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1、附錄 【原文】 Upgrading in Global Value Chains The aim of this paper is to explore 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 competitiveness, contrasting with the lo

2、w road, typical of firms from developing countries, which often compete 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 competitiveness is often explained by the different capabilities of firms t

3、o upgrade. 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

4、 restrict our field 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 come some of the major

5、constraints they usually face: lack of specialized skills, difficult access to technology, inputs, market, information, credit, and external services. Nevertheless, the literature on clusters, mainly focused on the local sources of competitiveness coming from intracluster vertical and horizontal rel

6、ationships generating collective efficiency (Schmitz, 1995), has often neglected the increasing importance of external 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 inc

7、reasingly integrated in value 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 buye

8、rs or 1 producers. The internal governance of the value chain has an important effect on the scope of local firms upgrading (Humphrey& Schmitz, 2000). Indeed, extensive evidence on Latin America reveals that both the local and the global dimensions matter, and firms often participate in clusters

9、 as well as in value chains (Pietrobelli& Rabellotti, 2004). Both forms of organization offer opportunities to foster competitiveness 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 w

10、ith little developed external economies and joint actions may have no influence on competitiveness. Moreover, both strands of literature were conceived and developed to overcome the sectoral dimension in the analysis of industrial organization and dynamism. On the one hand, studies on clusters, focu

11、sing on agglomerations of firms specializing 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 v

12、alue chain (Gereffi, 1994). Nevertheless, SMEs 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 SM

13、Es. The contribution this paper makes is by taking 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 envi

14、ronment in which firms operate. The latter is 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 inn

15、ovation patterns in specific sectors. The structure 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 complementarities. Section 3 first discusses the notion of SMEs upgrading and then 2 introduces a categoriza

16、tion of groups of sectors, based on the notions underlying the Pavitt taxonomy, 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 explain why cl

17、ustering and participating in global value 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, partic

18、ularly in Italy, has stimulated new attention 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 countr

19、ies, the sectoral and geographical concentration of SMEs is rather common, and a wide range of cases has since been reported. 2 Obviously, the existence of acritical mass of specialized and agglomerated activities, in a number of cases with historically strong roots, does not necessarily imply that

20、these clusters share all the stylized facts which 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 specializati

21、on of labor, the emergence of a wide network of 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

22、 capture the positive impacts of these factors on the competitiveness of firms located in clusters, Schmitz (1995) introduced the concept of collective efficiency (CE) defined as the competitive advantage derived from local external economies and joint action. The concept of external economies 4 was

23、 first introduced by Marshall in his Principles of Economics(1920). According to Schmitz (1999a), incidental external economies (EE) are of importance in explaining the competitiveness of industrial clusters, but there is also a deliberate force at work: consciously pursued joint action 3 (JA).Such

24、joint action can be within vertical or horizontal linkages. 5 The combination of both incidental external 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

25、: Only incidental, passive external economies may not suffice without joint actions, and the latter hardly develop in the absence of external economies. Thus, our focus is on the role of intracluster vertical and horizontal relationships generating collective efficiency. However, recent changes in p

26、roduction systems, distribution channels and financial markets, accelerated by the globalization of product markets and the spread of information technologies, suggest that more attention needs to be paid to external linkages. 6 Gereffis global value chain approach (Gereffi, 1999) helps us to take i

27、nto account activities taking place outside the cluster and, in particular, to understand the strategic role of the relationships with key external actors. From an analytical point of view, the value chain perspective is useful because (Kaplinsky,2001; Wood, 2001) the focus moves from manufacturing

28、only to the other activities involved in the supply of 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 appropriat

29、ion of the returns to production. Value chain research 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 analy

30、sis. At any point in the chain, some degree of governance 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

31、non market relationships. In the latter case, following Humphrey and Schmitz (2000), we distinguish three possible types of governance:(a) network implying cooperation 4 between firms of more or less equal power which share their competencies within the chain; (b) quasi-hierarchy involving relations

32、hips between legally independent firms in which one is subordinated to the other, with a leader in the chain defining the rules to which the rest of the actors have to comply; and (c) hierarchy when a firm is owned by an external firm. Also stressed is the role played by GVC leaders, particularly by

33、 the buyers, in transferring knowledge along the chains. For 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 play

34、ed by the leaders of GVCs in fostering and supporting the 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

35、 local producers. Pietrobelli and Rabellotti (2004) present 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 quas

