【作者】 武健鹏；

【导师】 王森； 梁滨；

【作者基本信息】 山西财经大学 ， 政治经济学， 2012， 博士

【摘要】 资源型地区通常指因矿产等自然资源的开采而兴起和发展，并且资源产业在地区经济中占有较大份额的地区。此类地区由于经济对资源的路径依赖深，资源产业比重大，产业结构失衡，经济波动显著，面临就业、资源和环境等多重压力，发展路径的选择多遇挑战。在中国高调崛起的今天，在深入贯彻落实科学发展观、加快转变经济发展方式、积极应对全球金融危机的大背景下，如何推动资源型地区产业成功转型，事关国家能源安全和地区可持续发展，是一个亟待研究解决的重大理论和现实问题。国内外专家学者对资源型地区研究侧重于“资源诅咒”、“荷兰病”等现实问题的剖析，产业变动规律和产业援助接续，以及地区综合竞争力提升和可持续发展等多样化的研究视角。我的博士论文则基于政府作用的宏观视角，针对资源型地区路径依赖深的突出问题，希图构建政府把握经济全球化进程特别是后金融危机时期资源要素全球重新配置、产业分工重新布局的机遇，发挥知识经济时代技术、人才资源对不可再生资源的替代作用，进而推进资源型地区产业转型路径创新的新模式。本文以现代经济理论为指导，综合运用新制度经济学、区域经济学、能源经济学、产业经济学、宏微观经济学和生态经济学的理论知识，采用历史演进分析法、规范和实证研究法、定性和定量分析法，引入了路径创新、产业融合、企业融合和区域创新等新理念。本篇博士论文共分为九章，在相关文献综述的基础上，着力对资源型地区产业转型的理论基础、国际经验借鉴、路径依赖和锁定效应原因探析、政府推动产业转型路径创新的实施框架及其主攻方向等方面内容递进式展开研究。本文的主要研究内容、结论和政策建议是：1.系统阐释了资源型地区产业转型的内涵。运用马克思经济学原理、新制度经济学原理对资源型地区产业转型的制度动因、制度主体、路径依赖作了分析，提出产业转型实质上是对产业组织、产业布局和产业规制作出重新安排和选择的过程；运用熊彼特及其之后的创新理论，提出产业转型是技术和制度相互作用的创新过程；运用工业化和产业结构升级理论，强调产业转型是工业化大背景下产业结构优化升级的过程；创造性地运用新制度经济学原理对产业融合的涵义作出界定，导出产业融合是产业转型的一大趋势。在此基础上，对政府推动资源型地区产业转型的理论依据作了求证，指出产业转型的关键是政府通过制度创新形成动力机制；市场失灵问题在资源型地区同样存在，需要政府有效弥补；体制转轨尚未完成的背景下政府承担着推进制度顶层设计的重任；资源型地区所面对的特殊困难和矛盾的解决需要政府强有力推动。2.通过国际经验比较后发现,即便是发达国家和地区的资源型地区，其产业转型也是一个长期而艰难的过程，是政府推动、市场引导、企业自觉的过程。德国鲁尔区产业转型之路是政府主导下的经济主体自行调整过程；日本九州等地区产业转型过程中政府着力实施扶植政策发展接续产业；法国洛林地区以提高国际竞争力为目标高起点推动产业转型。3.资源型地区产业发展路径依赖和锁定问题突出，存在技术、结构、功能和认知上的锁定效应，锁定因素背后有其深层原因。“资源诅咒”现象并非必然现象，资源型地区的兴衰与资源开发生命周期、资源消费生命周期、经济体制、思维定势及至整个国家的工业化和现代化进程密切相关。在可持续发展的大背景下，传统经济发展方式难以为继，而转方式必须克服产业发展的锁定因素，这单靠企业或社会层面自发调整难以做到，需要政府强有力的规划和政策干预，避免资源比较优势发挥过度而落入“资源优势陷阱”。4.构造了政府推动资源型地区产业转型路径创新的实施框架，明确了政府推动产业转型的目标原则和政策取向。克服路径依赖效应，导入路径创新的新理念，提出政府推动产业转型路径创新需把握知识经济、全球化、可持续发展三个时代背景，在资源生产和消费周期的上升期主动进行，着眼于化解“资源诅咒”，坚持市场导向和技术引领，对原有路径进行扬弃，推动资源型地区的可持续发展。5.产业融合、企业融合和区域创新是政府推动资源型地区产业转型的三大主攻方向。首先，产业融合是资源型地区产业转型路径创新的必然选择。产业融合促进了传统工业化向新型工业化的重大路径转换，是新型工业化的基本途径。应通过产业融合促进产业价值链高端化、培育壮大新兴产业、促进三次产业比例的优化。其次，企业融合是产业融合转型的重要着力点。企业组织结构调整是企业转型的关键。企业素质决定企业转型的效果。资源型地区企业转型能力的提升途径有：改善资源型地区企业自身结构，提高企业管理能力，提升企业自主创新能力。再次，以典型资源型地区山西省为例，就政府如何推动产业转型进行实证研究。提出以改革创新和先行先试为动力，重点构建产业转型的宏观管理体制、现代产业组织体制、要素配置体制三大管理体制，建立产业准入门槛的动态调整机制、健全资源开发的总量和价格调控机制、完善传统产业转型的援助和倒逼机制、充实新兴产业的扶持机制、构建煤炭等资源资产化资本化证券化运营机制、创新产业承接转移和招商引资激励机制、构建重大项目的动态管理机制等七个产业推进机制。6.政府应在提升山西区域创新能力方面发挥重要作用，包括提升区域科技创新能力，大力推动金融创新，全力扩大对外开放，促进区域协调发展等。第一，山西省区域科技创新能力不强，深层原因是资源型经济的锁定效应制约了创新能力的提升，根本路径是建立学习过程和创新能力的培养机制，战略举措是构建区域创新网络。第二，以金融创新推动产业转型，大力推进现代金融体系建设，优化信贷资源配置，加快推出层次分明的信贷创新产品，借助资本市场推进产业转型，支持保险资金进入经济建设领域，充分发挥货币市场融资功能。第三，通过扩大对外开放促进产业转型，重点实施开放引进战略和园区承载战略，转变对外贸易发展方式，转变政府职能，为投资者创造透明、高效的政务环境。第四，促进区域协调发展，发挥中心城市、区域城镇群的辐射带动作用，优化区域发展空间布局；构建资源节约型环境友好型社会，深化区域合作，加快跨区域重大基础设施一体化建设。本文在以下三方面有所创新：1．系统地从政府作用角度对资源型地区产业转型进行专门研究。提出资源型地区要克服产业结构失衡、体制改革滞后、发展不可持续的困境，应当充分发挥政府制度设计、规划引导、政策推动等方面的主导作用。努力寻求熊彼特创新理论与新制度经济学路径依赖理论二者的契合点，拓展路径创新的理念，在此基础上将其应用于政府推动资源型地区产业转型的研究。2．首次将产业融合理论用于资源型地区产业转型研究。用新制度经济学原理对产业融合的内涵做了重新阐释，强调产业融合是资源型地区产业转型的基本途径，提出三条必由之路：一是资源型产业的融合转型，包括循环经济产业链融合，资源上下游产业链纵向融合，主导产业之间或主导产业与其它非关联产业的横向融合；二是产业融合中新兴产业的培育壮大：三是产业融合中三次产业的比例趋于合理。3.集中论述了政府推动资源型地区产业转型的三大主攻方向：产业融合是突破口，企业融合是原动力，区域创新是整体保障。对典型资源型省份山西区域创新能力的提升进行实证研究，既提出了地方政府推动产业转型的对策，也对中央政府分类施策有所裨益。在研究区域科技创新能力提升路径时，将构建区域创新网络作为战略举措，强调政府（管理部门）、科研院所、企业和中介服务机构形成合力，协同推升区域创新能力。通过金融支持山西晋中市产业转型的实证分析得出一个新结论：我国目前存在总体流动性过剩而局部流动性不足、货币总量投放充足而结构性供给不足的问题。这为金融支持区域的产业转型提供了政策依据。更多还原

【Abstract】 The natural resource-based region, is an area where natural resource-based industry acts as anengine for its growth and development, covering a large proportion of the local economy. However,due to the mono-centric economic structure, we have to face challenges of risky market fluctuation,unemployment after industrial abandonment, severe environmental pollution, long termtransformation for sustainable development.Therefore, in theoretical and practical terms, how astructural transformation can take place in natural resource–based region, whose long history ofmining is deeply ingrained in the hearts and minds of the inhabitants, is most crucial to protectnational non-renewable resources, keep sustainable growth, realize scientific development,especially under the circumstance of overcoming global financial crisis and domestic economicstructural unbalance.In the