【作者】 许静；

【导师】 王伟光；

【作者基本信息】 辽宁大学 ， 产业经济学， 2011， 博士

【摘要】 因其对产业结构升级和经济发展方式转变的重要影响,高技术产业的战略性地位被越来越多的学者和政府所关注。从现实看,集群是目前高技术产业发展的重要组织形式,各地政府也争相兴建各种类型和级别的高技术产业园区或开发区。但在发展高技术产业的热潮中,地方政府大多是就高技术产业而论高技术产业,很大程度上忽视了对高技术产业赖以生存、发展的环境或基础的培育。本文认为,除去先天的自然条件之外,一个地区的产业资源、技术资源和制度资源对高技术产业的发展有着重要影响。因此,研究区域经济、技术、制度等资源禀赋对高技术产业集群演化的影响和作用机理具有重要的理论意义和实践价值。基于以上认识,本文从区域约束结构的视角,分别阐释了区域的产业结构、技术结构和制度结构对高技术产业集群演化的影响机制。主要研究内容与结论如下：建立约束结构理论框架。借助结构的思想,论文提出了“约束结构”概念,并建立了分析框架。其中,约束结构是从结构的视角出发,反映区域资源禀赋系统的组成要素类别、质量,以及各要素之间的比例关系、主次关系或相互作用的模式。它具体包括产业结构、技术结构、制度结构三个要素,即分别从产业关联性、技术适宜性和多样性、制度协调性方面对区域资源禀赋系统的结构特征进行刻画。约束结构三要素之间并不孤立,而是相互依存、相互影响、互为条件的。同时,约束结构也不是静态的,约束结构中任何一个要素的变化,都会使得其他要素甚至约束结构整体发生变迁。约束结构框架下高技术产业集群的演化。结合生命周期理论对高技术产业集群演化阶段以及演化过程中体现出的“要素的流向、企业数量的增减、网络关系的强弱、发展速度的快慢、集群绩效的好坏”等特征进行讨论。文章从企业数目变化的角度,借用两参数的传染病模型,并辅之以数值模拟,刻画了集群的演化轨迹,并解释了约束结构是如何发挥作用的。最后,提出集群演化中的三个关键问题,即集群的启动、集群的成长、集群的衰退或升级,并运用约束结构对上述问题予以一般性的解释,即约束结构对集群的触发机理,约束结构与集群的循环累积机理以及集群衰退的约束结构锁定机理。基于产业结构对高技术产业集群演化进行分析。投入产出数据分析表明,高技术产业与非高技术产业以及高技术产业内部各行业之间存在较强的投入产出关联,因此,一个地区中与高技术产业关联度较大的产业的规模,即区域的产业结构状态会影响高技术产业集群的发展。本文通过一个基于垂直联系的新经济地理学模型阐释了其中的机理,指出上下游产业间的需求—成本联系是促使产业集聚的重要力量,特别地,在两地区的贸易成本处于一个恰当的较低水平时,产业集聚的空间结构会是稳定的。从集群演化的三个问题看,区域产业结构中任何一个产业环节的规模优势,都会影响到其上下游关联产业的发展和空间布局；集群与区域产业结构之间相互促进、相互增强、循环累积,为集群持续成长提供内生动力；各种原因引起的产业链条或产业网络的断裂和瓦解,都将导致集群的衰退。基于技术结构对高技术产业集群演化进行分析。本文从纵向和横向两个维度考虑了技术或知识的结构性特征,研究了区域技术适宜性和技术多样性对产业空间分布的影响。通过分析发现,从技术结构的纵向维度而言,地区的技术并非越先进越好,也并非越成熟越好,两方面都存在一个最佳适宜度。从技术结构的横向维度看,地区包含的技术种类越多,多样化水平越高,越利于高技术产业的集聚。针对集群演化的三个问题,论文的结论是：集群启动关键是该区域拥有大量的知识和知识的创造者,通过技术成果的商业化、产业化,诞生了一批高技术企业,同时也吸引了其他地区高技术企业的流入；集群成长促进了区域技术结构的优化升级,即技术适宜性和多样性越来越强,这反过来又促进了集群的进一步发展壮大,两者之间形成了良好的循环互动；技术发展的路径依赖和技术结构的锁定,使高技术企业面临技术突变时难以适应,高技术企业的纷纷倒闭和外流,最终使集群迅速衰退。基于制度结构对高技术产业集群演化进行分析。制度结构反映了区域制度资源系统中,不同类型、不同层次、不同领域、不同时期的各种制度之间的协调性。协调的制度结构会降低高技术企业与其他企业或组织之间的交易成本,从而吸引高技术企业,促进高技术产业集群的发展。本文假设两个地区的交易成本不同,通过一个新经济地理模型并结合数值仿真,考察了交易成本对产业集群的影响,发现地区交易成本和市场规模的共同作用影响了产业的空间分布。针对集群演化的三个问题,本文表明,依靠强制性制度创新或历史制度演化累积形成的制度结构具有较低的交易成本,触发了集群的启动；集群发展提出的制度创新需求与制度结构持续的制度创新供给之间所形成的相互促进、相互适应的良性循环累积,在一段时间内为集群成长提供了持续的内生动力；但是,在循环累积过程中形成了区域制度创新的路径依赖和制度结构的锁定,最终导致集群的衰退,若能突破制度结构的锁定,则集群可以实现升级。约束结构影响高技术产业集群的实证研究。通过区位基尼系数指标从整体上考察了中国高技术产业的空间分布状态,表明从20世纪90年代中期以来,中国高技术产业整体上趋于集中。然后,利用包含10年、30个地区的面板数据对理论分析结果进行了计量经济分析,结果表明,在控制了各地区的人口规模后,关联性产业比重、技术适宜性、技术多样性、制度的协调性等与高技术产业集聚程度均有显著的正相关关系。这表明,一个地区的产业结构、技术结构、制度结构等都对高技术产业集群发展有明显的影响。更多还原

【Abstract】 With significant impact on industrial structure upgrade and the evolution of economic developing pattern, the strategic importance of high-tech industry is being more and more attracted by the researchers and the government. In reality, cluster is a major way of high-tech industrial development. Local governments are rushing to establish all sorts of high-tech industrial parks and development zones. But in this High-tech bubby, local governments have ignored the growing environment and fundamental breeding of the high-tech industry, instead of concerning on the industry itself. This paper suggests the nature resource is not the only key element of the high-tech industry development. There are also industrial element, technological element and the institutional element. Therefore, researching on the impact and mode of operation of the high-tech industry cluster evolution, regarding the endowment of resource such as regional economy, technology and institution, have great theoretical importance and practical value. Based on the above argument, this paper separately identified the mode of effect on industrial cluster development of the industrial, technological and institutional structure from the constraint structure perspective.The main content of this paper is summarized as following:The establishent of the constraint structure theoretical framework. Using