36、i-hierarchical chain offers very favorable conditions for 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 gove

37、rnance is not given forever and may change because(Humphrey & Schmitz, 2002b): (a) power relationships may evolve when existing producers, or their spin offs, acquire new capabilities;(b) establishing and maintaining quasi-hierarchical governance is costly for the lead firm and leads to inflexib

38、ility because of transaction specific investments; and (c) firms and cluster soften do not operate only in one chain but simultaneously in several types of chains, and they may apply competencies learned in one chain to supply other chains. In sum, both modes of organizing production, that is, the c

39、luster and the value chain, offer interesting opportunities for the upgrading and modernization of local 5 firms, and are not mutually exclusive alternatives. However, in order to assess their potential contribution to local SMEs innovation and upgrading, we need to understand their organization of

40、inter firm linkages and their internal governance. Furthermore, as we explain 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 upgrading

41、making better products, making them more efficiently, or moving in to more skilled activitieshas often been used in studies on competitiveness (Kaplinsky,2001; Porter, 1990), and is relevant here. Following this approach, upgrading is decisively related to innovation. Here we define upgrading as inn

42、ovating to increase value added. 7 Enterprises achieve this in various ways, such as, for example, 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

43、 a value chain, where four types of upgrading are singled out (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)

44、. Product upgrading is moving into more sophisticated product lines in terms of increased unit values (e.g., the apparel commodity 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

45、or marketing or abandoning existing low-value added functions to focus 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 competence acquired in a particular func

46、tion to move into a new sector. For instance, in Taiwan, competence in producing TVs was used to make monitors and then to move into the computer sector (Guerrieri & Pietrobelli,2004; Humphrey & Schmitz,2002b). In sum, upgrading within a value 6 chain implies going up on the value ladder, mo

47、ving away from activities in which competitionis of the low road type and entry barriers are low. Our focus on upgrading requires moving a step forward and away from Ricardos static concept of Comparative Advantage (CA). While CA registers ex-post gaps in relative productivity which determine intern

48、ational trade flows, success in firmlevel upgrading enables the dynamic acquisition of competitiveness in new market niches, sectors or phases of the productive chain (Lall, 2001; Pietrobelli, 1997). In sum, the logic goes from innovation, to upgrading, to the acquisition of firm-level competitivene

49、ss(i.e., competitive advantage). 8 In this paper, we argue that the concept of competitive advantage increasingly matters. In the theory of comparative advantage, what matters is relative productivity, determining different patterns of inter industry specialization. Within such a theoretical approac

50、h, with perfectly competitive markets, firms need to target only production efficiency. In fact, this is not enough, and competitive advantage is the relevant concept to analyze SMEs performance because of (i) the existence of forms of imperfect competition in domestic and international markets and

51、(ii) the presence of different degrees of (dynamic) externalities in different subsect or sand stages of the value chain. More specifically, in non perfectly competitive market rents and niches of extra-normal profits often emerge, and this explains the efforts to enter selectively specific segments

52、 rather than simply focusing on efficiency improvements, regardless of the prevailing productive specialization (as advocated by the theory of CA). Moreover, different stages in the value chain offer different scope for dynamic externalities. Thus, for example, in traditional manufacturing, the stag

53、es of design, product innovation, marketing, and distribution may all foster competitiveness increases in related activities and sectors. The advantage of functional upgrading is in reducing the fragility and vulnerability of an enterprises productive specialization. Competition from new entrantsi.e

54、., firms from developing countries with lower production costs, crowding out incumbentsis stronger in the manufacturing phases of the value chain than in other more knowledge and organization-intensive phases (e.g., product design 7 and innovation, chain management, distribution and retail, etc.).Th

55、erefore, functional upgrading may bring about more enduring and solid competitiveness. For all these reasons, the concept of production efficiency is encompassed within the broader concept of competitiveness, and the efforts to upgrade functionally and inter sectorally (and the policies to support t

56、hese processes) are justified to reap larger rents and externalities emerging in specific stages of the value chain, market niches, or sectors. An additional element that crucially affects the upgrading prospects of firms and clusters is the sectoral dimension. Insofar as we have defined upgrading a

57、s innovating to increase value added, then all the factors influencing innovation acquire a new relevance. This dimension is often overlooked in studies on clusters, perhaps due to the fact that most of these studies are not comparative but rather detailed intra industry case studies. In order to take into account such a sectoral dimension, and the effect this may have on the firms pattern of innovation