【作者】 谢廷宇；

【导师】 刘德学；

【作者基本信息】 暨南大学 ， 国际贸易学， 2011， 博士

【摘要】 经济全球化使得国际生产组织形式发生了深刻的变革,全球生产网络取代垂直一体化生产组织形式为跨国公司所青睐。全球生产网络为发展中国家和地区通过嵌入全球生产体系迅速实现产业升级和技术能力提升提供了机会。但是发展中国家产业升级和技术创新能力不会因为嵌入全球生产网络而自动进行,本文以广东制造业为例,对全球生产网路中知识转移扩散、当地产业技术创新能力提升等问题展开研究,探讨当地产业如何在全球生产网络中实现技术学习和创新能力提升。首先,本文梳理了全球生产网络的理论脉络,全面论述了全球生产网络中当地产业升级的内容和轨迹,辨别了不同网络治理模式对产业升级的影响。从经济学意义上分析了全球生产网络中旗舰企业知识转移的动力,指出知识转移是核心企业追求利润最大化的结果。全球生产网络中知识转移方式和途径随知识提供者的作用和是否以市场为中介而不同,包括FDI、进出口贸易、技术咨询等,嵌入全球生产网络的当地产业通过国际链接和国内链接进行技术学习。全球生产网络中当地产业的技术创新能力提升因网络治理模式和核心企业类型而有所差异,生产者驱动型全球生产网络对供应商技术进步的驱动力强而购买者驱动型网络弱,市场型和模块型治理模式更适宜自主创新但技术能力提升速度较慢,关系型、领导型和等级型治理模式技术能力进步快但是受制于核心企业。嵌入全球生产网络产业技术创新能力的提升过程可以归纳为技术升级→工艺流程和产品升级→技术创新→功能升级和价值链跨越式升级→技术创新能力提升的良性循环升级路径。本文从网络嵌入程度、市场势力、关联能力和吸收能力四个方面建立了全球生产网络下当地产业技术创新能力提升机制模型,运用结构方程模型进行实证分析。实证结果表明,吸收能力对当地产业技术创新能力提升影响最大,网络嵌入程度、市场势力、关联能力也有积极影响。并以金发科技和澄海玩具产业为例,详细分析了它们技术能力提升的过程、轨迹以及影响因素,证实了模型可以解释嵌入全球生产网络当地产业技术创新能力提升过程。其次,本文总结了广东制造业融入全球生产网络的过程,在分析广东制造业技术创新能力现状的基础上运用PROMETHHEE方法进行了评价。针对嵌入全球生产网络制造业的特点,构建了基于产品技术含量、生产技术水平、技术投入和技术产出四大类评价指标,运用广东加工贸易企业调研数据进行比较分析。本文着重强调几点：(1)以加工贸易嵌入全球生产网络有助于嵌入产业的技术学习,不能因为担心加工贸易会造成“低端锁定”而敬而远之。(2)实证结果表明,自主品牌和营销渠道建设可以增强市场势力,而市场势力是技术创新能力提升的重要保障。(3)全球生产网络中当地产业的技术学习是以吸收能力为基础的,必须重视创新投入和创新支撑体系建设。更多还原

【Abstract】 Economic globalization has made a profound transformation of the international production organization, global production networks replacing vertically integrated production organization for multinationals. Through embedding in the global production system, developing countries and areas achieve an opportunity for industrial upgrading and technological capability promotion. But industry upgrading and promotion of technology innovation ability will not automatic obtain under the global production network. This paper researches on knowledge transfer and technological innovation capability of local industries in the global production network.First, this article clears up the vein of global production networks, and comprehensive analyzes the content and trajectories of the local industry upgrading in global production networks, to distinguish the effects of different network government model on industrial upgrading. This paper explains the power of flagship to transfer knowledge, pointing out that knowledge transfer is the result of core enterprises pursuing maximum profits. Ways and means of knowledge transfer in the global production network are different according to the role of knowledge providers and market intermediaries, such as FDI and import/export trade, technical advice. Local industries achieve technology learning through international links and internal links under the global production network.The technology innovation ability upgrade has differences due to network governance mode and core enterprise type. The producer-driven global production network has stronger force than buyer-driven global production network to push forward the supplier achieving technology ability upgrading. Independent innovation is more suitable for technology upgrading in market and modular global production network, but the speed of upgrading is slow. The speed of technology ability upgrading is fast in relational, captive and hierarchy global production network but subject to core enterprise. The process of technology innovation ability upgrade of industry embedding in the global production network can be summarized as technology upgrade→technological process and product upgrading→function upgrade and intersectoral upgrade→echnology innovation capability upgrading. This paper constructs promotion mechanism model of technology innovation ability of local industries embedding the global production network based on the network embedded degree, market force, relevance ability and absorptive capacity. This dissertation does a validated analysis by structural equation model through questionnaire. The results showed that:the technical innovation ability has positive relation with network embedded degree, market forces, relevance ability and absorptive capacity, and absorptive capacity has the biggest correlation with it. Based on the theoretical analysis, this article takes cases of kingfa and the toy industry of Chenghai, detailed analysis of promoting process, trajectory and effecting factors. The result of case studying confirms that the model can explains the technological innovation capability upgrading process of local industrySecondly, this article analyzes the embedded process of manufacture of Guangdong province, expounded the basic condition of technology innovation ability of Guangdong province manufacturing, use the PROMETHHEE method to evaluate. According to the characteristics of industries which have been embedded in the global production network, this paper constructs evaluation index system of technology innovation based on the technical content of products, production technology, technical inputs and technical output.This article want to emphasis on several points:(1) Embedding in the global production network with processing trade helps technology learning of embedded industry. It is wrong to keep at a distance with processing trade because fear of the result in "lower-end lock". (2)The result of empirical shows that independent brand and marketing channels can enhance the market power and market power is the important guarantee of technical innovation capability upgrading. (3)The absorption capacity is the base of technology learning for local industry of global production networks, so it is important to increase investment in innovation and construct innovation supporting system.更多还原