Participation in GVC, Innovation and Productivity: An Empirical Analysis of Firm-Level Data

参与全球价值链、创新和生产力：企业层面数据的实证分析

• 批准号: 2212346
• 金额: --
• 依托单位: University of Sussex
• 依托单位国家: 英国
• 项目类别: Studentship
• 财政年份: 2019
• 资助国家: 英国
• 起止时间: 2019 至 无数据
• 项目状态: 已结题
• 来源: https://gtr.ukri.org/projects?ref=studentship-2212346
• 关键词: Participation; GVC; Innovation; Productivity; Empirical

In recent decades, advances in information and communication technology and falling trade barriers have led firms to retain within their boundaries and in their domestic economies only a subset of the production stages, generating a growing process of the international fragmentation of production. This project aims to shed light on whether and how participation in global value chains (GVCs) affects firm productivity and innovation. It will do so in three respects. First, I will argue that a firm' involvement in GVCs affects positively its productivity both directly and indirectly via higher innovation and that these effects vary with a firm's position in a GVC. Second, I will maintain that the participation in GVCs increases a firm's incentives to invest in intangibles and collaborate on innovation with other enterprises or institutions. Last, I will argue that the skill endowment of a country's and a sector's workforce influences the way firms benefit from globalisation.Understanding the productivity and innovation effects of GVCs is the focus of a growing literature. A large number of studies have used data on trade in goods and foreign ownership to uncover the link between trade participation, or multinational status, and economic performance. However, participation in GVCs is much wider than simply trading goods or offshoring, and far less is known about the effects of other aspects of GVC participation on firm performance. My research work will aim at filling this gap by illustrating the effects of the international fragmentation of production and indirect participation in GVCs (via trading links with importing or exporting firms) on firm productivity and innovation. Additionally, this project will also contribute to the body of research studying patterns of upgrading in GVCs. While existing research on GVCs deduces upgrading from measures of performance, this research will examine the way in which this improvement takes place by looking at improvements in innovation capabilities and investment in knowledge capital, and it will investigate how and through which channels technology transfer and learning opportunities in a GVC become innovation capacity.This research project will be of particular relevance for policy makers in various respects. Firstly, the potential conclusion that a firm's performance and its level of international fragmentation of production or positioning in a GVC are related is highly relevant for industrial policies aiming to foster a firm's or a country's competitiveness. This potential finding implies that policies should be re-oriented to take better account of the organisation of the global economy in terms of activities and tasks instead of industries or products as benefits from GVCs may not be confined to high-tech sectors and manufacturing only. Secondly, even more important would be the potential finding that participation in GVC may affect important firm-level decisions (e.g. investment in innovation or knowledge), and these effects might be the reasons behind the differences in productivity performance between globally active and domestic firms, or among globally active firms. Innovation policies may therefore be crucial for the creation and capturing of value within GVCs, which implies that coordination between trade promotion or industrial policies and innovation policies should be essential. Thirdly, should success in GVCs require investment in knowledge-based assets that extend far beyond R&D, my analysis will also highlight the need for innovation policies to take a much broader view than just R&D for helping firms succeed in GVCs. Finally, the potential conclusion on the moderating role of a country's or a sector's skill endowment in the link between GVC participation and firm performance suggests that industrial policies and education and skill policies should be coordinated in order to amplify firms' gains from GVCs.

近几十年来，信息和通信技术的进步以及贸易壁垒的减少，导致企业在其境内和国内经济中只保留了生产阶段的一部分，从而导致生产的国际分散化进程日益加剧。本项目旨在阐明参与全球价值链是否以及如何影响企业的生产力和创新。它将在三个方面这样做。首先，我将认为，一个公司的参与全球价值链的积极影响，其生产率直接和间接通过更高的创新，这些影响不同的公司在全球价值链中的位置。第二，我认为，参与全球价值链增加了企业对无形资产投资和与其他企业或机构合作创新的激励。最后，我将论证一个国家和一个行业劳动力的技能禀赋影响企业从全球化中获益的方式。了解全球价值链的生产率和创新效应是越来越多文献的焦点。大量研究使用了货物贸易和外国所有权的数据，以揭示贸易参与或多国地位与经济绩效之间的联系。然而，参与全球价值链的范围远远超过单纯的货物贸易或离岸外包，而对于参与全球价值链的其他方面对公司业绩的影响，人们了解的却少得多。我的研究工作旨在通过说明生产的国际分割和间接参与GVC（通过与进出口企业的贸易联系）对企业生产率和创新的影响来填补这一空白。此外，该项目还将为研究全球价值链升级模式的研究作出贡献。虽然关于全球价值链的现有研究从业绩衡量标准中推断出升级，但本研究将通过研究创新能力和知识资本投资的改善来审查这种改善的方式，它将研究如何以及通过哪些渠道，技术转让和学习机会在全球价值链成为创新能力。这一研究项目将特别相关的政策制定者在各种个方面首先，一个公司的业绩与其生产的国际分散程度或在全球价值链中的定位是相关的，这一潜在结论与旨在促进一个公司或一个国家竞争力的产业政策高度相关。这一可能的发现意味着，政策应重新调整，更好地考虑到全球经济在活动和任务方面的组织，而不是在产业或产品方面的组织，因为全球价值链的好处可能不仅限于高科技部门和制造业。第二，更重要的是可能发现，参与全球价值链可能影响公司一级的重要决定（如对创新或知识的投资），而这些影响可能是在全球开展活动的公司与国内公司之间或在全球开展活动的公司之间生产率表现差异的原因。因此，创新政策对于在全球价值链中创造和获取价值至关重要，这意味着贸易促进或产业政策与创新政策之间的协调至关重要。第三，如果要在全球价值链中取得成功，就必须投资于研发以外的知识型资产，那么我的分析也将强调，为了帮助企业在全球价值链中取得成功，创新政策需要采取比研发更广泛的视角。最后，关于一国或一个部门的天赋技能在参与全球价值链与公司业绩之间的联系中的调节作用的可能结论表明，应协调产业政策和教育及技能政策，以扩大公司从全球价值链中获得的收益。