新兴经济体如何进行价值链升级:基于国际分工视角的文献综述
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摘要
从产业间分工到产品内分工,国际分工不断深入,全球价值链升级的概念应运而生。新兴经济体较快完成工艺升级和产品升级后,在功能升级和链条升级阶段受阻。本文以文献综述的方式,站在新兴经济体的角度探讨升级受阻的影响、原因与对策,是对过往全球价值链研究着重总结发达国家治理经验的补充,也是对"穷国"如何提升分工收益、分工地位这一命题的拓展。梳理已有文献后,本文认为低端锁定和挤出效应是价值链升级受阻的主要影响结果;治理能力缺乏和升级"含金量"低阻碍新兴经济体价值升级;国家价值链与区域价值链等升级路径是新兴经济体升级受阻后的备选方案。最后本文在研究视角、模型、内容和产业四个层面提出可以进一步研究的问题。
From the Inter-Industry to Intra-product Specification,the international division is deepening,and the concept of GVCs upgrading has come into being.Emerging economies complete the process upgrade and product upgrade quickly,while they are blocked during functional upgrade and chain upgrade.This article discusses the consequences,reasons and countermeasures of upgrade blocked on the perspective of emerging countries in the form of literature review,which is not only a supplement to the past research of global value chains focused on summing up the experience of development countries,but also on the "poor country"how to raise the return and the status of division. Based on the literature review,this paper argues that the "low-end lock"and "squeeze out"effect are the main influences of the value chain upgrade blocked. The lack of governance capacity and low upgrading value impede the global value chains upgrading of the emerging economies.National Value Chains and Regional Value Chains are the alternative options when global value chains upgrade blocked.Based on the existing research results,we suggest four aspects can be further studied,which are research perspective,model,content and industry.
From the Inter-Industry to Intra-product Specification,the international division is deepening,and the concept of GVCs upgrading has come into being.Emerging economies complete the process upgrade and product upgrade quickly,while they are blocked during functional upgrade and chain upgrade.This article discusses the consequences,reasons and countermeasures of upgrade blocked on the perspective of emerging countries in the form of literature review,which is not only a supplement to the past research of global value chains focused on summing up the experience of development countries,but also on the "poor country"how to raise the return and the status of division. Based on the literature review,this paper argues that the "low-end lock"and "squeeze out"effect are the main influences of the value chain upgrade blocked. The lack of governance capacity and low upgrading value impede the global value chains upgrading of the emerging economies.National Value Chains and Regional Value Chains are the alternative options when global value chains upgrade blocked.Based on the existing research results,we suggest four aspects can be further studied,which are research perspective,model,content and industry.
引文
