【作者】 杨皎平；

【导师】 盖如栋；

【作者基本信息】 辽宁工程技术大学 ， 管理科学与工程， 2010， 博士

【摘要】 产业集群的形成和发展,导致了企业边界的弹性扩张和企业行为的变化。集群中的每一个主体的创新行为不再是孤立的,而要受制于集群内部其他主体的影响。多数学者认为,产业集群可以增加产业和企业的创新能力,提高产业和企业的创新绩效,但是产业集群和创新能力之间并非是简单的因果关系,产业集群与技术创新之间具有辩证关系。一方面,产业集群会对技术创新产生激励效应,并可成为创新的有效载体;另一方面,产业集群也会对技术创新产生创新阻滞效应。鉴于此,本文研究产业集群特性要素对群内企业技术创新的正负效应问题,在本文的研究中从技术创新的角度将产业集群特性集合归结为:内部竞争、知识溢出、嵌入性和专业化分工四个要素,进而从产业集群四个特性要素出发,分析这些要素对技术创新的正负效应及其作用机理,甚至演化行为,并最终找到治理负效应的机制和途径。概言之,本文主要研究了如下几个问题:第一、通过案例分析和相关理论的归纳和演绎,提出了产业集群对技术创新的正负效应模型。在该模型中产业集群作为一个抽象的系统被解构为内部竞争、知识溢出、嵌入性和专业分工四个要素。进而提出了如下假设:适度的内部竞争、知识溢出、嵌入性和专业分工对技术创新具有促进作用;而过度的内部竞争、知识溢出、嵌入性和专业分工则阻碍了技术创新的发展。第二、从定性和定量两个角度分别分析了产业集群四要素对技术创新的正负效应的影响机理,在定量分析中,笔者主要采用了博弈论的研究方法,通过定量分析得出了如下结论:①适度的内部竞争充当了虚拟的监督者,从而有利于集群式的(团队式的)创新,而过度的内部竞争由于减少了集群成员的利润空间,从而减少了创新投资水平;②当知识溢出速度适中时,知识溢出提高了集群研发水平,而当知识溢出速度过快,特别当集群内部竞争较激烈时,过快的知识溢出会导致创新投入的“囚徒困境”;③适度的嵌入性减少了合作的成本,增加了相互学习的速度,从而有利于集群创新,而过度的嵌入性在面临创新机遇时,出现了创新惰性和创新锁定;④适度的专业化分工有利于发挥各个集群企业的长处,进而提高集群整体的创新绩效,但是过度的专业化分工由于导致资产专用性程度加深,使得集群企业担心出现被“套牢”甚至被“敲竹杠”的风险,而不愿意加大专用性的研发资产投资,最终导致技术创新投入不足。第三、为了使分析更具有说服力,通过对相关集群的调查问卷对提出的假设进行了实证,在实证分析中得到如下的结论:①内部竞争对集群创新具有正负两方面的影响;②隐性知识的溢出对集群创新具有正负两方面的影响,而显性知识溢出则没有负效应;③社会嵌入对集群创新具有正负两方面的影响,而经济嵌入则没有负效应;④专业化分工对集群创新的负效应不明显。第四、接着为了考察产业集群内技术创新正负效应的动态演化过程,分别建立了“内部竞争——技术创新”、“知识溢出——技术创新”、“嵌入性——技术创新”三个系统动力学模型,模拟了正负效应的演化形态和过程,并设计了相应的控制措施。第五、从微观、中观、宏观三个层面提出了治理集群创新负效应的一些思路。即在微观上实施模块化的生产和集群企业组织方式;在中观上对某个区域的产业集群进行集群治理,实施“虚拟俱乐部”的治理模式;在宏观上加入全球价值链实现系统的开放,从而克服集群的过度嵌入性。本文的创新性工作主要有如下几点:第一、首次提出了产业集群对技术创新的正负效应模型,在该模型中将产业集群分解为内部竞争、知识溢出、嵌入性和专业分工四个要素。第二、利用博弈论分析工具分析了四个要素对技术创新的正负效应的形成机理。第三、通过调查问卷对集群四要素与集群创新的倒U型关系假设进行了实证分析。第四、利用系统动力学工具建立了“内部竞争——技术创新”、“知识溢出——技术创新”、“嵌入性——技术创新”三个系统动力学模型,并进行了模拟分析。更多还原

