海默经济理论.doc

海默，民族国家与跨国公司的决定因素 activities 活动 Grazia Ietto-Gillies 格拉齐亚Ietto -吉利斯 Competitive paper 竞争性文件 South Bank University 南岸大学 103 Borough Road 103伯勒路 London SE1 OAA 伦敦SE1高龄津贴 Tel. 电话。 +44 0207 815 7701/7731 +44 0207 8157731分之7701 Fax + 44 0207 815 7076 传真：+ 44 0207 815 7076 Email iettoggsbu.ac.uk 电子邮件 iettoggsbu.ac.uk grazia.iettogillies Page 2 第2页 2 2 Competitive paper 竞争性文件 Hymer, the nation-state and the determinants of MNCs activities 海默，民族国家和活动的决定因素跨国公司 1 一 Abstract. The paper starts with a brief analysis of Hymers early work on the 抽象的。 本文从一个简要的分析工作海默早期的 determinants of foreign direct investment (FDI) and of his later work dealing with 决定外国直接投资（FDI）和他的后期作品处理 their effects on the nation-states, their governments, labour and the international 国际上的影响的民族国家，其政府，劳工和 division of labour. 分工。 The paper then goes on to argue that the existence of nation-states 该文件接着说这个国家存在的民族 with their specific regulatory regimes gives companies special advantages 其具体的监管制度，使企业的特殊优势 particularly with regard to labour and national governments. 特别是在劳动和国家政府。 These can be turned 这些可以被打开 into competitive advantages towards rivals. 为向对手的竞争优势。 The advantages of transnationality, 跨国性的优势， deriving from operating in different regulatory regimes, are considered as one of the 经营所产生的规管制度不同，被视为是一个 contributory elements to the explanation of international production and its 生产要素和款式的解释国际其 geographical configuration. 地理结构。 This approach is seen as building a bridge between the 这种做法被视为之间建立一座桥梁 issues raised in the later works by Hymer (his Marxist phase) in relation to nation- 提出的问题在后来的作品海默（他的马克思主义相）相对于全国 states and labour, and his earlier dissertation work on explanations of FDI. 国家和劳动，他的解释刚才的外国直接投资的论文工作。 Policy 政策 implications are drawn in the last section. 含义是绘制在最后一节。 Keywords: Transnational companies; Foreign direct investment; Nation-states. 关键词：跨国公司，外国直接投资;民族国家。 JEL: F21; F23. JEL的：F21; 23层。 1. 1。 Introduction 简介 Stephen Hymers work on multinational corporations (MNCs) 斯蒂芬海默的工作，跨国公司（跨国公司） 2 2 falls into two phases. 分为两个阶段。 The first what we may call his radical phase consists of the pioneer work in the 第一个-我们可以给他激进阶段-由工作中的先锋 field of international operations of national firms contained in his doctoral 在他的行动国家企业的国际领域中的博士， dissertation (Hymer, 1960 published 1976). 论文（海默，1960年出版1976年）。 The second in his Marxist phase - 第二个-在他的马克思主义的阶段- consists of a series of articles published mainly in the early seventies 由一个七十年代初出版的系列文章主要在 3 三 . 。 In his dissertation he tackles the problem of definition and determinants of 在他的论文，他铲球的问题的定义和决定因素 foreign direct investment (FDI). 外国直接投资（FDI）。 There is a search for “the circumstances that cause 还有是“搜索.的情况下，导致 a firm to control an enterprise in a foreign country.” (p. 33) which he identifies with 一个公司来控制外国企业在。“（第33页）他认同 the following (Hymer, 1960: ch. 2). 以下（海默，1960：第2章。）。 (1) The existence of firms advantages in （1）公司存在的优势在 particular activities and the wish to exploit them profitably by establishing foreign 具体活动和希望利用他们通过设立外商有利可图 operations. 业务。 (2) Gaining control of “enterprises in more than one country in order to （2）获得国家控制一个“企业更不是为了 remove competition between them” (p. 33). 删除“竞争性（第33页）。 (3) Diversification and risk spreading （3）多样化和风险分散 which he does not, however, consider to be a major determinants of FDI since it does 他不，但是，认为是外国直接投资的主要决定因素，因为它不 not necessarily involve control. 不一定涉及控制。 