| The natural resource-based region, is an area where natural resource-based industry acts as anengine for its growth and development, covering a large proportion of the local economy. However,due to the mono-centric economic structure, we have to face challenges of risky market fluctuation,unemployment after industrial abandonment, severe environmental pollution, long termtransformation for sustainable development.Therefore, in theoretical and practical terms, how astructural transformation can take place in natural resource–based region, whose long history ofmining is deeply ingrained in the hearts and minds of the inhabitants, is most crucial to protectnational non-renewable resources, keep sustainable growth, realize scientific development,especially under the circumstance of overcoming global financial crisis and domestic economicstructural unbalance.In the view of governmental functions, guided by modern economic theories, focusing on thenatural resource-based region's growth problems, applying New Institutional Economics, RegionalEconomics, Energy Economics, Industrial Economics, Macroeconomics, Microeconomics andEcology Economics to the study, the author constructs a new model of industrial transformation innatural resource-based regions promoted by government as follows, with modern economic analysismethods and new concepts of path innovation, industrial convergence, enterprises convergence, andregional innovation. This paper consists of nine parts, covering literatures, theories, internationalexperiences, necessity of governmental function, framework of governmental intervene, key sectorsof governmental functions.Main conclusions and suggestions are as follows:1．The author has clarified the connotation of industrial transformation in natural resource-basedregions. And analyzes it in the angel of institution. Then describes institutional reason, institutionalprincipals and path dependence by the principles of Marxist Economics and New InstitutionalEconomics. The paper points out that it actually is a procedure of rearrangement of industrialorganizations, industrial layout and industrial regulations. Meanwhile, it analyzes industrialtransformation by the way of theory of innovation of Schumpeter and his followers, from which aconclusion has been made that industrial transformation itself is a process of innovation, which is acombination of technological and institutional innovation. Even more, the viewpoint is stressedthat it is an optimizing and upgrading process of industrial structure in the background ofindustrialization. And the author analyzes industrial transformation with theory of industrialconvergence and defines industrial convergence initially by principles of New InstitutionalEconomics. On the basis of above study, industrial convergence is concluded as the goal and solutionfor industrial transformation. Finally, the dissertation brings out the following points: it is essential toform dynamic mechanism backed by institutional innovation for successful realizing industrialtransformation, in which government plays a guiding role; When market fails to work inresource-based area, government has to intervene; Before the institutional transition completed,government plays a role as the ceiling level designer for institutional innovation; there are extradifficulties in resource-based regions,which are challenges for government to meet. 2.By comparison with international cases, a conclusion has been made that, in developedregions and countries, the industrial structural transformation needs a long and painful period full oftwists and turns, in the process of which, government acts as a guiding role. For example, In theprocess of Ruhr Basin industrial structural transformation, European Union and Germangovernments at different levels made concrete finance and policies to give support to thetransformation. In order to avoid and solve the problems might arise during or after thetransformation, the local government adopted proper measures and achieved comprehensive andsustainable results. In Kyushe, Japan, the local government made policies supporting development ofthe extended industries. Industrial transformation in Lorraine France was on a higher level, with thegoal of improving international competitiveness.3. Path dependence and lock-in effects are main hurdles for industrial development inresource-based regions. The locking reflects in technology, structure, function and cognition, and thereason will be explored in this paper. Meanwhile, in the author'mind, resource curse is not doomedto be inevitable. The rise and decline of resource–based region is closely connected with theresource utilization life cycle, resource consumption life cycle, economic structure, people's thinkingset and the process of national industrialization. In the circumstance of sustainable development inits prime and traditional development model difficult to go far away, transformation can be achievedby turning off the locking effects, which needs government's intervene like policy designing,adjustment of industrial structure, improving environment, so as to avoid shifting from thecomparative resource advantage into the resource advantage trap.4.The author has established a practical framework for industrial structural transformation innatural-resource-based regions promoted by government. Aiming at eliminating the negative–effectsresulted from path dependence in transformation in natural-resource-based areas, this paper hereinitially introduce the concept of path innovation, and stresses that for smoothly path innovation,government should pay most attention to the following three elements: realizing knowledgeeconomy, globalization and sustainable development, this three features of the era, managing tocarry out transformation in the rising period of resource production and consumption life cycle,and insisting on market-orientation and technology-guidance in the process of sublating former path.5.Industrial convergence, enterprise convergence and regional innovation are the three targetsfor industrial transformation promoted by local government in natural resource-based areas. First ofall, industrial convergence is an inevitable choice in the process of path innovation. It accelerates thetransition from traditional industry to modern industry, as the main solution to realize newsustainable industrialization. The path of industrial convergence in resource-based regions includes:convergence of recycling