【作者】 陈刚；

【导师】 李永禄；

【作者基本信息】 西南财经大学 ， 产业经济学， 2012， 博士

【副题名】以长三角区域为例

【摘要】 一般说来,在解释发展中国家高新技术产业发展方面,较多的学者从两个角度展开。第一是国家发展理论,第二是产业依赖理论。国家发展理论相对于市场经济的最大特色是,发展理论认为,在幼稚产业发展初期,可以通过政府有效率地介入市场,主导产业政策、价格机制、金融借贷,扶持某些产业、控制市场和规划产业发展来增进经济的发展。而产业发展趋于成熟之后,国家角色也会随之改变。当市场经济越发达,制度越完备时,国家角色的重要性或国家干预程度就会随之减少或下降。而传统的产业依赖理论认为,发展中国家的高科技产业必须依赖发达国家技术上的输入,通过对外输出低价原材料或提供廉价劳动力,以换取经济增长。我国集成电路产业’作为高新产业的重要组成,在我国的产业发展路径上,也部分印证了上述的国家发展理论以及传统的产业依赖理论。考察我国IC产业的发展路径可以看到,尽管已经进入市场经济的全球化时代,但是IC产业发展的过程,仍然与政府有着极大的关系。从2000年代以后我国重点打造长三角IC产业示范区域来看,甚至可以看出,在IC产业聚集的长三角,国家的重要性不仅没有随着经济市场化程度的上升而降低,反而随之大大提升。从我国长三角IC产业发展的实证来看,国家发展理论用于解释我国高新技术产业的发展,似乎存在一定的局限。另一方面,我国IC产业发展策略以“借船出海”的方式居多,希望从跨国公司的合资合作中得到技术、市场和知识产权等。从产业政策的效果来看,我国IC产业从1990年代开始大幅增长的主要因素之一,是跨国公司对我国投资,引进必要的技术、资本所致。但是,我国IC产业虽经多年发展,总体上仍然处于IC技术的低端领域,IC产业多年来苦心经营的进口替代目标仍然遥远。可以看到,产业依赖理论对于小国(如马来西亚)的高新技术发展,也许是可行的。但是对于中国这样一个大国,产业依赖理论的缺陷,表现得十分明显。对我国IC产业而言,在提供劳动力、土地与市场之后,更重要是要考虑如何提升技术能力,在未来的全球IC产业经济社会中,取得重要生产与技术地位。因此本文通过长三角IC产业发展过程以及台商在长三角云集的现象入手,来探究可能影响本土IC产业的发展与升级的路径。本研究将从国家角色、跨国资本与技术,以及IC产业群聚等角度,以长三角的IC产业群体以及重点IC厂商的个案,进行相关实证讨论。在文章结构方面,本文综合IC产业链的形成、组织关系、外部资本与技术、政府政策等影响因素来研究IC产业链的发展问题。在完成以上相关几个方面的论证后,笔者最后提出IC产业两岸构建IC价值链整合、共享技术与信息,实现双赢的构想。内容安排上将包括绪论、理论与文献综述、我国IC产业发展概况、长三角IC产业中的政企关系、台企的产业协作网络与溢出效应、长三角两岸IC企业的生产协作网络、两岸IC产业整合模式构想、讨论与结论等八部分。第一章：绪论。本章主要对我国IC产业发展问题进行简要介绍。文中将立足于现代经济学的基本理论与方法,借鉴其他相关学科的理论,融合主流经济学学术规范和传统,深化对IC产业发展关键成功因素的研究。研究方法上,坚持规范分析与实证分析相结合、逻辑分析与历史分析相统一。本章主要明确了论文的研究意义。对本研究涉及的概念做了界定,同时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：理论与文献综述。本章是论文的基础篇,主要对产业发展相关问题的研究进行梳理与评述。内容主要包括两个层次：宏观层面--对国家发展理论的回顾与评述、微观层面--对企业组织关系的理论总结,涵盖传统理论,如交易成本理论、资源基础理论、动态观点理论等,以及较为前沿的部分,如结构化理论与共同演化理论等等。在借鉴他人研究成果基础上,搭建出本论文理论框架。第三章：我国IC产业的发展概况。本章主要探讨我国IC产业规模、产品与技术等级、主要IC产业区域的分布、各个发展阶段的主要特征、以及产业发展瓶颈等问题。第四章：长三角IC产业中的政企关系。本章首先简单介绍了长三角IC产业的总体状况,然后对上海与苏州两地情况做了对比说明,接着用个案分析的方式探讨了长三角重点企业的发展路径以及政府对企业的扶持力度,最后笔者分析了跨国公司对我国IC产业产生的正反两个方面的影响。基于以上的分析,本章最后提出了台企对我国IC产业升级的特殊影响力,为下一章介绍台企生产网络网络做好承接。第五章：台企的产业协作网络与溢出效应。本章主要分析了台企生产协作网络的结构以及运作机制,从成本考量与情感因素两个层面论证了台企网络联盟产生的原因。接着笔者分析了台企在大陆的生产网络的移植与构建过程、台企在大陆生产网络本土化的方式、过程、影响因素、以及本土化的程度。最后对台企网络本土化的局限做出了详细的探讨。第六章：长三角两岸IC企业的生产协作网络。本章首先针对长三角的IC产业,对两岸的技术水平作了对比分析。接着探讨了两岸IC产业的互补性、技术的互动性,最后以个案分析的方式,说明了长三角IC本土厂商的技术学习效果,提出网络关系对技术升级的重要影响。第七章：两岸IC产业整合模式构想。在综合前面各章的基础上,本章分析了IC产业链的各种整合方式。针对两岸IC产业的优劣势以及IC行业的发展趋势,笔者提出了两岸IC产业价值整合的构想,以达成优势互补、共同发展的目标。第八章：讨论与结论。本章主要是对前文总结与本文的研究发现。本研究的主要创新点有以下几个方面：1、从国家角色和网络组织两个角度研究我国IC产业的构建和升级问题。过去的研究大多仅从国家发展理论出发,提出的结论主要涉及国家政策对IC产业的支持,较少关注国家角色的局限性；或者仅从产业依赖理论入手,强调技术引进的重要性,而忽视我国IC产业经济的特殊性。本文基于宏观及微观企业角度,综合上下游产业组织关系、产业配套性、产业政策等因素对IC产业发展问题进行深入研究。2、尝试性地提出了台企对我国本土IC产业产生的知识溢出效应。本土IC企业与台企构建生产协作网络的过程,是本土企业技术、管理提升的过程。通过这个过程,是我国实现IC技术升级的一个有效方式之一。3、提出了两岸IC产业价值整合的构想。本文提出的价值整合平台,超越了单纯的技术学习层次,是一个两岸优势互补,共享知识信息的平台,以期望达到两岸IC产业共同发展壮大之目的。我国IC产业发展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,并进行理论和个案分析,而个案分析又主要针对长三角的代表企业,但缺少大样本数据的实证,这是本文的较大不足。另外,由于产业经济系统本身就是一个复杂系统,我国的IC产业也仅处于发展阶段,再加之本人知识、能力所限,本论文提出我国IC产业的两岸价值整合构架,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】 Generally speaking, in the interpretation of high-tech industrial development in developing countries, many scholars expanded from two angles:the National Development theory, and the Industrial Dependency theory.The main aspect of National Development theory, Compared with the Industrial Dependency theory, is that the former advocates, in the early development of infant industries, by government intervention in the market, through industrial policy, the price mechanism, financial loans, to support certain industries, control the market and planning industrial development to enhance economic development. The industry matures, the role of the state will change accordingly. When the market economy is more developed, more complete system, the importance of the role of the state, or the degree of state intervention will be reduced or dropped.The traditional industries depend theory that developing countries must rely on high-tech industries developed technical input, through exporting cheap raw materials or to provide cheap labor in exchange for economic growth. IC industry as an important component of high-tech industry in our country on the path of industrial development, but also part of the national development confirms the above theory and the theory of traditional industries depend.Examine the development of IC industry path can see that, despite the free economy has entered an era of globalization, but the IC industry development process, still has a great relationship