【作者】 赵建华；

【导师】 赵新良；

【作者基本信息】 东北大学 ， 管理科学与工程， 2013， 博士

【摘要】 自上世纪80年代以来的新一轮经济全球化,全球产业分工呈现出垂直、离散分工新特点,这种新型国际分工使生产体系所特有的投入产出关系在组织结构上展开为全球产业链。产业链上下游企业之间的纵向组织边界,成为新型国际分工体系下产品分工、生产分工、资源配置、价值获取等企业微观经营活动的重要组织基础。同时,产业链上、下游企业之间的纵向边界也成为企业战略联盟、开放式创新、产业链整合等企业新型战略模式实施的重要影响因素。在新型产业国际分工的形成过程中,技术进步起了主导作用,具体表现为：科技进步改变了产品的自然属性,使得产品的可分性得到提高；交通运输以及通讯技术与方式的改进,使得跨国交流效率大为提高;信息技术革命促使产业结构发生逆转,设计规则从集中化转变成分散的模块化,高度集中的纵向一体化企业日益呈现出关系松散的纵向分散特点。传统产业组织理论从交易费用、产权理论等方面对企业组织边界进行了系统解释。但是,在全球产业链竞争新格局中,位居产业链核心地位的发达国家跨国公司纵向边界日益缩小,产业链利益逐步扩大；而位处产业链从属地位的发展中国家企业纵向边界缩小现象并不普遍,产业链利益微博。全球产业链企业纵向边界变化趋势及其动因出现新特点,竞争环境日趋动态多变,传统产业组织理论对于技术动态变化环境中产业链核心企业纵向边界变化的理论解释明显不足。本文基于企业能力理论认识技术变革对企业交易费用不确定性造成的影响,将技术变革因素引入到企业纵向边界决策模型,重新界定技术集成、技术集成能力内涵,构建技术集成能力影响企业纵向边界的理论框架。结合交易费用、企业资源和产权理论,对产业链核心企业技术集成能力影响其纵向组织边界的方向和动因给予理论解释。在此基础上,本文进一步揭示企业纵向边界整合激励和解体激励机制,提出技术集成能力影响企业纵向边界的理论假设,并借助对装备制造、汽车等复杂产品制造业的问卷调查,对产业链核心企业技术集成能力影响其纵向边界开展实证研究。本研究有助于深化企业组织边界问题的理论认识,丰富企业组织边界理论研究成果,增强企业组织边界理论的现实解释力。本文主要理论贡献在于从一个新的视角——企业能力视角对产业链核心企业纵向边界选择问题进行研究,对产业链核心企业纵向整合激励和纵向解体激励机制进行揭示,对产业链核心企业纵向边界受其技术集成能力影响的机理进行阐释。同时,本研究为发展中国家的技术跟随企业提升其产业竞争地位提供理论指导。本文主要研究内容包括：(1)明确本文研究基本范畴,梳理企业组织边界研究基础。界定产业链核心企业、企业纵向边界、技术集成能力的基本内涵,梳理有关企业组织边界的研究文献及其理论发展脉络,探寻有关产业链核心企业纵向组织边界变动趋势及其动因的理论研究成果,明确本研究的理论基础和创新方向。梳理企业组织边界研究成果,对比分析企业纵向边界的交易成本、资产专用性、产权分析等传统理论解释与最新研究发展,指明企业纵向边界传统解释在环境动态变化等方面存在解释力不足的问题。综述有关技术进步与企业纵向边界问题研究最新进展,明确本文基于能力理论研究产业链纵向边界的理论基础。(2)界定企业技术集成能力内涵,进行产业链核心企业技术集成能力与纵向边界关系分析。基于技术集成能力整合特点,提出技术集成能力概念,面向以装备制造产品为代表的复杂产品(系统)制造企业开展调查研究,并运用因子分析方法研究技术集成能力影响因素,总结技术集成能力适应动态外部环境的整合特点。阐述产业链核心企业在产业链中的地位与作用,分析产业链核心企业资源整合、知识整合、利益协调等功能,揭示产业链核心企业发挥产业整合功能与其技术集成能力的内在一致性,为构建产业链核心企业技术集成能力影响其纵向边界理论模型奠定基础。(3)基于企业能力视角研究产业链核心企业纵向边界问题。构建基于企业能力视角的产业链核心企业纵向边界基本逻辑框架,建立产业链核心企业集成能力影响其纵向边界的理论模型。基于两部门内生增长理论构建最终产品和中间产品产业链体系,进行生产和代理人关系设定,并假设技术集成能力像其它技术一样可以通过创新和模仿获得,但需要代理人投入精力。由于代理人精力有限,产业链中间产品企业面临一体化和外包两种产业纵向关系选择决策。借助模型推导,分别求解一体化和外包时企业的效用函数,并且分析比较中间产品企业不同技术集成能力情况下选择一体化或选择外包的效用,从而对中间产品企业技术集成能力如何影响其纵向边界选择给出理论解释。(4)产业链核心企业集成能力影响其纵向边界样本检验。根据创新对知识体系的影响,将创新分为渐进式创新、模块化创新、结构化创新和根本性创新。研究不同创新背景下产业链核心企业技术集成能力、交易成本、契约关系风险等变化特点,揭示产业链核心企业与其上游供应商之间的整合激励和解体激励机制,研究产业链核心企业权衡两种激励作用进行纵向组织边界选择机理,提出实证研究理论假设。设计反应企业技术集成能力和纵向一体化程度的调查问卷,面向装备、汽车等复杂产品制造业开展调查研究,获取样本数据,就产业链核心企业技术集成能力影响其纵向边界进行实证检验。更多还原

