产业集群发展中的政府行为及其评价研究
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摘要
早在1890年,马歇尔就在他的《经济学原理》中讨论了基于外部经济的企业在同一区位集中的现象。此后有许多学者对产业集群进行研究,尤其是波特把产业集群与国家和地区竞争力联系起来后(波特,1990),产业集群引起了社会的广泛关注。从20世纪90年代开始,产业集群已发展成为世界经济中颇具特色的产业组织形式,随着改革的不断推进,产业集群也己成为我国工业化过程中的普遍现象。
无论是理论研究还是大量的发展实践,都向我们表明了这样一个事实：大力发展产业集群是提高区域乃至一国竞争力的重要举措。因此,许多政府把区域经济的重点转向依靠发展地方性的产业集群上来,而且产业集群的发展也在越来越大的程度上主导着地区经济的发展。但是,理论与现实同样表明,产业集群自我发展的过程中存在着市场失灵,如过度拥挤、产品的“柠檬市场”、技术锁定以及外部不经济等。因此,政府干预便成为产业集群持续发展的重要推动力。然而由于客观条件的限制,政府干预并非总是有效的,它同市场一样,也存在着效率缺失,使得政府干预非但未能有效的弥补产业集群发展过程中的市场失灵,反而限制了产业集群自我运行机制对资源的优化配置。因此,要保证政府干预的有效性,就必须对产业集群发展中的政府行为进行明确的界定和科学的评价,从而为区域产业集群政策的制定和完善提供重要参考。
为此,本文以产业集群发展中的政府行为为研究对象,主要研究产业集群发展中的政府作用机理,对政府角色进行明确定位,并通过构建相应的评价指标体系,对政府干预产业集群发展的绩效进行评价。全文内容包括十章：第1章导论部分主要对论文的研究背景、国内外研究现状、研究内容和研究方法等进行概述；第2章主要论述了政府干预市场发展的理论依据,从理论上界定了政府与市场的作用范围,阐述了政府干预经济的作用机理,为全文的分析奠定理论基础；第3章主要论述了政府干预产业集群发展的作用机理,分析了政府干预产业集群发展的现实依据(市场失灵)和产业集群发展中的政府失灵,明确了政府干预产业集群发展的作用范围及其路径选择；第4章进一步在对产业集群基本类型进行分析的基础上,制定了政府干预产业集群发展的行为原则,明确了产业集群发展过程中的政府角色定位；第5章主要构建了政府干预产业集群发展绩效的评价指标体系；第6章以河南省新乡市、洛阳市、商丘市为例,对政府干预产业集群发展的绩效进行了实证分析；第7章结合针对新乡市产业集群内相关企业的问卷调查,重点对新乡市政府干预产业集群发展的绩效进行了实地调查研究；第8章总结了包括美国、日本和意大利等国家政府干预产业集群发展的经验,为后续的政策分析提供参考和借鉴；论文的第9章主要分析了新乡市政府干预产业集群发展的政策经验、政策缺位与政策错位,为新乡市政府进一步完善产业集群发展提供了政策思路；论文的第10章对全文的结论进行了总结,指出了论文研究的创新之处、不足之处,并提出了未来的研究展望。
综合全文理论和实证分析,我们认为：政府干预已成为产业集群发展的内在属性,然而由于客观条件的限制,政府干预并非总是有效的,它同市场一样,也存在着失灵现象。因此,政府在干预产业集群发展时,必须对自身的作用范围进行明确界定,秉持干预的基本原则、采用合理的干预手段,才能从理论上保证其干预的有效性。实证分析中,本文通过构建产业集群发展中政府行为的评价指标体系,对新乡市、洛阳市和商丘市的政府行为进行了分析,结果表明：产业集群发展的不同阶段,政府介入的程度也不同,新乡市的产业集群发展处于相对稳定的成长阶段。总体而言,新乡市政府干预产业集群发展的绩效得分较高,政府对产业集群的干预有力促进了地方产业集群的发展。然而,从动态变化上来看,这种有效性并没有得到很好的持续,不同年度的波动性较大：从结构上看,新乡市政府对产业集群发展不同领域的干预并不均衡,其在市场支持、资本要素和技术投入方面的绩效得分相对较低。通过针对新乡市电池产业集群和制冷产业集群的问卷调查分析,也证明了上述结论。为此,我们对新乡市政府已有的针对产业集群发展的相关政策措施进行了分析,结论认为,要改善目前的状况,新乡市政府在继续坚持相关有效政策之外,还应在以下方面进行完善,如坚持市场导向的基本原则、增强既有产业园区和工业园区内的配套设施建设、扩大对中小微企业的政策扶持、建立与产业链发展图谱相配套的职业培育模式、提高政策执行力、建立政策和项目回馈与评价机制,等等。
Early in1890, Marshall has discussed the phenomenon of different factories grouped at the same particular area based on external economy in his "Principles of Economics". From then on, the study of industrial cluster began. Especially from1990when Poter connected the industrial cluster with national competitiveness, this issue has caused wide public concern. From the1990s, the industrial cluster has been characteristically form of industrial organization in the world. So do it for China along with the deepening reform and economic development.
Lots of theoretical studies and development practice show that:the vigorous development of industrial cluster is important measure to improve the competitiveness of regional economy, and even a country's economic competitiveness, herefore, many governments have shifted the focus of regional economic to local industrial cluster cultivation and development, and the local government more and more depends on the industry cluster development. But studies and practice also show taht there are inherent defects in the process of self-development of industrial clusters, so government intervention has become an important