view of governmental functions, guided by modern economic theories, focusing on thenatural resource-based region’s growth problems, applying New Institutional Economics, RegionalEconomics, Energy Economics, Industrial Economics, Macroeconomics, Microeconomics andEcology Economics to the study, the author constructs a new model of industrial transformation innatural resource-based regions promoted by government as follows, with modern economic analysismethods and new concepts of path innovation, industrial convergence, enterprises convergence, andregional innovation. This paper consists of nine parts, covering literatures, theories, internationalexperiences, necessity of governmental function, framework of governmental intervene, key sectorsof governmental functions.Main conclusions and suggestions are as follows:1．The author has clarified the connotation of industrial transformation in natural resource-basedregions. And analyzes it in the angel of institution. Then describes institutional reason, institutionalprincipals and path dependence by the principles of Marxist Economics and New InstitutionalEconomics. The paper points out that it actually is a procedure of rearrangement of industrialorganizations, industrial layout and industrial regulations. Meanwhile, it analyzes industrialtransformation by the way of theory of innovation of Schumpeter and his followers, from which aconclusion has been made that industrial transformation itself is a process of innovation, which is acombination of technological and institutional innovation. Even more, the viewpoint is stressedthat it is an optimizing and upgrading process of industrial structure in the background ofindustrialization. And the author analyzes industrial transformation with theory of industrialconvergence and defines industrial convergence initially by principles of New InstitutionalEconomics. On the basis of above study, industrial convergence is concluded as the goal and solutionfor industrial transformation. Finally, the dissertation brings out the following points: it is essential toform dynamic mechanism backed by institutional innovation for successful realizing industrialtransformation, in which government plays a guiding role; When market fails to work inresource-based area, government has to intervene; Before the institutional transition completed,government plays a role as the ceiling level designer for institutional innovation; there are extradifficulties in resource-based regions,which are challenges for government to meet. 2.By comparison with international cases, a conclusion has been made that, in developedregions and countries, the industrial structural transformation needs a long and painful period full oftwists and turns, in the process of which, government acts as a guiding role. For example, In theprocess of Ruhr Basin industrial structural transformation, European Union and Germangovernments at different levels made concrete finance and policies to give support to thetransformation. In order to avoid and solve the problems might arise during or after thetransformation, the local government adopted proper measures and achieved comprehensive andsustainable results. In Kyushe, Japan, the local government made policies supporting development ofthe extended industries. Industrial transformation in Lorraine France was on a higher level, with thegoal of improving international competitiveness.3. Path dependence and lock-in effects are main hurdles for industrial development inresource-based regions. The locking reflects in technology, structure, function and cognition, and thereason will be explored in this paper. Meanwhile, in the author’mind, resource curse is not doomedto be inevitable. The rise and decline of resource–based region is closely connected with theresource utilization life cycle, resource consumption life cycle, economic structure, people’s thinkingset and the process of national industrialization. In the circumstance of sustainable development inits prime and traditional