经济金融企业管理外文翻译外文文献英文文献.docx

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经济金融企业管理外文翻译外文文献英文文献

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【原文】

UpgradinginGlobalValueChains

Theaimofthispaperistoexplorehowsmall-and

medium-sizedLatinAmericanenterprises（SMEs）

mayparticipateinglobalmarketsinawaythat

providesforsustainablegrowth.Thismaybe

definedasthe‘‘highroad''to

competitiveness,contrastingwiththe‘‘low

road,''typicaloffirmsfromdeveloping

countries,whichoftencompetebysqueezingwages

andprofitmarginsratherthanbyimproving

productivity,wages,andprofits.Thekey

differencebetweenthehighandthelowroadto

competitivenessisoftenexplainedbythe

differentcapabilitiesoffirmsto‘‘upgrade.'

Inthispaper,upgradingreferstothecapacity

ofafirmtoinnovatetoincreasethevalueadded

ofitsproductsandprocesses（Humphrey&Schmitz,

2002a;Kaplinsky&Readman,2001;Porter,1990）.

Capitalizingononeofthemostproductiveareas

oftherecentliteratureonSMEs,werestrictour

fieldofresearchtosmallenterpriseslocatedin

clusters.Thereisnowawealthofempiricalevidence

（Humphrey,1995;Nadvi&Schmitz,1999;Rabellotti,

1997）showingthatsmallfirmsinclusters,

bothindevelopedanddevelopingcountries,are

abletoovercomesomeofthemajorconstraintsthey

difficult

skills,specializedoflackface:

usually

accesstotechnology,inputs,market,information,

credit,andexternalservices.

Nevertheless,theliteratureonclusters,mainly

focusedonthelocalsourcesof

competitivenesscomingfromintracluster

verticalandhorizontalrelationships

generating‘‘collectiveefficiency''

（Schmitz,1995）,hasoftenneglectedthe

increasingimportanceofexternallinkages.Due

torecentchangesinproduction

systems,distributionchannels,andfinancial

markets,andtothespreadofinformation

technologies,enterprisesandclustersare

increasinglyintegratedinvaluechainsthat

oftenoperateacrossmanydifferentcountries.The

literatureonglobalvaluechains

（GVCs）（Gereffi,1999;Gereffi&Kaplinsky,2001）

callsattentiontotheopportunities

forlocalproducerstolearnfromthegloballeaders

ofthechainsthatmaybebuyersor

1

producers.Theinternalgovernanceofthevaluechainhasanimportant

effectonthescopeoflocalfirms'upgrading（Humphrey&Schmitz,2000）.

Indeed,extensiveevidenceonLatinAmericarevealsthatboththelocal

andtheglobaldimensionsmatter,andfirmsoftenparticipateinclusters

aswellasinvaluechains（Pietrobelli&Rabellotti,2004）.Bothformsof

organizationofferopportunitiestofostercompetitivenessvialearning

andupgrading.However,theyalsohaveremarkabledrawbacks,as,for

instance,upgradingmaybelimitedinsomeformsofvaluechains,and

clusterswithlittledevelopedexternaleconomiesandjointactionsmayhave

noinfluenceoncompetitiveness.

Moreover,bothstrandsofliteraturewereconceivedanddevelopedto

overcomethesectoraldimensionintheanalysisofindustrialorganization

anddynamism.Ontheonehand,studiesonclusters,focusingon

agglomerationsoffirmsspecializingindifferentstagesofthefilie′re,

movedbeyondthetraditionalunitsofanalysisofindustrialeconomics:

thefirmandthesector.Ontheotherhand,accordingtothevaluechain

literature,firmsfromdifferentsectorsmayallparticipateinthesame

valuechain（Gereffi,1994）.Nevertheless,SMEslocatedinclustersand

involvedinvaluechains,mayundertakeaprocessofupgradinginorderto

increaseandimprovetheirparticipationintheglobaleconomy,especially

astheindustrialsectorplaysaroleandaffectstheupgradingprospects

ofSMEs.

Thecontributionthispapermakesisbytakingintoaccount

allofthesedimensionstogether.Thus,withinthisgeneraltheoretical

background,thisstudyaimstoinvestigatethehypothesisthatenterprise

upgradingissimultaneouslyaffectedbyfirm-specificeffortsandactions,

andbytheenvironmentinwhichfirmsoperate.Thelatteriscruciallyshaped

bythreecharacteristics:

（i）thecollectiveefficiencyofthecluster

inwhichSMEsoperate,（ii）thepatternofgovernanceofthevaluechain

inwhichSMEsparticipate,and（iii）thepeculiarfeaturesthatcharacterize

learningandinnovationpatternsinspecificsectors.

Thestructureofthepaperisthefollowing:

inSection2,webriefly

reviewthe

conceptsofclusteringandvaluechains,andfocusontheir

overlapsand

complementarities.Section3firstdiscussesthenotionofSMEs'upgrading

andthen

2

introducesacategorizationofgroupsofsectors,basedonthenotions

underlyingthePavitttaxonomy,andappliedtothepresenteconomic

realityofLatinAmerica.Section4reportstheoriginalempiricalevidence

onalargesampleofLatinAmericanclusters,andshowsthatthesectoral

dimensionmatterstoexplainwhy