产业聚集形成的原因和影响的研究

【作者】 徐康宁；

【导师】 尹伯成；

【作者基本信息】 复旦大学 ， 经济思想史， 2003， 博士

【摘要】 本文主要研究产业聚集形成的原因及其对经济绩效的影响。论文在对产业聚集的相关概念给予界定和比较的基础上，对聚集经济的理论学说及其演变作了系统的回顾、分析和评述，研究了历史上聚集的经济思想与当代产业聚集理论之间的联系，论证了当今产业聚集的理论之繁荣，实际上是早期聚集经济思想的一次复兴与发展，并对当代产业聚集理论发展的特点和趋势作了分析，尤其是对该专题的研究引起经济学与经济地理学、产业经济学与区域经济学的融合发展趋势作了揭示性的阐释。研究产业聚集形成的主要原因是论文的重点内容，本文从第三章到第六章对引致产业聚集的诸原因逐一作了分析和研究。论文首先对产业聚集的形成作了历史考察，阐述产业聚集形成的历史条件，并在这部分内容中论证了历史上的“偶然性事件”只是产业聚集形成的一个诱发因素，真正形成产业聚集的原因在于特定的历史条件。在一定的条件下，自然禀赋的地理差异确实在影响着产业聚集的形成，本文对缘于自然禀赋差异的产业聚集作了三种不同的分类。与自然禀赋相比，分工的因素对产业聚集的形成起到的作用更大。论文从内生比较优势概念出发，指出地区间的分工是因为存在着内在的比较优势，这种比较优势作用的结果，经过地区分工的演进导致产业的聚集现象。关于外商直接投资与产业聚集的关系，论文通过理论分析和实证研究，论述了外商直接投资也是形成产业聚集的一个重要原因，而且揭示了产业聚集形成的两种路径模式：市场创造模式和资本迁移模式。产业的聚集很大程度上是制度方面的原因，本文对制度和制度变迁在产业聚集形成中的作用做了具体的分析和研究，得出的基本结论是：对于产业聚集的形成，制度因素比自然禀赋重要得多，而且，非正式制度也是引致产业聚集的一个重要原因。产业聚集本身就是一种优势，即聚集的优势，能够产生相应的效应，对经济绩效产生影响，论文从产业、地区、国家三个不同的层面，研究了产业聚集对竞争力带来的改进，以及如何利用产业聚集的规律来进一步优化产业结构。本文的主要创新在于：第一，首次系统地研究引致产业聚集形成的主要原因，并特别指出制度和制度变迁的作用大于自然禀赋的作用，以及产业聚集实际上是地区分工演进的结果。第二，本文创立了产业聚集形成路径的两种模式，第一种是市场创造模式，第二种是资本迁移模式。第三，论文在国内首次系统地研究了西方产业聚集理论的发展和演变，阐明了当代西方产业集群思想的理论渊源。更多还原

【Abstract】 Interest in the role of external economies and industrial clusters as an influence on regional growth and change has grown at present , supported by traditional theory of economics and the development of new thinkings in regional economics and industrial organizations. The doctoral thesis is focused on the causes of the formation of industrial clusters and agglomeration in economy. Based on the definition and analysis of the conception of industrial agglomeration, the thesis takes review and comparative study on the agglomeration theory and its development in history, exploring the connection between the historical thinkings and contemporary theory of agglomeration. The study shows that flourishing contemporary theory of agglomeration represents the renaissance of historical economics of agglomeration, and development trends of contemporary economics and economic geography, industrial economics and spatial economics in integration. The natural endowments are among the causes of the formation of industrial agglomeration and some industries are localized in special areas with special natural resources. The geographical concentration of a industry leads to access to the place of natural resources and the reduction of transportation costs. Comparatively, division of labor and regions, institutional differences and other factors are more important causes of industrial agglomeration. Among the factors relating to the causes of industrial agglomeration, entrepreneurship plays an important role of the location choice of a firm and the formation of industrial districts. This thesis outlines the development of a industrial cluster through the effects of entrepreneurs who adapted to both constructive innovation and new opportunities, creating the factors and conditions that facilitated their business interests.Typically, the geographical localization of industry and the formation of agglomeration economy are explained as consequences of externalities such as labor force pooling, middle product putting and technology spillover according to Alfred Marshall. The thesis explains beyond Marshallian factors that the division of regions, which derives from endogenous comparative advantages with increasing returns to scale, and institutional transformation are real inherent causes of industrial agglomeration. Consequently, "the historical accidents" explaining industrial localization in Krugman’s theory is just inducing factor, and the real causes of continuing accumulations of industrial clustering after “historical accident" are particular circumstance and economic environment in history. Case studies of Chinese circumstance in the thesis explain that location choice of FDI follows a specified pattern and some agglomerations of industries are caused by FDI business chains as well as specialized structures of market, and the perspective of agglomeration of the bicycle industries Kunshan and Jurong counties in Jiangsu evidences the capital flow model of industrial agglomeration. Actually, industrial clustering as well as transactions costs and the institutional changes are all determinants of multinational enterprises’ behaviors of location choices. Industrial agglomeration has an influence on competitive advantage and economic performance, The agglomeration affects competition in three broad ways: first, by increasing the external economy and productivity of firms within clusters, and enhancing the industrial competitiveness of a region; second, by increasing the endogenous comparative advantage and division effects, and improving the regional economic performance; and third, by accumulating economic externalities and productivities the both industries and regions, and hence increasing a nation’s competitiveness.更多还原