异质性企业国际生产组织模式选择研究
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摘要
近年来，企业在国际化经营过程中的生产组织模式选择日趋复杂，企业内中间投入品贸易和企业间外包在全球贸易中的份额不断提高，成为跨国公司实施国际生产的普遍现象，使得研究国际贸易中企业生产组织模式选择越发重要。与此同时，众多学者的研究表明，企业间的差异对国际贸易有着显著的影响。进一步实证研究证明这些差异来自于企业在生产率、规模、组织结构、资本密集度和工资水平等方面，说明企业间存在着异质性。
企业进入市场后，通过哪种模式组织生产，一体化还是外包，生产所在地选择发达国家还是发展中国家，对于异质性企业来说值得深入研究。具有不同异质性的企业更多地利用本身差异化的优势参与国际分工，发达国家和发展中国家的企业都能够很好地融入全球化的生产之中。发达国家的企业由于具有较高的资本密集度和生产率水平，在国际生产组织模式选择过程中偏好一体化，这解释了为什么有些企业的海外生产会发生在企业边界之内，而不是通过市场交易、外包等方式进行海外生产。然而基于成本考虑，发达国家企业选择外包仍占有相当的比例，不同产业异质性企业对生产组织模式选择也不同。发展中国家则更多地通过承接发达国家的外包进行国际化经营，并通过调整其在国际分工体系中的地位，实现产业升级，推动本国国际贸易的发展。
本文从国际贸易理论的最新研究成果――企业内生边界理论和异质性企业贸易理论出发，采用归纳分析、数理分析和经验研究相结合的方法，以企业异质性作为假设前提，将企业边界理论融入贸易模型，探索企业进入国际市场后的组织选择策略，并深入分析了资本密集度、生产率、交易成本和金融发展对企业生产组织模式选择的影响。通过对美国、欧盟、日本和中国发展一体化和外包的经验分析，运用相关数据进行实证检验，从微观层面解释企业国际生产组织模式选择的动因和效果，并结合中国企业海外投资的发展提出相应的建议。
在归纳分析中，本文界定了生产组织模式、一体化、外包等概念，区分了企业异质性和异质性企业的关系。在此基础上，梳理了新－新贸易理论和企业边界理论的脉络，并根据论文内容阐述了影响企业国际生产组织模式选择的相关理论，为进一步的数理分析提供理论支持。
在数理分析中，本文将企业生产组织模式选择问题置于新－新贸易理论框架下，基于企业内生边界理论和异质性企业贸易理论，利用不完全契约知识产权模型、企业南北贸易模型和Melitz（2003）模型，考察在不完全契约情况下异质性企业生产组织模式选择问题。首先，在不完全契约情况下，分析资本密集度和生产率的差异对企业国际生产组织模式选择的影响。企业国际生产组织模式主要分为一体化和外包，两者最大的区别在于剩余所有权的归属和产品类型。本文主要研究在剩余所有权分配未果的情况下企业利用资本密集度和生产率进行的博弈。其次，在不完全契约情况下，分析交易成本对于企业国际生产组织模式选择的影响。交易成本的存在，使得企业必须在国内或国外市场搜索向其提供中间投入品的外包企业，产生搜寻成本（即交易成本），从而将其纳入到总成本中进行考虑。再次，分析金融发展对企业国际生产组织模式选择的影响。本文发现金融发展与企业一体化呈线性正相关关系，金融发展与企业实施外包呈非线性关系，先增加后降低。
在经验分析中，本文通过美国、欧盟和日本企业生产组织模式选择的实践验证了数理分析得出的结论，并揭示异质性企业在进入国际市场后选择生产组织战略的深刻内涵。同时，本文结合中国企业国际生产组织模式选择的发展，利用计量分析的方法部分地验证了通过模型得出的结论。此外，对中国企业进入国际市场后生产组织策略的发展方向提出两大方面的建议，包括：企业外部环境改善对策和企业内部竞争力提高对策。
通过上述研究，本文主要得出以下结论：从总体上看，不完全契约的存在降低了企业生产效率，导致最终产品生产者和中间产品供应商各自生产要素的投入量少于使得双方共同利润最大化所需要的要素投入量；剩余所有权分配是由承担较重要投资的一方控制；资本密集度的高低是决定剩余所有权分配的关键因素。从影响企业国际生产组织模式选择的因素上看，存在一个资本密集度的一体化准入门槛，当产业或产品的资本密集度大于此门槛时企业会选择一体化的生产组织模式，小于此门槛时则选择外包；高生产率的企业实施一体化，低生产率的企业实施外包；生产率水平高的企业从发展中国家获取中间投入品，而生产率低的企业从发达国家获取；交易成本的大小与最终产品生产者的要素投入份额和中间产品的市场容量有关；金融发展对企业实施一体化具有线性影响，对外包具有非线性影响。
In recent years, the choices of production organization in firms’ internationaloperations have become more complex. The share of intermediate inputs withinfirms and outsourcing among firms increased a lot in international trade, whichbecame more and more popular in the production organization of multinationalcorporations. It is important to do a further research on firms’ productionorganization in international trade. At the same time, more and more researches haveproved that the differences between firms had a significant impact to internationaltrade. These differences between firms in the same industry are productivity, size,organizational structure, capital intensity, salary and so on, which meansheterogeneity locates among firms.
After entering an international market, which kind of production organizationshould firms choose--integration or outsourcing? And where should productionprocesses locate, in developed countries or in developing ones? These questions areimportant for heterogeneous firms to study. Firms with all kinds of heterogeneitiesbecome more involved in the international division of labor depending on theirdifferent advantages, and firms from developed and developing countries could allbe involved in international product as well. Firms from developed countries preferthe production organization of integration, which depending on their high capitalintensity and high level of productivity. This explains why some product processeslocate within the boundary of a firm and not accomplished