【作者】 胡国平；

【导师】 李一鸣；

【作者基本信息】 西南财经大学 ， 产业经济学， 2009， 博士

【摘要】 产业链对经济发展发挥着不可或缺的功能,而功能的发挥需要有效运转的产业链。如果产业链发生了中断或运转效率低下,就会影响功能的发挥,同时更会引发恶性经济问题的连环反应1。现实中,涉及“产业链”这个词的文章不少,但从理论上深入研究产业链的却很少。这突显了对产业链问题进行研究的必要性和紧迫性。本文将对产业链稳定性影响因素及各个层次的产业链稳定性问题进行深入分析,并试图建立相应的应对机制,希望对产业链理论及其实践有一定的参考意义。文章力求综合产业链上下组织关系以及链条外辅助组织的配套性、产业消费市场、政府政策等影响因素来研究产业链稳定问题,而不是孤立地去分析单个企业行为或纯粹产业链条上下游组织之间的相互关系。论文将在产业链概念,产业链与价值链、供应链等之间关系探究,产业链理论的回顾与思考,以及结合实际考察产业链中存在的问题基础上,理解产业链的内在稳定机理,构建产业链稳定性研究的框架内容。文章将产业链稳定性问题研究分为单链条稳定、多链条稳定、产业链演化等几个层次。内容安排上将包括绪论、产业链基础理论回顾与评述、产业链稳定性影响动因、单链条稳定——基于共生为核心的产业链构建、相同产业的多链条稳定——产业链条的空间分布、不同产业的多链条稳定——区域产业间的互动演进、产业链演化——深化与融合、结论与启示等八部分。第一章:论文研究目的、方法和结构。本章主要对产业链稳定性问题进行论证与简要介绍。文中将立足于现代经济学的基本理论与方法,借鉴生物学、系统科学、社会学等学科的理论,融合主流经济学学术规范和传统,深化对产业链稳定问题的研究。研究方法上,将坚持实证分析与规范分析相结合、历史分析与逻辑分析相统一、比较分析法等,加深对产业链稳定性问题的认识及产业链构建的运用。本章还将对全文的结构安排,论文将达到的研究深度进行概括性介绍。第二章:产业链稳定性研究现状及本文研究路径。本章是论文的基础篇,主要对产业链以及与产业链稳定性相关问题的研究进行梳理与评述。内容包括:一是概念界定,主要对产业链含义进行理解,得出产业链的特点和功能,并对产业链与价值链、供应链、产业集群等概念进行类比分析;同时对稳定性概念也做了界定。二是产业链稳定性研究路径的确定。在借鉴他人研究成果基础上,总结产业链研究的产生与兴起,分析产业链发展趋势,并搭建出本论文理论框架。第三章:产业链稳定性影响动因分析。主要探究产业链稳定的影响因素,文章将把这些因素分为产业组织上下链条关系、产业辅助组织的配套性、政府政策、产业市场因素等。基于资源依赖的上下游产业组织链条关系的分析指出因为资源依赖性源于产业链迂回,会出现产业链的中间环节发生断裂使产业链供应空位,或限制产业资源效率的问题。在企业层面上产生供应链合作关系的不稳定。产业辅助组织的配套性分析指出产业配套发展的不平衡、产业辅助性组织自身存在不足等问题限制主体产业的平稳、有效发展。产业消费市场分析则主要是从消费需求和产业生命周期两个因素展开。政府政策影响分析主要是产业链形成与发展过程中的政府政策诱致性分析。本章最后将对各影响动因进行综合,并提出相应的完善对策。第四章:单链条稳定——基于共生为核心的产业链构建。本章首先简单介绍共生思想的概念及特点;然后将共生思想引入产业链分析,并进行产业链共生态化构建。文中将对串联耦合和并联耦合两种机制进行比较。串联耦合是指元件通过串联联结成单一链条的一种联结方式。产业链从原材料供应到最终产品(包括有形和无形)的整个过程串联而成。可选择并联耦合机制是指链条上结点有不同的元件可与其连接,有多条路径可以选择,整个系统由多个元件多层次并联构成,系统的运转、信息传递通过并联关系过程来表现。基于产业活动的现实,文中将对产业链条的可选择并联耦合系统进行简化设计,并以电力产业链条构建进行实例分析。最后,总结出产业链条构建的要点。第五章:相同产业的多链条稳定——产业链条的竞争与空间分布。文中基于企业边界理论的分析框架,对相同产业链出现在不同区域进行经济学解释。将不同区域间相同产业链条之间的竞争归结为某一空间的产业链包含的企业主体与另一空间分布的产业链所包含的企业主体之间竞争的演化过程。文中将以信息产业链构建进行实例分析,并指出:区域产业链的构建可以从优化产业链各环节、强化产业链的薄弱环节、管理型产业链打造等展开。第六章:不同产业的多链条稳定——区域产业间互动演进。本章将互动思想引入到经济学,从互动角度对产业关系重新界定。文中将从区域发展水平与技术知识的结构性、区域要素的流动性、区域产业体系完备性、社会文化环境、政府作用等几方面对区域产业互动影响因素进行分析。论文将以城乡产业互动关系为例,对区域产业互动演进模式、产业互动机理进行推演,得出产业关系是从零互动的初始状态到高层次的综合、共融的良性互动关系的演进过程。第七章:产业链演化:深化与融合。文中将在分工理论剖析基础上,对产业演化进行描述,对产业链深化与专业化分工机制的协调作用进行分析。从限制分工的因素说起,对产业融合的内涵、表现形式及演化方式等进行研究。文中将基于系统论的视角,构建产业融合的演化模式,并提出促进产业演化的相应措施。第八章:结论与启示。本章主要是对前文总结与后续研究注解。论文将达到的研究深度或说创新点主要有:1、从链条系统角度研究产业链的稳定性问题。过去的研究主要是关于集群风险及模块化抗产业集群内生性风险机理研究,基于对策论的供需链运作稳定性,或从个体微观企业角度的稳定机制构建来研究。本文将综合上下游产业组织关系、产业辅助组织的配套性、产业消费市场、政府政策影响等因素对产业链稳定性问题进行深入研究。2、尝试性地构建产业链稳定性的研究框架,将产业链稳定分为单一产业链条稳定、区域间相同产业的多链条稳定、区域间不同产业的多链条稳定、产业链演化等几个层次。3、区域间相同产业的多链条竞争模式研究。本文将不同区域间相同产业链条之间的竞争归结为某一空间的产业链包含的企业主体与另一空间分布的产业链所包含的企业主体之间竞争演化过程,并推演了区域产业链竞争的不同模式。4、区域间不同产业的多链条互动关系研究。文中将引入互动理论,重新构建产业关系模式;通过简化的产业互动模型的推演,描述产业的出生、成长过程;探讨产业发展是从零互动的初始状态到高层次的综合、共融的良性互动关系的演进过程。5、从演化角度研究产业链的深化与融合。文中将系统理论和演化理论的思想和方法引入产业演化进行描述;对产业链融合与深化两种不同路径及其机理进行解读与界定;并对产业链条变化方向与结构进行分析。产业链稳定性研究是一个复杂的课题。本文所做的研究主要是尝试性地构建框架,并进行逻辑证明和实例分析,但缺少大样本数据的实证。这是本文的较大不足。另外,由于经济系统本身就是一个复杂系统,产业链理论也仅处于发展阶段,再加之本人知识、能力所限,本论文对产业链稳定性问题的思考仅是一个开始,不足的、尚未涉及到的相关问题仍有待进一步深入。更多还原

【Abstract】 Industrial chain has been playing an indispensable role in economic development. If the chain was interrupted or inefficient, the functions would be influenced, even the economy would be in a vicious circle. Nevertheless, theoretic research is insufficient, comparing with the usage of words“industrial chain”in practice. Therefore, it is necessary and urgent that we should pay more attention to theoretic research of industrial chain. This dissertation will analyze the influential factors of instability and all levels of stability in industrial chain thoroughly, and we will contrive mechanisms to solve the problem.In this dissertation, the factors influencing the stability of industrial chain also include the relationship between upriver and downriver organizations, industrial market, government