F11SchmitzHubert2004“LocalUpgradinginGlobalChainsRecentFindings全球价值链下的本地升级 近期的研究成果”.doc

LOCAL UPGRADING IN GLOBAL CHAINS:RECENT FINDINGS全球价值链下的本地升级：近期的研究成果Abstract: The upgrading prospects of local enterprises differ according to thetype of global value chain they feed into. This is the main theme of the paper.It pulls together recent evidence and draw out the strengths and limitations ofthe global value chain approach to upgrading. The focus on chain governancedoes not imply that other factors are not important. The proposition is that theupgrading opportunities of local enterprises are often structured by therelationships in global value chains. In other words, the chain approach has aprofound effect on the order of questions asked in the debate on upgradingand it provides an analytical grip on the local-global interface.摘要：本地企业的升级状况依据其所嵌入的全球价值链的不同而不同。这是本文所探讨的主要问题。本文总结了近期的一些研究成果，指出通过嵌入GVC获得升级的有益之处与不足。我们关注价值链治理在升级中的作用不代表其他要素在升级进程中不重要。我们的看法是本地企业获得的升级机遇存在不同和其与所介入的GVC形成何种关系有关。也就是说，1. IntroductionIt is universally acknowledged that the amount of trade that regions engage inhas a fundamental effect on their economic development. There is much lessknowledge about how trade is organised and how this affects economicdevelopment. Recent global value chain analysis has made some importantadvances in this field. Its central proposition is that it matters how trade isorganised: it matters for understanding market access, the acquisition ofcapabilities and the distribution of gains.一、引言有关地区或国家贸易的规模对其经济发展有着重要影响的观点已经得到共识。但却很少有研究探讨贸易是怎样开展的以及贸易方式又是怎样影响经济发展的。近期一些有关全球价值链的分析在这一领域作出了一些重要的前进。其主要关注的是贸易是如何组织的，了解市场的进入、能力的获得和收益的分配。In the thinking on trading relationships, one can broadly distinguish betweenthree phases:- Traditionally, the relationships between producers and customers arethought to be market-based. This assumption continues to prevail (thoughnot always explicitly) in many text books concerned with internationaltrade.- In the 1970s, the importance of intra-firm trade was highlighted in researchon multinational corporations and their subsidiaries.- In the 1990s, a new form of co-ordinated trade was shown to be ofincreasing importance: lead firms from developed countries co-ordinate (orgovern) the trade with developing country firms that remain nominallyindependent.人们对贸易中各方之间关系的认识，可以分为三个时期：传统的角度看，生产者与消费者之间的关系被认为是以市场为基础的（market-based）。许多教科书谈及国际贸易时都使用这种假设。20世纪70年代，许多研究开始强调跨国公司和其子公司之间的企业内贸易（intra-firm trade）的重要性。20世纪90年代，一种新的协调贸易方式逐渐突出其重要性：发达国家的主导公司（lead firms）协调着（co-ordinate）（或管理着，govern）与发展中国家企业的贸易，后者仍保持着独立性。Over the last two decades, this latter form of trade has grown faster than theothers. It gave rise to a new line of research which investigated different formsof chain governance and their developmental impact. This paper summarisesthe findings of a recent IDS research project which was particularly concernedwith the question of how the governance of global value chains affects theupgrading opportunities of developing country producers. The detailedassessment can be found in This paper givesa short summary.在近二十年中，最后一种贸易方式发展要远快于前两种方式。这种现象推动了新的研究思路，对全球价值链管理模式的研究以及不同治理模式对经济发展的影响。本文总结了近期IDS研究计划（IDS research project）的研究成果，这一计划特别关注的问题是GVC治理模式对发展中国家的生产者的升级机遇会产生怎样的影响。详细的内容见Humphrey and Schmitz (2004)。本文只是做个简短的总结。