The nation-state hardly figures in his explanatory framework apart from the 民族国家的数字，他很难解释架构除了 fact that the home nation-state provides a supportive environment for the building up 事实上，民政民族国家建设提供了一个有利的环境 of competitive advantages that can then be used in foreign operations. 竞争优势，可以用于海外业务。 Where the 凡 nation-state figures to a considerable extent is in the works of his second phase and 民族国家的数字，在相当程度上是相和的作品在他的第二个 particularly in Hymer, (1970; 1971; 1972 and 1979 特别是在海默，（1970年1971年1972年和1979年 4 4 ) as well as Hymer and Rowthorn ）以及海默和Rowthorn (1970). （1970年）。 These works are also characterized by a considerable emphasis on labour, an 这些作品还有一个特点是注重劳动，有相当一 element which does not figure much in the dissertation. 元素，不图多的论文。 The present paper shows that developments in the scope and structure of 本文件表明，发展的范围和结构 international production in the last thirty years make the nation-states and the frontiers 三十年的国际生产在过去使民族国家与前沿 between them increasingly more relevant as a contributor to the explanation of 它们之间的相关，因为越来越多的贡献的解释 Page 3 第3页 3 三 international production. 国际生产。 This approach is then used to extend Hymers analysis of 然后用这种方法延长海默的分析， the nation-state in his phase II to incorporate firms strategies linked to the existence 在民族国家在他的第二阶段，加入公司的战略相联系的存在 of nation-states and their frontiers into the determinants of international production. 民族国家和国际生产的决定因素国界到。 The paper proceeds with a brief summary of the role of the nation-state in 国家的文件的收益与角色一简要介绍了国家 Hymers works (section two). 海默的作品（第二节）。 It will then present an analysis of nation-states and their 然后，它将提出一个国家分析国家和他们的 frontiers as contributory determinant to international production in section three. 边界作为供款决定因素第三节国际生产。 The 该 links between the latter and Hymers theory of foreign direct investment are 后者投资之间的联系和海默直接的理论是国外 considered in section four. 第四部分审议。 The last section concludes. 最后一节总结。 2. 2。 The nation-state and its government in Hymer work 民族国家及其政府在海默的工作 As mentioned, the nation-state as well as labour figures prominently in Hymers later 如前所述，民族国家以及劳动力中占据突出位置海默的后 works. 工程。 The following are among the main issues that emerge from various phase II 以下是第二阶段中的各种问题的出现主要来自 papers. 文件。 (1) The division of labour and the hierarchical structure within the MNC with （1）劳动分工和层次结构的跨国公司与内 asymmetry of power between headquarters and subsidiaries are reflected in and 子公司之间的权力不对称和总部都反映在-和 indeed enhance the international division of labour. 确实提高-对国际分工。 They also affect the distribution 他们的分布也影响 of power between nation-states and in particular between developed and developing 特殊的权力之间的民族国家和发达国家与发展中国家之间 countries (Hymer, 1970, 1971 and 1979). 国家（海默，1970年，1971年和1979年）。 Corresponding to the labour hierarchy 对应于劳动阶层 within the MNC, we find a hierarchy of nation-states with the developed countries at 在跨国公司，我们发现一个国家与发达的国家层次的民族在 the top. 顶部。 This tendency is reinforced by the fact that there is interpenetration of FDI 这种趋势是事实加强了相互渗透，有外国直接投资的 within developed countries; the MNCs all or most originating from developed 在发达国家;的跨国公司-最发达的全部或源自 countries - invest in each others country as well as in developing countries. 国家-投资在对方国家以及发展中国家。 Such 这种 interpenetration leads to commonality of interests and to collusion (Pitelis, 1991). 渗透导致利益的共同性，并勾结（Pitelis，1991）。 (2) The activities and power of MNCs reduce the nation-states ability to control their （2）跨国公司的活动和功率降低民族国家有能力控制自己的 own destiny and reduce their independence. 自己的命运，减少他们的独立。 There results a general erosion of power 结果有一个权力一般冲刷 within the nation-state. 在民族国家。 (3) The governments of nation-states find it more and more difficult to manage their （3）-州政府民族感到越来越难以管理 economies when faced with large companies that operate across their frontiers. 