1.岑丽君,2015:《中国在全球生产网络中的分工与贸易地位---基于Ti VA数据与GVC指数的研究》,《国际贸易问题》第1期。
2.戴翔、郑岚,2015:《制度质量如何影响中国攀升全球价值链》,《国际贸易问题》第12期。
3.韩民春、张丽娜,2014:《制造业外商直接投资撤离对中国制造业的影响》,《人口与经济》第5期。
4.韩永辉、罗晓斐、邹建华,2015:《中国与西亚地区贸易合作的竞争性和互补性研究---以“一带一路”战略为背景》,《世界经济研究》第3期。
5.黄永春、郑江淮、张二震,2014:《依托于NVC的新兴产业开放互补式技术突破路径---来自昆山新兴产业与传统产业的比较分析》,《科学学研究》第4期。
6.黎伟,2015:《GVC/NVC双重嵌入中传统制造企业动态能力提升路径研究---以毛织企业为例》,《现代管理科学》第4期。
7.李宏、刘珅,2016:《FDI影响中间品贸易机制的理论与实证分析》,《南开经济研究》第2期。
8.刘林青、周潞,2011:《比较优势、FDI与中国农产品产业国际竞争力---基于全球价值链背景下的思考》,《国际贸易问题》第12期。
9.刘志彪、张杰,2007:《全球代工体系下发展中国家俘获型网络的形成、突破与对策---基于GVC与NVC的比较视角》,《中国工业经济》第5期。
10.刘志彪、张杰,2009:《我国本土企业制造业出口决定因素的实证分析》,《经济研究》第8期。
11.沈能,2016:《参与全球生产网络能提高中国企业价值链地位吗:“网络馅饼”抑或“网络陷阱”》,《管理工程学报》第4期。
12.盛斌、张运婷,2015:《全球价值链视角下的中国国际竞争力:基于任务与产品实际有效汇率的研究》,《世界经济研究》第2期。
13.施振荣,2005:《再造宏碁:开创成长与挑战》,中信出版社。
14.苏杭,2015:《“一带一路”战略下我国制造业海外转移问题研究》,《国际贸易》第3期。
15.苏庆义,2016:《中国国际分工地位的再评估---基于出口技术复杂度与国内增加值双重视角的分析》,《财经研究》第6期。
16.田文、张亚青、佘珉,2015:《全球价值链重构与中国出口贸易的结构调整》,《国际贸易问题》第3期。
17.王岚、李宏艳,2015:《中国制造业融入全球价值链路径研究---嵌入位置和增值能力视角》,《中国工业经济》第2期。
18.王磊、魏龙,2017:《“低端锁定”还是“挤出效应”---来自中国制造业GVCs就业、工资方面的证据》,《国际贸易问题》第8期。
18.王子先,2014:《中国需要有自己的全球价值链战略》,《国际贸易》第7期。
20.魏龙、王磊,2016:《从嵌入全球价值链到主导区域价值链---“一带一路”战略的经济可行性分析》,《国际贸易问题》第5期。
21.闫国庆,2009:《我国加工贸易战略转型及政策调整》,《经济研究》第5期。
22.张辉,2005:《全球价值链下地方产业集群升级模式研究》,《中国工业经济》第9期。
23.张辉,2015:《全球价值双环流架构下的“一带一路”战略》,《经济科学》第3期。
24.张立东、刘志彪、吴先满,2013:《江苏省区域创新能力动态评价分析:2006-2010年》,《南京工业大学学报》第2期。
25.张少军,2015:《全球价值链降低了劳动收入份额吗---来自中国行业面板数据的实证分析》,《经济学动态》第10期。
26.钟建军,2016:《进口中间品质量与中国制造业企业全要素生产率》,《中南财经政法大学学报》第3期。
27.卓越、张珉,2008:《全球价值链中的收益分配与“悲惨增长”---基于中国纺织服装业的分析》,《中国工业经济》第7期。
28.Antràs,P.,D.Chor,T.Fally,and R.Hillberry.2012.“Measuring the Upstreamness of Production and Trade Flows.”The American Economic Review 102(3):412-416.
29.Baldwin,R.2011.“Trade and Industrialization after Globalization’s 2nd Unbundling:How Building and Joining a Supply Chain Different and Why It Matters.”NBER Working Paper 17716.
30.Clemens,M.A.,and J.G.Williamson 2004.“Why Did the Tariff-Growth Correlation Change after 1950?”Journal of Economic Growth 9(1):5-46.
31.Feenstra,R.C.,Z.Li,and M.Yu.2014.“Exports and Credit Constraints under Incomplete Information:Theory and Evidence from China.”Review of Economics and Statistics 96(4):729-744.
32.Fernández.V.R.2015.“Global Value Chains in Global Political Networks Tool for Development or Neoliberal Device?”Review of Radical Political Economics 47(2):209-230.
33.Freeman,R.B.2013.“One Ring to Rule Them All?Globalization of Knowledge and Knowledge Creation.”NBER Working Paper 19301.
34.Gereffi,G.,and M.Korzeniewics.1994.Commodity Chains and Global Capitalism.Westport:Greenwood Publishing Group.
35.Giuliani,E.,and M.Bell.2005.“The Micro-Determinants of Meso-level Learning and Innovation:Evidence from a Chilean Wine Custer.”Research Policy 34(1):47-68.
36.Grossman,G.M.,and E.Rossi-Hansberg.2012.“Task Trade between Similar Countries.”Econometrica 80(2):593-629.
