价值链研究的一本手册(1)

AHANDBOOKFORVALUECHAINRESEARCHPreparedfortheIDRCbyRaphaelKaplinskyandMikeMorris*WearegratefultocolleaguesinbothourindividualinstitutionsandintheSpreadingtheGainsfromGlobalisationNetwork(particularlythoseparticipatingintheBellagioWorkshopinSeptember2000)fordiscussionsaroundmanyoftheissuescoveredinthisHandbookandalsotoStephanieBarrientos,JayneSmithandJustinBarnes.AnImportantHealthWarningorAGuideforUsingthisHandbookLestanyonefeeloverwhelmedbythedepthofdetailinthisHandbook,especiallywithrespecttothesectionsonmethodology,wewouldliketoemphasiseattheoutset:thisHandbookisnotmeanttobeusedorreadasacomprehensivestepbystepprocessthathastobefollowedinordertoundertakeavaluechainanalysis.Weknowofnovaluechainanalysisthathascomprehensivelycoveredalltheaspectsdealtwithinthefollowingpages,andcertainlynotinthemethodologicallysequentialHandbooksetoutbelow.Indeedtotryanddosointhisformwouldbemethodologicallyoverwhelming,andwouldcertainlyboreanyreaderofsuchananalysistotears.OurintentioninproducingaHandbookonresearchingvaluechainsistotryandcomprehensivelycoverasmanyaspectsofvaluechainanalysisaspossiblesoastoallowresearcherstodipinandutilisewhatisrelevantandwhereitisappropriate.Itisnotanattempttorestrictresearcherswithinamethodologicalstrait-jacket,butrathertofreethemtousewhatevertoolsaredeemedsuitablefromthevarietypresentedbelow.Thetextbelowattemptstocoverthebroadterrainofresearchingvaluechains,andhencespansthecontextuallyrelevant,theconceptuallyabstract,themethodologicallyparticular,andthepolicyrelevant.Part3onMethodologycanthereforebereadinanumberofways:asaformofexpandingtheconceptualissuesraisedinPart1onBasicDefinitionsandPart2onAnalyticConstructs;orasanarrayofpossibletechnicaltools,someofwhichmaybeusefullyadoptedandmethodologicallyappliedeitherpartiallyorfullydependingoncircumstances;orwholepartscanbeskippedandnotreadatall.Indeed,apartfromusingitasaresearchtool,itisnotevenourintentionthateveryoneshouldreadtheHandbookinthewayonewouldgothrougha(good)novel–sequentially,andfromcovertocover.Wethereforeurgereaderstousetheircommonsenseandtreatitasonedoesaneditedbook,orresearcherstoreaditinthesamewayonereadsamechanicsmanualforfindingoutaboutone’scar.Treatthecontentspageasanàlacartemenu,readthebitsthatareinteresting,takewhatisrelevantforwhateverresearchtaskisathand,andskimwhatisnotrelevant.Contents1INTRODUCTION...............................................................................................1PART1:BASICDEFINITIONSANDCONTEXT.................................................42WHATISAVALUECHAIN?...........................................................................42.1DEFINITIONS...................................................................................................42.1.1TheSimpleValueChain........................................................................42.1.2Theextendedvaluechain.......................................................................42.1.3Oneormanyvaluechains.....................................................................62.1.4Oneormanylabels?..............................................................................63WHYISVALUECHAINANALYSISIMPORTANT?..................................93.1THEGROWINGIMPORTANCEOFSYSTEMICCOMPETITIVENESS........................93.2ISEFFICIENTPRODUCTIONENOUGH?............................................................123.2.1Makingthebestofglobalisation..........................................................143.2.2Themarchofglobalisation..................................................................153.2.3Winnersandlosersfromglobalisation................................................163.2.4Makingthebestofglobalisation..........................................................183.2.5Makingtheworstofglobalisation.......................................................183.2.6Howdoesvaluechainresearchinformthisdebateonglobalisation?22PART2:KEYANALYTICALCONSTRUCTS....................................................244ISTHEVALUECHAINAHEURISTICDEVICEORANANALYTICALTOOL?........................................................................................................................254.1THREEKEYELEMENTSOFVALUECHAINANALYSIS......................................254.1.1Barrierstoentryandrent....................................................................254.1.2Governance..........................................................................................294.1.3Differenttypesofvaluechains............................................................325VALUECHAINS,INNOVATIONANDUPGRADING...............................37DIFFERENTTYPESOFUPGRADING.............................................................................376VALUECHAINANALYSISANDTHEDETERMINANTSOFINCOMEDISTRIBUTION........................................................................................................416.1MAPPINGDISTRIBUTIONALOUTCOMESINTHEVALUECHAIN........................416.2UNDERSTANDINGTHEDETERMINANTSOFINCOMEDISTRIBUTIONINVALUECHAINS....................................