OFDI驱动中国装备制造业全球价值链低碳化升级：理论机制、实现路径和绩效评价

China's equipment manufacturing industry is integrated into the global value chain (GVC) deeply, however is faced with the double restriction of "low-end locking" and "high carbon emission". In the face of new competing situation of global value chain and inherent requirements of China's equipment manufacturing power strategy, making use of outward foreign direct investment (OFDI) to take full advantage of the competition and cooperation relationship in global value chain, so as to promote the low-carbon upgrading of global value chain based on seeking mutually beneficial and win-win economic and environmental results of all participants, become the realistic choice for sustainable development of China's equipment manufacturing industry. Taking low-carbon upgrading or obtaining low-carbon potential in global value chain as the goal of China's equipment manufacturing industry, this project starts from studying and judging the condition and trend of low-carbon potential of China's equipment manufacturing industry in global value chain, demonstrates that OFDI is the endogenous factor which breaks through the double restriction of "low-end locking" and "high carbon emission", and then carries out in-depth research on mechanism, path, performance and key influencing factors of OFDI driving low-carbon upgrading of China's equipment manufacturing global value chain systematically. Policy implications are put forward to enhance the driving performance accordingly. Together with further building a benefit sharing mechanism of low-carbon potential, a new mode of mutualistic equipment manufacturing global value chain is explored out with gaining dominant right through OFDI. Theoretical bases, empirical supports and decision-making references could be provided for China's equipment manufacturing industry to break through the double restriction of "low-end locking" and "high carbon emission", and turn low-carbon upgrading in global value chain into reality.

中国装备制造业深度融入全球价值链(GVC)，但面临着“低端锁定”和“高碳排放”的双重制约。面对GVC竞争的新形势和中国装备制造强国战略的内在要求，通过对外直接投资(OFDI)充分利用GVC间的竞合关系，在寻求各参与方经济效益和环境效益互利共赢的基础上驱动GVC低碳化升级，成为中国装备制造业持续发展的现实选择。本项目以中国装备制造业在GVC中的低碳化升级即获取GVC低碳位势为目标，从研判中国装备制造业GVC低碳位势及其变迁趋势入手，在论证OFDI是突破双重制约内生性因素的基础上，深入系统研究OFDI驱动装备制造业GVC低碳化升级的机制、路径、绩效及其关键影响因素，进而提出政策建议，并进一步建立低碳位势利益共享机制，探索出通过OFDI获取价值链主导权，驱动打造互惠共生装备制造业GVC的新模式，为中国装备制造业利用OFDI突破双重制约、实现GVC低碳化升级提供理论依据、实证支持和决策借鉴。

面对全球价值链（GVC）竞争新形势和中国装备制造强国战略内在要求，通过对外直接投资（OFDI）充分利用全球价值链间的竞合关系，在寻求各参与方经济利益和环境利益互利共赢的基础上驱动其低碳化升级，成为中国装备制造业持续发展的现实选择。本项目以中国装备制造业GVC低碳化升级为目标，在界定中国装备制造业GVC低碳化升级内涵并测度低碳化升级水平的基础上，剖析OFDI驱动装备制造业GVC低碳化升级的机制，评价OFDI驱动中国装备制造业GVC低碳化升级的绩效，挖掘其中的关键作用路径。研究发现：（1）中国装备制造业GVC低碳化升级水平有所提升，但仍处于较低位置，与发达国家相比存在较大差距，参与GVC分工所获得的低碳化升级利益有待进一步提升；（2）在OFDI中平衡合作方的经济利益与环境利益，是实现装备制造业GVC低碳化升级共生的关键。中国投资企业应积极承担减排责任，并主导OFDI下的合作碳减排，采取有效措施推进双方合作共赢；（3）发达国家OFDI对其装备制造业GVC低碳化升级具有显著正向影响，发展中国家OFDI具有负向影响，边际产业转移和逆向技术溢出是OFDI影响低碳化升级的主要路径。在中国装备制造业整体层面，OFDI对于GVC低碳化升级具有促进作用，并且主要通过逆向技术溢出和前向关联两条作用路径；而在高碳和低碳细分行业层面，OFDI的作用有所差异，但都通过逆向技术溢出路径促进了细分行业的低碳化升级。综合上述结论，本项目认为，应当通过OFDI驱动的创新合作策略、GVC利益分配策略和装备制造企业绿色竞争优势提升策略，同时不断提升装备制造业低碳发展水平、充分发挥OFDI对于低碳化升级的驱动作用，以及利用OFDI获取价值链主导权并探索打造互惠共生价值链新模式，以实现中国装备制造业GVC低碳化升级。本项目研究成果为中国装备制造业利用OFDI突破“低端锁定”和“高碳排放”双重制约、实现GVC低碳化升级提供了理论依据、实证支持和决策借鉴。