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1、-附录 【原文】 Upgrading in Global Value Chains The aim of this paper is to e*plore how small- and medium-sized Latin American enterprises ( SMEs) may participate in global markets in a way that provides for sustainable growth. This may be defined as the highroad to petitiveness, contrasting with the low

2、road, typical of firms from developing countries, which often pete by squeezing wages and profit margins rather than by improving productivity, wages, and profits. The key difference between the high and the low road to petitiveness is often e*plained by the different capabilities of firms to upgrad

3、e. In this paper, upgrading refers to the capacity of a firm to innovate to increase the value added of its products and processes (Humphrey & Schmitz, 2002a; Kaplinsky&Readman, 2001; Porter, 1990). Capitalizing on one of the most productive areas of the recent literature on SMEs, we restrict our fi

4、eld of research to small enterprises located in clusters. There is now a wealth ofempirical evidence (Humphrey, 1995; Nadvi &Schmitz, 1999; Rabellotti, 1997) showing that small firms in clusters, both in developed and developing countries, are able to over e some of the major constraints they usuall

5、y face: lack of specialized skills, difficult access to technology, inputs, market, information, credit, and e*ternal services. Nevertheless, the literature on clusters, mainly focused on the local sources of petitiveness ing from intracluster vertical and horizontal relationships generating collect

6、ive efficiency (Schmitz, 1995), has often neglected the increasing importance of e*ternal link ages. Due to recent changes in production systems, distribution channels, and financial markets, and to the spread of information technologies, enterprises and clusters are increasingly integrated in value

7、 chains that often operate across many different countries. The literature on global value chains (GVCs) (Gereffi, 1999; Gereffi& Kaplinsky, 2001) calls attention to the opportunities for local producers to learn from the global leaders of the chains that may be buyers or 1 . z.-producers. The inter

8、nal governance of the value chain has an important effect on the scope of local firms upgrading (Humphrey& Schmitz, 2000). Indeed, e*tensive evidence on Latin America reveals that both the local and the global dimensions matter, and firms often participate in clusters as well as in value chains (Pie

9、trobelli& Rabellotti, 2004). Both forms of organization offer opportunities to foster petitiveness via learning and upgrading. However, they also have remarkable drawbacks, as, for instance, upgrading may be limited in some forms of value chains, and clusters with little developed e*ternal economies

10、 and joint actions may have no influence on petitiveness. Moreover, both strands of literature were conceived and developed to overe the sectoral dimension in the analysis of industrial organization and dynamism. On the one hand, studies on clusters, focusing on agglomerations of firms specializing

11、in different stages of the filiere, moved beyond the traditional units of analysis of industrial economics: the firm and the sector. On the other hand, according to the value chain literature, firms from different sectors may all participate in the same value chain (Gereffi, 1994). Nevertheless, SME

12、s located in clusters and involved in value chains, may undertake a process of upgrading in order to increase and improve their participation in the global economy, especially as the industrial sector plays a role and affects the upgrading prospects of SMEs. The contribution this paper makes is by t

13、aking into account all of these dimensions together. Thus, within this general theoretical background, this study aims to investigate the hypothesis that enterprise upgrading is simultaneously affected by firm-specific efforts and actions, and by the environment in which firms operate. The latter is

14、 crucially shaped by three characteristics: (i) the collective efficiency of the cluster in which SMEs operate, (ii) the pattern of governance of the value chain in which SMEs participate, and (iii) the peculiar features that characterize learning and innovation patterns in specific sectors. The str

15、ucture of the paper is the following: in Section 2, we briefly review the concepts of clustering and value chains, and focus on their overlaps and plementarities. Section 3 first discusses the notion of SMEs upgrading and then 2 . z.-introduces a categorization of groups of sectors, based on the not

16、ions underlying the Pavitt ta*onomy, and applied to the present economic reality of Latin America. Section 4reports the original empirical evidence on a large sample of Latin American clusters, and shows that the sectoral dimension matters to e*plain why clustering and participating in global value

17、chains offer different opportunities for upgrading in different groups of sectors. Section5 summarizes and concludes. 2. CLUSTERS AND VALUE CHAINS During the last two decades, the successful performance of industrial districts in the developed world, particularly in Italy, has stimulated new attenti

18、on to the potential offered by this form of industrial organization for firms of developing countries. The capability of clustered firms to be economically viable and grow has attracted a great deal of interest in development studies. 1 In developing countries, the sectoral and geographical concentr

19、ation of SMEs is rather mon, and a wide range of cases has since been reported. 2 Obviously, the e*istence of acritical mass of specialized and agglomerated activities, in a number of cases with historically strong roots, does not necessarily imply that these clusters share all the stylized facts wh

20、ich identify the Marshall type of district, as firstly defined by Becattini (1987). 3 Nonetheless, clustering may be considered as a major facilitating factor for a number of subsequent developments (which may or may not occur): division and specialization of labor, the emergence of a wide network o

21、f suppliers, the appearance of agents who sell to distant national and international markets, the emergence of specialized producer services, the materialization of a pool of specialized and skilled workers, and the formation of business associations. To capture the positive impacts of these factors

22、 on the petitiveness of firms located in clusters, Schmitz (1995) introduced the concept of collective efficiency (CE) defined as the petitive advantage derived from local e*ternal economies and joint action. The concept of e*ternal economies 4 was first introduced by Marshall in his Principles of E

23、conomics(1920). According to Schmitz (1999a), incidental e*ternal economies (EE) are of importance in e*plaining the petitiveness of industrial clusters, but there is also a deliberate force at work: consciously pursued joint action 3 . z.-(JA).Such joint action can be within vertical or horizontal