development model difficult to go far away, transformation can be achievedby turning off the locking effects, which needs government’s intervene like policy designing,adjustment of industrial structure, improving environment, so as to avoid shifting from thecomparative resource advantage into the resource advantage trap.4.The author has established a practical framework for industrial structural transformation innatural-resource-based regions promoted by government. Aiming at eliminating the negative–effectsresulted from path dependence in transformation in natural-resource-based areas, this paper hereinitially introduce the concept of path innovation, and stresses that for smoothly path innovation,government should pay most attention to the following three elements: realizing knowledgeeconomy, globalization and sustainable development, this three features of the era, managing tocarry out transformation in the rising period of resource production and consumption life cycle,and insisting on market-orientation and technology-guidance in the process of sublating former path.5.Industrial convergence, enterprise convergence and regional innovation are the three targetsfor industrial transformation promoted by local government in natural resource-based areas. First ofall, industrial convergence is an inevitable choice in the process of path innovation. It accelerates thetransition from traditional industry to modern industry, as the main solution to realize newsustainable industrialization. The path of industrial convergence in resource-based regions includes:convergence of recycling industrial chains, vertical convergence between natural resource upstreamindustry and downstream industry, horizontal convergence of leading industries internally orbetween the former and other non-associated industries. Upgrading the level of industrial value chain,fostering new industries and optimizing the proportion of three industries should be encouraged andpromoted by government. Second, enterprises convergence also is an important way to realize pathinnovation promoted by government. Adjustment of enterprise organization structure ranks firstamong the main elements for successful enterprise transformation.Management of an enterprisemeans it will succeed or not. Effective ways to improve an enterprise’s ability for transformation are as follows: modifying enterprises’ organization structure, improving management, upgradingindependent innovation. Third, an empirical research is launched to illustrate how government toconduct industrial transformation in Shanxi province, a typical resource-based region. Setting upthree administration system, namely, macro-administration system for industrial structuraltransformation, modern industrial and resource allocation system,and seven industry upgradingmechanisms as following: mechanism of industry access threshold adjustment, mechanism ofregulation of quantity and price of the natural resources utilized, mechanism for assistance andforcing to traditional industry’s transformation, mechanism for supporting new-emerged industry,mechanism for management of minerals (coal)by capitalization and securitization and assetization,mechanism for attracting innovation industry, incentive mechanism for attracting investment,mechanism of dynamic management for establishing giant projects.6.The government should play an important role in enhancing regional innovation in Shanxiprovince, which includes four parts: to strengthen science and technology innovation ability, topromote financial innovation, to enlarge opening to the outside world, and to coordinate regionaldevelopment.(1)The scientific and technological innovation in Shanxi province hardly meets itseconomic growth and social development, due to weak innovation ability. The deepen reason isbecause that locking effects in resource-based region has restricted enhancing innovation ability. Thebasic paths to deal with it are to set up mechanism fostering innovation ability and learning process.In a strategic term, establishing regional innovation network helps achieving long-term effects.