【作者】 曹虹剑；

【导师】 罗能生；

【作者基本信息】 湖南大学 ， 国际贸易学， 2008， 博士

【摘要】 在知识经济与信息技术的推动下,人类的经济活动跨越空间界限与文化障碍,在全球范围内呈现一种全方位联系和互动的趋势。各国企业紧密地联系在一起,形成了全球化生产网络。模块化组织就是在上述条件下发展起来的。模块化组织是指在产品系统模块化分解的基础上,将中间产品环节分配于不同企业生产,然后再集成的整个过程所形成的企业间的网络组织。近年来,模块化生产和组织逐步成为管理学、经济学关注的一个热点问题,取得了系列的研究成果。但在以往的文献中,很少系统讨论模块化组织的运行与治理机制。本文在回顾模块化理论的基础上,结合新制度经济学、演化经济学与行为经济学,从模块化组织产生与演进着手,分析了模块化组织的信息结构及其特征,进而探讨了模块化组织内部治理与外部治理机制,最后对我国模块化组织发展现状进行了研究,并对中国制造业的优化升级提出了建议。作为全球生产网络中一种全新的生产组织方式,模块化组织出现有其深刻的原因。一方面,模块化产品能满足个性化消费需求,另一方面,模块化组织能减少生产中的风险与不确定性,降低产品生产的复杂程度。在经济全球化时代,一些产业演变成了全球化的模块化生产网络。模块化组织具有不同于传统生产组织的信息特征与运行机制。信息包裹使模块化组织内产生异质性的创新活动,而且可以提高创新成功的概率。系统信息同化使创新活动由各个子模块自由发挥,不仅有多样的创新可供日后选择,而且不需事先集中便可自行演化。模块化组织分散决策的信息系统结构使分工深化,并带来报酬递增。模块化组织还有自组织的特征,而且互补性会带来协同效果。模块化组织的有效运行,需要构建一种有效的治理机制。本文从内部治理和外部治理两个方面对模块化组织的治理机制进行了比较全面的探讨。首先,从产权与契约安排的角度讨论模块化组织的内部治理。模块化组织是在产品内分工条件下,以中间产品契约为主的柔性契约网络。模块化组织内的协调,是以系统规则制定者为主进行协调;组织内各个行为主体的地位是平等的,交易双方的资产专用性较低,交易频率比市场交易要高,但低于企业内的交易频率。模块化组织中的产权问题主要是合作剩余分配问题。模块化组织合作剩余分享的总原则是:个体所获得的合作剩余份额与个体对模块化组织合作剩余份额的影响程度呈正比。在模块化组织中,标准主要分为三种:具有私有品性质的标准,俱乐部物品性质的标准,以及公共产品性质的标准。而具有网络外部性的产品容易成为市场中事实上的标准,并使企业获取高额的利润。其次,从社会资本与非正式约束的角度讨论模块化组织的内部治理。本文主要从三个方面进行了分析:其一,模块化组织有效运行需要遵循互惠与公平原则。它表现为一方面是同等利益的交换,另一方面是同等损害的交换。在经济全球化背景下,带有惩罚性质的强互惠对维持模块化组织的合作秩序非常重要。其二,信用机制能减少模块化组织因契约不完全带来的交易费用;同时,信用机制能扩大模块化组织合作的范围。其三,声誉近似于人力资本,一定的声誉资本拥有量可以为行为主体获取相应的回报。再次,从市场机制和政府管制方面探讨了模块化组织的外部治理问题。本文主要讨论了组织模块化条件下的垄断与竞争及其政府管制问题。其一,模块化组织的边界是模糊的,动态发展的。一些产业中存在模块化垄断结构,其有下面特征:一个最终产品实际上是由多个企业联合生产,模块化垄断结构往往是凭借新技术、新产品、生产要素的新组合而形成的。其二,在边际成本递减时,社会福利最大化可能要求企业不以MC=MR为原则定价。但企业难以以高于MC的定价永久性地垄断市场,因为创新的涌现会导致市场结构不断演化。其三,在组织模块化条件下的竞争和以往有所不同。一方面,竞争已经深入产品内部的每个生产环节。另一方面,竞争还可能来自同一企业内部。在组织模块化条件下,市场壁垒与资产专用性降低,所以可竞争性大大增强。基于以上对模块化组织治理的理论探讨,文章最后联系我国实际,讨论我国制造业的优化升级问题。我国制造业参与全球模块化分工程度不断提高,但参与模块化分工企业的规模小,而且企业多处于模块化价值链的低端。要提升我国制造业的国际竞争力,需要充分利用模块化组织生产方式的优势,完善其治理机制。其一,完善模块化组织内部治理来使我国制造业优化升级。①明确和提升企业在模块化组织中的定位,有社会资本和网络优势的企业应该力争成为系统整合者;有技术优势的企业要定位于自己专业化的模块,力争成为标准制造者;②注重社会资本的培育,并利用柔性契约网络寻求合作的扩展。其二,通过完善模块化组织外部治理使我国制造业优化升级。①以效率标准来看待市场集中度与垄断问题。②用模块化的方法促进竞争,使产业组织或产品模块化,以减少潜在竞争者的进入壁垒与退出障碍;用模块化促进我国自然垄断产业的竞争。③重点扶持模块化价值链两端企业,提高高技术制造业投资额占整个制造业投资额的比重;加大创业风险投资发展;鼓励企业间专利联盟的发展。更多还原

