模块化产业组织、技术创新与产业升级

【作者】 白嘉；

【导师】 曹钢； 白永秀；

【作者基本信息】 西北大学 ， 政治经济学， 2012， 博士

【摘要】 模块化是一种分解和构成复杂产品的方式。技术模块化导致了产业模块化,形成了以生产非一体化和产品内国际分工为基本特征的模块化产业组织。产品内国际分工的各个阶段与不同国家生产要素的比较优势相匹配,发展中国家企业自然就成为了劳动密集型生产阶段的代工者,被发达国家控制的全球价值链所俘获,长期处于价值链的低端锁定地位。这一现实给发展中国家的技术追赶和产业升级带来了巨大障碍,对中国来说,如何利用模块化的契机来提升自主技术创新能力,加快推进产业升级,提高出口产品国内技术含量,从而突破全球价值链的低端锁定状态,是当前转变经济发展方式的重大课题。模块化产业组织视角下的技术创新与产业升级研究具有深刻的理论与现实意义。第一,如何确定不同产品建构下的技术能力提升和产业升级路径；第二,如何在模块化知识分工条件下提高模块创新能力,建立良性运行的模块化技术创新机制；第三,模块化分工的技术溢出效应是否存在,如果存在,技术溢出效应具有哪些特征。综合运用了理论与实证研究方法。理论研究方法主要包括系统分析方法、博弈分析方法和数理分析方法；实证研究方法主要包括因子分析方法、面板数据回归分析方法和案例分析方法。实证研究的重点在于运用面板数据回归方法对中国制造业参与垂直专业化国际分工的技术溢出效应进行了检验,针对垂直专业化分工与R&D投入、R&D产出之间的动态关系,以及加工贸易出口比重与专利类型之间的动态关系进行了实证检验。研究的创新之处主要在于两个方面。第一,提出了从模块化分工到产业升级的实现路径。虽然模块化分工是发达国家与发展中国家之间俘获型价值链形成的必要条件,但是中国仍然可以利用模块化分工的机会使本土企业的核心能力向价值链高附加值环节延伸,而实现这一目标的根本途径就是模块化技术创新。第二,对垂直专业化的技术溢出效应进行了经验研究。由于模块化产业组织的基本特征是垂直专业化国际分工,因此可以通过对垂直专业化技术溢出效应的经验研究来检验中国参与垂直专业化国际分工是否促进了产业技术创新,即垂直专业化分工的技术溢出效应是否存在,如果存在,其具体表现又是怎样的,从而完善以强化技术溢出效应为目的的产业创新机制和科技管理政策。研究得出了六点基本结论。第一,模块化产业组织技术创新的微观机制表现为模块化的知识基础和操作基础,中观机制表现为产业标准创新和模块创新,宏观机制表现为模块化生产网络环境下国家层面的开放式创新战略。第二,中国区域技术创新能力具有一定的空间集聚性分布特征,以区位差异为前提的极化效应导致东部地区成为技术创新的集群地带。第三,在模块化产业组织背景下,中国制造业参与垂直专业化国际分工在整体上促进了产业技术创新,对以专利申请数表征的R&D产出具有显著的正向效应。垂直专业化国际分工对中国本土代工企业的R&D投入具有一定的“挤出”效应。第四,中国制造业参与垂直专业化国际分工程度的提高只是促进了低层次的外围创新,对高层次的核心技术创新非但没有促进作用,反而产生了阻碍作用。第五,在模块化产业组织背景下,中国面临两种不同视角的产业升级困境。一是基于产品建构视角的产品建构陷阱,即产品价值链的低端锁定状态和系统创新瓶颈；二是基于全球价值网络视角的低端锁定状态。第六,中国产业升级路径选择主要在于两个方面。一是遵循比较优势演化规律。中国的产业升级路径应该是非线性的,产业内升级是产业升级的收敛点；二是获取产品建构优势。在技术模块化背景下应当与先进企业建立密切合作关系,将核心能力向价值链高端环节延伸；在技术集成化背景下应当在合作过程中保持独立性,运用价值链分工协作方式化解系统创新风险。更多还原