在面临经济大跨越国界的公司经营。 Two 两 issues are particularly relevant here: the gradual loss of sovereignity and the loss of 特别是与此有关的问题是：逐渐丧失了主权和损失 effectiveness of traditional policy instruments. 传统的政策工具的有效性。 Both are the outcome of increased 两者都是增加的成果 transnationalization of activities by the MNCs. 跨国公司的跨国活动的。 (4) Nonetheless, the overall impact is not equally spread among the various social （4）然而，整体的影响并不一样分散在社会各 classes within and across nation-states. 班内和跨民族国家。 The bourgoisie and the wealthy of the world 该bourgoisie和世界富有的 benefit from their international investment while the workers of the world lose out. 从他们的投资效益，而世界上的国际工人被淘汰出局。 The working class is becoming more and more united in production and more and 工人阶级是越来越多的生产和和团结 more divided in power (Hymer, 1972). 更分为功率（海默，1972）。 (5) In spite of the latter point, the MNCs and their owners face problems. （5）在点尽管后者，跨国公司和它们的主人面临的问题。 The 该 economic system as a whole - and the multinational corporate sector within it - need 经济系统作为一个整体-在它与多国企业部门-需要 effective governance. 有效的治理。 Government has both a legitimisation and stabilization function. 政府有一个合法化和稳定作用。 One of the reasons why government intervention is needed is to manage the economy 需要的是一个政府干预的原因是管理经济 and secure its smooth and efficient running. 并确保其顺利和有效运行。 Effective legitimisation and economic 有效的合法化和经济 management are in the interest of MNCs as a whole as well as of other groups in 管理是整个跨国公司作为一个利益以及其他组织 society. 社会。 A weaker state and government may store up problems for the MNCs as well 一个较弱的国家元首和政府可以存储最多的跨国公司的问题，以及 as for other actors in the economic system. 作为经济系统的其他行为者。 Yet the MNCs activities across borders 然而，活动跨越国界的跨国公司 Page 4 第4页 4 4 render much of government policy ineffective. 使无效许多政府的政策。 This increases the conflictual nature of 这增加了冲突性的性质 capitalist production (Hymer, 1970; Hymer and Rowthorn, 1970). 资本主义生产（海默，1970;海默和Rowthorn，1970）。 The question of compatibility between MNCs and nation-states in Hymers 民族国家之间的兼容性问题的跨国公司和海默的 work is considered in the introduction to his collected works by Cohen et al. (1979). 工作被认为是在科恩 等人 作品介绍了他收集的 。（1979年）。 It这 is an issue that aroused considerable interest at the time and still does under different 是一个问题，引起了相当大的兴趣的时候，仍然没有根据不同 circumstances. 情况。 Hymer and Hymer and Rowthorn clearly saw governments as having a 海默和海默和Rowthorn清楚地看到一个政府的作为有 necessary supporting role for MNCs and their international operations. 为跨国公司提供配套的角色和他们的国际化经营。 However, other authors (Kindleberger, 1969; Vernon, 1981) felt that the era of 然而，1981年）其他作者（金德尔伯格，1969;弗农认为时代 the nation-state was over. 民族国家已经结束了。 “The nation-state is just about through as an economic “民族国家是通过只是作为一个经济 unit.” writes Kindleberger (1969: 207). 。单位“写道金德尔伯格（1969：207）。 This is an issue reconsidered in Pitelis (1991) 这是1991年）（问题重新考虑Pitelis who develops his own dialectical view of the relationship. 谁开发谁他自己的关系的辩证观。 He sees it as one in which 他看到它作为一个在其中 both collusion and rivalry between MNCs and nation-states can coexist “but the 双方勾结跨国公司和各国之间的竞争和国家可以共存“.但 degree of rivalry or collusion will depend heavily on whether the relationship refers .程度的竞争或串通将在很大程度上取决于是否指的关系 to TNCs own states, or host states, as well as whether the states in question are 跨国公司的自己的国家，或主人状态，以及是否有问题的状态 strong or weak, DCs or LDCs.” (Pitelis, 1991: 142). 强或弱，DCS或最不发达国家）。“（Pitelis，1991：142。 