through markettransaction or outsourcing overseas. However, based on the consideration of cost,there are a considerable proportion of firms from developed countries choosingoutsourcing, and heterogeneities of different industries could also affect firms’ choice in production organization. Firms from developing countries are moreinvolved in undertaking outsourcing from developed countries. They adjust theirpositions in the international division of labor, promote the development of industrialupgrading and improve their development in international trade.
This article starts with the latest research of international tradetheories—Endogenous Boundary Theory and Heterogeneous Firms Trade Theory,and uses the methods of inductive analysis, mathematical analysis and empiricalanalysis together. Based on the assumption of firm heterogeneity, it puts endogenousboundary theory into trade models, explores the selection strategy when firms areinvolved in international market. It takes a further study of capital intensity,productivity, transaction cost and financial development and their effects to thefirms’ choice of production organization. With examination of the experience ofintegration and outsourcing in the United States, the European Union, Japan andChina, this article explains the motives and effects of international productionorganization from the micro level. It comes out several recommendations to Chinesefirms with analyzing their outsourcing investment.
In induction analysis, this article defines production organization, integrationand outsourcing, and distinguishes between firm heterogeneity and heterogeneousfirms. Based on these, it combs the context of new new trade theory and endogenousboundary theory, and elaborates the theories that are correlated to productionorganization, which provides a theoretical support for further mathematical analysis.
In mathematical analysis, this article brings production organization problemsto the framework of new new trade theory. Based on endogenous boundary andheterogeneous firms trade theory, it studies the choice in the condition of incompletecontract with incomplete intellectual property model, North-South trade model andMelitz model (2003). Firstly, in the condition of incomplete contract, it studies theeffects of capital intensity and productivity to firms’ choices of productionorganization. There are two major kinds of production organization of firms,integration and outsourcing. The biggest two differences between them are theownership structure and product type. This article takes a look at the ownership structure and analyses the game between firms using their capital intensity andproductivity. Secondly, in the condition of incomplete contract, it studies how thetransaction cost affects the choice of firms’ production organization. Because of theexistence of transaction cost, firms have to search outsourcing partners which couldprovide intermediate inputs for them. This leads to a search cost, which could beconsidered as transaction cost. Firms have to consider this cost in their total cost, andmake a choice between integration and outsourcing. Thirdly, it studies the effect offinancial development to firms’ choice between integration and outsourcing. It findsa positive linear relationship between financial development and integration, whilethere is a nonlinear relationship between financial development and outsourcing, firstincrease and then decrease.
