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产业内垂直分工研究
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摘要
本文基于中外学者产业内垂直分工的研究成果,对国际分工方式的演变过程、产业内垂直分工的概念、特点和存在基础进行了分析研究,并基于产业组织的视角,构建了完全竞争市场下同质性产品产业内垂直分工模型,和不完全竞争市场下差异化产品产业内垂直分工模型。结合模型分析的结论,本文对产业内垂直分工下的全球产业发展、中国经济发展、中国区域经济发展进行了进一步的研究,并提出了相关的政策建议。
     本文的主要结论是:产业内垂直分工下,如果技术密集型工序的技术是可替代技术,产业内垂直分工能够实现产品和要素市场出清的均衡水平;如果技术密集型工序的技术是不可替代技术,从事劳动密集型工序国家的产品和要素市场难以实现出清,产业内垂直分工难以实现均衡。如果技术密集型工序的技术是不可替代技术,劳动密集型工序国家依靠对外技术引进,并不能提高本国的不可替代技术存量,难以实现由劳动密集型工序向技术密集型工序转换和延伸,长期内,产业发展必然受阻,整个国民经济的发展将陷入困境。而只有技术研发,才是摆脱这种困境的主要途径。所以,一国的劳动密集型工序发展到一定程度以后,必须以技术研发为中心对产业进行技术升级,只有实现了由劳动密集型工序向技术密集型工序延伸或转换,经济才能够持续、快速、健康发展。
     改革开放30年,中国出现了劳动密集型工序过度发展,技术密集型工序不足,产业内垂直分工比重大幅度上升,产业技术结构失衡的现象。要解决中国的结构失衡,实现经济的持续、快速、健康发展,必须加大技术研发的投入力度,对产业进行技术升级,由劳动密集型工序向技术密集型工序延伸或转换。
This paper analyzes the history of international division of labor,and the concept, characteristic and basis of intra-industrial vertical specialization based on China and foreign scholars research findings.At the same time,this paper also creates perfect competitive market homogenous product intra-industrial vertical specialization model and imperfect competitive market heterogeneity product intra-industrial vertical specialization model based on industry organization.Then this paper further studies global industry development, China industry development,and China regional industry development based on the model conclusion.
     The following is this paper main conclusion:Under intra-industrial vertical specialization,if the technology of skill-intensive manufacturing stage is non-substitute,the intra-industrial vertical specialization is non-equilibrium in product and factor market;if the technology of skill- intensive manufacturing stage is substitute,the intra-industrial vertical specialization is equilibrium in product and factor market.If the technology of skill-intensive manufacturing stage is non-substitute,the country of labor-intensive manufacturing stage can't improve itself non-substitute technology,in order to extend and transform from labor-intensive manufacturing stage to skill-intensive manufacturing stage through technology of introduction.In long time,the country economic and industrial development will not be successful unless technology research and development.Therefore, when a country labor-intensive manufacturing stage develop at an extent,the country need to invest in technology research and development,in order to development and extend and transform from labor-intensive manufacturing stage to skill-intensive manufacturing stage through technology of introduction.
     After China reforming and opening to the outside world,it is about 30 years.During this time,China labor-intensive manufacturing stage is superfluous and skill-intensive manufacturing stage is lacking,which is China main industrial structure problem.In order to resolve China industrial structure problem and sustainable economy growth,China needs to invest in technology research and development in order to realize industry technology update.
引文
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    22 中国人民大学政治经济学教研室,北京市财政贸易干部学校资料研究室,北京对外贸易学院对外贸易教研组等单位集体合编.马克思,恩格斯,列宁,斯大林有关财政贸易的理论[C].P497-498.科学出版社.1962年6月第一版.
    23 中国人民大学政治经济学教研室,北京市财政贸易干部学校资料研究室,北京对外贸易学院对外贸易教研组等单位集体合编.马克思,恩格斯,列宁,斯大林有关财政贸易的理论[C].P502.科学出版社.1962年6月第一版.
    24 贝蒂尔·俄林.地区间贸易和国际贸易[M].P6首都经济贸易大学出版社2001年9月第1版。
    25 Avinash.K.Dixlt,Joseph E.Stiglitz.Monopolistic Competition and Optimum Product Diversity[J].The American Economic Review.Jun.,1977.Vol.67,No.3:297-308.
    26 Avinash.K.Dixlt,Joseph E.Stiglitz.Monopolistic Competition and Optimum Product Diversity[J].P297.American Economic Review.Jun.,1977.Vol.67,No.3:297-308
    27 强永昌.产业内贸易论——国际贸易最新理论[M].P91.复旦大学出版社.2002年9月第一版.
