【作者】 周建波；

【导师】 刘刚；

【作者基本信息】 南开大学 ， 政治经济学， 2013， 博士

【摘要】 对资源开发的过度依赖和缺乏经济发展新的动力来源,是长期制约资源型城市和地区可持续发展的症结所在。探索经济可持续发展的新动力来源,是资源型经济转型的首要任务。20世纪90年代以后,为了探索经济发展的新动力来源,实现经济结构的实质性变革,中国的资源型城市和地区开展了积极的探索和试验。但主要地区的探索和试验基本上是由政府推动的,形成了政府主导的资源型经济转型模式。尽管这一转型模式取得了一定成效,但由于没能激发民间资本的活力和发挥市场自组织机制的作用,使产业结构调整基本上围绕着资源的深度丌发和原有产业链的延伸展开,最终仍然没能打破区域经济发展过度依赖资源开发的固有格局。在对山西省经济发展进行系统调研和理论分析的基础上,本文发现,与前期不同,2005年以来,在资源型经济转型发展过程中,民间资本的活力开始进发,市场自组织机制正在加快形成和发挥作用,经济转型出现了新的局面。新局面出现的契机,则来自政府对资源行业管制的加强和民间资本的退出。资源型行业退出的民间资本,正在通过二次创业探索着新的资本与技术相结合的经济发展模式,推动着农业现代化、传统产业高端化和新兴产业的启动和发展。同时,政府通过为民间资本二次创业提供新的创新创业环境,进一步推动着产业结构调整和经济转型的步伐。从山西省近年来的发展实践看,资源型经济转型本质上是复杂适应系统的演化过程,其中企业家是推动经济转型的关键主体,企业家的创新创业活动及其与之相适应的市场自组织机制作用的发挥,是推动资源型经济转型的根本动力来源。政府的作用在于提供服务于企业家创新创业和市场自组织功能作用发挥的制度环境。缺乏企业家创新创业活动和市场自组织功能发挥作用的情况下,政府主导的经济转型是不可持续的。在本文中,作者运用复杂适应系统理论和分析方法,深入考察了山西省民间资本二次创业活动如何通过资本与技术的结合,引入新的发展动力因素,推动经济结构变革并实现资源型经济转型和发展的基本机制,以及在市场主导的经济转型过程中,政府如何通过构建创新创业环境助推企业家二次创业和经济转型顺利推进等问题。在复杂适应系统演进过程中,系统内部的行为主体会积极适应外部环境的变化。尤其是在外部环境发生根本性变化的条件下,适应性行为主体会通过调整认知和行为模式进行探索性活动,引入新的增长因素,实现自身发展和系统结构变革。在复杂适应系统中,行为主体在适应外部环境变化的过程中,不是孤立的,而是相互联系和互动的,共同探索新的发展机遇和模式。行为主体的相互联系和互动通过新的规则体系的形成和对原有规则的替代,来放大积极探索的成果,共同推动系统结构的调整和变革。在山西省近年的经济转型实践中,政府对资源型行业管制的加强,对民间资本原有的发展模式形成了根本性冲击。在无法继续从事资源开发和利用工作的条件下,企业家只能选择通过二次创业来谋求新的发展机遇。在新的环境下,企业家二次创业活动的主线是探索资本与技术的结合。从山西省企业家二次创业的实践看,资本与技术结合的创业领域是多样化的,不仅包括高新技术引进,而且包括与农业和传统产业相关的技术引进。在企业家二次创业的推动下,山西省的产业结构开始出现变化,一方面表现在农业的现代化和传统产业的高端化,另一方面表现为资本与高新技术结合过程中新兴产业的启动和发展。为了放大企业家二次创业活动带来的经济发展和积极变化,政府正在通过创新创业园区(如长治县科工贸产业集聚区)等空间载体的建设和相关政策体系的制定,推动着产业结构调整向深层次发展和演化。但是这种演化趋势目前仍然存在着不确定性,不仅因为资本和技术结合领域和方向是否代表经济发展未来在目前是难以准确预测的,而且因为政府能否增强市场自组织作用的发挥目前也是很难估计的。在对山西省近年来经济转型和发展实践经验进行系统总结的基础上,作者运用复杂适应系统的理论和分析方法,对山西省企业家二次创业驱动资源型经济转型和发展的内在逻辑和动力机制进行了深入研究,得出如下主要结论：第一,20世纪90年代中期至2005年,山西省尽管一直在努力探索资源型经济转型的有效模式,但在国有经济占主导、市场主体和自组织作用相对不足的条件下,经济转型只能依靠政府来主导和推动。这一时期的经济转型基本上围绕着资源的深度开发和产业链的延伸展开,没有探索到经济发展新的动力来源。在经济发展的压力下,资源型行业对民间资本的开放,进一步加剧了区域经济发展对资源开发的依赖程度。尽管经济实现了快速发展,但过度依赖资源开发和粗放的发展方式,却为山西省的可持续发展埋下了隐患。第二,2005年以来,山西省政府开始对煤炭行业实施强化管制改革,对山西煤炭产业和整体资源型经济系统产生了强烈冲击。一方面,随着产业集中度的提升、组织管理模式的优化和产业链的延伸,传统资源型产业素质得到了明显提升。另一方面,随着煤炭行业管制强化,大量煤炭企业家和民间资本被迫离开了煤炭产业领域。这些煤炭企业家中的一部分人选择远赴疆、蒙继续投资资源产业,另一部分则选择在山西的非资源产业继续开展二次创业活动,包括现代农业、传统制造业、高技术产业和生产性服务业等产业领域。总体来看,煤炭企业家的二次创业活动是围绕着资本与技术相结合的主线展开的。在引进新技术并诱发结构性变革的基础上,煤炭企业家及其二次创业活动正在成为山西资源型经济转型的根本推动力量。随着传统产业高端化和新兴产业的启动和发展,山西已经进入了传统经济发展动力质量提升和新的经济发展动力加速形成的关键变革时期。第三,在煤炭企业家二次创业推动的经济转型探索中,政府同样采取了积极的适应性行动,集中表现为空间载体等硬件环境的建设和政策体系等软件环境的建设。但其对民间资本和市场自组织机制在资源型经济转型中所能发挥的基础性作用的认识,仍需进一步深化。在未来的经济转型中,政府应该着眼于推动企业家二次创业的持续发展,因势利导地构建高质量创新创业环境,如建立有利于资本和技术结合的公共技术创新和服务平台,制订高端创新创业人才嫁接和引进的政策等,从而有效地降低企业家二次创业的风险和新行业进入壁垒。在2005年以来新的转型模式探索中,山西省尽管取得了一定的成绩,但依靠企业家二次创业推动经济转型的新模式却仍处于形成和演化的过程之中,尚需进一步巩固和强化。而构建高质量创新创业环境,有效促进资本与技术结合和经济结构的深刻变革,则是政府发挥作用的关键所在。更多还原

【Abstract】 Because of overdependence on the exploitation of natural resource and deficiency of new source for economic development, it’s often very difficult for resource-based economy to maintain sustainable development. So exploiting the new source for development and transition of regional economy is the primary task for the transition of the resource-based economy as a matter of course.After1990s, aiming to explore the new source of economic development and the reconfiguration of economic structure, many resource-based regions and cities have made lots of exploration and experimentation, and much of the exploration and experimentation is dominated by the government. And then the transitional model dominated by government was created generally. Although this model has generated some positive effects, but because of the deficiency of the power from market’s self-organization and the private capital, the adjustment of industrial structure still be operated along with the industrial chain of the traditional resource-based industries. And then the situation over dependent on natural resource in many regions still be very difficult to change.On the foundation of concrete investigate and theoretical to the economic development in Shanxi Province, I find that, difference to previous transitional model, along with the development of resource-based economy, the power of private capital has been stimulating, and the function of market’s self-organization has been generating, a new situation of the transition of the resource-based economy has been emerging. The opportunity for the emergence of the new situation was created by the strengthening industrial regulation and the flowing out of the private capital. This private capital is exploring new development model reflecting the combination of capital and technology through the brand-new-or