya), (11) = (dx, dy) (12) where dx and dy represent the different in x and y axis, respectively. The magnitude of vector is the distance between the two points which is equal to (13)

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Similar to the previously described process, the distance between each preference of alternative jth to the best point of the N criteria can be obtained as follows: (14) The best alternative according to the VAM (denoted by Abst,vam) must be the one that gives the minimum distance, i.e., Abst,vam = min

for j = 1,2, ... M, (15)

where min{.} is denoted the minimum notation. To verify this idea, the scalar and vector computations of the alternative score are compared and see the reflection on the relative priority score in final.

Research Methodology

1. Research Design This investigation focuses on the selection and evaluation of suppliers. An invitation letter to participate in this study was sent to the company which will be the case study for this research. The process of the research will be achieved through three main phase as shown in Figure 3. The first phase is identifying the sample vendors and some major criteria that should be considered. In addition, data will be gathered through available literature on vendor selection and working teams for vendor selection.

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Figure 3 Research design framework The second phase is the selecting criteria, which were screened and identified in phase one to be used as an initial formulating a questionnaire. The questionnaire would be responded by the decision makers who are directly involved in the vendor selection project. They were asked to rate the selected criteria in importance order. The last phase is the implementation of the selected vendor using AHP as a decision analysis tool and the result comparing with the measuring in weighted using VAM in final stage. 2. Preliminary Study 2.1 Data Collection The data used in this study are mainly collected through the questionnaire of pairwise comparison to compare each pair of the criterion used in the vendor selection. The developed questionnaires were administered to the people

whom the decision analysis is referred such as vendor selection working team. 2.2 Research Population The vendor selection is discussed in this work for a company which needs a suitable vendor for a project. The company used in this study is an IT company, which has a high growth rate in the last 5 years with 300 employees. Questionnaires were sent to the targeted vendors which are currently deal with the company. 2.3 Criteria Validation According to the criteria which are normally used in the vendor or supplier selection, the criteria list was compiled from the previous studies of De Boer & Van Der Wegen (2003) and Weber & Ellram (1993). We also have face-to-face interviews with vendor selection working team to ensure that all chosen criteria used in this study are satisfied and suitable for the company.

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Figure 4 A hierarchical representation of the vendor selection model 2.4 Questionnaire Design The questionnaires were designed in English and submitted to the decision makers with a cover letter explaining the purpose of the work, introduction of criteria, the pairwise comparison of all selected criteria, and the way of responding.

Implementation and Results

This section shows the implementation and results of the proposed technique. The evaluation is performed in the real world business case. The details of the implemen-tation and results are shown as follows: 1. Criteria for Vendor Selection In this work, the required data were collected and rated based on the interview which was performed by four members of project steering committee, comprising of two project managers, one functional manager, and one project sponsor. The list of criteria in the interview was chosen from the previous works (Weber & Ellram, 1993). Six important criteria for a general project of the

company that was selected are price, delivery, quality, productivity, service, and support. 2. Prospective Vendors The next step for vendor selection process is to list the candidates of vendors that are available for alternative selection. In this research, we obtained the list of 4 vendors after the pre-filtering process by project steering committee. 3. AHP Model of Vendor Selection The developed AHP model for our work contains three levels, given as the goal, the criteria, and the alternative vendors. The first level of the hierarchy is identified to select the vendor. The second level (criteria) contains price, delivery, quality, productivity, service, and support. The third level of the hierarchy contains the alternative vendors to be evaluated for the best vendor selection as shown in Figure 4, where V1, V2, V3, and V4 represent vendor 1, vendor 2, vendor 3 and vendor 4, respectively.

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Table 2 Pairwise comparison matrix of the criteria Price Delivery Quality Productivity Service Support

Price 1.00 1.00 0.33 0.14 0.17 0.20

Delivery Quality 1.00 3.00 1.00 3.00 0.33 1.00 0.17 0.25 0.20 0.33 0.25 0.33

4. Criteria Pairwise Comparison After proposing the hierarchy, pairwise comparisons were used to compare according to their relative importance of criteria rated by the nine-point scale. The questionnaires were distributed to 4 respondents from project steering committee. Table 2 shows the pairwise comparison matrix of six main criteria. From the first row of Table 2, we can see that the relative importance of delivery and price are equal so the given scale of this comparison is 1, the relative importance value of quality and price is 3, the relative importance value of productivity and price is 7, and so on. The similar explanation of the row one can be used to describe the other rows of Table 2. The next step is to adjust the values measured on a common scale. The calculation was done by divisions between the vector data in the vertical column and its summation in vector column as shown in (16).

xi,j =

(16)

Productivity 7.00 6.00 4.00 1.00 2.00 2.00

Service Support 6.00 5.00 5.00 4.00 3.00 3.00 0.50 0.50 1.00 0.50 2.00 1.00

Weight 0.3480 0.3190 0.1540 0.0413 0.0587 0.0790

Then set weight or prioritized each criterion by determining the right principal eigenvector (Saaty, 1980). It could be obtained by averaging across the rows as shown in (17).

wi,j =

(16)

The result of the weighting criteria list was arranged in Table 2. The next step is to calculate CR to determine the acceptance of the priority weighting as equation (2). For the result of CR for this work is 0.02, as CR value is much less than 0.1, the pairwise comparison evaluations are consistent, and thus are acceptable. 5. Vendor pairwise comparison As same as the pairwise comparison of the criteria, the respondents were asked to compare each pair of four vendors with respect to each criterion. Tables 3-8 show the pairwise matrix and priority weights. 6. Overall Ratings with WSM After finding out the answer from the matrix of pairwise comparisons of all vendors, the next process is to find out which vendor

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is the most appropriate for this project by applying the weights of all criteria from Table 2 to the weights of all vendors. This step consists of multiplying the weight of each criterion with the priorities weight of vendor and then sum up to find out the final ranking of the vendors as shown in Table 9. Table 3 Pairwise comparison matrix of vendors with respect to price V1 V2 V3 V4

V1 1.00 0.20 0.25 0.50

V2 5.00 1.00 3.00 5.00

V3 4.00 0.33 1.00 3.00

V4 Weights 2.00 0.4790 0.20 0.0676 0.33 0.1392 1.00 0.3141

Table 4 Pairwise comparison matrix of vendors with respect to delivery V1 V2 V3 V4

V1 1.00 0.13 0.17 0.50

V2 8.00 1.00 1.00 5.00

V3 6.00 1.00 1.00 7.00

V4 Weights 2.00 0.5224 0.20 0.0657 0.14 0.0673 1.00 0.3446

Table 5 Pairwise comparison matrix of vendors with respect to quality V1 V2 V3 V4

V1 1.00 1.00 5.00 6.00

V2 1.00 1.00 2.00 4.00

V3 0.20 0.50 1.00 4.00

V4 Weights 0.17 0.0843 0.25 0.1099 0.25 0.2400 1.00 0.5658

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Table 6 Pairwise comparison matrix of vendors with respect to productivity V1 V2 V3 V4

V1 1.00 0.50 1.00 2.00

V2 2.00 1.00 0.50 4.00

V3 1.00 2.00 1.00 6.00

V4 Weights 0.50 0.2124 0.25 0.1437 0.17 0.1190 1.00 0.5249

Table 7 Pairwise comparison matrix of vendors with respect to service V1 V2 V3 V4

V1 1.00 5.00 3.00 0.50

V2 0.20 1.00 0.50 0.20

V3 0.33 2.00 1.00 0.50

V4 Weights 2.00 0.1244 5.00 0.5186 2.00 0.2600 1.00 0.0971

Table 8 Pairwise comparison matrix of vendors with respect to support V1 V2 V3 V4

V1 1.00 4.00 5.00 5.00

V2 0.25 1.00 1.00 2.00

V3 0.20 1.00 1.00 4.00

V4 Weights 0.20 0.0651 0.50 0.2299 0.25 0.2145 1.00 0.4905

Table 9 Final ranking of vendors by using AHP with WSM V1 V2 V3 V4

Score 0.3675 0.1160 0.1440 0.3725

Rank 2 4 3 1

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Table 10 Final ranking of vendors by using AHP with VAM V1 V2 V3 V4

Score 0.0851 0.2186 0.1990 0.1100

Rank 1 4 3 2

7. Overall Ratings with VAM After all the steps were finished and the evaluated ranking of vendors from the hierarchy process was completed, the calculations can be compared by using vector analysis. According to (9), we can get the best point according to each criterion as follows: Pmax = (1×0.3480, 1×0.3190, 1×0.1540, 1×0.0413, 1×0.0587, 1×0.0790) (18) = (0.3480, 0.3190, 0.1540, 0.0413, 0.0587, 0.0790). (19) To find out which vendor is the most appropriate for this project, the process can be done by applying the VAM from (10) (14) and (19). The final ranking of the vendors is shown in Table 10. The vendor with the minimum distance to the best point is the best alternative that should be selected. According to the results presented in Table 10, we can see that the Vendor 1 is the best vendor among all vendors in this case.

Result Evaluation and Discussion

The result of final ranking scores of vendors

using vector analysis is quite similar to the result of AHP where the Vendor 1 and Vendor 2 are the top two ranks as presented in Tables 9 and 10. Notice that the value of score result from WSM is very close to the score ranking no.1 (Vendor 4) and no.2 (Vendor 1). From Table 10, we can see that the scores of Vendor 1 and Vendor 2 obtained from AHP with VAM give more different value than the result obtained from AHP with WSM as shown in Table 9. According to (15), Vendor 1 should be the selected one. The ranking results presented in Tables 9 and 10 would be a decision support for the project team in case of selecting vendors. The final step in this work is to confirm the proposed technique by evaluating the consistency ranking and stakeholder satisfaction. In order to confirm benchmark of this work, the project steering committee has to input the score of the four vendors and prioritize the weight of six criteria. This method was referred to the decision matrix (DM), the existing method in this company. The result is shown in Table 11. Then, the result is compared with the ranking result of the framework as shown in Tables 9 and 10. The obtained results are given in Table 12, where DM is denoted the decision matrix technique. Note that the decision matrix technique is a simple technique of MCDM which is suitable for a problem that all criteria are expressed in term of the same unit (Triantaphyllou & Mann, 1995). The company used this technique because of the convenience of implantation and computation. However, giving the score of

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a criterion among other criteria might be a complex problem and easy to create an improper score when the criteria are in different domains or units. For this company, each member of the steering committee has been

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well experienced with decision matrix technique that can be able to give a reasonable score for criteria and vendors. Therefore, this technique is used for comparison with the conventional AHP and the proposed AHP.

Table 11 Vendor selection using decision matrix Criterion

Weight

Price Delivery Quality Productivity Service Support

30.00 25.00 25.00 10.00 5.00 5.00

Score V1 0.90 1.00 1.00 0.30 0.80 1.00

V2 0.50 0.40 0.50 0.70 0.40 0.40

V3 0.50 0.50 0.50 0.40 0.40 0.50

Table 12 Ranking result from proposed technique and exiting process V1 V2 V3 V4

WSM 2 4 3 1

VAM 1 4 3 2

DM 1 3 3 2

From the result in Table 12, we found that the decision matrix was ranked close to the rank of vector analysis. It also shows that only rank of the vendor 2 had a different result. Finally, the results from these techniques were taken into consideration with the expert

V4 1.00 0.80 0.80 0.50 0.60 0.70 Total

V1 27.00 25.00 25.00 3.00 4.00 5.00 89.00

Weighted Score V2 V3 15.00 15.00 10.00 12.50 12.50 12.50 7.00 4.00 2.00 2.00 2.00 2.50 48.50 48.50

V4 30.00 20.00 20.00 5.00 3.00 3.50 81.50

who is the team leader of the steering committee. The expert agreed that the result from the proposed technique is more similar to the result from the decision matrix technique than the result from the conventional AHP. Without these methods, comparing Vendor 1 to Vendor 4, the expert preferred to select the Vendor 1 with proposed technique and decision matrix technique. From the overall process of the AHP technique presented in this work, we can see that this technique is more complicated than the existing technique, DM technique, on both perspectives, i.e., implementation and computation. However, as described in the previous

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section, the scoring of each criterion among other criteria with different units can become a complex task. Therefore, a system that can easily give the score of the criteria or the alternatives is necessary for this situation, therefore, the AHP is the best solution. However, the last step of AHP which is the summation of the score according to criteria in different unit should be improved by using VAM as described in this work. The implementation and computation complexity can be improved by using a dedicated computer software. As presented in this article, the uses of the proposed technique is demonstrated by using the vendor selection problem as a case study. The similar procedure can be applied to other case studies. Nevertheless, the comparison of the proposed system with the conventional AHP can be clearly presented by using the mathematical analysis, which could be the further work.

Conclusions

Selection of the right vendor is an important task. Many techniques are provided for this function. In this work, an improvement of AHP with vector analysis is proposed. The proposed technique was evaluated by using a case study of a company. The evaluation model based on six criteria which are price, quality, delivery, productivity, service, and support was applied to four candidate vendors. The conventional techniques, including AHP with WSM, and decision matrix technique, are used to compare with the proposed technique. The experimental results showed that the result from decision matrix technique was similar to the result of the proposed technique, while the rankings result of conventional AHP is different. The results were confirmed by the expert with the conclusion that the result from the proposed technique and decision matrix technique is more reasonable than the result from the conventional AHP.

