中国制造企业的低端突破路径演化研究
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摘要
经济全球化与信息化等新技术情境的纵深嵌入,拓展并延伸了后发国家企业的低端突破方向与路径。通过对国内外相关研究的梳理发现,当前分析多从宏观层面进行理论推演,识别出"低端锁定"的影响因素或低端突破的潜在路径,并辅以部分产业或代工企业的实证检验,但对于诠释后发情境下中国企业怎样摆脱被"俘获"、"锁定"于低端环节,缺乏对微观层面突破机理的深入系统探析。本研究未局限于全球价值链(GVC)情境下代工企业的低端突破研究范畴,而是从微观层面的简单产品和复杂产品两种不同产品类型的视角切入,对深度嵌入全球价值链的汽车零部件代表企业万向集团和作为机车行业国内价值链(NVC)中链主企业的中车大连机车车辆有限公司进行了纵贯式案例分析。研究发现,以简单产品和复杂产品为起点的两类企业,虽因不同嵌入情境下价值链治理结构与产品定位差异导致二者低端突破过程各有侧重,但均在"接受定义→合作定义→主动定义"的定义延伸演化规律下,通过向垂直链条与水平链条两个方向交替进行定位跃升,从而摆脱低附加值与低端技术的锁定风险。可以说,双重维度下的复合路径选择是中国制造企业实现低端突破的关键所在。本文的研究结论从机理层面析出企业实现低端突破的路径选择与演化规律,对于复杂转型情境下产品类型各异的后发国家制造企业更具普适性与解释力。
The new context formed by economic globalization and the emergence of new technologies has not only expanded but also extended the low-end breakthrough directions and paths of enterprises in"catch-up"countries. Based on the systematic review of relevant research at home and abroad,it can be found that the current analysis mostly make theoretical deduction from the macro level in order to answer how to climb the global value chain. Several researches identified the main influence factors and the potential climbing paths of low-end breakthrough,and the others carry out empirical test on several industries or Original Entrusted Manufacture( OEM) enterprises. However,these studies failed to systematically interpret that how do Chinese enterprises in the post-development situation get rid of being"captured"or"locked"in the low-end aspects from the micro level of breakthrough mechanism. This study is not limited to the low-end breakthrough of OEM enterprises in the global value chain( GVC),but from the perspective of two different product types: simple products and complex products at the micro level. This study conducts a longitudinal case study between Wanxiang Group which is a representative enterprise in the field of auto parts deeply embedded in GVC and China Railway Rolling Stock Corporation( CRRC) Dalian Co.,Ltd. which is the main enterprise of locomotive industry's national value chain( NVC),thus comparing the similarities and differences of low-end breakthrough process between enterprises started with simple products and complex products in different context. Finally,the research found that the simple product and the complex product enterprises have diverse emphasis on the low-end breakthrough process owing to the different embedded context which is reflected in the governance structure and target orientation of the global or national value chain,but they all conform to the rule of definition extension and evolution—"accepted definition→cooperation definition→active definition",so that by alternating the position on both vertical chain and horizontal chain,the risk of being locked in the low value-added and low-end technology aspects is eliminated. Therefore,the compound path under the dual dimension is the key to the low-end breakthrough of Chinese manufacturing enterprises. The research conclusion obtains the path selection and evolution rules of low-end breakthrough from the mechanism level,which is more universal and explanatory for "catch-up"countries' manufacturing enterprises with different product types in complex transition context.
The new context formed by economic globalization and the emergence of new technologies has not only expanded but also extended the low-end breakthrough directions and paths of enterprises in"catch-up"countries. Based on the systematic review of relevant research at home and abroad,it can be found that the current analysis mostly make theoretical deduction from the macro level in order to answer how to climb the global value chain. Several researches identified the main influence factors and the potential climbing paths of low-end breakthrough,and the others carry out empirical test on several industries or Original Entrusted Manufacture( OEM) enterprises. However,these studies failed to systematically interpret that how do Chinese enterprises in the post-development situation get rid of being"captured"or"locked"in the low-end aspects from the micro level of breakthrough mechanism. This study is not limited to the low-end breakthrough of OEM enterprises in the global value chain( GVC),but from the perspective of two different product types: simple products and complex products at the micro level. This study conducts a longitudinal case study between Wanxiang Group which is a representative enterprise in the field of auto parts deeply embedded in GVC and China Railway Rolling Stock Corporation( CRRC) Dalian Co.,Ltd. which is the main enterprise of locomotive industry's national value chain( NVC),thus comparing the similarities and differences of low-end breakthrough process between enterprises started with simple products and complex products in different context. Finally,the research found that the simple product and the complex product enterprises have diverse emphasis on the low-end breakthrough process owing to the different embedded context which is reflected in the governance structure and target orientation of the global or national value chain,but they all conform to the rule of definition extension and evolution—"accepted definition→cooperation definition→active definition",so that by alternating the position on both vertical chain and horizontal chain,the risk of being locked in the low value-added and low-end technology aspects is eliminated. Therefore,the compound path under the dual dimension is the key to the low-end breakthrough of Chinese manufacturing enterprises. The research conclusion obtains the path selection and evolution rules of low-end breakthrough from the mechanism level,which is more universal and explanatory for "catch-up"countries' manufacturing enterprises with different product types in complex transition context.
