模块化分工条件下网络状产业链的基本构造与运行机制研究
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摘要
20世纪80年代以来,随着市场环境的变化和产品复杂性的增强,模块化作为产业结构的新本质及一种新的组织模式,日益受到人们的关注。模块化是与分工经济相联系的经济现象,是分工进一步延伸和深化的结果。随着产业链的分解化、模块化和网络化,不同企业的价值模块或价值链按照一定的界面标准相互交叉、融合,形成产业价值网络,成为一种新的产业链组成方式,我们称之为“网络状产业链”。模块化分工条件下的网络状产业链已经不同于一般意义上的产业链,其本质是什么,基本构造如何,其遵循怎样的运行机制以产生和分配整个网络的递增报酬,这些既是前沿的理论问题也是重要的现实问题,急待认真研究,并以此指导中国产业与企业发展的实践。
本论文以模块化理论、产业链理论和网络组织理论三类理论为基础,以知识基础观为重要出发点,旨在通过研究模块化分工条件下关联企业之间形成的网络状产业链的实质和基本构造,进而深入探讨网络状产业链包括价值生成机制、信任机制、利益分配机制在内的一系列运行机制,并用对特定产业链的实证研究加以验证。研究的成果不仅对丰富与深化产业链理论具有一定的理论意义,而且可以为知识经济条件下我国企业的战略选择、产业的发展演化和政府产业政策的制定提供理论指导和实践依据。
论文共分为十章:
第一章介绍选题来源、国内外研究现状、研究思路、研究内容、研究方法、研究框架和论文预期的主要创新。
第二章将产业链理论作为产业组织研究的新视角,讨论产业链的概念、产业链的生成与演进、产业链的整合以及产业链的运行机制,为本研究的推进奠定理论基础。
第三章将模块化看作新的分工方式,讨论模块化与模块化理论的发展、模块化理论中的相关概念、模块化分工以及模块化组织,为本研究的推进奠定理论基础。
第四章讨论网络状产业链的形成、影响和实质。网络状产业链在产业链分解化、模块化和网络化的基础上形成。由于网络状产业链的形成,使得产业链的价值创新方式得以改进,价值和利润在产业链上向效率高端转移,产业链内非均衡利益分配格局被打破。模块化分工条件下的网络状产业链具有企业与市场的双重性质,网络内部之间的联系主要是知识的关联。
第五章以知识基础观为研究出发点,从行为主体、资源、活动三个方面探讨模块化分工条件下网络状产业链的基本构造,并给出其概念模型。
第六章建立经济学模型,从提升系统价值、节约总量成本、促进价值创新和提高创新动力四个方面来探讨网络状产业链运行的动力——价值生成机制。
第七章讨论了信任的内涵和网络状产业链信任机制的内涵,并用网络成员合作的声誉模型来讨论声誉对成员之间相互信任的激励效应,证明网络状产业链的信任机制最终来源于成员间长期多次合作中形成的遵守共同设计规则的声誉。
第八章根据委托—代理的理论建立了网络状产业链的利益分配模型,利用相关的博弈模型分析了产业链主体在不同情况下的博弈行为,并提出用Shapley值法对网络状产业链的利益进行分配,使利益分配方法更具合理性,更利于调动产业链中各成员的积极性。
第九章采用案例分析的方法,分析研究我国3G时代移动通信产业链的基本构造和运行机制,以验证前文研究所提出的观点,并据此给出对我国移动通信产业链今后发展的启示。
第十章总结归纳前文的结论,分别给出对企业和政府的启示和建议,并提出本文的研究局限和未来研究方向。
本论文可能的创新点主要在于:
第一,指出模块化分工条件下的网络状产业链的实质,一是具有企业与市场的双重性质,二是网络内部之间的联系主要是知识的关联。在对网络状产业链基本构造和运行机制的研究中,注重对其实质的把握。
第二,借鉴Hakansson提出的网络的基本形态,以知识基础观为研究出发点,从行为主体、资源、活动三个方面探讨模块化分工条件下网络状产业链的基本构造,并给出其概念模型。
第三,指出基于知识的关联方式使模块化分工条件下的网络状产业链从提升系统价值、节约总量成本、促进价值创新和提高创新动力四个方面产生了独特的价值生成机制,成为其运行的动力;而建立来源于成员声誉的信任机制和合理的利益分配机制,是一个网络状产业链能够顺利运行的基础和保障。三大机制相互作用,缺一不可。
第四,借鉴相关领域中的模型和方法,建立了揭示网络状产业链一系列运行机制的经济学模型,并提出用Shapley值法对网络状产业链的利益进行分配。
Since the 1980s, along with the market environment change and the product complexity enhancement, the modularity, which is regarded as the new essence of industrial structure and one kind of new organization pattern, receives people' s attention increasingly. The modularity is the economic phenomena which relates with the division of labor. It is the result of further extended and deepened division. Along with the industry chain's disintegration, modularization and networkation, the different enterprise's value modules or their value chains intercross and combine according to the certain surface standard, and form the industry value network. We call this new composition way of industry chain as "the network shape industry chain". The network shape industry chain under the modularity division has already been different from the industry chain in the general sense. What is its essence and fundamental construction? What kind of operational mechanism does it follow to create and apportion the increasing return of the entire network? These are not only the theory frontier but also the important realistic question, urgently needing to study earnestly, in order to instruct the Chinese industries and enterprises development practice.