References

Aruldoss, M. (2013). A Survey on Multi Criteria Decision Making Methods and Its Applications. American Journal of Information Systems, 1(1), 31-43. Bello, M. J. S. (2003). A Case Study Approach To the Supplier Selection Process. ProQuest Dissertations and Theses. University of Puerto Rico. Belton, V. (1986). A comparison of the Analytical Hierarchy Process and a simple multi-attribute value function. European Journal of Operational Research, 26(1), 7-21. Belton, V. & Gear, T. (1997). On the meaning of relative importance. Journal of Multi-Criteria Decision Analysis, 6(6), 335-338. De Boer, L. & Van Der Wegen, L. L. M. (2003). Practice and promise of formal supplier selection: A study of four empirical cases. Journal of Purchasing and Supply Management, 9(3), 109-118. Ellram, L. M. (1995). Total cost of ownership. International Journal of Physical Distribution & Logistics Management, 25(8), 4-23. ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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Fishburn, P. C. (1967). Additive Utilities With Incomplete Product Sets: Application To Priorities and Assignments. Operations Research, 15(3), 537-542. Greer, D. & Ruhe, G. (2004). Software release planning: An evolutionary and iterative approach. Information and Software Technology, 46(4), 243-253. Hajkowicz, S. A., McDonald, G. T. & Smith, P. N. (2000). An Evaluation of Multiple Objective Decision Support Weighting Techniques in Natural Resource Management. Journal of Environmental Planning and Management, 43(4), 505-518. Hill, R. P. & Nydick, R. L. (1992). Using the Analytic Hierarchy Process to Structure the Supplier Selection Procedure. International Journal of Purchasing and Materials Management, 28(2), 6. Holder, R. (1990). Some comments on the analytic hierarchy process. Journal of the Operational Research Society, 41(11), 1073-1076. Ishizaka, A. & Nemery, P. (2013). Multi-Criteria Decision Analysis: Methods and Software. NJ: John Wiley & Sons. Kousalya, P., Mahender Reddy, G., Supraja, S. & Shyam Prasad, V. (2012). Analytical Hierarchy Process approach – An application of engineering education. Mathematica Aeterna, 2(10), 861-878. Liu, F. H. F. & Hai, H. L. (2005). The voting analytic hierarchy process method for selecting supplier. International Journal of Production Economics, 97(3), 308-317. Mandal, A. & Deshmukh, S. G. (1994). Vendor Selection Using Interpretive Structural Modelling (ISM). International Journal of Operations & Production Management, 14(6), 52-59. Petroni, A. & Braglia, M. (2000). Vendor Selection Using Principal Component Analysis. The Journal of Supply Chain Management, 36(2), 63-69. Saaty, T. L. (1980). The Analytic Hierarchy Process: Planning, Priority Setting, Resource Allocation (Decision Making Series). New York: McGraw-Hill. Saaty, T. L. (2008). Decision making with the analytic hierarchy process. International Journal of Services Sciences, 1(1), 83. Triantaphyllou, E. & Mann, S. H. (1995). Using the Analytic Hierarchy Process for Decision Making in Engineering Applications : Some Challenges. International Journal of Industrial Engineering: Theory, Applications and Practice, 2(1), 35-44. Wadhwa, V. & Ravindran, A. R. (2007). Vendor selection in outsourcing. Computers and Operations Research, 34(12), 3725-3737. Weber, C. A. & Ellram, L. M. (1993). Supplier Selection Using Multi-objective Programming: A Decision Support System Approach. International Journal of Physical Distribution & Logistics Management, 23(4), 3-14. ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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Name and Surname: Manatsanan Aksornkul Highest Education: Master degree in Information Technology Management, Mahidol University University or Agency: Mahidol University Field of Expertise: MIS, Project Management, Business Process Improvement Address: Technology of Information System Management Division, Faculty of Engineering, Mahidol University, 25/25 Salaya, Phuttamonthon, Nakhon Pathom 73170 Name and Surname: Taweesak Samanchuen Highest Education: Ph.D. in Electrical Engineering, Sirindhorn International Institute of Technology (SIIT), Thammasat University University or Agency: Mahidol University Field of Expertise: Wireless Sensor Network, Decision support, Analytic Hierarchy Process (AHP), SIP protocol, Embedded Systems Address: Technology of Information System Management Division, Faculty of Engineering, Mahidol University, 25/25 Salaya, Phuttamonthon, Nakhon Pathom 73170

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THE EFFECTS OF DIRECT AND INDIRECT SUPPLY CHAIN COLLABORATION ON HOSPITALITY SERVICE INNOVATION ผลกระทบของความร่วมมือทางตรงและทางอ้อมในโซ่อุปทาน ต่อนวัตกรรมบริการในธุรกิจที่เน้นการให้บริการ Phanrajit Havarangsi1 Chawalit Jeenanunta2 and Akkaranan Pongsathornwiwat3 1School of Business and Technology, Stamford International University 2,3School of Management Technology, Sirindhorn International Institute of Technology, Thammasat University

Abstract

A firm that can manage a diversity of supply chain collaboration dynamically can then reap better innovation performances. However, the knowledge on how companies perform both activities on stimulating innovations, in particular, the hospitality industry is still scant. The objective of the study is to investigate the effects of direct and indirect supply chain collaboration on service innovation. The data were collected by a 94 stratified questionnaire survey in Bangkok, Thailand. The result, analyzed by regression technique, indicates that the effect of collaboration with direct linkages, and with indirect linkages can improve a capability’s firm on continuously stimulating service innovations. The findings help to understand and broaden knowledge in theory and practice on how hospitality firms manage the opportunity for competitive advantage. Keywords: Innovation capability, Supply chain collaboration, Supply chain innovation, Hospitality industry

Corresponding Author E-mail: npongsathornwiwat@yahoo.com

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บทคัดย่อ

องค์กรธุรกิจที่สามารถจัดการความหลากหลายของความร่วมมือในโซ่อุปทานได้นั้น เป็นส่วนช่วยให้บริษัท สามารถพัฒนานวัตกรรมได้อย่างต่อเนื่อง อย่างไรก็ตามองค์ความรู้ส�ำหรับการจัดการความหลากหลายของรูปแบบ ความร่วมมือที่มีผลต่อนวัตกรรมนั้นยังมีอยู่น้อย โดยเฉพาะอย่างยิ่งในอุตสาหกรรมโรงแรมและการให้บริการ วัตถุประสงค์ส�ำหรับการวิจัยครั้งนี้คือ การวิเคราะห์หาผลกระทบของรูปแบบความร่วมมือทั้งทางตรงและทางอ้อม ในโซ่อุปทานต่อการเกิดนวัตกรรมการบริการ ข้อมูลเชิงส�ำรวจที่ท�ำการเก็บจากตัวอย่างโรงแรมจ�ำนวน 94 บริษัท ได้น�ำมาเพื่อตรวจสอบเชิงประจักษ์ด้วยเทคนิคการวิเคราะห์สมการเชิงเส้น ผลจากการวิเคราะห์พบว่า องค์กรที่มี การร่วมมือกับหน่วยงานอื่นในโซ่อุปทานนั้นโดยเฉพาะหน่วยงานที่มีส่วนเกี่ยวข้องทางตรง เช่น ซัพพลายเออร์และ ลูกค้านัน้ มีสว่ นเพิม่ ประสิทธิภาพในการพัฒนานวัตกรรมการบริการในอุตสาหกรรมโรงแรมและการให้บริการ ผลวิจยั ทีไ่ ด้จากการวิเคราะห์มปี ระโยชน์ตอ่ องค์ความรูท้ างทฤษฎีและการน�ำไปใช้ในการพัฒนาองค์กรในภาคธุรกิจการท่องเทีย่ ว และบริการ ให้มีโอกาสสร้างความได้เปรียบเชิงแข่งขันมากยิ่งขึ้น ค�ำส�ำคัญ: ความสามารถในการจัดการนวัตกรรม ความร่วมมือในห่วงโซ่อุปทาน นวัตกรรมห่วงโซ่อุปทาน อุตสาหกรรมโรงแรมและการให้บริการ

Introduction

Innovations become one of the primary sources for competitive advantages for most organizations (Agarwal, Erramilli & Dev, 2003). Researchers state that managing innovations move beyond static approaches for specific or ad-hoc purposes to dynamic ones for sustaining advantages over times (Camison & Monfort-Mir, 2012; Lillis, SzweJczewski & Goffin, 2015). For successfully managing innovations, current studies have indicated the necessity of improving knowledge search process and learning ability as an important internal factor for firms that desire to improve services faster than the rivals (Cooper, 2006; Creveni, Palm & Schilling, 2011). Literature also suggests that firms cannot rely on the internal resources and capability since they are limited (Ahuja, 2000; Machikita & Ueki, 2011). Therefore, companies should open their boundary up to seek and search

the surplus knowledge (Cao & Zhang, 2011; Jeenananta, Ueki & Visanvetchakij, 2013). One of the suitable external sources is collaborative relationships with various supply chain members. Previous research has shown the positive pieces of evidence of supply chain collaboration on enhancing internal capabilities, for example, an ability to search, learn and exploit to better innovation performances (Aldebert, Dang & Longhi, 2011; Cohen & Levinthal, 1990; Wagner, 2013). Wagner (2013) studied the effects of various types of supply chain partner on radical and incremental innovations in logistics. His research found that to collaborate with customers, suppliers, and competitors contribute to service improvement, while the use of universities and consultants does not affect innovation performance. Cao & Zhang (2011) showed the positive interplay effects between collaboration, innovation, and firm performance.

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By productively working with right partners, the focal firms can improve their products and services effectively. However, the question is still open, and lack of central understanding of how-how external linkages affect innovation process in hospitality context (Hjalager, 2010; Krizaj, Brodink & Bukovec, 2014). Researching innovation process and factors in hospitality sector is warranted and contributed to the literature. This is because the nature of hospitality industry is totally distinguished from other industries such as manufacturing-based industry (Gallouj & Savona, 2009; Liburd, 2012). In hospitality context, innovations are very complex because of intangible and multiple dimensions properties (Creveni, Palm & Schilling, 2011; Tang, Wang & Tang, 2015). Furthermore, the new ideas cannot be protected by any patents. Thus, the positive results of factor affecting innovations in production companies are different when comparing with hospitality organizations (Nieves, Quintana & Osorio, 2014). To address the research gap, in this study, we make a first attempt to shed light on the knowledge and understanding on how collaboration can enhance innovation process. The purpose of the study is therefore to empirically examine the impacts of direct and indirect collaborations on developing innovation. We use a questionnaire to answering the following research questions: What is the impact of direct and indirect collaborations on various types of innovations in the hospitality industry? This is significantly different from prior studies that we have proposed the two

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constructs: direct and indirect collaborations, and empirically examined the consequence between constructs. The results will provide valuable knowledge for theory and practice. This paper is structured as follows. Section 2 describes the theory backgrounds and builds a set of hypotheses. Next, the methodology of the empirical study is described in section 3. The discussion of the results is then presented in section 4. The last section provides the concluding remarks, managerial implications and possible questions for future research.

Literature reviews and hypotheses

Essentially, the main characteristics of hospitality businesses that distinguish them from other service firms are the customers (tourists). They can easily select the most preferred products from around the world (Tang, Wang & Tang, 2015). Furthermore, tourism organizations can visualize easily what others are doing (Zhang, Song & Huang, 2009). Innovation is then becoming a key competitive success factor. Besides, management committees have realized the necessity of developing a never-ending plan for achieving better service quality to customers and improving services faster than rivals (Agarwal, Erramilli & Dev, 2003). Innovation in hospitality context can be defined as “the process of bringing any new, problem-solving idea into use. The idea for reorganizing, cutting cost, putting in new budgetary systems, improving communication or assembling products in teams” (Hjalager, 2010).

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In the current literature, Hjalager (2010) proposed the definitions of innovation’s categories following the note in OECD and Eurostat (2005). Due to the limitation of the pages, we discuss only the concept of service innovation in hospitality. Service (product) refers to “changes directly observed by the customers and regarded as new; either in the sense of never seen before or new to the particular enterprise or destination (Hjalager, 2010). The main stream of innovation research on hospitality context shows the positive effects of internal factors such as organizational factors (Grissemann, Plank & Brunner-Sperdin, 2013) and human capabilities (Gomezelj, 2016) on helping firms improving innovations. As the new design services cannot be documentary recorded, the representation of knowledge is required in order to be stimulating innovation continuously (Hjalager, 2010). Literature also suggests that hospitality firms cannot solely rely on employing the internal knowledge since its limitations (Thomas & Wood, 2014). Therefore, the necessity of utilizing external sources of knowledge and ability such as an ability to seek, learn and apply the external knowledge obtained to proper uses in the organization as absorptive capacity is then necessary (Cohen & Levinthal, 1990; Martinez-Ros & Orfila-Sintes, 2009). Theoretical perspective of open innovation supports the importance of external knowledge. Open innovation states that useful tool of external knowledge among various companies

such as suppliers and universities for innovations distributes outside the firms’ boundary (Chesbrough, 1990, 2003). Therefore, “firms can no longer afford to rely on their own internal ideas. Innovation must shift from closed innovation, where firms do everything themselves and the success of innovation is determined by internal ideas and the control of internal resources, to open innovation” (Wagner, 2013). By combining internal with external ideas, firms are better able to achieve sustainable competitive advantage (Chesbrough, 2003; Thomas & Wood, 2014). Several studies confirmed the direct links to external sources on fostering internal capability (Mattsson & Orifila-Sintes, 2014; Munksgaard, Stentoft & Paulaj, 2014). Nieves, Quintana & Osorio (2014) argued that human capital as learning ability had a positive impact on product and organizational innovations. Nieves & Segarra-Cipres (2015) investigated the impact of external relationships on management innovation. The authors confirmed that human resources and the capabilities of the firm to integrate knowledge, and networking were the keys factors. From the literature on open innovation, we can conclude that the effective collaborative relationships can increase the improvement of learning ability of firms. Therefore, we hypothesize as of the following: Hypothesis 1: Supply chain collaboration has a positive impact on service innovations. Hypothesis 1a: Supply chain collaboration

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with direct linkages has a positive impact on service innovation. Hypothesis 1b: Supply chain collaboration has a positive impact on service innovation.