In empirical analysis, this article uses the data of the United States, EuropeanUnion and Japan to verify the results of theoretical analysis. It finds out productivity,incomplete contract and financial development are important factors that could affectfirms’ choice of production organization, and reveals the profound meaning ofheterogeneous firms’ investment overseas and its influence to the firms’internationalization. Meanwhile, with consideration of the recent situation ofChinese firms’ international production organization, this article verifies theconclusions with mathematical methods. Besides, it gives two suggestions to theChinese firms which are emerging to international market, includingcountermeasures of improving the outside environment of firms and the insidecompetitiveness of firms.
Based on the researches above, this article receives the following conclusions:overall, the presence of incomplete contract does reduce the efficiency of production,and leads less input between partners than those when they could get themaximization of profit.; the ownership is controlled by the party who assume a moreimportant investment; the level of capital intensity does decide the proportion ofownership, which decides the maximization profit. Take a look at the factors thataffect firms’ choice of production organization, there is an access threshold ofintegration with capital intensity. When the capital intensity of a firm or an industry is higher than this threshold, firm would choose the production organization ofintegration; when it is lower, it chooses outsourcing. Firms with high productivitycarries out integration, and those with low productivity carry out outsourcing. Firmswith high productivity get intermediate inputs from developing countries, and firmswith low productivity get intermediate inputs from developed countries. The level oftransaction cost is relative to the proportion of final producers’ input and the marketcapacity. Financial development has a linear effect to firms’ integration, and anonlinear effect to firms’ outsourcing.
企业进入市场后，通过哪种模式组织生产，一体化还是外包，生产所在地选择发达国家还是发展中国家，对于异质性企业来说值得深入研究。具有不同异质性的企业更多地利用本身差异化的优势参与国际分工，发达国家和发展中国家的企业都能够很好地融入全球化的生产之中。发达国家的企业由于具有较高的资本密集度和生产率水平，在国际生产组织模式选择过程中偏好一体化，这解释了为什么有些企业的海外生产会发生在企业边界之内，而不是通过市场交易、外包等方式进行海外生产。然而基于成本考虑，发达国家企业选择外包仍占有相当的比例，不同产业异质性企业对生产组织模式选择也不同。发展中国家则更多地通过承接发达国家的外包进行国际化经营，并通过调整其在国际分工体系中的地位，实现产业升级，推动本国国际贸易的发展。
本文从国际贸易理论的最新研究成果――企业内生边界理论和异质性企业贸易理论出发，采用归纳分析、数理分析和经验研究相结合的方法，以企业异质性作为假设前提，将企业边界理论融入贸易模型，探索企业进入国际市场后的组织选择策略，并深入分析了资本密集度、生产率、交易成本和金融发展对企业生产组织模式选择的影响。通过对美国、欧盟、日本和中国发展一体化和外包的经验分析，运用相关数据进行实证检验，从微观层面解释企业国际生产组织模式选择的动因和效果，并结合中国企业海外投资的发展提出相应的建议。
在归纳分析中，本文界定了生产组织模式、一体化、外包等概念，区分了企业异质性和异质性企业的关系。在此基础上，梳理了新－新贸易理论和企业边界理论的脉络，并根据论文内容阐述了影响企业国际生产组织模式选择的相关理论，为进一步的数理分析提供理论支持。
在数理分析中，本文将企业生产组织模式选择问题置于新－新贸易理论框架下，基于企业内生边界理论和异质性企业贸易理论，利用不完全契约知识产权模型、企业南北贸易模型和Melitz（2003）模型，考察在不完全契约情况下异质性企业生产组织模式选择问题。首先，在不完全契约情况下，分析资本密集度和生产率的差异对企业国际生产组织模式选择的影响。企业国际生产组织模式主要分为一体化和外包，两者最大的区别在于剩余所有权的归属和产品类型。本文主要研究在剩余所有权分配未果的情况下企业利用资本密集度和生产率进行的博弈。其次，在不完全契约情况下，分析交易成本对于企业国际生产组织模式选择的影响。交易成本的存在，使得企业必须在国内或国外市场搜索向其提供中间投入品的外包企业，产生搜寻成本（即交易成本），从而将其纳入到总成本中进行考虑。再次，分析金融发展对企业国际生产组织模式选择的影响。本文发现金融发展与企业一体化呈线性正相关关系，金融发展与企业实施外包呈非线性关系，先增加后降低。
在经验分析中，本文通过美国、欧盟和日本企业生产组织模式选择的实践验证了数理分析得出的结论，并揭示异质性企业在进入国际市场后选择生产组织战略的深刻内涵。同时，本文结合中国企业国际生产组织模式选择的发展，利用计量分析的方法部分地验证了通过模型得出的结论。此外，对中国企业进入国际市场后生产组织策略的发展方向提出两大方面的建议，包括：企业外部环境改善对策和企业内部竞争力提高对策。