引文
[1]卓越,张珉.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[J].中国工业经济,2008(7):131-140.Zhuo Yue,Zhang Min. On distribution of gains in GVC and immiserizing growth—An analysis based on China’s apparel industry[J]. China Industrial Economics,2008(7):131-140.
[2]王磊,魏龙.“低端锁定”还是“挤出效应”——来自中国制造业GVC就业、工资方面的证据[J].国际贸易问题,2017(8):62-72.Wang Lei, Wei Long.”Low-end Lock” or”Squeeze Effect”:Evidence from employment and wages in China’s manufacturing GVCs[J]. Journal of International Trade,2017(8):62-72.
[3] H Schmitz. Collective efficiency and increasing returns[J].Cambridge Journal of Economics,1999(23):19.
[4]邱斌,叶龙凤,孙少勤.参与全球生产网络对我国制造业价值链提升影响的实证研究——基于出口复杂度的分析[J].中国工业经济,2012(1):57-67.Qiu Bin,Ye Longfeng,Sun Shaoqin. An empirical study on the impact of GPNs on China’s manufacturing industries’upgrading in global value chains—An analysis from the perspective of ESI[J]. China Industrial Economics,2012(1):57-67.
[5]殷宝庆,肖文,刘洋.绿色研发投入与“中国制造”在全球价值链的攀升[J].科学学研究,2018,36(8):1395-1403.Yin Baoqing,Xiao Wen,Liu Yang. Green R&D investment and"made in China"climb in the global value chain[J].Studies in Science of Science,2018,36(8):1395-1403.
[6]郑休休,赵忠秀.生产性服务中间投入对制造业出口的影响——基于全球价值链视角[J].国际贸易问题,2018(8):52-65.Zheng Xiuxiu,Zhao Zhongxiu. Influence of productive service intermediate inputs on exports of manufacturing industries—Based on global value chain perspective[J]. Journal of International Trade,2018(8):52-65.
[7]唐宜红,张鹏杨.中国企业嵌入全球生产链的位置及变动机制研究[J].管理世界,2018,34(5):28-46.Tang Yihong,Zhang Pengyang. The study on the position of China’s firms on the global production line and the change mechanism[J]. Management World,2018,34(5):28-46.
[8] Hobday,M. East Asian latecomer firms:Learning the technology of electronics[J]. World Development,1995,23(7):1171-1193.
[9]毛蕴诗,戴勇. OEM、ODM到OBM:新兴经济的企业自主创新路径研究[J].经济管理,2006(20):10-15.Mao Yunshi,Dai Yong. From OEM,ODM to OBM:Innovation path of enterprises with burgeoning economy[J]. Economic Management,2006(20):10-15.
[10]毛蕴诗,郑奇志.基于微笑曲线的企业升级路径选择模型——理论框架的构建与案例研究[J].中山大学学报(社会科学版),2012(3):162-174.Mao Yunshi,Zheng Qizhi. Path selection model of enterprise upgrading based on smile curve—Construction of theoretical framework and case study[J]. Journal of Sun Yat-Sen University(Social Science Edition),2012(3):162-174.
[11]杨水利,易正广,李韬奋.基于再集成的“低端锁定”突破路径研究[J].中国工业经济,2014(6):122-134.Yang Shuili,Yi Zhengguang,Li Taofen. Researh on breakthrough path of"Low-end Locked"based on reintegration[J]. China Industrial Economics,2014(6):122-134.
[12] Humphrey J,Schmitz,H. How does insertion in global value chains affect upgrading in industrial clusters[J]. Regional Studies,2002,36(9):1017-1027.
[13]苏庆义.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[J].财经研究,2016,42(6):40-51.Su Qingyi. Re-evaluation of China’s position in international division from the dual perspectives of export technological sophistication and domestic value added[J]. Journal of Finance and Economics,2016,42(6):40-51.
[14]刘志彪,张杰.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[J].中国工业经济,2007(5):39-47.Liu Zhibiao,Zhang Jie. Forming,breakthrough and strategies of captive network in developing countries at global outsourcing system:Based on a comparative survey of GVC and NVC[J]. China Industrial Economy,2007(5):39-47.
