【作者】 杜鹏；

【导师】 张平；

【作者基本信息】 武汉大学 ， 产业经济学， 2012， 博士

【摘要】 自20世纪70年代以来，发达国家通过其跨国公司生产体系的纵向分离，将重心集中在产品的研发、设计和营销等高附加值环节，与此同时将生产制造等低附加值环节转移到发展中国家，从而形成了某一产品不同工序或环节在空间上分布在不同国家或地区的格局，全球价值链成为推动分工深化和协调产业转移的主导力量。在以利益分配为核心的全球价值链中，发达国家及其跨国公司，利用自身的市场势力，对发展中国家进行纵向压榨，获得了大部分的分工和贸易利得。国际产业转移的历史轨迹似乎验证了这个规律：从产业的空间变迁到产品的空间变迁，再从产品空间变迁到同一产品不同工序的空间变迁。专业化带来的收益推动着分工进入到某一产品的不同生产工序和环节；分工则开始进入到产品内部的分工阶段。从20世纪90年代开始，中国制造业依赖在规模和成本上的优势，通过承接全球价值链中的劳动密集型环节产业，参与全球产业分工的程度不断加深，迅速成为全球的制造业大国。一直以来，常见观点是坚持以比较优势进入全球价值链低端，中国可以借鉴韩国、新加坡等成功经验，沿着“工艺升级—产品升级—功能升级—链的升级”的路径实现产业升级。然而，单纯依靠以出口为导向的比较优势或全球价值链的产业升级思路无法解决我国制造业难以摆脱陷入全球价值链低端的困境。现有产业升级研究之所以缺乏足够的解释力和指导性，原因之一在于没有充分考虑国家规模对产业升级的影响。比较优势不能自动转化为竞争优势，像中国这样的发展中国家如果一直按照比较优势原则来参与国际分工，将永远成为初级产品和劳动密集型产品的出口国。因为在科技创新突飞猛进的情况下，技术能力已经远远超越了资源、劳动力等传统比较优势的范畴，只有通过自主创新才能获得竞争优势。如果这种竞争优势具有可持续性，才可能形成产业竞争优势，实现产业升级。因此，中国需要重新审视和调整企业战略以及相应的产业发展思路，以推进产业升级，提升在全球价值链体系中的位置，谋取更大的利益。充分发挥后发大国的各方面优势，通过对国外先进技术的学习吸收，依靠国内市场对技术引进和创新的强大推动作用，实施技术本地化战略、应该是中国制造业实现产业升级和缩小与发达国家差距的一条可行途径。本文在上述背景和研究思路下，探讨了中国制造业产业升级问题。全文共分七个部分：第一部分，引言。在这一部分中明确了本文的现实和理论意义，对产业升级的相关文献进行了综述与评论，进而提出了本文的研究思路、逻辑框架和研究方法，总结了本文的创新点和不足之处，构建了全文的研究框架。第二部分，相关概念和理论简述。在这一部分中对本文研究的基础概念：制造业、产业升级和后发大国进行了定义；对后发大国经济发展理论和后发大国产业发展主要涉及到的比较优势、后发优势、生产力理论和大国综合优势等理论作一个简要的归纳、总结和介绍，为全文的研究进行理论铺垫。第三部分，制造业发展的国际经验及启示。在这一部分中总结了发达国家（英国、美国、德国、日本）、后发大国（俄罗斯、巴西、印度）、亚洲“四小龙”（韩国、新加坡、中国台湾和中国香港）制造业发展的经验，世界各国在制造业发展过程中的一大成功经验是充分、适度的发挥了政府和市场两方面的作用，而技术进步是各国制造业发展升级的最为重要的因素。发达国家的经验表明，随着科学技术的发展，自然资源的优势并不是制造业发展的决定性因素。这些经验从历史和现实角度为中国制造业产业升级的模式和路径选择提供了帮助。第四部分，“后发大国”制造业产业升级框架构建。一国制造业产业升级问题，需要顾及产业升级的原则、方式、机制和路径。当前成功的制造业业发展模式有以下两种：传统发达国家的大国模式、新兴发达国家的小国模式。然而，由于所处环境、国情的不同，上述模式对后发大国并不适用。后发大国的产业升级应该选用开放自主的模式。这一模式的特点是在保持开放的前提下，从本国的利益出发，以培育、促进本国制造业的发展、壮大为目标。产业升级的本质在于产业内企业依据国内外市场机会和自身资源和能力状况进行动态的适应性调整。后发大国的产业升级应该提倡的是建立在本国市场基础上的多样化技术能力的提升。在上述前提下，后发大国的产业升级路径如下：引进国外技术（代工）→依托本土市场发展壮大，构建国内价值链→针对本土市场技术创新→国内外市场技术创新。第五部分，中国制造业产业升级的必要性与障碍。通过相关数据分析，中国已经是世界制造业大国，但与发达国家相比，我国制造业产品附加值低，处于价值链的低端。从国际、国内角度看，现有国际分工与贸易体系、发达国家对制造业的重新认识、国家政策的不足、国内市场的缺陷和国内技术创新能力落后对中国制造业的产业升级造成不利影响。第六部分，中国制造业产业升级的对策建议。针对中国制造业产业升级存在的障碍，从国家政策、国内大市场构建和国内技术创新的培养三个方面提出了相应对策建议。第七部分，本文结论及研究展望。对全文的研究进行了总结，同时对产业升级的进一步研究提出了相关建议。更多还原

