创新集群知识治理机制研究
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摘要
知识是当今社会最重要的战略资产,学习是最重要的战略行为。创新集群的培育和发展影响区域竞争力乃至国家竞争力。培育创新集群推进创新型国家建设进而提高国家竞争力的理念已经在决策层和学术界形成了高度共识。培育创新集群就必须实施高强度的知识和技术学习、构建契合的创新集群知识系统以及知识治理机制。
创新集群是以新知识生产、新产品大量出现为本质特征的创新型组织(创新型企业、各种知识中心和相关机构)在地理空间上集中或者在技术经济空间中集聚,并且与外界形成有效互动结构的产业组织形态。不论术语如何变换,诸如知识集群(knowledge clusters),技术集群(technology clusters),智力集群(intellectual clusters),以知识为基础的集群(knowledge-based clusters);满足以上界定,均可以视为属于创新集群范畴。创新集群吸收了创新理论的重要成果；尤其创新系统研究是创新集群最主要的理论来源；创新集群也融合了区域理论、产业区、产业集群和创新地理学的理论成果。创新集群存在两个分析维度：地理空间维度和技术经济空间维度；“创新”是“集群”的定语,还是“集群”是“创新”的状语?这个争执实质是两个研究维度的争执,如果只是选取其中一个维度将误导以后的理论研究和实践发展。
后发优势还是后发劣势的争论本质上涉及后发国家和地区是否具有知识和技能的学习能力、吸收能力、学习强度以及制度学习能力。而这些问题在创新集群发展过程中就体现为：知识是如何有效生产、共享、协调、整合的,也即创新集群的知识治理机制问题。基于创新集群知识属性(知识库)和组织属性(联盟库)视角,根据知识库和联盟库的高低水平差异可以得出创新集群的不同阶段形态模型,然后根据这些阶段形态选择相契合的知识治理机制,是增进知识总量的供给,还是增进知识供应者与知识使用者之间的连接,还是选择塑造共同文化、共同语言的知识平台项目。
知识平台的构建过程反映出创新集群的不同秩序和制度环境。在中关村创新集群信用知识平台构建过程中,主要反映出公共秩序的主导力量,中关村管委会作为主要发起人和组织实施主体。在杭州电子商务集群信用知识平台的构建过程,主要反映出私人秩序的主导作用,领军企业作为主要发起人和组织实施主体。在公私袄序作用下借助于组织主体实现知识的螺旋运动,即知识共享化、内在化、形式化和联结化。
知识治理活动中存在一些典型组织,除了通常的领军企业之外,还有地区研究中心、合作研究中心等。创新集群的培育有赖于创新要素的连接和耦合,这些要素的连接和耦合必须由创新集群中的组织主体加以协调和整合。基于此研究了创新集群中组织的构成、组织间的竞争和合作以及组织发育的路径。
制度与知识、组织与知识两两之间存在相互作用的关系；扩展开来,知识、组织和制度三者之间也存在共生演化关系。创新集群的知识、组织和制度的共生演化关系可以描述为：以现有知识存量、文化遗产为先导,经由组织认同,国家权威发起制度变革,直接或间接促进了知识生产机构的增加和质量的改善,在企业家能力的整合下引发了微观组织的创新,这些创新又反哺知识生产机构,竞争和多样性的激荡作用又引致社会知识和社会理念的渐次改变。
创新集群知识治理的公共政策框架需要站在国家战略目标的高度上构建和筹划,其思想核心是构建“集中力量办大事”和多样性自由探索之间竞争和互补的制度结构；政策核心是“抓大放活”,即抓住国家战略目标、注重设计规则的构建,放活其他一切资源从事知识生产的多样性自由探索。推而论之,这也是中国特色创新体系的公共政策框架和思想核心。
Knowledge is the most important strategic asset, and learning is the utmost strategic action. The fostering and development of innovation clusters can influence regional and even national competence. To cultivate innovation clusters has gained wide recognition among the decision-makers and academic world as an important factor that helps build an innovative nation and boost national competence. Intensive learning of technology and knowledge, construction of suitable innovation cluster knowledge system, and knowledge governance mechanism are the three crucial criteria in the formation innovation clusters.