(2)Financial innovation accelerates industrial structural transformation. This paper suggests to speed upfinancial innovation by the following measures: Optimizing the allocation of credit resources,speeding up offering various credit products meeting different customer’s requirements, allowinginsurance fund into economic development fields, supporting industrial transformation by properfunctions of capital market, encouraging bailout in currency market.(3) Enlarging opening to theoutside world helps industrial transformation. Change the functions of government, establishing atransparent and efficient administration model, upgrading of international trade, Improvingcooperation with international companies, all above will helps industrial transformation.(4) Tocoordinate regional development means optimizing regional spatial layout, integration ofconstruction of infrastructure across different regions, promotion of regional cooperation,establishing resource saving and environment friendly society, encouraging centric cities andtowns to exert their leading role in sustainable development.Three main innovations of the paper as follows:1.in the view of governmental functions, focusing on the industrial structural transformation innatural resource-based regions, this paper systematically points out that government should play itsguiding role in the field of policy innovation, regulation, scheme enforcement and etc, so as to go outof dilemma like industrial structure out of balance, lagging system reform as well as unsustainableeconomic and social development. Furthermore, on the basis of fingering out the meeting pointsbetween the theory of innovation by Schumpeter and path dependence theory from New InstitutionalEconomics, and extending concept of path innovation, the author applies them to study of industrialstructural transformation in natural resource-based regions. 2.it is the first time for application of the theory of industrial convergence to industrialtransformation in natural-resource-based regions. The author has explained the connotation ofindustrial convergence by the way of principles of New Institutional Economics, and stressed thatindustrial convergence is the basic solution for industrial transformation, as well as that the threeinevitable stages of industrial convergence includes:convergence of resource-oriented industry andother industries (consisting of convergence of recycling industrial chains, vertical convergencebetween natural resource upstream industry and downstream industry, horizontal convergence ofleading industries internally or between former and non-associated industries. Fostering anddevelopment of new emerged industries.The proportion of three industries become and keep a goodbalance.3.three targets for industrial transformation promoted by government:Industrial convergence isthe sally port; enterprises convergence is the motive power; regional innovation is the safeguard.Shanxi is the most typical case of natural-resource-based region.By empirical study on the case ofShanxi, the author gives his suggestions for local government on how to promote industrialtransformation, which also help to implement plans of central government. Regarding pathinnovation, establishing regional innovation network is announced as a strategic measure, as acombination and union of government, universities, enterprises, non-governmental organizations forenhancing regional innovation ability all together. From empirically study of the case, funding forstructural transformation in Jinzhong,Shanxi, A conclusion is made that, at present, there doescoexists excessive liquidity in overall range of China and insufficient liquidity at specific placesin China, namely, the paradox of excessive money supply in general and structurally moneydeficiency in practical terms. The above conclusion offers a basis for financial innovation to supportsuccessful industrial transformation.更多还原