产品内国际分工：动因、机制与效应研究

【作者】 张纪；

【导师】 金芳；

【作者基本信息】 上海社会科学院 ， 世界经济学， 2007， 博士

【摘要】 20世纪五、六十年代以来,随着全球范围内国际贸易和跨国投资壁垒逐渐消除,整个世界日益融合为一个规模空前的全球大市场。经济全球化加速了要素资源在各国之间的流动,来自世界范围日趋激烈的竞争压力,也使得各国的生产者逐渐在全球范围内考虑要素资源配置,以最大限度地降低生产成本和交易成本。在这样的背景下,国际分工开始发生了实质性的改变,国际市场日益走向一体化的同时,国际分工的形式却逐渐走向非一体化,即产品制造过程中包含的不同工序和环节被分散到不同国家进行,从而形成了以工序、环节为对象的产品内国际分工。产品内国际分工的出现,将国与国之间基于比较优势的分工从产品,贯彻到产品内部的工序和流程,也极大的改变了全球经济运行方式。针对产品制造过程中的不同工序和环节被分散到不同国家进行,全球生产价值链切片式地分布于若干个生产环节的经济现象,早在20世纪60-70年代便引起了经济理论界的关注。在随后的几十年中,管理学对“供应链”、“价值链”、“外包”、“代工”等问题的研究,区域经济学对于“产业集群”问题的研究,国际经济学对“国际生产系统”、“分散化生产”、“垂直分工”等问题的研究,都从各自的学科角度对这一现象进行了深入考察,也获得了不少极有价值的研究成果。然而,从现有相关研究文献来看,对“价值链”乃至“全球价值链”的研究通常重点涉及企业的微观领域,而对“垂直专业分工”的研究往往又关注于这一现象的宏观表现与影响。由于产品内国际分工所导致的跨国分散化生产,是经济全球化深入发展的表现,其对全球经济运行的影响是从企业的微观层次到产业的中观层次再到国际分工的宏观层次一以贯之的,因此,过于侧重考察对象某个侧面内容的研究,不免会影响到对其综合系统的把握。本文试图通过将产品内国际分工运行机制的微观考察同中观的产业升级和宏观的全球生产分工结合起来,对产品内国际分工进行系统化综合研究:以传统贸易理论、新制度经济学和计量经济学为主要分析工具,探寻产品内国际分工的内在动因;以全球价值链运行机制为主要线索,探讨产品内国际分工的内在机制;通过对全球产品内国际分工发展态势的考察和分析,找寻其对世界不同发展水平国家的不同影响;在上述研究的基础上,结合我国产品内国际分工的发展状况和条件,形成提升我国国际分工地位的对策思路。本文共分为七部分,其结构安排如下:第一章,导论。内容包括论文研究的背景和意义,国内外研究现状,研究的基本思路与方法,主要内容与论文结构,论文的主要创新点与不足。第二章,产品内国际分工概述。本章是后续各章的研究基础。首先,以科技发展为主线,对国际分工由产业间国际分工到产业内国际分工,再到产品内国际分工的发展历程进行了回顾;其次,由于国际分工理论和国际贸易理论的发展也是密不可分的,对传统国际分工(贸易)理论的回顾,有利于从理论发展角度理清思路;再次,界定了产品内国际分工理论的内涵、生产模式和贸易模式等一些基本概念,也对与之相关的概念进行了辨析;最后,对产品内国际分工的现实形态和主要测度方法进行分析和总结。第三章,产品内国际分工动因分析。