24、linkages. 5 The bination of both incidental e*ternal economies and the effects of active cooperation defines the degree of collective efficiency of a cluster and, dynamically, its potential for fostering SMEs upgrading. Both dimensions are crucial: Only incidental, passive e*ternal economies may not

25、 suffice without joint actions, and the latter hardly develop in the absence of e*ternal economies. Thus, our focus is on the role of intracluster vertical and horizontal relationships generating collective efficiency. However, recent changes in production systems, distribution channels and financia

26、l markets, accelerated by the globalization of product markets and the spread of information technologies, suggest that more attention needs to be paid to e*ternal linkages. 6 Gereffis global value chain approach (Gereffi, 1999) helps us to take into account activities taking place outside the clust

27、er and, in particular, to understand the strategic role of the relationships with key e*ternal actors. From an analytical point of view, the value chain perspective is useful because (Kaplinsky,2001; Wood, 2001) the focus moves from manufacturing only to the other activities involved in the supply o

28、f goods and services, including distribution and marketing. All these activities contribute to add value. Moreover, the ability to identify the activities providing higher returns along the value chain is key to understanding the global appropriation of the returns to production. Value chain researc

29、h focuses on the nature of the relationships among the various actors involved in the chain, and on their implications for development (Humphrey & Schmitz, 2002b). To study these relationships, the concept of governance is central to the analysis. At any point in the chain, some degree of governance

30、 or coordination is required in order to take decisions not only on what should be, or how something should be, produced but sometimes also when, how much, and even at what price. Coordination may occur through arms-length market relations or non market relationships. In the latter case, following H

31、umphrey and Schmitz (2000), we distinguish three possible types of governance:(a) network implying cooperation 4 . z.-between firms of more or less equal power which share their petencies within the chain; (b) quasi-hierarchy involving relationships between legally independent firms in which one is

32、subordinated to the other, with a leader in the chain defining the rules to which the rest of the actors have to ply; and (c) hierarchy when a firm is owned by an e*ternal firm. Also stressed is the role played by GVC leaders, particularly by the buyers, in transferring knowledge along the chains. F

33、or small firms in less developed countries (LDCs), participation in value chains is a way to obtain information on the need and mode to gain access to global markets. Yet, although this information has high value for local SMEs, the role played by the leaders of GVCs in fostering and supporting the

34、SMEs upgrading process is less clear. Gereffi (1999), mainly focusing on East Asia, assumes a rather optimistic view, emphasizing the role of the leaders that almost automatically promote process, product, and functional upgrading among small local producers. Pietrobelli and Rabellotti (2004) presen

35、t a more differentiated picture for Latin America. In line with the present approach, Humphrey and Schmitz (2000) discuss the prospects of upgrading with respect to the pattern of value chain governance. They conclude that insertion in a quasi-hierarchical chain offers very favorable conditions for

36、process and product upgrading, but hinders functional upgrading. Networks offer ideal upgrading conditions, but they are the least likely to occur for developing country producers. In addition, a more dynamic approach suggests that chain governance is not given forever and may change because(Humphre

37、y & Schmitz, 2002b): (a) power relationships may evolve when e*isting producers, or their spin offs, acquire new capabilities;(b) establishing and maintaining quasi-hierarchical governance is costly for the lead firm and leads to infle*ibility because of transaction specific investments; and (c) fir

38、ms and cluster soften do not operate only in one chain but simultaneously in several types of chains, and they may apply petencies learned in one chain to supply other chains. In sum, both modes of organizing production, that is, the cluster and the value chain, offer interesting opportunities for t

39、he upgrading and modernization of local 5 . z.-firms, and are not mutually e*clusive alternatives. However, in order to assess their potential contribution to local SMEs innovation and upgrading, we need to understand their organization of inter firm linkages and their internal governance. Furthermo

40、re, as we e*plain in the following section, the nature of their dominant specialization also plays a role and affects SMEs upgrading prospects. 3. THE SECTORAL DIMENSION OFSMEs UPGRADING (a) The concept of upgrading The concept of upgradingmaking better products, making them more efficiently, or mov

41、ing in to more skilled activitieshas often been used in studies on petitiveness (Kaplinsky,2001; Porter, 1990), and is relevant here. Following this approach, upgrading is decisively related to innovation. Here we define upgrading as innovating to increase value added. 7 Enterprises achieve this in

42、various ways, such as, for e*ample, by entering higher unit value market niches or new sectors, or by undertaking new productive (or service) functions. The concept of upgrading may be effectively described for enterprises working within a value chain, where four types of upgrading are singled out (

43、Humphrey & Schmitz, 2000): Process upgrading is transforming inputs into outputs more efficiently by reorganizing the production system or introducing superior technology (e.g., footwear producers in the Sinos Valley; Schmitz, 1999b). Product upgrading is moving into more sophisticated product lines

44、 in terms of increased unit values (e.g., the apparel modity chain in Asia upgrading from discount chains to department stores; Gereffi,1999). Functional upgrading is acquiring new, superior functions in the chain, such as design or marketing or abandoning e*isting low-value added functions to focus

45、 on higher value added activities (e.g., Torreons blue jeans industry upgrading from maquila to full-package manufacturing; Bair&Gereffi, 2001). Inter sectoral upgrading is applying the petence acquired in a particular function to move into a new sector. For instance, in Taiwan, petence in producing TVs was used to make monitors and then to move into the puter sector (Guerrieri & Pietrobelli,2004; Humphrey & Schmitz,2002b). In sum, upgrading within a value 6 . z.-chain implies going up on the value ladder, moving away from activities in which petitionis of the low road type