Research methodology

Sample and data collection The unit of analysis in this study is hotel firms in Thailand. The sector was chosen as our empirical background for several reasons. First, innovation is critically paramount for hotel organization. Since the nature of running the accommodations is, again, easy to provide the service operations, the numbers of operating hotels including the registered and non-registered firms are then gradually growth over the past five years. To offer the fundamental services to customers are neither insufficient for the registered firm to satisfy customers, nor inadequate to compete with the others. Therefore, the hotel’s firms have to keep maintaining advantages by continuously improving service that is higher than fundamental standards and expectations. Second, among types of tourism business units, the hotel sector in Thailand is the main contributor to service industries generating the higher revenues to the GDP of Thailand in the last ten years. Last, given an excellent location destination, many tourists always come to take a vacation, to transit, and also to have a business meeting in Thailand. Referring the benefits as discussed, the study of tourism innovation will yield the valuable knowledge to the current literature.

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To examine the proposed hypotheses, the data were collected by a cross-sectional questionnaire designing included four main parts. It consists of demographic questions, the questions related to supply chain collaboration and innovation. Before implementation, the pilot test was conducted by in-depth interviewing with ten selected hotel managers and top management positions to ensure that the instrument has under specifications of reliability and validity (Bollen & Biesanz, 2002; Podsakoff et al., 2003). The possible bias test that non-response bias was not present in the data. In the data gathering processes, 200 selfadministered questionnaires were mailed to the respondents based on the five-to-one ratio of independent variables (Baron & Kenny, 1986). The lists of the population were obtained from the hotel database of Thailand. The sample is hotel firms locating around Bangkok, Thailand. The data collection process carried out between September 2014 and January 2015. During the time frame, the follow-up checking was handled by phone in three times. We consequently received 94 valid responses back and used them for analyzing and testing the proposed hypotheses. To provide the stable data, all instruments were adapted from the literature and were modified to measure the performances appropriately. Supply chain collaboration was constructed to evaluate the relationship degrees to which firms work with another company in different supply chain functions as a source of innovation. The variable was adapted the

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scale used previously by Medina-Munoz & Garcia-Falcon (2000), and Nieves, Quintana & Osorio (2014). In this study, we characterized collaborations into two main types: first is the collaboration with direct entities including with customers (SCC1), with competitors (SCC2), with local suppliers (SCC3), and with foreign suppliers (SCC4). Second is the collaboration with indirect linkages: with universities (SCC5), with research institutes (SCC6), with tourism organizations (SCC7), and with academics (SCC8). The scale measuring service innovation was adapted the contents on how to implement the

innovation data as suggested in Oslo Manual (OECD, 2005). Service innovation is defined as the degrees of new developments in providing successful services and the extents of improving existing implemented services to the desired customers (Tang, Wang & Tang, 2015; OECD, 2005). The respondents could rate their evaluation based on a five-point Likert scale from 1 (very low) To 5 (very tight) for supply chain collaboration, and 1 (less important) to 5 (high important) for service innovation.

Table 1 Means, standard deviations, and factor loadings for the items Scale/measurement item Collaboration with direct linkages (α = .905); (KMO = .792) Collaboration with customers (SCC1) Collaboration with competitions (SCC2) Collaborations with local suppliers (SCC3) Collaborations with local suppliers (SCC4) Collaboration with indirect linkages Collaboration with academics (SCC5) Collaboration with research institutes (SCC6) Collaboration with local tourism communities (SCC7) Collaboration with foreign tourism communities (SCC8) Service innovation (α = .845); (KMO = .750) Often improve new features for better services (SI1) Your competitors adopt your services as a service model (SI2) Additional services proposed beyond customers ‘needs (SI3)

Means S.D.

Factor Loading

4.075 3.490 3.415 3.170

.751 .813 1.130 1.233

.710 .780 .829 .733

3.000 3.075 3.351 3.213

1.000 1.005 1.003 .895

.895 .910 .757 .780

3.692 .904 3.575 .664 3.660 .712

.707 .685 .734

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Result and analysis

Sample characteristics In the sample of 94 hotel firms, 70.21% were independent hotels and the rest (29.79%) is chain hotels. Four and three-star are the most accounting for 39.36% and 34.04%, respectively. The sample also indicated that most are medium and large hotel sizes regarding the number of rooms (31.91% and 37.23%, respectively), and the number of employees is in small (less than 50 employees) and medium (less than 100 employees) capacities (29.78%

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and 30.85%). Of the sample respondents, 85.15% worked as managers including human resources managers and general managers.

Measurement description and reliability analysis

Before using the data collected for further analysis, the reliability analysis and dimensionality reduction were performed. After purification of the items, we calculated Cronbach’s alpha. A cut-off value of .70 is widely accepted (Hair et al., 2006).

Table 2 Means, standard deviations, and correlations Variables

Means S.D.

Collaboration with Direct linkages Collaboration with indirect linkages Service innovation

3.538 0.384 3.160 0.155 3.642 0.060

**Correlation *Correlation

Collaboration with Collaboration with Direct linkages Indirect linkages 1.000** .861**

.160**

is significant at the 0.01 level (1-tailed). is significant at the 0.05 level (1-tailed).

All scales showed reliability above .8 (Hair et al., 2006). The Kaiser-Meyer-Olkin (KMO) measure of sampling adequacy is good for all levels with a cut-off value of .60 (Hair et al., 2006). The measurement items and factor loadings are shown in Table 1. The result of confirmatory factor analysis (CFA) indicates an acceptable fit for the three-factor model. Table 2 presents means, standard deviations, and correlation matrix for all variables. From the descriptive statistics, first, the collaboration

with direct linkages is used as the external sources (3.538), more than collaboration with indirect ties (3.160). And service innovation (3.642) is most concerned from the sample. It strongly indicates that service innovation is the most used to sustain the competitive business advantages. The result shows significant correlations effect between dependent and independent variables. There is a relative correlation between three constructs in this study ranging from

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0.160 to 0.861 shown in Table 2. In the analysis, for example, the correlation coefficient between collaboration with indirect linkages and service innovation shows a relatively high level of the correlation.

Regression analysis

In this study, we compare two models between the collaboration with direct linkages, and the collaboration with indirect linkages (independent variables) on service innovation (dependent variable). The result of the test for hypotheses states that the use of collaboration as an external source of innovation, in particular, only collaboration with direct supply chain linkages is positively related to improving service innovation capability. The estimated effect of collaboration with direct supply chain linkages on service innovation is highly significant with a positive sign (β = .589; p < 0.05), which is higher than collaboration with indirect linkages (β = .339; p < 0.05). The R-square measurement shows the high degree-of-fitness (R2 = 0.55). The analysis clearly supports hypotheses 1a and 1b.

Discussion and implications

We draw on the notion of open innovation. This study advanced the notion of the concept by examining whether the different effects of collaborations on stimulating service innovation in a hospitality context. The discussion of the results and implications is organized around the proposed hypotheses. First, the finding supports the hypothesis that effective collaboration with

external linkages, in particular, with direct supply chain members to your business, can promote better service innovation capability. The findings support the views of Nieves, Quintana & Osorio (2014) and Nieves & Segarra-Cipres (2015) for example, the front and back staffs have more opportunities to gain surplus knowledge to improve their working routine operations that can generate a new service to customer appropriately (Krizaj, Brodink & Bukovec, 2014), and also to initiate the successful service innovation rapidly than competitors (Thomas & Wood, 2014). In summarize, our study adds to the literature by showing the supply chain collaboration can be a valuable source for the firm in improving service innovation capability. Nevertheless, there are several reasons why the collaboration with indirect linkages such as research institutes and academic has a small impact on innovation. Firstly, the nature of academics and employees of hospitality companies are dissimilar. Therefore, academics might not understand clearly and have little knowledge in practical operations since they are either customers or users of the services once they are developed (Wagner, 2013). Secondly, the perspective of academics and research institutes will be a valuable source for the development of innovation strategy in the future. Therefore, the benefits will not show in the current services. Second, this study extends the concept of absorptive capacity and dynamic capability by empirically examining the learning routines on stimulating innovations.

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Our finding fulfills the knowledge in the literature on how hospitality firms gain the existing knowledge that distributes in organizations and spillovers outside, and transform it to proper users effectively. In sum, we can imply that the company that has the better collaboration with direct linkages, the better innovation, and business performance.

Concluding remarks and limitations

This study aims at examining how various types of collaboration have a positive impact on stimulating service innovation at the firm level. The empirical findings show that effective direct collaboration with customers, competitors, local suppliers and foreign suppliers has a positive link on service innovation. When firms focus on improve learning ability productively, can then gain the better innovation performances. While our study contributes considerably to

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the supply chain management and innovation management literature, especially for Southeast Asia, there are some limitations for several reasons. First, our sample is confined to the hotel and hospitality industry in Thailand. This may lead the weak results and the bias of the analysis. Hence, we will re-examine our research model by comparing with other countries in the further investigations. Despite this limitation, our results can be accepted regarding the important requirements of statistical verifications. Second, although this study founds a positive casual inference, the further study needs to be confirmed by longitudinal analysis. Last, this study does not consider the effects of innovation promoting indicators on financial and quantitative performances such as profit and gross margin which are mentioned extensively in the literature (Grissemann, Plank & Brunner-Sperdin, 2013). Such important issues are worth for further research.

References

Agarwal, S. & Dev, C. S. (2003). Market orientation and performances in service firms: the role of innovation. Journal of Service Marketing, 17(1), 68-82. Agarwal, S., Erramilli, M. K. & Dev, C. S. (2003). Market orientation and performances in service firms: the role of innovation. Journal of Service Marketing, 17(1), 68-82. Ahuja, G. (2000). Collaboration networks, structural holes and innovation: a longitudinal Study. Administrative Science Quarterly, 45(3), 435-455. Aldebert, B., Dang, R. J. & Longhi, C. (2011). Innovation in the tourism industry: The case of Tourism@. Tourism Management, 32(5), 1204-1213. Baron, R. M. & Kenny, D. A. (1986). The moderator-mediator variable distinction in social psychological research: conceptual, strategic, and statistical considerations. J Pers Soc Psychol, 51(6), 1173-1182. Bollen, K. A. & Biesanz, J. C. (2002). A note on two-stage least square estimator for higher-order factor analyses. Sociological Method and Research, 30(4), 568-579. ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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Wagner, S. M. (2013). Partners for business-to-business service innovation. IEEE Transactions on Engineering Management, 60(1), 113-123. Zhang, X., Song, H. & Huang, G. Q. (2009). Tourism supply chain management: A new research agenda. Tourism Management, 30(3), 345-358. Name and Surname: Phanrajit Havarangsi Highest Education: Master in Logistics and Supply Chain Management, University of Huddersfield, United Kingdom University or Agency: Stamford International University Field of Expertise: Logistics and supply chain management, Innovation management, Supply chain design, and Freight forwarding Address: 16, Motorway Rd. - Km 2, Prawet, Bangkok 10250 Name and Surname: Chawalit Jeenanunta Highest Education: Ph.D. in Industrial and Systems Engineering, Virginia Polytechnic Institute and State University, USA University or Agency: Sirindhorn International Institute of Technology, Thammasat University Field of Expertise: Logistics and supply chain management, Innovation management, Mathematical modeling and optimization, Data mining and its applications to management science. Address: Bangkadi Campus, 131 Moo 5, Tiwanont Rd., Bangkadi, Pathum Thani 12000 Name and Surname: Akkaranan Pongsathornwiwat Highest Education: Ph.D. in Industrial and Systems Engineering, Japan Advanced Institute of Science and Technology, Japan University or Agency: Sirindhorn International Institute of Technology, Thammasat University Field of Expertise: Logistics and supply chain management, Innovation management, Uncertainty modeling and its applications to supply chain management, Decision analysis Address: Bangkadi Campus, 131 Moo 5, Tiwanont Rd., Bangkadi, Pathum Thani 12000

ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตรและสังคมศาสตร และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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WECHAT USE TO FORM THE SOCIAL CAPITAL FROM THE PERSPECTIVE OF TECHNOLOGY ACCEPTANCE Haihui Guo1 and Yunlong Duan2 1,2Chinese Graduate School, Panyapiwat Institute of Management

Abstract

Functional features of SNS attract user’s intention to use SNS. WeChat is the top SNS widely adopted by users in Chinese culture context. The objective of this paper is to examine how social capital of WeChat users are formed as the outcome of daily use of WeChat from the technology’s perspective. A new approach to interpret the continuance use intention as strategies of self-presentation and social support were introduced and investigated. The outcomes confirmed the continuance uses of WeChat have positive influence on the formation of individual’s social capital. It’s recommended that enterprise management needs to take a serious step into the initiate of WeChat kind of SNS Apps to promote customers. Keywords: Self-presentation, WeChat, Social Capital Formation, Technology Readiness