policy and other subsidiary conditions, besides enterprise behaviors or the pure industrial chain links. The dissertation will define the concept of the industrial chain, relationship among industrial chain and value chain, supply chain, review the theories of industrial chain, and then grasp the inherent stability mechanism of the industrial chain, construct the framework for studying the stability of industry chain. The core of framework includes four levels: stability of the single chain, stability of competition between the same industrial chains, stability of industries’interaction, and evolution of industrial chain. And the dissertation will be divided into eight charters, as follows:Chapter one: introduction. It mainly includes research purpose and significance, research method of the dissertation, as well as the arrangement of the content.Chapter two: narration and review on the Industrial chain theory. This chapter is the foundation of the thesis, and it mainly carries on ascertaining the connotation of industrial chain, obtaining the characteristics and functions of industrial chain, and analogy analyzing relationship among value chain, supply chain and industrial chain. The dissertation will summarize others’research productions and progress of research on stabilization of industrial chain, and analyze the development tendency on the industrial chain studies. Then research framework of this dissertation will be constructed.Chapter three: analysis on the influence factors of industrial chain stability. They are: relationship between upriver and downriver organizations, accessorial relevancy of industrial chain, government policies, limitation of industrial market. The rupture of industrial chain, which is based on resources’dependence and rooted from circumbendibus of industrial chain, will lead to the shortage of supply, decrease the industrial resource efficiency, and then make the relationship between enterprises instable. And, there exists that the imbalance development in accessorial industrial organizations which induces instability of industrial chain, that advances accessorial industrial organizations should be brought into the system of industrial chain and be developed by the way of industrial harmonization institution. Analysis on the industrial consumer marketing mainly includes two factors: consumer demand and industrial life cycle. Finally, the government policies are analyzed as an induced factor to the forming and development of industrial chain.Chapter four: Stability of single industrial chain. In this chapter, the idea of symbiosis in biology will be brought into industrial economy, and the parallel coupling mechanism will be used to construct the system of industrial chains. We will compare series coupling mechanism and the parallel coupling mechanism. Series coupling is a connection way that the components are connected by one single chain. Industrial chain is connected in series from raw materials to finished goods (including tangible and invisible goods).Nevertheless, in parallel coupling mechanism, the components are connected by parallel coupling way, and there are more than two paths to be chosen in every node. Based on the reality of industrial activities, industrial chain will be designed in parallel coupling way.Chapter five: stability of competition between the same industrial chains——the spatial distribution of the industrial chain. Section one will explain the phenomenon why industry arises in non-specialized areas, based on the theory of enterprise boundary. In the second section, competition between the same industrial chains in different areas is concluded to an involution process in which the enterprises in different areas