中国现代物流产业发展与制度创新研究

【作者】 吴爱东；

【导师】 张彤玉；

【作者基本信息】 南开大学 ， 政治经济学， 2009， 博士

【摘要】 现代物流产业是当今国际竞争的重要领域,大力发展现代物流产业已成为世界各国的共识。现代物流产业发展具有许多不同于传统产业的特征和规律,它是以现代科学技术为基础,是通过信息技术的功能整合、产权关系的资产重组、组织关系的产业再造而形成的新兴产业部门。一个产业若要快速发展,不但需要快速、稳定增长的市场需求来拉动和刺激,还要具备有效率的市场交易制度和高效益的市场交易活动构成的制度环境。社会主义市场经济条件下的现代物流产业,也同样面临这样的问题。由于我国物流产业发展的制度环境不完善,现代物流产业在面临前所未有的发展机会的同时,也受到制度安排不成熟所带来的制度困境。在我国经济体制转轨时期,制度不仅为现代物流产业的发展提供宏观的制度环境,而且也是现代物流产业发展的一个内生变量。制度作为一种配置资源的手段,决定着人力资本的运用和发挥,决定着技术的总体水平,制度创新从根本上决定着现代物流产业发展的方向与路径。本文主要在马克思主义制度理论的指导下,借鉴西方创新理论和制度经济学的科学成分,运用制度分析方法,揭示制度在现代物流产业发展中的特殊地位和作用,探索现代物流产业发展与制度创新的规律和特点。从具体的经济目标出发,研究制定具体的制度规则以保证行为主体进行创新活动;综合运用了马克思主义经济学、新制度经济学、产业经济学、管理学等学科的一些研究方法,从多学科角度研究现代物流产业发展与制度创新问题,力求以新的理论方法达到新的理论研究深度。马克思主义关于技术创新和制度创新辨证关系的理论和新制度经济学关于技术创新和制度创新相互影响的理论告诉我们,技术创新和制度创新是两个不可分割的范畴,相互联系,互相促动,一个国家乃至一个企业要想获得持续发展,必须同时进行技术创新和制度创新,并使二者步入良性循环轨道。马克思主义关于生产力和生产关系的基本原理告诉我们,科学技术对生产力发展和社会经济发展具有第一位的变革作用,因而技术创新较之制度创新对现代经济增长具有第一位的推动作用,有更深层次的重要意义。同时,制度和制度创新又具有相对独立性,对技术创新具有重要的能动作用。从长期来看,技术创新会推动制度创新,制度创新则会保障技术创新的功能得以发挥与实现。因此,在制度创新过程中,要注意掌握技术创新的规律和特点,积极利用技术创新的成果,共同促进现代物流产业的发展。笔者认为,物流本质上是物质生产过程在流通领域的延续,物流产业是指把提供物流服务作为其主要产品的同类经济组织的有机总和。本文尝试从技术创新与制度创新的角度深刻分析了现代物流产业的内涵:从技术创新角度看,它是以现代科学技术为基础形成的新兴产业部门。首先是劳动过程的技术(信息技术)基础的变化;其次是劳动方式(分工协作)的变化;再次是劳动手段的变化:使各种物流功能(运输、仓储、流通加工、包装、配送等)实现整合,从而形成以第三方物流为主体的现代物流产业。从制度创新角度看,它是产权关系的资产重组、组织关系的产业再造而形成的新兴产业部门。首先是新的企业组织形式;其次企业是产权关系的新的组合变革;再次是企业治理关系的新变化;最后形成价值共享和分配关系的新格局。现代物流产业作为生产性服务业,对社会经济的发展起到先导作用并能降低全社会的物流成本、提高经济效率,促进经济发展方式的转变。本文深入阐析了现代物流产业发展所具有的服务需求的引致性,功能发挥的整合性,产业关联的高耦合性,知识、技术和资金的高密集性,市场环境的竞争性、产业政策的引导性和发展环境的特殊性等特征;根据现代物流产业在整个经济体系和流通中的地位变化,分析了其演化的功能定位,即服务经济、联络经济和调节经济三重经济功能:进一步指出其演化动力是社会分工与专业化的需要,节约交易成本的需要,提高企业核心竞争力的需要和提高物流市场有效竞争性的需要;总结出现代物流产业有技术主导、需求诱致和制度推动三条产业发展路径。本文认为,市场、技术和竞争条件共同构成了物流企业生存和发展的产业条件。对现代物流产业发展的产业条件及与之相关的制度因素的分析,是我们研究物流产业发展与制度创新问题的出发点。现代物流产业发展表现为以第三方物流企业为核心,通过第三方物流企业之间、相关的运输企业、仓储企业、流通加工企业之间的并购式产业组织整合过程:表现为以交通运输网络、仓储设施、信息管理网络为实体的集群式资源整合过程;表现为以综合物流服务为主体、与运输、保管、仓储、配送、流通加工等为辅助的联盟式的产业功能整合过程。现代物流产业发展是以分工为基础,以协作和联合为主导,以内部的组织性和组织化程度的改善,外部的协调性和协调化程度的提高,产业组织的改造,产业在空间上的协调与空间布局的合理化等为目标的的动态过程。为了促进这一动态过程的顺利实现,需要一系列的制度安排形成的制度结构与之相适应。本文通过分析国外发达国家发展现代物流产业的制度实践,说明了通过制度创新实现的制度协同是物流产业发达国家取得成效的基本原因,而制度缺陷是阻碍现代物流产业发展的最主要因素,并得出对中国物流产业发展的有益启示。在对中国物流产业发展环境分析的基础上,突出强调了制度创新对物流产业发展的促进作用。最后,本文从现代物流产业发展的视角,深入研究了制度创新的新思路,创造性地提出为促进中国现代物流产业发展,提高物流产业的绩效水平,应在宏观层面构建现代物流产业发展的制度环境;在中观产业层面构建现代物流产业的发展动力和营商环境;在微观企业层面构建现代物流产业发展的动力主体,建立多层面的动态制度创新体系。更多还原

