摘要
区域经济发展一直是中国经济学界所关注的热点问题，这一研究视野下的经典文献重点在于考察其区域产业在结构、效率、创新能力等方面的发展现状与趋势。这就不可避免地引入了另一个中国经济学界的热门话题，即“区域产业升级”。产业升级作为政府转变经济增长方式战略的重要政策着力点，其最为重要的内涵便体现为区域产业发展过程中的效率提升以及创新能力的提升，显然，这一范畴下的区域产业升级多半是伴随着生产要素的区域性积累而实现的。产业集聚的本质体现为伴随着区域开放进程所实现的各种生产要素跨区域流动、集中与区域性积累过程，由此可见，在产业集聚、要素积累与区域产业升级之间应该存在一种链条效应。然而，现有关于产业集聚与区域产业升级的大量研究要么聚焦于产业结构变化，要么聚焦于集聚的产业效率效应，而鲜有沿着集聚、要素积累与产业效率增进、创新能力提升展开的。本书的主旨，恰在于此。具体而言，就是从集聚的要素积累效应切入，从区域经济对外开放与对内开放之“二重开放”视野梳理集聚、要素积累与区域产业升级之间的链条机理，构建一个合乎逻辑的分析框架，用模型进行刻画，进而提出实证检验命题。最后，本书以我国区域层面数据为依据，对相应命题进行实证检验。
理论上，考虑区域经济“二重开放”情形，沿着产业集聚、要素积累与产业升级的链条线索，进行机理梳理和建模尝试，具体分三个步骤展开。第一步是机理梳理与模型刻画。探讨开放条件下集聚过程所实现的要素集中过程，并通过拓展Venables（1996）的垂直关联模型来论证集聚外部性作为集聚之要素积累的强化机制，进而提出“产业集聚之要素积累效应”的理论命题。第二步是机制的细化与命题的提炼。具体而言，在区分专业化集聚之MAR外部性（又称专业化外部性）与多样化协同集聚之Jacobs外部性（又称多样化外部性）的基础上，通过归纳集聚之要素积累效应对于区域产业效率的间接作用机制与集聚对于区域产业效率的直接作用机制，即“专业化集聚之产业效率提升机制”、“多样化协同集聚之产业创新机制”、“产业内纵向分工及竞争机制”和“产业间协同分工及竞争机制”，提出“集聚之于区域产业升级”这一理论命题。第三步是通过对以上机理的梳理和理论分析，构建了一个区域经济“二重开放”视野下，产业集聚对于区域产业升级的统一分析框架。
实证方面，本书考虑到中国区域层面具有特殊的区域开放差异，因此将区域经济“二重开放”这一特殊的中国现实纳入实证研究框架，借助我国区域层面1997～2011年的面板数据，分别针对集聚、要素积累与区域产业升级之链条机理进行实证检验，并在此基础上着重考察集聚之要素积累效应对其区域产业升级的影响是否存在区域差异，即一个区域是否有要素积累就一定会有产业升级。具体实证分析结论可归纳如下。
其一，我国制造业集聚对其集聚区域的人力资本要素的内生积累具有显著的正向影响，区域开放对其区域实现人力资本积累同样具有显著的正向影响。这一模型回归结果在稳健性检验中均未发生显著的变化，表现出较强的稳健性特征。进一步地，通过对我国细分区域样本的考察可以发现，制造业集聚之人力资本积累最为显著的区域是中部区域。
其二，通过对我国区域工业劳动生产率之面板数据的实证检验，证实了“集聚之于区域产业升级”可以分别通过集聚之物质资本、人力资本要素积累之间接作用机制以及集聚之市场分工、竞争之直接作用机制得以实现，从而印证了本书的理论推断。此外，模型回归结果表明，区域开放与对外开放对区域产业升级同样具有显著的正向影响。以上回归结果在稳健性检验中均未发生明显的变化，同样表现出了较强的稳健性。进一步地，通过对我国细分区域的20个两位数制造业行业之面板数据的实证考察，可以发现集聚之于区域产业升级的两种作用机制在不同制造业细分行业中存在显著差异。
其三，针对“集聚之于区域产业升级”命题的人力资本积累这一间接作用机制的实证研究可以发现，按对外开放程度分组的样本区域呈现三种状态，即高对外开放度分组区域表现为“有人力资本积累，有产业升级”，而中等对外开放度分组区域表现为“有人力资本积累，无产业升级”，低对外开放度分组区域则表现为“无人力资本积累，无产业升级”。
Abstract
Regional economic development was one of the most popular topics in China's economic research. Plenty of papers mainly focuses on the development status and trend of the regional industry in the aspects of its structure efficiency and innovation ability, which inevitably introduced another popular economics research branch in China called industrial upgrading. It's also one of the most important government policies for the transaction of economics growth mode. For the regional economics, the most important connotation of industrial upgrading is the improvement of regional industrial productivity and its innovation ability. To improve the productivity and innovation ability of the regional industry, one of the important ways is increasing the inputs and its accumulation of different factors of production. Then, as a significant economic phenomenon industrial agglomeration is vital for the accumulate of the production factors, because the characteristic of agglomeration is the regional concentration of firms and different production factors. However, many researches of this field aim to focusing on not only industrial structure change but also the productivity and the innovation effect of agglomeration. Because of this, most of these researches are lacked of a compound analysis framework and its perspective. Therefore, this paper aims to take the factor accumulation into account, and find the theoretical mechanism of the agglomeration and industrial upgrading from the regional opening up perspective, and build up a whole research framework with agglomeration and industrial productivity upgrading. Then, this paper will also carry out the empirical research based on the regional database of China. And finally make some advises for the strategy of regional industrial productivity upgrading in China.
