基于创新驱动的产业集群升级研究

【作者】 王来军；

【导师】 施红；

【作者基本信息】 中共中央党校 ， 政治经济学， 2014， 博士

【摘要】 产业集群是具有地域根植性的产业组织形式，是区域和国家竞争力的核心。产业集群升级是摆脱锁定和衰退，实现可持续发展的关键。无论从理论创新的角度，还是实践发展的需要看，研究产业集群升级机理、创新驱动的内在规律以及两者之间的关系都具有重要意义。本文以基于创新驱动的产业集群升级机理作为研究对象，以产业集群创新驱动体系的形成和创新功能的增强作为出发点和落脚点。其中，产业集群是创新驱动机制的作用对象，产业集群升级是创新驱动发展的目标，创新驱动是产业集群升级的核心机制。区域经济学、产业经济学、创新经济学、地理经济学、制度经济学等为本文提供了理论依据。国家创新系统理论、区域创新系统理论、产业集群理论、经济发展理论等为本文提供了具体的理论工具和分析方法。首先，本文通过对产业集群升级机理、创新驱动及两者关系的现有研究成果进行理论综述，阐释了产业集群升级和创新驱动的内涵，分析了产业集群升级机理和创新驱动的关系。研究认为，现有理论脱离产业发展模式研究产业集群升级，仅仅强调产业集群网络治理和嵌入全球价值链两个升级途径，同时对创新驱动的一般规律研究不够。研究表明，产业集群升级的实质是产业发展模式的升级，创新驱动是产业集群升级机理发挥作用的前提，是产业集群升级机理的核心。由此，产业集群升级机理在现有成果基础上得到深化发展，可以表述为创新驱动发展模式下的集群治理并嵌入全球价值链。基于此，本文将创新驱动置于产业集群升级机理的核心位置并研究其内在运行的机理和规律，从而厘清本文的研究方向。在创新驱动现有研究成果的基础上，本文认为创新驱动是一种资源配置方式，是一种内生发展模式，是一种创新功能系统，也是一种产业发展战略。借鉴国家创新系统、区域创新系统和集群创新系统理论关于创新系统构成和机理的研究成果，运用跨学科、多角度系统分析的研究方法，构建了由创新要素、创新主体、创新机制和创新环境组成的创新驱动体系一般分析框架。该理论框架分析了创新驱动体系的要素构成、要素之间关系、系统作用机理以及创新效应，认为创新驱动是一个由四个要素构成的动态开放系统，通过多主体协同、多要素整合、多机制联动，实现技术创新、知识创新、制度创新、市场创新、服务创新、金融创新等创新功能的合力，提高经济系统的创新能力。创新驱动体系框架的构建为产业集群升级机理研究提供了理论工具。在理论建构的基础上，本文运用普遍性与特殊性相结合的方法，将创新驱动体系一般框架运用于产业集群升级过程，并从创新资源、创新主体、创新机制和创新环境四个维度展开。在创新资源研究中，本文基于经济增长理论梳理对创新要素资源与传统要素资源进行对比研究，探讨要素资源如何通过优化组合促进集群升级；在创新主体研究中，本文侧重分析各创新主体在创新驱动体系中的功能定位、动力来源和能力构成，并以企业为核心，从产学研合作、协同创新、区域治理和知识流动等维度，分析创新主体间的互动协同关系；在创新机制研究中，本文解释了创新驱动机制相关概念及其机制体系的基本构成，探讨了市场机制、政府调控机制和集群治理机制在集群升级中的作用及其联动特点；在创新环境研究中，本文从区域、国家、全球三个层面，分析根植区域创新环境、链接国家创新体系和嵌入全球价值链等环境因素在集群升级中发挥的作用。通过以上研究可以看到，创新驱动是产业集群升级的主要动力，依靠创新主体间的互动协同、创新要素的优化配置、创新机制的联动作用和创新环境的共同保障，形成以企业为主体的技术创新、高校院所为主体的知识创新、政府为主体的制度创新、中介服务机构为主体的服务创新以及金融机构的金融创新，并进行创新功能的集成，共同推动产业集群的升级和发展。产业集群升级战略要围绕构建创新驱动体系的构建和创新驱动能力的形成，从创新要素、创新主体、创新机制和创新环境四个维度展开，依靠创新功能集成实现集群升级。最后，本文将实证研究和规范分析结合起来，通过具体案例研究创新驱动在产业集群升级中发挥作用的机理。本文以山东枣庄锂电新能源产业为例，介绍产业集群现状和基本情况，从创新驱动体系的四个方面分析集群升级存在的问题，并相应制定具体的产业集群升级战略。本文从产业集群升级的需要出发进行创新驱动体系和规律的研究，并从创新驱动的角度深化对产业集群升级机理的理性认识，从而将创新驱动和集群升级两个研究领域有机结合起来，不仅拓展了集群升级的研究领域、丰富了创新驱动的研究成果，而且贯通了创新驱动与集群升级的内在联系，实现了研究视角的创新；创新驱动框架模型的构建，为研究一般经济系统的创新驱动模式和规律，指导制定创新驱动战略提供了理论指导，实现了理论建构的创新；将创新驱动体系理论框架具体应用于产业集群升级中，将集群升级机理发展为创新驱动发展模式下的内外结合路径，即由要素驱动发展模式升级为创新驱动发展模式，加强集群网络治理并嵌入全球价值链，提高产业集群创新能力和竞争实力。这不仅能够对创新驱动战略和创新驱动政策进行科学系统地解释，还弥补了产业集群升级机理研究的缺陷，对产业集群升级的内在规律有了更加深刻、系统和全面的认识，从而有助于提出更为系统、针对性更强的政策措施，充分发挥理论指导实践的作用，实现了研究成果的创新。更多还原