2. The optimistic view on local upgrading in global chainsIn order to explore the connection between chain governance and upgrading itis useful to start with the view of Gereffi who has suggested that the keyfeature of the current phase of globalisation is the functional integration andco-ordination of internationally dispersed activities (Gereffi 1999: 41). Withregard to developing countries, he put forward two central propositions. First,their trade with developed countries is increasingly co-ordinated by globalbuyers. Second, developing country producers that integrate in such buyer driven chains can expect rapid upgrading from:- assembly of imported components, to- taking care of the entire production process (including the sourcing ofcomponents), to- design of their own products, to- sale of their own branded products in national and global markets.2、当地企业实现全球价值链升级的乐观观点为探讨价值链治理与升级的关系，我们有必要首先重温Gereffi（1999）的观点。他认为，目前的全球化就是“在国际上分散进行的各项活动之间的功能性整合和协调（the functional integration and co-ordination of internationally dispersed activities，Gereffi，1999：41）。对于发展中国家，他提出两个主要观点：首先，发展中国家与发达国家之间的贸易越来越多的受国际大购买商调节；第二，嵌入到购买商驱动的价值链中的发展中国家生产者可以实现连续的快速升级：从进口零部件组装发展到：从事全部生产加工过程（包括获得零部件），再发展到：从事产品的设计，再到：在国内和国际市场出售自己品牌的产品。These conclusions were informed by his research on the garment chainsconnecting US buyers with their East Asian suppliers.Our own subsequent research provided some support for these propositionsbut also showed important differences (Schmitz and Knorringa，2000). Itquestioned in particular the automatic conveyor implied in the above position.A more differentiated view seemed necessary.Gereffi在研究联接美国购买商和东亚制造商的制衣价值链时得到以上结论。我们接下来的研究（Schmitz and Knorringa，2000）也部分证实了他的观点，但我们的结论与他的结论存在着重要的差别，我们对格里夫结论推导中所暗含的发展中国家生产商所具有的“自动传导机制（automatic conveyor）”提出了质疑。有必要看看不同的观点。3. Typologies of chain governance and upgradingIn order to unpackage the connection between chain governance andupgrading we distinguish between four types of relationships in global valuechains:- Market based: enterprises deal with each other in arms length transactions.- Balanced network: enterprises co-operate and have complementarycompetences but no control over each other.- Captive network: the lead firm sets the parameters under which others inthe chain operate; the relationship is quasi-hierarchical.- Hierachy: enterprises are vertically integrated; the parent companycontrols its subsidiaries.3、价值链治理与升级的类型为了能说明价值链治理与价值链升级的联系，我们按照参与到全球价值链分工中的企业之间的关系的不同将全球价值链区分为四种类型：市场关系型（Market based）：参与价值链的企业进行着“独立交易（arms length transactions）”，即参与产品交易的买方和卖方之间不存在任何关系，可以完全根据自己的利益驱使，不受其他各方任何压力或强迫，完全独立的从事市场交易。 A transaction in which the buyers and sellers of a product act independently and have no relationship to each other. The concept of an arms length transaction is to ensure that both parties in the deal are acting in their own self interest and are not subject to any pressure or duress from the other party 平衡网络型（Balanced network）：企业之间相互协作从事互补性生产，但不存在一方控制另一方。俘获网络型（Captive network）：价值链中的主导企业设置价值链运作参数（set the parameters），其他参与者则在遵守这些规则前提下从事价值链的部分生产，这是一种准等级式的模式（quasi-hierarchical）。等级关系型（Hierarchy）：企业间形成垂直一体化生产，母公司掌控着子公司的活动。The above distinctions help us to ask whether some types of chains offer localproducers better upgrading prospects than others. However, in order toaddress this question it is necessary to distinguish also between differenttypes of upgrading. Our categories are:- Process upgrading: transforming inputs into outputs more efficiently by reorganizing the production system or introducing superior technology.- Product upgrading: moving into more sophisticated product lines (whichcan be defined in terms of increased unit values).- Functional upgrading: acquiring new functions in the chain (or abandoningexisting functions) to increase the overall skill content of activities.