高技术产业全球价值链研究

【作者】 王京晶；

【导师】 张幼文；

【作者基本信息】 上海社会科学院 ， 世界经济， 2013， 博士

【摘要】 全球价值链理论是20世纪90年代以来兴起的一种较为特殊的国际分工理论。其特殊性在于：第一,全球价值链概念的提出来源于管理学范畴,它是对全球商品链概念的延伸与拓展,因而该理论具备以企业为主体的微观基础。第二融入全球价值链的过程,也是一国(或地区)参与国际分工,并构建其国家竞争优势的重要渠道,这使得价值链理论能够从更为宏观的视角为一个国家(或地区)参与全球竞争提供战略思路。第三,全球价值链理论还可以从产业层面解读,产业层面的全球价值链蕴含着该产业价值组织以及价值创造的结构形态,这反映了产业链背后更深刻的价值含义。从结构上来看,以产品的生产、流通、消费各个环节为组织载体,形成了一条覆盖全球的网络状链式结构,可称为产业全球价值链的物理形态。从价值属性分析,包括产品原材料处理加工、中间产品进出口贸易、半制成品加工、制成品组装、最终销售与售后服务等完整环节的价值链,在不同经济体之间、各个上下游环节之间存在着大量的信息交流与价值互换过程,这些不同环节本身又包含着不同地域不同企业之间的合作竞争关系。因此,从产业中观层面解读的全球价值链具有物理结构分工、区段价值增值的两维属性。本文主要是以高技术产业为研究对象,以产业价值链理论的视角来剖析高技术产业全球价值链的分工形态、区段分工机理以及低端经济体在价值链中的战略升级路径。高技术产业本身是典型的跨国安置价值链各功能区段的开放型部门,在新兴经济体与众多发展中国家中,高技术产业在现代工业体系中都扮演着重要角色。根据OECD的分类标准,高技术产业主要包括航灭航空制造业、电子及通信设备制造业、电子计算机及办公设备制造业、医药制造业、医疗设备及仪器仪表制造业这五大类行业,该产业及其细分行业的国际分工格局成为了全球价值链产业层面的重要研究对象。已有的文献研究表明,新兴经济体能够在价值链分工中实现产量规模、进出口规模的总量扩张,但从附加值指标、国内附加值贡献率来看,发达经济体的跨国公司仍然占据着全球价值链的制高点。本文在已有文献基础上,试图更为深入地解决以下问题：一是如何解构高技术产业的全球价值链分工格局,这包括对高技术产业细分行业的区分与价值链解构；二是如何解释构成当前高技术产业全球价值链的动力机制与形成机理；三是价值链低端经济体在嵌入高技术产业价值链的同时,是否促进了该经济体的本土产业升级,这种全球价值链分工形态是否阻碍了该产业的本土创新能力,促进或阻碍的原因与条件又是如何?针对以上问题,本文的主要内容如下：首先对高技术产业全球价值链理论的研究基础进行梳理,这主要从价值链理论发展脉络、国际分工相关理论在高技术产业中的适用性比较、全球价值链中低端经济体的本土升级路径这三个方面展开。在已有理论成果的吸收总结基础上,试图挖掘全球价值链分工的内在机理,界定并探讨价值链分工中最基本单位“区段”及其相关的附加值概念,运用区段附加值增值模型,为价值链区段攀升等现实问题提供理论依据。从高技术产业的发展历程来看,跨国公司将研发、新产品设计、模块零部件生产、组装加工、营销、售后服务等各环节按照最有利的区位分布于世界各地。基于全球价值链分工的高技术产业,最重要的发展指标并不是传统统计口径体现的产值与进出口总量,而应该是能够体现该国参与全球价值链分工中的附加值变化。发达经济体对高技术产业的国内要素投入以高端要素为主,自然能获得相对高的报酬,位于价值链高端。而后发国家主要依赖自然资源、低技术劳动力等要素投入,所获得的收益相对较低也是在所难免。通过对高技术产业全球价值链中区段攀升的产业案例展开分析,本文认为能够实现产业链升级的后发经济体一般遵循以下产业发展思路：首先在行业发展初级阶段也是和全球行业领军企业相差最大的阶段,应该先了解全球不同层级企业的行动路线。不只是行业领军企业,更重要的是了解价值链中下游企业的发展模式,权衡是否先以低劳动力等低端要素廉价优势嵌入全球产业链。其次,若已嵌入产业链,但被锁定在产业链最底端,此阶段要积累改造产品扩大分工区段的能力,这需要与上下游厂商的跨地域协调合作,逐渐扩大自身的分工区段。当具备了扩大产品多样化的能力后,应当积累本土技术创新的能力,争取与行业领军企业的科研合作机会,提升本土产品的技术含量。本文在对全球价值链分工形态、分工机理以及相关产业案例讨论的基础上,力图初步勾勒出后发经济体在全球价值链中实现本土产业升级的现实路径。通过对中国高技术产业融入全球价值链的开放程度与本土创新能力展开实证分析,试图论证后发经济体实现价值链攀升的主要路径体现在两个层面：一个是技术能力的提升、二是市场能力的拓展。前者高度依赖自主性的研发投入,后者则需要充分发挥本土市场效应。本文最后通过对中国高技术产业主要细分行业的产业价值链分析,认为不同的高技术细分行业应当充分挖掘行业自身特点,探索与本行业发展相适应的产业升级战略。更多还原