【Abstract】 The formation and development of industrial cluster bring about enterprise boundary elastic expansion and corporate behavior diversification. Innovation behavior of each subject in industrial cluster is no longer isolated, but is subject to the influence of cluster structure and other subject. Most scholars believe that industrial cluster can increase the innovation capacity of industry or enterprises and can improve the innovation performance, but it is not a simple relationship between industrial clusters and innovation, there is dialectical relationship between industrial clusters and technological innovation. On the one hand, industry cluster will generate incentive effects to technological innovation, even became a effective carrier for technological innovation, On the other hand, industrial clusters would also produce block effects to technological innovation.In view of this,the positive and negative influence of industrial cluster on technological innovation is studied in this thesis. As a complex system,industrial cluster is divided into a number of elements. Some problems are analysised in this thesis,which include what and how make positive and negative influence of these elements on technological innovation,and the evolution of positive and negative influence,and how to control the negative effect.Overall,this thesis mainly studies the following few questions:Firstly,through case studies and logical analysis,the model of positive and negative effects of industrial cluster on technological innovation is proposed in this thesis. In this model, industial cluster is divided into four elements that“internal competition”,”knowledge spillover”,”embedment”and“specialized division of labor”. The following hypothesis is given, that is when competition, knowledge spillover, embedment and specialized division of labor is moderate, these elements can accelerate technological innovation, when these elements are overmuch, they can baffle technological innovation.Secondly, In response to this hypothesis, the thesis first analyzes the mechanism, which how do the four factors of the cluster environment generate positive and negative effects to technological innovation, Game theory is used in this section, and obtain the following conclusions: Number one, an appropriate degree internal competition is conducive to clustering-innovation, because competition can act as a virtual agent. but the excessive competition make the enterprise reduced the innovation investment,because excessive competition reduced the profit margins of the cluster members. Number two , when the speed of knowledge spillover is moderate,“knowledge spillover”can improve the level of industrial cluster R&D,but,when the speed of knowledge spillover is extremely fast ,especially there is less cooperation and more competition,“knowledge spillover”will hinder cluster innovation , because it will led to the "prisoner’s dilemma" of investments in innovation. Nomber three, moderate embedded nature lowering the cost of cooperation and increasing the speed of learning from each other, and then is conducive to innovation clusters, however, over-embeddings lead to innovative lazy and Innovation lock, Nomber four, an appropriate degree of specialization that will bring into play each company’s strengths within the cluster, Further improve the overall innovation performance of cluster, however, Over-specialization will lead to a deeper level of Asset Specificity, due to firms in cluster fear of being "stuck" or even be "ripped off" , the firms reluctant to increase the professional R&D assets, the result is inadequate investment in technological innovation.Thirdly, in order to make analysis more persuasive, the thesis confirmed the hypothesis by an empirical data from questionnaire, in the empirical analysis obtain- ed the following conclusions. Nomber one, internal competition of the cluster has both positive and negative effects on innovation. Nomber two, Tacit knowledge spillover has both positive and negative effects on innovation, but, explicit knowledge spillover has no negative effects. Nomber three, system embedding and social embedding has both positive and negative effects on cluster innovation, but there is no negative effect for economic Embed. Nomber four, specialization of the cluster has not obvious negative effect on innovation.Fourthly, in order to examine these three elements that internal competition、knowledge spillover and embedment how to dynamically effects of the process of technological innovation. Three system dynamics model were established in this thesis, which include the model of“Internal competition - Technical Innovation”,“Knowledge Spillover - Technical Innovation”and“embeddability - Technical Innovation”, these models simulate the evolution of positive and negative effects, related control measures are given in this thesis.Fifthly, the micro, meso, and macro governance-thinking that how to control the negative effects have been given. specifically, implementation of modular production methods and the modular organization of the firms in cluster have been recommended at the micro level,At the meso level ,cluster management pattern that named“virtual club”are recommended in industrial cluster, At the macro level, the advice joining the global value chain to make the cluster system become open be recommend,because these can overcome the over-embedding of the cluster。Innovative work of this thesis have the following main points:Firstly, the model that the positive and negative effects of industrial clusters on technology innovation was first proposed , in the model , industial cluster is divided into four elements that“internal competition”,”knowledge spillover”,”embedment”and“specialized division of labor”.Secondly, game theory is used to analysis industrial cluster how to create positive and negative effects on technological innovation.Thirdly, In ordet to confirm the hypothesis that“Inverted U-Relationship”between four elements of the cluster and cluster innovation, empirical analysis based on the questionnaire has been adopted.Fourthly, Three system dynamics model were established in this thesis, which include the model of“Internal competition - Technical Innovation”,“Knowledge Spillover - Technical Innovation”and“embeddability - Technical Innovation”.更多还原