- Inter-sectoral upgrading: using the knowledge acquired in particular chainfunctions to move into different sectors.（moving to a new value chain (for example, Taiwanese firms moved from the manufacture of transistor radios to calculators, to TVs, to computer monitors, to laptops and now to WAP phones)以上区分为探讨升级提供了便利，我们可以很清楚的来考虑这样的问题，这四种类型的价值链中，是否有某种价值链使得参与到其中的发展中国家企业能够获得比参与到其他价值链中更好的升级机会呢？要回答这个问题，还有必要区分一下价值链升级的不同类型，我们的分类如下：-工序升级（Process upgrading）：通过引进先进的技术或对企业重新整合使得生产更加有效率，投入可以更有效率地转化为产出；-产品升级（Product upgrading）：转向生产更加成熟的产品-功能升级（Functional upgrading）：获得所处价值链内的新的功能（放弃或不放弃原有的功能），是自身从事的活动所包含的技艺整体提高。-部门间升级（Inter-sectoral upgrading）或链的升级（Chain upgrading）：利用在某特定价值链中所积累的知识和技术，转到其他更高级产品生产的价值链中（比如，台湾的企业从晶体管收音机的制造转向计算机、电视、计算机监视器、掌上电脑和手机的生产加工）。This paper concentrates on the upgrading experiences in chains which areneither market-based nor hierarchical. In other words, it concentrates on theintermediate types, which constitute a relative novelty in the global economyand have grown rapidly in importance. What follows is a selection of some ofthe main findings.本文关注的不是市场关系型价值链和等级型价值链中的升级问题，我们关注的是中间两种价值链的升级问题。平衡网络型和俘获网络型价值链是全球经济的新兴市场现象，在世界经济贸易中的地位越来越重要。下面章节就是有关这些内容的一些主要研究成果。4. Fast process and product upgrading in captive relationshipsOne of the clearest findings from recent studies is that in chains characterisedby captive relationships, developing country producers experience rapidproduct and process upgrading. When it comes to functional upgrading(moving up the value chain) the experience is different but we will deal withthis later.In a field of research which has shown enormous variability, there isagreement that working to the specifications of large global buyers provides afast track to upgrading processes and products. The evidence comes frommany sectors, including garments, footwear, furniture and electronics.4、俘获关系中的快速工序和产品升级目前研究的一个较为肯定的结论是俘获型价值链中发展中国家生产者可以快速实现产品和工序的升级。但当其欲实现功能升级时（向价值链高端攀升）则面临着困境，这个问题我们后面要解决。众多领域的研究都得到这样一个共同的结论，当发展中国家制造商按照国际大购买商指定的规格进行加工生产时，可以获得快速的工序升级和产品升级。这在许多行业的研究中都得到这样的结论，如制衣、鞋类、家具、电子设备等。In order to explain this finding one needs to understand why global buyers setand enforce the parameters under which other firms in the chain operate. Whydo they go to the trouble and expense of setting up and supervising supplychains? Why do they not simply buy the required products on the market?We suggest two reasons:- Product definition. The more the buyers pursue a strategy of productdifferentiation, for example, through design and branding, the greater theneed to provide suppliers with precise product specification and to monitorthat these specifications are met.- Risk of supplier failure. The increasing importance of non-price competitionbased on such factors such as quality, response time and reliability ofdelivery, together with increasing concerns about safety and other standards,means that buyers have become more vulnerable to shortcomings in theperformance of suppliers.为了解释这种结论，我们需要了解以下问题。为什么国际大购买商要构建这种俘获型的价值链以使加入价值链中的其他企业都按照其设定的规则来行动？为什么国际大购买商要费时费力而且还要支付一定费用来构建和监督这种俘获型的供应链条？为什么他们不通过市场直接购买他们所需要的产品？我们给出两个理由：-产品定义（Product definition）。国际大购买商对产品差异化战略的诉求越高（比如：追求设计和品牌的不同），他们就越强烈需要向供应商提供精确的产品规格并监督生产加工过程以使其能够满足这些规格的要求。-供应商失败（failure）的风险。目前的市场竞争中，基于诸如产品质量、反应时间、交货的可靠性等非价格竞争因素的重要性证逐步凸显，同时伴随着对经营安全和其他标准问题，由于供应商自身能力低下对购买商造成极大冲击。The fast upgrading of the suppliers results from the dual role of the buyers: they are extremely demanding but they also need to provide assistance so that these demands are met. Much of this assistance takes place in the context of detailed monitoring, i.e. not just exposing failures but also showing how they can be overcome. It is this combination of high challenge and support which propels the supplier forward and leads to fast improvement in processes and products.