【Abstract】 The theory of global value chain has emerged as a special theory in the field of international division of labor since1990s. The unique nature of global value chain lies in three aspects. Firstly, the concept of global value chain has been extended on the basis of global commodity chain which derives from management, and this provides a micro-scope to GVC theory. Secondly, the process of integration into global value chain is also the process of integration into international division of labor, which is a significant channel to establish national competitive advantage. The concept of GVC also provides a more macro-level approach for a certain country or region to compete in global economy. Thirdly, GVC theory could be explained in a industry level, which contains the physical composition of value chain and the value creation process. Physically, global value chain is composed of the production, circulation, consumption parts covering a global network. From the value creation approach, GVC is composed of the process of semi-finished products, the assembly of finished goods, selling and service after sales. The huge amount of information sharing and value exchange process exist in the network of different economies and different parts of value chains, so the relationship of cooperation and competition is reflected in the different parts of global value chain. Therefore, the industry level explanation of GVC contains the physical composition and value-added characteristics.The research target of this paper is high technology industries, and this paper tries to explain the division pattern, value-added mechanism and upgrading strategy of latecomer economies in the field of high-tech industries. High technology industries are typical trans-national industries which could spread different fragmentations of value chain. Also, high technology group plays a significant role in the modern industry system of emerging markets and developing countries. According to the classification of OECD, aerospace manufacturing, electronics and communications equipment manufacturing, computer and office equipment manufacturing, pharmaceutical manufacturing, medical equipment and instruments manufacturing industry have been included into high-tech group.Relative literatures show that industry level of GVC theory mainly focused on the openness, trade scale and international position of emerging markets. Based on these literatures, this paper is trying to solve following questions:firstly, how to deconstruct the division pattern of GVC of high technology industry and its sub-industries? How to explain the driving forces and formation mechanism of high-tech industry? Thirdly, with the emerging economies integration into GVC, how to evaluate the home innovation capabilities of emerging economies? What kind of conditions could hamper or promote the indigenous innovation? The main contents are as follows:This paper has reviewed and combed the theoretical foundation GVC theory, which includes the derivation of GVC, the theory of international division of labor and its application, the theory of upgrading in GVC from the perspective of latecomer countries.On the basis of theoretical foundation, this paper tries to explore the mechanism of division in GVC, and discuss the fundamental element of GVC, which is the concept of fragment and the concept of value-added unit. The model of value-added has been applied to the explanation of upgrading process in GVC.From the perspective of the development of high technology industries, the multinational corporation has spread research, designing, production of module parts, assembly and sales all over the world according to the lucrative location. The most powerful index of development is not traditional one reflecting the overall trade scale, however, is the variation of value-added in the GVC. Developed countries have input high-level factors of domestic contribution to industries, while latecomers input relatively low-level factors, in doing so, lower profits have captured by emerging markets.According to the industrial cases of upgrading in GVC, the general pattern of climbing up in GVC is as follow. At the early stage, the local industry should firstly understand the action plan of different level, not only the plan of the leading corporation but the overall pattern of the whole industry. Then, if located at the bottom of global value chain, the local corporation should expand the division fragmentation by closely cooperate with the other firms in the chain, trying to develop research work with leading corporations to promote the technological level in products.This paper tries to elaborate the upgrading pattern of latecomer economies in GVC. On the basis of empirical analysis of openness and innovation capabilities of Chinese high-tech industries, the promotion of technology and the expansion of local market have been proved as two major approaches with regard to local upgrading. The promotion of technology is highly dependent of research input, and the expansion of market should fully tap the local market resources.The paper also differentiates the traditional high-tech industries and strategic emerging industries. The former group focuses on the functional upgrading in the existing global value chain, while the later one values the development of open innovation system to cultivate the sustained innovation for seeking a long-term competitive strategy.更多还原