中文摘要：

本文提出了基于产品与功能双重嵌入结构的全球价值链嵌入水平测算框架，并从理论上论证了全球价值链嵌入程度、嵌入结构与价值来源对出口技术复杂度的影响及其两面性,进而采用二次优化算法对区分加工贸易与一般贸易的非竞争型投入产出表进行估算，得出用以反映全球价值链嵌入程度的各项国外附加值率指标。在此基础上利用2001-2010年中国27个制造部门的面板计量模型检验了国外附加值率对制造业出口技术复杂度的影响。研究表明，中国制造业通过参-9全球价值链分工所获取的国外中间投入推动了出口技术复杂度的提升，而相对于原材料、零部件等产品投入，服务投入对技术提升的贡献更大：在控制了国外附加值的直接贡献情况下。来自发达国家的国外附加值对出口制造业的R＆D活动具有抑制作用,更容易形成对链主企业的单向技术依赖和“低端锁定”,而利用其他国家国外附加值所形成的嵌入方式对出口企业自身R＆D能力的依赖程度更强,更有利于出口技术复杂度的提升。

英文摘要：

This paper constructs a measuring framework for the embeddedness of global value chain（GVC） based on the dual perspective of product and function architecture. The influence and two-side effect from the embeddedness level, structure and value sources to the export technological sophistication are demonstrated theoretically. Then a quadratic programming model is used to estimate the non-competitive input-output table with processing trade and normal trade separated, in order to calculate the foreign value added ratio （FVAR） indexes to reflect the embeddedness. We use the panel data model of 27 manufacturing sectors in 2001-2010 to testify the influence of FVAR on export sophistication. The results suggest that the foreign input of Chinese manufacturing enterprises participating in the GVC promoted the export sophistication and the contribution of service inputs is larger than the product inputs such as the materials and accessories. Controlling the direct contributions of FVAR, the FVAR from developed countries has an inhibitory effect on the R＆D activities of export manufacturing and more easily lead to a one-way technical dependence to the dominant firms and low-locked. The embededness of export enterprises by utilizing the FVAR from other countries rely more on own R＆D abilities and is more beneficial to the export sophistication.