【作者】 董树功；

【导师】 张彤玉；

【作者基本信息】 南开大学 ， 政治经济学， 2012， 博士

【摘要】 生产力的发展和技术进步总会伴随着产业的发展和演变，新兴产业逐步取代传统产业的重要地位成为产业发展和演变的重要规律。在历史发展的不同时期，总会有不同的战略性新兴产业出现，改变当前的产业结构，并引起社会经济的重大变革，对经济发展起到不可或缺的重要作用。战略性新兴产业的形成和培育问题是关系到生产力发展、技术革新和社会进步的重要问题。2008年的国际金融危机给世界经济带来了严重影响，导致世界经济结构出现大调整。经济危机往往催生新的科技革命，进而加速了战略性新兴产业的出现。各国在应对金融危机的过程中，纷纷采取有效措施缓解金融危机对经济社会造成的不利影响，将培育和发展以节能环保、新能源、新材料、生物工程、信息技术等为代表的产业作为应对金融危机、实现经济振兴、抢占新一轮国际竞争制高点的重要突破口，加大对科技创新的投入、加快对新兴技术和产业发展的布局，加强经济结构的调整和对科技制高点的争夺，选取、培育和发展战略性新兴产业，打造新的竞争优势。改革开放以来，我国的经济建设和社会民生取得了迅猛发展，人民生活水平得到了大幅的提高。但与此同时，随着我国工业化进程的向前推进，我国的经济建设和发展面临着规模扩张与资源、环境、技术、人才和体制等多方面日益严重的压力和约束，飞速的经济增长速度考验着中国经济结构和产业结构的协调、平稳和均衡发展的质量。我们应该清醒地认识到，深层次的社会问题正日益暴露，中国在当今世界国际分工中仍处于较低的位置。2008年的国际金融危机使中国经济受到严重的冲击，经济增速明显下滑。短期的困难和长期的矛盾交织在一起，转变发展方式、调整经济结构的任务越来越艰巨，资源环境的制约越来越突出，国际经济和科技竞争的压力越来越大。加快培育发展战略性新兴产业，有利于我们充分发挥科技引领作用、在更高起点上形成新的经济增长点、提高经济增长质量和效益，有利于我们抓住国际产业调整转移和生产要素优化重组的时机、加快形成参与国际经济合作和竞争新优势，有利于我们有效吸引、集聚、整合创新资源，加强经济社会发展创新驱动。关于战略性新兴产业的研究必须在深刻把握其内涵，考虑战略性新兴产业的产业特殊性，结合国家战略必争性、突破性、创新驱动性、先导性等方面进行清晰界定的基础上，深入考察战略性新兴产业的形成动因和形成路径，并提出具体的评价办法。战略性新兴产业是关系到综合国力、经济竞争力、科技实力和国家安全的产业，要充分考虑世界技术的发展动向、产业国际竞争的态势和国际分工格局、未来国家经济发展的资源保障等经济安全问题，选择未来国际竞争格局中起决定性作用的产业作为战略性新兴产业优先发展。同时，要结合我国的具体实际，借鉴国外的发展经验，与传统产业协同发展，发挥产业集群的作用，提出可行性和可操作性较强的培育路径。本文第一章为导论，主要提出论文的选题背景、研究意义、文献综述、研究方法、主要创新与结构安排。第二章为战略性新兴产业文献综述，主要以马克思主义经济学为基础并以西方主流经济学思想为补充对经典的、成熟的产业结构理论、产业选择理论和战略性新兴产业相关理论进行梳理和述评，清晰把握理论发展的脉络，为进一步认识战略性新兴产业的形成、演变和发展机理提供依据。第三章为战略性新兴产业内涵与特征分析。本章通过对现有国内外文献的梳理和分析，系统地界定出战略性产业、新兴产业、战略性新兴产业的内涵，提出战略性新兴产业应具备先进技术和潜在市场两大前提，具有引领带动、产业替代和实现经济效益三大作用，具有附加值高、成长性快、回报率高、战略地位高四大特性，其发展趋势为支柱产业和主导产业。并重点厘清战略性新兴产业与其他产业的关系和动态演进过程。第四章为战略性新兴产业的形成机制。本章主要讨论了战略性新兴产业的形成动因和形成路径，并此基础上提出战略性新兴产业形成过程中的两大助推力。论文认为，战略性新兴产业的产生是生产力和生产关系的内在要求，是生产力与生产关系矛盾运动推动的结果。战略性新兴产业的形成路径要靠市场和政府两个手段来实现，要通过市场机制和政府扶持相互配合，在战略性新兴产业发展的不同阶段有针对地发挥作用。战略性新兴产业形成过程受到需求拉动和创新推动两股力量的助推来实现成长。第五章为战略性新兴产业的评价与优化。本章在分析了战略性新兴产业甄别的理论依据的基础上，充分结合战略性新兴产业的特征并以其两大前提和三大作用为评价准则，提出战略性新兴产业甄别的标准，构造评价指标体系，并利用线性代数中的工具建立层次结构分析模型，得出其权重排序情况。第六章为战略性新兴产业的国际经验与启示。本章主要介绍了美国、欧盟、日韩、巴西、印度等国家和地区发展战略性新兴产业的主要做法，这些做法对促进战略性新兴产业的发展起到了至关重要的作用，为本国抢占科技和产业发展制高点提供必要的政策支撑，也为我国推动战略性新兴产业的发展提供了诸多启示，具有重要的借鉴意义。第七章为我国战略性新兴产业发展的现状与问题。本章在客观介绍了我国战略性新兴产业主要内容、领域和发展趋势后，深入分析了我国发展该产业具备的有利条件，同时也揭示了当前发展战略性新兴产业存在的主要问题。第八章为战略性新兴产业的培育机制。本章在提出培育战略性新兴产业的指导思想与基本原则、战略目标、战略驱动和战略措施之后，提出打造培育战略性新兴产业的主要路径。提出通过实现战略性新兴产业与传统产业协同、融合、互动发展、发挥产业集群的辐射作用等路径共同培育战略性新兴产业。第九章为结语，主要对全文中得出的主要结论做简要的总结，并提出了需要进一步解决的问题。论文拟创新的内容主要包括：第一，深化和完善战略性新兴产业的基础理论研究。当前关于战略性新兴产业的研究主要集中在应用研究上，忽视理论层面的深入研究和基础理论研究，尚未形成规范的理论分析范式，缺乏理论深度的探讨。论文力求在科学界定战略性新兴产业的内涵的基础上，系统分析该产业的本质特征、形成机制、评价与优化的方法及培育机制等，提出具体的分析框架，完善基础理论研究。第二，对战略性新兴产业的形成动因给出马克思主义经济学解释。当今学者对战略性新兴产业的形成动因大多从西方经济学和产业经济学的角度去分析。本论文试图抛开供求理论和产业分化演进等原理，运用马克思主义经济学的理论，从本质上的生产力和生产关系层面去分析战略性新兴产业的形成动因。第三，创建科学合理的评价体系和优化方法。当前关于战略性新兴产业的评价指标体系的建立和优化方法的构建研究较少，论文拟创建一个规范化的、可操作性强的评价指标体系和具体的优化方法，为一个国家和地区战略性新兴产业的发展提供重要的工具。第四，提出培育战略性新兴产业发展的有效路径。论文试图摆脱现有对区域战略性新兴产业培育研究直接借用国民经济主导部门的培育办法来指导区域战略性新兴产业发展的模式，更加强调战略性新兴产业的特殊性，考虑战略性新兴产业的主要特征，选择与传统产业实现协同共赢和发挥产业集群的重要作用等路径来培育战略性新兴产业，实现战略性新兴产业的快速健康发展。更多还原

【Abstract】 The progress of productivity and technology has always been accompanied bythe development of industries, with the replacement of the old by the new. Vital to theeconomic development, emerging industries of strategic importance would invariablyarise at different periods of human history, reshaping industry structures and bringingabout revolutionary changes to our social life and economy as a whole. Thus, theestablishing and fostering of such emerging industries are significant issues affectingthe level of productivity, technological innovation and social progress. The globalfinancial crisis of2008has brought serious impact to world economy, leading toseismic shifts in its economic structure. However, crises can also hasten the birth of anew technological revolution, which in turn will speed up the emergence of newstrategic industries.Countries around the globe have taken effective measures tocounteract the social and economic impact of the financial crisis. They have turnedtheir attention to industries characterized by low energy consumption, less pollution,new sources of energy and materials, bio-engineering, and information technology tostimulate the economy and gain a favorable standing in international competition.They have invested more in technological innovation, accelerated the overall planningof industries, and fostering of strategic emerging industries so as to forge newcompetitive edge.Since reform and opening up, our economy and people’s living standards havewitnessed tremendous progress. Meanwhile, as the industrialization forges ahead, theexpansion