37.Harrigan,J.,and R.Balaban.1999.“Us Wages in General Equilibrium:The Effects of Prices,Technology,and Factor Supplies,1963-1991.”NBER Working Paper 6981.
38.Hausmann,R.,Y.Huang,and D.Rodrik.2005.“What You Export Matters.”NBER Working Paper 11905.
39.Hummels,D.,J.Ishii,and K.M.Yi.2001.“The Nature and Growth of Vertical Specialization in World Trade.”Journal of International Economics 54(1):75-96.
40.Humphrey,John,and Hubert Schmitz.2002.“How Does Insertion in Global Value Chains Affect Upgrading in Industrial Clusters?”Regional Studies 36(9):1017-1027.
41.Johnson,R.C.,and G.Noguera.2012.“Accounting for Intermediates:Production Sharing and Trade in Value Added.”Journal of International Economics 86(2):224-236.
42.Koopman,R.,Z.Wang,and Shangjin Wei.2010.“Give Credit Where Credit Is Due:Tracing Value Added in Global Production Chains.”NBER Working Paper 16426.
43.Krugman,Paul,N.Cooper Richard,and T.N.Srinivasan.1995.“Growing World Trade:Causes and Consequences.”Brooking Papers on Economic Activity 1:327-377.
44.Liu,M.2016.“BRICS Development:A Long Way to a Powerful Economic Club and New International Organization.”The Pacific Review 29(3):443-453.
45.OECD,WTO,and UNCTAD.2013.“Implications of Global Value Chains for Trade,Investment and Development and Jobs.”Prepared for the G-20 Leaders Summit,Saint Petersburg,September.
46.Rodrik,D.2006.“What’s So Special about China’s Exports?”China&World Economy 14(5):1-19.
47.Stehrer,Robert.2012.“Trade in Value Added and the Value Added in Trade.”WIOD Working Paper,No.8.
48.Techakanont,K.2008.“The Evolution of Automotive Clusters and Global Production Network in Thailand.”Faculty of Economics,Thammasat University Discussion Paper,No.6.
49.Timmer,M.P.,B.Los,R.Stehrer,and Gaaitzen J.de Vries.2013.“Fragmentation,Incomes and Jobs:An Analysis of European Competitiveness.”Economic Policy 28(76):613-661.
50.Wad,P.,and V.G.R.C.Govindaraju.2011.“Automotive Industry in Malaysia:An Assessment of Its Development.”International Journal of Automotive Technology and Management 11(2):152-171.
51.Wang,Zhi,W.Powers,and Wei Shangjin.2009.“Value Chains in East Asian Production Networks:An International Input-output Model based Analysis.”United States International Trade Commission Working Paper,No.10.
52.Wang,Zhi,W.Powers,and Wei Shangjin.2013.“Quantifying International Production Sharing at the Bilateral and Sector Levels.”NBER Working Paper 19677.
(1)Koopman,R.,Z.Wang,P.Powers,and Shangjin Wei.2010.“Give Credit Where Credit Is Due:Tracing Value Added in Global Production Chains.”NBER Working Paper 16426.
