【作者】 叶森；

【导师】 曾刚；

【作者基本信息】 华东师范大学 ， 人文地理学， 2009， 博士

【副题名】以浦东新区与长三角地区IC产业联动为例

【摘要】 随着经济全球化的不断深化，世界各国越来越重视通过构建和延伸产业链，通过区域之间的产业合作、联动发展等方式，来获得更多的经济要素、占领更大的市场和实现产业更快的技术升级，以达到提高整个区域产业竞争力的目的。而产业联动使得市场竞争由单个企业之间的竞争过渡到整个产业链中多个企业的协同竞争，区域之间的竞争也由产业层面的竞争过渡到产业集群和产业链层面的竞争，产业联动因此而受到政府和学者的关注。论文以导师主持的国家自然科学基金项目“长江三角洲技术扩散规律与高技术企业区位优化”、“中外文化差异对上海地区中德企业供货商网络的影响”、上海市政府决策咨询研究项目“张江自主创新能力实证研究——现状、评价与对策”和“浦东新区产业发展与布局研究”等课题为支撑，通过各类相关文献资料的搜集以及对上海市浦东新区集成电路企业进行问卷调查，对苏、浙、沪发改委、经信委、科委、统计局等相关部门的走访，获取了丰富的第一手资料。在此基础上，进行了区域产业联动的理论研究和长江三角洲地区产业联动的实证分析研究。论文从地域产业分工理论、价值链与产业链理论、产业集群理论和区域一体化理论入手，以地理学的视角，系统地论述了区域产业联动的理论问题，对产业联动的空间尺度、方式及机理、联动类型、模式、影响因子以及发展阶段进行了系统的分析和归纳，厘清了不同发展阶段产业联动的主要特征，构建了区域产业联动的理论分析框架。从空间尺度看，产业联动可分为全球尺度、区域尺度和地区尺度三个层次。区域是介于全球和地区之间的一个中观空间尺度，其产业联动的影响因子更为复杂，兼有宏观与微观尺度产业联动的特征。较高的区域经济发展水平、较高的区际产业关联度、较为通畅的基础设施、较为开放与宽松的社会文化环境、较为宽松的创新环境、较为亲商的政策措施是促使区域产业联动发生、发展的有利条件。要素流动、产业转移和产业联盟是产业联动的主要表现方式。按产业联动的方向，产业联动可分为水平型和垂直型两大类。产业垂直型联动是位于价值链和生产链上不同环节的经济主体之间发生的联动，通常表现为全球和区域空间尺度上的产业转移活动。要素流动、产业转移属于垂直型联动。而水平型产业联动是一种较为高级的联动类型，具有层次化、结构化、网络化的特征，技术创新扩散、交互式学习、知识创造和分享、邻里关系共建和社会文化根植是其核心内容，产业联盟是其主要方式。根据目的和预期的目标不同，区域产业联动分为基于产业链、基于市场关联和基于技术创新三种类型。基于产业链的联动模式有着严格的“上游—中游—下游”产业传递轨道；基于市场关联的产业链联动的基础是分工的细化和生产的柔性化；基于创新的产业联动实质是产业技术在不同经济主体之间的转移和扩散过程，是三种联动类型中的最高级阶段，在现实当中多表现为以“知识和信任”为基础的“技术联盟”，对区域政策环境和区域创新氛围的要求较高。从发展进程来看，随着不同发展阶段生产要素流动方向和内容的改变，产业联动由要素绝对集聚向传统要素扩散，继而向区域互动发展演进。在要素绝对集聚阶段，要素流动是主要联动方式，区域内部的要素由欠发达地区向较发达地区高速集聚，区域的产业联动比较微弱；在传统要素扩散阶段，产业转移是区域产业联动的主要实现方式，传统生产要素由产业发达地区向欠发达地区的流动，而高级生产要素继续由欠发达地区向发达地区流动，基于产业链和市场关联的模式是这一时期的主要联动方式；在区域互动发展阶段，产业的空间组织结构形成纵向的层级制与横向的职能制纵横交错的整合、互动关系。技术等高级生产要素逐渐由发达地区向欠发达地区流动，基于创新的水平式产业联动是这一阶段的联动主题，社会文化、制度等软环境对产业联动的影响更加显著。论文以集成电路产业为例，对上海浦东新区与长三角其他地区产业联动进行了实证研究。笔者发现，目前长三角地区产业联动为垂直型产业联动，要素流动和产业转移是其主要方式，产业联盟式的水平合作还非常有限；基于产业链的产业联动为主，基于市场的产业联动仍处于起步期，而基于创新的产业联动尚不存在；从总体上看，浦东新区与长三角其他地区的产业联动处在由要素绝对集聚向传统要素扩散的过渡阶段，浦东新区的极化效应仍十分明显，但目前浦东的产业和创新势能还较低，对其他地区的辐射带动作用较小。通过对浦东新区与长三角其他地区产业联动条件进行系统分析，笔者发现，发达的区域经济水平、区内一定的经济空间梯度，地域产业结构差异性和较高的产业关联性，发达的交通网络，同源互动的区域社会文化，区域协作制度建设等为浦东新区与长三角其他区域的产业联动奠定了坚实的基础。但区内创新文化环境的缺失，区内产业联动政策的系统性不强、行政分割严重，区域综合产业联动规划缺位，地域制造业结构趋同性等问题都在一定程度上阻碍了区域产业联动的深化。为了进一步拓展浦东新区与长三角其他区域之间的产业联动空间，要进一步明确浦东新区的发展定位，充分发挥政府在现阶段的关键性作用，加大区域产业联动的制度建设，促进要素自由流动，并克服集体非理性行为，大力推进产业联盟的发展，加强区域技术创新的合作。更多还原