Based on the modularity theory, the industry chain theory and the network organization theory and from the knowledge-based view, this dissertation studies the essence and fundamental construction of the network shape industry chain which formed by affiliated enterprises under the modularity division, further discusses the industry chain's operational mechanisms including the value creation mechanism, the trust mechanism and the benefit apportionment mechanism, and verifies these with an empirical study to the specific industry chain. The research achievement not only has certain significance to enrich and deepen the industry chain theory, but also provides the theory instruction and the practice basis for Chinese enterprises' strategic choice, industry evolution and government' s industrial policy formulation in the knowledge economy.
The dissertation includes ten chapters:
In the first chapter we introduce the resource of this thesis, the study situation both home and abroad, the technical route of study, the study content, the research methodology, the research frame and the main potential innovating points of this dissertation.
In the second chapter we taking the industry chain theory as a new view of industrial organization research, discuss the industry chain's concept, formation, evolution, integration and operational mechanisms. This chapter establishes the foundation of the whole study.
In the third chapter we taking the modularity as a new division way, discuss the development of modularity and modularity theory, the concepts in the modularity theory, the modularity division and the modular organization. This chapter also establishes the foundation of the whole study.
In the fourth chapter we discuss the formation, influence and essence of the network shape industry chain. The network shape industry chain forms in the basis of the industry chain' s disintegration, modularization and networkation. As results of the formation, the industry chain' s value innovation way is improved, the value and the profit on the industry chain shift to the efficiency high-end, and the non-balanced benefit apportionment situation in the industry chain is broken. The network shape industry chain under the modularity division has dual natures of the enterprise and the market. The connections in the network are mainly based on knowledge.
In the fifth chapter we take the knowledge-based view as the starting point, from such three aspects as the behavior subjects, the resources and the activities, discuss the fundamental construction of the network shape industry chain and give its conceptual model.
In the sixth chapter we establish economic models, discuss the network shape industry chain' s value creation mechanism, which is its operation motivity, from such four aspects as upgrading system value, saving total costs, promoting value innovation and enhancing innovation impetus.
In the seventh chapter we discuss the connotation of trust and trust mechanism of the network shape industry chain. With the prestige model of the network members' cooperation, we analyze the incentive effect from the members' mutual trusts and prove that the trust mechanism originates ultimately from the prestige of observation common design rules, which forming in the members' long-term repeating cooperation.
In the eighth chapter, based on the principal-agent theory, we build the benefit apportionment model of the network shape industry chain. With game theory models, we analyze the industry chain subjects' behaviors in different situations. We propose to apportion the benefit of the network shape industry chain by Shapley value method, which make the benefit apportionment more rational and give the members more incentive.
In the ninth chapter, applying the methodology of case analysis, we discuss the fundamental construction and operational mechanisms of Chinese mobile communication industry chain in 3G era to confirm the viewpoints proposed above, thus give enlightenments to the future development of the mobile communication industry chain.
In the tenth chapter we summarize the conclusions proposed above, give enlightenments and suggestions to the enterprises and government respectively, and propose research limitation future research direction of this dissertation.
The main potential innovating points of this dissertation are as follows.
Firstly, we propose the essence of the network shape industry chain. The network shape industry chain has dual natures of the enterprise and the market and the connections in the network are mainly based on knowledge. In the study of the fundamental construction and operational mechanisms, we pay great attention to the essence.
Secondly, using the network' s basic shape proposed by Hakansson for reference and taking the knowledge-based view as the starting point, we discuss the fundamental construction of the network shape industry chain from such three aspects as the behavior subjects, the resources and the activities, and gives its conceptual model.
