基于产业集群模式的农村工业化萌芽与成长机制研究

【作者】 阮建青；

【导师】 卫龙宝；

【作者基本信息】 浙江大学 ， 农业经济管理， 2008， 博士

【摘要】 自产业革命以来,人类社会的发展经验表明,贫困不是一种命运,成功的工业化发展模式能够帮助发展中国家的贫困人口摆脱贫困陷阱。而发生在中国最近30年时间内的工业化过程是欧洲两个世纪以来工业化过程的一个缩影,尤其是东部沿海地区基于产业集群的农村工业化发展模式取得了令人震惊的成就。但是,在发展经济学的文献中,对中国快速工业化过程的理解依然是表面化和模式化的。本文通过对浙江省一个农村产业集群的深入剖析,结合浙江省改革开放后基于产业集群的农村工业化发展历史,从理论和实证上回答了产业集群如何解决发展中国家农村工业化萌芽和成长过程中的4个关键性问题:(1)在工业化萌芽阶段,产业集群是如何帮助企业家克服工业化资本壁垒的?(2)产业集群为企业家提供了一条什么样的成长通道?(3)在工业化早期阶段,蕴藏在民间的稀缺的企业家才能是如何通过产业集群被动员和培育起来的?(4)已经发生的浙江农村工业化过程中的产业集群质量升级是如何实现的?对上述4个问题的回答形成了本文的主要结论:(1)基于产业集群的中小企业分工协作制能够有效地降低工业化资本壁垒。具体而言,资本市场不发达和工业化资本壁垒的存在诱致了企业家进行生产组织形式的创新,面临资本约束的企业家通过选择基于产业集群的中小企业分工协作制,将进入门槛很高的生产技术分解成了进入门槛很低的生产技术,使得发展中国家资本稀缺的潜在企业家能够根据自身可得资本选择进入不同的生产技术类型,从而融入工业化进程之中。(2)基于产业集群的中小企业分工协作制不仅为资本缺乏的企业家提供了融入工业化的机会,而且还为他们提供了成长的通道。本文检验了Baumol假说,该假说指出不同技术类型的资本回报率与其进入门槛正相关;本文的调研数据证实了Baumol假说在农村产业集群中的成立,这表明在一个产业集群内,高资本回报率能够激励企业家不断将利润转换成资本,实现从低进入门槛的生产技术类型跨越到高进入门槛的生产技术类型。(3)基于产业集群的中小企业分工协作制能够充分动员和培育蕴藏在民间的稀缺的企业家才能。具体而言,产业集群通过分工将一种企业家才能要求较高的一体化生产组织形式,分解成了企业家才能要求较低的分工协作的生产组织形式。通过这种机制,发展中国家稀缺的企业家才能被充分动员起来,并且在一个动态过程中,企业家才能得到了培育。(4)在产业集群中,危机所引发的地方政府和企业家的一系列应对措施是促使产业集群实现质量升级的重要原因。通过对浙江省众多产业集群质量升级过程的考察,本文发现危机与产业集群质量升级有着重要的关系。本文构建了一个理论分析框架,解释危机是如何激发产业集群中的企业家、地方政府以及民间组织的联合行动,并使产业集群从低质量均衡跳跃到高质量均衡,本文进而利用浙江省100多个产业集群的历史资料和县级面板数据证实了本文的理论假说。总体而言,本文将理论与实证较好地结合到一起,从产业集群的视角,解释了中国东部沿海地区快速农村工业化过程的萌芽和成长机制。本文在如下方面可能对发展经济学的文献产生贡献:首先,本文将资本市场发展、工业化资本壁垒和产业集群联系了起来,这一联系在已有文献中并未得到足够的重视;其次,本文利用产业集群微观调研数据,验证了Baumol假说;最后,本文将危机引入产业集群质量升级的分析框架中,将Sonobe & Otsuka的模型向前推进了一步,在理论上较有新意。更多还原