driving force for sustainable development of industrial clusters. However, government intervention is not always effective duing to the restrictions of objective conditions.There are government failure make government intervention failed to remedy the market failure effectively, and also restrict self-operating mechanism of industry cluster. Therefore, we must define and evaluate the government behavior in industrial clusters clearly and accuratly, which is helpful to enhance the competitive advantage and promote the upgrading of industry cluster, as well as the policy making and perfecting to solve problems during the development of industrial cluster.
To this end, focused on government behavior in the development of industrial clusters, this paper mainly research the mechanism of government behavior in the industrial cluster development, position the role of government clearly, and evaluate the government performance in industrial clusters through establishment of index system of, evaluation of government intervention in the development of industrial cluster performance. Whole research include ten chapters. Chapter1is introduction. It mainly discuss the research background of the topic, review and critique of domestic and abroad study, the framework and research methods,etc. Chapter2discusses the theoretical and practical basis for government intervention in the market development, theoretically defines the scope of the role of government and the market. Chapter3analyzes the realistic basis government intervention and in government failure in development of industrial clusters (market failure), clears scope of government intervention in development of industrial clusters and its path selection; Chapter4formulates the principles of conduct government intervention in the development of industrial clusters based on analysis of the basic types of industrial clusters, and further defines the role of government in development process of industrial clusters. Chapter5mainly construct evaluation index system of government intervention in development of industrial clusters. Chapter6empirically analyzes the practice of government intervention in the development of industrial clusters by and taking Xinxiang City, Luoyang City and Zhoukou City of Henan Province for example. Chapter7investigate performance of Xinxiang government intervention with industrial clusters combined with the questionnaire. Chapter8sum up the experience of government intervention in the development of industrial clusters including the United States. Japan, Italy and other countries. Chapter9analyzes the various policy experience, policy absence and policy dislocation of Xinxiang Municipal Government intervention in the development of industrial clusters, and provides the policy thinking for the Xinxiang Municipal Government to further improve the development of industrial clusters. Chapter10summaries the findings of the full text, points out the innovations and deficiencies of this thesis, and puts forward the prospects for future research.
