基于市场动态性的企业边界重构研究
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摘要
联盟、并购和拆分是企业最基本的活动规律之一,其中的任何一种行为都是对企业边界的重构,都会直接影响到企业的人、财、物等各项资源的配置与优化,改变企业的战略取向和竞争优势。因此,分析企业边界重构的动因,寻找企业边界重构新的理论基础,讨论企业边界重构的效应、规模和趋势,对重构的效率进行综合评估,为企业边界重构的优化提供可行的途径,就显得尤为重要。尤其是在极具动态性的市场环境中,企业是构建联盟以共度时艰,破产出售以主动出局,还是剥离资产以断尾求生,都成为对管理当局的严峻拷问,这些问号都涉及到企业选择何种方式改变企业边界,这个谁也无法回避的现实问题。
基于此,本文在国内外专家学者已有研究成果的基础上,应用定性分析和定量分析相结合的方法,对企业边界重构与市场动态性之间的关联问题进行了系统研究,完成了以下工作：
1.对企业边界的相关理论进行了讨论。首先,对马歇尔、钱德勒、科斯、契斯等人有关企业边界的观点进行了阐述,分析了企业边界的属性,然后,基于技术范式对企业边界的变动进行了分析,讨论了企业边界变动与参与市场竞争的关联,并从资产配置理论和进入权理论出发,分析了企业边界的确定,最后,试着分别从群落生态学、流体力学和遗传学的视角,给出了企业边界重构的新的理论基础,并对有关文献进行述评；
2.对企业边界重构的动因进行了分析。首先从资源基础论、交易成本经济学和企业核心能力等视角分析了企业进行联盟的原因,并讨论了企业联盟的实际驱动因素,然后,从企业价值创造、价值转移和导向因素等层面分析了企业并购的驱动因素,最后,从交易成本理论、新产权理论和能力理论的角度对企业拆分的动因进行了分析；
3.对企业边界重构的效应进行了分析。首先对基于联盟、并购、拆分的企业边界重构的挤出效应、技术创新效应、学习效应、敏捷性效应、放大效应、关联效应、管理协同效应、生产协同效应、文化协同效应、整合效应、结构效应和价值扩散效应等正效应进行了分析,然后对战略联盟的路径依赖、文化冲突、契约的风险性、领导能力的缺位,企业并购的内部组织成本的提高、委托代理成本的增加、信息的不完全和不对称以及企业拆分的优质资源不能被投资者分享、企业母体获利水平被拉低、独立运作的子公司运作结果不尽如人意、企业运作成本和监管成本提高等负效应进行了分析；
4.依据市场数据对企业边界重构的历史和趋势进行了经验分析。首先选取2002-2011年的市场数据,分析了中国并购市场的发展趋势,对并购数量、并购金额等因素进行了相关分析,并对企业并购行为的未来发展趋势进行了预测;然后,依据网络知识媒介,对企业联盟和拆分与市场动态性的关联性进行了分析,并对企业的这两类行为进行了趋势分析；最后,对企业边界重构与市场动态性的关联进行了评述和预测。结果发现,企业的活跃度与市场的动态性之间存在一个临界点,在这一临界点之前,市场的动态性较弱,企业边界重构的规模越低,超过了这个点,市场的动态性增强,企业边界重构的规模随之变高；
5.从系统组成成员的资源共享和资源重置问题出发,针对传统综合评价方法无法突破决策单元具有“可比性”的限制和无法依据任意参考面提供评价信息的弱点,给出了评价企业边界重构效率的广义样本数据包络分析模型,分析了相关模型刻画的重构有效性及弱有效性与相应的多目标规划非支配解之间的关系,探讨了重构单元在样本可能集中的投影性质和无效单元效率改进的途径和尺度,并进一步给出了重构单元群整体效率度量的典型方法和评价步骤；
6.对企业边界重构的优化问题进行了讨论。首先对较低市场动态性下的企业边界重构的优化问题进行了分析,此时企业的行为应以内生性的成长为主,注重对企业边界的内在优化。然后,分析了较高市场动态性下企业边界重构的优化问题,在这种情况下,企业的行为应由“内敛”转向内外并张,并在对市场和相关企业进行评价的基础上,确定企业边界重构的具体模式,以此来确定企业的最终边界。最后,分别从企业联盟的“接口”对接,企业并购的程序履行和维护企业拆分的主、客体利益等角度,讨论了在动态市场上,企业边界重构的优化过程中需要注意的问题。
旨在通过本文的工作,建立起基于市场动态性的“企业边界重构”的理论框架,为企业联盟、并购、拆分战略的制定与实施,以及实施效果的评估和优化问题,提供一个新的分析视角。
Enterprise alliances, mergers and acquisitions, and spin-off are the basic laws of the activities for enterprises. And any behavior is the reconstruction of the enterprise boundary, which will directly affect the allocation and optimization of human resource, and financial and material assets and change the strategic orientation and competitive edge. Therefore, it is very important for us to analyze the motivation of the enterprise boundary reconstruction, find new theoretical basis, to discuss the effects, scale, and trend, and conduct a comprehensive evaluation of reconstruction effect to provide workable ways for the optimization of enterprise boundary reconstruction. Especially in a highly dynamic market environment, that enterprises build alliances to ride out the storm, conduct bankruptcy sale to get out of the game, or they stripping assets for survival are the thorny questions for administering authority. These practical questions cannot be avoided and decides what ways enterprises will choose to change enterprise boundary.
