| Since2007, the U.S Financial Crisis and the European Debt Crisis erupted successively; global economy witnessed a sluggish growth. China’s economy, which excessively depended on export and investment, has faced unprecedented pressures and challenges since then. Hence, the transformation of economic development pattern has necessarily become an important means for China to get rid of the plight, and also has become the social consensus that government should work for. Transformation of economic development pattern cannot be separated from industrial structure adjustment and industrial upgrading, however, people hold different views on how to carry out industrial upgrading, and such divergence involves:traditional domestic academia pays attention to the optimization and the upgrading of industrial structure, while foreign researchers emphasize the upgrading of enterprise value chain; some local governments pay much attention to the development of new industries while ignoring the core technology; the idea of upgrading enterprise value chain is important but cannot meet the realistic development demand of central and western China; meanwhile, the plight or bankrupt of leading enterprises such as Kodak and Nokia warns us that putting too much emphasis on technological innovation while ignoring the industrial forefront would result in industry upgrading failure.Concerning the realistic challenges and theoretical divergence, this dissertation aims to conduct a study on new conceptual category and practice of industrial upgrading. Enterprise is the subject of innovation, and innovation is the fundamental driving force of industrial upgrading. However, at present, there are quite scarce studies on industrial upgrading from the perspective of enterprise innovation. Therefore, this dissertation will review relevant theories on industrial upgrading and enterprise innovation and tries to give a new definition to the concept of industrial upgrading, then analyses the theoretical relation, influential content and mechanism of enterprises innovation and industrial upgrading, and also summarizes the factors affecting industrial upgrading.At last, some valuable suggestion and practical measures about China’s enterprises innovation and industrial upgrading are proposed.Briefly speaking, this dissertation mainly answers three key questions. First, what is industrial upgrading? This dissertation tries to present a new and systematic view of industrial upgrading by reviewing literatures and differentiating several wrong points. Second, how does enterprise innovation promote industrial upgrading? This dissertation tries to answer this question from the following three perspectives: multiple influencing factors of industrial upgrading, the content of enterprise innovation influence, and its influential mechanism. Third, what are the factors of enterprises innovation that will influence industrial upgrading? The influence factors are extracted from comparative study of Incremental Mode and Leapfrog Mode of industrial upgrading.There are numerous studies on enterprises innovation and industrial upgrading in both theoretical and practical fields. But comprehensive studies, which combine these two theories, are relatively scarce. To establish a systematical view of the industry upgrading and better guide practice, this dissertation defines industrial upgrading from domestic and international dimension, as well as from macroeconomic, meso-industry and micro enterprises. Moreover, this dissertation further defines industrial upgrading from three levels, including the upgrading of industrial structure, industrial quality and industrial value chain. Through detailed analysis, this dissertation finds that industrial upgrading is influenced by four elements, namely supply, market demand, enterprise innovation and government policies. Among these elements, enterprise innovation is the fundamental driving force for its four effects(growth effect, structure effect, spillovers effect and agglomeration effect) have an important impact on industrial upgrading. Enterprise innovation and industrial upgrading are closely related with each other. From a static point of view, enterprise is the micro-subject of industry evolution and industry provides development mid-environment for enterprise; from a dynamic point of view, enterprise innovation determines the level of industrial development and its life-cycle, while industrial upgrading creates demands of enterprise innovation.The influence content and mechanism of enterprise innovation’s promoting effects on industrial upgrading is the key part of the research. Studies above have concluded that enterprise innovations promote industrial upgrading from the following ways. First, enterprise innovations promote the birth of new industries, transform and eliminate backward industries, and change the association among different industries. Second, enterprise innovations transform elements of industrial quality, upgrade quality of enterprises,optimize conditions of industries. Third, through technology innovations and management innovations, enterprise innovations push enterprises to move toward R&D links and brand marketing links, which are the highest value-added links in the industry value chain. The mechanism of enterprise innovation’s influence on industrial upgrading includes re-allocating elements, deepening division of labor, reducing transaction costs, changing market demand.Based on the theoretical analysis, this dissertation conducts a comparative study on historical literature. Industrial upgrading modes over the world can be divided into two modes:the Incremental Mode and the Leapfrog Mode. The former refers to developing in an orderly way, for example, Britain, France, and the US, while the latter means developing in a salutatory way, for example, Japan, South Korea, Singapore and other newly industrialized East Asian countries. These two modes are different in the following aspects:the course of industrial upgrading, the pace and sequence of development, industrial structure changing, government intervention and market environment, foreign trade strategy and sources of technology. On the one hand, dissertation analyzes three typical cases of incremental mode:Netherlands, which transformed from an agricultural country into a commercial country through management innovations; the UK, which transformed from a commercial country into an industrialized country through technological innovations; and the USA, which transformed from an industrial country into a post-industrialized society through both technological innovations and management innovations. On the other hand, we select two typical cases of leapfrog development:the East Asian countries that achieved the ultimate success of industrial upgrading by enterprise innovations, and the Latin American countries which fallen into "Middle-Income Trap" because of their neglect on enterprise innovation. Several factors of enterprise innovations,which promote industrial upgrading, are concluded from the comparison between the incremental development and leapfrog development cases, namely enterprises innovation power, enterprise innovative capabilities, enterprise innovation environment, and enterprise innovation strategies. Finally, some political experiences are obtained based on summarizing developed countries and emerging countries.Since the reform and opening up, the upgrading and optimization of China’s industrial structure has accelerated. Industrial quality and international competitiveness have been significantly promoted. However, with the transition of Chinese economic development stages, and the change of domestic resources and industrial situation as well as the worldwide economy, Chinese industrial development faces new constraints and challenges. Therefore, it is urgent for China to upgrade its industries. It is worthwhile to note that in the new period of development, the focus of China’s industrial upgrading should be transformed from the expansion of gross production to enhancement of quality and efficiency of industry development. Thus, more attention should be paid to enterprise innovations. This dissertation chooses communications equipment manufacturing industry as an example to analyze the effects of enterprise innovations’promoting on China’s industrial upgrading.Based on the analyzing of influential factors of enterprise innovation that stated above, empirical analysis are carried out in this dissertation about the relationship between enterprise innovation and industry upgrading, and the promoting effects of enterprise innovation on industry upgrading. The study proves that enterprise management innovations are more conducive to industrial upgrading while the contribution of technological innovations is far from enough. It is found that enterprise innovation power contributes most to Chinese industry quality upgrading and industry value chain upgrading. The contribution of innovation capability is not significant, which indicates that the cultivation of innovative talents is not enough. Given other thing equal, the role of tax relief on industrial quality upgrading is quite notable, the perfection of financing environment contributes significantly to industry value chain upgrading. Among the four innovation strategies, cooperation innovation strategy is the optimal option while imitation strategy hinders industrial quality upgrading and technology dependent strategy restricts industry value chain upgrading.According to the above theoretical studies, historical literatures review and empirical analysis, this dissertation put forwards several countermeasures to promote industrial upgrading through enterprise innovations. Firstly, good atmosphere of innovation and entrepreneurship should be fostered. Secondly, innovative talents need be cultivated and introduced from abroad. Thirdly, industry-university-research cooperation should be encouraged. Fourthly, fiscal and taxation policies need be strengthened,which impel enterprises to innovate. Fifthly, financing support should be improved to solve the financing problems of enterprise innovation. Sixthly, the protection of intellectual property rights should be strengthened to reduce the risk of innovations. Seventhly, market competition environment need be optimized. Eighthly, market consumer demand should be expanded. |
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