【作者】 刘广生；

【导师】 李文兴；

【作者基本信息】 北京交通大学 ， 产业经济学， 2011， 博士

【摘要】 随着经济全球化的不断深入,国际分工模式发生了重大变化,从产业间贸易深入到产业内贸易,目前正不断向产品内贸易延伸,形成了产品的全球价值链。全球价值链分工模式为我国沿海地区带来了大量资金与技术支持,促进了区域产业结构升级。但是,融入全球价值链分工也伴生出“低端嵌入”和“被俘获”的巨大风险。近年来,中国国内市场的需求规模与层次不断提升,为构建国内价值链提供了广阔的市场基础。全球价值链与国内价值链并建,是实现区域产业结构升级的最佳选择。论文试图运用产业经济学、发展经济学与区域经济学的基本理论,采用投入产出分析、比较分析以及博弈分析等方法,分析全球—国内价值链并建及其对区域产业结构升级的影响机理,建立引入价值链指标的区域主导产业选择模型,并以山东省为例,进行实证分析,具体研究实现区域产业结构升级的具体途径和策略。主要研究内容和结论如下：首先,分析了融入全球价值链对区域产业结构升级的影响,指出融入全球价值链对于发展中国家(区域)产业结构升级而言,是一把双刃剑,既有促进作用,也会带来消极影响。积极作用主要有：利于比较优势发挥、提供资金支持和技术外溢；消极影响主要有：升级遏制、纵向控制、低端嵌入和产业关联弱化。第二,分析了融入全球价值链机遇与风险并存情况下区域产业结构升级的选择策略,指出全球—国内价值链并建是区域产业结构升级的可行选择。在参与全球价值链的同时,构建国内价值链,可以充分利用国内资源和市场,实现向高附加值环节的攀升。当然,能否成功并建全球—国内价值链,还要受到市场需求、技术以及政府制度等多方面因素的制约。第三,剖析了通过全球—国内价值链并建,实现区域产业结构升级的具体途径,即首先实现单个产业的价值链向两端攀升；然后通过主导产业的价值链提升,带动整个区域产业结构的升级。第四,归纳总结了山东省产业结构演进特征,并与沿海的其他省市进行比较。研究发现山东省的产业结构正在不断向高级化方向演进,但是在产业结构继续升级的过程中,依然面临诸多问题,例如服务业发展滞后、加工贸易比重低、自主创新能力不足和与其他区域产业结构雷同等。第五,针对产业结构升级中面临的上述问题,进一步从价值链角度分析了深层次原因。论文通过分析山东省的全球和国内价值链水平特征,并与沿海的其他省市进行比较,发现山东省的全球和国内价值链水平还较低,对产业结构升级的带动作用极为有限,而且全球价值链和国内价值链之间的相互促进作用也不明显。因此,解决产业结构升级面临的种种问题,必须进一步深化国际和国内分工,提高全球和国内价值链水平,才能促使产业结构不断提升。第六,具体研究了山东省通过全球—国内价值链并建途径实现产业结构升级的重要性和对策。运用改进的主导产业模型系统分析山东省未来的主导产业选择,进而根据产业链特点和价值链水平提出了各主导产业的最佳攀升路径,最后研究了政府必须采取的政策支持。本文的主要贡献和创新在于,通过上述内容的研究,提出了全球—国内价值链并建是全球经济一体化以及我国谋求可持续发展背景下实现区域产业结构升级基本策略选择的新观点,较深入、系统地分析了基于全球—国内价值链共建的区域产业结构升级机理,提出全球和国内价值链水平计量方法并引入主导产业选择模型。论文丰富了产业结构优化理论,也为我国地方政府制定产业发展规划提供了新的思路和方法论。更多还原