【Abstract】 Promoted by knowledge economy and information technology, the economic and social life of human beings is leaping over the regional and cultural obstacles, presenting a global trend towards connection, exchange and interaction in all directions and aspects. Enterprises all over the world now bound with each other, thus form global production network. It is under such conditions that modularized organization comes into being. Modularized organization can be defined as: on the basis of modular decomposition of product system, different intermediate products are assigned to different enterprises and then integrated, thus form a network among enterprises which we call modularized organization. In recently years, research on modularized organization and production has gradually become a hot issue in management and economics studies, and made a series of research achievements. But in previous literature, few were discussed on mechanism of modularized organization’s operation and governance. On the basis of reviewing the previous theory on modularization, concerning with New Institutional Economics, Evolutionary Economics and Behavioral Economics, this paper studies: 1) The emergence and evolution of modularized organization, 2) Mechanism of internal and external governance of modularized organization, 3) China’s development of modularized organization, and finally gives suggestions on the optimization and upgrading of China’s manufacturing industry.Modular organization is a new model of organization in the global network of production, and there are deep reasons lies for its emergence. On the one hand, modularized products cater to personalized consumption demands; on the other hand, it can reduce the risk, uncertainty as well as the complexity of production. In the economic globalization age, some industries have developed into a system of global network of modularized production.Modularized Organization has its own information features and operational mechanism that different from traditional organization. Information encapsulation enhances heterogeneity innovation activities within modularized organizations, and also increases the possibility of successful innovation. The assimilation of system information advances the free play of innovation activities of each sub-modular, which not only provides a variety of innovative options in the future, but also makes self-evolution possible without concentration beforehand. In modularized organization, decentralized decision-making information structure stimulates labor division and brings increasing returns. Self-organization is one of the features of modularized organization and complementary can bring synergistic effect.For the successful operation of modularized organization, it is needed to construct an effective mechanism of governance. In this paper, comprehensive studies are made on the governance of modularized organization from both aspects of internal and external control.Firstly, the paper discusses the internal governance of modularized organization from the perspective of property rights and contractual arrangements. Modularized organization forms a flexible contract network under the condition of intra-product specialization. Coordination among modularized organizations is mainly led by the rule-maker. Various parties in the organization are equal in status; the asset specificity of two parties is low, while the transaction frequency is higher than that of the market transactions, but lower than the frequency within the enterprise itself. The main point of modularized organization’s property rights is the distribution of cooperation residual. The principle of the cooperation residual distribution is: an individual’s share of cooperative residual is proportional to its influence. Standards can be divided into three categories: standard of private goods nature, standard of clubs item nature and standard of public product nature. However, products with network externality are easily to become the de facto standard in the market, and access to the high level of corporate profits.Secondly, the internal governance of modularized organization is discussed from the aspects of social capital and informal constraints. Mainly analyses from these three areas:1) The effective operation of modular organization needs to follow the principle of fairness and reciprocity. It is not only the exchange of equal interests but also the exchange of equal damages. In economic globalization age, strong reciprocity of the punitive nature is vitally important to maintain the cooperative order of modularized organization. 2) Credit mechanism can reduce transaction costs caused by the incompletion of the contract; in the meantime, credit mechanism can also expand the scope of cooperation among modularized organizations. 3) While reputation is similar to the human capital, a certain possession of reputation capital can gain its owner corresponding returns.Thirdly, the paper studies the external governance of modularized organization through market mechanism and government regulation. It looks into competition and monopoly, and government regulation under modularized organization. It stands that: 1) The border of modularized organization is developing dynamically. Some industries have a modularized monopoly structure, which features as: a final product is actually produced by a number of joint enterprises; new technologies, new products, and new combination of essential production factors are often the cause of the formation of modularized monopoly structure. 2) While the marginal costs is on the decrease, the maximization of social welfare may require the enterprises not to follow the pricing principle of MR = MC. However, it is difficult for enterprises to monopolize the market permanently at the price higher than MC, because innovations will lead to constant evolution of market structure. 3) The competitions in modularized organization are different from that of the past. Not only has competition reached every chain of production, but also comes from the same enterprise. In modularized organization age, the barriers in market and the asset specificity have decreased while the contestability has greatly increased.Based on the above analysis on the theory of modularized organization’s governance, together with China’s present environment, this paper finally discussed the optimization and upgrading of China’s manufacturing industry. The participation of China’s manufacturing industry in the global modularized labor division is increasing, but we should also be aware of it that the scale of Chinese enterprises is rather small and usually at the lower end of the modularized value chain. To enhance the international competitiveness of manufacturing sector, China needs to make full use of its advantages of modularized production methods and improve the governance mechanisms. Suggestions are: 1) Improving the internal control of modularized organization to make the optimization and upgrading of China’s manufacturing industry. a) Specifying and upgrading enterprise’s position in the modular organization system. Enterprises with social capital and network advantages should strive to become the system integrator; enterprises with technology advantages should stand in its own specialized module, and endeavor to become a standard-maker; b) Emphasizing on the cultivation of social capital, and use flexible contract networks to expand cooperation. 2) Improving the external governance of modularized organization. a) Viewing market concentration and monopoly from the aspect of efficiency. b) Using modular approach to enhance competition, modularizing industry organization or products, in order to reduce enter or exit barriers to potential competitors, and promoting competition in China’s natural monopoly industry as well. c) Supporting enterprises at both ends of the value chain, increasing investments in high-tech manufacturing industry accounted for the entire amount of investment proportion; increasing risk investment and encourage patent pool among enterprises.更多还原