供应商之所以能够获得快速的升级，主要源自于购买商双重角色：他们对产品规格有着极端的要求，同时要向供应商提供援助以便使这些要求能够得到满足。这些援助体现在对一些细节问题的监督控制上，就是说，购买商不仅要指出供应商在生产指定规格产品时存在的不足，他还要告诉他们如何才能克服这种不足。正是这种高度的挑战性和帮助的联合，共同推动了供应商向前发展并导致其实现工序和产品的快速升级。5. Obstacles to functional upgradingThere is no agreement on whether insertion in captive global chains provides aroute to functional upgrading, i.e. moving into the design, branding andmarketing functions in the chain. There is some evidence of firms progressing todesign but very little sign of producers developing their own brand or setting uptheir own marketing channel. Most studies suggest that firms competencesremain limited to production. The obstacles for functional upgrading are of twotypes: buyer power and resource requirements.5、功能升级的障碍就嵌入俘获型的全球价值链是否为供应商提供了功能升级的机会（也就是使他们能够逐步获得价值链中设计、品牌和市场营销的能力）的问题没有一致的结论。有些例子中供应商可以进行产品的设计工作，但鲜有供应商可以建立自己所属品牌和市场销售渠道的例子。大多数的研究都认为，供应商的竞争力仍仅局限于生产加工领域。功能升级的障碍来自两个方面，购买商的阻击力量和资源的获得。The source of power in global value chains lies increasingly in non-production activities, notably in branding, marketing, product development and the coordination of inter-firm relations. The lead firms (global buyers) focus on and invest in these activities as they regard them as their core competence. It is thus not surprising that these lead firms do not share this core competence with their suppliers and in some cases try to prevent them acquiring such new competences. Where developing country firms do try to develop their own 5 brands or set up their marketing channels in US or European markets, they are rarely able to sustain these attempts because the investment requirements are enormous. 对全球价值链控制力的源泉越来越多的来自对一些非生产性活动的掌控，特别是在品牌、市场、产品改进以及公司间关系的协调等活动。主导公司（购买商）重点关注这些活动并进行大量的投资，他们视这些活动为他们的核心竞争力（core competence）。这些国际大购买商是不会和其生产供应商共同合作从事这些核心竞争力活动的，有些情况下，这些大购买商还努力阻止其供应商在这些活动上获得新的竞争力。当发展中国家的生产商试图在美国货欧盟市场树立自己的品牌或者建立自己掌控的市场销售渠道时，他们很少能够将这种活动维持下去，因为树立自己的品牌或者建立自己掌控的市场销售渠道需要进行大量的投资。6. The Limits of Learning by ExportingIn global chains, characterised by captive relationships, the fast progress in the sphere of production contrasts with the slow progress in non-production activities. Comparisons with national chains show a surprising finding: substantial functional upgrading. Studies from India and Brazil in particular, show that firms specialising in the national market are more likely to develop their own designs, brands and marketing channels. Having acquired these capabilities in the national market, they then begin to break into markets of neighbouring countries and other parts of the world. The lesson from these cases however is not entirely clear: is the key difference national versus global chain or is it captive versus balanced relationship? In national markets, captive relationships are less likely, giving local producers more space to develop their own products rather than produce to somebody elses specification. Such space for experimentation is important but the relationships in the national chains are not clear: do they entail just transaction or also interaction. Transaction is about buying and selling; interaction is about exchanging information and experiences on what to make, how to make it, and how to increase speed and flexibility. 6、出口中学习（Learning by Exporting）的局限在俘获型全球价值链中，生产领域的改进较快而非生产领域改进较慢。通过比较国内价值链建设的例子可以发现一个令人吃惊的结果：替代性的功能升级。对印度和巴西生产商的研究表明，以本国市场为依托的本国企业更有可能发展自己的设计、品牌和市场销售渠道。依赖于在国内市场取得的这些能力，这些公司便可以介入其邻国市场和世界其他国家的市场。