Innovation cluster is defined as the geographical or technological-spatial concentration of innovative organizations (enterprises, knowledge centers and related entities) that feature mass production of knowledge and effective interaction with outside world. No matter how the technical terms change, such as knowledge clusters, technology clusters, intellectual clusters, or knowledge-based clusters, any organization concentration that meet the above criteria can be seen as an innovation cluster. Innovation cluster studies absorbed the core findings of innovation theories, especially of the innovation systems studies; it also integrated in theories from Regional Theory, Industrial district, Industry Cluster and Innovation Geography. Innovation cluster studies are carried out in two dimensions: geographical and technological-space. Is "innovation" modifying "cluster", or the other way around? Such debate reflects the focusing of different research dimension. One-sided research will later compromise our theoretical exploration and application development.
Are the following-up countries advantaged or disadvantaged? The debate is actually a question about whether the following-ups are equipped with the learning abilities of knowledge, technology, and institution, and how well they can do them. Considered from development of innovation clusters, such questions can be interpreted into: how is knowledge effectively produced, shared, coordinated, and integrated, or in other words, the knowledge governance mechanism of innovation clusters. Based on the knowledge attribute (knowledge stock) and the organizational attribute (alliance stock), we are able to find out models of innovation cluster in different phases, and duly select a suitable knowledge governance mechanism: should we increase supply of knowledge volume, or the connection between knowledge suppliers and users, or build a knowledge sharing platform that enables common culture and language.
Construction process of knowledge platform can reflect different order and system in innovation clusters. In building of innovation cluster credit platform in Zhongguancun, the Management Commission acted as the major initiator and implementer, which showed the leading position of public hierarchy. On the other hand, in the building of credit platform in Hangzhou E-commerce innovation cluster, leading private companies took the controlling position, a clear demonstration of private system. Under the influence of public and private powers, the subjects made spiral developments of knowledge, namely socialisation, externalisation, internalisation, recombination.
Apart from usual leading companies, regional research institutions are also typical organizations active in knowledge management. The fostering of innovation clusters requires the connection and coupling of innovation elements, which is achieved through coordination and integration among the subjects in the clusters. Bearing all these in mind, the study attempts to study the constitution of organizations in innovation clusters, competition between organizations, and the development approaches of them.
Institution and knowledge, organization and knowledge are both interacting; to observe on a higher scale, knowledge, organization and system can even be seen as a co-evolution symtem.Their co-evolution existence can be described as:led by the existing knowledge and cultural heritage, and recognized by the organization, the nation authorities initiates institution reform that directly or indirectly boosts the increasing in knowledge production and quality improving. Innovations in micro-organizations are enabled through integration of entrepreneurs, which in turn rewards the knowledge production entity. On the other hand, challenge and variety triggered changes in social knowledge and ideas.
The public policy on knowledge in innovation clusters requires planning and implementation from a national strategic perspective, whose core idea includes a system that "focuses on the big picture" and tolerates diversified approaches; policies should be“concentrate on the major ones and free the others”-to seize national strategic targets and construction of rules, and free all other knowledge production activities. Moreover, this is also the public policy framework and key factor of the Chinese innovation system.