【Abstract】 Poverty is not a destiny.The development experience of human society since Industrial Revolution has demonstrated that the successful model of industrialization in developing countries could effectively help poor people get out of the poverty trap. The industrialization process of China in recent three decades,especially the dramatic achievement of Cluster-Based Rural Industrial Development Model in eastern coastal areas of China,can be viewed as a condense version of industrialization that had happened in Europe in the past two centuries.Unfortunately,the theoretical explanations provided by current development economics literatures about China’s rapid industrialization process were and still are superficial and stereotyped.Through the in-depth analysis of a rural industrial cluster in Zhejiang Province,combined by the analysis of cluster-based rural industrialization process of this area since the reform and the opening-up,the dissertation tries to provide theoretical and empirical answers to the following key questions about the germination and evolvement of industrialization in developing countries:(1) In the embryonic stage of industrialization,how the industrial clustering helped the entrepreneurs to overcome the industrial capital barrier?(2) What kind of development channel was provided to entrepreneurs through industrial clustering?(3) What’s the mobilization and cultivation mechanism of the country’s scarce and latent grass-roots entrepreneurship in the early stage of industrialization?(4) How does the quality upgrade of industrial clusters come into reality in Zhejiang’s rural industrialization process?The answers to the above four questions can be summarized as the following conclusions of the dissertation:(1) The cluster-based co-operate system of SMEs could effectively lower the capital barrier of industrialization.To put it more specifically,the existence of imperfect capital markets and capital barrier could induce entrepreneurs’ organizational innovation in production;entrepreneur who faces credit constraints chooses the cluster-based co-operate system to decompose the production technology with high entry barrier into the technologies with lower barriers.Thus,the entrepreneurs suffers lack of capital in developing countries could enter into the industrialization process according to their own entrepreneurial potential by choosing a suitable type of production technology.(2) Besides the participation opportunities offered to the entrepreneurs,the cluster-based co-operate system of SMEs also provided the development channel for them.The dissertation did a test of the Baumol hypothesis,which supposes the positive relationship between the returns to capital and corresponding capital barriers of the different types of technology,within the context of Zhejiang’s rural industrial clusters.The confirmation of Baumol hypothesis indicates that,within an industrial cluster,the higher rate of returns to capital could stimulate entrepreneurs to keep on transforming profit into capital,which result in an escalation from the application of technology with lower entry barrier into a higher one.(3) The scarce and latent grass-roots entrepreneurship could be fully motivated and stimulated by cluster-based co-operate system.Specifically,the vertically-integrated system,which demands a higher-level entrepreneur competence, was decomposed by the industrial cluster through the division of labor into a form of production system which demands a lower level of entrepreneur competence.Through this mechanism,the grass-roots entrepreneurship was highly motivated,and further cultivated in a dynamic process.(4) The countermeasures taken by the local government and entrepreneurs to tackle the crisis can be viewed as a key to the realization of industrial clusters’ quality upgrade.Based on the field study of quality upgrade process of many industrial clusters in Zhejiang Province,the dissertation discovered the critical relationship between the crisis and quality upgrade of clusters,and argued that the crisis could trigger a series of countermeasures of entrepreneurs and local governments,which could then induce the quality upgrade in the clusters.The dissertation built a theoretical analysis framework to explain how the crisis stimulated the cooperation between enterprises,local governments,and NGOs.This theoretical hypothesis is tested using the panel data from several counties of Zhejiang Province.In the summary,from the industrial cluster perspective,the dissertation combined theoretical and empirical analysis to explain the germination and development mechanism of rapid rural industrialization happened in eastern coastal rural area.The dissertation may have contributed to the development economics literature in the follow way:Firstly,the dissertation clarifies the linkage between capital market development,capital barrier and industrial cluster,which was not well documented and analyzed in the previous literatures.Secondly,the dissertation testified the validity of the Baumol Hypothesis.Last but not least,the dissertation improved the Sonobe and Otsuka Model through the incorporation of crisis into the analysis framework of quality upgrade of industrial cluster.更多还原