【Abstract】 Since a new round of economic globalization from the1980s, international industrial division has taken on new features of vertical division and discrete division, which makes input-output relationship which is peculiar to this new division as the global industrial chain. Vertical boundary between upstream and downstream firms becomes an important foundation for microeconomic activities in global industrial division system, such as product division, production division, resource configuration, value capture and so on. Meanwhile, it also becomes an important influencing factor for implementation of new strategic models, such as strategic alliances, open innovation, integration of industry chain and so on. In the process of the formation of this new international division, technological advances have played a leading role. In detail, technological advances has changed the natural attributes of the product, which makes products more separability; improvement in transportation and communications technologies makes it more efficient; revolution in information technology promotes revers of industrial structure, in other words, design rules changed from centralized into decentralized modular and highly concentrated vertically integrated companies are increasingly showing the loosely vertical dispersion characteristics. Traditional industrial organization theory systematically analyze enterprise organization boundary from perspective of transaction cost, equity theory and so on. In the new competition pattern in the global industrial chain, however, vertical boundary between multinational companies in the developed countries which are at the core position are shrinking and the chain profit gradually expanded while it is not significant in developing countries about the shrinking of vertical boundary and the chain profit is meager. The traditional industrial organization theory is insufficient to explain vertical boundary in the dynamically technology-changing competitive environmental. This paper analyses the effect of technological change on the uncertainty of corporate transaction costs based on the enterprise capabilities theory, introduces technological change factors into enterprise vertical boundary decision model and redefine the concept of technology integration and technology integration capabilities, from which we construct a theoretical framework of influence of technology integration capabilities on vertical boundary. Combined transaction costs and corporate resources with equity theory, this paper theoretically explains how the technology integration capabilities of core firms in industry chain affect the direction and motivation of firm’s vertical boundary. On this basis, the paper further reveals the vertical boundary integration incentives and disintegrate incentives, proposes assumption that technology integration capabilities affect enterprise vertical boundary, and by a survey on equipment manufacturing and other complex products manufacturing industry, empirically analyses how the technology integration capabilities of core firms in industry chain affects vertical boundary. This paper helps to understand the theoretical knowledge of vertical boundary, extends theoretical research on organizational boundaries, enhances the explanatory power of enterprise organizational boundaries theory. The main contribution of this paper is that this paper provides a new perspective, firms’ capabilities perspective, to study vertical boundary of core firms in industrial train. This paper brings the incentive mechanism of vertical integration and vertical disintegration between core firms to the light and explains the influence mechanism of technology integration capabilities on vertical boundary. At the same time, this study provides theoretical guidance for the technology-following firms in developing countries to enhance the competitive position of the industry.The main contents in this paper include as follows.(1) Clear basic category of this paper and comb research basis of enterprise organizational boundaries. Define the basic connotation of core firms in industry chain, vertical boundary, Technology integration capabilities. Comb literatures on organization boundary and explore theoretical research on trends and motivation of vertical boundary to clear the theoretical basis and innovation directions. Give a contrast analysis the traditional explanation based on transaction cost, asset specificity and so on to point out the shortcomings in the explanation of vertical boundary in dynamically technology-changing environment. Overview literatures on technology advances and vertical boundary to clear the theoretical basis of the vertical boundary based on capabilities.(2) Redefine the concept of technology integration capabilities and analyze the relationship between integration capacity of core firms and vertical boundary and analysis of integrated features of technology integration capabilities. Put forward the concept of technology integration capabilities based on the features of integration and carry out survey study on complex manufacturing firms. Use factor analysis to study the factors influencing technology integration capabilities. Summarize the position and role of the core firms in the industry chain. Analyze functions of core firms in industry chain on resource integration, knowledge integration, benefits coordination and so on. Reveal the inherent consistencies between industry integration functions and their technology integration capabilities to lay the foundation for the model of influence of technology integration capabilities on vertical boundary.(3) Research on vertical boundary of core firms in industrial train based on firms’ capabilities perspective. This paper builds a theoretical model on influence of integration capabilities of core firms in industry chain on vertical boundary based on the basic theory framework of vertical boundary of core firms in industrial train in capabilities perspective. This paper builds the final product and intermediate goods industry chain system based on two-sector endogenous growth theory, sets production and agent relationship, and assumes that technology integration capabilities, like other technologies can be acquired through innovation and imitation, but it needs an agent’s work. For the agent’s energy is limited, intermediate products manufacturing enterprise in industry chain needs to select between integration and outsourcing. With the model, respectively solve the utility function under integration and outsourcing, and compare the utility of intermediate products manufacturing enterprise under integration and outsourcing with different technologies integration capability, then give theoretical explanation on how technology integration ability of intermediate products manufacturing enterprise affect the vertical boundary selection.(4) Empirical research on the influence of the integration capabilities of core firms in industry chain on vertical boundary. This paper divides innovation into incremental innovation, modular innovation, structure innovation and radical innovation, according to the effect of innovation on knowledge systems, studies how the technology integration capabilities of the core firms changes as transaction costs and contractual risk in different context of innovation characteristics, reveals the integration incentives and disintegration incentives between the core enterprise in industry chain and its upstream suppliers, analyses how the core firms in industry chain weigh the incentive mechanism and select vertical organizational boundary mechanism, proposes empirical study assumptions. Empirically study and test the influence of the integration capabilities of core firms in industry chain on vertical boundary based on survey on equipment manufacturing industries and other complex industries.更多还原