中国制造业企业沿价值链创新模式研究: 测度、 演化特征与驱动机制

A Study on Innovation Along the Value Chain of Chinese Manufacturing Industry Measurement Evolution Features and Driving Mechanisms

摘要:

产业链安全是关乎我国制造业高质量发展的关键议题, 对产业链升级中创新问题的深度探究有助于确保产业链自主可控、 安全高效。 基于 2000—2013 年 《中国工业企业数据库》 《中国专利数据库》 以及 《世界投入产出数据库》 的合并数据, 创新性地构造并测度中国制造业企业沿价值链创新的位置指标, 探究中国制造业企业沿价值链创新模式的演化特征以及内在原因。 研究发现: 第一, 总体来看, 2000—2013 年中国制造业企业沿价值链创新位置呈现 _“ √型_” 反转的特征, 即加入世界贸易组织初期, 企业主要从事价值链相对下游化的创新活动, 而自 2004 年起企业逐渐向价值链上游开展创新。 第二, 从内在结构看, 中国制造业企业创新呈现 _“ √型_” 反转的特征主要由中低技术企业的创新活动驱动, 相比之下中高技术企业仍然处于相对下游创新的位置, 但中高技术行业的创新上游化追赶势头迅猛, 二者差距正不断缩小。 第三, 从驱动机制看, 贸易自由化和外资自由化在一定程度上造成中国制造业企业的创新下游化, 而本土市场一体化和技术吸收能力的提升促进中国制造业企业的创新上游化。 同时, 本土市场一体化和技术吸收能力的提升还有助于激发贸易自由化和外资自由化促进制造业企业创新上游化的积极效应。

Abstract:

Industrial chain security is a key issue concerning the high-quality development of China_'s manufacturing industry. An in-depth exploration of innovation issues in the upgrading of industrial chains helps to ensure that the industrial chain is independent, controllable, secure, and efficient. With global value chain governance theory, and latecomer country technology catching-up theory we propose that China should follow a progressive innovation pattern in the global value chain (GVC) division system. This pattern involves _“passive integration into GVC through imitative innovation innovation or targeted breakthroughs along the value chain and proactive leadership in global innovation chains_” . China is currently in a crucial stage of innovation along the value chain. Therefore, clarifying the pattern of innovation along the value chain for Chinese manufacturing firms helps to enhance their position in the global value chain and innovation chain. So, what is the relationship between the position of manufacturing firms along the value chain and their GVC competitiveness and innovation capabilities? We believe that, first, dominant countries at the upstream of the global value chain control key technologies and export intermediate goods, enabling them to control production and trade in the global division system. Second, innovation in upstream basic sectors is more fundamental and can directly spill over to downstream sectors, and even forms patent barriers, thus creating significant economic benefits and competitive advantages. Therefore, we find that the higher the position of manufacturing firms in the value chain innovation, the greater their competitiveness and innovation capabilities. Based on the China Industrial Firm Database, China Patent Database , and World Input-Output Tables for the years 2000 to 2013, we construct the index of innovation position along the value chain for China_'s manufacturing firms, and we then use this measurement to explore the evolutionary trends and underlying drivers for China?s pattern of _“innovation along the value chain_”. We find that, first, from 2000 to 2013, the innovation position along the value chain for China _'s manufacturing firms exhibits an _“√-shaped_” pattern. After joining the World Trade Organization in 2001, firms mainly engaged in downstream innovation activities along the value chain, but since 2004, they gradually shifted towards upstream innovation. Second, regarding internal structure, the_“√-shaped_” pattern of innovation among China_'s manufacturing firms is primarily driven by the innovation activities of medium-and-low technology firms. In contrast, medium-and-high technology firms still remain relatively downstream in terms of innovation. However, there is a rapid catching-up trend in upstream innovation within the medium-and-high technology industries, leading to a narrowing gap between the two. Third, considering driving mechanisms, trade liberalization and foreign direct investment liberalization lead to the downstream orientation of innovation for Chinese manufacturing firms. Also, domestic market integration and improved absorptive capacity promote upstream innovation for China_'s manufacturing firms. Additionally, the improvement of domestic market integration and absorptive capacity also stimulates positive effects, facilitating the promotion of upstream innovation in the manufacturing industry through trade liberalization and foreign direct investment liberalization.