The twin issues of erosion of the power of the nation-state and of the 和学校的这两个问题的侵蚀电力民族国家 desirability for governance to secure the smooth running of the economy and in the 可取的治理，以确保在经济平稳运行和 interest - among others - of the transnational corporate sector, have been the object of 兴趣-等等-企业的跨国界，一直是对象 much debate in the last few years. 多辩论在过去数年。 The current intellectual debate is set in a different 目前的智力辩论是在一个不同的 economic and social environment compared to the one of the 1960s and early 1970s 经济和社会环境相比，20世纪70年代一60年代初 when Hymer was developing his Marxist views. 当海默是发展他的马克思主义观。 The debate is now taking place in the 现在正在辩论中的地方 context of much expanded activities of TNCs, strong globalization processes, the 扩大活动范围内的许多跨国公司，强大的全球化进程， collapse of the eastern bloc and over twenty years of deregulation and liberalization of 东方集团的崩溃和超过二十多年的放松管制和自由化 the economies of the world in both the developed and developing countries. 发达国家和发展中国家在世界经济中。 Within these debates 在这些辩论 5 5 , some authors maintain that the globalization issue has ，一些作者认为，全球化问题 been hyped-up and that the nation-state is not only still essential to the economies of 被大肆宣传行动，而民族国家不仅仍然是必不可少的经济体系 the world and to the TNCs, but that its governance is still very effective. 在世界和跨国公司，但它的治理仍然是非常有效的。 Indeed, the 事实上， TNCs are very strongly embedded in their own home countries. 跨国公司都非常强烈嵌入在自己的祖国。 Among the authors 其中作家 expounding this so-called (by Held et al. , 1999) sceptic position on globalization are 阐述了这个所谓的（由持 等。，1999年）怀疑论者的立场是全球化 Carnoy et al. (1993), Hirst and Thompson (1996) and Kozul-Wright and Rowthorn 卡诺 等人。（1993年），赫斯特和汤普森（1996年）和Kozul - Wright和Rowthorn (1998). （1998年）。 In contrast to this position other authors - notably Ohmae (1991; 1995a and 与此相反的立场的其他人-特别是大前研一（1991年和1995年a b) maintain that the globalization process is already so advanced as to make the 二） -认为，全球化进程已经如此先进，以使 nation-state obsolete and redundant. 民族国家过时和多余的。 The states and their governments are indeed seen 各州和他们的政府的确看到 as an obstacle to the efficient running of the economy in the global era and a call for 作为障碍的有效运行，在全球经济时代，一个电话 their demise in favour of region-states is issued. 他们的国家灭亡，赞成地区发行。 The region-states are smaller 该地区生产国，小 geographical units more homogeneous than the whole of the nation-state of which 其中地方国有单位更均匀较全民族的 they are part. 他们的一部分。 It is the wealthier region-states - such as Northern Italy or Baden- 这是富裕的地区，国家-如意大利北部或巴登 Wurtenberg or Hong Kong and Southern China that are encouraged to separate from Wurtenberg或香港及南中国-这是鼓励分开 their nation-states. 他们的民族国家。 Held et al . 持 等 。 (1999) consider globalization as a process of transformations which （1999）认为这是一个全球化的进程的转换 needs specific and stronger international regulation. 需要具体，更有力的国际监管。 Ietto-Gillies (2001: ch. 9) sees the Ietto -吉利斯（2001年：。第9章）看到 transnational companies and the development and spread of the information and 跨国公司的发展和信息的传播和 communication technologies (ICTs) as the dominant causes in the globalization 通信技术（ICTs）在全球化的主导原因 process. 过程。 In this context the role of governments in the regulation of the globalization 在这种背景下的全球化中的角色政府在监管 process including regulation of TNCs activities - is seen as both feasible and 过程-包括活动的监管跨国公司 -被认为是可行和 necessary. 必要的。 3. 3。 National borders as a contributory element to the explanation of 解释国界元素到款式 international production 国际生产 Page 5 第5页 5 5 Hymers dissertation sees operations into foreign countries as on the whole costly 海默的论文认为国家开展业务到国外为-总体上-昂贵 in terms of adaptation to an environment which is unknown and often hostile 在环境方面的适应是一个未知的，常常是充满敌意 culturally, socially and economically. 文化，社会和经济。 