Corresponding Author E-mail: 171053221@qq.com

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Introduction

Humans are social creatures and need to socialize and be connected. When internet rapidly provides connections between parts of the world, social networking sites (SNSs) with a wide variety of communication features are adopted by users. Few constraints are on the way to the growth of online connections. SNS allows users to create profiles, bio-data, and hobbies and so on of the account holder on the site which ultimately provide platform to users to present him/her online. In addition, they provide flexible and personalized modes of sociability, offering individuals to sustain strong and weak ties through the full-spectrum of online strategies (Ellison, Heino & Gibbs, 2006). The expressions of online sociability, or self-presentation, permit users to pursue social actions by differing levels of involvement, moves, and multi-task (Hargittai & Hsieh, 2010). Facebook is the most popular SNS in USA, while WeChat is attracting more than 900 million active users monthly worldwide (CAICT, 2017). Most of WeChat users are from China. Chinese have a tradition to pay attention to care relationships. WeChat provide full-spectrum of features for Chinese and the international users to initiate and maintain social relationships. Users can publish messages to large audiences using status updates, write posts, repost, comment and view, like, chat, send messages the user wishes to keep private, and so on. To distinguish among different kinds of WeChat features usage, a mass media framework, called the uses and gratifications approach,

enables the study on how users select media and content to fit to their individual needs. Katz, Blumler & Gurevich (1974) put forward the theory of uses and gratifications. Recent studies indicate researchers have applied this instrument to internet field to identify a wide range of motives driving the use of various online sites and services, including SNSs such as Myspace and Facebook (Papacharissi & Mendlson, 2010). Given the wide variety of functional features available to users to behave on these sites, users motives for employ the various features are likely to differ. The Technology Acceptance Model (TAM) has been used to explain the acceptance, adoption and use of information technologies (Davis, 1989; Legris, Ingham & Collerette, 2003; Serenko, Bontis & Detlor, 2007). Researchers introduce new variables to the construct of determinants of the TAM model to understand the specific features of certain information technology, then many revised model evolved from TAM (Lin, Shih & Sher, 2007; Chen, Chen & Chen, 2009; Lee, 2009). Although SNSs experienced about more than ten years of growth acceptance of users globally, as for WeChat for 7 years in China, the popularity and huge growth of WeChat users shape a technology phenomenon, which attract business academy to understand the acceptance, identify the factors, and measure the correlations and relationships among these determinants as well. Revised TAM models can be employed to help for analysis. Studies concentrate on the social and psychological impact of social media to

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partially explain the relationship between technology acceptance on the perspective of SNS users and the formation of social capital, especially take Myspace, Facebook and Twitter as examples (Steinfield, Ellison & Lampe, 2008; Jin, 2013). The Chinese users share common concerns while bearing wide range of characteristics, so does WeChat comparison with its international counterparts. Thus this study was intended to analyze the relations between specific feature adoption behavior and the intended outcomes of WeChat uses in an empirical way. In particular, using a revised TAM model, the study explored mechanism of user’s self-presentation behavior impact on personal online social capital considering the daily usage of WeChat under the condition of Chinese culture.

Literature Review

Starting the service in 2011 as an APP with Android and iOS versions running on mobile phones, WeChat successfully attracts the eyeballs of general Chinese. Chan (2015) puts it as the one App ruling the life of common Chinese people. WeChat serves not just a messaging App; it is actually more of a personal portal, a platform, and even a mobile operating system to communicate with any other end of the world. More works study on international SNSs such as Facebook, Myspace, and Twitter phenomenon, while few on WeChat. Most of the users of WeChat are from China with rapid growth of international users. WeChat shares features of Facebook or Twitter kink, and is

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endowed with unique properties fit to the needs of people’s daily work and life, offering great support to presentation and communication. Social Network Sites Use for Gratification Since uses and gratification (U&G) theory was introduced by Katz, Blumler & Gurevich (1974), it is widely used in academia to provide the theoretical framework to analyze how mass media fulfilling the needs of individual users with different motives and purposes. The research framework was well applied to study on the users’ attitudes toward technologies, covering for using the VCR (Levy, 1987), watching cable TV (Becker, Dunwoody & Rafaell, 1983), surfing the internet (Papacharissi & Rubin, 2000), reality TV (Papacharissi & Mendelson, 2010), etc. Katz, Blumler & Gurevich (1974) pointed out the recursive relation between expectations of user and practices inherent in U&G approaches, which inspect the “social and psychological origins of needs, which generate expectations of the mass media or other sources, which lead to differential patterns of media exposure, resulting in need gratifications and other consequences”. They indicate that U&G schemes have two distinct approaches: how needs are gratified by media exposure and how gratifications reconstruct needs. Social network sites attract humans’ attentions as it is both kind of media and technology. SNSs are networked social interfaces, which help disseminate information through social circles or ties. Individual can present his/her impression on the SNSs, and be exposed to impressions of other individuals online. Lots of research explores

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the various aspects of Facebook usage, the international counterpart of WeChat. Research into SNSs have established an evidence that SNSs more often provide opportunity to articulate relationships from offline to online and maintain existing connections online (Lampe, Ellison & Steinfield, 2006; Boyd & Ellison, 2007; Papacarissi & Mendelson, 2010; Abro & Zhenfang, 2013). Some studies showed that Facebook features help enable the connections and the connections that are built reflect similar closeness of ties between offline and online ties (Lampe, Ellison & Steinfield, 2007; Gilbert & Karahalios, 2009). However, the use of SNS varies among users (Burke, Kraut & Marlow, 2011). Some individuals use the site actively leading to less loneliness, while some passively, much loneliness (Burke, Kraut & Marlow, 2011). Researches on SNSs advance interdisciplinary interest and evidence of evolving social behaviors online. Strategies including self-presentation or self-disclosure and impression management are employed as a starting point to conceptualize the use behaviors on SNSs (Boyd & Heer, 2006). Lampe et al. (2010) took U&G as to what motives did impact on contents production in SNSs, in which they explained that users have differing motives to engage in different types of contribution. Cheung, Chiu & Lee (2011) investigated the driving forces for students to engage on SNSs, and took it as an intentional social action for most of the student samples. Hirst et al. (2009) concluded their motivational study and found that users of SNSs use these sites for social benefits like information sharing/

seeking and job searching, some of the users’ motivation was to meet new people and find new friends. Hence, U&G can be applied as a useful approach to understand the WeChat users. Taken together briefly, the literature indicates that Facebook can support a wide range of social activities. Given the heterogeneous nature of Facebook and WeChat, and the diversity of users of these sites, it can be presumed that users employ WeChat for different motives and each reason counts. Measure of WeChat Use Motives determine the intention of users of SNS by gratifying certain needs they wish to cherish. Papacharissi & Mendelson (2010) and Smock et al. (2011) adopted uses U&G approach to identify the motive categories and features categories, and examined the relationship between these two categories factors. Motives category include 8 dimensions: relaxing entertainment, cool and new trends, escapism, companionship, habitual pass-time, professional advancement, social interaction, and expressive information sharing. The features category include 6 types: status updates, comments, wall posts, private messages, chat, and groups. Short messages of status updates by users are visible to other users via the APP concept, friend circle. WeChat goes online since 2011, and attracts more than 900 million active users monthly worldwide (CAICT, 2017). Scholars begin to pay attention to the academic research on topics of WeChat. Subject to literature limitation, this paper extends the SNSs research and applies to WeChat starting by specifically exploring

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users’ motivations pertinent to specific features of WeChat, rather than use of the site as a whole. Typically self-reported metrics such as estimation of time on the SNS (Joinson, 2008), number of friends (Tong et al., 2008), and intensity scale are used as the measurement indicators in the researches. All user-generated content on WeChat can be commented on, liked, quoted, and grouped circles, unless the owner of the content has used a privacy setting to restrict comments. Here as for the features category, 6 types are widely used by individuals including: status updates, comments, quotes, redpocket, chat, and groups. Social Capital Theory and Social Network Site Use Social capital broadly refers to resources accrued through interactions and relationship among people (Coleman, 1988; Putnam, 2000; Lin, 2001), with focus on social interactions differing from economic capital and human capital. Bourdieu & Wacquant (1992) put it as “the sum of the resources, actual or virtual, that accrue to an individual or a group by virtue of possessing a durable network of more or less institutionalized relationships of mutual acquaintances and recognition”. As internet is becoming inseparable part of life of many users which enables him/her with varied instruments to connect with existing relationships and provides opportunity to initiate a new relationship or tie in social networking sites (Boase & Wellman, 2006; Ryberg & Larsen, 2008). Brandtzaeg & Heim (2009) studied on the motives triggers people into using SNSs, finding 11 important

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reasons and several sub-reasons as motives among which “to get in contact with new” (31%) was the main motivational reason to use SNSs, while “to maintaining offline contacts” (21%) and “to get general socializations” (14%) were the second and the third respectively on the list. Ko & Kuo (2009) found self-discourse enhances social capital and social capital served as a conduit between self-disclosure and subjective well-being in building intimate relationships among bloggers. SNS use was taken as a factor to predict social capital creation and maintenance (Subrahmanyam & Greenfield, 2008; Steinfield, Ellison & Lampe, 2008). Intensive use of SNS influenced social capital particular bonding social capital which signifies the strong ties such as family and close friends (Ellison, Heino & Gibbs, 2006; Vitak, Ellison & Steinfield, 2011; Abro & Zhenfang, 2013). Studies proved the social capital on SNS by observing Facebook intensity and the social capital variables like life satisfaction, trust and participation (Valenzuela, Park & Kee, 2009). Social capital on SNSs has been studies from cross culture perspective to reflect the differences among varied uses of distinct culture background. Cultural settings can be interpreter for the social capital building (Choi et al., 2011). It’s indicated that individualistic society like USA were more prone towards bridging social capital while collectivistic culture like Koreans were found perpetuating bonding social capital (Kim, Sohn & Choi, 2011). Nonetheless, current literature of the field regarding social capital and SNSs use lacks the factors of motive,

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more so it has been conducted in western context and on the top SNSs like Facebook, Myspace and Twitter. WeChat embraces the same amount of active users as Facebook does, while WeChat users are from Asian context. Some distinct characters between the uses are predicted to have different findings. Therefore, it is reasonable to identify the social capital categories when interpret the relationship between the use of WeChat and the formation of online social capital. Tam on Study of Use of SNS Sites Davis (1989) introduced two constructs, perceived usefulness and perceived ease of use, to the Theory of Reasoned Action to get the Technology Acceptance Model. Perceived usefulness measures the extent to which a user believes that using a particular technology system leads to enhance his or her performance. Perceived ease of use measure the extent to which a user believes that using the technology system is free of effort. Since then, TAM is widely applied to empirically explain offline behaviors with acceptance use of technology systems, and online behaviors as well. Later on many construct were introduced to TAM to explain technology of different categories (Lin, Shih & Sher, 2007). As the advancement of technology evolve, online information systems is becoming pervasive computing system matching the daily life of people, such as social network sites (SNSs), Facebook and WeChat. The technology system is giving the sense of optimism and innovativeness to its users with more ubiquitous support and

convenience.

Conceptual Model and Hypothesis

When new technology advanced and applied by enterprises, huge amount of capital and effort investment to the technology to build competitive advantage. TAM mode was widely employed to observe the adoption of technology by users. Only the technology is ready to go and accepted by users, can the enterprise make the most of the investment for the technology. The deployment of information technology is to enable the users for better efficiency and effectiveness to run the business operations. However, SNSs are becoming a public information infrastructure, and are platforms for all individuals who can share the usage. As a popular SNS product in China, WeChat provides a variety of functional features for individuals to connect his/her peers, or share or publish information, process the daily information works, and build his/her own e-identity. This paper is about to identify the relationship of use of WeChat and social capital formation of the users in the context of Chinese culture. So, the TAM mode can be revised to fit to the research framework of this study. Continuance use intention of WeChat can be divided into two categories: self-presentation and social support. Then, TAM’s measurement variables can be revised to fit the technology features of WeChat. Herewith, the WeChat users’ perception of usefulness and ease of use served as mediated variables. Social capital formation is the intended outcome of WeChat continuing use intention.

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Lin, Shih & Sher (2007) introduce the technology readiness index to measure an individual’s attitude against use of new technology from two categories: positive technology readiness and negative technology readiness. In regards of the number of users of WeChat, it is the only one dominant SNS player in China. Hence, from the perspective of technology, negative technology variables like discomfort and insecurity can be overlooked, and so does the attitude toward using the technology. Therefore, the paper proposes the hypothesis: H1: Positive technology readiness of WeChat has a positive influence on WeChat users’ acceptance of WeChat with regards of perception of usefulness and ease of use. To make the most of effort input to continue the use of WeChat, the behavior intentions of WeChat users may derive from strategies of self-presentations and social support to other users. WeChat users are happy to join WeChat and spend time on it to get the sense of connected, which strengthens bonds with people of interest and colleagues as well. As the nature

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of SNS sites, WeChat provide users with the accumulation of building of social capital. Hence, the paper develops the hypotheses: H2: WeChat user’s perception of acceptance has a positive influence on his/her continuance use behaviors of self-presentation or social support. H3: WeChat users’ continuance behavior on WeChat has a positive influence on the formation of his/her social capital. As described above, users of WeChat can perform continuance strategic behaviors of self-presentation and social support in order to maintain existing relationships, or initiate new connections. The other user in the system can identify the user with whom he/she have relationship with. The technology readiness of WeChat is positive enough to attract huge amount of users on the WeChat (Chan, 2015). The perceived usefulness (PU) and perceived ease of use (PEOU) are the normal factors as the indicators of acceptance of technology. Here introduced the conceptual model of the paper depicted in Figure 1.