Comprehensive full text of theoretical and empirical analysis, we believe that: the presence of market failure of the development of industrial clusters promotes the sustained and healthy development of industrial clusters. However, due to the limitations of the objective conditions, the same as market, government intervention is as not always effective as market. Therefore, when the government intervene development of industrial clusters, it must clearly define the scope of its own role, uphold the basic principles of intervention and utilize reasonable intervention means in order to ensure the effectiveness of its interventions theoretically. In order to study the performance level of Xinxiang government behavior in the development of industrial clusters, we combine the Luoyang, Shangqiu municipal government interfere with the status of the development of industrial clusters, and analyze the behavior of the three governments by building behavioral evaluation index system of government in the development of industrial clusters. The results show that: At different stages of the development of industrial clusters, government intervenes in different degrees. The development of industrial clusters in Xinxiang City is in the relatively stable growth stage. Overall, performance of Xinxiang Municipal Government intervention in development of industrial clusters score higher, government intervention of industry cluster effectively promote the development of local industrial clusters. However, from the dynamic changes, this effectiveness has not been well sustained that fluctuation is obvious in different annual; From the structure, Xinxiang Municipal Government intervention in the field of industrial cluster development is not balanced, that it relatively has a low score in the performance of the market support, capital elements and technical inputs. Through survey analyze of battery industry clusters and refrigeration industry cluster in Xinxiang City, it also proved the above conclusions. To this end, according to the analysis for all the policies and measures of development of industrial clusters by Xinxiang Municipal Government, we believe that, to improve the current situation, besides that continue to adhere to effective policy, Xinxiang city government should improve in the following aspects, such as formulating dynamic policy feedback and evaluation mechanisms, strengthening implementation of the policy, and developing supporting construction for policy system of small and medium micro enterprises, preventing repeated construction of infrastructure, improving the introduction of high-tech talent, training and using mechanisms, establishing statistical system indicators of industrial cluster development, strengthening cluster service platform, etc. In addition, there are some areas to correct, including personnel training mode, selection of key enterprises, strategic restructuring oriented, lack of capacity for independent development of leading industries and leading enterprises, etc. Based on this, we think that in order to optimize the development of industrial clusters, Xinxiang municipal government should adhere to the basic principles of the market-oriented, strengthen the construction of facilities within the existing industrial parks and industrial parks, expand policy support for small and medium micro enterprises, establish career nurturing mode matched with industry chain development pattern, improve policy implementation, establish feedback and evaluation mechanisms of policies and projects, and so on.
