加工贸易企业转型升级研究

【作者】 林立；

【导师】 陈佳贵；

【作者基本信息】 中国社会科学院研究生院 ， 企业管理， 2012， 博士

【摘要】 改革开放30多年来，恰逢经济全球化快速推进的历史时期，得益于我国坚持实施出口导向和积极引进外资的发展战略，政策措施得力，我国成为经济全球化最大的受益者之一，从一个贸易小国成长为贸易大国。然而，我国加工贸易企业的转型升级面临挑战。特别是金融危机以来，外贸发展整体上面临巨大困难，由原来拉动国民经济增长的三架马车之一变成了基本持平甚至负增长。加工贸易企业面临多重外部压力叠加。而且中国加工贸易企业的同质化问题严重。破解加工贸易企业转型升级问题的核心在于技术创新。目前加工贸易企业转型升级研究以及企业实践尚不完善，有待进一步的探索。因此，本文研究的核心问题是“转型升级”，是企业核心竞争能力的培养和发展的路径。基本分析框架就是“环境——资源——路径（能力培养和发展的路径）”。本文研究沿着市场结构（转型升级的模式）-企业行为（转型升级的能力构建）-企业绩效（转型升级效果评价）的思路展开，从提升我国加工贸易企业的创新战略和能力培养的视角，试图探讨以下几个问题：一是我国加工贸易企业转型升级的本质；二是我国加工贸易企业转型升级的环境；三是如何培养加工贸易企业转型升级的能力；四是如何提升加工贸易企业转型升级对绩效的作用；五是政府如何促进加工贸易企业的转型升级。论文共分为四个部分。第一部分绪论。这是全文的研究基础和出发点。讨论加工贸易企业的概念和特征，分析了“转型”与“升级”的本质。阐述了加工贸易企业转型升级研究的必要性，并提出本文的研究重点，然后说明本文的研究思路和主要内容，最后是研究方法和创新点的介绍。第二部分（第一章、第二章）主要是理论研究。第一章文献回顾和研究框架。梳理了转型升级的文献。第二章加工贸易企业转型升级的环境分析。分析了汇率、劳动力、产业等外部因素。国际竞争的压力、市场集中度偏低，未形成合理的产业分工体系和同质竞争是我国加工贸易企业面临的主要问题，同时从需求和供给两方面分析了我国加工贸易企业转型升级的障碍。第三部分（第三章、第四章、第五章、第六章）是实证研究。第三章相关国家和地区转型升级的过程和启示第四章转型升级的宏观战略研究。从三个层面（国家层面、行业管理层面、加工贸易企业）和两个维度（需求维度和供给维度）阐述了政府在加工贸易企业转型升级过程中所起的作用，并提出了中国加工贸易企业转型升级的政策建议，包括整体的政策体系，以及相关各项政策。第五章企业转型升级的战略研究。在更广泛的意义上验证创新能力与创新效果之间的关系。创新能力和企业绩效之间存在直接途径和间接途径。创新对企业绩效的影响有可能更多地通过降低运作成本、提升内部运作效率、规模扩张等途径得以实现。第六章企业转型升级的路径研究。提出了基于双升级模式下的产业链的变化、加工贸易企业技术创新的变化是企业技术创新的两个重要驱动力，并基于此划分出四类转型升级基本维度，分别是企业形态优化维度、市场结构优化维度、经营模式优化维度、自主知识产权优化维度。第四部分（第七章、第八章）是研究结论和附录的调查个案。第七章完善转型升级的政策和监管。公共政策对加工贸易企业的转型升级起着十分重要的作用，同时，海关的监管和执行力度也显得非常重要。概括本文的重要结论，对理论和实践贡献及创新点，然后指出研究中的不足之处，并提出对今后研究方向的展望。第八章几个省市推进转型升级的调查。附录了本次实地调查研究中，有代表性的地区的宏观政策及效果。本文的主要创新点包括：本文的主要创新点包括：（1）研究内容的创新。以加工贸易企业转型升级的过程为核心，对加工贸易的宏观战略和企业战略等核心能力进行分析；（2）研究方法的创新。国内研究与国外研究相比，最大的不足是理论分析多、实证检验少。本文基于前人的研究成果，建立自己的分析框架，并在理论研究的基础上，通过深度的案例研究和计量分析对假设加以验证，力求增强研究结论的说服力。更多还原