Figure 1 The conceptual model

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Research Methodology

Sample The paper is aimed at the active user’s continuance use behavior of WeChat online, and the outcome of the formation of the social capital. The active user of WeChat for the sample is better to access the account for at least 3 times a week. Guo, Shim & Otondo (2010) found 73% of SNS users in China are between 13 and 34 years old. As the WeChat attract most of the SNS user in China, this paper targets the sample aged from 18 to 40. 9 classes of undergraduate and postgraduate students within our university were surveyed about their perception, acceptance and use behavior of WeChat. A total of 316 questionnaires were collected, among which 283 met the principles for further analysis. Measures The measure of positive technology readiness attitude of an individual is based on two aspects: optimism and innovativeness (Lin, Shih & Sher, 2007). 4 items for optimism and 3 items for innovativeness were adapted from relevant research in terms of factor loadings (Lai & Li, 2005; Lin, Shih & Sher, 2007; Hsu & Lin, 2008). The paper agrees with the unified view proposed by Venkatesh, Morris & Davis (2003) and generates 6 items to measure the individual’s

acceptance of WeChat from two categories: perceived usefulness and perceived ease of use. As for WeChat continuance use behaviors of self-presentation category, the paper employees 4 items as a set of measurement based on the research of Park & Chung (2011). 3 items adapted from the work of Dunkel & Brooks (2009) to measure the social support behavior of WeChat users. 9 items were adapted to measure the formation of social capital of WeChat users from 3 aspects: trust, reciprocity, and social participation (Steinfield, Ellison & Lampe, 2008; Pfeil, Arjan & Zaphiris, 2009). All list items were measured by a 5-point Likert scale ranging from “strongly disagree = 1” to “strongly agree = 5”. The constructs and items are listed in appendix table.

Results

Reliability and Validity Check This paper performs the Covariance Structure Analysis using SPSS 21.0 and AMOS 21.0. Internal consistency of the constructs is assessed, which showed in Table 1. The detail information in lists such as Cronbach’s alpha and AVE of Table 1 shows that constructs satisfy the requirement for the analysis. Further steps can be exercised to carry out.

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Table 1 Internal consistency of the constructs Constructs

Items

Cronbach’s alpha

Composite reliability

OPTM INNV PEOU PUSF SFPR SSPT FOSC

4 3 3 3 4 3 9

0.89 0.81 0.86 0.87 0.81 0.78 0.83

0.91 0.92 0.88 0.85 0.86 0.82 0.87

Compare the average variance extracted from two constructs with the square of the correlation between them, the paper get the result data populated to Table 2. According to the suggestion of Fornell & Larcker (1981), the

Average variance extracted 0.71 0.68 0.60 0.65 0.68 0.57 0.65

average variance extracted of construct should be greater than the squared correlations between any two constructs. The outcome supports the discriminant validity.

Table 2 Discriminant validity OPTM INNV PEOU PUSF SFPR SSPT FOSC

OPTM 0.71 0.21 0.18 0.16 0.02 0.22 0.28

INNV

PEOU

PUSF

SFPR

SSPT

FOSC

0.68 0.11 0.18 0.05 0.08 0.13

0.60 0.14 0.34 0.45 0.53

0.65 0.08 0.04 0.06

0.68 0.18 0.28

0.57 0.44

0.65

Note: Diagonal elements are average variance extracted. Off-diagonal elements are squared correlations between constructs.

Casual Model Analysis

Structural equation model was employed to verify the mediator role of technology acceptance and WeChat continuance use behavior along

the path. According to Alwin & Hauser (1975), the paper performs required procedures for building a structural equation model, and checks its goodness of fit. The structural equation

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model with standard coefficients for paths are depicted in Figure 2. The data result was populated into Table 3. As the data indicate,

the SEM satisfied at the p<0.05 and p<0.01 levels. All hypothesis tests are accepted.

Figure 2 The structural equation model diagram with coefficients Table 3 Hypothesis test and goodness of fit of the structural equation Hypothesis path Std. coefficient 0.49*** OPTM → PEOU 0.27** INNV → PEOU 0.14*** OPTM → PUSF 0.18** INNV → PUSF 0.34** PEOU → SFPR 0.35** PUSF → SFPR 0.26** PEOU → SSPT 0.41** PUSF → SSPT 0.33** SFPR → FOSC 0.48*** SSPT → FOSC Goodness of fit indicators χ2 χ2/DF p DF 0.05 111 136.33 1.23 ***p<0.01 **p<0.05

Std. error 0.09 1.2 0.08 1.7 1.5 1.8 1.8 1.4 1.1 0.09 GFI 0.87

AGFI 0.82

T 4.23 2.27 3.78 2.18 2.52 2.19 2.33 2.71 2.07 4.47 RMR 0.04

Hypothesis tests Accepted Accepted Accepted Accepted Accepted Accepted Accepted Accepted Accepted Accepted NFI 0.88

RMSEA 0.04

CFI 0.97

(marginally significant) (marginally significant)

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Conclusion

Discussion This paper is to examine the WeChat users’ perception, intentions and behavior, contribute to the study of WeChat literature. The results from the study on WeChat share the same findings as on Facebook. This paper results confirm the path effects showing that users’ awareness of positive technology readiness (both the factor of optimism and innovativeness) has a positive influence on the users’ perception of WeChat adoption. Although WeChat and Facebook belongs to SNS, they have distinct features, and their users have different culture background. Chinese use of social media grow faster than the rest of the world. Many WeChat users have the habit to access their account daily and maintain their posts, profiles, moves of their circles, etc. Most of WeChat users employ behavior strategy to head to be a high-profiled e-identity. The continuance use of WeChat typically are of self-presentation strategy or social support. This paper confirms the positive influence of users’ perception of WeChat have on the users’ continuance use of WeChat. By taking strategy of present a high-profiled e-identity online, or making moves to enhance social connections and offer support to his/her peers online, WeChat user can accumulate his/her social capital. Then, an important micro-business mode other than general C2C e-commerce emerged. High-profiled WeChat user who have a higher level of social capital can invest his/her social capital to start business.

297

Chinese individual with higher attitude of positive technology readiness can easily recognize the functional features of WeChat, and use the mobile app to support their daily life, making life easier, happier, and for fun. Redpacket is new form of features attract majority of WeChat users to participate. From the start it is very traditional Chinese move to show the luck given by between individuals. Now the feature is accepted by other SNS apps. With a daily use of WeChat, the user accumulates his/her social capital. When tipping point is triggered, the user can be a WeChat business man. This paper provide answers to the occurrence of this phenomenon in China. And the business logic is partially explained. Practical Implication for Management The first and foremost implications for individuals is to take behavior strategies to manage his/her WeChat account. WeChat use can form one kind of capital, called social capital. Users with motives of taking self-presentation strategy or social support strategy can enhance the accumulation of the social capital. Similarly, the implication of individual’s use of WeChat applied for enterprise managers. WeChat is becoming more and more open. New great features attract users’ attention, some of which is aimed for business applications. Formulating enterprise marketing strategy should take WeChat kind of SNS into consideration, and should increase opportunities for customers to interact, which promotes the development of deeper relationships between customers and the organization.

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Positive technology readiness is key component of WeChat kind of SNS service, and play a key role in customer adoption and use of such media. The service provider need to take it into consideration to improve the readyto-go. Limitations As most of the study goes, this paper suffers from several limitations. First, because the sample of this paper is from university campus, perception of features of WeChat for work is not examined. And university undergraduates have the better understanding of technology readiness. Some favor may rise. Second, the

behavior strategy of use SNS is presented but there is no sound theory to discuss the two (self-presentation and social support) complete the set. Ground theory can be applied to build the complete construct if permitted.

Acknowledgements

The authors would like to thank the editor, and anonymous reviewers for their excellent comments and suggestions. Thanks the support work of the authors’ affiliation institution: Yunnan University of Finance & Economics. The authors take the full responsibility for the credit of the paper.

Appendix Constructs and items Positive technology readiness Optimism (OPTM) • Technological functional features of SNS gives me more control over my daily life • I use most of the technological functional features of SNS available • Technological functional features of SNS make me more efficient in my occupation • Learning about new features of SNS can be rewarding Innovativeness (INNV) • I keep up with the newly released functional features of SNS in my areas of interest • I enjoy being aware of the newly released high-tech gadgets and new issues as well • I find it’s less difficult for me in making technology work and new function of SNS for me than other

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Constructs and items Technology acceptance Perceived ease of use (PEOU) • Tools of WeChat are easy to use • How to use WeChat is clear • It is easy to explain how to use WeChat services Perceived usefulness (PUSF) • I can acquire information I need through many WeChat services • I can use the information acquired from WeChat with good results • I can acquire useful and interesting information from WeChat WeChat continuance use behavior Self-presentation (SFPR) • I am honesty to my express on WeChat • I spend as much time as possible and post as much as possible on WeChat • I have a clear mind when I make a post on WeChat • I seldom express my negative feeling on WeChat Social support (SSPT) • I would response when I see a question and ask-for-help from a contact of mine • I would care and response when I deem my contact is not of good mood based on his/her negative post • I would repost if I cannot solve the ask-for-help Formation of social capital (FOSC) • I think people who I meet through WeChat are believable • I think that people who I meet through WeChat can be trusted • I think that people who I meet through WeChat are not unfair or egotistical • I feel strong solidarity with people I meet using WeChat • I feel fellowship with people I meet using WeChat • I feel a sense of comradeship for reciprocity with people I meet using WeChat • I have a strong tendency to participate in on-campus organizational bodies • I have a strong tendency to take a lead role in certain functional areas of management level of my class if permitted • I have a strong tendency to participate in social organizations or political parties after I graduate

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Ryberg, T. & Larsen, M. C. (2008). Networked identities: understanding relationships between strong and weak ties in networked environments. Journal of Computer Assisted Learning, 24(2), 103-115. Serenko, A., Bontis, N. & Detlor, B. (2007). End-user adoption of animated interface agents in everyday work applications. Behavior & Information Technology, 26(2), 119-132. Smock, A. D., Ellison, N. B., Lampe, C. & Wohn, D. Y. (2011). Facebook as a toolkit: a use and gratification approach to unbundling feature use. Computer in Human Behavior, 27(6), 2322-2329. Steinfield, C., Ellison, N. B. & Lampe, C. (2008). Online social network use, self-esteem, and social capital: a longitudinal analysis. Journal of Applied Developmental Psychology, 29(6), 434-445. Subrahmanyam, K. & Greenfield, P. (2008). Communicating online: adolescent relationships and the media. Online Communication and Adolescent Relationships, the Future of Children, 18(1), 119-146. Tong, S. T., Heide, B. V. D., Langwell, L. & Walther, J. B. (2008). Too much of a good thing? The relationship between number of friends and interpersonal impressions on Facebook. Journal of Computer-Mediated Communication, 13(3), 531-549. Valenzuela, S., Park, N. S. & Kee, K. F. (2009). Is there social capital in a social network site? Facebook use and college students’ life satisfaction, trust, and participation. Journal of Computer-Mediated Communication, 14(4), 875-901. Venkatesh, V., Morris, M. G. & Davis, F. D. (2003). User acceptance of information technology: toward a unified view. MIS Quarterly, 27(3), 425-578. Vitak, J., Ellison, N. B. & Steinfield, C. (2011). The ties that bond: reexaming the relationship between Facebook use and bonding social capital. Proceedings of 44th IEEE Havaii International conference, 1-10.

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Name and Surname: Haihui Guo Highest Education: Ph.D. Candidate, Panyapiwat Institute of Management University or Agency: Panyapiwat Institute of Management Field of Expertise: Innovative Business & Management Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120 Name and Surname: Yunlong Duan Highest Education: Postdoctoral of General Management, Nanjing University, China University or Agency: Panyapiwat Institute of Management Field of Expertise: Innovation Management Address: 85/1 Moo 2, Chaengwattana Rd., Bang Talad, Pakkred, Nonthaburi 11120

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巴金的翻译小说在泰国的传播与接受

BAJIN’S TRANSLATED NOVELS’ SPREADING AND RECEIVING IN THAILAND 丽慧

Preeyakorn Boontham 那空帕农大学中文讲师

Chinese Program, Nakhon Phanom University

摘要

本文的目的主要针对泰国读者对巴金作品的接受情况进行研究与分析，泰国读者对巴金作品的

接受原因以及对巴金作品的文学价值认同。本文发现巴金的作品有现实主义的特色，充分地反映了封建时代的中国社会，反映了二战期间中国人民的阶级与生活状况。作家巴金还描述了 “五四运动” 后的中国青年人为了获得自由生活而反抗封建阶级的斗争。本文还发现泰国读者对巴金作品的接受有深刻的思想价值与文学价值，作家有以独特方式讲故事的能力。关键词: 巴金、翻译小说、泰国、传播、接受

Abstract

This article was aimed to investigate the literature works of Ba Jin that have been disseminated in Thailand as well as the underlying causes of public acknowledgement and the values found in the literature. A study found that his works have distinguishing features on literacy realism that result from the political conflicts between the government and its people. The writer assembled his own personal experiences in life through the novels by expressing the determined-ideology in fighting for freedom to live a life. Moreover, Thai readers also experience the excellence of the art in literature and the cognitive profundity of the author through fictional characters in a particularly unique way. Keywords: Ba Jin, Translated Chinese novels, Thailand, Dissemination, Acknowledgement

Corresponding Author E-mail: Poona_chi@hotmail.com

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306 前言

学思潮共同构成了反娱乐、为人生的文学氛围。

巴金是中国现当代文学史上最为重要的作家

之一，在海外也享誉盛名，是一名具有世界影响力

1. 巴金作品在泰国传播与接受的情况

的作家。他的作品跨域半个世纪，从 20 世纪 30

年代写到 20 世纪 80 年代，并在 1980 年后传入

翻译了巴金的作品，共印刷了三次，翻译的八部作

泰国，为泰国人所阅读和知晓。巴金作品在泰国

品分别是《家》、《死去的太阳》、《灭亡》、《新生》

先后被两位作家翻译，三次出版，受到了广大读者

《寒夜》、《春》、《春天里的秋天》和《第四病室》，

的欢迎和接受。虽然巴金是横跨现当代的多产作

其中最受读者欢迎的是《家》。《家》是第一部被

家，不过被泰国翻译和传播的小说多为他写于二

翻成泰语，也是印刷册数最多的巴金作品。

战之前的小说。由于作家前期具有反叛封建专制

统治的气质，所以写了很多批判封建家庭，争取青

时代出版社 (Yukmai Publisher) 出版，发行了

年婚姻自由、人身自由的小说，这些作品表达了

5000 册，受到广大读者的欢迎。 1983 年《家》

作家青年时期的爱与梦，因此，在泰国读者接受过

再版，由雨云出版社 (Makefon Publisher) 发行，

程中，巴金是一位富有浪漫气息和理性批判的作家，

1989 年《家》第三版，由薇帕•玉达玛禅 (Wipa

不同于鲁迅的深刻、老舍的讽刺和茅盾专注于现

Utamachan) 翻译，南美出版社 (Nanmee Publisher)

