产业链纵向关系治理模式研究

【作者】 张雷；

【导师】 郁义鸿；

【作者基本信息】 复旦大学 ， 产业经济学， 2007， 博士

【摘要】 近十年来，存在于通信、电子、汽车等诸多产业间的纵向分拆现象日趋活跃。以汽车产业为例，在20世纪30年代，福特公司的纵向一体化模式成为全球工业生产争相效仿的榜样。该公司建立起一个自给自足的工业王国，业务范围几乎涵盖了汽车生产的所有环节：在匹兹堡的铁矿、在肯塔基的煤矿、在五大湖钢铁厂和船队、在宾州的玻璃厂、甚至还有专为生产汽车座垫而培育羊毛的牧场，等等。但是，进入20世纪80年代，特别是90年代以后，福特式的一体化生产模式面临瓦解，越来越多的企业开始将产业链上的某些环节分离出来，专注于某些核心业务的经营。2000年6月，福特汽车的零部件集团——伟世通(Vieston)被剥离出来，成为世界财富500强的新成员。在此之前，通用汽车也于1999年5月将零部件事业部门分拆，成立德尔福汽车系统(Delphi)，开创汽车行业纵向分拆的先河。紧接着，意大利菲亚特汽车公司的马瑞利(Magneti Marelli)和德国奔驰—梅塞德斯汽车公司的海拉(Hella)等也被改造成独立的零部件企业集团。面对这些分合更迭，错综复杂的策略性行为，经济学理论可以做出怎样的解释?我们认为，对于任何一种产品或服务而言，从最初的创意设想，到最终的成品问世，都会经历从设计、采购，到生产、销售等连续性的经济活动，并由此形成了产业链上的纵向关系。而且，在不同的产业发展环境之下，这一客观存在的产业链纵向关系将受制于不同的关系治理模式：或为一体化企业内部的科层协调，或为纵向分离模式下的市场化交易，抑或居于两者之间的中间型治理。近年来，全球汽车产业内的分拆实践，正是对产业链纵向关系治理模式的重新选择。相应地，由此产生的问题是，对于产业链上的主导(领导)企业而言，应当如何选择产业链纵向关系治理模式，以协调产业链纵向关系，实现产品或服务的价值?治理模式的确定主要受哪些因素影响?理论模型的分析是否可以得到产业实践的检验?对产业发展及其政策制定的启示何在?这些都是理论研究需要回答的问题，也是本文研究的逻辑起点。鉴于此，在第二章文献综述的基础上，本文在第三章中提出产业链纵向关系治理模式的三个研究层次：即“买还是做”的二元基本型，引入中间型模式的拓展型一，对中间型进一步细分的拓展型二，以及在不同模式层次上的理论基础和决定性因素。通过对美国汽车产业演变历史的一般性考察，表明在特定产业发展背景下，受某一和某些因素的影响，产业链的纵向关系治理将趋于某一模式。在确立了全文的理论分析框架之后，在第四章至第七章中，以中国的汽车产业为例，借助于相关数理模型或实证分析，探讨在改革开放之前、合资之后、以及放松规制等关键时间节点上，分别受有限需求规模、国产化产业规制、关系专用性投资和日趋激烈的下游横向竞争等因素的影响，汽车产业链的纵向关系治理模式体现为纵向一体化、纵向分拆或中间型治理模式。之所以选择我国汽车产业作为主要研究对象，原因在于，作为一国国民经济发展的支柱产业，对汽车产业的研究一直是理论界关注的重点。特别是近年来，随着我国汽车产业的“井喷式”增长，为产业经济的研究提供了良好的科研素材和契机，加之全球汽车工业巨头依次对零部件事业部门实施纵向剥离的重大决定引人深思。因此，从产业链纵向关系治理的视角，探析中国汽车产业链纵向关系治理模式的演变历程、未来调整与创新的方向，应不失为一种有益尝试。鉴于此，在第八章和第九章中，进一步地分析了在后WTO时代，在面向全球化生产的大背景下，对于正在融入全球汽车产业链的中国汽车工业，尤其是零部件工业而言，应如何协调与处理产业链上的纵向关系，推动产业的升级与发展。第八章主要是论述不同层次的零部件企业，应当结合各自供应零部件产品的特性，通过识别并嵌入到拓展型二的五种治理模式，融入到全球性生产网络，实现产业在产品、过程、功能等水平上的升级。相应地，产业发展的主管机构可以针对供应商在嵌入产业链纵向关系治理模式中可能存在的障碍，提供对应的政策支持，以加快产业升级的进程。在第九章中，则从中国汽车工业的发展现状出发，在肯定各种治理模式可以从不同角度促进产业发展的同时，提出以转变产业链纵向关系治理模式为依托，推动产业升级。并从降低交易的复杂程度，促进对交易信息的编码化处理，提高供应商能力等方面，提出可供零部件企业、产业协会和政府产业发展主管部门等参考的策略主张和政策建议。最后，第十章对全文结论予以简要回顾，提出值得进一步思考的问题。更多还原