[15]王子先.中国需要有自己的全球价值链战略[J].国际贸易,2014(7):4-12.Wang Zixian. China needs its own global value chain strategy.[J]. Intertrade,2014(7):4-12.
[16]王岚,李宏艳.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的视角[J].中国工业经济,2015(2):76-88.Wang Lan,Li Hongyan. Research on the GVCs integrating routes of China’s manufacturing industry—Perspectives of embedding position and value-adding capacity[J]. China Industrial Economics,2015(2):76-88.
[17]刘维林.产品架构与功能架构的双重嵌入——本土制造业突破GVC低端锁定的攀升途径[J].中国工业经济,2012(1):152-160.Liu Weilin. Dual embeddedness of product and function architecture—Climbing path for local manufacturing to break through GVC Low-locked[J]. China Industrial Economics,2012(1):152-160.
[18]宗文.全球价值网络与中国企业成长[J].中国工业经济,2011(12):46-56.Zong Wen. Global value network and the growth of Chinese enterprises[J]. China Industrial Economics,2011(12):46-56.
[19]刘志彪,张杰.从融入全球价值链到构建国家价值链——中国产业升级的战略思考[J].学术月刊,2009(9):59-68.Liu Zhibiao,Zhang Jie. From integration into GVC to construction of NVC:Strategic thinking for Chinese industrial upgrading[J]. Academic Monthly,2009(9):59-68.
[20]郝凤霞,张璘.低端锁定对全球价值链中本土产业升级的影响[J].科研管理,2016,37(S1):131-141.Hao Fengxia,Zhang Lin. The impact of low-end lock on local industrial upgrading in the global value chain[J]. Science Research Management,2016,37(S1):131-141.
[21] Eisenhardt K M. Building theories from case study research[J]. Academy of Management Review,1989,14(4):532-550.
[22] Li J,Kozhikode R K. Knowledge management and innovation strategy:The challenge for latecomers in emerging economies[J]. Asia Pacific Journal of Management,2008,25(3):429-450.
[23] Yin R K. Case study research:Design and methods[M].CA:Sage Publications,2008:157.
[24] Glaser,Barney,Anselm Strauss. The discovery of grounded theory[M]. London:Weidenfeld and Nicholson,1967.
[25] Schmitz H. Local upgrading in global chains:Recent findings[C]. The DRUID Summer Conference,2004.
[26] Frits K. Pil,Matthias. Holweg. Evolving from value chain to value grid[J]. MIT Sloan Management Review,2006,47(4):72.
[27] Yu Dianfan,Zhang Yajun. China’s industrial transformation and the’new normal’[J]. Third World Quarterly,2015,36(11)S1:2075-2097.
[2]王磊,魏龙.“低端锁定”还是“挤出效应”——来自中国制造业GVC就业、工资方面的证据[J].国际贸易问题,2017(8):62-72.Wang Lei, Wei Long.”Low-end Lock” or”Squeeze Effect”:Evidence from employment and wages in China’s manufacturing GVCs[J]. Journal of International Trade,2017(8):62-72.
[3] H Schmitz. Collective efficiency and increasing returns[J].Cambridge Journal of Economics,1999(23):19.
[4]邱斌,叶龙凤,孙少勤.参与全球生产网络对我国制造业价值链提升影响的实证研究——基于出口复杂度的分析[J].中国工业经济,2012(1):57-67.Qiu Bin,Ye Longfeng,Sun Shaoqin. An empirical study on the impact of GPNs on China’s manufacturing industries’upgrading in global value chains—An analysis from the perspective of ESI[J]. China Industrial Economics,2012(1):57-67.
[5]殷宝庆,肖文,刘洋.绿色研发投入与“中国制造”在全球价值链的攀升[J].科学学研究,2018,36(8):1395-1403.Yin Baoqing,Xiao Wen,Liu Yang. Green R&D investment and"made in China"climb in the global value chain[J].Studies in Science of Science,2018,36(8):1395-1403.
[6]郑休休,赵忠秀.生产性服务中间投入对制造业出口的影响——基于全球价值链视角[J].国际贸易问题,2018(8):52-65.Zheng Xiuxiu,Zhao Zhongxiu. Influence of productive service intermediate inputs on exports of manufacturing industries—Based on global value chain perspective[J]. Journal of International Trade,2018(8):52-65.
[7]唐宜红,张鹏杨.中国企业嵌入全球生产链的位置及变动机制研究[J].管理世界,2018,34(5):28-46.Tang Yihong,Zhang Pengyang. The study on the position of China’s firms on the global production line and the change mechanism[J]. Management World,2018,34(5):28-46.
