【作者】 郭立伟；

【导师】 沈满洪； 李建琴； 何樟勇；

【作者基本信息】 浙江大学 ， 人口、资源与环境经济学， 2014， 博士

【摘要】 新能源产业是与新能源开发利用相关的产业,主要包括新能源发电(包括上网和离网发电)、新能源发电设备和零部件的制造业、新能源行业相关的辅助服务业(包括系统安装、燃料收集、研发、分销和咨询等)。现阶段的新能源产业不仅具有资本和技术密集型的特征,又兼具部分劳动密集型的特征。新能源产业集群是新能源开发与利用相关企业和相关机构在特定地理位置的集中、联系与合作,通过技术创新与制度创新,实现能源安全、能源高效利用、助推经济转型升级、保护生态环境的创新性集群。与传统产业集群相比,新能源产业集群的本质属性是其高技术性和创新性。新能源产业集群不仅重视产业地理集中,还强调产业间功能联系；不仅重视经济网络,更强调社会网络的构建；不仅重视产学研合作,更强调企业互动和知识溢出,特别是隐性知识的溢出。现阶段,新能源产业在全国某些地区出现了集群式发展的趋势特征,但仍处于初级阶段,同时,新能源产业是否应集群发展,目前还有些争论。因此,新能源产业集群发展亟需理论上的指导。然而,综观国内外文献,新能源产业集群理论研究还是个新的课题。因此,本文围绕“新能源产业为什么需要走产业集群的发展道路”、“新能源产业集群形成的关键因素是什么”、“新能源产业将在什么地区形成集群”、“新能源产业将以什么样的方式集群发展”四大问题对新能源产业集群发展进行阐述,具有一定的理论和现实意义。本文从产业集群形成的必要条件、充分条件、需求条件、社会文化与历史条件、政治条件五个方面,结合新能源产业的自身特征进行分析判断,认为新能源产业完全满足产业集群形成的条件,集群发展模式是新能源产业发展的必由之路。本文的主要研究结论如下：(1)新能源产业创新集群网络是通过加点、加边或断开重连而形成的,新能源产业集群演化的主要动力在于获取新能源技术的新知识和新经验,进而分享这种知识和经验所带来的超额利润。本文在前人分类基础上,按生产要素的流动将新能源产业创新集群网络节点的连接分为物流链、知识链、资金链、信息链和人才链等五种链条的连接关系,并利用无尺度网络模型对新能源产业创新集群网络的形成过程进行了分析,认为新能源产业集群是一个众多创新主体之间非线性的连接网络系统。运用知识积累模型分析了新能源产业集群各创新主体为什么会产生连接,认为通过创新网络的连接关系,新能源产业集群各创新主体之间能够互相学习,通过学习从其他主体身上获得自身创新与发展所需要的互补性资源,进而提升自已的创新能力。在新能源产业集群演化的过程中,政府和市场的作用是推进集群演化的关键性力量,且在集群演化的不同阶段发挥不同的作用。新能源产业集群的形成和发展实质上是集群各创新主体通过地理邻近、行业邻近、社会邻近互动形成分工合作生产网络、社会关系网络,最终形成成熟的集群创新网络,并沿着全球价值链从低附加值到高附加值不断发展。(2)根据对新能源产业集群水平的识别和评价,发现新能源产业集群处于初级阶段。本文以浙江省为例,综合运用了区位商法、NESS模型、层次分析法和模糊数学综合评价法对新能源产业集群水平进行了识别和评价。基于区位商法,2006—2010年浙江省新能源产业集聚水平居全国第一。在浙江省,温州、台州、杭州和宁波四个地区的新能源产业集聚程度最高。基于NESS模型,从新能源集聚、经济网络、社会网络和服务体系四个方面来看,浙江省新能源产业集群处于初级阶段。基于层次分析法和模糊数学综合评价法,近六成的专家认为浙江省新能源产业集群属于起步、尚未形成甚至远未形成的阶段。综合三种识别和评价方法,认为浙江省新能源产业集群处于起步阶段。在集群发展起步阶段,政府的扶持和引导十分重要,尤其是政府对创新环境的培育。(3)新能源产业集群形成的影响因素有别于传统产业集群,新能源产业集群的形成更多地依靠三个主因子,即产业要素因子(F1)、区域要素因子(F2)、融资要素因子(F3)。本文选择国内与新能源产业相关的政、产、学、研、管多个层面的专家进行专家访谈和问卷调查,对新能源产业集群形成影响因素的26个理论假说进行了因子分析,提取获得3个主因子,分别为产业要素因子、区域要素因子、融资要素因子,最终构建了由13个影响因素组成的新能源产业集群形成影响因素的框图模型。从该框图模型可以得出,新能源产业集群的形成具有内生动力。(4)新能源产业集群的形成会表现出明显的区位选择的特征,并不是所有地区都会形成新能源产业集群,政府推动力量应因地制宜,因势利导,充分考虑区域要素和融资要素。本文对新能源产业集群形成影响因素的框图模型中的区位选择影响因素进行量化测度,选择适当的代理变量,并组建“短面板”的平衡面板数据样本。然后,使用统计软件分别对区域要素、融资要素、产业要素(仅包含“创新创业文化”这一影响因素)三个主因子单独进行回归分析和综合的回归分析。综合回归实证分析结果表明,区域新能源基础设施的保障力、区域技术创新水平产生的拉动力、新能源资源禀赋的吸引力、产业资本的推动力和创新创业文化的感召力是我国新能源产业集群区位选择的主要动力源。综合实证结果和理论基础的分析和讨论,最终构建了由9个影响因素组成的新能源产业集群区位选择影响因素的框图模型。(5)新能源产业集群发展模式并非单一,一般是综合了多种模式的共同作用。在新能源产业集群形成影响因素和区位选择影响因素实证研究的基础上,结合新能源产业特征,本文提出新能源产业集群形成初期的模式可以分为市场主导和政府主导两种主要模式,新能源产业集群发展阶段可以分为基于供应链式整合、基于技术创新推动型和基于制度创新保障型三种集群模式。此外,分析了每种新能源产业集群模式的特性及适用条件,认为在集群的发展过程中要受到集群内部和外部各种因素的影响。在前人研究的基础上,并以保定新能源与智能电网装备产业集群为例,本文认为集群内企业的特性、集群内企业之间的联系方式、外部环境(包括政府政策、劳动力供应、新能源资源禀赋、产业资本丰富程度、创新创业文化氛围等等)这三方面的影响因素对新能源产业集群发展模式的选择起着重要的作用。保定模式对我国新能源产业集群发展的启示主要有：发挥政府的引导和推动作用；发挥大企业的带动效应；构建产学研协同创新网络。基于以上分析结果,本文最后分别从集群形成和发展两个时期提出了各自的对策建议：借鉴波特的钻石模型,从生产要素、市场需求、产业规模、产业配套、政府作用等方面设计与优化新能源产业集群形成时期政府主导的新能源工业园(或开发区)模式；并对新能源产业集群创新网络的四大创新主体即新能源企业、大学和科研院所、中介服务机构和政府提出了一些新能源产业集群发展时期的对策建议。更多还原

【Abstract】 New energy industry is related to the development and utilization of new energy, mainly including new energy power generation(including on-grid and off-grid power generation), new energy power generation equipment and manufacturing of parts and components, relevant ancillary services (including system installation, fuel collection, research and development, distribution and consultancy, etc.).New energy industry at present has not only the characteristics of the capital and technology intensive, but aslo some labor-intensive characteristics.New energy industrial cluster is one kind of innovative clusters,which refers to relevant enterprises of new energy development and utilization and related organizations concentrated in a specific geographical location, contact and cooperation, through technical innovation and institutional innovation, to achieve energy security, efficient energy use.economic transformation and upgrading, and to protect ecological environment. Compared with traditional industrial cluster, the essential attribute of new energy industrial cluster is high technique and innovation. New energy industrial cluster not only pays attention to industrial geographic concentration, also emphasizes functional relationship between industries; not only to network economy, more emphasis on the construction of a social network; not only attaches great importance to cooperation by production, study and research, and more emphasis on enterprise interaction and knowledge spillover, especially implicit knowledge spillover.At present, cluster development of new energy industry appears in some regions of the country, but is still on the initial stage.At the same time, there is some controversy concerning on whether new energy industry needs cluster development. As a result, new energy