产品内国际分工是国际分工超越产业间分工与产业内分工而进一步深化发展的表现,其原始动力来源于第三次科技革命所带来的生产力巨大发展。本章首先主要从技术发展、贸易自由化、投资自由化等角度,分析产品内国际分工的现实基础;其次,产品内国际分工的内在动因,是从经济学的角度分析产品内国际分工的成因,本文主要通过在传统国际分工理论中加入交易成本变量和技术因素的方法,将传统分工理论拓展到产品内国际分工的动因分析上。从新制度经济学理论出发,研究产品内国际分工生产网络,分析市场—企业—混合网络的选择以及产品内国际分工生产网络在运行过程中所出现的问题,从而揭示了产品内国际分工的制度动因;最后,构建了基于中国省际面板数据的计量经济模型,对本章的相关理论分析进行了实证检验。第四章,产品内国际分工运行机制。全球价值链的形成和发展为产品内国际分工的展开提供了运行基础,而由全球价值链运行所带来的价值链纵向控制、治理、驱动等机制为产品内国际分工的协调运行提供了保障。本章首先分析了全球价值链理论起源与内涵,对全球价值链的空间垂直分离与一体化现象进行了分析;其次,系统阐述了全球价值链的“二元动力机制”、“三元动力机制”以及全球价值链动力机制的动态演进;再次,全球价值链的治理理论,其中包括全球价值链的治理者、价值链节分工地位的非稳定性和全球价值链的治理模式;最后,论述了全球价值链创新的内涵、类型和发展规律,以此为基础,进一步分析了全球价值链治理模式与发展中国家产业升级之间的关系,为产品内国际分工条件下的发展中国家产业升级提供了理论分析框架。第五章,产品内国际分工效应分析。产品内国际分工为发达国家提供了配置全球资源的渠道,也使发展中国家得以进入全球生产体系,这些国家在分享新的发展机遇的同时,由产品内国际分工对全球就业、收益分配、技术转移、产业转移所产生的巨大影响,也对全球各国经济持续、健康发展提出了严峻的挑战。本章首先分析产品内国际分工的就业效应。主要内容包括就业效应的内在机理,国际分工就业转移的现实途径,以及国际产业转移对发达国家和发展中国家就业的影响;其次,产品内国际分工的收益分配效应。本节建立了产品内国际分工中的收益分配模型,考察各分工环节的市场结构对其所获收益的影响,并针对笔记本电脑产业进行了案例分析;再次,产品内国际分工的技术进步效应。主要分析了全球生产网络内部的知识扩散和产品内国际分工的技术溢出效应;最后,产品内国际分工的国际产业转移效应。产业国际转移与国际分工之间存在密切联系,在产品内国际分工条件下,国际产业转移发生深刻变化,国际产业转移逐步深入至生产工序层面从而演化成为一种国际产业转移新模式,即“产业片断”转移模式。第六章,产品内国际分工条件下中国产业升级。本章首先深入剖析我国参与产品内国际分工的现实形态和发展现状;其次,利用中国数据建立计量模型,分别对产品内国际分工的产业结构效应、就业效应和技术升级效应进行实证分析;再次,进一步分析产品内国际分工条件下的中国产业发展现状,以及其对中国产业发展的影响;最后,在上述研究基础上,对中国如何在产品内国际分工网络中,加速产业升级提出了政策建议。第七章,研究结论与后续研究展望。在前面各章分析基础上总结出论文的主要结论,并对论文后续研究指出方向。更多还原