无论是理论研究还是大量的发展实践,都向我们表明了这样一个事实：大力发展产业集群是提高区域乃至一国竞争力的重要举措。因此,许多政府把区域经济的重点转向依靠发展地方性的产业集群上来,而且产业集群的发展也在越来越大的程度上主导着地区经济的发展。但是,理论与现实同样表明,产业集群自我发展的过程中存在着市场失灵,如过度拥挤、产品的“柠檬市场”、技术锁定以及外部不经济等。因此,政府干预便成为产业集群持续发展的重要推动力。然而由于客观条件的限制,政府干预并非总是有效的,它同市场一样,也存在着效率缺失,使得政府干预非但未能有效的弥补产业集群发展过程中的市场失灵,反而限制了产业集群自我运行机制对资源的优化配置。因此,要保证政府干预的有效性,就必须对产业集群发展中的政府行为进行明确的界定和科学的评价,从而为区域产业集群政策的制定和完善提供重要参考。
为此,本文以产业集群发展中的政府行为为研究对象,主要研究产业集群发展中的政府作用机理,对政府角色进行明确定位,并通过构建相应的评价指标体系,对政府干预产业集群发展的绩效进行评价。全文内容包括十章：第1章导论部分主要对论文的研究背景、国内外研究现状、研究内容和研究方法等进行概述；第2章主要论述了政府干预市场发展的理论依据,从理论上界定了政府与市场的作用范围,阐述了政府干预经济的作用机理,为全文的分析奠定理论基础；第3章主要论述了政府干预产业集群发展的作用机理,分析了政府干预产业集群发展的现实依据(市场失灵)和产业集群发展中的政府失灵,明确了政府干预产业集群发展的作用范围及其路径选择；第4章进一步在对产业集群基本类型进行分析的基础上,制定了政府干预产业集群发展的行为原则,明确了产业集群发展过程中的政府角色定位；第5章主要构建了政府干预产业集群发展绩效的评价指标体系；第6章以河南省新乡市、洛阳市、商丘市为例,对政府干预产业集群发展的绩效进行了实证分析；第7章结合针对新乡市产业集群内相关企业的问卷调查,重点对新乡市政府干预产业集群发展的绩效进行了实地调查研究；第8章总结了包括美国、日本和意大利等国家政府干预产业集群发展的经验,为后续的政策分析提供参考和借鉴；论文的第9章主要分析了新乡市政府干预产业集群发展的政策经验、政策缺位与政策错位,为新乡市政府进一步完善产业集群发展提供了政策思路；论文的第10章对全文的结论进行了总结,指出了论文研究的创新之处、不足之处,并提出了未来的研究展望。
综合全文理论和实证分析,我们认为：政府干预已成为产业集群发展的内在属性,然而由于客观条件的限制,政府干预并非总是有效的,它同市场一样,也存在着失灵现象。因此,政府在干预产业集群发展时,必须对自身的作用范围进行明确界定,秉持干预的基本原则、采用合理的干预手段,才能从理论上保证其干预的有效性。实证分析中,本文通过构建产业集群发展中政府行为的评价指标体系,对新乡市、洛阳市和商丘市的政府行为进行了分析,结果表明：产业集群发展的不同阶段,政府介入的程度也不同,新乡市的产业集群发展处于相对稳定的成长阶段。总体而言,新乡市政府干预产业集群发展的绩效得分较高,政府对产业集群的干预有力促进了地方产业集群的发展。然而,从动态变化上来看,这种有效性并没有得到很好的持续,不同年度的波动性较大：从结构上看,新乡市政府对产业集群发展不同领域的干预并不均衡,其在市场支持、资本要素和技术投入方面的绩效得分相对较低。通过针对新乡市电池产业集群和制冷产业集群的问卷调查分析,也证明了上述结论。为此,我们对新乡市政府已有的针对产业集群发展的相关政策措施进行了分析,结论认为,要改善目前的状况,新乡市政府在继续坚持相关有效政策之外,还应在以下方面进行完善,如坚持市场导向的基本原则、增强既有产业园区和工业园区内的配套设施建设、扩大对中小微企业的政策扶持、建立与产业链发展图谱相配套的职业培育模式、提高政策执行力、建立政策和项目回馈与评价机制,等等。
Early in1890, Marshall has discussed the phenomenon of different factories grouped at the same particular area based on external economy in his "Principles of Economics". From then on, the study of industrial cluster began. Especially from1990when Poter connected the industrial cluster with national competitiveness, this issue has caused wide public concern. From the1990s, the industrial cluster has been characteristically form of industrial organization in the world. So do it for China along with the deepening reform and economic development.
Lots of theoretical studies and development practice show that:the vigorous development of industrial cluster is important measure to improve the competitiveness of regional economy, and even a country's economic competitiveness, herefore, many governments have shifted the focus of regional economic to local industrial cluster cultivation and development, and the local government more and more depends on the industry cluster development. But studies and practice also show taht there are inherent defects in the process of self-development of industrial clusters, so government intervention has become an important driving force for sustainable development of industrial clusters. However, government intervention is not always effective duing to the restrictions of objective conditions.There are government failure make government intervention failed to remedy the market failure effectively, and also restrict self-operating mechanism of industry cluster. Therefore, we must define and evaluate the government behavior in industrial clusters clearly and accuratly, which is helpful to enhance the competitive advantage and promote the upgrading of industry cluster, as well as the policy making and perfecting to solve problems during the development of industrial cluster.
