【作者】 刘娟；

【导师】 周梅华；

【作者基本信息】 中国矿业大学 ， 管理科学与工程， 2012， 博士

【摘要】 本文在对国内外大量文献资料阅读整理的基础上，就我国煤炭资源主导型产业的集群化发展问题进行了研究，为我国以煤炭为代表的不可再生性资源产业，在“规模化”“基地化”的政策导向和产业实施过程中遇到的可行性和有效性问题，提供决策的理论参考。全文主要围绕四个逻辑问题逐层展开。第一，煤炭资源型产业在我国市场环境下走集群发展的发展道路是否可行，即“能不能集群”的问题。本文在第3章中首先通过空间基尼系数的测算，证明我国煤炭资源型产业已经具备了围绕主导产业链的企业集聚条件，但相关产业和组织的融入和配套还不成熟，产业网络还不完善；然后通过实证数据分析煤炭产业区位集中度和产业利润绩效、安全绩效、技术绩效的关系，证明煤炭企业通过空间集聚行为可以提高产业的绩效水平；最后通过测算我国煤炭产业的行业集中率，分析其发展趋势，得出提高行业集中度可以提高煤炭产业经济效益水平的结论。综上，我国煤炭产业选择集群化的发展之路是一种合理的选择，具备一定的可行条件，但也存在一些问题。轮轴式集群形态是适合我国煤炭产业集群化发展的基本模式。第二，具备什么样的条件才能算是煤炭资源型产业集群，即“是不是集群”的问题。本文在第4章中将煤炭资源型产业集群化发展的条件分为构成条件和发展条件。构成条件在Michael E. Porter“钻石体系”模型的基础上，具体考虑煤炭产业在我国集群发展的特殊属性，进行了“政府参与要素”和“技术创新与产业接续要素”的修正。发展条件是集群要比群外主体对各种资源拥有更大的吸引力。本文借用物理场的概念构建了集群场引力的测度方法，并对我国具备煤炭产业集群化发展构成条件的典型区域进行了集群场引力的测度。并基于经济效率视角，对目前我国主要的煤炭产业区的集群化条件进行比较和评价。从样本的地域分布来看，围绕我国黄河流域，以河套沿线及中下游地区为中心的区域集群化发展条件较为成熟，东北和长江流域尚显不足。第三，煤炭资源型产业集群是按照怎样的演化规律和动力机制形成并持续发展的，即“集群是怎样生成”的问题。煤炭产业集群生命周期的演化过程取决于变量N（集群企业数量）和K （集群所在区域能够容纳的最大企业数量）的关系变化。集聚优势的发挥和核心能力的培育将最终将决定整个产业集群的生命周期和发展轨迹。按照不同的比较优势将煤炭产业集群生命周期分为资源优势阶段、集聚优势阶段和产业优势阶段，各阶段的构成要素、集群动力和发展途径各不相同。第四，煤炭资源型产业集群化发展的有效路径应该是怎样的，即“如何有效集群”的问题。煤炭资源型产业的集群化发展包括点发展和链发展两条主体路径，分别表现为发挥轴心作用的大型煤炭企业的发展和依托煤炭资源而弱化煤炭依赖的产业链扩展。点发展的研究以经济模型理论推导为主，提取了影响核心企业经济增长的要素，即投资数量和比例、无形资产的价值、技术创新的水平和煤炭资源投入的速度，其中以投资率和技术增长率的影响作用更为显著，但前者的作用是短期的、外部的，而后者是长期的、内源的。链发展的研究基于复杂网络方法，在对比我国煤炭产业链构成现状与优化发展思路的基础上，设计了煤炭产业集群核心产业链抽取和最优路径搜寻的算法规则。在理论研究之后，本文通过数据包络分析方法和集群场空间函数的拟合，选择优势集群区域内，集群场梯度向量在极值点上增长率最快的空间范围，即西北煤炭优势集聚区域内，以鄂尔多斯为核心的内蒙古西南部地区为研究样本，通过系统动力学建模等研究方法，对上述四个理论问题的研究结论进行了验证。最后，本文就我国煤炭产业的集群化问题提出了几点发展思路：（1）我国煤炭资源主导型产业的发展应该注重区位集中度和行业集中度的提高，换句话说，就是要加强围绕资源的产业集聚和核心煤炭企业的发展，形成寡头竞争市场性质的轮轴式产业集群形态。（2）煤炭资源主导型产业集群的培育要特别重视两个问题：一是集群产业模式正面效应的发挥，二是集群创新能力的培养。（3）政府或者企业主体在对煤炭资源主导型产业集聚区域进行规模扩张或产业投资决策时，应该根据对该区域集群化条件状况的判断或集群所处产业阶段的特点，有选择、有重点、有顺序的进行。在区域选择上，应优先考虑优势区域（黄河河套腹地）和可行区域（黄河河套中下游）；在产业链投资上，在资源优势阶段和集聚优势阶段时，选择深度最优路径上的节点进行扶植；在产业优势阶段时，选择广度最优路径上的节点进行扶植。（4）集群环境下对核心煤炭企业的培育关键要从四个要素入手，即投资、无形资产、技术创新和煤炭资源投入。从长远来看，提高对煤炭产业集群的研发投资和非煤产业投资，选择以技术驱动和多元化经营为主的内涵式发展路径才是集群实现有效发展、优化升级的最优路径。按照以上集群发展思路，本文提出了相应的对策建议。更多还原

