【作者】 王传宝；

【导师】 张培刚； 方齐云；

【作者基本信息】 华中科技大学 ， 西方经济学， 2009， 博士

【摘要】 全球价值链视角下我国地方产业集群升级是一个亟待研究的课题，这是产业集群规避“路径锁定”、应对集群风险和外部压力，实现向全球价值链两端的高价值环节攀升的需要。本文对全球价值链视角下我国地方产业集群升级机理的研究，可以丰富产业集群升级理论，为推进产业集群升级提供新思路，从我国(尤其是浙江)产业集群的实际出发，提出地方产业集群升级的对策建议。在研究视角方面，本文引入全球价值链理论这一比较实用的分析产业集群升级机理的新工具。以往的研究中，有学者使用全球价值链理论为分析工具，结合产业集群升级案例，研究产业集群升级路径，但没有将全球价值链的视角引入到产业集群升级机理理论的系统研究。本文通过有机融合全球价值链理论和产业集群升级理论，全面吸收、综合前人研究成果，构建了“全球价值链视角下地方产业集群升级机理模型”，对地方产业集群升级机理进行系统研究，研究视角较独特。在全面吸收、综合借鉴前人研究的基础上，本文以全球价值链为研究视角，借鉴波特“钻石模型”的架构，构建了“全球价值链视角下地方产业集群升级机理模型”，提出全球价值链视角下地方产业集群升级机理并进行了系统研究，拓展了产业集群升级机理研究，拓宽了产业集群理论的研究领域。模型中有四组基本要素和两组辅助要素，其中，基本要素包括集群学习、集群式创新、全球价值链的嵌入、社会资本等；辅助要素则包括产业集群升级为导向的公共政策和产业集群中的主导企业。产业集群的升级体现为模型体系的整体优化，模型中各要素之间的互相依存与强化更是升级的动力来源。各个要素在模型中具有不同的地位并发挥不同的作用，各个要素之间密切配合，且两两之间(基本要素两两之间、辅助要素与基本要素两两之间)具有双向作用，通过运行机理，形成合力，共同促进产业集群升级以四种方式实现。全球价值链视角下地方产业集群升级机理的运行路线为：在集群治理的作用下，模型中各要素之间(基本要素两两之间、辅助要素与基本要素两两之间)双向相互作用、紧密配合→借助于升级实现方式的运行机制→四种升级实现方式→地方产业集群升级实现。集群学习运行机制、集群式创新运行机制、集群社会资本运行机制和集群外向关联运行机制等四个分运行机制组成全球价值链视角下地方产业集群升级实现方式的运行机制。四个分运行机制分别对应四种升级实现方式，四个分运行机制既单独发挥作用，又相互配合，共同促进地方产业集群升级。全球价值链视角下，产业集群升级概念的内涵是集群能力和自主性不断提升，产业集群在全球价值链上的价值获取能力不断增强的过程。产业集群升级概念的外延分别表现在产业集群技术能力升级、产业集群创新能力升级、产业集群外向关联升级、产业集群社会资本升级等方面。本文将全球价值链视角下地方产业集群升级机理视为产业集群技术能力升级、产业集群创新能力升级、产业集群外向关联升级和产业集群社会资本升级等四种升级实现方式相统一的复杂系统，把产业集群升级看作系统优化，共同促进产业集群在全球价值链上价值获取能力的增强。无论是原生型产业集群还是嵌入型产业集群，都可以用这个“全球价值链视角下地方产业集群升级机理模型”来揭示其升级机理。必须指出的是，不同类型产业集群升级机理是相同的，但不同构成要素及其不同组合对不同类型、特定产业集群产生作用，会进而反映在不同的产业集群之间其升级路径外在表现和升级实现方式存在差异上。这种差异能够准确地反映出各种类型、处于不同发展阶段上的产业集群之间的个性差异和内在本质。本文不但提出全球价值链视角下地方产业集群升级机理，还将具体案例引入到对升级机理的实证研究中，以进一步完善理论，更好地指导实践。本文结合产业集群升级机理，重点研究了产业集群升级为导向的公共政策。本文提出，产业集群升级为导向的公共政策为全球价值链视角下地方产业集群升级机理的顺利运行提供了现实制度保证，可以促进全球价值链视角下地方产业集群升级机理模型各要素的培育和促进升级机理发挥作用。本文界定了产业集群升级为导向的公共政策的概念，对其制定、实施与协调进行了深入研究，并结合研究结论，从产业集群升级为导向的公共政策的角度提出了产业集群升级的对策。本文紧密结合全球价值链视角下地方产业集群升级机理，结合浙江产业集群升级实践，分别从政府公共政策、产业集群和集群内企业等三个层面，尝试性地提出产业集群升级的对策，为推进我国产业集群升级提供了思路。更多还原