【Abstract】 The economical globalization and regionalizing have become animportant characteristic of the current economical development. In thedevelopment of enterprise, industry and region economy, it is more andmore emphasized through constructs and extends the industrial chain,through the regional industrial cooperation, to obtain the essentialfactor, capture markets, upgrade industrial technology, and enhance theindustrial competitive power of the whole region. Competition between theregions also transit from the industrial competition to the clustery andthe industrial chain competition, this phenomenon is gradually becomingthe focal point which the government and the scholar pays attention.The dissertation is based on a project of National Natural ScienceFoundation of China, on the law of technology diffusion and optimizationof hi-tech enterprises location in Yangtze River Delta, which is anchoredby my supervisor. And it also gets support from the research projectsponsored by Zhangjiang Group, named“A Study on the IndustrialDevelopment of Zhangjiang Hi-tech park”and“A Study on the IndustrialSpatial Arrangement in Pudong New Planning Area”.Through the collectionof related documents and on-spot interview and questionnaire, the bookmakes case study and theoretical analysis on the interrelations ofregional industrial cooperation theory and the cooperation amongenterprises in Yangtze River Delta.Based on theory of region industry division of labor, theory of valuechain, industrial chain, and industry cluster, theory of regionalization,this paper systematically elaborate the region industrial cooperationtheory, analyze the scale, manner, mechanism, style, model and affectfactors of different seedtimes of industrial cooperation.There are three scales of industrial cooperation:Global scale,region scale and local scale. The regional scale is a middle scale, whichhas characteristics of the macroscopic and the microscopic ones. Highregional economy level, strongly relational and complementary of industries, good infrastructure, open and loose social cultureenvironment, active and tolerant innovation environment, highlyeffective system and policy actively promote the industrial cooperation.Essential factor flowing, industrial transfer and industrialalliance are the main performance ways of industrial cooperation.According to the cooperation direction, there are two styles of verticaland horizontal. Vertical industrial cooperation usually behaves asessential factor flowing and industrial transfer. While, the horizontalone has characteristics of hierarchical, structural and network, behavesas industrial alliance which include technology diffusion, learn fromeach other, knowledge creation and share, neighborhood co-build, andsocial culture embedding.According to different goals and ways in different seedtime, regionalindustrial cooperation divides into three kinds of patterns which arebased on industrial chain, market connection and technological innovationThe one based on industrial chain has a strictly’upstream-the middlereaches-downstream’ industrial transmission track, the one based onmarket connection depends on refined division of labor and flexibleproduction, and the one based on technological innovation materially isthe industrial technology diffusion process between different economicsubjects. The third one is the up-most phase of the three kinds ofcooperation patterns.Along with the changes of flow direction and content of productionelements in different seedtime, the industrial cooperation evolves fromessential factor absolutely gathered stage into traditional essentialfactor diffused stage, and then into region cooperation stage. And thecooperation of each stage respectively is essential factors flow,industrial transfer and networks. There are vertical essential factorsflows in the first and the second stages. During these stages, essentialfactors flow from developing areas to developed areas. In the advancedstage, there is the horizontal cooperation with technology and otherhigh-level elements of production flow from developed areas to developingareas. This paper takes an example of IC industry in Pudong New Planning Areato analyze the industrial cooperation of enterprises between Pudong andother areas in Yangtze River Delta. The study shows, vertical cooperationoccupies the dominant position while the horizontal cooperation is verylimited at the present time. There is active regional cooperation basedon industrial chain, the cooperation based on market connection isunderway, and the cooperation based on technology innovation is verylittle. It appears an obvious polarization effect of Pudong during thistraditional essential factor diffused stage. The industry and theinnovation potential energy are also low, and the industrialradicalization and drive function to other areas is still very small.All in all, Pudong has provided the good foundation conditions forindustrial cooperation, while the active and tolerant innovationenvironment has not formed, and still the administrative division wasserious. To promote the industrial cooperation in Yangtze River Delta,it is urgent to enlarge the system supplies, to full display crucialfunction of the government in present stage, to accelerate essentialfactors flow, and to enhance regional technology cooperation.更多还原