【Abstract】 Modern logistics industry is an important area of international competition, and there is a consensus that modern logistics industry should be developed vigorously in all countries around the world. The development of modern logistics industry has many characteristic features and rules which are different from traditional industries. Modern logistics industry is a burgeoning industry, which is based on modern science and technology; it is a process of integration of information technology, assets reorganization of property relations, and industries reconstruction of organization relations. To speed up the development of an industry, not only will it be necessary of having stimulation and pull of fast and steady growth in market demands, but also having an efficient system of market transactions and the institutional environment with cost-effective market transactions. The modern logistics industry, which is under the conditions of socialist market economy, is also facing this problem. China’s logistics industry is facing both unprecedented opportunities and problems of premature arrangements of institutions, as a result of the development of the imperfect institutional environment. During the periods of China economic system transition, the institutions not only provide a macro-institutional environment for the development of modern logistics industry, but also become an endogenous variable in the development of modern logistics industry. As a means of resources allocation, the system determines the use of human capital and the overall level of technology, and system innovation fundamentally determines the development of modern logistics industry’s direction and path.This dissertation, under the guidance of the theory of Marxism, draws on the experience of scientific components of western innovation theories and institutional economics, reveals the special role and the important status of the system in the development of modern logistics industry, and explores the rules and characteristics of the development of modern logistics industry and institutional innovation. The author studies on enacting specific rules to ensure that behavioral actor play its role in innovation activities. And the author also studies on the development of modern logistics industry and institutional innovation from the multi-disciplinary viewpoint, by comprehensive use of Marxist economics, new institutional economics, industrial economics, management and other disciplines’ research methods, in order to reach a new depth of theoretical research by new theoretical approaches.The theory of dialectical relationship between the technological innovation and institutional innovation in Marxism, and the theory of influence between technological innovation and institutional innovation demonstrate that technological innovation and institutional innovation are two inseparable aspects, interacting on each other. In order to achieve sustainable development, a country as well as an enterprise must go in for technological innovation and institutional innovation at the same time, and get them into a virtuous circle. The basic principle of productive forces and production relations of Marxism tells us that science and technology are thought to be important risk factors in the development of productive forces and socio-economics, so technological innovation plays a more important role in economic development, compared with institutional innovation. At the same time, the institution and institutional innovation are relatively independent, and they play important dynamic roles in technological innovation. In the long run, technological innovation will promote institution innovation, and institution innovation will ensure the important role of technological innovation. Therefore, we should pay attention to the rules and features of technological innovation in the process of institutional innovation, and make full use of the results of technological innovation, then jointly promote the development of modern logistics industry.Logistics is essentially a continued process of material production in the circulation department. Logistics industry is the sum of similar economic organizations, which get the provision of logistics services as their main products. This paper attempts to analyze the meaning of modern logistics industry in the perspective of technological innovation and institutional innovation, modern logistics industry is a burgeoning industry which is based on modern science and technology, in the perspective of technological innovation. Firstly, the technology-based change in labor process; secondly, the change of working methods (the division in collaboration), then the change of working means, all