A Study On Upgrading Mechanism Of Local Industrial Clusters From A Global Value Chains Perspective

Upgrading mechanism of local industrial clusters from a global value chains (GVC)perspective is a topic to be urgently discussed for the local industrial clusters' need ofpreventing lock-ins, dealing with the risk and outside pressure of clusters, and achievingthe aim of transition to both ends of GVC's high value links. The study on the mechanismin China could enrich the theory of industrial clusters upgrading, and propose somefeasible measures for China's (especially for Zhejiang Province's) local industrial clustersupgrading.As to the research perspective, the dissertation introduces GVC theory as a practicalresearch instrument into studying the upgrading mechanism of industrial clusters. In theliteratures, some scholars employ GVC theory as a research instrument to investigate theupgrading path of industrial clusters, but they didn't introduce GVC theory intosystematical study the upgrading mechanism theory of industrial clusters. Merging GVCtheory effectively with local industrial clusters upgrading theory, the dissertationconstructs a "GVC perspective on upgrading mechanism of local industrial clustersmodel" to systematically study the upgrading mechanism of local industrial clusters froma GVC perspective, and the research perspective is distinctive.The dissertation lays heavy stress on the upgrading mechanism of local industrialclusters from a GVC's perspective. Based on the points in the literatures, the dissertationsystematically puts forward the upgrading mechanism of local industrial clusters from aGVC perspective. In the study, learning from the framework of Michael Porter's"Diamond Model", the dissertation constructs a "GVC Perspective on UpgradingMechanism of Local Industrial Clusters Model" (GUM Model, for short) from a GVCperspective. And the study on the upgrading mechanism of industrial clusters from a GVCperspective widens the study of upgrading mechanism of industrial clusters, and alsowidens the research field of industrial clusters theory. In the model, there are four basicfactors which are clusters learning, clusters innovation, insertion in GVC and socialcapital, also there are two auxiliary factors (i.e. industrial clusters upgrading orientedpublic policy and dominant enterprises in the cluster). The industrial clusters upgrading,embodied by integral optimization of the model, results from the interdependence andstrengthening of the factors in the model. Each factor plays a special role and there isbidirectional action between the factors (between the basic factors, as well as between the basic factors and the auxiliary factors). All the factors synergize through operationalmechanism, thus forming a concerted effort to promote the realization of industrialclusters upgrading in four ways: (a) industrial cluster's technical capability upgrading, (b)industrial duster's innovation capability upgrading, (c) industrial duster's outsidecorrelation capability upgrading and (d) industrial cluster's social capital capabilityupgrading. The operational path of the upgrading mechanism of industrial clusters from aGVC perspective is that: under the industrial clusters governance, all the factors of themodel synergize, bidirectional action between the factors→by means of operationalmechanism of upgrading realization ways→four realization ways of industrial clustersupgrading→the realization of local industrial clusters upgrading. The operationalmechanism of realization ways of local industrial clusters upgrading from a GVCperspective is composed by four subordinating operational mechanisms, i.e. industrialcluster's learning mechanism, industrial cluster's innovation mechanism, industrialcluster's outside correlation mechanism and industrial cluster's social capital mechanism.Each of the four subordinating operational mechanisms corresponds to each of the fourrealization ways of industrial clusters upgrading. Each of the four subordinatingoperational mechanisms plays a role in the upgrading not only by itself, but also throughinteraction, and they synergize to promote local industrial clusters upgrading. From theperspective of GVC, the dissertation regards the industrial clusters upgrading as anincessant upgrading process of industrial clusters' ability and independence, and also anincessant enhancement process of industrial clusters' acquiring value in the GVC. Theextension of industrial clusters upgrading finds expression in industrial cluster's technicalcapability upgrading, innovation capability upgrading, outside correlation capabilityupgrading and social capital capability upgrading. The dissertation regards the model as acomplex system consisting of industrial cluster's technical capability upgrading,innovation capability upgrading, outside correlation capability upgrading and socialcapital capability upgrading. And the dissertation regards the upgrading of industrialclusters as a system optimization, thus forming a concerted effort to promote theenhancement of the ability of acquiring value in the GVC. Either the prime industrialclusters or the industrial clusters embedded in GVC could employ the GUM Model toillustrate their upgrading mechanism. It must be emphasized that different type ofindustrial clusters has the same upgrading mechanism, but the different factors and theircombination has effect on different type industrial clusters and on specific industrialcluster, thus resulting in different upgrading realization ways and in the different appearance of the upgrading path. The difference could reflect exactly the characteristicsand inner nature of industrial clusters of different type and in different stage ofdevelopment. In the dissertation, for the purpose of elaborating the theory and guiding thepractice better, the dissertation not only puts forward the upgrading mechanism of localindustrial clusters from a GVC perspective, but also introduces specific cases of industrialclusters upgrading into the positive analysis.The dissertation lays heavy stress on the industrial clusters upgrading-oriented publicpolicy based on the upgrading mechanism of industrial clusters. The dissertation putsforward that the industrial clusters upgrading-oriented public policy provides systemsupport for the upgrading mechanism, and the industrial clusters upgrading-orientedpublic policy could promote the synergy of the factors in the GUM Model, and also playsa key role in promoting the upgrading mechanism. The dissertation discusses thedefinition of industrial clusters upgrading-oriented public policy, and expounds theforming, the implementing and coordination of industrial clusters upgrading-orientedpublic policy. From the perspective of industrial clusters upgrading-oriented public policy,the dissertation puts forward measures to promoting local industrial clusters upgrading.Based on the theoretical innovation, and combining with the practice of Zhejiangprovince's industrial clusters upgrading, the dissertation puts forward specific measures,and the dissertation succeeds in combining theoretical innovation with the practice ofChina's (especially Zhejiang province's) industrial clusters upgrading. Closely combiningwith the upgrading mechanism of local industrial clusters from a GVC perspective, thedissertation tentatively puts forward specific measures to the industrial clusters upgradingfrom three levels, i.e. public policy level, industrial clusters level and enterprises level,and bring forth some new thought for China's industrial clusters upgrading..