On the theoretical part, this paper aims to find the mechanism relation and found the mathematical model under the opening-up perspective of the three keywords which are agglomeration factor accumulation and Industrial upgrading. First of all, this paper found a mathematical model of industrial agglomeration under the hypothesis of regional opening-up, then this paper modify the classic vertical linkage model which was found by Venables in 1996 to discuss the agglomeration externality which was the strengthen mechanism of factor accumulation, and then get the first proposition named factor accumulation effect of industrial agglomeration. Secondly, this paper divide the agglomeration externality into MAR externality and Jacobs externality, and put forward the endogenous accumulation of human resource based on the two different kinds of externalities, and get another two agglomeration propositions of indirect and direct effects which can affect improvement the industrial productivity as follows:MAR externality mechanism, Jacobs externality mechanism, internal industrial division and competitive mechanism, external industrial division and competitive mechanism. Finally, this paper build up a whole double opening-up analysis structure based on the theoretical works before.
On the empirical part, this paper make the double reality of Chinese regional opening-up into account that different Chinese regions have its own characteristic of opening-up within China and to the the other countries. The empirical works have been carried out to examine the three propositions above based on the Chinese regional panel data in 1997～2011. This paper also focusing on if different regions has different effects on the improvement of industrial productivity with factor accumulation. The conclusions of the empirical works can be summarized as follows.
Firstly, the agglomeration of Chinese manufacture industry has a significant positive effect on the regional endogenous human resource factor accumulation. So does the effect of regional opening-up to the regional endogenous human resource factor accumulation. The conclusion are strongly robusted accounting to several more tests which had been carried out. Accounting the further study of dividing the sample of the panel data into 3 parts which are east region、middle region and west region, the most significant region of this phenomenon is middle region in China.
Secondly, accounting to the examination the Chinese regional industry productivity, this paper verify that the specialized agglomeration has a significant positive influence on promoting the industrial productivity. What's more important, the influence can be divided into two different parts that are indirect effect and direct effect. The indirect effect of agglomeration is its factor accumulation effect which can positively increase the industrial productivity, and the indirect effect of agglomeration is its market division and completion effect which also has a positive influence on the industrial productivity. The empirical conclusion are also strongly robusted after being tested by several ways. Furthermore, accounting to the examination of the 20 different two-digital manufacturing industries in China, this paper also found that the effect mechanism of the specialized agglomeration for promoting the industrial productivity are totally different in different subdivision parts of Chinese manufacturing industry.
Thirdly, this paper also aims to carry out the empirical works on the study of the Chinese regional samples which were divided into 3 categories by its different opening-up conditions. The conclusion are interesting that high openingup regions can be proved as positive human resource accumulation and positive industrial upgrading, mediums opening-up regions can be proved as positive human resource accumulation and non industrial upgrading, and low opening-up regions can be proved as negative human resource accumulation and non industrial upgrading.