Thirdly, we propose that the connections based on knowledge in the network bring unique value creation mechanism to the network shape industry chain, which is its operation motivity, from such four aspects as upgrading system value, saving total costs, promoting value innovation and enhancing innovation impetus. We also propose that building the trust mechanism from the members' prestige and rational apportionment mechanism is the foundation and insurance for the network shape industry chain to operate smoothly. These three mechanisms are interactive and indispensable.
Fourthly, using the models and methods in correlated fields for reference, we build the economic models to explain the mechanisms of the network shape industry chain. We further propose to apportion the benefit of the network shape industry chain by Shapley value method.
本论文以模块化理论、产业链理论和网络组织理论三类理论为基础,以知识基础观为重要出发点,旨在通过研究模块化分工条件下关联企业之间形成的网络状产业链的实质和基本构造,进而深入探讨网络状产业链包括价值生成机制、信任机制、利益分配机制在内的一系列运行机制,并用对特定产业链的实证研究加以验证。研究的成果不仅对丰富与深化产业链理论具有一定的理论意义,而且可以为知识经济条件下我国企业的战略选择、产业的发展演化和政府产业政策的制定提供理论指导和实践依据。
论文共分为十章:
第一章介绍选题来源、国内外研究现状、研究思路、研究内容、研究方法、研究框架和论文预期的主要创新。
第二章将产业链理论作为产业组织研究的新视角,讨论产业链的概念、产业链的生成与演进、产业链的整合以及产业链的运行机制,为本研究的推进奠定理论基础。
第三章将模块化看作新的分工方式,讨论模块化与模块化理论的发展、模块化理论中的相关概念、模块化分工以及模块化组织,为本研究的推进奠定理论基础。
第四章讨论网络状产业链的形成、影响和实质。网络状产业链在产业链分解化、模块化和网络化的基础上形成。由于网络状产业链的形成,使得产业链的价值创新方式得以改进,价值和利润在产业链上向效率高端转移,产业链内非均衡利益分配格局被打破。模块化分工条件下的网络状产业链具有企业与市场的双重性质,网络内部之间的联系主要是知识的关联。
第五章以知识基础观为研究出发点,从行为主体、资源、活动三个方面探讨模块化分工条件下网络状产业链的基本构造,并给出其概念模型。
第六章建立经济学模型,从提升系统价值、节约总量成本、促进价值创新和提高创新动力四个方面来探讨网络状产业链运行的动力——价值生成机制。
第七章讨论了信任的内涵和网络状产业链信任机制的内涵,并用网络成员合作的声誉模型来讨论声誉对成员之间相互信任的激励效应,证明网络状产业链的信任机制最终来源于成员间长期多次合作中形成的遵守共同设计规则的声誉。
第八章根据委托—代理的理论建立了网络状产业链的利益分配模型,利用相关的博弈模型分析了产业链主体在不同情况下的博弈行为,并提出用Shapley值法对网络状产业链的利益进行分配,使利益分配方法更具合理性,更利于调动产业链中各成员的积极性。
第九章采用案例分析的方法,分析研究我国3G时代移动通信产业链的基本构造和运行机制,以验证前文研究所提出的观点,并据此给出对我国移动通信产业链今后发展的启示。
第十章总结归纳前文的结论,分别给出对企业和政府的启示和建议,并提出本文的研究局限和未来研究方向。
本论文可能的创新点主要在于:
第一,指出模块化分工条件下的网络状产业链的实质,一是具有企业与市场的双重性质,二是网络内部之间的联系主要是知识的关联。在对网络状产业链基本构造和运行机制的研究中,注重对其实质的把握。
第二,借鉴Hakansson提出的网络的基本形态,以知识基础观为研究出发点,从行为主体、资源、活动三个方面探讨模块化分工条件下网络状产业链的基本构造,并给出其概念模型。
第三,指出基于知识的关联方式使模块化分工条件下的网络状产业链从提升系统价值、节约总量成本、促进价值创新和提高创新动力四个方面产生了独特的价值生成机制,成为其运行的动力;而建立来源于成员声誉的信任机制和合理的利益分配机制,是一个网络状产业链能够顺利运行的基础和保障。三大机制相互作用,缺一不可。
第四,借鉴相关领域中的模型和方法,建立了揭示网络状产业链一系列运行机制的经济学模型,并提出用Shapley值法对网络状产业链的利益进行分配。
Since the 1980s, along with the market environment change and the product complexity enhancement, the modularity, which is regarded as the new essence of industrial structure and one kind of new organization pattern, receives people' s attention increasingly. The modularity is the economic phenomena which relates with the division of labor. It is the result of further extended and deepened division. Along with the industry chain's disintegration, modularization and networkation, the different enterprise's value modules or their value chains intercross and combine according to the certain surface standard, and form the industry value network. We call this new composition way of industry chain as "the network shape industry chain". The network shape industry chain under the modularity division has already been different from the industry chain in the general sense. What is its essence and fundamental construction? What kind of operational mechanism does it follow to create and apportion the increasing return of the entire network? These are not only the theory frontier but also the important realistic question, urgently needing to study earnestly, in order to instruct the Chinese industries and enterprises development practice.