compete with each other. And in the third section, the regional industry chain will be constructed by optimizing industry tache, strengthening the weak tache of industrial chain, managing industry chain etc.Chapter six: , stability of industries’interaction. This chapter mainly analyzes action of the urban and rural industries and the evolution mechanism. The interaction theory in sociology will be introduced to reconstruct the relation between industries. Through the deducing of simple model of interaction, the process of industrial arising and growth will be described. In the first section, industrial relationship will be defined on the viewpoint of interaction. The second section mainly analyzes the factors influencing industries’interaction. They are: structure of the level of regional development and technical knowledge, elements’mobility between different areas, maturity degree of industrial system of urban and rural areas, socio-cultural environment, and the role of government. The third section will analyze the evolution modes of industries interaction and the interaction mechanism. And then the fourth section will study the industries interaction in China’s comprehensive coordination of urban and rural areas. It is easy to get that the relationship between urban industries and rural industries is in an evolving process: from initial separation to the high-level interaction.Chapter seven: industrial evolution. The first section will analyze harmonization effect between industrial chain’s deepening and specialized market mechanism. The second section will analyze the factors restricting specialization, the evolution mode of industries convergence will be constructed.. And the measures which stimulate industry evolution will be proposed.Chapter eight: conclusion and revelation.The main research innovation of this dissertation are as follows:Ⅰ. Define the industry chain on the view of system. The dissertation will breaking through definition on industrial chain in the past, and industrial chain is defined as an economic relationship, which is constituted by the relationship of upriver and downriver organizations, accessorial relevancy industry organizations, government policies, and industrial market.Ⅱ. Construct research framework of industrial chain’s stability. The framework includes four levels: stability of the single chain, stability of competition between the same industrial chains, stability of industries’interaction, and evolution of industrial chain.Ⅲ. Explain the phenomenon why industry arises in non-specialized areas, based on the theory of enterprise boundary. And the competition between the same industrial chains in different areas is defined to an involution process in which the enterprises in different areas compete with each other.Ⅳ. Interaction theory is introduced to reconstruct the relation between different industries. Through the deducing of simple model of interaction, it is easy to get that the relationship between urban industries and rural industries is in an evolving process: from initial separation to the high-level interaction.Ⅴ. Systematic theory and evolution theory are used to analyze industrial deepening and industrial convergence.The stability of industrial chain is a complicated subject. The dissertation tries to construct the framework for studying the industrial chain’s stability. There exists a heavy shortage——lacking large sample of empirical data in this dissertation. In addition, along with the constraints of my knowledge and ability, the theory of industrial chain is at the growth stage, this dissertation is just a beginning. And the shortages and issues not involved in this dissertation still remain to be further studied.更多还原