(1)封测是集成电路封装和集成电路测试的合称,是半导体产业链上的重要一环。集成电路封装是指:把硅片上的电路管脚,用导线引到外部接头处,以便与其他元器件连接。集成电路测试是指:运用各种方法,检测那些在制造过程中由于物理缺陷而引起的不符合要求的产品。
2.戴翔、郑岚,2015:《制度质量如何影响中国攀升全球价值链》,《国际贸易问题》第12期。
3.韩民春、张丽娜,2014:《制造业外商直接投资撤离对中国制造业的影响》,《人口与经济》第5期。
4.韩永辉、罗晓斐、邹建华,2015:《中国与西亚地区贸易合作的竞争性和互补性研究---以“一带一路”战略为背景》,《世界经济研究》第3期。
5.黄永春、郑江淮、张二震,2014:《依托于NVC的新兴产业开放互补式技术突破路径---来自昆山新兴产业与传统产业的比较分析》,《科学学研究》第4期。
6.黎伟,2015:《GVC/NVC双重嵌入中传统制造企业动态能力提升路径研究---以毛织企业为例》,《现代管理科学》第4期。
7.李宏、刘珅,2016:《FDI影响中间品贸易机制的理论与实证分析》,《南开经济研究》第2期。
8.刘林青、周潞,2011:《比较优势、FDI与中国农产品产业国际竞争力---基于全球价值链背景下的思考》,《国际贸易问题》第12期。
9.刘志彪、张杰,2007:《全球代工体系下发展中国家俘获型网络的形成、突破与对策---基于GVC与NVC的比较视角》,《中国工业经济》第5期。
10.刘志彪、张杰,2009:《我国本土企业制造业出口决定因素的实证分析》,《经济研究》第8期。
11.沈能,2016:《参与全球生产网络能提高中国企业价值链地位吗:“网络馅饼”抑或“网络陷阱”》,《管理工程学报》第4期。
12.盛斌、张运婷,2015:《全球价值链视角下的中国国际竞争力:基于任务与产品实际有效汇率的研究》,《世界经济研究》第2期。
13.施振荣,2005:《再造宏碁:开创成长与挑战》,中信出版社。
14.苏杭,2015:《“一带一路”战略下我国制造业海外转移问题研究》,《国际贸易》第3期。
15.苏庆义,2016:《中国国际分工地位的再评估---基于出口技术复杂度与国内增加值双重视角的分析》,《财经研究》第6期。
16.田文、张亚青、佘珉,2015:《全球价值链重构与中国出口贸易的结构调整》,《国际贸易问题》第3期。
17.王岚、李宏艳,2015:《中国制造业融入全球价值链路径研究---嵌入位置和增值能力视角》,《中国工业经济》第2期。
18.王磊、魏龙,2017:《“低端锁定”还是“挤出效应”---来自中国制造业GVCs就业、工资方面的证据》,《国际贸易问题》第8期。
18.王子先,2014:《中国需要有自己的全球价值链战略》,《国际贸易》第7期。
20.魏龙、王磊,2016:《从嵌入全球价值链到主导区域价值链---“一带一路”战略的经济可行性分析》,《国际贸易问题》第5期。
21.闫国庆,2009:《我国加工贸易战略转型及政策调整》,《经济研究》第5期。
22.张辉,2005:《全球价值链下地方产业集群升级模式研究》,《中国工业经济》第9期。
23.张辉,2015:《全球价值双环流架构下的“一带一路”战略》,《经济科学》第3期。
24.张立东、刘志彪、吴先满,2013:《江苏省区域创新能力动态评价分析:2006-2010年》,《南京工业大学学报》第2期。
25.张少军,2015:《全球价值链降低了劳动收入份额吗---来自中国行业面板数据的实证分析》,《经济学动态》第10期。
26.钟建军,2016:《进口中间品质量与中国制造业企业全要素生产率》,《中南财经政法大学学报》第3期。
27.卓越、张珉,2008:《全球价值链中的收益分配与“悲惨增长”---基于中国纺织服装业的分析》,《中国工业经济》第7期。
28.Antràs,P.,D.Chor,T.Fally,and R.Hillberry.2012.“Measuring the Upstreamness of Production and Trade Flows.”The American Economic Review 102(3):412-416.
29.Baldwin,R.2011.“Trade and Industrialization after Globalization’s 2nd Unbundling:How Building and Joining a Supply Chain Different and Why It Matters.”NBER Working Paper 17716.
30.Clemens,M.A.,and J.G.Williamson 2004.“Why Did the Tariff-Growth Correlation Change after 1950?”Journal of Economic Growth 9(1):5-46.
31.Feenstra,R.C.,Z.Li,and M.Yu.2014.“Exports and Credit Constraints under Incomplete Information:Theory and Evidence from China.”Review of Economics and Statistics 96(4):729-744.
32.Fernández.V.R.2015.“Global Value Chains in Global Political Networks Tool for Development or Neoliberal Device?”Review of Radical Political Economics 47(2):209-230.