但这些事例有些事还有待澄清：这些事究竟表示了国家价值链与全球价值链的不同？还是表示了俘获型GVC和平衡网络型GVC之间的不同呢？依赖于国内市场发展，不太可能出现俘获型关系。本国市场可以为本土企业提供更多的发展空间来改进其产品，而不仅仅是按照某些公司给的规格生产。这些空间对本土企业的发展是非常重要的。但国内价值链中的关系还是不太清楚的：7. From captive to balanced networks?In balanced networks there is a stronger mutual commitment between firms than in market-based relationships, but the relationship is more symmetrical than in captive networks. Such balanced networks, based on sharing of competences and focussed on developing new products and processes, are common in developed countries, as shown in the literature on innovation networks. Recent research in developing countries has however brought up a new type of balanced network, based on sharing competences and focussed on rapid product delivery to tight specifications and requiring only limited innovation by the suppliers. For example, the Taiwanese computer cluster or the Brazilian shoe cluster, have the entire range of required production skills; all the specialists are available locally; they can produce infinite product variety; any combination of attributes stipulated by customer can be dealt with; and where required they provide incremental R&D for adjustments. Such modular production networks (Sturgeon 2002) have their origin in captive networks. But the conditions that enable developing country suppliers to make this transition are not yet clear. 7、从俘获型价值链到平衡网络型价值链？平衡网络型价值链中的企业之间的相互承诺（commitment）要较处于市场关系型价值链中的企业更强，而企业要较俘获型价值链中的企业之间的地位对称性（symmetrical）更高。这种共同分享竞争力和关注新产品和新工艺发展的平衡型网络关系在发达国家之间很常见，在一些有关创新网络（innovation networks）的文献中常见这样的关系描述。近期对发展中国家的研究中发现了一种新的平衡网络关系。保持这种关系的企业共同分享着竞争力，企业关注的是能够快速转变产品的生产规格以准确适应产品的市场需求变化，而这一过程仅需要生产者做出有限的创新。例如，台湾地区的计算机生产集群或巴西的制鞋生产集群，集群具有生产产品的全套技术，在当地可以找到所有的专业化生产商。他们可以生产的产品种类有许多，消费者所提出的任何属性或类别的商品都可以生产出来，而在调整的过程中这些企业需要增加R&D投入。这种“模块化生产网络”（modular production networks）（Strugeon，2002）发源于俘获型网络关系，但目前发展中国家企业如何从俘获型发展到模块化生产网络的条件是什么还不是太清楚。8. Conclusion A central proposition of global value chain analysis is that what matters to economic development is not just the amount of trade but the way the trade is organised. Over the last two decades, trade co-ordinated by global buyers has 6 increased greatly in importance. In most cases, the developing country suppliers are in captive relationships with these buyers but in a few cases the relationships have become more balanced. This paper has summarised recent evidence on how these relationships affect the upgrading of local producers. 8、总结全球价值链分析中的中心论点就是与经济发展相关的不是仅仅是贸易的规模，还有贸易的方式。在过去的二十年中，由国际购买商协调下的贸易在世界贸易中的地位逐步提升。在大多实例中，发展中国家的生产供应商和这些国际购买商之间保持着俘获型的关系，但有些实例中他们之间关系变得更为平衡了。本文总结了有关不同的关系对本地企业的升级有何影响问题的研究成果。The clearest and least controversial pattern is that insertion in global chains, characterised by captive relationships, offers a fast track to product and process upgrading. Local firms adopted by global buyers can expect to progress fast. However, integration into such chains is a double-edged sword. Although it facilitates inclusion and rapid enhancement of product and process capabilities, it inhibits functional upgrading. Progressing into design, branding and marketing often conflicts with the core competence of global buyers. In some cases, however, clusters of developing country producers have become able to offer comprehensive combinations of products and related services at great speed, enabling them to have more balanced relationships with their buyers. The causal relationship between chain governance and upgrading is thus not one way. 目前得到的最清晰和争议最少的结果嵌入俘获网络型全球价值链可以推动发展中国家的企业实现快速的产品和工序升级。被国际购买商相中（adopted）的本地公司能够实现快速的生产改进，但是，嵌入由国际大购买商掌控的俘获