实的风格。尤其在 20 世纪 70 年代末的泰国，

发行。整个 20 世纪 80 年代，巴金的《家》一直

正是 “为人生” 与 “新浪潮” 两种文学思潮并进

在不断翻印，占据着泰国的图书市场。除了最受欢

的时期，这使得巴金的小说有了很广泛的市场，

迎的《家》之外，《新生》、《灭亡》、《死去的太阳》

此外，浪漫与写实同时存在的风格让他的作品在

、《寒夜》、《春》、《春天里的秋天》和《第四病室》

泰国很受欢迎，不但获得了文学界评论家的关注

也得到了不同程度的传播。 1981 年 7 月博批莱•

和阐释，也受到了民间读者的喜爱。巴金既注重

勒泰 (Phetpilai Ruthai) 和泽•坦马郎山 (Jade

对社会现实的描写，揭露了当时的黑暗统治和封

Thammarungsun) 翻译了《新生》，由嘉度假出版社

建大家庭的腐朽，又描写了当时青年人的苦闷、反

(Chatuchak Publisher) 出版； 1981 年 4 月泽•

叛和痛苦，从现实写到心灵，寓意深刻，涉及层面

坦马朗山 (Jade Thammarungsun) 和伟瓦•降瓦塔

广泛，触及了当时的社会问题，也触及了青年人的

纳翁 (Wiwat Rungwattanawong) 翻译的《灭亡》

心理，能够引起读者的共鸣。因此，巴金的小说在

由瑟西萨言出版 (Suaksitsiam Publisher) 社出

泰国的传播具有广泛性和普遍性。

版； 1982 年 11 月纳雷亚 (Nareeya) 翻译的《春》

巴金作品的思想性和社会性适应了泰国 70

由小草出版社 (Dokya Publisher) 出版； 1982 年

年代 “为人生” 的文学思潮，对于传播严肃文学，

4 月纳提•阿鲁诺泰 (Natee Arunothai) 翻译的

提高人们的精神层次起到了一定的作用，同时巴

《寒夜》由爱戴书信出版社 (Piyasan Publisher)

金小说中对人物形象的塑造以及抒情手法的运用

出版； 1988 年纳雷亚 (Nareeya) 翻译的《第四

使得他的作品在文学性上获得很大的成就，对于

病室》由万泰出版社 (Wontip Publisher) 出版。

泰国小说的转型有启示意义。同时他的作品又迎

仅次于《家》的欢迎程度的是《死去的太阳》和

合了时代的趋势，让先前沉迷于侦探、言情、悬疑

《春天里的秋天》。 1980 年 8 月泽•坦马郎山 (Jade

等大众通俗小说的读者有了新的体验，与泰国文

Thammarungsun) 翻译的《死去的太阳》纳帕拉出

从 1980 年起至 1989 年，先后有两位翻译者

1980 年阿尼瓦 (Aniwat) 翻译的《家》，由新

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版社 (Nopparat Publisher) 出版，印刷数量达到

也将悲剧推向了高潮，最终以家庭分裂、人的死

3000 本，出版了两次； 1985 年 3 月《春天里的

亡为结局，不过希望没有泯灭，三弟觉慧出走，

秋天》由谭国安 (Kosak Thamcharonkij) 翻译，

挣脱了黑暗的封建大家庭，预示着青年一代的反

奔差出版社 (Boonchai Publisher) 出版，也受到

抗与新生。这部小说继承了中国 “五四” 思潮中

了广泛好评。

的抗争精神，是中国现实的反映，也表达了作家争

巴金作品广受好评，不断再版的原因除了作

取自由、向往光明的心声，它最能体现当时年轻人

品本身具有很高的艺术价值外，还得益于翻译者

的心态。历史的发展往往是相似的，泰国也曾经

精湛的翻译水平，译者最大限度地保留了原著的

历了这样一个时期，大家族中充满矛盾，几代人之

原貌，提取了原著精髓，译文流畅，用词准确，极

间存在冲突，老一辈人越是专制，年青一代人就越

大地突出了作者的愿意，保留了作品的神采。巴

是反抗，旧式家庭腐朽落后，限制了年轻人的思想，

金作品的翻译者大多是精通中泰语言文化的学者，

压抑着他们鲜活的思维。泰国文学中反映此种题

并曾多次翻译中国作品。其中阿尼瓦 (Aniwat)

材的小说很多。代表作品有西巫拉帕 (Sriburapha)

曾经翻译过老舍的《月牙儿》；薇帕•玉达玛禅

的《向前看》和《以罪斗争》，还有克立巴莫亲王

(Wipa Utamachan) 不仅翻译了巴金的《家》，还曾

(M. R. Kukrit Pramoj) 的《四朝代》。很多中泰学

经翻译过鲁迅的《明天》；纳雷亚（塔伟卧）翻译

者对《四朝代》和《家》做了比较研究。这两部

了巴金的两本小说《春》和《第四病室》；泽•

小说都是描写家族几代人的现实生活和矛盾纷争，

坦马郎山 (Jade Thammarungsun) 翻译巴金作品三

题材相似、故事情节和人物形象的结构在很多方面

本小说《死去的太阳》、《新生》和《灭亡》。他们

都有共同点，反映了中泰社会类似的问题。《四朝

不单单只是将中文翻译成泰语，更重要的是在自

代》的作者克立巴莫亲王 (M. R. Kukrit Pramoj)，

己理解原作者的基础上，将小说讲给泰国读者听，

他虽然出生王族，却眼界开阔，思想前卫，早年在

使他们尽可能地理解作品，贴近作者，并且联系泰

英国留学，后因政治不顺，转向文学创作，写了中

国自身，引人深思。

国历史小说《终身丞相曹操》和《慈禧太后》。

《家》写了一个祖孙三代的大家族的故事，主

克立巴莫亲王 (M. R. Kukrit Pramoj) 根据自身的

要通过 “觉” 字辈的孙儿与高老太爷的矛盾为线

经历，结合庞大的家族体系以及泰国政局的变动，

索，揭露了中国封建大家庭的专制、黑暗、愚昧与

讲述了王室成员之间的故事。作品以泰国 20 世纪

压抑人性的现实，也表现了青年一代的觉醒和反

50 年代的社会改革为背景，体现了当时政治的动

抗，控诉了高老太爷的专断，同时也批判了中国封

荡，以及军人政府上台导致的王室危机，通过政局

建式的家庭管制，高歌了青年一代敢于冲破束缚

变化来推动人物情节的开展。作品中的人物个性

的勇气和追求光明和自由的崇高理想。这部作品

鲜明，深深地打上了时代的烙印，他们在新旧传统

在中国具有典型意义，高老太爷的一家可以反映

观念、礼仪、文化中挣扎，又在历史沉浮中动荡，

当时大多数的封建家庭，是中国封建家庭的一个

很难找到历史的立足点。《四朝代》中最引人注目

历史缩影，映射出很多家庭问题，如新旧一代的思

的两个人物就是达岸和奥德，达岸尊崇礼教、内心

想观念冲突、旧家庭的压抑、封建思想的愚昧、

受到礼法制约，办事中规中矩，看似温顺而有礼，

年轻人追求自由的理想等等，这些由腐朽的封建

实则内心却一直被压抑，他渴望自由，渴望爱情，

思想而引起的三代人的冲突终将导致家庭的悲剧，

希望能够挣脱王室的束缚，找到自己理想的爱人，

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然而现实是残酷的，王室的最高统治者剥夺了他

为代表的封建家庭中的知识女性，她们有独立的

自由恋爱的机会，他只能望着自己的爱人离开他，

思想意识和崇高的追求，能够为了自由、爱情而

最后委曲求全地娶了自己不爱的人，但依旧温顺

与家庭斗争，最终离开家庭，走上了独立自主的道

老实，不敢违拗家长的意见。奥德冲动鲁莽，敢于

路；瑞珏、梅成为封建礼教下的牺牲品，她们温婉

追求自己想要的一切，他可以不顾自己家人的反

柔顺，不敢违抗，最后却以自己的生命成全了封建

对，加入到时代的运动中，甚至公然反驳自己的父

罪恶的要求。鸣凤和妍是封建下层社会的女仆，她

亲。达岸和奥德与《家》中的觉新和觉慧是何其

们更是被压迫被损害的对象，没有权利追求自己

的相似。觉新虽有自己的想法却不敢施行，只能

的幸福，往往经历一番艰辛后最终还是悲剧的结

听从长辈的意见，从自己的爱情婚姻的选择上，

局。泰国与中国虽然文化背景不同，但是发生的

他就开始放弃自己的愿望，到家庭事务的管理上

事件和历史中人物的命运却是相似的，这些女性

也尽量使得高老太爷满意，可尽管如此，他的妻子

形象都是时代的缩影，也是揭示社会悲剧和女性

还是死在封建家庭的专制愚昧上，他性格软弱，

悲剧根源的典范。巴金的《家》反映了 “五四”

惟命是从，终于在最后他认清了现实，从妻子死亡

之后青年人觉醒，勇于与旧式大家庭反抗斗争甚

的悲痛中觉醒，决心反抗这个万恶的旧家庭。觉慧

至决裂。《以罪斗争》写于泰国 1934 年封建现代

有理想、冲动，不乏年轻人反叛的幼稚，可是却敢

交汇时期，年轻人与老年人的矛盾冲突，从不同角

于与一切不合理的事物作斗争，这正是年轻人的

度反映了泰国社会新思潮和老思想并存的时代，

希望所在。克立巴莫亲王 (M. R. Kukrit Pramoj)

