摘要
当今,随着经济全球化趋势的愈加明显和全球价值链的深入整合,产业集群已经成为世界各地经济发展的重要现象,并且在全球产业价值链中发挥着十分关键的作用。我国产业集群经过20多年的发展壮大,极大地推动了区域经济的发展,已经成为我国经济发展的龙脉和经济增长的重要源泉。尽管如此,我国大多数产业集群却始终徘徊在全球价值链的低端,生产技术及创新活动滞后、品牌价值不高、创新动力不足成为制约集群发展的主要问题。近年来,在人民币持续升值、劳动力成本上升、世界主要经济体产业转移等多种不利因素的影响下,我国多数产业集群面临着生存危机。因此,研究我国产业集群如何渡过危机,实现转型和升级成为目前学者和政府亟待解决的迫切的任务。本文对产业集群升级进行分析和阐释具有十分重要的理论价值和实践意义。
本文在回顾、梳理产业集群升级等相关理论的基础上,将关于产业集群升级的研究归纳为“外源化”和“地域化”两大视角。考虑到“外源化”视角强调集群升级是求诸于产业集群外部力量,忽略了集群的内在联系以及集群本身的创新功能对集群升级的根本动力作用,因此,确定以集群升级的内在动力为本文研究的出发点。通过借鉴产业集群演化理论、产业集群竞争力理论以及产业集群升级等相关理论,揭示了产业集群升级的本质是创新,知识是产业集群升级的基础。结合创新网络理论和集群升级的实践,本文分析认为创新网络各构成要素对产业集群升级具有重要影响,从而确立了以创新网络视角下产业集群升级为本文研究的主要命题。
本文依据产业组织理论中传统的SCP研究范式,在分析创新网络主体、资源和行为三个构成要素及其与产业集群升级关系的基础上,构建了创新网络视角下“网络结构—创新行为—集群升级”模型,并以此为分析路径,分别对网络结构一创新行为、创新行为—集群升级的影响机理进行深入分析,揭示了创新网络对产业集群升级的作用机理。
本文遵循“理论分析—实证研究—理论总结”的研究思路,结合产业集群升级的机理模型,提出11项假设。根据网络结构要素、创新行为要素和集群升级要素的测度量表,对来自辽宁省大连市和锦州市不同产业集群的企业进行调研、运用SPSS、AMOS软件对218家企业的样本数据进行检验分析,从实证角度验证理论假设的有效性,明晰了创新网络视角下产业集群升级的机理。通过对实证结果的深入分析和讨论,结合我国集群升级的实践,从企业和政府两个层面提出对策建议。
基于以上的研究论证,本文得到了以下主要结论：
(1)内生动力是产业集群升级的根本动力。集群升级的外部动力只有通过影响、改变集群内部状态,激发内部动力才能实现集群升级。通过保持和提升集群企业的创新能力和创新绩效,优化创新网络,发挥出这些集群的内在动力的作用,才能实现产业集群的升级。
(2)产业集群升级的本质是创新,升级的基础是知识。本文界定了集群升级的内涵和本质,分析得出无论是产业集群的工艺流程升级、产品升级还是功能升级,实质上都是集群知识的创新,集群升级的过程也就是集群知识的积累、获取、吸收、转化与创新的演变的过程。
(3)网络结构—创新行为—集群升级是实现集群升级的关键环节。本文构建了以创新行为为中间变量的产业集群升级模型,在理论上研究并实证验证了网络结构需要通过创新行为对集群升级产生影响,创新行为直接作用于产业集群升级。
(4)创新网络对集群升级发挥着重要作用。产业集群升级的实现需要创新网络的主体、行为和资源三者和谐发展共同作用,创新网络为各行为主体间的合作与竞争、互补性资源的获取以及知识的顺畅流动搭建了网络资源平台,提升了集群创新绩效,推进了产业集群升级。
本文的创新之处主要体现在以下方面：
(1)现有产业集群升级研究大多是以集群外部的全球价值链视角来进行分析,强调集群升级是求诸于产业集群外部力量,忽略了集群内在联系以及集群本身的创新功能。同时,创新网络对集群创新与升级的作用日趋明显,但由于起步晚,尚未形成完整的理论体系,更缺乏以该理论为视角的产业集群升级方面的研究。因此,本文以创新网络为视角,强调集群网络化创新对集群升级的影响,弥补了现有集群升级研究缺乏从集群内在因素分析的不足,研究视角具有创新性。
(2)现有全球价值链理论在集群升级机理方面存在明显不足,本文将产业集群视为一个创新网络系统,并融合了产业组织传统的“SCP”范式和网络构成三要素的精髓,提出了创新网络视角下产业集群升级的总体理论分析框架,构建了网络结构—创新行为—集群升级的机理模型,揭示了网络结构、创新行为对集群升级影响的内在机理。因此,本文弥补了集群升级机理研究的不足,为集群升级机理研究提供了一个理论模型和分析框架。
(3)现有产业集群升级的实证研究基本上是以集群整体为单位,采用“就集群而论集群”的方法,大多以静态理论分析和状态性的案例描述为主,从微观的集群企业层面深入而系统地对产业集群升级的研究非常缺乏,这种集群整体性的分析难以真正揭示集群升级的机理和集群升级的根本动力,并且对产业集群升级的实践难以提出切实可行的建议。本文以实际调研的218家集群企业的数据为样本,通过问卷设计、数据收集、统计分析和结构方程模型分析对集群升级理论模型进行实证检验,验证了创新网络视角下产业集群升级的机理。本文的实证研究一定程度弥补了集群升级研究中微观分析的缺失和定量分析的不足,丰富了产业集群升级的实证分析方法。
Nowadays, with the trend of economic globalization is becoming increasingly obvious and deeply integrate with the globe value chain, industrial cluster has already become a significant phenomenon in world's economic development and is playing a crucial role in the global value chain. After20year's development and strengthening, China's industrial clusters have been the main pillar and source of the national economic development and growth, which greatly promoted the development of regional economy. However, the majority of our industrial clusters remain unstably staying in the low end of the global value chain. The main problems, like lagged productive technology and innovation activities, low brand value, inadequate motivation of creation, are restricting the development of our industrial clusters. In recent years, the majority of