【Abstract】 More than30years of reform and opening up, at the rapiddevelopment of economic globalization period of history, thanks to carryout our country export orientation and actively introduce foreign capitaldevelopment strategy, policy measures capable, our country PRChinabecomes one of the biggest beneficiaries of economic globalization,growth from a small trade country to a trade power country.Nevertheless, the transformation of Chinese processing trade enterpriseupgrade faces a challenge. Especially since the financial crisis, Foreigntrade development,on the whole, facing enormous difficulties, by originalpull the growth of national economy of one of three cart into a flat oreven negative growth.Processing trade enterprise faces multiple externalpressure stack.And the processing trade enterprise face same kind ofserious problem.Crack processing trade enterprise transformation andupgrade the core of the problem lies in the technological innovation. Now,enterprise and its practice is not perfect yet, to be further exploration.Therefore, this paper studies the core of “upgrade”.It is the enterprise corecompetitive ability training and development path.The basic analysis framework is “environment,resources,path(abilitytraining and development path)”.This paper studies on the idea along the market structure (of thetransformation and upgrade mode)-enterprise behavior (of thetransformation and upgrade ability construction)-enterprise performance(effect evaluation of the transformation and upgrade). From theascension of the processing trade enterprise innovation strategy andability training point of view, and tries to discuss the following questions:First, what is the processing trade enterprise of the transformation andupgrade essence? Second, what is the processing trade enterprise of thetransformation and upgrade mode? Third, how to cultivate the processing trade enterprise of the transformation and upgrade ability? Fourth, how topromote the processing trade enterprise transformation and upgrade forthe performance boosting effect? Fifth, how to promote the government’seffect on the transformation of processing trade enterprise upgrade?Around the topic of processing trade, this paper comprises four parts:PartⅠis the introduction which is the study foundation and departurepoint of the whole paper. It illustrates the study necessity of processingtrade, research ideas and contents, methods and innovation and raises thestudy questions of the this paper.It discuss the processing trade enterpriseconcept and characteristic, analysis of the “transition” and “upgrade”essence. It expounds the processing trade enterprise transformation andupgrading of the necessity of research, and puts forward the key, thenexplain the thought and main content, and finally the research methodsand innovation point is introduced.Part Ⅱ (ChapterⅠ to ChapterⅡ) is the theoretical study.ChapterⅠ illustrates the literature review and research frameworkand afterwards comparesof the transformation and upgrade of theliterature.Chapter Ⅱ illustrates the processing of the trade enterprisetransformation and upgrade environment analysis.Analyzes the exchangerate, and external factors such as labor, industry of processing tradeenterprise of the transformation and upgrade effects. Analyzed theChinese processing trade enterprise the current situation of thedevelopment and problems. The stress of international competition,market concentration is low, not form a reasonable system of industrialdivision and homogeneous competition is the processing trade enterprisethe main problem facing, At the same time of supply and demand fromtwo aspects of Chinese processing trade analysis enterprise innovationbarriers.Part III (Chapter Ⅲ to Chapter Ⅵ) is the empirical study.Chapter Ⅲ illustrates relevant countries and regions of the transformation and upgrade process and enlightenment.ChapterⅣillustrates the transformation and upgrade strategic research.From three levels (national level, profession management level,processing trade enterprise) and two dimensions (demand dimensions andsupply dimensions) describes the role of government in processing tradeenterprise in the process of transformation and upgrading. And putsforward the processing trade enterprise of the transformation and upgradepolicy Suggestions, including the overall policy system, and relatedpolicies.Chapter Ⅴ illustrates the enterprise strategy research of thetransformation and upgrade. The application of structural equation model,in the broader sense validation innovation ability and innovation of therelationship between the effect. The innovation ability and the enterpriseperformance directly and indirectly between way way.The innovation ofenterprise performance impact is likely more through the reduceoperational costs, improve internal operation efficiency, scale expansion,way can be realized.ChapterⅥ illustrates research of the enterprise transformation andupgrade path. Put forward based on a double upgrade mode of theindustrial chain of change, processing trade enterprise technologyinnovation is the change of enterprise technology innovation of the twoimportant driving force, and based on this divided into four types oftransformation and upgrading of basic dimensions, respectively isenterprise form dimension, the optimization of market structureoptimization dimension, the business model optimization dimension, theindependent intellectual property rights optimization dimension.Part IV (Chapter Ⅶto Chapter Ⅷ) is the conclusion and prospect.ChapterⅦ illustrates the perfect policies and supervision of thetransformation and upgrade. Public policy on processing trade enterprisetransformation and upgrading of plays a very important role, and at thesame time, the customs supervision and enforcement also appears very important. This paper summarized the important conclusion, theory andpractice contribution and innovation point, and then points out the defectsof the research, and put forward the prospect of the future researchdirection.ChapterⅧ is the investigation of several provinces’ police about thetransformation and upgrade.The appendix of this investigation is themacroeconomic policy and effect of typical areas.The main innovation points include:(1) the research content ofinnovation. With the innovation of the transformation and upgradeprocess as the core, of processing trade enterprise organization structureanalysis of core ability;(2) study methods of innovation. Domestic andforeign research study compared, the biggest shortage is the theoreticalanalysis and empirical test less. This paper, based on the previousresearch, to build their own analysis framework, the theory on the basis ofstudy, through the case study and the depth measurement analysis verifiedthe hypothesis, and strive to enhance research conclusion persuasive.更多还原