基于技术能力视角的集群企业升级转型研究
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摘要
自改革开放以来,产业集群的发展已成为我国及各省市经济发展的强大推动力之一。产业集群具有的集群内人才流动、企业信息交流、知识的共享与传播、设施共享等内在优势,为产业持续竞争提供了有力支持。但国际金融危机的爆发使得我国产业集群内企业技术能力低、长期依靠价格竞争的结构性矛盾更加凸显。提升技术能力,促进集群内企业升级转型已成为解决企业发展“瓶颈”的首要问题。在现有的文献中,往往重视于对结果的研究,忽略了对技术能力学习机制的研究,而国外相关理论通常建立在发达国家成熟的产业集群之上,对像中国这样的发展中产业集群的解释能力较差。
本文的研究结论表明,在集群内企业转型升级的过程中,在环境主体参与下的知识溢出效应将对企业技术能力提高产生巨大作用。本文通过建立博弈模型,说明了以下三个问题：第一,知识溢出效应对企业创新成果数量的影响；第二,环境主体对企业创新成果质量的作用机理；第三,分析了可控知识溢出水平与企业技术能力之间的作用关系。并在此基础上对绍兴纺织业集群内企业的发展转型途径进行了分析。
最后本文得出结论：集群内企业要实现转型升级,需要保持知识溢出渠道的顺畅,并辅以良好的制度环境。
Since the reform and opening up, industrial clusters have become one of the powerful driving force for many provinces. The flow of talent, enterprise information exchange, knowledge sharing and dissemination, facilities sharing inherent advantages within the industrial clusters provides strong support for sustainable competitive to industries. However, after the outbreak of the international financial crisis, the structural contradictions of enterprises, such as low capacity of technology, become more prominent. Enhancing the technological capacity to promote the upgrade and reconstruction of enterprises in the clusters, is the most important issue of solving "bottleneck" of development. In the existing literature tend to focus on the results instead of studying the mechanism of the technological capabilities, and foreign related theories are usually based on the foreign developed countries, which have less explanatory power to China's situation.
This article holds that process of upgrade and reconstruction, the knowledge spillovers will greatly contribute to the improvement of technological capability under the participation of environmental subjects. Followed I explain three questions through the establishment of game model. Firstly, show the impact of knowledge spillovers on the number of corporate innovation. Secondly, analysis the mechanism of the quality of enterprises innovation by environmental subjects. Thirdly, explain the interaction between and technological capabilities. And on this basis, analysis the development approach of Shaoxing Textile Industry Cluster.
Finally, the paper concluded that:to upgrade and reconstruction, the enterprises in the cluster must maintain the smooth channels of knowledge spillover with supplemented of good environmental subjects.
本文的研究结论表明,在集群内企业转型升级的过程中,在环境主体参与下的知识溢出效应将对企业技术能力提高产生巨大作用。本文通过建立博弈模型,说明了以下三个问题：第一,知识溢出效应对企业创新成果数量的影响；第二,环境主体对企业创新成果质量的作用机理；第三,分析了可控知识溢出水平与企业技术能力之间的作用关系。并在此基础上对绍兴纺织业集群内企业的发展转型途径进行了分析。
最后本文得出结论：集群内企业要实现转型升级,需要保持知识溢出渠道的顺畅,并辅以良好的制度环境。
Since the reform and opening up, industrial clusters have become one of the powerful driving force for many provinces. The flow of talent, enterprise information exchange, knowledge sharing and dissemination, facilities sharing inherent advantages within the industrial clusters provides strong support for sustainable competitive to industries. However, after the outbreak of the international financial crisis, the structural contradictions of enterprises, such as low capacity of technology, become more prominent. Enhancing the technological capacity to promote the upgrade and reconstruction of enterprises in the clusters, is the most important issue of solving "bottleneck" of development. In the existing literature tend to focus on the results instead of studying the mechanism of the technological capabilities, and foreign related theories are usually based on the foreign developed countries, which have less explanatory power to China's situation.
This article holds that process of upgrade and reconstruction, the knowledge spillovers will greatly contribute to the improvement of technological capability under the participation of environmental subjects. Followed I explain three questions through the establishment of game model. Firstly, show the impact of knowledge spillovers on the number of corporate innovation. Secondly, analysis the mechanism of the quality of enterprises innovation by environmental subjects. Thirdly, explain the interaction between and technological capabilities. And on this basis, analysis the development approach of Shaoxing Textile Industry Cluster.
Finally, the paper concluded that:to upgrade and reconstruction, the enterprises in the cluster must maintain the smooth channels of knowledge spillover with supplemented of good environmental subjects.
