【作者】 周煜；

【导师】 聂鸣；

【作者基本信息】 华中科技大学 ， 技术经济及管理， 2008， 博士

【摘要】 20世纪80年代以来,随着生产和贸易全球化的不断深入,发展中国家的汽车产业通过融入全球价值链体系,获得了前所未有的发展机遇。在这种背景下,中国汽车企业的组织行为发生了很大的变化,先后采取了合资和自主创新两种发展模式。不同模式下的汽车企业在市场中展开了激烈的竞争,汽车企业的发展路径和竞争行为往往决定了区域汽车产业的竞争优势。而发展模式选择的不同,也使得汽车企业的升级路径出现了很大的差异。因此,在全球价值链背景下,探讨中国汽车企业的发展模式、发展路径、竞争行为以及升级路径等问题对于研究中国汽车产业的发展具有重要的意义。本文首先在国内外相关文献研究的基础上,对产业升级、全球价值链、汽车产业全球价值链的研究现状进行了系统的述评;对世界汽车产业的发展趋势,汽车产业全球价值链的演化,汽车工业区的形成及发展特点进行了分析和考察。在此基础上,本文利用全球价值链理论研究了中国汽车企业的两种发展模式;利用全球价值链理论和制度理论分析了国有汽车企业的发展路径演化;分析了不同模式下的汽车企业之间在市场竞争中的动态博弈过程;构建了不同模式下汽车企业的升级路径。基于以上研究工作,本文得出如下主要结论:(1)中国汽车产业的发展过程中先后出现了以嵌入全球价值链为主的合资模式和以构建全球价值链为主的自主创新模式。中国的对外开放和全球价值链上生产环节的空间垂直转移推动了合资模式的实施与扩散,同时又为自主创新模式的兴起与发展创造了条件。自主创新企业能够从构建区域价值链开始,逐步构建由其主导的低端用户全球价值链。(2)国有汽车企业的发展经历了一个从合资模式的选择到利用与跨国汽车公司合作的机会发展自主创新模式的路径演化过程。在这个过程中,制度因素和全球化因素成为发展的驱动力,国有汽车企业在每个阶段采取了类似的组织行为,出现了组织趋同现象,随着国家层次和地方层次制度因素的变化,其发展路径也发生了相应的变化。(3)中国汽车产业不同发展模式下汽车企业之间的市场竞争实质上是R&D投资和创新绩效水平之间的竞争。增加R&D投资和提升创新绩效是两类企业的占优战略,自主创新企业需要重视通过提升创新绩效来实现增加市场份额与利润的目标。(4)中国汽车产业不同发展模式下汽车企业的升级路径具有明显的差异。在合资模式下,合资企业主要停留在工艺流程和产品升级,其进一步升级受到跨国汽车公司的壁垒和限制;在自主创新模式下,自主创新企业通过构建全球价值链,直接实现链条升级,其升级壁垒来自市场对自主品牌的认知以及价值链的价值量提升。更多还原

【Abstract】 Since 80’s in 20 centuries, along with the globalization of production and trade, the automobile industry in developing countries obtains unprecedented development opportunity by integrating into the system of global value chains. Under this kind of background,the organization behavior of the China’s automobile enterprises changed obviously.Some adopted the model of joint venture,others adopted the model of independent innovation.The automobile enterprises under different development models rival one another for the market, the development path and competition behavior of automobile enterprises usually determine the competitive advantage of the automobile industry in district.However, Under the difference between the choice of development models,the upgrading path of automobile enterprises appears a obvious difference. Therefore, on the background of global value chains, exploring the problems which concern the development models,the development paths,the competitive behaviors of China’s automobile enterprises and the upgrading paths of automobile enterprises under different models have important meaning for researching the development of automobile industry in China.First of all, in the foundation of the domestic and international studies research, this paper systemically reviews the industrial upgrading, the theory of global value chains, the research of global value chains in automobile industry. Then, the paper analyzes and discovers the development trend of automobile industry in the world, the formation and evolvement of global automobile value chains, the formation process and the development characteristics of automobile industrial districts. On this foundation, the paper explores the two kinds of development models by making use of global value chains theory, analyzes the evolvement of development path of state-owned automobile enterprises(SAEs)by making use of global value chains theory and institutional theory, analyzes the dynamic game process between two models of automobile enterprises for the market competition, designs the upgrading path of different models of automobile enterprises, then carries on a case study.According to the above research work, this paper gets as follows main conclusion: (1)It appeared joint venture model by inserting global value chains and self-innovation model by building up global value chains successively. The implementation and diffusion of the model of joint venture is driven by the open policy of China and the spacial perpendicularity transfer of produciton link on the global value chains. Meanwhile, the appearance and development of self-innovated model are benefited from them. Self-innovated enterprises(SIEs) can gradually build up a global automobile value chain which aims at the low-end customers on the base of the low value at the beginning of building up a district automobile value chain.(2)the development of SAEs experienced a process of path evolvement from the choice of the joint venture model to the development of self-innovated model using the opportunities of cooperation with the multinational motor companies. In this process, the factors of institution and globalization have become the driven-power of the development of SAEs, SAEs adopt similar organization behavior and appear the similar tendency phenomenon at each stage, the development path of SAEs also change relevantly along with the change of institutional factors of nation level and area level.(3)The market competition among automobile enterprises under different models in China’s automobile industry is the competition of R&D investment and innovation result in nature. The increase of R&D investment and the promotion of innovation results is the dominant strategy of two types of automobile enterprises, SIEs need pay more attention to the promotion of innovation results level in order to accomplish market share and return successfully.(4)The upgrading path of automobile under different development models in China’s automobile industry. Under the model of joint venture, joint ventures mainly stay around the process upgrading and product upgrading, however, the barrier and limit block off the more upgrading behavior of joint ventures. Under the model of self-innovation, SIEs directly realize inter-sectoral upgrading by building up global value chains, and the barrier of upgrading comes from the understand of independent brand and improving of value income of the whole value chains.更多还原