【Abstract】 Industrial cluster, the industrial organization form with regional embeddedness, isthe core of regional and national competitiveness. The upgrading of industrial clusteris the key method to get rid of lock and recession and to fulfill sustainabledevelopment. Whether from the perspective of theoretical innovation orthe need ofpractical development, it has the vital significance to study the relationship andinherent laws between the mechanism of industrial cluster upgrading and innovationdriving. Taking the upgrading mechanism of industrial cluster which bases on theinnovation driving as the research object, the doctoral dissertation takes the formationof the innovation driving system of industrial cluster and enhancement of innovationfunctions as the point of departure and end goal. Among them, the industrial cluster isthe object of innovation driving mechanism, the industrial cluster upgrade is thedevelopment goal of innovation driving, and innovation driving is the core mechanismof industrial cluster upgrading. Regional economics, industrial economics, innovationeconomics, geography economics, institutional economics provide the theoreticalbasis for this dissertation. The theories of national innovation system, regionalinnovation system, industrial cluster, and economic development provide detailedtheoretical tools and analysis methods to this dissertation.Through theoretical overview of existing research results of industrial cluster’supgrading mechanism, innovation driving and the relationship between them, thisdissertation interprets the connotation of industrial cluster’s upgrading mechanism andinnovation driven, analyzes the relationship between the upgrading mechanism andinnovation driving. According to study, the existing theories emphasize the twoupgrade paths to innovation driven of cluster governance and embedded in globalvalue chain, break away the industrial development mode from industrial clusterupgrading, and the effect and regularity of innovation driving have not beenresearched seriously. Research shows that the essence of industrial cluster upgradingis the upgrading of industrial development mode, innovation driving is the premise ofupgrading mechanism of industrial clusters playing roles and is the core of the upgrading mechanism of industrial cluster. Therefore, based on existing results, theupgrading mechanism of industrial clusters develops deeply, which can be expressedas the innovation driving development mode of cluster governance is embedded inglobal value chain. Based on this, this dissertation will study theinnovation drivingonthe core position of upgrading mechanism of industrial clusters and its internaloperation mechanism and laws, so as to clarify the dissertation’s research direction.Based on the existing research achievements of innovation driving, thedissertation argues that innovation driving is a method of resource allocation, a kind ofendogenous development mode, an innovation function system, and also an industrialdevelopment strategy. According to study results about the form and mechanism ofinnovation system of national innovation system, regional innovation system andindustrial clusters innovation system theory, by using the method of cross disciplineand multi angle system analysis, this dissertation constructs the general analysisframework of innovation driving system consisting of innovation resources,innovation subject, innovation mechanism and innovation environment. Thetheoretical framework analyzes innovation driving system elements, the relationshipbetween them, the system mechanism and the innovation effect. Innovation driving isa dynamic open system composed of four elements, and improve the economic systeminnovation power through the multi agent collaboration, integration of multi factors,multi linkage mechanism together to achieve innovation functions includingtechnological innovation, knowledge innovation, system innovation, marketinnovation, service innovation and financial innovation. The construction ofinnovation drivingtheory framework of this dissertation provides a theoretical tool tothe research on the mechanism of industrial cluster upgrading.Based on the construction, combining the method of universality and particularity,this dissertation applies the general framework of innovation driving system toindustrial cluster