with the government. From the2000s, China after the Yangtze River Delta IC industry demonstration focused on creating a regional perspective, and even can be seen in the IC industry gathered Yangtze River Delta, national importance not only did not rise as the economy and reduce the degree of liberalization, but will be greatly promotion. IC industry development of the Yangtze River Delta from the empirical point of view, the national development theories used to explain the development of high-tech industry, it seems that there are some limitations.On the other hand, China’s IC industry development strategy of "borrowed boat" approach mostly multinational joint venture hopes to get technical, marketing and intellectual property. From the effects of industrial policy, China’s IC industry increased significantly since the1990s is one of the main factors is the multinational investment in our country, the introduction of the necessary technology, capital due. However, China’s IC industry despite years of development, the overall IC technology is still in the low end of the field, IC industry for many years painstakingly import substitution goal is still far away. You can see, the industrial dependency theory for small countries (such as Malaysia) high-tech development, may be feasible. But for a big country like China, industrial dependency theory defects have been very obvious.In view of this, on China’s IC industry, in the provision of labor, land and markets, the more important thing is to consider how to enhance technical capacity in the future of the global economy and society in the IC industry, and achieved significant production and technology position.This article seeks to integrated IC industry chain formation, organizational relationships, external capital and technology, government policies and other factors to study the IC industry chain development. After completing several aspects related to the above arguments, the author concludes with both sides to build IC IC industry value chain integration, sharing technology and information, to achieve a win-win concept. Content arrangement will include an introduction, theory and literature review, the development of IC industry overview, the IC industry in the Yangtze River Delta between government and enterprises, Taiwan enterprises industrial partner network and spillover effects, both sides of the Yangtze River Delta Cooperation IC enterprise production networks, cross IC concept of industry consolidation mode, discussion and conclusions eight parts.Chapter1:Introduction. This chapter focuses on China’s IC industry development issues briefly. Man will be based on the basic theory of modern economics and methods of the theory from other relevant disciplines, the integration of mainstream economics academic norms and traditions, deepen the IC industry key success factors. Research methods, adhere to standardized analysis and empirical analysis, logical analysis and historical analysis of unity. This chapter focuses on a clear thesis significance. The concepts involved in this research have defined, and will also arrange for the text of the structure, research papers will reach depths general introduction.Chapter2:Theory and Literature Review. This chapter is a basic thesis papers, mainly on the industrial development to sort out issues related to research and comment. Mainly consists of two levels:the macro level-the country’s development review and comment on the theory, the micro level-the enterprise organizational relationships theoretical summary, covering both traditional theories, such as transaction cost theory, resource-based theory, dynamic perspective theory, as well as the more cutting-edge parts, such as structured co-evolution theory and the theory and so on. Drawing on the basis of research results to others, to build a theoretical framework of this thesis.Chapter3:overview of the development of IC industry. This chapter focuses on the size of the IC industry, product and technical level, the main area of the IC industry distribution, the main characteristics of the various stages of development, as well as industrial development bottlenecks and other issues.Chapter4:IC industry in the Yangtze River Delta, the relationship between government and enterprises. This chapter begins with a brief introduction to the general state of the IC industry the Yangtze River