【作者】 刘巧绒；

【导师】 王礼力；

【作者基本信息】 西北农林科技大学 ， 农业经济管理， 2010， 博士

【摘要】 20世纪60年代以来,在经济增长和工业化的同时,出现了日益严重的、全球性的资源耗竭、环境污染和生态恶化问题,产业活动与资源环境之间矛盾突出。产业与资源环境的冲突问题成为制约我国经济持续发展的突出因素。解决资源环境问题的传统方法几乎没有取得实质性进展,环保技术末端控制没有从根本上消除废物,甚至又产生新的污染;政府管制也不能解决日益膨胀的产业活动所引发的资源环境危机。人们开始反思和检讨传统的价值观和发展观,意识到传统经济发展模式只会加剧对资源的掠夺式的开发和对环境的严重破坏,应该从经济、社会、资源与环境等更广泛的高度去寻求新型发展模式,实现经济、社会、环境的协调发展。可持续发展理念、产业生态学、循环经济为促进产业活动生态化指明了方向。涉农中小企业集群作为现阶段一种重要的产业组织形式,综观对其外部性的研究,不管是马歇尔的《经济学原理》,还是后来众多经济学者的研究,大都集中于集群的外部经济性方面,而对集群的环境负外部性没有足够重视,因而导致了集聚规模越大环境破坏越严重的负外部效应。涉农中小企业集群生态化正是产业生态学、循环经济在集群层面上的体现和涉农中小企业集群发展的高级阶段,对此问题进行研究具有重要的理论和现实意义。论文在追溯产业生态化经济思想渊源和回顾产业生态学理论发展历程的基础上,阐释了产业生态化的基本内涵及产业生态系统的原则与特性。以此为研究起点,以我国涉农中小企业集群为研究对象,探寻涉农中小企业集群生态化的发展路径。遵循“概念界定和理论基础→现状→模式→动力机制→保障体系”的逻辑框架,取得了以下成果和结论:第一,在对涉农中小企业集群生态化现状进行定量分析时,借鉴PSR模型,通过全面分析企业集群生态化发展的“压力”、“状态”与“响应”,建立了集群生态绩效评价的三维分析模型,并对该模型进行案例分析。第二,通过对涉农中小企业集群生态化和非生态化演进动力机制的比较,指出涉农中小企业集群生态化的形成方式为自组织-规划共生方式,即通过政府指导、政策规制和公众参与,以及非政府组织(如研究机构、协会、风险投资基金等)的技术资金支持,在集群企业自组织共生交换基础上,形成以资源交换为基础,以提高资源利用率、降低生产和经营成本、增加经济效益和环境收益为目标的共生网络和涉农中小企业集群生态系统。第三,在产业生态系统、产业共生及产业代谢等的指导下,根据涉农中小企业集群内企业的关联关系,提出两种典型的涉农中小企业集群生态化模式:纵向闭合型和横向耦合型。探讨了两种模式的内涵、前提条件及运行方式,并对两种模式进行了案例分析。在分析纵向闭合模式时,运用洛特卡—沃尔泰勒(Lotka-Volterra)捕食模型对集群中上游企业与下游企业进行废弃物或副产品交换行为进行分析,得出结论:在涉农中小企业集群的有限环境中,提高下游企业对上游企业产品的转化效率和对上游企业产品的购买率有利于上、下游企业达到均衡状态。第五,从内源和外源两个角度对涉农中小企业集群生态化的动力机制进行分析,认为利润、规模经济、竞争与合作、资源市场价格的相对变化等内源式发展动力,是促成集群生态化的基础机制;而政府制度的约束与激励、中介机构的推动、公众与非政府组织的制衡等外源式发展动力,是引导和促进集群生态化的有效机制,二者相互协同组成了涉农中小企业集群生态化的动力机制体系。第六,运用博弈论,对涉农中小企业集群内企业是否选择进行物质交换进行分析,得出结论:在环境法规等的约束下,集群企业会选择进行物质交换,促进共生,推动集群生态化发展;对集群生态化方向下群内企业与政府的博弈分析,得出结论:为了尽快促使涉农企业形成循环经济的生产模式,需要政府干预,并且干预要达到一定的力度,才能产生较好的刺激、激励作用。第七,根据系统理论,提出涉农中小企业集群的生态化需要多方面主体的参与,政府的制度创新,科研机构的技术支持,行业协会的沟通服务等共同构成保障体系来推动涉农中小企业集群的生态化进程。更多还原