our industrial clusters is facing an existential crisis because of the impact of RMB appreciation, rising labor costs, moderation growth of the world's major economies, industrial transfer and other unfavorable factors. To prevent our industrial clusters from recession or even extinction, currently it is an urgent task for industrial clusters in China to study how to survive the crisis, realize transition and upgrade. Therefore, in this paper, the analysis and interpretation of the mechanism of industrial clusters upgrade has important theoretical value and practical significance.
Over the review and collating of the relevant theories on industrial clusters upgrade, this paper generalizes two broad perspectives on the studies of upgrading industrial clusters in developing countries, which are the exogenous and geographical prospectives. Considering the'exogenous'perspective stresses industrial clusters upgrade should be seeked from external dynamics, which ignores the clusters'fundamentally dynamic effect of the inside linking and the innovative function itself. Hence, it is decided that this paper will use the internal dynamics as the starting point. By referring to the theory of evolution, theory of cluster competitive advantage and relevant theory of industrial clusters upgrade, we discover the essence of industrial clusters upgrade is innovation, and the basis of industrial clusters upgrade is knowledge. Through combining the theory of innovation network and the practice of clusters upgrade, we analyze that every element of innovation network has important influence to industrial clusters upgrade and therefore establish the main subject of this paper---the mechanism of industrial clusters upgrade based on the innovative network.
Based on the traditional SCP research paradigm and analysis on the main part, resource and behavior of innovation network along with their relations to the industrial clusters upgrade, the paper builds the model from the prospective of innovation network,"network structure---knowledge behavior---cluster upgrade", respectively makes theoretical analysis on "network structure---knowledge behavior" and "knowledge behavior---cluster upgrade", and discovers the mechanism of industrial clusters upgrade based on the innovation network.
This paper follows the research ideas of'theory--empirical research--theoretical summary', and puts forward11assumptions combined with the mechanism of industrial clusters upgrade model. According to the measuring scale of the elements of network structure, innovative behavior and cluster upgrade,218companies from Liaoning Province in different industrial clusters were investigated and surveyed with the utilization of the softwares SPSS and AMOS to test the reliability, validity and the availability of the theoretical assumptions. Then we clearly understand the mechanism of industrial clusters upgrade from the prospective of innovation network. And through deep analysis and discussion of empirical results, we make polies proposal.
