摘要
2008年金融危机以来，以上下游生产要素整合为目的的纵向交易明显活跃，许多优势企业看到了扩张和“做大做强”的机遇，现实中出现了新一轮纵向整合的浪潮。纵向整合战略的效应通过影响企业绩效和核心能力来表现，进而关键决定企业的持续生存与发展，是企业重要的成长战略。部分实施纵向整合战略的中国企业，通过产业链的延伸带来了规模、范围经济，但因为忽视整合后的监管控制和精细化管理，影响了纵向整合效应的发挥和整合目标的实现，也未能有效提升主业竞争力。尤其在中国转型期背景下，经济和政治的急速变化，制度要素缺乏，产权界定不清，财产保护制度安排缺乏稳定性导致的不确定性给纵向整合企业控制行为带来了高度的制度风险，纵向整合的效果也受到区域发展不平衡等制度环境差异、纵向交易特征等诸多因素的影响。本文基于制度理论、组织理论和交易成本理论，立足于转型期制度情景，分析制度环境不确定性与纵向整合企业控制的关系以及纵向整合企业控制与整合绩效的关系，主要探索以下几个问题：（1）转型经济背景下，制度环境不确定性与纵向整合企业控制的关系如何？（2）制度环境不确定性与纵向整合企业控制的关系是否受到企业能力的影响，如果有，作用机制如何？（3）纵向整合企业控制与整合绩效的关系如何？（4）纵向整合企业控制与整合绩效的关系是否受到制度距离以及交易依赖性的影响，如果有，作用机制如何？
本文在文献研究的基础上，构建了制度环境不确定性、纵向整合企业控制、整合绩效的理论框架和概念模型，提出研究假设，采用问卷调查方法以中国境内进行过纵向整合的132家企业为样本数据，运用多元回归分析等多种统计分析方法对理论模型和研究假设进行实证检验，得到如下研究结论：（1）制度环境不确定性与纵向整合企业的战略控制程度、财务控制程度、文化控制程度具有正相关关系;（2）当企业具备的能力条件不同时，在面对不确定的制度环境时，纵向整合企业对于各种控制方式的控制程度是有差异的;（3）纵向整合企业的战略控制程度、财务控制程度、文化控制程度与整合绩效具有正相关关系（4）交易依赖性对于战略控制程度、财务控制程度、文化控制程度与纵向整合绩效的关系具有负向调节作用；（5）制度距离对于战略控制程度、财务控制程度与整合绩效的关系具有负向调节作用。
由于现有的纵向整合研究对于整合后控制以及控制与整合绩效关系的研究存在缺失，且基于转型期制度背景的纵向整合研究非常不足，本文重视了纵向整合后企业内部控制的问题，提出了整合后控制影响纵向整合绩效的理论分析框架，整合交易成本和协同效应理论对于纵向整合价值效应的研究，以成本和效率利得的综合衡量方式来评价纵向整合绩效，为企业纵向整合后如何通过有效的控制发挥纵向整合价值效应提供了理论借鉴和实践启示。同时，本文强调转型期制度环境对纵向整合企业内部控制的影响，这在一定程度上发掘了企业控制行为背后制度因素的作用，丰富了环境不确定性的理论内涵和外延，也对纵向整合的情景嵌入式研究的开拓了新视角。
Since the financial crisis in2008,the vertical transaction for the integration of the up anddownstream production factors was obviously active, many advantaged enterprises see theopportunities of expansion and "bigger and stronger",new round of vertical integrationwave come in reality. Vertical integration as an important corporate growth strategy, theintegration effect greatly affect the future competitiveness and performance, and furthervitally determine the enterprise's future survival and development of some Chinese enterpriseswho implement a vertical integration strategy, through the extension of industrial chainrealized scale, scope economies, but because they neglect the integrated regulatory controland refinement of management, result in impacting the effect of vertical integration andintegration goals’ achievement, nor did it effectively enhance the competitiveness of the mainindustry. Especially in the context of the China transition, the rapid economic and politicalchange, the lack of institutional factors, unclearly defined property rights, property protectionregime arrangements lacking of stability caused the uncertainty for the vertical integrationof control behavior,which bring a high degree of system risk;on the other hand, the effect ofvertical integration is affected by regional development imbalance in China institutionEnvironment, vertical transaction characteristics and a number of other actors.Based oninstitutional theory, organizational theory and transaction cost theory, in the context of Chinatransition scenarios, analyze he relationship between the institutional environment uncertaintyand control of vertical integrated enterprises and the relationship between the verticalintegrated control and integration performance, the paper mainly explore the following issues
1.In the context of the transition economy, how about the relationship between theinstitutional environment uncertainty and vertical integrated enterprises control?
2.whether the relationship between the institutional environment Uncertainty and thecontrol of vertical integrated enterprise is influenced by enterprise capabilities, if there is, howthe mechanism of action?
3.How is the relationship between the control of vertical integrated enterprises andintegration performance?
4.Whether the relationship between the control of vertical integrated enterprises andintegration performance is influenced by the institutional distance as well as the impact ofthe transaction inter partner dependency, if there is, how the mechanism of action?
On the basis of the literature, this paper, build theoretical framework and conceptualmodel of the institutional environment, vertical integrated enterprises control, integration performance,propose research hypothesis, using the survey method, as the sample data of132vertically integrated enterprises in China, empirical test of theoretical models and researchhypotheses, using multiple regression analysis and other statistical analysis method, draw thefollowing conclusions：
（1）The institutional environmental uncertainty has a positive correlation with thedegree of vertical integrated enterprises’ strategic control, the degree of financial control, thedegree of cultural control
（2）When the enterprises’ capability are different, in the face of an uncertaininstitutional environment, vertical integrated enterprises’ degree of each control is different.
（3）the degree of strategic control, the degree of financial control, the degree of culturalcontrol has a positive correlation with the vertical integration performance
（4）transaction-dependency has a negative regulatory role with the relationship betweenthe degree of strategic control, the degree of financial control, the degree of cultural controland vertical integration performance; institution distance has a negative regulatory role withthe relationship between the degree of strategic control, the degree of financial control andintegration of performance.
the existing vertical integration research is very inadequate in the integrated control andthe relationship between the control and vertical integration performance, furthermore theresearch based on the China transition institution context is very weak, the paper emphasis ona vertically integrated enterprises’ internal control problem, propose a analysis theoryframework for the integrated control impacting vertical integration performance. Integratedthe vertical integration value effect research of transaction costs and synergies theory,form acomprehensive measure method of cost and efficiency gains to evaluate the verticalintegration performance, provide a theoretical reference and practice implications for thevertical integration enterprises,that is how to play a vertically integrated value through theeffective control. Meanwhile, the paper emphasizes the transition institution environmenteffect on the vertical integration of internal control, explore the role of institutional factors incorporate control behavior to some extent, rich the connotation and denotation of environmentuncertainty concept, also develop a new perspective for scenarios embedded research ofvertical integration.
引文
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