【Abstract】 In recent ten years, the vertical disintegration movement among such different industries as telecommunication, electronic, automobile has been more common. Just taking automobile industry as an example, in the 1930, Ford introduced the operation mode as vertical integration on large sacle and it was followed by global big manufacturers. Ford set up its industrial empire whose business scope ranged almost all of the input supply: iron ore in Pittsburgh, coal mine in Kentucky, iron & steel woks and fleet in Five Great Lakes, glass factory in Pennsylvania, and even the meadow for the supply of woolen saddle mat, etc.But after the 1980s, especially the 1990s, the Ford stylish operation mode as vertical integration began to go to pieces, because more and more companied learnt to spin off some of the business from the complex and focused on core activities. In the June of 2000, Vieston, the component and part group of Ford, was diamantled from Ford and became a new member of World Fortune 500. Just before that, GM had also disintegrated its component and part group and initiated the movement of disintegration of global automobile industry, the new independent componet and part group Delphi became the public liseted company in New York stock market. After that, Italian automobile group Fiat and German autobolie group Mercedes-Benz followed this trend and set up their component and part group Magneti Marelli and Hella.Facing to these complicated strategic behaviors, how can the economics make explanations? In our minds, with reference to every kind of goods and service, from the initial invision to the final product, it would experience such continuous economic activies as design, procurement, manufacturing and wholesaling. Correspondingly they comprised the vertical relationship of the industrial chain. More importantly, under different indutrial development environment, the vertical relationship will be regulated by different governance mode: the hierachical coordination in the vertical intergration, or the spot market interaction with individual parts in the industrial chain, or the hybrid mode between these two extreme ones. The industrial pratices in the global automobile industry is the reseclection of governance mode for the vertical relationship actually.The corresponding question was that what kind of governance mode should the leader companies in the industrial chain select to coordinate the vertical relationship and realize the value of the product or service? What are the factors that determinate the governance modes? Whether the theoretical analysis can be verified by the real industrial practices? What are the policy implications from it? All of these questions are deserved to be make a study, and they are also the logical starting points of this paper.With the help of the paper suvey in chapter 2, the chaper 3 introduced the theoretical analysis framework with three levels of governance mode for industrial chain vertical relationship: the basic governance choice of "make or buy", the first extension with the interposition of hybrid mode, the second extension with the deeper division of hybrid mode as captive, relational and modular. After the general review of the evolution history of American automobile industry, this framework was demonstrated, that is to say, affected by one or some factors of the very environment, the vertical relationship of the industrial chain will be regulated by one particular mode.After the establishment of the theoretical analysis framework, taking the Chinese automobile industry as study object, from the chapter 4 to chapter 7, with some mathematical models and empeircal study, this paper makes a more concrete study of such key stages as before the opening up, after the permission of joint venture policy and the deregulation of industrial entrance, to find out how the influence of limited demand scale, the local content regulation, the relational specific investment and the more radical horizontal competion in the downsream made on the governance mode selection accordingly.The reason why we take Chinese automobile industry as the main study object is that as for a pillar industry in the national economy, the automobile industry has been focused on as a main theoretical study field for a long time. Especially in recent years, with the blowout-style development of the industry, it provides the industrial economics research with well-defined topics and opportunities. In particular, the vertical disintegration decisions conducted by the global automobile giants by turns should also be paid attention to. So it would be of importance to make a study of the evolution of Chinese autobile industry and its direction for adjustment and innovation in the future from the angle of industrial chain vertical relationship.Taking it into consideration, in chapter 8 and chapter 9, this paper tries to understand how China’s automobile industry to coordinate and deal with the vertical relationship under the background of post-WTO and global manufacturing. Chapter 8 introduced the modes of global value chain governance again in a more microscope. It focused on the topic that the component and part companies on various levels should embed into the five modes of vertical relationship governance according to the characteristics of the products, and then connect with the global manufacturing networks and realize the product, process and function upgrading for the industry. As a result, the institutions for the industry development can file out some corresponding industrial policies so as to help the component and part industry to embed into the mode of vertical relationship more smoothly to quicken the speed of industrial upgrading.With the agreement that embedment into five different governance modes will bring different upgrading effect, the chapter 9 suggested that as for China’s automobile industry, especially the component industry, the transformation of the vertical relationship governance mode can also promote the upgrading and development in depth. According, it list some strategies and policies for the component enterprises, the industry commissions and the supervisory department for industry development to make some efforts on reducing the complexity of transaction, improve the competence of suppliers and the ability to codifying the transaction.In chapter 10, we reviewed the conclusion of the whole paper briefly and gave some topics for further study.更多还原