Based on the modularity theory, the industry chain theory and the network organization theory and from the knowledge-based view, this dissertation studies the essence and fundamental construction of the network shape industry chain which formed by affiliated enterprises under the modularity division, further discusses the industry chain's operational mechanisms including the value creation mechanism, the trust mechanism and the benefit apportionment mechanism, and verifies these with an empirical study to the specific industry chain. The research achievement not only has certain significance to enrich and deepen the industry chain theory, but also provides the theory instruction and the practice basis for Chinese enterprises' strategic choice, industry evolution and government' s industrial policy formulation in the knowledge economy.
The dissertation includes ten chapters:
In the first chapter we introduce the resource of this thesis, the study situation both home and abroad, the technical route of study, the study content, the research methodology, the research frame and the main potential innovating points of this dissertation.
In the second chapter we taking the industry chain theory as a new view of industrial organization research, discuss the industry chain's concept, formation, evolution, integration and operational mechanisms. This chapter establishes the foundation of the whole study.
In the third chapter we taking the modularity as a new division way, discuss the development of modularity and modularity theory, the concepts in the modularity theory, the modularity division and the modular organization. This chapter also establishes the foundation of the whole study.
In the fourth chapter we discuss the formation, influence and essence of the network shape industry chain. The network shape industry chain forms in the basis of the industry chain' s disintegration, modularization and networkation. As results of the formation, the industry chain' s value innovation way is improved, the value and the profit on the industry chain shift to the efficiency high-end, and the non-balanced benefit apportionment situation in the industry chain is broken. The network shape industry chain under the modularity division has dual natures of the enterprise and the market. The connections in the network are mainly based on knowledge.
In the fifth chapter we take the knowledge-based view as the starting point, from such three aspects as the behavior subjects, the resources and the activities, discuss the fundamental construction of the network shape industry chain and give its conceptual model.
In the sixth chapter we establish economic models, discuss the network shape industry chain' s value creation mechanism, which is its operation motivity, from such four aspects as upgrading system value, saving total costs, promoting value innovation and enhancing innovation impetus.
In the seventh chapter we discuss the connotation of trust and trust mechanism of the network shape industry chain. With the prestige model of the network members' cooperation, we analyze the incentive effect from the members' mutual trusts and prove that the trust mechanism originates ultimately from the prestige of observation common design rules, which forming in the members' long-term repeating cooperation.
In the eighth chapter, based on the principal-agent theory, we build the benefit apportionment model of the network shape industry chain. With game theory models, we analyze the industry chain subjects' behaviors in different situations. We propose to apportion the benefit of the network shape industry chain by Shapley value method, which make the benefit apportionment more rational and give the members more incentive.
In the ninth chapter, applying the methodology of case analysis, we discuss the fundamental construction and operational mechanisms of Chinese mobile communication industry chain in 3G era to confirm the viewpoints proposed above, thus give enlightenments to the future development of the mobile communication industry chain.
In the tenth chapter we summarize the conclusions proposed above, give enlightenments and suggestions to the enterprises and government respectively, and propose research limitation future research direction of this dissertation.
The main potential innovating points of this dissertation are as follows.
Firstly, we propose the essence of the network shape industry chain. The network shape industry chain has dual natures of the enterprise and the market and the connections in the network are mainly based on knowledge. In the study of the fundamental construction and operational mechanisms, we pay great attention to the essence.
Secondly, using the network' s basic shape proposed by Hakansson for reference and taking the knowledge-based view as the starting point, we discuss the fundamental construction of the network shape industry chain from such three aspects as the behavior subjects, the resources and the activities, and gives its conceptual model.
Thirdly, we propose that the connections based on knowledge in the network bring unique value creation mechanism to the network shape industry chain, which is its operation motivity, from such four aspects as upgrading system value, saving total costs, promoting value innovation and enhancing innovation impetus. We also propose that building the trust mechanism from the members' prestige and rational apportionment mechanism is the foundation and insurance for the network shape industry chain to operate smoothly. These three mechanisms are interactive and indispensable.