    28 强永昌.产业内贸易论——国际贸易最新理论[M].P171-172.复旦大学出版社2002年9月第1版。
    29 胡春力.垂直分工与东南亚金融危机[J].P46.宏观经济研究.1999(1):43-48.
    30 请参考:克鲁格曼(1995),菲斯塔和汉森(1996,1997),菲斯塔(1998),,蒂尔朵夫(1998),琼斯和科兹考斯基(1997),迪克西特和格罗斯曼(1982),安特(1997),巴拉萨(1967),凡德雷(Ronald Findlay1978),耶特(1998).
    31 David Hummels,lshii Jun,Kei-Mu Yi.The Nature and Growth of Vertical Specialization in World Trade[J].P78.Journal of International Economics,2001,54:75-96.
    32 David Hummels,Rapoport,Dana.Vertical Specialization and the Changing Nature of World Trade[J],Economic Policy Review(19320426).Jun98:75-96.
    33 胡春力.垂直分工与东南亚金融危机[J].P46.宏观经济研究.1999(1):43-48.
    34 卢锋.产品内分工[J].P61.经济学(季刊).2004(10):55-82.
    35 田文.产品内贸易的定义、计量及比较分析[J].P77.财贸经济.2005(5):77-79.
    36 胡昭玲.国际垂直专业化与贸易理论的相关拓展[J].P135.经济评论.2007(2):135-139.
    37 胡春力.垂直分工与东南亚金融危机[J].P46.宏观经济研究.1999(1):43-48.
    38 田文.产品内贸易的定义、计量及比较分析[J].P77.财贸经济.2005(5):77-79.
    39 卢锋.产品内分工[J].P61-2.经济学(季刊).2004(10):55-82.
    40 田文.产品内贸易的定义、计量及比较分析[J].P77.财贸经济.2005(5):77-79.
    41 卢锋.产品内分工[J].P61-2.经济学(季刊).2004(10):55-82.
    42 参考休谟斯、君和易(2001),易(2003)的实证研究。
    43 Oliver E.Williamson.The Vertical Integration of Production:Market Failure Considerations[J].American Economic Review.May 1971.Vol.61.No.2:112-123.
    44 胡春力.垂直分工与东南亚金融危机[J].P46.宏观经济研究.1999(1):43-48.
    45 张纪.产品内国际分工的收益分配——基于笔记本电脑商品链的分析[J].P40-41.中国工业经济.2006(7):36-44.
    46 Kalyan K.Sanyal.Vertical specialization in a Ricardian model with a continuum of stage of production[J].Economica.50.February.1983:71-78.
    47 卢锋.产品内分工[J].P73.经济学(季刊).2004(10)
    48 K.Jeske,A Dynamic Model with Vertical Specialization,Credit Chains,and Incomplete Enforcement[J]Federal Reserve Bank of Atlanta Working Paper 2002-21 November 2002.
    49 80年代的两阶段和多阶段生产模型、2003年易的动态李嘉图垂直专业化模型等,都是以完全竞争和同质性产品为假设前提的。
    50 R.Dornbusch,S.Fischer,P.A.Samuelson.Comparative advantage,trade,and payments in a Ricardian model with a continuum of goods[J].The American Economic Review,Vol.67,No.5,(Dec.1977),pp.823-839.
    51 此处的劳动增长率并不是劳动的自然增长率。如果发现生产产品Y更加有利可图,其它产业的劳动会向产品Y进行转移,所以在短期内,劳动增长率也是一个变量,并不是完全固定的。
    52 也可以设定一个z_1……z_n将产品Y的生产划分成n+1个生产阶段,其原理与两阶段生产模式一样。
    53 关税和运输成本不是相对指标,是因为本节分析的产业内垂直分工是FH型的产业内垂直分工,即F国生产劳动密集型工序产品,然后出口给H国进行资本密集型工序的再加工。至于成本卖往F国是否有关税和运输成本,并不影响两国的产业内垂直分工水平。
    54 卢锋.产品内分工[J].P71.经济学(季刊).2004(10)
    55 按照马克思的思想,劳动可以分为简单劳动和复杂劳动,复杂劳动是简单劳动的加总。本国的劳动被分配到产品设计和组装,以及中间品制造两个领域,产品设计和组装的劳动相比中间品制造环节的劳动,是复杂劳动,所以,文中的、w~H和w~F都是简单劳动的价格,f_n是折算成简单劳动的劳动数量。由简单劳动转变成复杂劳动的唯一途径,就是人力资本投资。
    56 p~i=w~i/(1-1/ε)=w~i/[1-(1-α)]=w~i/α。
    57 S~H=A(p~H)~(1-t) -w~HA(p~H)~(-t)=[1-w~H α/w~H]A(w~H/α)~(1-t)=(1-α)A(w~H/α)~(1-t)。S~F=p~F A(ηp~F)~(-t)=w~FA(ηp~F)~(-t)=η~(-t)(1-α)A(w~F/α)~(1-t)
    58 最终品生产商支付给中间品供应商的报酬分为两个部分,即利润S~1/2和可变成本、w~1y,经过简单计算可得出该式子。
    59 推导过程见附录一。
    60 推导过程见附录二。
    61 推导过程见附录三。
    62 假如m~H上升,H国的市场厚度增加,H国中间品供应商的利润水平上升,更多的中间品供应商会进入H国,F国的采购就会减少;m~H下降,最终品供应商会将采购的重点放到F国,F国的中间品供应商利润水平上升,导致m~F上升。
    63 具体推导过程可以参考本章第二节中的推导过程。
    64 Kei-Mu Yi,Can Vertical Specialization Explain the Growth of world Trade?[J].P54.Journal of political Economy.2003.vol.111.no.1:52-102.
