【作者】 张燕；

【导师】 姚慧琴；

【作者基本信息】 西北大学 ， 政治经济学， 2006， 博士

【摘要】 产业组织对于一个国家或地区产业的生产率和创新率有重要影响，它是一个国家或地区产业竞争力的重要来源。目前中国产业组织大多处于严重不合理而且演进迟缓的状态，这严重地制约了产业技术进步和产业竞争力的提高，本研究的现实意义就在于对这种现象做出解释并提供有益的启示。同时，产业组织的变迁问题基本上被主流研究所忽视，而非主流经济学者对产业组织动态的研究还远未形成系统的分析框架，本文试图以企业的能力观作为对企业行为进行分析的理论依据，从认知的角度整合和深化有关产业组织及其动态研究的理论成果，形成一个产业组织变迁的理论分析框架，应具有重要的理论意义。 本文的基本理论观点是：产业组织演进是由产业内企业间的自组织过程形成多样性和制度与市场对多样性的选择推动的，如果存在有效的外部选择环境，而且企业又采用了有效的学习方式，那么将在知识的产生、积累和传播中形成创新过程，创新过程将推动产业组织向组织化程度更高的方向演化，同时产业组织又对创新的适宜性产生影响，创新和产业组织之间形成相互推动的正反馈回路，促使产业组织发生持续的内生演进。如果不存在以上条件，则产业组织可能因路径依赖而锁定在低效率的水平，演进不会发生或十分迟缓。 为阐述以上观点，本文先进行了理论框架的构建。首先对相关理论文献进行回顾和评述，包括主流产业组织理论，产业组织的演化思想，企业的能力观和认知科学的相关理论，然后根据演化经济学的研究范式建立产业组织变迁的理论分析框架，进入对产业组织演化的性质、过程和机制的分析。 通过对产业组织演化的自组织性的分析，揭示了产业组织演化的内生性。阐明企业能力只能通过其学习行为得到发展，产业内企业间的自组织形成了多样性，同时也形成了对企业经济能力的配置，由此决定了产业组织的效率，而制度和市场对这个配置过程发挥选择机制的作用，有效的选择机制对于产业组织演进的重要意义在于它能去除无效率的组织，诱导成功的组织形式和组织间安排的出现。 由于企业学习行为的重要性，对组织学习进行分析。论述了组织学习的方式、机制和有利于企业生存和发展的启发式原理，并介绍由组织学习产生的技术创新的分类和技术进步模式及其对产业组织产生的影响。在以上分析的基础上，对创新过程及其影响进行研究。在创新的产生和扩散的过程中，需要建立有效的知识转移的渠道，这要求产业组织发现适当的联结以保证知识传播的有效性，这个过程会推动产业组织的变迁，同时新技术范式会对产业组织形式产生强制的规定性，促使产业组织调整，于是产业组织会创新机制的推动下演进，形成更为有序的产业组织的非平衡结构，这又是创新可持续发生的重要条件，创新和产业组织更多还原

【Abstract】 The industrial organization influences on the productivity and innovational probability greatly, and they are important source of country’s or regional industrial competitiveness. Currently, the industrial organization of China is on the condition of unreasonable and unchangeable, which limits the technological innovation and enhancing of industrial competitiveness. Therefore, the empirical implication of this dissertation is to give suggestion by explaining this phenomenon. Meanwhile, the issues of the evolution of industrial organization are almost ignored by the study of mainstream, and non-mainstream schools have not formed a systemic analysis frame. The purpose of this dissertation is to form a theoretic analysis frame of evolution of industrial organization, by analyzing the behavior of the firm in the resource/competence view of the firm in order to integrate and deepen the studies on industrial organization and its dynamic from the point of cognition. This work should have important theoretic significance.The basic conclusion of this dissertation is as follows: the evolution of industrial organization is a process driving by varieties come from the process of self-organization and the selection of them by external institutional environment. If the external selection environment is effective and the firms adapt to the effective ways and principles of organizational learning, innovative process will happen in the process of producing, accumulating and diffusing of knowledge. This innovation process will push industrial organization evolve to be more organic. Meanwhile, industrial organization affects the feasibility of innovation while a positive feedback loop will emerge in the interaction of innovation and industrial organization. If the conditions are not exist, industrial organization may be locked in a low level of efficiency and the evolution may not happen or very slowly.To illustrate the theoretic points mentioned above, an analytic frame of this paper is constructed at first. A review on the relative theories is made, including industrial organization theory of mainstream, evolutionary thoughts of industrial organization, resource/competence view of the firm and cognitive science. Consequently, an evolutionary analysis framework of the evolution of industrial organization is erected. Then the character, process and mechanism of industrial organization are going to be analyzed.Firstly, the endogenous nature of evolution of the industrial organization is disclosed by analyzing the self-organization process of evolution of industry. Points that a firm can only develop its capabilities by learning and the efficiency of the industrial organization lies on the collocation of the competence of the firms in the process of self-organization. The institutions and the markets bring into play a role of selection mechanism on the process of this collocation. The meaning of an effective selection mechanism for the evolution of industrial organization is that it can pick out inefficient firms and induce successful organizational patterns and arrangements between firms.更多还原