industrial cluster development urgently needs theoretical guidance. A thorough analysis of the domestic and foreign literatures indicates that new energy industrial cluster theory research is a new task. Therefore,this paper elaborates on four problems concerning the development of new energy industrial cluster such as "why new energy industry needs cluster development road","what are the crucial factors for the formation of new energy industrial cluster","where new energy industry will form the cluster","how new energy industry will evolve into cluster",So it is of important theoretical and realistic significance.From five aspects such as necessary and sufficient conditions, demand conditions, social culture and historical conditions,political conditions of industrial cluster formation,and combined with the characteristics of new energy industry, this paper argues that new energy industry can completely satisfy the five conditions of cluster formation, and cluster development model is the only way for the development of new energy industry. The main conclusions in this paper are as follows: (1) New energy industry cluster innovation network evolve by adding new nodes and links, or rewiring of links from one node to another. The main motivation of new energy industrial cluster evolution is to acquire new knowledge and new experience on new energy technology and share the excess profits brought by the knowledge and experience.In this paper, on the basis of predecessors’classification, according to the flows of production factors, new energy industrial cluster innovation network nodes connection will be divided into logistics chain, knowledge chain, capital chain, information chain and talent chain, and use BA model to analyse the formation process of new energy industrial cluster innovation network, it’s concluded that new energy industrial cluster is a network of many nonlinear connections between innovation main body system. This paper use knowledge accumulation model to analyze why connection will be established among new energy industrial cluster’s innovation main bodies.It’s concluded that through the innovation network connection relations, new energy industrial cluster’s innovation main bodies can obtain complementary resources from each other and thus improve their innovation ability by mutual learning. In the process of the evolution of new energy industrial cluster, the role of government and market is a key force to promote cluster evolution, and they play a different role in different stages of cluster evolution. The development of new energy industrial cluster is essentially the formation of production network and social relation network at the beginning,through innovation main bodies’s geographic neighboring, industry, social interaction, finally formed a mature cluster innovation network, and along the global value chain from low value-added to the development of high value-added.(2) According to the identification and evaluation of new energy industrial cluster level,it’s concluded that new energy industrial cluster is in initial stage.Take zhejiang province as an example, the paper make integrated use of location quotient,NESS model,analytic hierarchy process and comprehensive evaluation of fuzzy mathematics.Based on location quotient,new energy industrial agglomeration level in Zhejiang province won the first place in China during2006-2010. In Zhejiang province, Wenzhou, Taizhou, Hangzhou and Ningbo have the highest level of new energy industrial cluster. Based on ness model,the new energy industrial cluster in Zhejiang province is in the initial stage according to new energy agglomeration, economic network, social network and service system. Based on analytic hierarchy process and comprehensive evaluation of fuzzy mathematics, nearly sixty percent of experts believe that new energy industrial cluster in Zhejiang province belongs to initial stage, it has not even been formed, even far behind the stage. Comprehensive three identification and evaluation methods, it is thought that new energy industrial cluster in Zhejiang province is still in the initial stage. In the initial stage of cluster development, the government’s support and guidance are very important, especially for the cultivation of the innovation environment.