Based on the research results at home and abroad, this dissertation uses the method of qualitative and quantitative and conducts a systematic research on the link between enterprise boundary reconstruction and dynamics of market, completing the works as follows:
1. Discussion of related theories about enterprise boundary. First of all, the dissertation illustrates the opinions about enterprise boundary from of Marshall, Chandler, Kos and Chis and analyzes attributes of enterprise boundary. Following, the dissertation analyzes the changes of enterprise boundary based on Technology paradigm and discusses the relation between enterprise boundary changes and participation in market competition. Moreover, it makes a analysis of enterprise boundary's determination from asset allocation theory and access theory. Finally, it provides the new rationale of enterprise boundary reconstruction from the perspective of synecology, fluid mechanics and genetics and makes a comment to related literature.
2. Analysis of agents on enterprise boundary reconstruction. Firstly, it analyzes the reason for enterprises to allied from the perspective of Resource-Based Theory, transaction cost economics and Core Competence and discusses the actual driving factor of enterprise alliance. Afterwards, it analyzes the driving factors of Mergers and Acquisitions from enterprise value creation, value transfer and value guidance. Last but not least, it analyzes the agents of corporate split from the perspective of Transaction Cost Theory, new theory of property rights and Ability theory.
3. Analysis of effects on enterprise boundary reconstruction. In the first place, it analyzes the positive effects of enterprise boundary reconstruction such as crowding out effect, technology innovation effects, learning effect, agility effect, amplification effect, linkage effect, management mynergies effect, production mynergies effect, cultural mynergies effect, integration effect, structural effect and value diffusion effect based on enterprise alliances, mergers and acquisitions, and split. After that it analyzes the negative effects such as dependence on strategic alliances, cultural conflict, contract risk, lack of leadership, increase of mergers and acquisitions cost, rise of agent cost, incomplete and asymmetric information as well as that the high quality resources from split cannot be shared by investors, profit level of parent company is pulled down, the operation of separate subsidiary is not satisfying and operating cost and regulatory cost also increase.
4. Empirical analysis of history and trend on enterprise boundary reconstruction based on market data. First of all, select the market data from2002-2011, analyze the trend of mergers-and-acquisitions market, make a correlation analysis of the quantity and amount of money and forecast the future trend of mergers and acquisitions. Then, the dissertation analyzes the relevance between corporate alliances and market dynamics and analyzes their trends. Last but not the least, it comments and predicts the relevance between enterprise boundary reconstruction and dynamics of market. It turns out that there is a critical point between active degree of enterprises and dynamics of market. Before the critical point, dynamics of market is weak and the scale of enterprise boundary reconstruction is low while dynamics of market increases and the scale of enterprise boundary reconstruction broaden according.
5. From resource sharing and replacement of system members and against the limitations of traditional comprehensive evaluation methods can not break the comparability of decision making unit and weaknesses which can not be based on any reference to provide evaluation information, the essay provides the generalized sample data envelopment analysis model which evaluate ihe efficiency of enterprise boundary reconstruction, and it analyses the relationship between reconstruction validity, weak validity of the related model depicts and relevant multi-objective programming non-dominated solutions, and it also discusses the projection properties of reconfigurable unit in the sample may be concentrated and the ways and scale invalid unit efficiency improved, and it further provides typical measures and evaluation procedures of reconstruction unit group of overall eifficiency measure;
6. Discussion on optimization of enterprise boundary reconstruction. First it analyses the optimization problem of enterprise boundary reconstruction under lower dynamics of market. In this case, corporation behavior should give priority to endogenous growth and mainly focus on internal optimization of enterprise boundary. Then, the essay analyses the optimization problem of enterprise boundary reconstruction under higher dynamics of market. On this occasion, the behavior of enterprise should transfer from "reserved" to the combination of both inside and outside. Meanwhile, on the basis of evaluation of the market and related Businesses we can determine the specific model of enterprise boundary reconstruction, on this account the final boundary of enterprise is determined. Finally, from the "interface" of the corporation alliance, implementation of corporation mergers and acquisitions, maintenance of interest of subject and object in corporation split, the essay discusses the issues that need to pay attention to in the process of optimization of enterprise boundary reconstruction in a dynamic market.