【Abstract】 With the barriers to international trade and the foreign investment disappearing, the whole world has become a tremendous global market since 1950’s or 1960’s. As the economy globalization accelerating the key elements resource flowing among countries, the increasing drastic competition makes the producers have to consider how to configure the key elements resource around the world to reduce the costs of production and exchange maximally. With this background, the essential change happens in the international specialization as its form tending towards disintegration as well as the international market being integrated increasingly. Disintegration means the various working procedures and working phases are accomplished in different countries during the product manufacture process and the intra-product international specialization, which regards the working procedures and the working phases as its object, comes into being. It not only brings the specialization based on the comparative advantages among countries from the product itself into its inner working procedures and processes, but also changes the global economy running mode greatly.Since the 1960’s or 1970’s, the theory horizon of economy has concerned about this economy phenomenon that the various working procedures and working phases in the product manufacture process being accomplished in various countries and the global production value chain are fragmented into several working phases. Various scholars made further research on this phenomenon with different point and achieved lots of valuable results, such as the studies for the supply chain, the value chain, outsourcing, Original Equipment Manufacture (OEM) in the Management, the study for industrial cluster in the Regional Economics, the studies for international production system, fragmented production, vertical specialization in the International Economics and etc.Referring to the relative existing literature, the studies for the value chain or global value chain always focus on the micro-level of enterprises. However, for the vertical specialty specification, it pays too attention to its macro-level. Since the multinational scattering production conduced by the intra-product international specialization is the embodiment of economy globalization progress, it influences the global economy from the micro-level of enterprise to the medium-level of industry, then to the macro-level of international specification. Therefore, only concerning about any aspect would not apprehend its whole system in the round.The thesis tries to integrate the study of micro-level in the intra-product international specialization running system with the industry upgrade and the global production specification, and make systemic and comprehensive researches on the intra-product international specialization: to analyze its intrinsic motivation with the traditional trade theories, the New Institutional Economics and the Econometrics as the primary tools; to study its internal system with the global value chain running system as the key thread; to discover its different effect on the various countries with the analysis for the its global trend; to form some countermeasure suggestions for advancing our status in the intra-product international specialization progress based on the above results together with its current situation of China.The thesis is divided into seven sections as follows:Chapter I: Introduction. It introduces its research background and significance, the domestic and foreign research actuality, its methods and structure, the main innovations and the insufficiencies in the thesis.Chapter II: Summary of the Intra-product International Specialization. This chapter is the foundation for another ones. First, following the science and technology development, it reviews the international specialization developing phases from its inter-industries to its intra-industry, then to its intra-product. Secondly, it reviews the traditional theories for the international specialization and the international trade in the point of the theory evolution. Thirdly, it gives a detailed statement and makes the distinctions for some basic definitions in the intra-product international specialization theory including its meaning, production mode and trade mode. Finally,it analyzes and summarizes its current conformation and the principal measure approach used.Chapter III: Analysis on the Motivation of the Intra-product International Specialization. The intra-product international specialization is the embodiment of the international specialization developing further and transcending the inter-industries and the intra-industry ones. Its motivity sources from the great productivity progress by the third science and technology revolution. First,this chapter analyzes its realistic foundation from several aspects such as the technology development, the trade liberalization, the investment liberalization and etc. Secondly, it analyzes its motivation by adding the exchange cost variable to its traditional theory with the point of economics. Thirdly, with the New Institutional Economics, it not only studies its production network and analyzes the cause for selecting which network of market, enterprise, or combination, but also discusses the problems appearing in its running process and expresses its institutional motivation.Chapter IV: Analysis on the Intra-product International Specialization Running Mechanism. The formation and progress of the global value chain is the foundation for the intra-product international specialization outspreading. Moreover, its running creates some mechanisms such as the value chain vertical controlling, managing and driving, which ensures the intra-product international specialization running harmoniously. In this chapter, the thesis first analyzes the origins and contents of the global value chain theory and the phenomena for its space vertical fragment and integration. Secondly, it clarifies its dualistic and the trinal motivity mechanism and its dynamic progress. Thirdly, it studies the governance theory for the global value chain including its governor, the non-stability of the specialization status in the value chain and its governing mode. Finally, the thesis discusses the contents, styles and the developing rules for the global value chain innovation. On the basis of it, it further analyzes the connection between the global value chain governing mode and the industry upgrade of the developing countries and provides an method for them to making its industry upgrade under the conditions of the intra-product international specialization.Chapter V: Analysis on the Effects of the Intra-product International Specialization. The intra-product international specialization not only provides a channel for the developed countries to make its global resource configuration, making the developing countries join the global production system and share the new developing opportunity, but also has tremendous influences on the global employment, the profits allocation, the technology shift and the industry shift, taking severe challenge to the global economy development.First, this chapter analyzes its employment effects, including its inner elements, the practical approach for the international specialization employment shift and the different effects of the international industry shift for the employments of the developed and the developing countries. Secondly, it discusses its profit allocation effects. Establishing its profit allocation model, it studies various market structures how to affect their profit in different specialization phase and makes a case study on notebook PC industry. Thirdly, its studies its technology progress effects with the analysis of the knowledge diffusion within the global production network and its effects of technology spillover. Finally, analyzes its effects of international industry shift. The international shift of industry has close connection with its international specification. On the conditions of the intra-product international specialization, the international industry shift changes greatly and evolves a new mode of industry fragment shift. Chapter VI: Industry Upgrade under the Conditions of the Intra-product International Specialization for China. First, it analyzes the actuality and the status for China participating in the intra-product international specialization. Secondly, establishing several measure models with Chinese datum, it makes some evidence-based analysis on its industry structure effects, employment effects and technology upgrading effects respectively. Thirdly, it analyzes the industry development situation of China and the effects for Chinese industries under the conditions of intra-product international specialization. Finally, it makes some politic suggestions for China on how to accelerate the industry upgrade in the intra-product international specialization network.Chapter VII: Conclusion and Prospect. Depending on the analysis in the above ones, it makes some primary conclusions and points out the future research orientation in this chapter.更多还原