论文标题:资源型城市产业转型研究
Real Options Approaches for Investments under Uncertainty
论文作者 张米尔
论文导师 武春友,论文学位 博士,论文专业 技术经济及管理
论文单位 大连理工大学,点击次数 62,论文页数 122页File Size8762k
2002-06-29论文网 http://www.lw23.com/lunwen_125604457/ 资源型城市;产业转型;演变路径;产业组织;转型模式
resource-based city; industry conversion; evolution route; industrial organization; conversion model
资源型城市是依托资源开发而兴建或者发展起来的城市。我国资源型城市众多，如何在资源逐渐枯竭的情况下实现产业转型，使城市得以持续发展，是关系到众多资源型城市的紧迫问题。论文以市场经济条件下的中国资源型城市产业转型为研究对象，研究结论为政府和有关部门制定相关政策和采取措施提供决策依据，为资源开发企业发展决策提供分析工具。 论文采用了实证研究与规范研究，定量分析与定性分析相结合的方法。首先进行了文献检索与查阅，对相关研究领域的研究进展进行了评析。与此同时，对国内典型资源型城市进行了实地调研。在此基础上，进行资源型城市产业转型的国际比较研究，使整个研究有坚实的实证支持；同时，比较研究中揭示出的问题也成为下一步研究的切入点。针对国内外相关研究的薄弱环节，在资源型城市演变的路径，资源型产业组织与产业转型以及资源型城市产业转型模式与对策三个维度开展研究，并注意各专题间的衔接和关联。在研究过程中，综合运用了产业组织理论、制度经济学和博弈论等理论方法开展研究，在将新产业区理论，国家竞争优势理论以及产业群理论方法引入资源型城市研究领域进行了尝试。在以上研究的基础上，针对我国资源型城市产业转型存在的制约因素和制度缺陷，开展了相应的对策研究。 论文首先分析了资源型产业和资源型城市的内涵，对概念进行了界定。为达到研究市场经济条件下中国资源型城市产业转型的目的，选择了具有代表性的市场经济国家作为比较研究的对象。通过对不同背景下资源型城市产业转型的比较研究，得出了在产业转型政策应用、产业转型时机选择、区域竞争优势再造、人员安置与职业培训等方面对我国资源型城市产业转型的有益启示。研究了资源型城市演进的动力机制，分析了资源型城市产业转型的制约因素，提出了在资源开发的不同时机，推动产业转型的对策。揭示了我国资源型产业在市场结构、进入壁垒和退出壁垒三方面存在的差异，获得了资源型产业组织结构分类图，并以此为基础，分别对石油城市和煤炭城市的产业转型进行了深入研究。证明资源型产业的产业组织结构对资源型城市的产业转型产生重要影响，而这被以前的研究所忽视；在此基础上，提出了不同产业组织结构下的产业转型对策。通过对国内外资源型城市产业转型的实证研究，提出了产业延伸模式、产业更新模式和复合模式，研究了影响产业转型模式选择的关键因素；提出基于投资主体特征与项目投资机会的匹配度以及投资主体特征与项目成功因子的匹配度的项目机会选择的匹配矩阵方法，用于产业转型中的投资决策。研究了资源型城市区域创新系统中的交易费用和道德风险，提出了整合内部创新资源和利用外部创新资源构建资源型城市区域创新系统的对策。分析了对产业转型产生重大影响的区域政策、财税体制和城市化政策等相关政策，针对存在的制度缺陷提出了相应的对策建议。
Resource-based cities are developed by resource exploitation. There are many resource-based cities in China. The urgent problem to resource-based cities is how to realize industry conversion for the sustainable development of the cities while the resource is dried up gradually. The research object is the industry conversion in resource-based cities under market economy in China. The research conclusions provide the decision-making basis for the government and related institutions and analysis tools for the resource-exploiting enterprise in the development decision-making.Positive study and normative study are adopted and quantitative analysis is combined with qualitative analysis in the dissertation. At first, documents are recalled and referred. Then, research progress of related research field is analyzed. Meanwhile, the domestic typical resource-based cities have been investigated. Subsequently, the international comparison of industry conversion in resource-based cities is conducted to support the whole research. Therefore, the problems disclosed in comparison research make a start of the future research. Aimed at the weakness sector of the related research, the researches are developed in three dimensions, i.e., the evolution route of resource-based cities, the interaction between industrial organization and industry conversion in resource-based cities, industry conversion model and countermeasure. The theory of industrial organization, institution economics and game theory are put to use in the progress of the research. It is a brave attempt to induce the theory of new industrial region, competitive advantage of nation and industry cluster theory into the research field of resource-based cities. The research of countermeasure is conducted based on the restriction factors and institution defects existed in industry conversion.The meaning of the resource-based industry and resource-based city are analyzed and the concepts are defined in the dissertation. In order to realize industry conversion in resource-based cities under market economy in China, the representational market economy nations are chosen as the object of the comparative study. The revelations are obtained in the application of industry conversion policy, the opportunity choice of industry conversion, regional competitive advantage reconstruction, personnel practice and profession training by comparison research under different backgrounds. The dynamic mechanism in the development of resource-based cities and restriction factors to industry conversion in resource-based citied are analyzed. The countermeasures to promote industry conversion at different opportunity are put forward. The difference in market structure, entry barrier and exit barrier of resource-based industry is disclosed. The classification of industrial organization structure of resource-based industry is obtained. The deep research on the industry conversion in oil cities and coal cities is conducted based on the classification. It is proved that industrial organization structure of resource-based industry has played an important role in industry conversion in resource-based cities, which is ignored in the past.Therefore, countermeasures to industry conversion in different industrial organization structure are put forward. The industry conversion model, i.e., industry extension, industry renewal and combination model are given by positive study. The key factors affected the choice of industry conversion model are put forward. The approach of matching matrix for investment decision-making in industry conversion is put forward based on the fit between investor"s characteristics and investment opportunities and the fit between investor"s characteristics and project"s key factors. Transaction cost and moral hazard occurred in the regional innovation system of resource-based cities are studied. The countermeasures to establish the regional innovation system of resource-based cities are given by integrating internal innovation resources and utilizing external innovation r
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