【Abstract】 On the basis of studying a large number of domestic and foreign literatures, thispaper focuses on the issue of coal resource-based industry clustering development inChina by trying to provide theoretical references for decision-making in China’snon-renewable resources industry represented by the coal industry. Thereby, to figureout the feasibility and effectiveness of the problems encountered in theimplementation process of the "large scale" and "base" oriented policies. The full textrevolves four logical issues successively.Firstly, it’s a problem whether it’s feasible to run the cluster development pathfor the coal resources-based industries in China’s market environment, that is,“Can orNot Cluster”. In summary, despite of both practical conditions and some problems, it’sreasonable to have a cluster development pattern for China’s coal industry. The axleindustry cluster morphology is the basic mode for the development of China’s coalindustry.Secondly, what can be considered as a well qualified coal resource-basedindustry cluster? That is,“Yes or No Cluster”. We divide the preconditions for thecoal industry clustering development into two parts, composite conditions anddevelopment conditions. On the basis of “Diamond” model by Michael E. Porter,composite condition improves government elements and technology innovation andindustry succeeded elements. We measure the cluster field force to reflect the attractability towards all kinds of resources. Then, we compare and evaluate China’s maincoal industry area clustering conditions.Thirdly, how does coal industry cluster form and sustainably develop byevolution rule and dynamic mechanism? That is,“How to Generate Cluster”.Theevolutionary process of the coal industry cluster life cycle depends on the variableN(the number of firms in cluster) andK(cluster area able to accommodate themaximum numbers of enterprises). The agglomeration advantages and the corecompetencies will eventually decide the entire life cycle and development trajectoryof industrial clusters. According to different comparative advantages, coal industrycluster life cycle can be divided into resource advantages stage, agglomerationadvantages stage and industrial advantages stage, which are different in compositionelements, cluster dynamics and development path. At last how to develop the coal industry cluster effectively? That is,“How toEffectively Cluster”. Coal resource-based industrial by clustering involves twoprincipal paths, including point development and chain development. The study on thepoint development mainly focus on the theoretical economic model, extract theelements that affect the economic growth of the core enterprise, among which theeffects of the investment ratio and the technology growth rate are more significant,but the former has a short-term, external effect, while the latter is long-termendogenous. The study on the chain development based on a complex networkmethod, compare the discrepancies between the status of China’s coal industry chainconstitutes and the expected development ideas, to complete the core cluster chainextract and the optimal path search.Overall by the way of data envelopment analysis (DEA) and the cluster fieldspatial function build, we select the fastest vector changes extreme points along thecluster field gradient in the advantageous clusters regions. That is Inner Mongoliasouthwest, core of Ordos, China’s coal industry advantages agglomeration area in thenortheast. Then verify the four theoretical issues conclusions. Based on the conclusionof the theoretical and empirical analysis, there are several development ideas andcorresponding suggestions of China’s coal industry cluster.更多还原