Based on the above researchful argument, the main conclusions are made as followed.
(1) The internal dynamic is the fundamental of industrial clusters upgrade. The external dynamic can stimulate the industrial clusters upgrade only by influencing and changing the internal state of the cluster. The realization of industrial clusters upgrade relies on the optimization of the innovation network and the exertion of the internal dynamic effect through maintaining and promoting the innovative ability and performance.
(2) The essence of industrial clusters upgrade is innovation, and the foundation of industrial clusters upgrade is knowledge. This paper defines the connotation and essence of industrial clusters upgrade, analyzes that whatever the upgrade is, technological process upgrade, product upgrade or functional upgrade, substantially, they're all about the innovation of the cluster knowledge. The process of industrial clusters upgrade is the evolution of the cluster knowledge's accumulation, acquisition, absorption, transformation and innovation.
(3) The "network structure---knowledge behavior---cluster upgrade" is the key link to the realization of industrial clusters upgrade. This paper builds the industrial clusters upgrade model based on the innovative behavior as the intermediate variable and theoretically studies and empirically verifies that network structure needs to influence the industrial clusters upgrade through innovative behavior, and innovative behavior directly impacts the industrial clusters upgrade.
(4) Innovation network plays a significant role to the industrial clusters upgrade. The realization of industrial clusters upgrade requires the combined action from the main part, behavior and resource of innovation network and their accord development. The innovation network sets up a resource platform for the cooperation and competition of every main part of every behavior, the acquisition of complementary resources and the smooth flow of knowledge, which enhances the cluster's innovation performance and promotes the industrial clusters upgrade.
The innovation of this paper's research is mainly embodied as followed:
(1) Due to the existing industrial cluster upgrade research are mostly analyzed in by the global value chain prospective of clusters external, which emphasizes clusters upgrade resorts to external dynamics, ignoring the clusters'inner relations and the innovation function of the cluster. Meanwhile, innovation network impact to cluster's innovation and development is increasingly evident, lacks the research in the aspect of industrial cluster upgrade based on this theory because it starts late and does n't have an integrated theoretical system. This paper, in the sight of innovation network, emphasizes that cluster networked innovation influences the industrial cluster upgrade, which to some extent complement the lack of the existing research. And this paper is therefore provided with innovation.
(2) Based on the relevant theories of innovation network and the practice of industrial cluster upgrade, this paper regards industrial cluster upgrade as a innovation network system, merging the traditional "SCP" paradigm of industrial organizations and the essence of three elements of the network structure to put forward an overall theoretical model and frame for industrial cluster upgrade in the sight of innovation network, and builds a mechanism model of "network structure---innovative behavior---cluster upgrade", and discovers the internal mechanism of the influence to industrial cluster upgrade by innovation network structure and innovative behavior. The innovation of this paper lies in the theoretical frame and model of the research on industrial cluster upgrade, which enriches and completes the relevant theories of industrial cluster upgrade.
(3) The existing empirical research of industrial cluster upgrade elaborates basically from the global value chain prospective of cluster external, taking the whole cluster as the basic unit and using the method of "dealing with cluster on its merits". Most of them mainly introduce static theoretical analysis and stateful case description to summarize experience and theoretical deduction from successful cases of cluster, which is lack of the deep and systematical research on industrial cluster upgrade at microscopic level of cluster enterprises. And this kind of holistic analysis of cluster can hardly discover the mechanism of cluster upgrade authentically or put forward cogent and operable proposals on the practice of industrial cluster upgrade. In the sight of innovation network, according to the samples of218investigated and surveyed cluster enterprises'data, this paper builds structural equation model during the empirical research, utilizes softwares SPSS and AMOS to verify theoretical model and assumptions and discovers the mechanism of industrial cluster upgrade from innovation network prospective. The empirical research of this paper complements the lack of the microscopic analysis and quantitative analysis of the existing cluster upgrading research to some extent and enriches the method of empirical analysis to industrial cluster upgrade.
引文
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①以企业空间组织法展为主线的理论在本文产业集群的述评中已谈到,为避免重复,此部分略去。
①此处的知识资源,强调的是以知识、技术形式存在的有利于技术研发、技术创新、知识生产的一切资源。
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