文档介绍：华中科技大学
硕士学位论文
全球价值链下地方产业集群升级的风险研究
姓名:段文娟
申请学位级别:硕士
专业:技术经济及管理
指导教师:聂鸣
20070129
摘要
经济全球化背景下,发展中国家地方产业集群正通过各种途径主动或被动地嵌
入由发达国家跨国公司主导的全球价值链,企图由此进入集群升级的快车道。
然而,发展中国家地方产业集群在全球价值链中的升级之路并非坦途,而伴随
着风险。本文由此提出了全球价值链下发展中国家集群升级的风险问题,将全球价
值链下集群升级风险界定为:已嵌入由发达国家跨国公司主导的全球价值链的地方
产业集群在升级过程中,由于集群内外部因素引起的不确定性,而导致其升级活动
达不到预期目标的可能性及其结果。根据风险来源不同将其分为内生性风险与外生
性风险,在此基础上,探讨了两种升级风险的具体表现、形成机理以及二者间的相
互影响,并构建了相应的风险模型。本文得出如下结论:全球价值链下发展中国家
集群的升级受到内生性风险和外生性风险的共同影响和制约,内生性风险是集群升
级受阻的根本性风险和内在原因,外生性风险是集群升级不能顺利进行的诱发和强
化因素,内生性风险的强弱决定外生性风险能否对集群升级形成实质性阻碍。内生
性风险形成的根本原因在于集群企业的自身能力不足,外生性风险存在的原因在于
全球价值链运行的内在规律。要有效减少或规避升级风险,发展中国家集群及其企
业需要牢固掌握全球价值链运行的内在规律,及时预测全球价值链上的动态变化,
更需要在关注外部关联的同时,充分发挥集群的集体效率优势,不失时机地提升自
身能力,尤其是增强集群中核心环节的全球竞争优势。

关键词:产业集群全球价值链升级风险
II
Abstract
In the background of globalization, local industrial clusters of developing countries
are trying to insert into global value chains dominated by MNCs actively or passively
through various approaches and then enter into the fast lane of upgrading.
However, Local industrial clusters of developing countries in global value chains
don’t upgrade smoothly and it follows risks. This thesis puts forward the topic on risks of
these clusters’ upgrading in the global value chains. The risks are defined as a probability
which is caused by internal and external factors and embodies the failure of clusters’
upgrading in global value chains. Then, the risks are differentiated into endogenous risk
and exogenous risk according to their sources. After that, the embodiment, mechanism
and interaction of the two types of risks are approached. It also develops relevant risk
model. The conclusion is: industrial clusters’ upgrading in global value chains is affected
and constrained by endogenous risk and exogenous risk together. The former is the
fundamental risk and internal reason that hinders clusters’ smooth upgrading and its
formation is due to the inability of firms in clusters. The latter is the evocative