通过上述研究，本文主要得出以下结论：从总体上看，不完全契约的存在降低了企业生产效率，导致最终产品生产者和中间产品供应商各自生产要素的投入量少于使得双方共同利润最大化所需要的要素投入量；剩余所有权分配是由承担较重要投资的一方控制；资本密集度的高低是决定剩余所有权分配的关键因素。从影响企业国际生产组织模式选择的因素上看，存在一个资本密集度的一体化准入门槛，当产业或产品的资本密集度大于此门槛时企业会选择一体化的生产组织模式，小于此门槛时则选择外包；高生产率的企业实施一体化，低生产率的企业实施外包；生产率水平高的企业从发展中国家获取中间投入品，而生产率低的企业从发达国家获取；交易成本的大小与最终产品生产者的要素投入份额和中间产品的市场容量有关；金融发展对企业实施一体化具有线性影响，对外包具有非线性影响。
In recent years, the choices of production organization in firms’ internationaloperations have become more complex. The share of intermediate inputs withinfirms and outsourcing among firms increased a lot in international trade, whichbecame more and more popular in the production organization of multinationalcorporations. It is important to do a further research on firms’ productionorganization in international trade. At the same time, more and more researches haveproved that the differences between firms had a significant impact to internationaltrade. These differences between firms in the same industry are productivity, size,organizational structure, capital intensity, salary and so on, which meansheterogeneity locates among firms.
After entering an international market, which kind of production organizationshould firms choose--integration or outsourcing? And where should productionprocesses locate, in developed countries or in developing ones? These questions areimportant for heterogeneous firms to study. Firms with all kinds of heterogeneitiesbecome more involved in the international division of labor depending on theirdifferent advantages, and firms from developed and developing countries could allbe involved in international product as well. Firms from developed countries preferthe production organization of integration, which depending on their high capitalintensity and high level of productivity. This explains why some product processeslocate within the boundary of a firm and not accomplished through markettransaction or outsourcing overseas. However, based on the consideration of cost,there are a considerable proportion of firms from developed countries choosingoutsourcing, and heterogeneities of different industries could also affect firms’ choice in production organization. Firms from developing countries are moreinvolved in undertaking outsourcing from developed countries. They adjust theirpositions in the international division of labor, promote the development of industrialupgrading and improve their development in international trade.
This article starts with the latest research of international tradetheories—Endogenous Boundary Theory and Heterogeneous Firms Trade Theory,and uses the methods of inductive analysis, mathematical analysis and empiricalanalysis together. Based on the assumption of firm heterogeneity, it puts endogenousboundary theory into trade models, explores the selection strategy when firms areinvolved in international market. It takes a further study of capital intensity,productivity, transaction cost and financial development and their effects to thefirms’ choice of production organization. With examination of the experience ofintegration and outsourcing in the United States, the European Union, Japan andChina, this article explains the motives and effects of international productionorganization from the micro level. It comes out several recommendations to Chinesefirms with analyzing their outsourcing investment.