【Abstract】 There has been growing global resource depletion, environmental pollution and ecological deterioration with the growth of economy and industrialization since 1960’s, there is obvious contradiction between the Industrial activities and the resources and environment. The conflict between industry and resources and environment has become a outstanding constraint to China’s sustainable development of economy. There was almost no substantive progress in solving Resources and environmental problems with traditional methods. the end control of environmental technology has not fundamentally eliminate the waste, and even produced new pollution; government’s regulation does not solve the ever increasing resources and the environment crisis caused by industrial activity. People began to reflect on and review the traditional values and concept of development, realized that the traditional model of economic development would only exacerbate the predatory resource development and the serious damage to the environment. Human beings should seek new development model from a wider range of height to realize coordinated development of the economy, social, resource and environment. concept of sustainable development, industrial ecology, recycling economy have been Pointed out the specified direction for promoting Ecologicalization of industrial activities.As an important forms of industrial organization at the present stage, looking on the studies about externality of the SMEs cluster, whether Marshall’s "Economic Principle", or later economists studies have been focused on the external economies, but rather on the cluster negative environmentale externalities of the cluster, leading to more serious environmental damage negative externalities with larger gathering. SMEs cluster’s ecologicalization is expression of eco-industrial ecology, recycling economy and the level of advanced stage. There has important theoretical and practical significance to study this issue. The paper illustrates the basic connotation of industrial ecosystems and industrial ecology principles and characteristics of the system in the back of industrial ecosystems sources of economic thought and review the history of industrial ecology. Try to explore the development of SMEs cluster ecological path as a starting point for research in order to study clusters of SMEs in China.Following the logical framework of "concept definition and theoretical basis→model →dynamic mechanism→security system, " we achieves the following results and conclusions:Firstly, refering PSR model when analysis quantitative situation of the agriculture-related SMEs cluster, establish a three-dimensional model to evaluate the performance of cluster through comprehensive analysising of "pressure", "state" and the "response"of the cluster’s ecological development, and have a case analysis of the model.Secondly, point out that the formation of the ecologicalization of agriculture-related SMEs cluster is self-organization-Planning symbiotic way through comparison the dynamic mechanism of evolution of tecological enterprise clusters and non-ecosystem. That is, through government guidance, policies, regulations and public participation, and non-governmental organizations (such as research institutions, associations, venture capital funds, etc.)technical financial supporting,form the symbiotic network and ecosystem of the agriculture-related SMEs cluster on basis of the resources exchange and the target of improving resource utilization, reducing production and operating costs, enhancing economic efficiency and environmental benefits.Thirdly, propose two typical patterns of the ecologicalization of agriculture-related SMEs cluster: vertical closed-type and transverse coupling type according to the affiliations of enterprises in the cluster under the guidance of ecosystem, industrial symbiosis and industrial metabolism. Discuss the meaning, prerequisite and the way operayion of the two models.Then have cases analysis of the two models using a Woertaile Lotka (Lotka-Volterra) prey model cluster to analysis the behavior of upstream enterprises and downstream enterprises in the exchange of waste or by-product In the analysis of vertical closed mode, and have a conclution: it help upstream and downstream enterprises to reach equilibrium improving downstream business’transformation efficiency and the purchase rate of upstream enterprise’s in the limited agriculture-related environment of SMEs cluster.Fifthly, analysis the dynamic mechanism of ecologicalization of agriculture-related SMEs cluster from endogenous and exogenous perspective, and think that endogenous type momentumprofits such as economies of scale, competition and cooperation, market prices changes of resources is basic mechanism, otherwise external power mechanism such as the restraint and incentive system of government, promotion of intermediary organizations and balancesis of public and non-governmental organizations is effective mechanism to guide and promote the ecologicalization of the cluster. The synergistic formes dynamic mechanism system of the ecologicalization of agriculture-related SMEs cluster.Sixthly, analysis the behavior of material exchange between two agriculture-related enterprises in SMEs cluster using game of theory, and have a conclusion: the enterprises in cluster will selecte material exchange under to promote coexistence and ecological development of cluster. Analysis the game between the enterprise and government under the ecology direction, and have a conclusion: it requires government intervention in order to form a circular economy as soon as possible, and it will achieve a better stimulus incentives when the intervention efforts achieve a certain intensity.Seventhly, the ecologicalization of agriculture-related SMEs cluster needs participation of many main subject such as system innovation of government, the technical support of scientific research institutes, trade and communication services of associations according to the system theory.更多还原