【Abstract】 Modularity is a kind of mode of decomposing and composing complex product. Technological modularity results in industrial modularity, also leads to modularized industrial organization characterized by production deintegration and intra-product international division of labor. Comparative advantages of production factors of different countries match different stages of intra-product international division of labor, developing countries of course become OEMs of stages of labor-intensive production, who have been captured by GVC controlled by developed countries, thereby have been locked in low-end status of values chains during a long term. The reality brings along enormous obstacles to technological catch-up and industrial upgrade of developing countries. From China’s perspective, how to make use of the opportunities of modularity to enhance independent technological innovation capacities, to rapidly impel industrial upgrade, to improve domestic technological content of export, consequently break through lock-in status of low-end of GVC, which is currently a significant subject of shifting economic development mode.It is theoretically and practically significant of the research on technological innovation and industrial upgrade from the perspective of modularized industrial organization. Firstly, how to identify the path of technological capacity enhancing and industrial upgrading under different product architecture? Secondly, how to enhance the capacity of modular innovation under the condition of division of knowledge, and to establish well-moving mechanism of modularized technological innovation? Thirdly, does technological spillover effect of modularized division of labor exist? If it does, which characteristics does this technological spillover effect have?Theoretical and empirical methods are synthetically employed in the research. Theoretical methods include system analysis, game theory and mathematical analysis; empirical methods include factor analysis, panel data regression and case study. The emphasis of empirical research is to test the technological spillover effect of Chinese manufacturing sector’s participation in international division of labor of vertical specialization employing panel data regression. Specifically, the empirical tests aim at dynamic relationship between division of labor of vertical specialization and R&D input, division of labor of vertical specialization and R&D output, besides, export ratio of processing trade and patent patterns.There are two innovative points on the research. Firstly, it brings forward an adoptable path from modularized division of labor to industrial upgrade. Even though modularized division of labor is a prerequisite for the formation of captured value chains between developed and developing countries, whereas, China can still grasp the opportunities of modularized division of labor to elongate core competence of local enterprises upward to high value-added segment of value chains, the fundamental path to this goal is modularized technological innovation. Secondly, it takes an empirical research on technological spillover effect of vertical specialization. One of the basic characteristics of modularized industrial organization is international division of labor of vertical specialization, thus the empirical research on technological spillover effect of vertical specialization can be utilized to test whether China’s participation in international division of labor of vertical specialization actually facilitate industrial technological innovation, that is to say, whether technological spillover effect of vertical specialization exist, if does, what about its specific performance, so as to consummate mechanism of industrial innovation and policies of scientific and technological management with the aim of intensifying technological spillover effect.There are six concluding points on the research. Firstly, the micro mechanism of technological innovation of modularized industrial organization is manifested as basis of knowledge and operations of modularity, the moderate is manifested as innovation of standards and modules of industry, the macro is manifested as country-level open innovation strategy under the circumstance of modularized production network. Secondly, China’s regional technological innovation capacity is characterized by spatial agglomeration on distribution to some extent, with a prerequisite of location difference, polarization effect results in that the east becomes cluster zone of technological innovation. Thirdly, under the background of modularized industrial organization, Chinese manufacturing sector’s participation in international division of labor of vertical specialization has promoted industrial technological innovation as a whole, vertical specialization significantly takes positive effect on R&D output represented by patent application number. Nevertheless, international division of labor of vertical specialization takes extrusion effect on R&D input of local OEMs of China to some extent. Fourthly, the rise of the degree of Chinese manufacturing sector’s participation in international division of labor of vertical specialization has only promoted low-level peripheral innovation, has not promoted high-level innovation of core technology which has been hindered on the contrary. Fifthly, under the background of modularized industrial organization, China is confronted with dilemmas of industrial upgrade from two different perspectives. One is product architecture trap in the perspective of product architecture, namely lock-in status of low end of product value chains and bottleneck of system innovation. The other is lock-in status of low end in the perspective of global value network. Sixthly, path selection of industrial upgrade of China mainly rests in two aspects. One is following the law of comparative advantage evolution. The path of industrial upgrade of China should be nonlinear, intra-industry upgrade is the point of convergence of industrial upgrade. The other is obtaining advantage of product architecture. Chinese local enterprises should establish close partnership with advanced enterprises under the background of technological modularity, whilst elongate core competence upward to high-end segments of value chains; alternatively, should retain independence in cooperation under the background of technological integration, whilst defuse system innovation risk via division of labor and collaboration on the basis of value chains.更多还原