引文
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[3]Audretsch, D.B&Lehmann,EE.Does the Knowledge Spillover Theory of Entrepreneurship Hold for Region?[J].Research Policy,2005,34(8):1191-1202
[4]Baptista,R.&Swann.Do Firms in Clusters Innovate More?[J].Research Policy,1998,27(5):525-540
[5]Baptista,R.Geographical Clusters and Innovation Diffusion [J]. Technological Forecasting and Social Change[J],2001,66:31-46
[6]Barton,D.L,Core,Capability and Core Rigidities:a Paradox in Managing New Product Development[J],Strategy Management Journal,1992,13:111-125
[7]Boiral.O.Tacit Knowledge and Environmental Management[J].Long Range Planning,2002,(35):291-317
[8]Breschi,S&Lissom,F.Knowledge Spillovers and Local Innovation Systems:a Critical Survey [J].Industrial and Corporate Change,2001,10(4):975-1005
[9]Caniels,M.&Romijn,H. SME Clusters,Acquisition of Technological Capabilities and Development:Concepts,Practice and Policy Lessons [J] Journal and Industry, Competition and Trade,2004,3(3):187-210
[10]Capello,R.Spatial Transfer of Knowledge in High Technology Milieux:Learning Versus Collective Learning Processes [J].Regional Studies,1999,33(4):353-365
[11]Castillo,J.A. Note on the Concept of Tacit Knowledge [J] Journal of Management Inquiry,2002,11(1):46-77
[12]D'Aspremont&Jacquemin,Cooperative and Noncooperative R&D in Duopoly with Spillovers. American Economic Review,1992,82(l):363-367
[13]Dimitrios,K. Learning Behavior and Co-operation of Small High Technology Firms in the ASEAN Region,ASEAN Economic Bulletion,2002
[14]Dougal. The Benefits and Costs of Private Investment from Aboard:A Theory Approach[J].Economic Record,1960
[15]Fallah,M.H.&Ibrahim,S.Kowledge Spillovers and Innovation in Technological Clusters[J].FEDS,2005,11
[16]Feldman,M.P.&Florida,R.The Geographic Sources of Innovation:Technological Infrastycture and Product Innovation in the United States[J].Annals of the Associaiton of American Geographers,1994,84(2):210-229
[17]Fransman,M.&King, K.Technological Capabilities in the Third Word [J]. London:Macmillan,1984
[18]Freeman,C. Net Works of Innovator:a Synthesis of Research Issues[J].Research Policy,1991,20:499-504
[19]Grant,R.M.Toward a Knowledge-based theory of the firms[J].Strategic Management Journal,1996,17:109-122
[20]Griliches,Z.The Search of R&D Spillovers[J].The Scandinavian Journal of Economics.1992,94:29-47
[21]Griliches,Z..R&D and Productivity:The Econometric Evidence[M].Chicago:The University of Chicago Press,1998
[22]Grossman,GM.&HelPman,E.Innovation and Growth in the Global Economy [M],Cambridge MA:MIT Press,1991
[23]]Krugman,P. Increasing Returns and Economic Geography[J].Journal of Political Economy,1991,99(3):483-499
[24]Mansfield,E.Academic Research Underlying Industrial Innovations:Source,Charecteristics, and Innovation Effort[J].Review of Economics and Statistics,1995,77,55-75
[25]Porter,M.Competitive Advantage[J].New York:Free Press,1985
[26]Ramanathan,K.&Panda,H. Technological Capability Assessment of a firm in the electricity sector[J].Technovation,1996,16(10):561-588
[27]Stiglitz,J.E.A New View of Technological change[J].Economic Journal 1969,79:116-131
[28]陈鹏宇.溢出效应、不确定性和企业集群[J].中国工业经济2002,(11)：70-74
[29]陈涛涛.中国FDI行业内溢出效应的内在机制研究[J].世界经济,2003,3：46-49
[30]侯汉平,王浣尘.R&D知识溢出效应模型分析[J].系统工程理论与实践,2001,9：29-32
[31]胡振华,李莹莹.产业集群中内生知识溢出和知识员工流动的博弈分析[J].中南林业科技大学学报(社会科学版),2007,1(4)：38-43
[32]金祥荣,柯荣住.对专业市场的一种交易费用经济学解释[J].经济研究,1997,4：74-79
[33]金祥荣.产业区内的知识外溢：一个选择性评述[J].产业经济评论,2004(1)：1-10
[34]金祥荣,叶建亮.知识溢出与企业网络组织的聚集效应[J].数量经济与技术经济研究,2001(10)：90-93
[35]金祥荣,汪伟,向力敏.产业区内的知识外溢：一个选择性评述.产业经济评论[J],2004(1)：1-10
[36]刘恒江,陈继祥.产业集群核心竞争力研究述评[J].外国经济与管理,2004,(10)：2～3.