of our economy is increasingly restrained by lack of resources,deteriorating environment, low level of technology, insufficient talents andinstitutional flaws. The surging growth has put the balanced and coordinateddevelopment of our economic and industry structure on trial. However, we shall besoberly aware of potential social problems increasingly being felt, as well as the factthat China still ranks low in international division of labor.The international financialcrisis in2008has brought serious impact to China’s economy, leading to visible slow down in economic growth. The short-term difficulties and the long-term challengescompound on each other. The task of changing the mode of development andadjustment of economic structure becomes more and more formidable, the restrict ofresources and environment is becoming more outstanding, the pressure ofinternational economy and science and technology competition is more fierce.Through fostering strategic emerging industries, we can make full use of the guidingrole of science and technology, form new pot of economic growth on a higher startingpoint, and improve quality of economic growth and optimize our returns. We shouldseize the chance of international industry adjustment and optimization of productionfactor to accelerate the forming of new competitive edge in international economiccooperation and competition. It is conducive to attract and integrate innovativeresources so as to enhance development.Studies on emerging industries of strategic importance (EISI) should start with athorough understanding of its definition, and its distinctive features. Only then can wefurther analyze the motivating factors and shaping roadmap of such industries andpropose concrete evaluation methods. Emerging industries of strategic industries areclosely related to comprehensive national strength, economic competitiveness,scientific and technological strength and national security. We should take intoaccount of the future trend of global technology, international industry competence,and economic security issues concerning national resource support, when we chosethe most competitive industries as our priorities. In the meantime, we should alsoraise feasible and operational fostering plans based on our own conditions and theexperience of foreign countries. In addition, collaborative development of strategicemerging industries and traditional ones should be assured, so as to give play toindustrial cluster effect.The first chapter is an introduction, covering topic background, researchsignificance, literature review, research methods, major innovation and structuralarrangements. The second chapter is the literature review on the strategic emergingindustry. The contents include the carding and comment on the classic and maturetheories on industrial structure, industrial choice and of strategic emerging industry,mostly based on the Marxist economics. It also brings in the mainstream western economics as supplement. The chapter grasps the development vein of each theoryclearly and provides the basis for the future understanding of the formation, evolutionand development mechanism about the strategic emerging industry. The third chapteris the analysis of connotation and characteristic of strategic emerging industry. In thischapter, it defines the connotation of the strategic industry, emerging industry and thestrategic emerging industry in system through the carding and analysis on the existingdomestic and international literature review and put forward the strategic emergingindustry should be equipped with advanced technology and potential market,the twomajor premise. And it has the three roles such as guiding, industry substitution andgenerating economic benefits, with high added value, fast growth, high rate of returnand high strategic position. Its trend of development is dominating pillar industry. Andthe key contents of the chapter clarify the relationship and the dynamic evolutionprocess between the strategic emerging industry and other industries. The forth part ison formation mechanism of strategic industries. This chapter focuses on the formationcauses and forming path of the strategic emerging industries, and on the basis topropose the two large boosting powers in the formation of strategic emergingindustries. This paper holds that strategic emerging industries is the internalrequirement of the productive forces and production relations and the result ofproductive forces and the relations of contradictory