intra-entrepreneurship currently. Simultaneously, through generating entrepreneurial environment for the brand-new-or intra-entrepreneurship, the governments of all levels in Shanxi is increasing the speed of adjustment of industrial structure and the transition of resource-based economy.Reflecting from the development practices and experiences in Shanxi, the transition of the resource-based economy is an evolutionary process of a complex adaptive system in essence. In the process, entrepreneurs are the key agents, the entrepreneurship actions and the adaptive functions of the market’s self-organization are the radical power for the improvement of the transitional process. The key role of the government is to support the institutional environments for the entrepreneurship actions and the self-organizational function of the market. Under the situation of deficient of entrepreneurship and the function of market’s self-organization, the transitional process dominated by government is unsustainable.In this dissertation, with the theoretical methods of comples adaptive system, I studied the basic function of how to make the combination of private capital and technology, and how to explore the new driving power which could upgrade the traditional resource-based industries and start new industries along with the brand-new-or intra-entrepreneurship process. And I will also study the main government function to promote the brand-new-or intra-entrepreneurship process.During the evolutional process of complex adaptive system, the internal agents could adapt to the external change of environment. Especially when the environments change radically, adaptive agents will do new exploration through adjusting their own cognitive and behavioral modes, which will introduce new development elements, and self-development and the structural change of the system. In the complex adaptive system, any agent could not adapt to the environment change alone. All agents adapt to the environmental change through interrelation and interaction among each other. And on the foundation of the interrelation and interaction, all agents could explore new opportunities and models for development. And of course on the same foundation of the interrelation and interaction, all agents, could explore new rule system to replace the old one, and which could enlarge the positive explorative results and introduce the adaptive adjustment and reformation of the system.During the economic transition in Shanxi recent years, the strengthening industrial regulation by governments influenced the old development model of private capital radically. Under the new condition, entrepreneurs could not survive by the exploitation and utilization of natural resources, and they have to explore new survival opportunities by the brand-new-or intra-entrepreneurship. Under the new condition, the topic of the brand-new-or intra-entrepreneurship actions is exploring the combination of capital and technology. From the brand-new-or intra-entrepreneurship practices in Shanxi, the fields of the combination of capital and technology are various, including high technology industries and the import of technology in agricultural and traditional industries. With the pushing power of brand-new-or intra-entrepreneurship, the industrial structure in Shanxi is changing, which show as the moderation of agriculture and traditional industries and the emergence and development of new industries through the combination of capital and technology. For enlarging the positive influence resulted from the brand-new-or intra-entrepreneurship actions to the economic transition and development, the governments of all levels in Shanxi are constructing the entrepreneurial parks-such as Agglomeration Area of Innovative, Commercial&Manufacturing Industries in Changzhi County-as spatial carriers and generating the industrial policy system as soft carrier. The new entrepreneurial environments are now improving the adjustment process of the industrial structures. But the evolutional tendency is still uncertain, which is resulted from the uncertainty of the combination of capital and technology, and also from the uncertainty of the government role for enhancing the function of market’s self-organization.On the foundation of concrete summarizing for the practice experiences about economic transition and development in Shanxi Province, with application of theoretical methods of complex adaptive system, I studied the intrinsic function and logic of how brand-new-or