创新集群是以新知识生产、新产品大量出现为本质特征的创新型组织(创新型企业、各种知识中心和相关机构)在地理空间上集中或者在技术经济空间中集聚,并且与外界形成有效互动结构的产业组织形态。不论术语如何变换,诸如知识集群(knowledge clusters),技术集群(technology clusters),智力集群(intellectual clusters),以知识为基础的集群(knowledge-based clusters);满足以上界定,均可以视为属于创新集群范畴。创新集群吸收了创新理论的重要成果；尤其创新系统研究是创新集群最主要的理论来源；创新集群也融合了区域理论、产业区、产业集群和创新地理学的理论成果。创新集群存在两个分析维度：地理空间维度和技术经济空间维度；“创新”是“集群”的定语,还是“集群”是“创新”的状语?这个争执实质是两个研究维度的争执,如果只是选取其中一个维度将误导以后的理论研究和实践发展。
后发优势还是后发劣势的争论本质上涉及后发国家和地区是否具有知识和技能的学习能力、吸收能力、学习强度以及制度学习能力。而这些问题在创新集群发展过程中就体现为：知识是如何有效生产、共享、协调、整合的,也即创新集群的知识治理机制问题。基于创新集群知识属性(知识库)和组织属性(联盟库)视角,根据知识库和联盟库的高低水平差异可以得出创新集群的不同阶段形态模型,然后根据这些阶段形态选择相契合的知识治理机制,是增进知识总量的供给,还是增进知识供应者与知识使用者之间的连接,还是选择塑造共同文化、共同语言的知识平台项目。
知识平台的构建过程反映出创新集群的不同秩序和制度环境。在中关村创新集群信用知识平台构建过程中,主要反映出公共秩序的主导力量,中关村管委会作为主要发起人和组织实施主体。在杭州电子商务集群信用知识平台的构建过程,主要反映出私人秩序的主导作用,领军企业作为主要发起人和组织实施主体。在公私袄序作用下借助于组织主体实现知识的螺旋运动,即知识共享化、内在化、形式化和联结化。
知识治理活动中存在一些典型组织,除了通常的领军企业之外,还有地区研究中心、合作研究中心等。创新集群的培育有赖于创新要素的连接和耦合,这些要素的连接和耦合必须由创新集群中的组织主体加以协调和整合。基于此研究了创新集群中组织的构成、组织间的竞争和合作以及组织发育的路径。
制度与知识、组织与知识两两之间存在相互作用的关系；扩展开来,知识、组织和制度三者之间也存在共生演化关系。创新集群的知识、组织和制度的共生演化关系可以描述为：以现有知识存量、文化遗产为先导,经由组织认同,国家权威发起制度变革,直接或间接促进了知识生产机构的增加和质量的改善,在企业家能力的整合下引发了微观组织的创新,这些创新又反哺知识生产机构,竞争和多样性的激荡作用又引致社会知识和社会理念的渐次改变。
创新集群知识治理的公共政策框架需要站在国家战略目标的高度上构建和筹划,其思想核心是构建“集中力量办大事”和多样性自由探索之间竞争和互补的制度结构；政策核心是“抓大放活”,即抓住国家战略目标、注重设计规则的构建,放活其他一切资源从事知识生产的多样性自由探索。推而论之,这也是中国特色创新体系的公共政策框架和思想核心。
Knowledge is the most important strategic asset, and learning is the utmost strategic action. The fostering and development of innovation clusters can influence regional and even national competence. To cultivate innovation clusters has gained wide recognition among the decision-makers and academic world as an important factor that helps build an innovative nation and boost national competence. Intensive learning of technology and knowledge, construction of suitable innovation cluster knowledge system, and knowledge governance mechanism are the three crucial criteria in the formation innovation clusters.
Innovation cluster is defined as the geographical or technological-spatial concentration of innovative organizations (enterprises, knowledge centers and related entities) that feature mass production of knowledge and effective interaction with outside world. No matter how the technical terms change, such as knowledge clusters, technology clusters, intellectual clusters, or knowledge-based clusters, any organization concentration that meet the above criteria can be seen as an innovation cluster. Innovation cluster studies absorbed the core findings of innovation theories, especially of the innovation systems studies; it also integrated in theories from Regional Theory, Industrial district, Industry Cluster and Innovation Geography. Innovation cluster studies are carried out in two dimensions: geographical and technological-space. Is "innovation" modifying "cluster", or the other way around? Such debate reflects the focusing of different research dimension. One-sided research will later compromise our theoretical exploration and application development.
Are the following-up countries advantaged or disadvantaged? The debate is actually a question about whether the following-ups are equipped with the learning abilities of knowledge, technology, and institution, and how well they can do them. Considered from development of innovation clusters, such questions can be interpreted into: how is knowledge effectively produced, shared, coordinated, and integrated, or in other words, the knowledge governance mechanism of innovation clusters. Based on the knowledge attribute (knowledge stock) and the organizational attribute (alliance stock), we are able to find out models of innovation cluster in different phases, and duly select a suitable knowledge governance mechanism: should we increase supply of knowledge volume, or the connection between knowledge suppliers and users, or build a knowledge sharing platform that enables common culture and language.
Construction process of knowledge platform can reflect different order and system in innovation clusters. In building of innovation cluster credit platform in Zhongguancun, the Management Commission acted as the major initiator and implementer, which showed the leading position of public hierarchy. On the other hand, in the building of credit platform in Hangzhou E-commerce innovation cluster, leading private companies took the controlling position, a clear demonstration of private system. Under the influence of public and private powers, the subjects made spiral developments of knowledge, namely socialisation, externalisation, internalisation, recombination.