Through analysis of this dissertation, it aims to establish a theoretical framework of "enterprise boundary reconstruction" based on dynamics of market and to provide a new perspective for the formulation and implementation of strategies of corporation alliance, mergers and acquisitions, split, as well as the evaluation of implementation effect and optimization problem.
基于此,本文在国内外专家学者已有研究成果的基础上,应用定性分析和定量分析相结合的方法,对企业边界重构与市场动态性之间的关联问题进行了系统研究,完成了以下工作：
1.对企业边界的相关理论进行了讨论。首先,对马歇尔、钱德勒、科斯、契斯等人有关企业边界的观点进行了阐述,分析了企业边界的属性,然后,基于技术范式对企业边界的变动进行了分析,讨论了企业边界变动与参与市场竞争的关联,并从资产配置理论和进入权理论出发,分析了企业边界的确定,最后,试着分别从群落生态学、流体力学和遗传学的视角,给出了企业边界重构的新的理论基础,并对有关文献进行述评；
2.对企业边界重构的动因进行了分析。首先从资源基础论、交易成本经济学和企业核心能力等视角分析了企业进行联盟的原因,并讨论了企业联盟的实际驱动因素,然后,从企业价值创造、价值转移和导向因素等层面分析了企业并购的驱动因素,最后,从交易成本理论、新产权理论和能力理论的角度对企业拆分的动因进行了分析；
3.对企业边界重构的效应进行了分析。首先对基于联盟、并购、拆分的企业边界重构的挤出效应、技术创新效应、学习效应、敏捷性效应、放大效应、关联效应、管理协同效应、生产协同效应、文化协同效应、整合效应、结构效应和价值扩散效应等正效应进行了分析,然后对战略联盟的路径依赖、文化冲突、契约的风险性、领导能力的缺位,企业并购的内部组织成本的提高、委托代理成本的增加、信息的不完全和不对称以及企业拆分的优质资源不能被投资者分享、企业母体获利水平被拉低、独立运作的子公司运作结果不尽如人意、企业运作成本和监管成本提高等负效应进行了分析；
4.依据市场数据对企业边界重构的历史和趋势进行了经验分析。首先选取2002-2011年的市场数据,分析了中国并购市场的发展趋势,对并购数量、并购金额等因素进行了相关分析,并对企业并购行为的未来发展趋势进行了预测;然后,依据网络知识媒介,对企业联盟和拆分与市场动态性的关联性进行了分析,并对企业的这两类行为进行了趋势分析；最后,对企业边界重构与市场动态性的关联进行了评述和预测。结果发现,企业的活跃度与市场的动态性之间存在一个临界点,在这一临界点之前,市场的动态性较弱,企业边界重构的规模越低,超过了这个点,市场的动态性增强,企业边界重构的规模随之变高；
5.从系统组成成员的资源共享和资源重置问题出发,针对传统综合评价方法无法突破决策单元具有“可比性”的限制和无法依据任意参考面提供评价信息的弱点,给出了评价企业边界重构效率的广义样本数据包络分析模型,分析了相关模型刻画的重构有效性及弱有效性与相应的多目标规划非支配解之间的关系,探讨了重构单元在样本可能集中的投影性质和无效单元效率改进的途径和尺度,并进一步给出了重构单元群整体效率度量的典型方法和评价步骤；
6.对企业边界重构的优化问题进行了讨论。首先对较低市场动态性下的企业边界重构的优化问题进行了分析,此时企业的行为应以内生性的成长为主,注重对企业边界的内在优化。然后,分析了较高市场动态性下企业边界重构的优化问题,在这种情况下,企业的行为应由“内敛”转向内外并张,并在对市场和相关企业进行评价的基础上,确定企业边界重构的具体模式,以此来确定企业的最终边界。最后,分别从企业联盟的“接口”对接,企业并购的程序履行和维护企业拆分的主、客体利益等角度,讨论了在动态市场上,企业边界重构的优化过程中需要注意的问题。
旨在通过本文的工作,建立起基于市场动态性的“企业边界重构”的理论框架,为企业联盟、并购、拆分战略的制定与实施,以及实施效果的评估和优化问题,提供一个新的分析视角。
Enterprise alliances, mergers and acquisitions, and spin-off are the basic laws of the activities for enterprises. And any behavior is the reconstruction of the enterprise boundary, which will directly affect the allocation and optimization of human resource, and financial and material assets and change the strategic orientation and competitive edge. Therefore, it is very important for us to analyze the motivation of the enterprise boundary reconstruction, find new theoretical basis, to discuss the effects, scale, and trend, and conduct a comprehensive evaluation of reconstruction effect to provide workable ways for the optimization of enterprise boundary reconstruction. Especially in a highly dynamic market environment, that enterprises build alliances to ride out the storm, conduct bankruptcy sale to get out of the game, or they stripping assets for survival are the thorny questions for administering authority. These practical questions cannot be avoided and decides what ways enterprises will choose to change enterprise boundary.
