【作者】 李婧；

【导师】 金祥荣；

【作者基本信息】 浙江大学 ， 政治经济学， 2009， 博士

【摘要】 本论文以“企业纵向边界、生产组织和区位分布的选择”为题,试图在企业层面上将生产的制度、技术和禀赋性因素统一起来,在融合不完全契约理论、新贸易理论和新经济地理学理论分析框架的基础上,探讨不同企业特别在全球化背景下的跨国企业在纵向边界、生产组织与区位分布上的不同选择,也以此来理解跨国公司与本土企业在不同类型国际生产网络中的不同分工地位的形成机制,揭示国际分工和国际生产网络形成和演变的微观机理。这一研究无论是对企业理论、新贸易理论和新经济地理学理论的创新扩展,还是对理解当今全球化背景下的企业的策略行为,都具有积极的理论意义和现实意义。首先,本论文以企业理论、新贸易理论和新经济地理学理论的逻辑演变与发展为脉络梳理与本论文研究课题相关的研究文献,从基本思想、理论模型和主要结论等几方面,对现有文献进行分析,并在总结探讨前人研究成果的基础上明确界定本论文的研究问题和理论定位。接着,本论文从现象理解层面探讨了当代经济全球化的趋势对企业的发展与变革的影响,同时对涉及的相关概念进行了界定。本文提出经济全球化使得生产要素在世界各国之间的大规模的流动以及资源可以在全球范围内进行配置,因而对当今企业的策略选择有着重要的影响,一是对企业边界选择的影响,企业的横向边界在扩展,纵向边界却在收缩；第二,全球化促使了国际生产组织的产生,企业生产组织形式趋于多样化。第三,全球化影响了企业生产的区位选择,企业开始在世界范围内进行生产力的空间布局,在发达国家和发展中国家之间构成了一种国际垂直分工体系的梯级结构。然后,基于对理论研究的拓展和对现象趋势的理解,本文构建了数理模型来研究当代企业在纵向边界、生产组织形式和区位分布上的策略选择,也是对企业纵向边界的变化趋势和国际生产组织形式的出现等现象进行理论解释。本文在贸易模型的基础上结合不完全契约理论、产品周期理论和企业异质性假设构建了一个从封闭经济到开放经济的动态模型,研究异质性企业在动态的产品周期中对纵向边界与生产组织形式的最优选择。结论显示随着企业生产率水平的提高,企业的最优生产组织形式会逐渐转变,并且不同的生产组织可以共存于均衡中。同时,企业的纵向边界会由纵向一体化逐渐向纵向分离转移,生产制造环节也会由高工资国家向低工资国家转移。在企业异质性的假设前提下,这些生产组织方式的转变过程首先发生在低生产率的企业中,然后才是高生产率的企业中；尤其是不完全的国际契约在企业的纵向边界和生产组织形式的选择中起到了很重要的作用。其次,本文重点分析企业进行跨国投资生产时的区位选择和空间组织方式,及其区位分布的选择对不同区域内的工厂空间分布和企业的集聚程度的影响。本文运用新经济地理学的分析框架,构建了一个企业异质性假设的两区域模型,并对外资零部件企业产业在中国投资建厂的现象进行了案例分析。结论显示：首先,多工厂企业和单工厂企业只有在不对称区域结构下才可以共存于均衡之中；其次,企业全球化的进程和技术的发展使得沟通成本和贸易成本的下降,促使中间投入品的生产趋向于集中在一个区域内的单工厂企业中,工厂在空间分布上会更加集中；但是如果建立多个工厂的额外固定成本在下降、区域间的工资差距在扩大,又会促使企业更多地选择跨区域、多工厂的空间组织方式,工厂在两区域间的空间分布将会趋于分散。但是最终工厂的空间分布是趋于分散还是趋于更集聚?这将取决于这四个变量相互之间的制衡力量。同时,模型验证了边际成本低、固定成本高的企业更有能力利用跨区域-多工厂的空间组织形式在世界范围中获取总的利润最大化,所以会比其他企业先一步到低工资的国家投资建立新工厂。最后,本文提出了几点政策建议与未来的研究展望。更多还原

【Abstract】 The title of this dissertation is "Vertical boundary, Production organization and location choice of the Firms". The paper attempts to unify the institution, technology and factor endowments at the enterprise level, explants that different firms have different choice in vertical boundary, organization and location strategies under the economic globalization. The study is based on new trade theory, incomplete contract theory and new economic geography theory, reveals the microeconomic formation mechanism of the international labor division and the international production network, in order to understand of the formation mechanism in which multi-national corporations and local enterprises have different status in the different types of international production networks. This dissertation has contribution on theoretical studying and reality research.Firstly, the Chapter 3 of this thesis summarizes the globalization trends and the development of contemporary enterprises, gives the definition of the relative conception. In this paper, the nature of globalization is that the production factors and resources can flow easily between countries in the world at large-scale. The rapid development of globalization has an important impact on the development of enterprises. The impact on the firms’boundary is as following:the lateral border of enterprises is expanding, but the vertical boundary is shrinking. The impact on the changes of production organization is as following:Globalization promotes the emergence of international production organization, and the organizational forms have become diversified. The globalization also affects the location choice of the enterprises, they began to choose the production site in the world wide, the developed and developing countries constitute a vertical division and cascade structure of the international production system.Secondly, the chapter 4 investigates a new product cycle in which each firm faces different productivity and endogenous organization. We show that the coexistence of different organizational forms gradually occurs according to a firm’s productivity level. In particular, the control of production shifts from integration to non-integration and the location of production shift from a high-wage country to a low-wage country. These shifts occur first within low-productivity firms and then within high-productivity firms. It is also shown that the incompleteness of international contracts plays a significant role in this product cycle.Lastly, the focus of chapter 6 is the location and organization choice of the intermediate firms. The paper constructs a two-region model with heterogeneous firms. We assume there are communication costs between final good company and intermediate good suppliers and additional fixed cost of settling new plant. These two types of costs structure can vary among firms and incur location and organization decision on each firm. The impacts of globalization and the development of technologies on firms’decision are determined by the composite of wage gap, transport costs, communication costs and additional fixed costs. Our result indicates that multi-plant firms and single-plant firms may only coexist under a certain condition. The decreasing of communication costs and transport costs promote the firms to agglomerate their production in a single-plant firm. Furthermore, we show that the first firms choose to become the multi-plant firms are the firms who have the lowest marginal costs and highest fixed costs.更多还原