【作者】 朱凤娟；

【导师】 杜晓君；

【作者基本信息】 东北大学 ， 国际贸易， 2007， 硕士

【摘要】 经济的全球化带来了资源配置的全球化,由此带来了全球价值链的不同环节分布于不同国家的国际分工模式。这种分工模式给发展中国家本土企业的成长提供了机遇,因此对全球价值链背景下本土企业成长的研究具有重要的意义。本文回顾了有关企业成长的理论：企业内部成长理论、企业并购成长理论、企业网络化成长理论,并从一个新视角——全球价值链来研究企业成长,确立全球价值链理论为本文的理论基础。首先,本文研究了本土企业进入全球价值链的方式和壁垒。本土企业进入全球价值链可以获得成长所需的资金、市场、知识,从而获得成长的动力。本土企业主要通过接受FDI和贴牌生产的方式进入全球价值链,但在此过程中会遇到各种宏观和微观壁垒,并且随着全球价值链的成熟,本土企业的进入也将越来越困难。其次,本文对基于全球价值链的本土企业成长问题进行了研究。在全球价值链中,本土企业和跨国公司发生联系,由此获得能力成长的动力。能力的成长为企业成长提供了重要前提。然而,由于本土企业和跨国公司之间相互控制关系的不同,企业的成长机会也就不同。所以本文主要从企业的能力成长机制、企业的成长模式和企业的成长机会三个方面探讨全球价值链中的本土企业成长问题。首先,不同类型的全球价值链中跨国公司和本土企业的联系方式不同,这使得跨国公司对本土企业能力成长的作用机制不同。所以,这部分首先根据驱动力的不同将全球价值链区分为生产商驱动型和购买商驱动型两类,并分别讨论其中驱动者作用于本土企业的技术能力、管理能力、营销能力成长的机制。其次,根据全球价值链不同环节的附加值分布情况描绘出微笑曲线,以微笑曲线作为分析全球价值链上本土企业成长模式的工具,总结了三种类型的企业成长模式：生产环节的规模化成长、高附加值环节跃迁的功能性成长、价值链跃迁的升级式成长。最后,分析了不同全球价值链治理模式下的本土企业成长机会。这部分首先给出了全球价值链的五种治理模式：市场型、模块型、关系型、领导型、层级型,并阐明了不同治理模式下企业之间关系的异同,这些差异使得本土企业的成长机会不同。为了便于研究,本文将企业间关系上具有相似性的治理模式进行整合,即将市场型和模块型、领导型和层级型分别归于市场型和领导型,并对三种治理模式下的本土企业成长机会进行分析。然后,分析了格兰仕集团和台湾积体电路集团基于全球价值链成长的案例,主要分析了企业的能力成长和成长模式,对前面的理论加以验证。最后,本文深入地分析我国企业在进入全球价值链成长的过程中面临的进入壁垒和学习能力不足等问题,给出我国企业的成长模式,并从政府和企业两个层面提出促进企业基于全球价值链成长的若干对策。更多还原

【Abstract】 The economic globalization brings the globalization of resource allocation and the new pattern of international division of labor. This new pattern means that different links of the global value chain are distributed in different countries, which brings opportunities for developing countries’local firm growth. So the study of local firm growth based on global value chain is necessary.This paper reviews the theory of firm growth, including the organic firm growth theory, the acquired firm growth theory, and the network-based firm growth theory, and studies firm growth based on global value chain theory which is a new perspective.Firstly, this paper studies the ways in which local firms enter the global value chain and the barriers they may meet with. By entering the global value chain, local firms can get the capital, the market and the knowledge which are necessary for their growth. Local firms enter the global value chain mainly by accepting FDI and OEM/ODM. But the local firms may meet with all kinds of micro-barriers and macro-barriers during the process of their entry. And with the mature of the global value chain, the entry of local firms becomes more and more difficult.Secondly, this paper studies local firm growth based on global value chain. On the global value chain, local firms interrelate with the multinational companies, and get the motivity for ability growth. Ability growth provides the important precondition for firm growth. However, because of the different relationships of controlling between local firms and multinational companies, the opportunities for local firm growth are different. So this paper studies the local firm growth based on global value chain from these three aspects that is the mechanism of firm ability growth, the mode of firm growth, and the opportunities for firm growth. Firstly, on different types of global value chains, the ways in which the local firms and the multinational companies interrelate with each other are different, so the mechanism of firm ability growth is different. According to the different driven forces, this paper classifies the global value chain into two types, buyer-driven global value chain and producer-driven global value chain. And this part discusses the mechanism of how multinational companies help local firms improve their abilities in technique, management and marketing. Secondly, according to the distribution of different links’added-value on global value chain, this paper describes the smile curve. Using the smile curve as a tool, this paper studies the modes of local firm growth, and concludes them into three types, the enlarging of firm scale on manufacturing link, the functional growth of transiting to links with higher added-value, and the upgrading-type growth of transiting to another global value chain with higher added-value. Thirdly, this paper studies the opportunities for firm growth under different patterns of global value chain governance. In this part, this paper provides the five patterns of global value chain governance, market pattern, modular pattern, relational pattern, captive pattern and hierarchy pattern, then analyzes and compares the different relationships between local firms and multinational companies under these five patterns. The differences of relationships lead to different opportunities for local firms’growth. To make the study easier, according to the similarity of some patterns, this paper puts them into one group. It puts modular pattern and market pattern into one group and puts captive pattern and hierarchy pattern into one group, and analyzes the opportunities for firm growth under the market pattern, relational pattern and captive pattern.Thirdly, this paper studies the case of Glanz Group and TSMC, mainly analyzes the ability growth and growth mode, demonstrating the theoretical study above.Finally, this paper deeply analyzes the problems facing our country’s firms in the process of growing on global value chain, and provides the mode for our country’s firm growth and the countermeasures to solve the problems for the firms and the government.更多还原