[37]李琳.外部知识溢出、集群吸收能力与集群竞争优势[J].科技管理研究,2005,25(9)：125-126
[38]潘士远,史晋川.知识吸收能力与内生经济增长——关于罗默模型的改进与扩展[J].数量经济技术经济研究,2001,11：82-85
[39]潘士远,史晋川.内生经济增长理论：一个文献综述[J].经济学(季刊),2002,1(4)：753-786
[40]盛世豪.郑燕伟.“浙江现象”:产业集群与区域经济发展[J].清华大学出版社,2004
[41]孙兆刚,徐雨森,刘则渊.知识溢出效应及其经济学解释[J].科学学与科学技术管理,2005,26(1)：87-89
[42]孙兆刚,刘则渊,孟丽菊.企业对知识溢出吸收能力的测度[J].科学技术与工程,2005(5)：233-240
[43]仇保兴.发展小企业集群要避免的陷阱——过度竞争所致的“柠檬市场”[J].北 京大学学报(哲社版),1999,1：25-29
[44]仇保兴.小企业集群研究[M].复旦大学出版社,1999
[45]魏江.产业集群——创新系统与技术学习[M].科学出版社,2003
[46]魏江.小企业集群创新网络的知识溢出效应分析[J].科研管理,2003,(4)：54-59.
[47]吴利学,魏后凯.产业集群研究的最新进展及理论前沿.上海行政学院学报,2004年第5期：51-60.
[48]王建刚,赵进.产业集聚现象分析[J].管理世界,2001,6：192-196
[49]王子龙,谭清美.区域创新网络知识溢出效应研究[J].科学管理研究,2004,(5)：87～90.
[50]辛文防.企业单波知识溢出的测算[J].科技进步与对策,2004,(1)：71-73
[51]叶建亮.知识溢出与企业集群[J].经济科学,2001,3：23-30
[52]叶庆祥,徐海洁.基于知识溢出的集群企业创新机理研究[J].浙江社会科学,2006,1：67-70
[53]张明龙.产业聚集的溢出效应分析[J].经济学家,2004(3)：77-80.
[54]钟山.开放经济的外部经济效应和知识溢出原理[J].数量经济技术经济研究,2001,7：40-43
[2]Audretsch, D.B.&Feldman,M. Knowledge spillovers and the Geography of Innovation and Production[J].American Economic Review,1996,86(3):630-640
[3]Audretsch, D.B&Lehmann,EE.Does the Knowledge Spillover Theory of Entrepreneurship Hold for Region?[J].Research Policy,2005,34(8):1191-1202
[4]Baptista,R.&Swann.Do Firms in Clusters Innovate More?[J].Research Policy,1998,27(5):525-540
[5]Baptista,R.Geographical Clusters and Innovation Diffusion [J]. Technological Forecasting and Social Change[J],2001,66:31-46
[6]Barton,D.L,Core,Capability and Core Rigidities:a Paradox in Managing New Product Development[J],Strategy Management Journal,1992,13:111-125
[7]Boiral.O.Tacit Knowledge and Environmental Management[J].Long Range Planning,2002,(35):291-317
[8]Breschi,S&Lissom,F.Knowledge Spillovers and Local Innovation Systems:a Critical Survey [J].Industrial and Corporate Change,2001,10(4):975-1005
[9]Caniels,M.&Romijn,H. SME Clusters,Acquisition of Technological Capabilities and Development:Concepts,Practice and Policy Lessons [J] Journal and Industry, Competition and Trade,2004,3(3):187-210
[10]Capello,R.Spatial Transfer of Knowledge in High Technology Milieux:Learning Versus Collective Learning Processes [J].Regional Studies,1999,33(4):353-365
[11]Castillo,J.A. Note on the Concept of Tacit Knowledge [J] Journal of Management Inquiry,2002,11(1):46-77
[12]D'Aspremont&Jacquemin,Cooperative and Noncooperative R&D in Duopoly with Spillovers. American Economic Review,1992,82(l):363-367
[13]Dimitrios,K. Learning Behavior and Co-operation of Small High Technology Firms in the ASEAN Region,ASEAN Economic Bulletion,2002
[14]Dougal. The Benefits and Costs of Private Investment from Aboard:A Theory Approach[J].Economic Record,1960
[15]Fallah,M.H.&Ibrahim,S.Kowledge Spillovers and Innovation in Technological Clusters[J].FEDS,2005,11