【Abstract】 From1970s,the deepening of the division of labor and specialization is animportant feature of modern economic development, with the comparative advantagesand economies of scale embodied in different production processes and links of thesame product, the benefits of specialization promotes to different productionprocesses and links of the same product, the division of labor began to enter intointra-product division stage. Correspondingly, International industrial transfer changesfrom industry space to product space, and then to the space of different processes ofthe same product. The developed countries repositioned their core competitiveness byvertically separating its multinational production systems, which focused on the highvalue-added aspects of product R&D, designing and marketing, as well as transferredproduction and manufacturing and such low value-added aspects to developingcountries, to form the spatial pattern of a product of different processes or aspectsspotted in different countries. Global value chains became the main force of divisionof labor and industry transfer. In global value chains as the core of the benefitsdistribution, the developed countries and their multinational corporations use theirmarket power to vertically squeeze developing countries, gaining most of the divisionof labor and trade.From1990s, by its manufacturing size and cost advantages, and undertakinglabor-intensive part of the global value chain as well as deepening participation inglobal division of labor continues to deepen, China has become a globalmanufacturing power. All along, the common view is that China can learn from thesuccessful experience of South Korea, Singapore to enter into the lower end of theglobal value chain by comparative advantage, following the path of the “processupgrade–product upgrade-feature upgrades-chain upgrade "to achieve industrialupgrading. However, it cannot help China to get rid of falling into the trouble of thelower end of value chain relying solely on the export-oriented thinking, including the comparative advantages or GVC upgrading. One of the reasons of why the existingindustrial upgrading lacks of explanatory power and guidance is not fully consider theinfluence of the size of the state to industrial upgrading. Comparative advantage doesnot automatically translate into competitive advantage; developing countries such asChina participated in international division of labor in accordance with the principleof comparative advantage, will always be an exporter of primary products andlabor-intensive products. In rapid technological innovation, technological innovationcapacity has been far beyond the resources, labor and other traditional areas ofstrength, competitive advantage through independent innovation will become thecompany’s core competitiveness with sustainability, which can form industrialcompetitive advantage and achieve industrial upgrading. Therefore, China needs tore-examine and adjust the corporate strategy and industrial development ideas, topromote industrial upgrading and enhance the position in the global value chainsystem to gain more benefit. It is a feasible approach to achieve manufacturingindustrial upgrading and narrow the gap between developed countries by fully playingthe advantages of developing great country, learning and absorbing foreign advancedtechnology, relying on the domestic market for the powerful effect of the introductionof technology and innovation, as well as implementing technology localizationstrategy.According to the background mentioned above and research thinking, this paperdiscusses the upgrading of China’s manufacturing industry with seven parts:The first part is introduction which identifies the practical and theoreticalsignificance of this article, gives some literature review and comments on theindustrial upgrading, and then put forward the ideas of this study, the logicalframework and research methods, summarizes the innovation of this paper andinadequacies, which constructs the full text of the research framework.The second part is about the relevant concepts and theories. It defines the basicconcept: manufacturing, industrial upgrade and developing great country and,summarizes the economy development theory of developing great and the relevanttheory of comparative advantages, late-development advantages, productivity and comprehensive advantage of great country, providing theoretic foundation for wholestudy.The third part is the international experience and inspiration of manufacturingdevelopment. In this section, it summarizes the manufacturing developmentexperience of developed countries (the United Kingdom, the United States, Germany,Japan), developing great counties (Russia, Brazil, India), four Asian Tigers (Korea,Singapore, Taiwan, China and Hong Kong, China),which indicates technologicalprogress is the most important factors for manufacturing development upgrading withthe success of fully and moderate playing the role of both government and market.The experience of developed countries shows that, with the development of scienceand technology, the advantages of natural resources is not the decisive factor in thedevelopment of the manufacturing industry. These experiences from history andreality of China’s manufacturing industry provide help to upgrade the models andoptions.The fourth part is to build the manufacturing industry upgrading framework ofdeveloping great country. The problem of one country’s manufacturing industryupgrading needs to consider the principle, methods, mechanisms and paths of industryupgrading. There are two successful modes of manufacturing industry development: agreat country mode of the traditional developed countries, a small country mode ofemerging developed countries. However, due to their environment, differences innational circumstances, the above models are not suit for developing countries thatshould choose the open independent mode which needs starting from their ownnational interests, fostering and promoting the development of their manufacturing togrow into the goal based on keeping open. The essence of industrial upgrading is thatindustrial enterprises could dynamically adapt themselves based on the domestic andinternational market opportunities and their own resources and capacity. It isadvisable for developing country’s industrial upgrading to promote diversifiedtechnological capabilities based on domestic market. In the above premise, theindustrial upgrade path of great country is as follows: the introduction of foreigntechnology (OEM)→growing and developing relying on the local market, building domestic value chain→technical innovation for domestic markets→technologyinnovation for home and abroad market.The fifth part discusses the necessity and obstacle of China’s manufacturingindustry upgrading. Through the analysis of relevant data, China has become theworld’s manufacturing great country; however, China’s manufacturing products arestill at the low end of the value chain with low added value, compared with developedcountries. From international and domestic perspective, the existing internationaldivision of labor and trade system, re-understanding to manufacturing of developedcountries, national policy deficiencies, defects of the domestic market and domestictechnological innovation capability are lagging behind China’s manufacturingindustry.The sixth part is about China’s manufacturing industry upgrading suggestions. Itputs forward three corresponding countermeasures and suggestions in national policy,building domestic market, domestic technological innovation to the existing obstaclesfor the Chinese manufacturing industry,.The last part gives a summary of the full text of the study, as well as further studyof the industrial upgrading of the relevant recommendations.更多还原