To this end, focused on government behavior in the development of industrial clusters, this paper mainly research the mechanism of government behavior in the industrial cluster development, position the role of government clearly, and evaluate the government performance in industrial clusters through establishment of index system of, evaluation of government intervention in the development of industrial cluster performance. Whole research include ten chapters. Chapter1is introduction. It mainly discuss the research background of the topic, review and critique of domestic and abroad study, the framework and research methods,etc. Chapter2discusses the theoretical and practical basis for government intervention in the market development, theoretically defines the scope of the role of government and the market. Chapter3analyzes the realistic basis government intervention and in government failure in development of industrial clusters (market failure), clears scope of government intervention in development of industrial clusters and its path selection; Chapter4formulates the principles of conduct government intervention in the development of industrial clusters based on analysis of the basic types of industrial clusters, and further defines the role of government in development process of industrial clusters. Chapter5mainly construct evaluation index system of government intervention in development of industrial clusters. Chapter6empirically analyzes the practice of government intervention in the development of industrial clusters by and taking Xinxiang City, Luoyang City and Zhoukou City of Henan Province for example. Chapter7investigate performance of Xinxiang government intervention with industrial clusters combined with the questionnaire. Chapter8sum up the experience of government intervention in the development of industrial clusters including the United States. Japan, Italy and other countries. Chapter9analyzes the various policy experience, policy absence and policy dislocation of Xinxiang Municipal Government intervention in the development of industrial clusters, and provides the policy thinking for the Xinxiang Municipal Government to further improve the development of industrial clusters. Chapter10summaries the findings of the full text, points out the innovations and deficiencies of this thesis, and puts forward the prospects for future research.
Comprehensive full text of theoretical and empirical analysis, we believe that: the presence of market failure of the development of industrial clusters promotes the sustained and healthy development of industrial clusters. However, due to the limitations of the objective conditions, the same as market, government intervention is as not always effective as market. Therefore, when the government intervene development of industrial clusters, it must clearly define the scope of its own role, uphold the basic principles of intervention and utilize reasonable intervention means in order to ensure the effectiveness of its interventions theoretically. In order to study the performance level of Xinxiang government behavior in the development of industrial clusters, we combine the Luoyang, Shangqiu municipal government interfere with the status of the development of industrial clusters, and analyze the behavior of the three governments by building behavioral evaluation index system of government in the development of industrial clusters. The results show that: At different stages of the development of industrial clusters, government intervenes in different degrees. The development of industrial clusters in Xinxiang City is in the relatively stable growth stage. Overall, performance of Xinxiang Municipal Government intervention in development of industrial clusters score higher, government intervention of industry cluster effectively promote the development of local industrial clusters. However, from the dynamic changes, this effectiveness has not been well sustained that fluctuation is obvious in different annual; From the structure, Xinxiang Municipal Government intervention in the field of industrial cluster development is not balanced, that it relatively has a low score in the performance of the market support, capital elements and technical inputs. Through survey analyze of battery industry clusters and refrigeration industry cluster in Xinxiang City, it also proved the above conclusions. To this end, according to the analysis for all the policies and measures of development of industrial clusters by Xinxiang Municipal Government, we believe that, to improve the current situation, besides that continue to adhere to effective policy, Xinxiang city government should improve in the following aspects, such as formulating dynamic policy feedback and evaluation mechanisms, strengthening implementation of the policy, and developing supporting construction for policy system of small and medium micro enterprises, preventing repeated construction of infrastructure, improving the introduction of high-tech talent, training and using mechanisms, establishing statistical system indicators of industrial cluster development, strengthening cluster service platform, etc. In addition, there are some areas to correct, including personnel training mode, selection of key enterprises, strategic restructuring oriented, lack of capacity for independent development of leading industries and leading enterprises, etc. Based on this, we think that in order to optimize the development of industrial clusters, Xinxiang municipal government should adhere to the basic principles of the market-oriented, strengthen the construction of facilities within the existing industrial parks and industrial parks, expand policy support for small and medium micro enterprises, establish career nurturing mode matched with industry chain development pattern, improve policy implementation, establish feedback and evaluation mechanisms of policies and projects, and so on.
引文
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