industrial chains, vertical convergence between natural resource upstreamindustry and downstream industry, horizontal convergence of leading industries internally orbetween the former and other non-associated industries. Upgrading the level of industrial value chain,fostering new industries and optimizing the proportion of three industries should be encouraged andpromoted by government. Second, enterprises convergence also is an important way to realize pathinnovation promoted by government. Adjustment of enterprise organization structure ranks firstamong the main elements for successful enterprise transformation.Management of an enterprisemeans it will succeed or not. Effective ways to improve an enterprise's ability for transformation are as follows: modifying enterprises' organization structure, improving management, upgradingindependent innovation. Third, an empirical research is launched to illustrate how government toconduct industrial transformation in Shanxi province, a typical resource-based region. Setting upthree administration system, namely, macro-administration system for industrial structuraltransformation, modern industrial and resource allocation system,and seven industry upgradingmechanisms as following: mechanism of industry access threshold adjustment, mechanism ofregulation of quantity and price of the natural resources utilized, mechanism for assistance andforcing to traditional industry's transformation, mechanism for supporting new-emerged industry,mechanism for management of minerals (coal)by capitalization and securitization and assetization,mechanism for attracting innovation industry, incentive mechanism for attracting investment,mechanism of dynamic management for establishing giant projects.6.The government should play an important role in enhancing regional innovation in Shanxiprovince, which includes four parts: to strengthen science and technology innovation ability, topromote financial innovation, to enlarge opening to the outside world, and to coordinate regionaldevelopment.(1)The scientific and technological innovation in Shanxi province hardly meets itseconomic growth and social development, due to weak innovation ability. The deepen reason isbecause that locking effects in resource-based region has restricted enhancing innovation ability. Thebasic paths to deal with it are to set up mechanism fostering innovation ability and learning process.In a strategic term, establishing regional innovation network helps achieving long-term effects.(2)Financial innovation accelerates industrial structural transformation. This paper suggests to speed upfinancial innovation by the following measures: Optimizing the allocation of credit resources,speeding up offering various credit products meeting different customer's requirements, allowinginsurance fund into economic development fields, supporting industrial transformation by properfunctions of capital market, encouraging bailout in currency market.(3) Enlarging opening to theoutside world helps industrial transformation. Change the functions of government, establishing atransparent and efficient administration model, upgrading of international trade, Improvingcooperation with international companies, all above will helps industrial transformation.(4) Tocoordinate regional development means optimizing regional spatial layout, integration ofconstruction of infrastructure across different regions, promotion of regional cooperation,establishing resource saving and environment friendly society, encouraging centric cities andtowns to exert their leading role in sustainable development.Three main innovations of the paper as follows:1.in the view of governmental functions, focusing on the industrial structural transformation innatural resource-based regions, this paper systematically points out that government should play itsguiding role in the field of policy innovation, regulation, scheme enforcement and etc, so as to go outof dilemma like industrial structure out of balance, lagging system reform as well as unsustainableeconomic and social development. Furthermore, on the basis of fingering out the meeting pointsbetween the theory of innovation by Schumpeter and path dependence theory from New InstitutionalEconomics, and extending concept of path innovation, the author applies them to study of industrialstructural transformation in natural resource-based regions. 2.it is the first time for application of the theory of industrial convergence to industrialtransformation in natural-resource-based regions. The author has explained the connotation ofindustrial convergence by the way of principles of New Institutional Economics, and stressed thatindustrial convergence is the basic solution for industrial transformation, as well as that the threeinevitable stages of industrial convergence includes:convergence of resource-oriented industry andother industries (consisting of convergence of recycling industrial chains, vertical convergencebetween natural resource upstream industry and downstream industry, horizontal convergence ofleading industries internally or between former and non-associated industries. Fostering anddevelopment of new emerged industries.The proportion of three industries become and keep a goodbalance.3.three targets for industrial transformation promoted by government:Industrial convergence isthe sally port; enterprises convergence is the motive power; regional innovation is the safeguard.Shanxi is the most typical case of natural-resource-based region.By empirical study on the case ofShanxi, the author gives his suggestions for local government on how to promote industrialtransformation, which also help to implement plans of central government. Regarding pathinnovation, establishing regional innovation network is announced as a strategic measure, as acombination and union of government, universities, enterprises, non-governmental organizations forenhancing regional innovation ability all together. From empirically study of the case, funding forstructural transformation in Jinzhong,Shanxi, A conclusion is made that, at present, there doescoexists excessive liquidity in overall range of China and insufficient liquidity at specific placesin China, namely, the paradox of excessive money supply in general and structurally moneydeficiency in practical terms. The above conclusion offers a basis for financial innovation to supportsuccessful industrial transformation.
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