Apart from usual leading companies, regional research institutions are also typical organizations active in knowledge management. The fostering of innovation clusters requires the connection and coupling of innovation elements, which is achieved through coordination and integration among the subjects in the clusters. Bearing all these in mind, the study attempts to study the constitution of organizations in innovation clusters, competition between organizations, and the development approaches of them.
Institution and knowledge, organization and knowledge are both interacting; to observe on a higher scale, knowledge, organization and system can even be seen as a co-evolution symtem.Their co-evolution existence can be described as:led by the existing knowledge and cultural heritage, and recognized by the organization, the nation authorities initiates institution reform that directly or indirectly boosts the increasing in knowledge production and quality improving. Innovations in micro-organizations are enabled through integration of entrepreneurs, which in turn rewards the knowledge production entity. On the other hand, challenge and variety triggered changes in social knowledge and ideas.
The public policy on knowledge in innovation clusters requires planning and implementation from a national strategic perspective, whose core idea includes a system that "focuses on the big picture" and tolerates diversified approaches; policies should be“concentrate on the major ones and free the others”-to seize national strategic targets and construction of rules, and free all other knowledge production activities. Moreover, this is also the public policy framework and key factor of the Chinese innovation system.
引文
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④标注说明：文中出现的所有图和表格,如有资料来源均为引用；没有标识资料来源的均为作者整理制作而成,下同。
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②同本页注1.
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②制度对于多样性的容忍至关重要,将在第8章重点分析。
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①笔者在阅读纳尔逊(2001,2002)之后深受启发,顿觉德国化工创新集群的研究价值；搜寻后发现了刘立的《德国化学产业的兴起》一书,该书尽管作为科普读物出版,但是丝毫不影响其学术价值和史料价值。
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①本章内容受到钟书华科技举国体制思想的启发。参见钟书华.论科技举国体制[J].科学学研究,2009,(12)：1785-1792.
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②库尔特·多普菲.演化经济学：纲领与范围[M].北京：高等教育出版社,2004：27-38.
③引自库尔特·多普菲编.演化经济学：纲领与范围[M].北京：高等教育出版社,2004：28.
④引自库尔特·多普菲编.演化经济学：纲领与范围[M].北京：高等教育出版社,2004：139.
①梅特卡夫.演化经济学与创造性毁灭[M].北京：中国人民大学出版社,2007：138.
②梅特卡夫.演化经济学与创造性毁灭[M].北京：中国人民大学出版社,2007：27-28.
③詹姆斯·斯科特.国家的视角[M].北京：社会科学文献出版社,2004：21.从这个角度也可以分析2008年中国的雪灾。大雪演变成灾难的一个重要原因是电力设施的被破坏,而铁路已经完成了电气化改造,离开了电力,火车只能停滞在铁轨上,铁轨不是主要原因。如果采用多样性动力诸如蒸汽动力仍然存在,那么铁路系统更加稳定、更能够抵御自然灾害。
①詹姆斯·斯科特.导言.国家的视角[M].北京：社会科学文献出版社,2004：9.
②爱德华·康斯坦特.战争与技术的进化.约翰·齐曼主编.技术创新进化论[M].孙喜杰、曾国屏译.上海：上海科技教育出版社,2002：323.
①路风在有关大飞机的研究报告中也提到了“强5”飞机。参见路风.走向自主创新：寻求中国力量的源泉[M].桂林：广西师范大学出版社,2006：309.
②引自熊卫民、王克迪.合成一个蛋白质——结晶牛胰岛素的人工全合成[M].济南：山东教育出版社,2005：116-117.
③引自熊卫民、王克迪.合成一个蛋白质——结晶牛胰岛素的人工全合成[M].济南：山东教育出版社,2005：117.
④引自熊卫民、王克迪.合成一个蛋白质——结晶牛胰岛素的人工全合成[M].济南：山东教育出版社,2005：117-118.
①本节有关模块化的资料来源于卡丽斯·鲍德温、金·克拉克.设计规则：模块化的力量[M].张传良等译.北京：中信出版社,2006.
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④标注说明：文中出现的所有图和表格,如有资料来源均为引用；没有标识资料来源的均为作者整理制作而成,下同。
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②制度对于多样性的容忍至关重要,将在第8章重点分析。
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