the structural way of thinking, this paper created a "constraint structure" concept and established an analyzing framework. A constraint structure is from the structural perspective to indicate the types, quality and the proportion from one to another of elements of the regional endowment system. The three elements are industrial structure, technological structure and institutional structure, which draw a sketch of the regional endowment system from the angles of industrial relevance, technical resiliency and diversity, and institutional coordination. Any of he three elements of the constraint structure is not isolated but interacts with each other. Meanwhile, constraint structure is not static. Any change of any element in the constraint structure will lead the change of the other elements even the whole constraint structure.The evolution of High-tech industrial cluster under constraint structure framework. By applying the product life cycle theory. The paper discussed the stages of evolution of high-tech industrial cluster and the indicators during the evolution, which includes the element flow, change of the number of enterprises, network, speed of development and performance. The paper adapted a Two-parameter Epidemic Model with mathematic simulation to draw the trajectory of evolution and explained how the constraint structure works on it. Three key issues, the setup of cluster, the growth of cluster and the decline or upgrade of cluster, were addressed in the end of this chapter.Then we generally explained the above issues by the constraint structure, which is how the constraint structure trigger the cluster, how the constraint structure cycle and accumulate with cluster, and how the constraint structure lock down the cluster recession.Analyzing the evolution of high-tech industrial cluster by industrial structure. I/O data analysis table indicates high-tech industry has strong correlation of I/O with non high-tech industry and with the industries within the high-tech industry. So the scale of industry which has strong correlation with high-tech industry in a region, as know as the status of the industrial structure, has significant impact on the development of high-tech industry cluster. Based on the principle of vertical geographical modle of the new economy, this paper pointed out the demand-cost correlation between upstream and downstream industries is a significant force that stimulates the industrial assembling. In addition, when the trading cost is at an appropriate low level, the space structure of industrial assembling would be stable. According to the three issues of the evolution of cluster, the advantage of size in any part of process in the industry all has effect on the space structure in upstream and downstream industries. A complete I/O industrial chain or industrial network infers that high-tech industrial cluster in this region is ready to mobilize. Cluster and regional industrial structure are mutually stimulated, enhanced and accumulated, which provides endogenous dynamic for the growth of the cluster. Various reasons which cause the collapse of I/O industrial chain or industrial network would cause the decline of the cluster.The analysis on high-tech industrial cluster evolution based on technological structure. This paper analysed the effect of regional technical suitability and diversity on the industrial configuration, which considered the structural attributes of technology and knowledge from the vertical and horizontal dimensions. The analysis indicated that in terms of vertical dimension, regional technology is not the more advanced the better or the more mature the better, but