(3) The influence factors of new energy industrial cluster formation are different from those of traditional industrial clusters, the formation of new energy industry cluster relying more on three main factors, namely industrial elements factor (F1), regional elements factor (F2) and financing elements factor (F3).In this paper, experts who are at multiple levels in administration, production, study and research departments related to domestic new energy industry are selected to make expert interviews and questionnaire survey. This paper use factor analysis for26theoretical hypotheses on the influence factors of new energy industrial cluster formation. And then according to factor analysis method, this paper extracted3main factors, namely industrial elements factor, regional elements factor and financing elements factor and finally establish block diagram model of factors affecting the formation of new energy industrial cluster composed of13factors. From the model,it can be concluded that the formation of new energy industrial cluster has endogenous power.(4) The formation of new energy industrial cluster will show obvious characteristics of location selection, and not all regions can form new energy industrial cluster.The government should improve the occasion and fully consider the regional elements factor and financing elements factor.This paper make a quantitative measure for location choice influence factors in the framework of block diagram model of the factors affecting the formation of new energy industrial cluster, and select the appropriate proxy variables, and to form a "short panel" balance panel data samples. Then, using statistical software to make separate regression analysis and the synthesis of regression analysis for three above main factors, namely regional elements, financing elements, industrial elements (only contains "innovative entrepreneurial culture"). For the comprehensive regression empirical analysis, it’s concluded that the guarantee power of regional new energy infrastructure, the pulling power of regional technology innovation level, the attraction of new energy resources endowment, the impetus of industrial capital and innovative entrepreneurial culture charisma are the main sources of power on the locational selection of Chinese new energy industrial cluster. Based on analysis and discussion on empirical results and theoretical basis, this paper finally established block diagram model of locational selection of new energy industrial cluster composed of nine factors.(5) New energy industry cluster development model is not single, generally a combination of a variety of modes. On the basis of empirical research on formation influencing factors and location choice factors of new energy industrial cluster, combined with the feature of new energy industry, this paper puts forward the early pattern of new energy industrial cluster formation can be divided into two main modes, market leading and the government leading, three cluster modes in development stage can be divided into based on supply chain integration, based on technology innovation and based on institutional innovation.In addition,this paper make analyses on characteristic and applicable condition for each new energy industrial cluster mode, it’s argued that cluster will be effected by internal and external factors in the process of cluster development. On the basis of previous studies, and take Baoding new energy and smart grid equipment industry cluster for case study, this paper considers that three influence factors plays an important role in new energy industrial cluster development mode choice such as the characteristics of cluster enterprises, the connection method between cluster enterprises, external environment (including government’s policy, labor supply, new energy resources endowment,industrial capital abundance, innovative entrepreneurial culture atmosphere, etc.). Baoding mode’s revelation to new energy industrial cluster development in our country mainly include:the government should play the role of guide and promote; play a big enterprise impetus effect; construct production synergy innovation network.Based on the above analysis, this paper finally puts forward several countermeasures and suggestions respectively from two periods-cluster formation and development:using porter’s diamond model, from the factors of production, market demand, industry scale, industry and government function to design and optimize new energy industrial park (or zone) model led by government in the initial stage of new energy industrial cluster; and put forward some countermeasures and suggestions for new energy industrial cluster development from four main bodies of new energy industrial cluster innovation network,that’s new energy enterprises,universities and research institutions,intermediary service institutions and government.更多还原