    65 Kei-Mu Yi,Can Vertical Specialization Explain the Growth of world Trade?[J].P60.Journal of political Economy.2003.vol.111.no.1:52-102.
    66 隋广军.产业演进及其微观基础研究[M].P3.经济科学出版社.2007年3月第一版.
    67 数据来源:科学技术部发展计划司科技统计报告第23期(总第414期).2007年12月8日.
    68 数据来源:科学技术部发展计划司科技统计报告第23期(总第414期).2007年12月8日.
    69 数据来源:科学技术部发展计划司科技统计报告第23期(总第414期).2007年12月8日.
    70 参见联合国欧洲经济委员会.20世纪90年代期间的欧洲经济委员会地区内的技术活动[R].2001年欧 洲经济概览,纽约2002年联合国版.
    71 卡齐米耶日·Z·波兹南斯基著,佟宪国译.全球化的负面影响——东欧国家的民族资本被剥夺[M].P55.经济管理出版社.2004年5月第1版.
    72 刘昌黎.日本对外投资的新衰退及其展望[J].P16.现代日本.2003(2):16-21.
    73 胡春力.垂直分工与东南亚金融危机[J].宏观经济研究.1999(1):43-48.
    74 卡齐米耶日·Z·波兹南斯基著,佟宪国译.全球化的负面影响——东欧国家的民族资本被剥夺[M].P33.经济管理出版社.2004年5月第1版.
    75 Karsten Jeske.A dynamic model with vertical specialization,credit chains,and incomplete enforcement[R].Federal Reserve Bank of Atlanta Working Paper 2002-21,November 2002.
    76 Gene M.Grossman,Elhanan Helpman.Outsourcing versus FDI in industry equilibrium[J].Journal of the European Economic Association,April-May,2003,1(2-3):317-327.
    77 数据来源:UNCTAD,基于FDI/TNC数据库,UNCTAD,Globstat数据库和IFS,2008年6月。
    78 W.W.罗斯托.贺立平译.从起飞进入持续增长的经济学(修订本)[M].四川人民出版社.1998年4月第1版第1次印刷.
    79 David Hummels,Ishii Jun,Kei-Mu Yi.The Nature and Growth of Vertical Specialization in World Trade [J].Journal of International Economics,2001,54:75-96.
    80 Robert C.Feenstra,GH.Hanson.Productivity Measurement and the Impact of Trade and Technology on Wages:Estimates for the U.S.,1972-1990[J].P17-19.NBER Working Paper No.6052.June 1997.
    81 Francis Ng,Alexander J.Yeats.Production Sharing in East Asia- Who Does What for Whom,and Why?[J].Policy Research Working Paper 2197.The World Bank Development Research Group Trade.October 1999:1-57.
    82 参考本文第三章。
    83 中间产品的划分也是一个非常有争议的问题。同一个产品,不同的人会采用不同的划分标准。有人会将它划入到中间产品的范畴,有人会将它划入到最终品的范畴。
    84 David Hummels,Rapoport,Dana.Vertical Specialization and the Changing Nature of World Trade[J],P81.Economic Policy Review(19320426).1998 Jun98:75-96.
    85 David Hummels,Rapoport,Dana.Vertical Specialization and the Changing Nature of World Trade[J],P81.Economic Policy Review(19320426).Jun98:75-96.
    86 R.C.Feenstra,G.H.Hanson.Productivity measurement and the impact of trade and technology on wages:estimates for the U.S.,1972-1990[J].P43.NBER Working Paper No.6052.June 1997.
    87 R.C.Feenstra,G.H.Hanson.Productivity measurement and the impact of trade and technology on wages:estimates for the U.S.,1972-1990[J].P17-19.NBER Working Paper No.6052.June 1997.
