网络关系视角的价值链嵌入条件下资源型产业技术升级实现机制研究

Technical constraint has become an important bottleneck for the sustainable development of resource-based industries in China, the continued slump in the global bulk commodity market and the Increasingly stringent environmental regulation have plunged the resource-based industries into difficulties. To upgrading the technologies is great urgency. We suggest that value chain embedding creates conditions for the technological upgrading in resource-based industries. Combined with the characteristics of resource-based industries, this study for the first time estimates the regularity of value distribution in value chain, and the features of Chinese resource-based industries embedding into the value chain, and then examines the influence of the embedding over technological upgrading; By setting up a network relationship model, This study explores the relationship embedding effect and relationship resource effect of embedding into the value chain. The industrial statistical data and Enterprise survey data of the resource-based industries are used to test the two effects so as to show the realization mechanisms under which the value chain embedding will influence the technology upgrading. This study also discriminates the different effect of the two kinds of network relationship on technology upgrading of resource-based industries; Finally, based on the theoretical and empirical conclusions, and combined with different demands for network relationship effects of different types of technology upgrading, this study discusses how to use network relationships effects mechanisms to realize technology upgrading when embeding the value chain successfully for resource-based industry. Our study will deepen the study on micro-mechanisms in value chain theory and technology innovation fields, and can not only provides new theoretic basis for Chinese resource-based industries to upgrading toward medium and high level in global value chain, but also has important reference value in industrial upgrading for other related industries.

技术约束成为我国资源型产业持续发展的重要瓶颈，大宗商品市场低迷与环境规制日益严格，迫使我国资源型产业深陷困境，技术升级迫在眉睫。本项目认为，价值链嵌入为技术升级创造了条件，挖掘其中的深层机理值得探索。本项目结合行业特征，首次测度资源型产业价值链上价值分布规律，以及我国资源型产业对价值链的嵌入特征，检验价值链嵌入对技术升级的影响；建立网络关系模型，对价值链嵌入中的关系嵌入效应和关系资源效应进行理论探索，利用资源型行业数据和企业调查数据对两种效应进行细致检验，揭示价值链嵌入影响技术升级的实现机制，以及两类网络关系效应的差异化影响；基于理论和实证结论，结合不同类型技术升级方式对网络关系效应的差异化需求，提出如何利用网络关系效应实现技术升级、避免技术锁定的应对措施。本课题将深化价值链分工与技术创新的微观机理研究，为资源型产业向中高端升级提供新的理论依据，对其他产业的技术升级具备重要借鉴价值。

国际竞争加剧与环境规制日益严格，我国资源型产业技术升级迫在眉睫，价值链嵌入为其实现技术升级带来了机遇和挑。在此背景下，本课题引入网络关系分析方法，深入探索嵌入价值链中网络关系效应在我国资源型产业技术升级中的影响效果、表行形式与运行机理。.第一，课题首次总结了我国资源型产业价值链的特点。测度了我国资源型产业对全球价值链嵌入和技术进步情况。发现资源型产业价值链分布特点呈现N型的特征，上游开采环节和下游销售服务是对行业创造价值最重要的两个环节。我国资源型产业价值链嵌入不断强化，并且其全要素增长率提高都主要依赖于技术进步而不是技术效率。.第二，从理论与实证上识别了我国资源型产业技术升级中的网络关系效应。发现价值链嵌入对资源型产业技术升级存在倒U的非线性影响，即同时存在促进效应和抑制效应,发现了价值链嵌入主要通过关系资源、关系嵌入两大实现机制影响产业技术升级，总体上，关系资源效应大于关系嵌入效应，其中关系嵌入效应包括关系嵌入规模效应、关系嵌入程度效应和关系嵌入位置效应三种表现形式，不同网络关系效应都存在空间溢出效应。.第三，深入研究了如何利用网络关系促进技术升级。发现对我国资源型产业整体而言，能力提高型技术升级方式显得更为重要，总体上，随着资源型产业价值链从上游到下游价值链片段的分布，嵌入价值链中的网络关系效应越强化，尤其是关系资源效应和嵌入程度效应最为重要，而嵌入位置效应不是很重要。对于关系资源效应的生效条件而言，企业内部条件大于企业外部条件，企业自身的主动性与创新能力对于充分发挥网络关系效应最为重要。.课题组发表学术论文11篇，发现了资源型产业价值链特征及其技术升级中网络关系效应差异化表现与利用策略，将深化价值链分工与技术创新的微观机理研究，拓展网络关系研究，为资源型产业向中高端升级提供新的理论依据，向政府部门提交咨询报告1篇，对其他产业的技术升级具备重要借鉴价值。