【作者】 陈琦；

【导师】 伍世安；

【作者基本信息】 江西财经大学 ， 产业经济学， 2011， 博士

【摘要】 本文研究的主要目的是从一个全新的角度,即国际产业转移的主体——跨国公司竞争优势的角度,对国际产业转移的动因进行探讨,进而为中国从承接国际产业转移到参与国际产业转移,提升本国制造业发展水平和企业国际竞争力提出相关的对策建议。本文在研究中采用规范分析与实证分析相结合的方法。在规范分析中,本文在国际贸易分工理论、产业组织理论、跨国公司理论、竞争优势理论和新制度经济学理论的基础上,从国际产业转移主体——跨国公司的角度研究其国际产业转移的动因,提出了跨国公司竞争优势最大化理论作为本文的理论支点。对该理论的实现途径——矩阵型分工的形成及其决定因素进行了分析。以该理论为指导,研究了中国企业的国际化路径选择。在实证分析中,综合运用了案例研究和模型等实证研究方法。通过搜集历史资料,本文分析了处于不同国际分工地位的国家跨国公司国际产业转移的特点,借助案例分析,从个案中寻找共性。同时,本文在对中国企业的国际化现状的研究中也选取了典型案例进行分析,以印证本文的理论支点。此外,也强调通过构建模型,对矩阵型分工的决定因素,竞争优势、矩阵型分工与国际产业转移的关系和逆向国际产业转移的决定因素等进行了数理分析。论文内容共分为六章。第一章为导论,分别阐述了本文的研究背景、目的、意义、写作思路、研究方法、创新和不足等。在从产业和跨国公司角度对现有的国际产业转移动因的解释进行综述和评述的基础上,指出现有理论存在不足,认为有必要从企业角度,特别是国际产业转移的微观主体——跨国公司角度来理解和解释国际产业转移现象。第二章在批判现有国际产业转移定义的基础上,从跨国公司角度重新定义了国际产业转移,将其明确为跨国公司的一种有意识的战略行为,认为跨国公司在新一轮国际产业转移中占有举足轻重的地位,从而明确了本文研究的定位,为下一章的论述做好铺垫。第三章是回答竞争优势最大化“是什么”的问题。首先结合跨国公司在不同发展阶段跨国经营的动机演变,提出以竞争优势为导向的国际产业转移是比商品输出和资本输出更高级的跨国经营新阶段。进而分析企业竞争优势的两大基石——差异化优势和低成本优势的来源和外在体现的差异,及其进入壁垒、经营风险、市场风险,以及两种竞争优势与企业竞争力和附加值的关系。接着研究了跨国公司的竞争优势,指出与一般企业不同,跨国公司能够通过国际化经营在这两种优势中进行协调、平衡和妥协。以这些论述为基础,提出了本文的理论支点——竞争优势最大化理论,并对该理论的意义作了说明。最后对竞争优势最大化理论进行了经验性的实证分析,选择了四个典型国家——美国、日本、韩国和印度,分别作为传统发达国家、后起发达国家、新型工业化国家和发展中国家的代表,对这些国家制造业跨国公司在新一轮国际产业转移中的策略行为进行了实证分析,指出四国制造业对外产业转移的共同特征,是将不同目的和层次的研发、制造、营销职能在全球范围内布局,以达到强化其竞争优势的目的。第四章是回答竞争优势最大化“为什么”的问题。为了探讨竞争优势最大化的实现途径,本章以跨国公司行为特征的实证研究为基础,将价值链上的各种活动纳入一个涵盖价值链分工、服务外包、研发转移和竞争优势的矩阵型分工分析框架,来说明跨国公司在研发、制造、营销环节的分工形态、以及矩阵型分工与跨国公司竞争优势之间的关系。接着探讨了矩阵型分工的产生过程和决定因素,指出相对要素成本和制度成本是决定矩阵型分工形成的主要因素。最后构建了一个基于垂直一体化基本模型的数学模型,分析竞争优势最大化、矩阵型分工与国际产业转移的关系。第五章是回答竞争优势最大化“怎么样”的问题。首先对中国制造业发展现.状和国际竞争力进行了分析,指出差异化优势是中国制造业与世界制造业强国之间差距的集中体现,然后以竞争优势最大化理论为指导,提出中国制造业企业应借鉴后起国家的成功经验,积极参与差异化优势寻求的国际产业转移的战略选择,并从企业和政府的角度,提出了中国制造业对外产业转移的对策建议。第六章是总结和展望。总结了本文的主要结论和研究中存在的不足并对未来的研究进行了展望。本文的主要研究结论包括：(1)国际产业转移不等于对外直接投资。尽管二者之间在主体、表现等方面相似或相同,但严格地说,它们是两个既有联系又彼此独立的概念。对外直接投资只是国际产业转移的方式之一,并且重要性日益下降。企业对外直接投资的目的相对多元化,既可以为了绕开贸易壁垒在当地建厂,也可以是出于利用当地资源的目的,还有消灭竞争对手等。而国际产业转移更多的是企业为了适应变化的环境和竞争的需要采取的战略性行为。从国际产业转移的主体——跨国公司角度,国际产业转移应定义为某个国家或地区的企业在变化的竞争环境中,为了追求利润最大化,按照区域比较优势原则,通过跨国界的对外直接投资或国际贸易等方式,把企业的某些职能(如生产、销售和研发等)转移到其他国家或地区的行为。当某个产业中多个企业参与这种转移时,便表现为该产业在空间分布上发生迁移。(2)相对于以前的商品输出和资本输出,国际产业转移的过程既包含商品(如输入中间产品、输出最终产品)的运动,也往往包含资本的运动,还包含外包等非股权方式。以商品输出和资本输出为主要手段的跨国经营行为是以市场进入为主要目的,而国际产业转移是跨国公司经过周密计划的战略性、系统性决策。跨国公司通过在全球寻找和选择最适合的区位,建立国际生产体系来全面发挥其全球性的组合与转移资源的优势。从这个意义来说,这种带有鲜明时代特征的跨国公司经营行为是一种比商品输出和资本输出更加高级的跨国经营阶段。从跨国公司的角度考察,国际产业转移的动机是为企业在日益激烈的竞争中维持和获取竞争优势。(3)差异化优势和低成本优势是企业竞争优势的两大基石。前者主要来源于创新能力,表现为基于专利、品牌等无形资产的市场垄断能力；后者主要来源于规模经济、管理和国家间的要素、制度差异等,表现在低价格和高性价比上。差异化优势的进入壁垒高,相应地,附加值也更高,低成本优势则相反。两者之间存在着矛盾,实行差异化往往意味着高成本。跨国公司的竞争优势同样包括低成本优势和差异化优势。但与一般企业不同的是,跨国公司拥有整合全球资源能力的特点决定了其能够在这两种优势中进行协调、平衡和妥协,从而取得竞争优势最大化。竞争优势最大化就是跨国公司在日益激烈的市场竞争中,为了获取和保持竞争优势,在不同国家产业发展环境存在差异的条件下,根据各国比较优势,将价值链各环节进行细分和区位重新调整,选择在拥有最优区位的国家或地区完成,以实现竞争优势最大化的战略行为。美国、日本、韩国和印度制造业企业在对外产业转移中,都有意识地遵循了这一规律。(4)企业的竞争优势贯穿价值链的各个环节和各个层次。跨国公司竞争优势最大化的实现,必然要求跨国公司将各种价值创造活动最优布局,以提升整体的经营效率。为此,国际产业转移不仅仅局限在制造环节,还拓展到研发和营销环节。当今的跨国公司将价值链进一步细分,在研发、制造和营销上划分出若干个层次,形成了一种涵盖价值链分工、服务外包、研发转移和竞争优势的矩阵型分工格局。这一分工格局的每个环节中价值创造活动的层次越高,附加值就越高,与跨国公司差异化优势间的关系就越密切,反之附加值就越低,与跨国公司差异化低成本优势间的关系就越密切。跨国公司通过矩阵型分工来实现竞争优势最大化。决定各个国家在矩阵型分工中地位的因素是要素成本和制度成本。国际产业转移就是跨国公司在不同国家存在差异的要素成本和制度成本中选择最优区位。(5)中国制造业的规模已位居世界前列,货物出口规模更已是世界第一,但中国制造业的主要竞争优势仍是集中在劳动密集型产品和资金技术密集型产品中的低附加值生产环节。矩阵型分工格局表明,尽管中国出口商品的技术含量逐年提高,承接的国际产业转移层次不断上升,并成为发达国家研发活动转移的主要目的地,但中国在国际分工中仍处于研发、制造和营销的低端,获取的利益极其有限。中国企业依赖脆弱的成本优势嵌入跨国公司的全球生产网络,完成分工中附加值最低的环节。缺乏差异化优势是中国制造业企业国际竞争力远远落后于英国、德国、美国和日本等制造业强国的集中体现。(6)根据竞争优势最大化理论和对部分后发国家的案例分析说明,企业可以通过跨国经营,整合利用全球的优质要素和优良制度安排,实现矩阵型分工上的跨越式发展,更快提高国际竞争力。按照竞争优势最大化理论,中国企业要占领矩阵型分工高端价值创造环节,必须尽快提高差异化竞争优势。