[8] Hobday,M. East Asian latecomer firms:Learning the technology of electronics[J]. World Development,1995,23(7):1171-1193.
[9]毛蕴诗,戴勇. OEM、ODM到OBM:新兴经济的企业自主创新路径研究[J].经济管理,2006(20):10-15.Mao Yunshi,Dai Yong. From OEM,ODM to OBM:Innovation path of enterprises with burgeoning economy[J]. Economic Management,2006(20):10-15.
[10]毛蕴诗,郑奇志.基于微笑曲线的企业升级路径选择模型——理论框架的构建与案例研究[J].中山大学学报(社会科学版),2012(3):162-174.Mao Yunshi,Zheng Qizhi. Path selection model of enterprise upgrading based on smile curve—Construction of theoretical framework and case study[J]. Journal of Sun Yat-Sen University(Social Science Edition),2012(3):162-174.
[11]杨水利,易正广,李韬奋.基于再集成的“低端锁定”突破路径研究[J].中国工业经济,2014(6):122-134.Yang Shuili,Yi Zhengguang,Li Taofen. Researh on breakthrough path of"Low-end Locked"based on reintegration[J]. China Industrial Economics,2014(6):122-134.
[12] Humphrey J,Schmitz,H. How does insertion in global value chains affect upgrading in industrial clusters[J]. Regional Studies,2002,36(9):1017-1027.
[13]苏庆义.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[J].财经研究,2016,42(6):40-51.Su Qingyi. Re-evaluation of China’s position in international division from the dual perspectives of export technological sophistication and domestic value added[J]. Journal of Finance and Economics,2016,42(6):40-51.
[14]刘志彪,张杰.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[J].中国工业经济,2007(5):39-47.Liu Zhibiao,Zhang Jie. Forming,breakthrough and strategies of captive network in developing countries at global outsourcing system:Based on a comparative survey of GVC and NVC[J]. China Industrial Economy,2007(5):39-47.
[15]王子先.中国需要有自己的全球价值链战略[J].国际贸易,2014(7):4-12.Wang Zixian. China needs its own global value chain strategy.[J]. Intertrade,2014(7):4-12.
[16]王岚,李宏艳.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的视角[J].中国工业经济,2015(2):76-88.Wang Lan,Li Hongyan. Research on the GVCs integrating routes of China’s manufacturing industry—Perspectives of embedding position and value-adding capacity[J]. China Industrial Economics,2015(2):76-88.
[17]刘维林.产品架构与功能架构的双重嵌入——本土制造业突破GVC低端锁定的攀升途径[J].中国工业经济,2012(1):152-160.Liu Weilin. Dual embeddedness of product and function architecture—Climbing path for local manufacturing to break through GVC Low-locked[J]. China Industrial Economics,2012(1):152-160.
[18]宗文.全球价值网络与中国企业成长[J].中国工业经济,2011(12):46-56.Zong Wen. Global value network and the growth of Chinese enterprises[J]. China Industrial Economics,2011(12):46-56.
[19]刘志彪,张杰.从融入全球价值链到构建国家价值链——中国产业升级的战略思考[J].学术月刊,2009(9):59-68.Liu Zhibiao,Zhang Jie. From integration into GVC to construction of NVC:Strategic thinking for Chinese industrial upgrading[J]. Academic Monthly,2009(9):59-68.
[20]郝凤霞,张璘.低端锁定对全球价值链中本土产业升级的影响[J].科研管理,2016,37(S1):131-141.Hao Fengxia,Zhang Lin. The impact of low-end lock on local industrial upgrading in the global value chain[J]. Science Research Management,2016,37(S1):131-141.
[21] Eisenhardt K M. Building theories from case study research[J]. Academy of Management Review,1989,14(4):532-550.
[22] Li J,Kozhikode R K. Knowledge management and innovation strategy:The challenge for latecomers in emerging economies[J]. Asia Pacific Journal of Management,2008,25(3):429-450.
[23] Yin R K. Case study research:Design and methods[M].CA:Sage Publications,2008:157.
[24] Glaser,Barney,Anselm Strauss. The discovery of grounded theory[M]. London:Weidenfeld and Nicholson,1967.
[25] Schmitz H. Local upgrading in global chains:Recent findings[C]. The DRUID Summer Conference,2004.
[26] Frits K. Pil,Matthias. Holweg. Evolving from value chain to value grid[J]. MIT Sloan Management Review,2006,47(4):72.
[27] Yu Dianfan,Zhang Yajun. China’s industrial transformation and the’new normal’[J]. Third World Quarterly,2015,36(11)S1:2075-2097.