表达了作者反抗封建黑暗，呼唤理想和光明的到来，

和巴金笔下的诸多人物性格、人物命运都有相似

也抒发了青年人浪漫的情怀和反封建的决心，两

之处，他们都是大历史下被时代席卷的人物，拥有

部作品都深刻反映了封建婚姻制度的可恶与可憎。

了类似的经历和相似的家庭。

克立巴莫亲王 (M. R. Kukrit Pramoj) 和巴金

娟（Tritepung, 2010）她对巴金的《家》、《春》、

都有着敏锐的时代目光，精于观察当时社会上的

《秋与西巫拉帕 (Sriburapha) 的《以罪斗争》

人们，他们又有着青年人的浪漫情怀和不妥协不

中的女性角色做了对比分析，并从中分析小说中

屈服的反叛精神，为这个动荡骚乱的时代注入了

的女性形象的共性与特性，通过人物形象的异同

青年人的心声。克立巴莫亲王 (M. R. Kukrit

透视中泰两国的文化背景、封建思想和伦理道德。

Pramoj) 还写过《封建洋殊途同归人》、《红竹》，

张秋娟（Jaruchawalit, 2010）把巴金的《家》

不同程度地反映了泰国历史的变迁，与巴金一样

和陈仃的《三聘姑娘》做了对比分析，进而对中国

是站在时代前沿的独立思考者，对泰国的发展和

20 世纪 30 年代和泰国 20 世纪 50 年代做对比，

人们思想变化有很多具体的展现。

认为两个时期都是中泰两国相对思想活跃，是新

巴金的《家》与西巫拉帕 (Sriburapha) 的

旧思想交替的时代，所处历史中的人物就会受到

《以罪斗争》中的女性形象很相似。作家通过把握

两种思想的冲击，在认同本身和妥协社会之间摇

时代不同女性的形象特征、性格特点和历史命运，

摆、徘徊和不断抗争。从人物透视出整个社会现

揭示了封建礼教和伦理道德对女性的伤害，体现了

实和时代文化；对中泰文学比较有很大的意义。

时代女性的思想意识的精神世界。《家》与《以罪

斗争》中的女性可以分为三类：一类是琴、婉鹏

不论是他的思想和作品都深刻地影响了中国现代

对巴金和泰国作家的作品做比较研究的有;彭

巴金既是中国现代文学史上重要的作家之一，

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文学的发展，他的作品在泰国也最多，读者对他的

高统治者。由于政治混乱，政策更迭，很多政策没

喜欢不亚于鲁迅和老舍，而且多部作品引起了泰

有全面实施就被搁置，因此社会一直处在动荡中，

国学者的思考和研究，他们将巴金和本国的作家

百姓也苦不堪言。不过越是社会的动荡期就越是

作品进行对比研究，从人物形象到主体情节和故

新兴思潮传播的盛行期。 1930 年代西方思潮涌入

事主题，找到其间的共性和不同，深度分析到这一

泰国，追求民主、自由的思想迅速传入泰国，对当

结果的历史原因和时代背景。

时的年轻人产生了很大的影响。青年学生游行示威、要求争取民主、争取自由，要求当政者停止斗

2. 巴金作品在泰国传播与接受的原因

争，结束黑暗统治，为光明的到来而呼喊。然而现

巴金小说风靡泰国，受到很多泰国青年的热

实并没有他们期盼的那样美好，虽然封建帝制结

捧，不时传出巴金小说热销泰国的新闻，尤其是很

束了，君主立宪严格控制了君主的专制，然而军官

多青年学生以读巴金的小说为时尚，可见巴金小

登上政治舞台，开始泰国的军官专政。

说非常受欢迎。不仅如此，巴金小说也是学者的

研究对象，他们从巴金小说中获取中国 20 世纪

专制压抑并存，封建家庭虽然开始瓦解，但仍然有

30 年代的信息，加深对中国的了解，另外，他们

顽强的生命力，还牢牢地控制着家族下一代的人

在看中国的演变中仿佛也看到了泰国的相似经历。

身自由和思想观念。在这一个分裂的家庭中，顽固

尤其是青年知识分子对封建家庭的反抗，对黑暗

派的势力开始松动，年轻人的自由思想开始潜滋

社会的失望，他们从充满热情到不满反抗再到失

暗长，虽然他们受到压抑和控制，但他们拥有反叛

望失落，又重新燃起希望，这种情绪恰好也是泰国

的精神和坚定的信念，信仰自由、真善美和光明，

年轻人的真实写照。所以巴金的小说具有时代性

有独立的意识。西巫拉帕 (Sriburapha) 的《以罪

和思想性，启发着人们的觉醒，点燃了人们的反叛

斗争》和《向前看》就是这一时期的代表作，抒发

精神，是青年人的兴奋剂。巴金小说之所以能多

了年轻人不屈不挠，勇于斗争，争取光明的情感。

次再版，并且畅销多年，不仅仅是因为它贴合了泰

与泰国遥相呼应的是刚刚经历了 “五四” 新文化

国的时代特征，还有它体现出精湛的文学艺术。在

运动洗礼的中国，青年人在西方自由主义、民主

思潮过后仍然能流传后世的作品是真正的具有艺

主义、无政府主义等新思潮的引领下，开始了追

术价值。

求光明与自由的探索。巴金也是在这一时期受到

2.1 巴金小说具有深刻的思想价值

鼓舞的，他根据自己的经历，写下了《家》、《春》、

巴金的《家》是一篇在泰国广泛传播，为大众

《秋》等作品。相隔几十年后，这些作品在泰国人

喜爱的作品。小说写于 1931 年，那时刚好是泰国

手中传阅，能够唤醒起长久的历史记忆，回想 1930

的混乱期和改革期。泰国 1932 年由原来的封建

年代的泰国历史，让读者产生了极大的共鸣。

制国家（半殖民地半封建社会）改为君主立宪制

国家，体制刚刚建立，社会混乱，制度不健全，

（Tiyanon, 2014）曾经说： “这两本泰语版的翻译

还有一些野心勃勃的军官，觊觎政权，王室和军政

作品，为了易于读者了解，译者除了使用直译法，

开始了漫长的博弈，由于当时的君主软弱，制度不

还调整了译文使之符合泰国社会的语言表达习

完善，政策又推行不利，因此，君主政权日渐衰落，

惯。” 巴金在作品中，通过男女之间的爱情悲剧，

而军政大臣则趁机把控政权，成了国家实际的最

揭露了封建大家族的黑暗，批判了封建社会的专制，

这一时期，新旧思潮交汇，追求民主、自由和

为了保留作品的原来风貌，那她南•地亚浓

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压抑人性、扭曲灵魂的罪恶。《春》是巴金小说

把女儿送上死路，自己还很得意。现在高克明、

《激流三部曲》中的第二部，这部小说被认为是中

周伯涛这一班人都已经死亡了，年轻人的春天早已

国文学名著。继 1980 年《家》翻译之后，《春》

到来。但是封建制度的流毒还不曾消除干净，在我

在 1982 年 11 月也被翻译成泰文，由于《家》

的四周常出现高克明和周伯涛的鬼魂。然而年轻

在泰国先后被翻译两次，出版三次，受到泰国读者

是前进的，青春是美丽的东西，这是《春》的主题，

的热烈欢迎，于是，《家》的续集《春》《秋》也先

也是让我和读者鼓舞的泉源。春天是永远属于年

后被翻译成泰文，供读者阅读。小草出版社跟阿

轻人的。” 过去已经成为历史，而作家的情怀，引起

尼万（《家》译者）商量后，同意让纳雷亚翻译，让

青年人共鸣的情感诉求却是长久的，充满生命力的。

泰国读者有机会读到中国文学名著。译者在《春》

不论哪个时代，哪个民族，都能体会到人类共同的

的序言中提到，为了满足读者需求，继续翻译了

情感。

《家》的续篇，以供读者鉴赏。译者大致回顾了泰

2.2 巴金小说具有丰富的社会意义

国历史，并将巴金所写 1930 年代的中国与泰国

如果说《家》还只是作家年轻情感驱动的产物，

进行对比，从政治背景到社会现实再到人们的精

那么《寒夜》、《第四病室》包含了作家更深刻更

神状态，大致得出这样的结论：中泰因为相似的

理性更成熟的思考，拥有了更具哲思的人生感受。

历史契机，因入侵者的到来随之产生了新的思想

《寒夜》《第四病室》是巴金写于二战时期的作品。

潮流，对旧有体制、权贵产生了震荡、冲击，人们

当时中国遭受日本的侵略，人们颠沛流离，遭受了

的思想观念由此分裂，也就是作品中体现的旧一

很大的苦难。巴金不再是反抗旧势力的激进青年，

代和青年一代的对立与冲突。这样一种精神或者说

也不是全然充满热情呼喊光明到来的热情勇士，

是形态对两国之后的发展演变产生了很大的作用，

他更加冷静地洞察着身边的一切，也更加清醒地

因而作品不仅在当时具有很大的社会意义，在今

审视着战争、文化和中国人的性格。作家在这一

天看来也颇具思想价值。纳雷亚翻译的是人民文

时期遭受了亲人的离去，在极为孤独痛苦中挣扎。

学出版社 1980 年出版的版本，一开始并没有翻

泰译者将这种情绪传神地给翻译出来，并且在序

译原作者的序言，后来为了保持作品的完整原貌，

言中摘录了作家的自序： “为什么我必须强迫自己

让泰国读者深刻理解作品，走入作者内心，译者又

拿着笔写故事，我是为了替那些吐血而亡的人和

在后来的版本中增加了作者的序言，于 1982 年 11

那些仍在苦海中挣扎的人诉苦。我停停写写直到

月 11 日再版。并加上了译者的述评，尽管这部作

两年后才完成。在那期间我失去了我挚爱的哥哥

品写在 30 多年前，但并不会因为时间的流逝而

和朋友，他们都吐血而亡，孤单的离去。胜利常常

降低读者对作品的兴趣，也不会让读者感到陌生，

给我们带来了希望，同时也渐渐带走了这份希望。

正如作者在序中所言: “《春》是《家》的后篇。

我在寒冷的夜晚写着这篇文章，将自己真实的感

我在小说里写了自己耳闻目睹的事情，人物都是

觉写出来。” 1980 年 3 月 6 日第 3 期的《世界书》

我熟悉的，我就是在这样的家庭里长大，看见不少

杂志曾提及巴金在二战时的经历，认为二战让作

同辈的年轻人在专制家庭里忍气吞声憔悴死亡，

家对世界又多了一层更深刻的思考，他在作品中写

自己却不能减轻他们的痛苦。我后来写《春》是

了人们的艰难度日，疾病的困扰，曾经充满理想的

向封建制度提出控诉，我怀着大的憎恨写了《春》

青年在战争中贫瘠悲苦，没有了往日的精神，其中

里的周伯涛，比起高克明，他更顽固、更无知，

的女主人公曾树生更具有典型意义。她曾经美貌、

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活泼、崇尚自由，充满了热情，是中国典型的新时

卡大学的汉语老师极力推荐，他在给学生教授中

代女性，然而当战争到来后，她的丈夫懦弱、贫困，

文课时，把这部作品当做泰国学生学习中文的必

疾病缠身，一点点地剥夺掉她的爱情。表现了战

读教材，讲课的过程中大部分学生因为汉语水平

争对人的摧残，对人精神和身体的践踏。

有限所以经常要用很多时间在讲解词语上。后来

二战期间，泰国政变，纳粹分子和日本勾结，

翻译者开始把这部著作一章一章地翻译好，让学

并且在军国主义的胁迫下，泰国参与到侵略战争

生先预习好课文有利于上课时能迅速了解内容，

中，但是当时的百姓却落入困难的深渊，社会衰

还能迅速地对比泰语和汉语的词语。后来翻译者

败、人民困顿，人们在战火中挣扎，这场尾随日军

为了能让读者有机会看巴金的著作，决定把这部

的战争给泰国带来了同样的苦难。尤其是今天的

翻译的作品重新整理并出版。本部的译者尽量保持

泰国人，更应该深刻的反思历史，反思人生，从战

了原文的内容，由于作品中有几章是很短的，为了

争的反人性反人类的本质中接受教训。这大概也

让每一章的长短平衡、便于阅读，翻译者就合为

是译者的心声，他希望通过翻译《寒夜》和《第四

一章。所以原版本来有 21 章但是泰文翻译版改为

病室》让大家看清战争的本质，不要忘记历史，

16 章。此次译文由 Pradaphan Ruangnarong 和

从历史中得到教训，让当下社会的年轻人产生警醒。

Thawat Thantraiphard 两位泰语专家再次整理后

《第四病室》表达了同样的主题，作品通过对住在

出版。

第四号病房的病人的叙事，讲述了作者在这居住的

十几天中的感受，虽然作家只写了短短的几百页，

动的人物形象。软弱多病的汪文宣、活泼热情的

但是能让读者从中读出生命的真谛，以及从现实

曾树生、叛逆的高觉慧、温顺的高觉民、独立的

中明白我们真正需要的。巴金说: “生命离死亡很

琴、温柔的瑞珏等等，他们都很有特点、很有特色，

近”， “没有人可以选择，没有能从死亡逃跑的人”，

反映了时代的特征，从他们身上能看到时代的气

他让读者感受到了生命真正的脆弱，在战火中人

息和时代的精神。比如高觉慧的反叛精神，琴作

的渺小和无奈。这是一部描述战争中反思人性、

为独立个体不再屈从封建家庭，成为独立的自己，

反思生命的作品。《死去的太阳》是第二部被翻译

他们都是时代的写照。作家通过塑造这么多角色

成泰语的作品，讲述了五卅惨案中的中国，虽然故

揭示了反封建的主题，抒发了青年人的狂热感情。

事情节和《家》相似，还是在写青年人的爱情，

同时读者从这些生动的人物形象中更看到了中国

但是隐约透露出中国当时的社会现实。这几部作

的历史，中国转变时期的复杂和黑暗，也感受到了

品在泰国的读者看来都极具现实意义。

那个年代人物的思想和命运。对于巴金小说人物

巴金善于对人物形象的刻画，塑造了很多生

形象的研究有很多，尤其是对《家》中人物形象的 3. 巴金小说具有很高的文学价值

对比研究。李丽玲（Maytachayanan， 2009）将此

《春天里的秋天》是巴金泰译小说中的短篇，

作品和西巫拉帕 (SRIBURAPHA) 的《向前看》进行

于 1985 年由谭国安（Thamcharonkij， 1985）翻译，

了人物性格的比较，从各个人物性格中看出不同却

虽然本部小说没有像《家》、《寒夜》等被学者研究，

有相似的两国文化背景。彭娟（Tritepung, 2010）

也没有像《家》那样广受欢迎，不过却成为学习

将巴金的《家》《春》《秋》与西巫拉帕 (Sriburapha)