of these changes enable the functions of logistics such as transport, storage, distribution processing, packaging, distribution, etc., to integrate into the form of the third-party logistics, which is the main body of the modern logistics industry. Modern logistics industry is a burgeoning industry, which is based on assets reorganization of property relations and industries reconstruction of organization relations, in the perspective of institutional innovation. Firstly, the new forms of business organizations; secondly, the reform of property rights; thirdly, the change of corporate governance; finally the new formation of value sharing and distribution relations. Modern logistics industry, as the productive service industry, plays a leading role in the socio-economic development, and it can reduce logistics costs in society, improve economic efficiency, and promote the change of economic development.The development of modern logistics industry has the features of induced demanding for services, functioning of the integration, high-coupling of industry-relations, knowledge, high technology and capital-intensive, the competitive market environment, the guidance of industrial policies, and the specialty of development environment, and so on. According to the status changes of modern logistics industry in the entire economic system, the author makes the analysis of the functional status changes; these triple economic functions are serving economy, connecting economy and regulating economy, and the paper points out that the driving force for the development of modern logistics industry evolution is the needs of social division of labor and specialization, saving transaction costs, improving enterprise core competitiveness and enhancing effectiveness of logistics market, then finally gets the conclusions of the three paths of modern logistics industry development, which are the technology-leading path, demand-induced path and system promotion path.Market, technology and competitive conditions all constitute the conditions of the survival and development of logistics industry. The analysis on the conditions for logistics industry development and institutional factors is the starting point of our studies on logistics industry development and institution innovation. The development of modern logistics industry is the integration process of mergers and acquisitions of industrial organization, including the core business of third-party logistics enterprises, and related transportation and businesses, warehousing enterprises; and it is the integration process of the physical resource-clusters, including transport networks, storage facilities, and information management network; and it is the integration process of industry functions, including the coalition of transport, storage, warehousing, distribution, circulation, with the main part of integrated logistics service. The development of modern logistics industry is a dynamic process, which is based on labor division, led by collaboration, with the objective of improvement of the degree of organization, improvement of external coordination, and the transformation of industrial organization, industry coordination in space and space layout rationalization. In order to facilitate the smooth realization of the dynamic process, it requires a series of institutional arrangements for the formation of the corresponding structure of the system. The paper highlights the role of institution innovation in the promotion of logistics industry development, on the basis of the analysis of the development of modern logistics industry; and it shows that the basic reason for success of developed countries’ logistics industry is the collaborative institution in the process of institution innovation, and institution defects are the main factor that have hindered the development of modern logistics industry, then gets the revelations that is useful to China’s logistics industry development, by analyzing the institution practice of modern logistic development in developed countries.Finally, in perspective of the development of modern logistics industry, this dissertion deeply makes a new consideration of institutional innovation, and innovatively offers the way how to promote China’s modern logistics industry and improve the performance of logistics industry. At macro level of government what is should be done is to create institutional environment of modern logistics industries; at intermediate level of industries what is should be done is to offer the driving forces and to create business environment; at micro level of enterprises what is should be done is to create the main body and innovational mechanism of multi-level dynamic institution.更多还原