中国企业在国际化过程中,应借鉴后起国家企业的成功经验,充分认识本企业在高端研发、制造和营销上的劣势,根据企业自身条件有选择地开展逆向国际产业转移,在保持成本优势的同时,积极寻求差异化优势,以实现竞争优势最大化。在这一过程中,要有针对性地选择适合的方式,同时也要做好风险防范。本文的主要创新之处在于：(1)本文突破了通常从中观和宏观角度研究国际产业转移现象及其技术溢出、产业升级、利益分配和经济增长效应的窠臼,从国际产业转移的微观主体——跨国公司竞争优势的角度研究国际产业转移的动因,即从跨国公司主导的国际分工与跨国公司竞争优势互补的关系出发,对跨国公司进行国际产业转移的动机作出了新的解释。(2)本文从跨国公司竞争优势的角度,提出竞争优势最大化理论,认为实现竞争优势最大化是跨国公司国际产业转移的动因。同时,为了进一步研究竞争优势最大化的实现途径,本文建立了一个涵盖研发、制造、营销的整体价值链国际分工分析框架——矩阵型分工,改变了通常将这些内容割裂的研究视角,并且在该分析框架中引入竞争优势及其与附加值的关系,从而对跨国公司的国际产业转移进行了更为完整的研究。(3)本文改变单纯从承接的角度研究中国企业在国际产业转移中的作用,而是从承接和参与两个角度展开研究。尤其突出中国企业的对外产业转移。同时,突破一般从市场进入、自然资源获取等角度研究中国企业“走出去”策略的局限,从更加长远的战略角度,提出中国企业通过国际产业转移实现竞争优势最大化的国际化路径选择。更多还原

【Abstract】 The main purpose of this study is to explore the motive international industrial transfer from an all-new angle, i.e. competitive advantage of Multinational Corporations (MNCs), the subject of international industrial transfer, and put forward relevant suggestions for escalation of China’s manufacture development and international competitiveness of Chinese manufacturers by shifting from an international industrial transfer receiver to a sponsor.This dissertation combines normative and empirical analysis. In the using of normative analysis, this dissertation proposes the theory of maximum competitive advantage as theoretical pivot of dissertation, based on theories of international trade, industrial organization, foreign direct investment (FDI), competitive advantage and new institutional economics, by studying the motive international industrial transfer from the angle of MNCs, Besides, the dissertation also analyzes realization of maximum competitive advantage-the matrix division of labor and its determinants. As guided by the theory, paths of internationalization of Chinese enterprises are studied. In empirical analysis, case studies and models are used. The dissertation compares characteristics of international industrial transfer carried out by MNCs based in countries on different levels of international division of labor to find out commonalities. Meanwhile, the dissertation selects typical cases on internationalization of Chinese enterprises to verify the theoretical pivot. In addition, mathematical models are applied to analyze the deciding factors of matrix division of labor and adverse international industrial transfer as well as the relationship among competitive advantage, matrix division of labor and international industrial transfer.This dissertation is divided into six chapters.Chapter 1 is preface, describing the research background, purpose, significance, reasoning, methodology, innovation and drawbacks of the dissertation respectively. Based on summary and comments of present explanation on motive of international industrial transfer from the angles of industry and MNCs, this chapter points out the defects of present theories, and it is necessary to comprehend and explain international industrial transfer. from the perspective of micro subject of international industrial transfer-MNCs. Chapter 2 redefines international industrial transfer from the perspective of MNCs on the basis of criticism on existing definitions. International industrial transfer is regarded as a conscious and strategic behavior of MNCs because of their important role in latest international industrial transfer, which clarifies the orientation of this study, and provides the foundation of the next chapter.Chapter 3 answers "what" is maximum competitive advantage. First, the chapter figures out that competitive advantage -oriented international industrial transfer is a higher level of internationalization than