has an optimal level. In terms of horizontal dimension of technological structure, the more categories there are, the higher level of diversity, and the better to the regional high-tech industrial cluster. The finding of this paper in regard to the three issues of evolution of cluster is, firstly, the major drive of a regional cluster is a significant amount of knowledge and people who create them, to create a group of high-tech enterprises by industrializing themselves in addition to absorb the high-tech enterprises from other regions. Secondly, the growth of cluster promotes optimizing and upgrading of the regional technological structure, which means the resiliency and diversity of technology is becoming stronger to promote back on the growth of cluster as well. There is a favorable interaction cycle between them. Finally, the path dependency of technological development and the technological structure lock-down make the high-tech enterprises hard to resilient when they were facing the technological mutation, so that the high-tech enterprises start to close or outbound, and the cluster would decline dramatically in the end.The analysis on the evolution of high-tech industrial cluster based on institutional structure. The institutional structure indicateds the coordination among different institutions of different types, different levels, different fields and different stages in the regional institutional resource system. Coordinating institutional structure will decrease the transaction cost between the high-tech enterprises and other enterprises or organizations in order to absorb the high-tech enterprises and promote the development of industrial cluster. This paper maked a hypothesis that the transaction cost in the two region are different, then research on the impact of transaction cost on industrial cluster by adopting a new economic geometrical modle, and found the regional transaction cost and the market size both have impact on space distribution of industry. Regarding the three issues of evolution of cluster, this paper showed that the institutional structure relied on the accumulation from mandatory institutional innovation or evolution of historical institution has low level of transaction cost, which triggers the setup of cluster. The relationship between the demand and supply of institutional innovation is mutually enhanced and resilient positive cycle of accumulation, which provides endogenous dynamic to the growth of the cluster. However, the path dependency of institutional development and the institutional structure lock-down, which were formed during the process of cycle of accumulation, eventually cause the decline of cluster. The cluster can be upgraded only if the institutional structure lock-down were broken.The empirical study of the impact of constraint structure on high-tech industrial cluster. Studying the status of the space distribution of Chinese high-tech industry as a whole by adopting Locational Gini-coefficient indicates Chinese high-tech industry is becoming more concentrating as a whole since the mid of 1990s.Moreover, adopting the econometric analysis by calculating the result of theoretical analysis of the panel data within 10 years and 30 regions, shows it is a strongly positive correlation between the factors of proportion of related industries, the technological resiliency, technology diversity, and the coordination of institution and the level of concentration of high-tech industry. It implicated industrial structure, technological structure, and institutional structure etc. in a region have significant impact on the development of the high-tech industrial clusters.更多还原