However, the problems are more than 然而，问题多 compensated by two elements: the higher profitability that derives from controlling 元素补偿两个：更高的盈利能力，控制源于 foreign operations and the specific ownership advantages that many companies from 海外业务和特定的所有权优势，公司从很多 developed countries have and which allow them to develop their international 发达国家和允许他们发展国际 operations. 业务。 As mentioned, these advantages are forged in the home countrys 如前所述，这些优势都是伪造的，在本国的 favourable environment. 有利的环境。 The concept of ownership advantages has been further developed by Dunning 所有权概念的优势得到了进一步发展的邓宁 (1977, 1980 and 2000) who specifically considers among them also those advantages （1977年，1980年和2000年），其中谁也明确认为这些优势 that derive from the multinationality of operations. 来自该业务的多民族。 This means that companies that 这意味着公司 are already multinationals find it easier to branch out with further operations in the 已经跨国公司能够更容易地进行进一步的行动科在 same foreign locations or indeed into new ones. 同一外国的确实位置或新观念。 This type of advantages is not 这种类型的优点是不 considered in Hymers dissertation 考虑海默的论文 6 6 . 。 There is, however, a strong hint of it in Hymer 有，但是，在强烈暗示它海默 (1970) where the MNC is seen a “much more powerful organizational form than （1970）如跨国公司是见过“.更强大的组织形式比 the national corporation” (p. 44). 国家公司.“（第44页）。 Ietto-Gillies (2001: ch. 6) specifically stresses the need to concentrate on Ietto -吉利斯（2001年：。通道6）特别强调，要集中精力 advantages of transnationality. 跨国性的优势。 It also stresses the strategic side of TNCs activities 它还强调，跨国公司的活动的战略方 and particularly strategies towards labour. 特别是对劳工的策略。 In general, the strategies could be aimed at 一般来说，战略可以针对 rivals, labour or governments though all three types are related. 竞争对手，劳工或政府虽然这三个类型是相关的。 In fact, a successful 事实上，一个成功的 strategy towards labour or governments can lead to higher profits and these can be 各国政府应如何应对劳动或可能导致更高的利润，这些可以 used to increase the companys market share and generally to improve its competitive 用于增加公司的市场份额，普遍提高其竞争 position. 位置。 While a good amount of literature 虽然良好的数额文献 7 7 has concentrated on strategies towards 集中的战略走向 rivals (Vernon, 1974; Knickerbocker, 1973; Cowling and Sugden, 1987; Graham, 对手（弗农，1974;尼克博克，1973;包皮萨格登，1987;格雷厄姆 1978 and 2000; Buckley and Casson, 1998), the strategies towards labour have been 1978年和2000年巴克利和卡森，1998年），对劳动的战略已经 more neglected 多种被忽视 8 8 . 。 The advantages of multinationality can be analysed better if we look at the 对多民族的优点，可更好地分析，如果我们看一下 nation-state as the locus of regulatory regimes (Ietto-Gillies, 2001: ch. 6), that is of a 民族国家作为监管制度的位点（Ietto -吉利斯，2001：。6章），一个是 set of laws, regulations and customs governing production and exchange, rather than 设定的法律，法规和海关管理生产和交换，而不是 just in terms of geographical or cultural distance between nation-states. 刚刚在国家地理条件或文化的民族之间的距离。 As regards 至于 labour, the regulatory regimes refer to the set of laws, regulations and practices 劳动，监管制度的做法是指设置的法律，法规和 governing labour and its trade unions. 执政劳动及其工会。 They are all applicable within the nation-state 他们都是国家在全国范围内适用， but not across frontiers. 但不跨越国界。 This means that labour has been, so far, and still is, unable to 这意味着，劳动已经，到目前为止，现在仍然是，无法 organise itself across nation-states. 国家组织本身在全国。 Some signs of change are on the horizon (Radice, 一些变化的迹象是在地平线上（Radice， 2000). 2000年）。 The existence of different nation-states with their specific regulatory regimes 该国的具体管理制度存在不同的民族 has usually been seen as posing obstacles to the international movements of resources 通常也被视为构成障碍，资源的国际流动 (particularly labour) or products. （特别是劳动力）或产品。 For example Krugman (1991) sees countries as 例如克鲁格曼（1991）认为国家作为 “defined by their restrictions” (72)