    88 J.Campa,L.S.Goldberg.The evolving external orientation of manufacturing industries:evidence from four countries[J].NBER Working Paper No.5919.February 1997.
    89 Alexander J.Yeats.Just how big is global production sharing?[J].P3 Policy Research Working Paper.The World Bank Development Research Group January 1998.1871.
    90 北京大学中国经济研究中心课题组.中国出口中的垂直专门化与中美贸易[J].P8.世界经济.2006(5):3-11.
    91 北京大学中国经济研究中心课题组.中国出口中的垂直专门化与中美贸易[J].P9.世界经济.2006(5):3-11.
    92 刘志彪,刘晓昶.垂直专业化:经济全球化中的贸易和生产模式[J].P8.经济理论与经济管理.2001(10):5-10.
    93 刘志彪,吴福象.贸易一体化与生产非一体化——基于经济全球化两个重要假说的实证研究[J].P88.中国社会科学.2006(2):80-92
    94 张小蒂,孙景蔚.基于垂直专业化分工的中国产业国际竞争力分析[J].P17.世界经济.2006(5):12-21.
    95 黄先海,韦畅.中国制造业出口垂直专业化程度的测量与分析[J].P158.管理世界.2007(4):158-159
    96 黄先海,韦畅.中国制造业出口垂直专业化程度的测量与分析[J].P159.管理世界.2007(4):158-159
    97 David Hummels,Rapoport,Dana.Vertical Specialization and the Changing Nature of World Trade[J],P84.Economic Policy Review(19320426).Jun98:75-96.图中,上面的曲线包含石油的进口,下面的曲线不包含石油的进口。
    98 David Hummels,Rapoport,Dana.Vertical Specialization and the Changing Nature of World Trade[J],P84.Economic Policy Review(19320426).Jun98:75-96.图中,上面的曲线包含石油的进口,下面的曲线不包含石油的进口。
    99 David Hummels,Rapoport,Dana.Vertical Specialization and the Changing Nature of World Trade[J],P86. Economic Policy Review(19320426).Jun98:75-96.
    100 David Hummels,Rapoport,Dana.Vertical Specialization and the Changing Nature of World Trade[J],P84.Economic Policy Review(19320426).Jun98:75-96.
    101 参考第七章中国学者的实证研究。
    102 我国初级产品进口主要是原油、成品油、煤炭、大豆等资源类产品。
    103 数据来源:中华人民共和国海关总署海关统计分析报告2009-02-11。
    104 数据来源:新中国50年统计资料汇编。
    105 数据来源:新中国50年统计资料汇编。
    106 中共十七大报告。
    107 数据来源:中华人民共和国海关总署海关统计.
    108 北京大学中国经济研究中心课题组.中国出口中的垂直专门化与中美贸易[J].P6.世界经济.2006(5):3-11.
    109 Kyoji Fukao,Young Gak Kim,Hyeog Ug Kwon.Plant Turnover and TFP Dynamics in Japanese Manufacturing.CEI Working Paper Series,No.2006-17.
    Shujiro Urata.Japan-USA EPA:Benefits and Obstacles.November 27,2007.
    110 黄勇峰,任若恩.中美两国制造业全要素生产率比较研究[J].P14.经济学(季刊)2002(10):161-180.
    杨桂元、王莉莉.我国制造业技术进步、技术效率及区域差异[J].P112.技术经济2008(1):110-115.
    陈勇、李小平.中国工业行业的技术进步与工业经济转型[J].P57.管理世界2007(6):56-63.
    111 颜鹏飞、王兵.技术效率、技术进步与生产率增长:基于DEA的实证分析[J].经济研究.2004(12):55-65.
    112 数据来源主要是中国各年的统计年鉴、《新中国50年统计资料汇编》等。出于分析的需要,本表没有将技术效率和技术进步进一步分解的指标纳入进来。
    113 东莞年鉴2008。
    114 东莞市经济贸易局、东莞市中小企业局.东莞中小企业调研报告汇编[C].P80.2008年8月。
    115 东莞年鉴2008。
    116 东莞年鉴2008。
    117 东莞年鉴2008。
    118 东莞市经济贸易局、东莞市中小企业局.东莞中小企业调研报告汇编[C].P58.2008年8月。
    119 东莞市经济贸易局、东莞市中小企业局.东莞中小企业调研报告汇编[C].P29.2008年8月。
    120 东莞市经济贸易局、东莞市中小企业局.东莞中小企业调研报告汇编[C].P70-71.2008年8月。
    121 资料来源:国家海关总署。
    122 资料来源:国家海关总署。
    123 Alexander J.Yeats.Just how big is global production sharing?[J].P4 Policy Research Working Paper.The World Bank Development Research Group January 1998.1871.

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