upgrading process, and carries outfrom the four dimensions ofinnovation resources, innovation subject, innovation mechanism and innovationenvironment. During the course of innovation resources research, based on theeconomic growth theory, this dissertation makes a comparative study of innovationresources and traditional resources, and discusses how to promote industry upgrading by optimizing the combination of cluster resources. In the innovation subject research,this dissertation focuses on the analysis of the main function, power resource andability of innovation subject in innovation driving system, takes the enterprise as thecore, and from a cooperative, collaborative innovation, regional governance andknowledge flow dimensions interactively analyses of the collaboration relationshipbetween innovation subjects. In the innovation mechanism research, this dissertationexplains the basic concepts related to innovation driving mechanism and its systemconstructions, and discusses function and characteristics of the market mechanism,the government regulation mechanism and the cluster innovation mechanism in thecluster upgrading. In the innovation environment research, from the regional, nationaland global aspects, this dissertation analyses how the innovation environmentalfactors including regional innovation environment, national innovation environment,and the environment embedded in global value chain.According to above researches, innovation driving is the main driving force ofindustrial cluster upgrading. The upgrading and development of industrial clusters canbe jointly promoted by relying on the interaction and collaboration among innovationsubjects, the allocation optimization of innovation elements, linkage effect ofinnovation mechanism, and innovation environment, which formats technologicalinnovation with enterprises as the main body, knowledge innovation with institutes asthe main body, institutional innovation with government as the main body, serviceinnovation with intermediary service institutions as the main body, and financialinnovation with financial institution as the main body.Finally, combining empirical research and normative analysis and through aspecific case, this dissertation studies the mechanism how innovation driving plays arole in the upgrading of industrial clusters. Taking Zaozhuang new lithium energyindustry of Shandong province as an example, this dissertation introduces the presentand basic information of industrial cluster, analyzes existing problems of clusterupgrading from four aspects of innovation driving system, and formulates specificindustry cluster upgrading strategy.According to the need of industrial clusters upgrading, this dissertation studiesthe innovation driving system and law, and deepens rational knowledge of upgrading mechanism of industrial clusters from the angle of innovation driving, which not onlyexpands the research field of cluster upgrading and enriches the research results ofinnovation driving, but also makes through the inner link between innovation drivingand cluster upgrade realizing the innovation of research perspective; The constructionof innovation driving framework model provides theoretical guidance for researchinginnovation driving modes and rules of general economic system and formulatinginnovation driving strategy, and realizes the innovation of theory construction; Theinnovation driving system theory is applied to industrial cluster upgrading, and themechanism of cluster upgrading develops into the combination of inside and outsidepath under innovation driving development mode, which upgrades from elementsdriving development mode to innovation driving development mode, strengthens thecluster network governance and embeds in global value chain, and improves theinnovation ability and competitive strength of industrial clusters, whichnot onlyexplains the innovation driving strategy and innovation driving policy scientificallyand systematically, but also makes up the defect of study on the industrial clustersupgrading mechanism and has a more profound, systematic and comprehensiveunderstanding to the inherent laws of industry cluster upgrading, therefore it helps toput forward more systemic and pertinent policies and measures, plays the role oftheory guiding practice fully, and fulfills the innovation of research results.更多还原