中文、了解中国文化的主要教材。《春天里的秋天》

的《以罪斗争》女性形象比较研究，大致将两部

的译者认为文字巧妙、行文流畅、情感细腻，被宋

作品中的女性分为三类，具有独立意识和叛逆精

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神的女性，以琴为代表；以鸣凤为代表的下层女性，

到泰国学者的热捧，另一方面拥有广阔的读者群。

备受压迫；还有梅、瑞珏这样的旧式女子。通过她

这是因为巴金的作品不仅反映了中国特定历史时

们不同的结局命运分析了当时社会思潮对当时女

期的社会现实，描述了青年人与封建家庭作斗争

性的触动和改变。她们的命运与社会文化背景紧

的现实，介绍了中国特定历史背景下年轻人反抗、

密相关。张秋娟（Jaruchawalit, 2010）将巴金

斗争、革命的现实，揭露了当时社会的黑暗，批判

《家》与陈仃《三聘姑娘》的比较研究指出，通过

了封建专制、封建文化和黑暗势力，同时也叙述

对人物形象的概括、对比和探讨，展现了 20 世纪

了二战期间中国社会中贫苦人们的挣扎和痛苦。

50 年代泰国社会风貌，也让泰国对当时的中国社

巴金的作品因选材的现实性，具有了强烈的社会

会有了了解。人物形象能够透视社会现状，能够

现实意义。同时，作家通过对当时人们生存状态

更好地反映出当时的社会思潮，也对于人在特殊时

和精神世界的描写，反映了社会的思潮，尤其是抒

期心理特征的把握，能够对人性有更深刻的认识。

发了青年人反抗黑暗势力、抗击强权，维护自身

当然这一切都归功于巴金高超的塑造技巧和深厚

理想，追求自由、光明的决心。对青年人的思想描

的文学素养。

写和对社会上新旧两种思潮的冲突都描写得很深刻，因此引起了读者深刻的思考。此外，巴金的作

结语

品能够在几十年后流传泰国，多次出版，受到泰国

中国著名作家巴金在泰国享有很高的声望，

读者的欢迎。巴金善于对人物形象的刻画和描写，

他的作品是当代所有中国著名作家中被翻译成泰

塑造了很多生动的人物，他们的性格不同，思想不

语最多者，他也是最受泰国读者欢迎的中国作家

同，结局也就不同。作家通过他们的命运和性格

之一。 1980 年巴金的作品《家》、《死去的太阳》的

揭示了社会问题，也歌颂了反叛的精神和崇高的

译本在泰国第一次出版，就得到了泰国读者的热烈

理想，对于年轻人有启示意义。这些生动的形象

欢迎，因而《家》的续篇《春》、《秋》也相继出版。

传到了泰国，引起了泰国读者的共鸣，受到了泰国

后来 1981 年巴金的两部作品《新生》、《灭亡》

读者的喜爱。巴金作品也是泰国学生学习中文的

的翻译本也在泰国出版。此后，巴金的著作开始

范本，作品用字巧妙、行文流畅，适合学生学习。

在泰国文学圈备受关注，他的作品成为研究者的

巴金作品的思想性、社会性、文学性使得他的作

研究对象。直到 1988 年《第四病室》的出版，这

品成为译成泰文最多和最畅销的作品，是中国文学

是在泰国出版的最后一部巴金小说翻译本，这才

在泰国传播接受过程中非常重要的中国作家之一。

结束了巴金热销泰国的旅程。巴金的作品一方面受

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References

Bajin. (1980). New Life. (Phetpilai Ruthai & Jade Thammarungsun, Trans.). Bangkok: Chatuchak Publishing. [in Thai] Bajin. (1980). The Dead Sun. (Jade Thammarungsun, Trans.). Bangkok: Nobparat Publishing. [in Thai] Bajin. (1980). The Family. (Aniwat, Trans.). Bangkok: Yukmai Publishing. [in Thai] Bajin. (1981). The Debacle. (Wiwat Rungwattanawong & Jade Thammarungsun, Trans.). Bangkok: Chatuchak Publishing. [in Thai] Bajin. (1982). Autumn. (Nareeya, Trans.). Bangkok: Dokya Publishing. [in Thai] Bajin. (1982). Frosty Night. (Natee Arunothai, Trans.). Bangkok: Piyasan Publishing. [in Thai] Bajin. (1985). Autumn in Spring. (Kosak Thamcharonkij, Trans.). Bangkok: Boonchai Publishing. [in Thai] Bajin. (1985). Ward Number 4. (Kosak Thamcharonkij, Trans.). Bangkok: Boonchai Publishing. [in Thai] Bajin. (1989). The Family. (Wipa Utamachan, Trans.). Bangkok: Nanmee Publishing. [in Thai] Choksupat, E. (2010). The study of diffusion of modern Chinese literature in Thailand. Huachiew Chalermprakiet University. [in Thai] Jaruchawalit, J. (2010). A comparative study of literary work. Huachiew Chalermprakiet University. [in Thai] Luan, W. (1988). History of Thai Literature. Beijing: Social Science Academic Press. [in Chinese] Maytachayanan, N. (2009). The two treason song with different characteristics: a comparative study between Bajin’s. Huachiew Chalermprakiet University. [in Thai] Tiyanon, N. (2014). A Comparative Study of Chinese Novel JIA and Its Thai Translation BAAN. Journal of Language Religion and Culture, 3(1), 1-26. [in Thai] Tritepung, P. (2010). A comparative study of Bajin’s “the family”, “Spring”, “Autumn” and Sriburapha’s “struggle amidst sins”. Huachiew Chalermprakiet University. [in Thai]

Name and Surname: Preeyakorn Boontham Highest Education: M.A. in Teaching Chinese to Speakers of Other languages, Southwest, China and Teacher of Chinese Program at Nakhon Phanom University University or Agency: Nakhon Phanom University Field of Expertise: Modern and Contemporary Chinese Literature Address: 330 Apibanbuncha Rd., Nai Mueang, Mueang, Nakhon Phanom 48000

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ค�ำแนะน�ำในการเตรียมบทความ การจัดพิมพ์บทความ

- ความยาวของบทความ 10-12 หน้ากระดาษ A4 พิมพ์หน้าเดียว ก�ำหนดระยะห่างจากขอบกระดาษ 1 นิ้ว (2.54 ซม.) เท่ากันทุกด้าน - บทคัดย่อและบรรณานุกรม พิมพ์ 1 คอลัมน์ เนื้อหาบทความ พิมพ์ 2 คอลัมน์ ย่อหน้า 1 ซม. - ตัวอักษรใช้รูปแบบ TH Sarabun PSK โดยใช้ขนาดและชนิดต่างๆ ดังรายละเอียดต่อไปนี้ ข้อความ

ขนาด ชนิด ชื่อเรื่อง (ภาษาไทย) 18 (CT) ตัวหนา ชื่อเรื่อง (ภาษาอังกฤษ - ตัวพิมพ์ใหญ่) 16 (CT) ตัวหนา ชื่อผู้เขียน 14 (CT) ตัวหนา ชื่อสังกัดหน่วยงานหรือมหาวิทยาลัย 14 (CT) ตัวธรรมดา Corresponding Author E-mail 12 (LJ) ตัวธรรมดา หัวข้อของบทคัดย่อ/Abstract 16 (LJ) ตัวหนา เนื้อหาบทคัดย่อ/Abstract 16 (LRJ) ตัวธรรมดา ค�ำส�ำคัญ/Keywords 16 (LJ) ตัวธรรมดา หัวข้อเรื่อง (ไม่ล�ำดับเลข) 16 (LJ) ตัวหนา หัวข้อย่อย 16 (LJ) ตัวหนา เนื้อเรื่อง 16 (LRJ) ตัวธรรมดา บรรณานุกรม 16 (LJ) ตัวธรรมดา ชื่อตาราง (ระบุไว้บนตาราง) 16 (LJ) ตัวหนา ชื่อรูป ชื่อแผนภูมิ (ระบุชื่อไว้ใต้รูป แผนภูมิ) 16 (CT) ตัวหนา CT = Centre Text, LJ = Left Justified, RJ = Right Justified, LRJ = Left & Right Justified

ส่วนประกอบของบทความ

1) ชื่อเรื่องบทความ (ทั้งภาษาไทยและภาษาอังกฤษ) 2) ชื่อผู้เขียนทุกคน พร้อมระบุ หน่วยงานที่สังกัด (ทั้งภาษาไทยและภาษาอังกฤษ) 3) บทคัดย่อ (Abstract) ความยาวไม่เกิน 250 ค�ำ และค�ำส�ำคัญ (Keywords) 3-5 ค�ำ (ทั้งภาษาไทยและ ภาษาอังกฤษ) ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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4) เนื้อเรื่อง 4.1) บทความวิชาการ ประกอบด้วย บทน�ำ เนื้อหา และบทสรุป 4.2) บทความวิจัย ประกอบด้วย บทน�ำ วัตถุประสงค์ ทบทวนวรรณกรรม วิธีการวิจัย ผลการวิจัย อภิปราย และสรุปผลการวิจัย 5) เอกสารอ้างอิง 6) ถ้ามีรูปภาพ แผนภูมิ ตารางประกอบ หรืออื่นๆ ต้องมีหมายเลขก�ำกับในบทความ อ้างอิงแหล่งที่มาของ ข้อมูลให้ถูกต้อง ชัดเจน และไม่ละเมิดลิขสิทธิ์ของผู้อื่น ใช้รูปภาพสีหรือขาว-ด�ำ ที่มีความคมชัด และส่งภาพถ่าย ต้นฉบับหรือไฟล์รูปภาพแนบมาพร้อมกับบทความ

การอ้างอิงเอกสาร

1) การอ้างอิงในเนือ้ หา เพือ่ บอกแหล่งทีม่ าของข้อความนัน้ ให้ใช้วธิ กี ารอ้างอิงแบบนาม-ปี โดยระบุชอื่ ผูเ้ ขียน ปีพิมพ์ และเลขหน้าของเอกสาร ไว้ข้างหน้าหรือข้างหลังของข้อความที่ต้องการอ้างอิง เช่น สุชาติ ประสิทธิ์รัฐสินธุ์ (2546: 147) ….. หรือ ..... (Newman & Cullen, 2007: 18-19) หรือ ..... (ศิริวรรณ เสรีรัตน์ และคณะ, 2546: 217-219) 2) การอ้างอิงท้ายบทความ ให้รวบรวมเอกสารที่ใช้อ้างอิงไว้ท้ายบทความ เรียงตามล�ำดับอักษรชื่อผู้เขียน โดยใช้รูปแบบการเขียนอ้างอิงตามระบบ APA ดังนี้ วารสารและนิตยสาร รูปแบบ: ชื่อผู้แต่ง. (ปีที่พิมพ์). ชื่อเรื่อง. ชื่อวารสาร, ปีที่(ฉบับที่), หน้าแรก-หน้าสุดท้าย. ตัวอย่าง: ขวัญฤทัย ค�ำขาว และเตือนใจ สามห้วย. (2530). สีธรรมชาติ. วารสารคหเศรษฐศาสตร์, 30(2), 29-36. Acton, G. J., Irvin, B. L. & Hopkins, B. A. (1991). Theory-testing research: building the science. Advance in Nursing Science, 14(1), 52-61. หนังสือ รูปแบบ: ชื่อผู้แต่ง. (ปีที่พิมพ์). ชื่อหนังสือ. เมืองที่พิมพ์: ส�ำนักพิมพ์. ตัวอย่าง: วิจารณ์ พานิช. (2551). การจัดการความรู้ ฉบับนักปฏิบัติ (พิมพ์ครั้งที่ 4). กรุงเทพฯ: สถาบันส่งเสริมการจัดการ ความรู้เพื่อสังคม. Chakravarthy, B., Zaheer, A. & Zaheer, S. (1999). Knowledge Sharing in Organizations: A Field Study. Minneapolis: Strategic Management Resource Center, University of Minnesota. บทความ/เอกสารที่น�ำเสนอในการประชุมวิชาการ รูปแบบ: ชื่อผู้เขียน. (ปีที่พิมพ์). ชื่อเรื่องบทความ/เอกสาร. ใน ชื่อบรรณาธิการ (บรรณาธิการ). ชื่อหัวข้อหรือเรื่อง การประชุม. ชื่อการประชุม. (หน้า - ). สถานที่พิมพ์: สํานักพิมพ์. ผ่านการรับรองคุณภาพจาก TCI (กลุม่ ที่ 1) สาขามนุษยศาสตร์และสังคมศาสตร์ และเข้าสูฐ่ านข้อมูล ASEAN Citation Index (ACI)

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ตัวอย่าง: พรรณเพ็ญ เครือไทย. (2546). การศึกษาวิจัยทางด้านจารึกและเอกสารโบราณของสถาบันวิจัยสังคม มหาวิทยาลัย เชียงใหม่. ใน ภาษา-จารึก ฉบับที่ 9 การประชุมทางวิชาการเนื่องในวาระฉลองอายุครบ 7 รอบ ของ ศาสตราจารย์ ดร.ประเสริฐ ณ นคร เรื่อง “จารึกและเอกสารโบราณ: การศึกษาวิจัยในปัจจุบันและทิศทาง ในอนาคต”. (หน้า 32-59). นครปฐม: ภาควิชาภาษาตะวันออก คณะโบราณคดี มหาวิทยาลัยศิลปากร. Heyden, K. (2005). Electricity and development-- the Asian perspective. In Shrestha, R. M., Kumar, S. & Martin, S. (Eds.). Proceedings of Asian regional workshop on electricity and development: 28-29 April 2005, Asian Institute of Technology, Pathumthani, Thailand. (pp. 3-11). Pathum Thani: Asian Institute of Technology. บทความจากหนังสือพิมพ์ รูปแบบ: ชื่อผู้แต่ง. (ปีที่พิมพ์, เดือน วันที่). ชื่อเรื่อง. ชื่อหนังสือพิมพ์, หน้าที่น�ำมาอ้าง. ตัวอย่าง: สายใจ ดวงมาลี. (2548, มิถนุ ายน 7). มาลาเรียลาม 3 จว. ใต้ตอนบน สธ. เร่งคุมเข้มกันเชือ้ แพร่หนัก. คม-ชัด-ลึก, 25. Di Rado, A. (1995, March 15). Trekking through college: Classes explore modern society using the world of Star Trek. Los Angeles Time, p. A3. วิทยานิพนธ์ รูปแบบ: ชื่อผู้แต่ง. (ปีที่พิมพ์). ชื่อวิทยานิพนธ์. ชื่อปริญญา สถาบันการศึกษา. ตัวอย่าง: พันทิพา สังข์เจริญ. (2528). วิเคราะห์บทร้อยกรองเนื่องในวโรกาสวันเฉลิมพระชนม-พรรษา 5 ธันวาคม. ปริญญา นิพนธ์การศึกษามหาบัณฑิต มหาวิทยาลัยศรีนครินทรวิโรฒ. Darling, C. W. (1976). Giver of Due Regard: The Poetry of Richard Wilbur. Ph.D. Thesis, University of Conecticut, USA. สื่ออิเล็กทรอนิกส์ รูปแบบ: ชื่อผู้เขียน. (ปีที่เผยแพร่ทางอินเทอร์เน็ต). ชื่อเรื่อง. สืบค้นเมื่อ......., จาก URL Address ตัวอย่าง: ประพนธ์ ผาสุขยืด. (2551). การจัดการความรู้...สู่อนาคตที่ใฝ่ฝัน. สืบค้นเมื่อ 27 มีนาคม 2552, จาก http://www. si.mahidol.ac.th/km/admin/add_information/document_files/95_1.pdf Treeson, L. (2009). Exploring a KM Process for Retaining Critical Capabilities. Retrieved February 11, 2009, from http://kmedge.org/2009/03/knowledge-management-process-retaining-criticalcapabilities.html

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