33.Freeman,R.B.2013.“One Ring to Rule Them All?Globalization of Knowledge and Knowledge Creation.”NBER Working Paper 19301.
34.Gereffi,G.,and M.Korzeniewics.1994.Commodity Chains and Global Capitalism.Westport:Greenwood Publishing Group.
35.Giuliani,E.,and M.Bell.2005.“The Micro-Determinants of Meso-level Learning and Innovation:Evidence from a Chilean Wine Custer.”Research Policy 34(1):47-68.
36.Grossman,G.M.,and E.Rossi-Hansberg.2012.“Task Trade between Similar Countries.”Econometrica 80(2):593-629.
37.Harrigan,J.,and R.Balaban.1999.“Us Wages in General Equilibrium:The Effects of Prices,Technology,and Factor Supplies,1963-1991.”NBER Working Paper 6981.
38.Hausmann,R.,Y.Huang,and D.Rodrik.2005.“What You Export Matters.”NBER Working Paper 11905.
39.Hummels,D.,J.Ishii,and K.M.Yi.2001.“The Nature and Growth of Vertical Specialization in World Trade.”Journal of International Economics 54(1):75-96.
40.Humphrey,John,and Hubert Schmitz.2002.“How Does Insertion in Global Value Chains Affect Upgrading in Industrial Clusters?”Regional Studies 36(9):1017-1027.
41.Johnson,R.C.,and G.Noguera.2012.“Accounting for Intermediates:Production Sharing and Trade in Value Added.”Journal of International Economics 86(2):224-236.
42.Koopman,R.,Z.Wang,and Shangjin Wei.2010.“Give Credit Where Credit Is Due:Tracing Value Added in Global Production Chains.”NBER Working Paper 16426.
43.Krugman,Paul,N.Cooper Richard,and T.N.Srinivasan.1995.“Growing World Trade:Causes and Consequences.”Brooking Papers on Economic Activity 1:327-377.
44.Liu,M.2016.“BRICS Development:A Long Way to a Powerful Economic Club and New International Organization.”The Pacific Review 29(3):443-453.
45.OECD,WTO,and UNCTAD.2013.“Implications of Global Value Chains for Trade,Investment and Development and Jobs.”Prepared for the G-20 Leaders Summit,Saint Petersburg,September.
46.Rodrik,D.2006.“What’s So Special about China’s Exports?”China&World Economy 14(5):1-19.
47.Stehrer,Robert.2012.“Trade in Value Added and the Value Added in Trade.”WIOD Working Paper,No.8.
48.Techakanont,K.2008.“The Evolution of Automotive Clusters and Global Production Network in Thailand.”Faculty of Economics,Thammasat University Discussion Paper,No.6.
49.Timmer,M.P.,B.Los,R.Stehrer,and Gaaitzen J.de Vries.2013.“Fragmentation,Incomes and Jobs:An Analysis of European Competitiveness.”Economic Policy 28(76):613-661.
50.Wad,P.,and V.G.R.C.Govindaraju.2011.“Automotive Industry in Malaysia:An Assessment of Its Development.”International Journal of Automotive Technology and Management 11(2):152-171.
51.Wang,Zhi,W.Powers,and Wei Shangjin.2009.“Value Chains in East Asian Production Networks:An International Input-output Model based Analysis.”United States International Trade Commission Working Paper,No.10.
52.Wang,Zhi,W.Powers,and Wei Shangjin.2013.“Quantifying International Production Sharing at the Bilateral and Sector Levels.”NBER Working Paper 19677.
(1)Koopman,R.,Z.Wang,P.Powers,and Shangjin Wei.2010.“Give Credit Where Credit Is Due:Tracing Value Added in Global Production Chains.”NBER Working Paper 16426.
(1)封测是集成电路封装和集成电路测试的合称,是半导体产业链上的重要一环。集成电路封装是指:把硅片上的电路管脚,用导线引到外部接头处,以便与其他元器件连接。集成电路测试是指:运用各种方法,检测那些在制造过程中由于物理缺陷而引起的不符合要求的产品。