intra-entrepreneurship could drive the transition of resource-based economy in Shanxi Province. The main conclusions in this dissertation are following:Firstly, from1996to2005, although Shanxi has explored the model for the transition of resource-based economy all the time, but under the condition of deficiency of economic agents and the power of market’s self-organization, and with the dominance of state-owned economic firms, the economic transition has to depend on the government. The economic transition in this period was propelled main through the deepening exploitation of natural resource and the extend of industrial chain. And the new driving power for economic development was still not found. Under the pressure of maintaining the economic development, the opening for private capital in natural resource-based industries has enhanced the dependence on the natural resource of the whole economic development. Although the economic growth has been maintaining all the time, but overdependence on natural resources and the extensive mode of economic development has also generates hidden troubles for the sustainable development in Shanxi.Secondly, after2005, the province government in Shanxi began to make reform of strengthening regulation in the coal industry, which influenced the resource-based industries and the whole resource-based economic system in Shanxi dramatically. On the one hand, along with the increasing of industrial concentration, the improvement of the organizational administration and the extension of industrial chain, the industrial quality of traditional resource-based has been increased genenally. On the other hand, with the strengthening of industrial regulation in coal industry, a lot of coal entrepreneurs and private capital had to evacuate from the coal industry. Some of these entrepreneurs had gone to Xinjiang and Neimenggu and continued to invest and start new ventures in resource-based industries. Simultaneously, a greater part of these entrepreneurs had started new ventures in non resource-based industries in Shanxi, including modern agriculture, traditional manufacturing industries, high-tech industries and producter service industries and so on. On the whole, the brand-new-or intra-entrepreneurship by coal entrepreneurs are mainly around the orientation of the combination of private capital and technology. On the foundation of importing new technologies and introducing structural change, the brand-new-or intra-entrepreneurship actions are evolving to the radical driving power for the transition of resource-based economy in Shanxi. Along with the modernization of traditional industries and the emergence and development of new industries, Shanxi has entered the key transitional stage which is characterized by the enhancement of the qudlity of traditional driving power for economic development and the emergence of the new driving power for economic development.Thirdly, under the exploration of economic transition driven by the brand-new-or intra-entrepreneurship, the governments of all levels in Shanxi had also made adaptive actions, including the construction of hard-ware environment such as spatial carriers and the generation of soft-ware environment such as policies system. But the governments’ comprehension and attention on the basic driving power for the development and transition of the resource-based should still be strengthened.In the future exploration of economic transition, the governments should pay more attention on the brand-new-or intra-entrepreneurship actions started by coal entrepreneurs, and also should construct high quality entrepreneurial environment adaptively for the entrepreneurship actions. The high quality entrepreneurial environments include public technology platform for the combination of private capital and technology, the policy system for attracting high quality talents and so on. The main role of the high quality entrepreneurial environments is to decrease the risk and entrence barriers for brand-new-or intra-entrepreneurship actions.All in all, in the exploration of transitional model after2005, Shanxi has made some achievements, but the new transitional model driven by the brand-new-or intra-entrepreneurship actions is still in the emergence stage, and which should be strengthened and consolidated. And simultaneously,the key role of the governments in this stage is to enhance the quality of the combination of paivate capital and technology thtough construction of high quality entrepreneurial environments.更多还原