[16]Feldman,M.P.&Florida,R.The Geographic Sources of Innovation:Technological Infrastycture and Product Innovation in the United States[J].Annals of the Associaiton of American Geographers,1994,84(2):210-229
[17]Fransman,M.&King, K.Technological Capabilities in the Third Word [J]. London:Macmillan,1984
[18]Freeman,C. Net Works of Innovator:a Synthesis of Research Issues[J].Research Policy,1991,20:499-504
[19]Grant,R.M.Toward a Knowledge-based theory of the firms[J].Strategic Management Journal,1996,17:109-122
[20]Griliches,Z.The Search of R&D Spillovers[J].The Scandinavian Journal of Economics.1992,94:29-47
[21]Griliches,Z..R&D and Productivity:The Econometric Evidence[M].Chicago:The University of Chicago Press,1998
[22]Grossman,GM.&HelPman,E.Innovation and Growth in the Global Economy [M],Cambridge MA:MIT Press,1991
[23]]Krugman,P. Increasing Returns and Economic Geography[J].Journal of Political Economy,1991,99(3):483-499
[24]Mansfield,E.Academic Research Underlying Industrial Innovations:Source,Charecteristics, and Innovation Effort[J].Review of Economics and Statistics,1995,77,55-75
[25]Porter,M.Competitive Advantage[J].New York:Free Press,1985
[26]Ramanathan,K.&Panda,H. Technological Capability Assessment of a firm in the electricity sector[J].Technovation,1996,16(10):561-588
[27]Stiglitz,J.E.A New View of Technological change[J].Economic Journal 1969,79:116-131
[28]陈鹏宇.溢出效应、不确定性和企业集群[J].中国工业经济2002,(11)：70-74
[29]陈涛涛.中国FDI行业内溢出效应的内在机制研究[J].世界经济,2003,3：46-49
[30]侯汉平,王浣尘.R&D知识溢出效应模型分析[J].系统工程理论与实践,2001,9：29-32
[31]胡振华,李莹莹.产业集群中内生知识溢出和知识员工流动的博弈分析[J].中南林业科技大学学报(社会科学版),2007,1(4)：38-43
[32]金祥荣,柯荣住.对专业市场的一种交易费用经济学解释[J].经济研究,1997,4：74-79
[33]金祥荣.产业区内的知识外溢：一个选择性评述[J].产业经济评论,2004(1)：1-10
[34]金祥荣,叶建亮.知识溢出与企业网络组织的聚集效应[J].数量经济与技术经济研究,2001(10)：90-93
[35]金祥荣,汪伟,向力敏.产业区内的知识外溢：一个选择性评述.产业经济评论[J],2004(1)：1-10
[36]刘恒江,陈继祥.产业集群核心竞争力研究述评[J].外国经济与管理,2004,(10)：2～3.
[37]李琳.外部知识溢出、集群吸收能力与集群竞争优势[J].科技管理研究,2005,25(9)：125-126
[38]潘士远,史晋川.知识吸收能力与内生经济增长——关于罗默模型的改进与扩展[J].数量经济技术经济研究,2001,11：82-85
[39]潘士远,史晋川.内生经济增长理论：一个文献综述[J].经济学(季刊),2002,1(4)：753-786
[40]盛世豪.郑燕伟.“浙江现象”:产业集群与区域经济发展[J].清华大学出版社,2004
[41]孙兆刚,徐雨森,刘则渊.知识溢出效应及其经济学解释[J].科学学与科学技术管理,2005,26(1)：87-89
[42]孙兆刚,刘则渊,孟丽菊.企业对知识溢出吸收能力的测度[J].科学技术与工程,2005(5)：233-240
[43]仇保兴.发展小企业集群要避免的陷阱——过度竞争所致的“柠檬市场”[J].北 京大学学报(哲社版),1999,1：25-29
[44]仇保兴.小企业集群研究[M].复旦大学出版社,1999
[45]魏江.产业集群——创新系统与技术学习[M].科学出版社,2003
[46]魏江.小企业集群创新网络的知识溢出效应分析[J].科研管理,2003,(4)：54-59.
[47]吴利学,魏后凯.产业集群研究的最新进展及理论前沿.上海行政学院学报,2004年第5期：51-60.
[48]王建刚,赵进.产业集聚现象分析[J].管理世界,2001,6：192-196
[49]王子龙,谭清美.区域创新网络知识溢出效应研究[J].科学管理研究,2004,(5)：87～90.
[50]辛文防.企业单波知识溢出的测算[J].科技进步与对策,2004,(1)：71-73
[51]叶建亮.知识溢出与企业集群[J].经济科学,2001,3：23-30
[52]叶庆祥,徐海洁.基于知识溢出的集群企业创新机理研究[J].浙江社会科学,2006,1：67-70
[53]张明龙.产业聚集的溢出效应分析[J].经济学家,2004(3)：77-80.
[54]钟山.开放经济的外部经济效应和知识溢出原理[J].数量经济技术经济研究,2001,7：40-43