Fourthly, using the models and methods in correlated fields for reference, we build the economic models to explain the mechanisms of the network shape industry chain. We further propose to apportion the benefit of the network shape industry chain by Shapley value method.
引文
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1 所谓的“迂回生产”是一种间接地生产最终产品的生产方法,在生产最终产品之前,必须具有获得或制造中间产品的能力。每一种中间产品的生产,都可以视为分工链中的一个环节。
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1 李春田(2007)提出,对于模块化诞生和发展的过程,还有一种观点是将模块化看作是标准化的一种形式,这是中国标准化工作者的贡献。本文认为,这一观点仍然根源于将模块化看作是产品设计的科学方法,因此本文中不作特别强调。
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16 有学者把“encapsulated”译作“浓缩化”,但因为“encapsulated”本身含有“密封”的意思,也就是把私人信息包裹起来,因此本文译作“包裹化”。
17 按照模块化理论,选择价值源于选择余地。传统模式上,任何项目的研究结果都只有一个,不论其质量好坏都得接受;当相同模块有若干个,他们之间又展开竞争时,便有了选择余地,可从中选择最优的即产生选择价值。
18 鞋子就是个典型的例子。例如,男鞋的规格(码)一般为离散式分布:38、39、40、……。假如客户只有穿上39.5码的鞋子舒适度最高,若没有CTFM,客户只能做出妥协,选择39或40码的鞋子。在使用CTFM 后,商家可以对不同的客户做出精确的测量,使客户舒适度最大化。
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22 也可以译作系统集成商。
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37 我们认为,集聚于某一特定的地理空间这一点并非是核心企业协调下的网络组织模式的必要条件,该模式区别于其他两种模式的关键在于组织的控制力和系统的设计规则确定由谁掌握。
38 特质交易是指进行了专用性投资的定向对口交易。
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1 所谓的“迂回生产”是一种间接地生产最终产品的生产方法,在生产最终产品之前,必须具有获得或制造中间产品的能力。每一种中间产品的生产,都可以视为分工链中的一个环节。
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1 李春田(2007)提出,对于模块化诞生和发展的过程,还有一种观点是将模块化看作是标准化的一种形式,这是中国标准化工作者的贡献。本文认为,这一观点仍然根源于将模块化看作是产品设计的科学方法,因此本文中不作特别强调。
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16 有学者把“encapsulated”译作“浓缩化”,但因为“encapsulated”本身含有“密封”的意思,也就是把私人信息包裹起来,因此本文译作“包裹化”。
17 按照模块化理论,选择价值源于选择余地。传统模式上,任何项目的研究结果都只有一个,不论其质量好坏都得接受;当相同模块有若干个,他们之间又展开竞争时,便有了选择余地,可从中选择最优的即产生选择价值。
18 鞋子就是个典型的例子。例如,男鞋的规格(码)一般为离散式分布:38、39、40、……。假如客户只有穿上39.5码的鞋子舒适度最高,若没有CTFM,客户只能做出妥协,选择39或40码的鞋子。在使用CTFM 后,商家可以对不同的客户做出精确的测量,使客户舒适度最大化。
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37 我们认为,集聚于某一特定的地理空间这一点并非是核心企业协调下的网络组织模式的必要条件,该模式区别于其他两种模式的关键在于组织的控制力和系统的设计规则确定由谁掌握。
38 特质交易是指进行了专用性投资的定向对口交易。
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16 知识溢出包括客观性知识溢出和主观性知识溢出,客观性知识溢出是指不受知识主体的主观意识控制而产生的知识溢出现象,主观性知识溢出是指通过知识主体的主观意识控制而产生的知识溢出现象,因此,知识主体之间只要存在经济关系,客观性知识溢出是不可避免的,主观性知识溢出是要受到知识主体行为控制的,因此会随着主体之间的关系而调整。除非特别说明,本文所指的知识溢出是特指主观性知识溢出,而不包括客观性知识溢出。
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3 我们将核心厂商设计的可见设计规则或者提供的系统集成方式也看作是产品或者服务,这样就将核心厂商之间的竞争也纳入讨论范围。
4 虽然Bowley的模型是一个水平差异化的代表性消费者模型,但它可以通过集成,从垂直差异化的标准个体消费者模型中推导出来,因此本文并没有严格区分水平差异化和垂直差异化。参见斯蒂芬·马丁著,史东辉等译.高级产业经济学(第二版).上海:上海财经大学出版社,2003:50-59。
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