exporting and FDI by analyzing evolution motivation of international operation. Furthermore, the chapter analyzes the differences between source, embodiment, entry barriers, business risks and market risks of two cornerstones of competitive advantage-cost leadership and differentiation as well as the relationship between two kinds of competitive advantages and value-added and competitiveness. Then, the chapter probes competitive advantage of MNCs, and declares compared with ordinary firms, MNCs are able to reach harmony, balance or concession of two kinds of competitive advantages. Based on the opinion, the theory of maximum competitive advantage is forwarded and interpreted. Finally, empirical analysis of maximum competitive advantage is carried out by selecting four typical countries-the United States, Japan, South Korea and India, as representatives of traditional industrialized countries, newly developed countries, newly industrialized countries and developing countries respectively, and comparing strategic behaviors of manufacture MNCs based in these countries in latest international industrial transfer. The common feature of outward industrial transfer of MNCs from four countries is global positioning of research & development (R&D), manufacturing and marketing of different purposes and on different levels to achieve the goal of strengthening competitive advantage.Chapter 4 answers "why" should competitive advantage be maximized. To explore ways to achieve maximum competitive advantage, this chapter establishes a framework of matrix division of labor covering value chain, service outsourcing, R&D transfer and competitive advantage, based on empirical analysis of MNC activities. various value chain activities are brought into this framework to illustrate the pattern of fragmentation of R&D, manufacturing and marketing, and relationship between the matrix division of labor and competitive advantage of MNCs. Then, the development and determinants of matrix division of labor are discussed and it is concluded relative factor costs and institutional costs are major determinants in the formation of matrix division of labor. Finally, a mathematical model based on basic model of vertical integration is constructed to analyze the relationship among maximum competitive advantage, matrix division of labor and international industrial transfer.Chapter 5 answers "how" to apply maximum competitive advantage. First, the chapter analyzes development and international competitiveness of China’s manufacturing industry and affirms differentiation advantage is the vital gap between China and genuine world plants. Under guidance of theory, of maximum competitive advantage, the chapter suggests China’s manufacturing enterprises should learn from the experience of successful countries, and actively participate differentiation advantage seeking international industrial transfer. At the end, from the perspective of firms and government countermeasures for outward transfer of Chinese manufacturing industry are presented.Chapter 6 is conclusions and prospects of this dissertation. The chapter summarizes the main conclusions and drawbacks, and opens up prospects for future research.The main conclusions include:(1) International industrial transfer does not equal to FDI. They are similar or even identical in subject and performance, but strictly speaking, they are interrelated and independent concepts. FDI is only one of the ways of international industrial transfer with declining importance. The purposes of FDI are relatively