movement promoted. The formingpath of strategic emerging industries need supports of the market mechanism and thegovernment coordinates, and they have different roles to play in different stages.Demand and innovation pull, the two driving forces, have facilitated the formingprocess of strategic emerging industries. The fifth chapter is on evaluation andoptimization of strategic emerging industries. This chapter analyses strategicemerging industries on the basis of theoretical basis of screening mechanism. It fullyintegrates the feature of strategic emerging industries and are based on two premisesand three major function, proposed the screening criteria of strategic emergingindustries, structural evaluation index system and use tools of linear algebra toestablish hierarchy analysis model. The sixth chapter is about international experienceand enlightenment of strategic emerging industries. This chapter focuses onpromotion of strategic emerging industries by the United States, European Union, Japan, South Korea, Brazil, and India. This practice has played a vital role inaccelerating the development of strategic emerging industries. It also providesnecessary policy support for them to command high ground in technology andindustry development. We can learn a lot from their experience. The seventh chapteris about the present situation and the problem of strategic emerging industries inChina. This chapter objectively describes the main content, areas and developmenttendency of strategic emerging industries. It makes an in-depth analysis on favorableconditions for industry development, while revealing major problems in currentdevelopment of strategic emerging industries. The eighth chapter is on the fosteringmechanism of strategic emerging industries. This chapter proposes the main path infostering strategic emerging industries after proposing guiding ideology, strategicobjectives, strategy-driven and strategic measures in fostering strategic emergingindustries. Putting forward by implementing strategic new industry and thetraditional industry in coordination, fusion, interactive development of industry cluster,give full play to the role of the radiation of the common strategic new industry fosterpath.The ninth chapter is a summary. This chapter mainly makes brief summary onthe main conclusion and puts forward some problems that need further effort.This paper’s innovative features include:Firstly, the paper furthers its basictheoretical research in emerging strategic industries. Current researches of theseindustries mainly focus on applications rather than in-depth theoretical research. Thepaper strives to analysis the essential characteristics of these industries in a systematicmanner, so as to put forward a specific analytical framework and perfect the basictheoretical research. Secondly, the paper explains the formation of emerging strategicindustries with the Marxist economics method. Today, most scholars prefer to analyzethe formation of emerging strategic industries from the perspective of Westerneconomics and industrial economics. This paper attempts to set aside the principle ofsupply and demand theory and industrial differentiation of evolution, and use Marxisteconomic theory to analyze the formation of strategic emerging industries motivationin the essential level of productive forces and production relations. Thirdly, this papercreates a scientific and rational evaluation system and optimization methods. As theshortage of the establishment of the evaluation index system of emerging strategic industries and optimization methods, the paper intends to create a standardized,operable evaluation index system and the specific optimization method, and it willprovide an important tool for a national and regional strategic emerging industry.Finally, it puts forward effective path to nurture the development of strategicemerging industries. The paper tries to get rid of the existing research model and toguide the pattern of regional strategic development of new industries throughborrowing the national economy the dominant sector in nurturing way directly. Itemphasis on the particularity of the emerging strategic industries greatly, to considerthe main features of the strategic emerging industries, use the way of selection andtraditional industries to achieve the collaborative and play the important role ofindustrial clusters to foster strategic emerging industries, the rapid and healthydevelopment of the emerging strategic industries is available.更多还原