【Abstract】 Upgrading mechanism of local industrial clusters from a global value chains (GVC)perspective is a topic to be urgently discussed for the local industrial clusters’ need ofpreventing lock-ins, dealing with the risk and outside pressure of clusters, and achievingthe aim of transition to both ends of GVC’s high value links. The study on the mechanismin China could enrich the theory of industrial clusters upgrading, and propose somefeasible measures for China’s (especially for Zhejiang Province’s) local industrial clustersupgrading.As to the research perspective, the dissertation introduces GVC theory as a practicalresearch instrument into studying the upgrading mechanism of industrial clusters. In theliteratures, some scholars employ GVC theory as a research instrument to investigate theupgrading path of industrial clusters, but they didn’t introduce GVC theory intosystematical study the upgrading mechanism theory of industrial clusters. Merging GVCtheory effectively with local industrial clusters upgrading theory, the dissertationconstructs a "GVC perspective on upgrading mechanism of local industrial clustersmodel" to systematically study the upgrading mechanism of local industrial clusters froma GVC perspective, and the research perspective is distinctive.The dissertation lays heavy stress on the upgrading mechanism of local industrialclusters from a GVC’s perspective. Based on the points in the literatures, the dissertationsystematically puts forward the upgrading mechanism of local industrial clusters from aGVC perspective. In the study, learning from the framework of Michael Porter’s"Diamond Model", the dissertation constructs a "GVC Perspective on UpgradingMechanism of Local Industrial Clusters Model" (GUM Model, for short) from a GVCperspective. And the study on the upgrading mechanism of industrial clusters from a GVCperspective widens the study of upgrading mechanism of industrial clusters, and alsowidens the research field of industrial clusters theory. In the model, there are four basicfactors which are clusters learning, clusters innovation, insertion in GVC and socialcapital, also there are two auxiliary factors (i.e. industrial clusters upgrading orientedpublic policy and dominant enterprises in the cluster). The industrial clusters upgrading,embodied by integral optimization of the model, results from the interdependence andstrengthening of the factors in the model. Each factor plays a special role and there isbidirectional action between the factors (between the basic factors, as well as between the basic factors and the auxiliary factors). All the factors synergize through operationalmechanism, thus forming a concerted effort to promote the realization of industrialclusters upgrading in four ways: (a) industrial cluster’s technical capability upgrading, (b)industrial duster’s innovation capability upgrading, (c) industrial duster’s outsidecorrelation capability upgrading and (d) industrial cluster’s social capital capabilityupgrading. The operational path of the upgrading mechanism of industrial clusters from aGVC perspective is that: under the industrial clusters governance, all the factors of themodel synergize, bidirectional action between the factors→by means of operationalmechanism of upgrading realization ways→four realization ways of industrial clustersupgrading→the realization of local industrial clusters upgrading. The operationalmechanism of realization ways of local industrial clusters upgrading from a GVCperspective is composed by four subordinating operational mechanisms, i.e. industrialcluster’s learning mechanism, industrial cluster’s innovation mechanism, industrialcluster’s outside correlation mechanism and industrial cluster’s social capital mechanism.Each of the four subordinating operational mechanisms corresponds to each of the fourrealization ways of industrial clusters upgrading. Each of the four subordinatingoperational mechanisms plays a role in the upgrading not only by itself, but also throughinteraction, and they synergize to promote local industrial clusters upgrading. From theperspective of GVC, the dissertation regards the industrial clusters upgrading as anincessant upgrading process of industrial clusters’ ability and independence, and also anincessant enhancement process of industrial clusters’ acquiring value in the GVC. Theextension of industrial clusters upgrading finds expression in industrial cluster’s technicalcapability upgrading, innovation capability upgrading, outside correlation capabilityupgrading and social capital capability upgrading. The dissertation regards the model as acomplex system consisting of industrial cluster’s technical capability upgrading,innovation capability upgrading, outside correlation capability upgrading and socialcapital capability upgrading. And the dissertation regards the upgrading of industrialclusters as a system optimization, thus forming a concerted effort to promote theenhancement of the ability of acquiring value in the GVC. Either the prime industrialclusters or the industrial clusters embedded in GVC could employ the GUM Model toillustrate their upgrading mechanism. It must be emphasized that different type ofindustrial clusters has the same upgrading mechanism, but the different factors and theircombination has effect on different type industrial clusters and on specific industrialcluster, thus resulting in different upgrading realization ways and in the different appearance of the upgrading path. The difference could reflect exactly the characteristicsand inner nature of industrial clusters of different type and in different stage ofdevelopment. In the dissertation, for the purpose of elaborating the theory and guiding thepractice better, the dissertation not only puts forward the upgrading mechanism of localindustrial clusters from a GVC perspective, but also introduces specific cases of industrialclusters upgrading into the positive analysis.The dissertation lays heavy stress on the industrial clusters upgrading-oriented publicpolicy based on the upgrading mechanism of industrial clusters. The dissertation putsforward that the industrial clusters upgrading-oriented public policy provides systemsupport for the upgrading mechanism, and the industrial clusters upgrading-orientedpublic policy could promote the synergy of the factors in the GUM Model, and also playsa key role in promoting the upgrading mechanism. The dissertation discusses thedefinition of industrial clusters upgrading-oriented public policy, and expounds theforming, the implementing and coordination of industrial clusters upgrading-orientedpublic policy. From the perspective of industrial clusters upgrading-oriented public policy,the dissertation puts forward measures to promoting local industrial clusters upgrading.Based on the theoretical innovation, and combining with the practice of Zhejiangprovince’s industrial clusters upgrading, the dissertation puts forward specific measures,and the dissertation succeeds in combining theoretical innovation with the practice ofChina’s (especially Zhejiang province’s) industrial clusters upgrading. Closely combiningwith the upgrading mechanism of local industrial clusters from a GVC perspective, thedissertation tentatively puts forward specific measures to the industrial clusters upgradingfrom three levels, i.e. public policy level, industrial clusters level and enterprises level,and bring forth some new thought for China’s industrial clusters upgrading..更多还原