more diversified, including trade barriers avoiding, local resource exploiting, as well as elimination of competitors and so on. International industrial transfer is strategic behavior adopted by MNCs to adapt to changing environments and competition.. International industrial transfer must be defined as follows, an profit-maximizing enterprise in changing business environments, transfer some functions (production, marketing and R&D, etc) to other countries or regions in accordance with principle of comparative advantage, through FDI or international trade, etc. When a number of enterprises participate in such shift, spatial distribution and migration of the industry occurs.(2) Compared with exporting and FDI, the international industrial transfer process includes not only the movement of both commodity (inflow of intermediate products and outflow of final products) and capital, but also non-equity ways like outsourcing. Traditional international operations are usually market access oriented. International industrial transfer is deliberate, strategic and systematic decision of MNs. Through seeking and selecting optimal location globally, MNCs establish production networks to exert their advantage to organize and transfer resources globally. In this sense, international industrial transfer is a business practice in higher stage of international operation than exporting and FDI to help enterprises maintain and gain competitive advantage in increasingly competitive market.(3) Differential and cost leadership are two cornerstones of competitive advantage. The former mainly comes from innovation, embodied as monopolizing power based on patents, brands and other intangible assets; the latter mainly generates from economy of scale, management and inter-country differences in elements and systems, embodied as low prices or high performance/price ratio. Differentiation has higher barriers to entry, and accordingly, higher value-added, and vice versa. There are contradictions between two kinds of competitive advantages, the implementation of differentiation often means higher costs. Competitive advantages of MNCs also include differential and cost leadership, but MNCs with ability of global resource planning can coordinate, balance and compromise between these two advantages, and gain maximum competitive advantage. Maximum competitive advantage means MNCs in increasingly competitive market and facing different industry development environments in different countries, slice and re-locate value chain functions in countries or regions with comparative advantage, to obtain, maintain and maximize competitive advantage. MNCs from the US, Japan, South Korea and India have consciously followed this rule in outward industrial transfer.(4) Competitive advantage impenetrate all aspects and levels of the value chain. Realization of maximum competitive advantage needs optimal layout of various value-creating activities and improvement of overall operating efficiency. So, international industrial transfer is not limited to the manufacturing process, but also extended to R&D and marketing. Nowadays, MNCs further subdivide value chain(R&D, manufacturing and marketing) into a number of levels, and form matrix division of labor covering value chain, service outsourcing, R&D transfer and competitive advantage. The higher level the value creating activities in each stage of this division of labor occupies, the higher value-added taken, and the closer to differentiation advantage. Contrary, the lower value-added taken, and the closer to cost leadership advantage. MNCs maximize competitive advantage through matrix division of labor. Positions of countries in division of labor are determined by costs of factors and institutional costs. MNCs select optimal location of different costs of factors and institutional costs in international industrial transfer.