Delta, Shanghai and Suzhou and then do a comparison the two cases described, followed by a case study approach explores the key enterprises in the Yangtze River Delta development path and government efforts to support enterprises, and finally the author analyzes the multinational companies on China’s IC industry produced both positive and negative implications. Based on the above analysis, the chapter concludes with Taiwan enterprises on China’s IC industry to upgrade the special influence, as the next chapter Taiwan enterprises to undertake the production network networks do.Chapter5:Taiwan enterprises industrial partner network and spillover effects. This chapter analyzes the Taiwan enterprises production structure of the network as well as third-operation mechanism, cost considerations and emotional factors from the two levels of the Taiwan Business Network Alliance demonstrated cause. Then the author analyzes the Taiwan enterprises on the mainland transplant production networks and build process, Taiwan enterprises on the mainland production network localization methods, processes, influencing factors, as well as the degree of localization. Finally Taiwan enterprise network localization limitations to make a detailed study.Chapter6:IC cross the Yangtze River Delta manufacturing enterprises Cooperation networks. This chapter begins for the Yangtze River Delta’s. IC industry, on both sides of the technical level were analyzed. Then the two sides discussed the complementarity of the IC industry, interactive technology, and finally to case analysis is to describe the Yangtze River Delta IC technology learning local manufacturers, network relationships made an important impact on technology upgrades.Chapter7:Conception of cross-strait integration model IC industry Consolidated on the basis of the preceding chapters, this chapter analyzes the various IC industry chain integration methods. IC industry for both sides as well as the advantages and disadvantages IC industry trends, the author presents the value of cross-strait concept of an integrated IC industry to achieve complementary advantages and common development goals.Chapter8:Discussion and conclusions. This chapter is a summary of earlier findings in this article.The main innovation of this study are the following aspects:1, From the role of the state and perspective of network organization two IC industry to build and upgrade issues. Most previous studies only from the national development theory, proposed conclusions mainly involves national policy support for the IC industry, and less attention to national role limitations; or starting only from industrial dependency theory, emphasizing the importance of the introduction of technology, while ignoring particularity of IC industry economy. Based on the macro and micro enterprise perspective, integrated upstream and downstream industries organizational relationships, supporting industries of industrial policy and other factors on the IC industry development issues in-depth study.2, Tentatively proposed Taiwan enterprises on China’s domestic IC industry knowledge spillovers generated. Local IC production enterprises and Taiwan enterprises to build a third network in the process, is a local enterprise technology and management to enhance the process. Through this process, is China’s IC technology to achieve an effective way to upgrade one.3, The two sides put forward the idea of integrating the value of the IC industry. The value of the proposed integration platform, beyond the purely technical level of learning, is a strait complementary advantages, to share knowledge and information platform to expect to achieve common development of both sides of the IC industry growth purposes.Development of IC industry is a complex issue. This study was done to build tentative framework and theoretical and case studies, and case analysis has focused on the Yangtze River Delta on behalf of companies, but the lack of empirical data in a large sample, which is less than the larger paper. In addition, the industrial and economic system itself is a complex system, China’s IC industry is only in the development stage, coupled with my knowledge, capacity constraints, this paper puts forward the value of IC industry of cross-strait integration architecture, is only the beginning, inadequate not yet involved related issues remain to be further.更多还原