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1、附录【原文】UpgradinginGlobalValueChainsTheaimofthispaperistoexplorehowsmall-andmedium-sizedLatinAmericanenterprises(SMEs)mayparticipateinglobalmarketsinawaythatprovidesforsustainablegrowth.Thismaybedefinedasthe‘‘highroad’’tocompetitiveness,contrastingwiththe‘‘lowroad,’’typicaloffirmsfromdevelop
2、ingcountries,whichoftencompetebysqueezingwagesandprofitmarginsratherthanbyimprovingproductivity,wages,andprofits.Thekeydifferencebetweenthehighandthelowroadtocompetitivenessisoftenexplainedbythedifferentcapabilitiesoffirmsto‘‘upgrade.’Inthispaper,upgradingreferstothecapacityofafirmtoinnova
3、tetoincreasethevalueaddedofitsproductsandprocesses(Humphrey&Schmitz,2002a;Kaplinsky&Readman,2001;Porter,1990).CapitalizingononeofthemostproductiveareasoftherecentliteratureonSMEs,werestrictourfieldofresearchtosmallenterpriseslocatedinclusters.Thereisnowawealthofempiricalevidence(Humphrey,1
4、995;Nadvi&Schmitz,1999;Rabellotti,1997)showingthatsmallfirmsinclusters,bothindevelopedanddevelopingcountries,areabletoovercomesomeofthemajorconstraintstheyusuallyface:lackofspecializedskills,difficultaccesstotechnology,inputs,market,information,credit,andexternalservices.Nevertheless,theli
5、teratureonclusters,mainlyfocusedonthelocalsourcesofcompetitivenesscomingfromintraclusterverticalandhorizontalrelationshipsgenerating‘‘collectiveefficiency’’(Schmitz,1995),hasoftenneglectedtheincreasingimportanceofexternallinkages.Duetorecentchangesinproductionsystems,distributionchannels,a
6、ndfinancialmarkets,andtothespreadofinformationtechnologies,enterprisesandclustersareincreasinglyintegratedinvaluechainsthatoftenoperateacrossmanydifferentcountries.Theliteratureonglobalvaluechains(GVCs)(Gereffi,1999;Gereffi&Kaplinsky,2001)callsattentiontotheopportunitiesforlocalproducersto
7、learnfromthegloballeadersofthechainsthatmaybebuyersor1producers.Theinternalgovernanceofthevaluechainhasanimportanteffectonthescopeoflocalfirms’upgrading(Humphrey&Schmitz,2000).Indeed,extensiveevidenceonLatinAmericarevealsthatboththelocalandtheglobaldimensionsm