(5) The size of China’s manufacturing industry and commodity export have ranked No.1 in the world, but the main competitive advantage of China’s manufacturing industry still focuses on labor-intensive products and low value-added parts in the production of capital-and technology-intensive products. Matrix division of labor shows, despite the technical content of Chinese exports has increased successively, following the rising level of international industrial transfer, and China has become the major destination of R&D transfer from developed countries, China still stays in the low end of international division of labor of R&D, manufacturing and marketing and shares small part of the interest. Depending on fragile cost advantage, Chinese companies embed in global production networks of MNCs, assuming the part of the lowest value-added. Lack of differentiation is the major disadvantage of China’s enterprises’ international competitiveness.(6) According to the theory of maximum competitive advantage and case study on typical countries, firms can achieve leapfrog development in matrix division of labor and improve international competitiveness by integrating elements of higher quality and better institutional arrangements globally through international operations. To occupy high-ends of matrix division of labor, Chinese enterprises should improve differentiation advantage. In internationalization, Chinese enterprises must be fully aware of the disadvantage in high-end R&D, manufacturing and marketing, carry out adverse international industrial transfer, actively seek differention advantage while maintaining cost leadership. In this process, they must select the appropriate manner, and be cautious to risks.The main innovations of this dissertation are:(1) This dissertation breaks the limitation of micro- and industry-oriented research on international industrial transfer focusing on technology spillover, industrial upgrading and economic growth effects and benefit distribution, studies motivations of international industrial transfer from the angle of MNCs as micro subject, andgives a new explanation based on relationship between international division of labor and competitive advantage.(2) This dissertation forwards theory of maximum competitive advantage from the perspective of MNCs, and considers maximum competitive advantage is the major motivation of international industrial transfer. Meanwhile, to research the way to maximize competitive advantage, this dissertation builds a framework of matrix division of labor covering R&D, manufacturing, marketing, which are often been fragmented in researches perspective. With the introduction of value-added and competitive advantage to the analytical framework, the international industrial transfer is completely studied.(3) This dissertation studies China as both a receiver and sponsor of international industrial transfer. Especially Chinese enterprises’ outward industrial transfer is studied. Besides, this dissertation changes the traditional perspective of "going out" strategy limited to market entry and natural resource seeking, and proposes maximum competitive advantage oriented internationalization strategy of Chinese enterprises更多还原