【Abstract】 With the penetration of globalization, the way of international division of labor has greatly changed, from inter-industry trade to horizontal trade, and currently, the trend is continuously expanding towards intra-product trade, thus formed the product global value chain (GVC), which has brought huge capital and technologies to China’s coastland and promoted these regions’ industrial structure upgrading. However, integrating into division of GVC, inevitably, is always accompanied by risks of low-end embedment and of being captured. For the past few years, the demand scale and level of China’s domestic market have steadily increased, hence providing a broad arena to build a national value chain (NVC). Therefore, building GVC & NVC at the same time is the best choice for a region’s industrial structure upgrading.Using basic theories of industrial economics, development economics and regional economics, this dissertation applies the methods of input-and-output analysis, comparative analysis and Game Playing analysis etc to analyse the mechanism of GVC & NVC co-building and its affects over a region’s industrial structure upgrading. In this process, this dissertation establishes a leading industry selection model for a region considering value chain as an index, and empirically, takes Shandong province as an example to conduct research, focing on the ways and tactics to realize industrial structure upgrading. The main researches and conclusions of this dissertation are as follows:First, the dissertation analyses the influence over a region’s industrial structure upgrading exerted by integrating into GVC and points out that integration into GVC can be a double-edged sword as for developing countries or areas, concerning its promotion functions as well as negative effects. The former, promotion functions, include exercising the comparative advantages, providing capital support and technology spillover, but the upgrading curb, vertical manipulation and low-end embedment as well as industry association-weakening fall into the latter category, the negative effects.Second, this dissertation discusses the choice of regional industrial structure upgrading under both the challenges and risks when embedding into GVC and proposes that co-building of GVC & NVC is a feasible option for a region’s industrial structure upgrading. This paper suggests that building NVC while participating in GVC can efficiently utilize the domestic resources and market and ultimately clime to the high value-added link in the value chain. Obviously, the success of co-construction of GVC & NVC is essentially dependent upon market demands, technologies and government policies.Third, this dissertation proposes the concrete tactic of upgrading a region’s industrial structure through the co-building of GVC & NVC, which is to realize a single industry’s value chain two-end evolvement and to upgrade a whole region’s industrial structure by value chain ascension of leading industry.Forth, the dissertation summarizes and generalizes the evolution characteristics of Shandong province’s industrial structure and compares these characteristics to other coastal provinces. By doing this, the following conclusions are gotten, Shandong province’s industrial structure is constantly evolving towards the high-grade direction, but many problems are emerging in this process, like the development lags of service industry, the low proportion of processing trade, and the shortage of independent innovation as well as industrial structure similarity with other regions.Fifth, the dissertation analyses the deeper reasons concerning the above-mentioned problems in the process of industrial structure upgrading from the value chain perspective. It examines the characteristics of GVC&NVC level in Shandong, followed by a comparison with other coastal cities and provinces, arriving to a conclusion that GVC&NVC, with a minor mutual facilitation, is relatively low in level and has a limited influence on the industrial structure upgrading in Shandong. Therefore, it is cogent that the problem solving in industrial structure upgrading be met by strengthening international and domestic labor division, and promoting GVC&NVC level, which serves as the facilitator to continuous promotion of industrial structure.Sixth, the paper specifically studies the importance of making industrial structure upgrading through the co-building of GVC & NVC, with the strategy following. It points out that the co-building is now essential and urgent for Shandong; leading industries must be determined scientifically in the future, and the optimal way toward progress shall be chosen with government providing vigorous policy support.The contribution and innovation of this dissertation lie in the following aspects-proposing the new idea that under the background of global economic integration and China’s sustainable development, the co-building of GVC&NVC is a basic strategy selection for a region’s industrial structure upgrading. Also, deep and systematic analysis of the mechanism of regional industrial structure upgrading based on the theory of GVC&NVC co-building; meanwhile, modification to leading industry selection model is also presented. In addition, this dissertation takes Shandong province as instance to undertake empiritical analysis. The research of this dissertation enriches the industrial structure optimization theory, as well as provides a new idea and methodology for China’s local government to draft industry development plans.更多还原