Based on the research results at home and abroad, this dissertation uses the method of qualitative and quantitative and conducts a systematic research on the link between enterprise boundary reconstruction and dynamics of market, completing the works as follows:
1. Discussion of related theories about enterprise boundary. First of all, the dissertation illustrates the opinions about enterprise boundary from of Marshall, Chandler, Kos and Chis and analyzes attributes of enterprise boundary. Following, the dissertation analyzes the changes of enterprise boundary based on Technology paradigm and discusses the relation between enterprise boundary changes and participation in market competition. Moreover, it makes a analysis of enterprise boundary's determination from asset allocation theory and access theory. Finally, it provides the new rationale of enterprise boundary reconstruction from the perspective of synecology, fluid mechanics and genetics and makes a comment to related literature.
2. Analysis of agents on enterprise boundary reconstruction. Firstly, it analyzes the reason for enterprises to allied from the perspective of Resource-Based Theory, transaction cost economics and Core Competence and discusses the actual driving factor of enterprise alliance. Afterwards, it analyzes the driving factors of Mergers and Acquisitions from enterprise value creation, value transfer and value guidance. Last but not least, it analyzes the agents of corporate split from the perspective of Transaction Cost Theory, new theory of property rights and Ability theory.
3. Analysis of effects on enterprise boundary reconstruction. In the first place, it analyzes the positive effects of enterprise boundary reconstruction such as crowding out effect, technology innovation effects, learning effect, agility effect, amplification effect, linkage effect, management mynergies effect, production mynergies effect, cultural mynergies effect, integration effect, structural effect and value diffusion effect based on enterprise alliances, mergers and acquisitions, and split. After that it analyzes the negative effects such as dependence on strategic alliances, cultural conflict, contract risk, lack of leadership, increase of mergers and acquisitions cost, rise of agent cost, incomplete and asymmetric information as well as that the high quality resources from split cannot be shared by investors, profit level of parent company is pulled down, the operation of separate subsidiary is not satisfying and operating cost and regulatory cost also increase.
4. Empirical analysis of history and trend on enterprise boundary reconstruction based on market data. First of all, select the market data from2002-2011, analyze the trend of mergers-and-acquisitions market, make a correlation analysis of the quantity and amount of money and forecast the future trend of mergers and acquisitions. Then, the dissertation analyzes the relevance between corporate alliances and market dynamics and analyzes their trends. Last but not the least, it comments and predicts the relevance between enterprise boundary reconstruction and dynamics of market. It turns out that there is a critical point between active degree of enterprises and dynamics of market. Before the critical point, dynamics of market is weak and the scale of enterprise boundary reconstruction is low while dynamics of market increases and the scale of enterprise boundary reconstruction broaden according.
5. From resource sharing and replacement of system members and against the limitations of traditional comprehensive evaluation methods can not break the comparability of decision making unit and weaknesses which can not be based on any reference to provide evaluation information, the essay provides the generalized sample data envelopment analysis model which evaluate ihe efficiency of enterprise boundary reconstruction, and it analyses the relationship between reconstruction validity, weak validity of the related model depicts and relevant multi-objective programming non-dominated solutions, and it also discusses the projection properties of reconfigurable unit in the sample may be concentrated and the ways and scale invalid unit efficiency improved, and it further provides typical measures and evaluation procedures of reconstruction unit group of overall eifficiency measure;
6. Discussion on optimization of enterprise boundary reconstruction. First it analyses the optimization problem of enterprise boundary reconstruction under lower dynamics of market. In this case, corporation behavior should give priority to endogenous growth and mainly focus on internal optimization of enterprise boundary. Then, the essay analyses the optimization problem of enterprise boundary reconstruction under higher dynamics of market. On this occasion, the behavior of enterprise should transfer from "reserved" to the combination of both inside and outside. Meanwhile, on the basis of evaluation of the market and related Businesses we can determine the specific model of enterprise boundary reconstruction, on this account the final boundary of enterprise is determined. Finally, from the "interface" of the corporation alliance, implementation of corporation mergers and acquisitions, maintenance of interest of subject and object in corporation split, the essay discusses the issues that need to pay attention to in the process of optimization of enterprise boundary reconstruction in a dynamic market.
Through analysis of this dissertation, it aims to establish a theoretical framework of "enterprise boundary reconstruction" based on dynamics of market and to provide a new perspective for the formulation and implementation of strategies of corporation alliance, mergers and acquisitions, split, as well as the evaluation of implementation effect and optimization problem.
引文
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