In induction analysis, this article defines production organization, integrationand outsourcing, and distinguishes between firm heterogeneity and heterogeneousfirms. Based on these, it combs the context of new new trade theory and endogenousboundary theory, and elaborates the theories that are correlated to productionorganization, which provides a theoretical support for further mathematical analysis.
In mathematical analysis, this article brings production organization problemsto the framework of new new trade theory. Based on endogenous boundary andheterogeneous firms trade theory, it studies the choice in the condition of incompletecontract with incomplete intellectual property model, North-South trade model andMelitz model (2003). Firstly, in the condition of incomplete contract, it studies theeffects of capital intensity and productivity to firms’ choices of productionorganization. There are two major kinds of production organization of firms,integration and outsourcing. The biggest two differences between them are theownership structure and product type. This article takes a look at the ownership structure and analyses the game between firms using their capital intensity andproductivity. Secondly, in the condition of incomplete contract, it studies how thetransaction cost affects the choice of firms’ production organization. Because of theexistence of transaction cost, firms have to search outsourcing partners which couldprovide intermediate inputs for them. This leads to a search cost, which could beconsidered as transaction cost. Firms have to consider this cost in their total cost, andmake a choice between integration and outsourcing. Thirdly, it studies the effect offinancial development to firms’ choice between integration and outsourcing. It findsa positive linear relationship between financial development and integration, whilethere is a nonlinear relationship between financial development and outsourcing, firstincrease and then decrease.
In empirical analysis, this article uses the data of the United States, EuropeanUnion and Japan to verify the results of theoretical analysis. It finds out productivity,incomplete contract and financial development are important factors that could affectfirms’ choice of production organization, and reveals the profound meaning ofheterogeneous firms’ investment overseas and its influence to the firms’internationalization. Meanwhile, with consideration of the recent situation ofChinese firms’ international production organization, this article verifies theconclusions with mathematical methods. Besides, it gives two suggestions to theChinese firms which are emerging to international market, includingcountermeasures of improving the outside environment of firms and the insidecompetitiveness of firms.
Based on the researches above, this article receives the following conclusions:overall, the presence of incomplete contract does reduce the efficiency of production,and leads less input between partners than those when they could get themaximization of profit.; the ownership is controlled by the party who assume a moreimportant investment; the level of capital intensity does decide the proportion ofownership, which decides the maximization profit. Take a look at the factors thataffect firms’ choice of production organization, there is an access threshold ofintegration with capital intensity. When the capital intensity of a firm or an industry is higher than this threshold, firm would choose the production organization ofintegration; when it is lower, it chooses outsourcing. Firms with high productivitycarries out integration, and those with low productivity carry out outsourcing. Firmswith high productivity get intermediate inputs from developing countries, and firmswith low productivity get intermediate inputs from developed countries. The level oftransaction cost is relative to the proportion of final producers’ input and the marketcapacity. Financial development has a linear effect to firms’ integration, and anonlinear effect to firms’ outsourcing.
引文
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①牛德生.资产专用性理论分析[J].经济经纬,2004(3):18.
①关系专用（特定关系）是指，为某种最终产品而生产的中间产品（零部件）仅对于该最终产品的生产有意义，而对其它种类的最终产品则不适用。
①运输成本指包括跨车运输成本和关税等成本。
结合消费者需求函数（3.3.1）和生产者供给函数（3.3.2）可以得到外包生产组织模式下最终产品的数量和价格，分别为：
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②以2002年作比较一是因为中国于2002年建立了《对外直接投资统计制度》，数据较为准确；二是因为2000年和2001年中国对外直接投资流量波动过大，不利于总体趋势的比较，故采用2002年的数据作对比。
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①运输成本指包括跨车运输成本和关税等成本。
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③11个国家分别是：捷克、丹麦、德国、爱尔兰、意大利、荷兰、葡萄牙、斯洛文尼亚、芬兰、瑞典和英国。
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