【作者】 姜海宁；

【导师】 谷人旭；

【作者基本信息】 华东师范大学 ， 人文地理学， 2012， 博士

【摘要】 发达国家与发展中国家的区域发展实践表明,地方企业网络已经成为实现区域经济发展的重要推力与增长载体,并因而引起以马歇尔、藤田昌久、克鲁格曼等为代表的一大批新经济地理、管理学家的广泛关注。中小企业集群是早期集群研究的主流,而忽略了跨国企业在其中的作用。经济全球化与贸易自由化的迅速发展使得区域性、本土性的经济特征逐渐弱化,取而代之的是跨国企业根据战略发展需要将价值链的不同环节在不同国家和地区进行布局。在此背景下,地方企业网络不能封闭发展,必须融入全球生产网络才能实现持续的升级。跨国企业作为经济全球化的重要载体,同时也是联结全球与地方的重要纽带。不仅如此,土地、资本和劳动力等传统要素对地方企业网络发展的贡献度逐渐下降,具有空间移动性特点的技术要素取而代之,并成为影响地方企业网络发展的决定性力量,而全球最先进技术主要被跨国企业所掌控。在此背景下,本文拟以跨国企业为切入点,研究跨国企业如何凭借核心技术资源来影响发展中国家的地方企业网络结构和创新升级,从而为经济地理学的理论创新和区域经济发展规划服务。通过对国内外相关文献的分析,笔者发现,技术在企业网络的形成发展与创新升级过程中的作用愈益重要,并开始引起国内外学者的关注。然而,已有的研究成果侧重于企业网络对于技术创新和技术扩散的影响,而缺乏从技术的视角探讨企业网络的发展与演化,尤其是跨国企业如何通过技术扩散与技术控制影响地方企业网络或集群结构的研究更为缺乏。近年来,已有部分学者开始关注技术要素对企业网络发展的影响研究,具体从网络权力、技术权力和全球技术网络的视角探讨了企业网络的发展和演化。随着经济的全球化发展,技术要素的国际流动更加迅速,跨国企业将越来越多的技术活动纳入到企业间国际技术网络之中,因而有必要探讨跨国企业如何凭借技术优势来影响地方企业网络演化的问题,而这方面的研究却被忽视了。不仅如此,目前关于跨国企业或FDI与企业网络或集群关系研究的成果日益增多,尤其针对企业网络或集群如何吸引跨国企业或FDI方面的研究相对成熟,而关于跨国企业如何影响企业网络或集群形成发展与创新升级的研究较少,远未形成系统规范的理论来阐释跨国企业对地方企业网络演化的影响机制。此外,企业网络发展随着企业的成长而不断变化,已有的研究侧重于对企业网络静态方面的研究,而对其动态方面研究较少。基于此,本文主要探讨跨国企业如何借助技术空间移动的特点,通过技术控制与技术扩散作用来影响地方企业网络的演化。在总结与评述跨国企业对外投资理论、企业网络演化理论以及跨国企业对企业网络形成发展、创新升级影响等相关研究成果的基础上,本文对跨国企业对企业网络的作用背景、作用条件和作用方式等进行分析,并探讨了跨国企业如何通过技术扩散与技术控制两种作用方式影响网络成员的空间行为和创新学习,进而归纳出地方企业网络在不同阶段的特征。在大量实地调研的基础上,本文对德国大众和美国通用作用下的上海汽车企业网络发展历程、演化特征进行分析,然后对比分析不同整零关系模式下的跨国汽车企业如何凭借技术优势来影响地方企业网络形成发展与创新升级,具体将欧美、日本的跨国汽车企业分别对上海汽车企业网络和广东汽车企业网络的结构与创新升级影响进行对比分析,并得出如下几点结论：第一,跨国企业是知识经济时代地方企业网络演化的重要力量。随着经济全球化、国际劳动分工以及知识经济的发展,加之在中央与地方政府的共同推动下,跨国企业在全球范围内寻求资源的最佳配置去组织生产,对外投资就是其最主要的方式,而在此过程中必然伴随着技术转移与技术溢出。为了确保其技术竞争优势,跨国企业必然加强技术控制以防技术外溢,同时为了降低生产成本和提高本土化水平,又必须对本土企业进行一定的技术指导和培训,即技术扩散。跨国企业正是通过这两种作用影响网络成员的空间行为和创新学习,进而影响地方企业网络的形成发展与创新升级的。当然,跨国企业对企业网络作用还依赖于适度的技术势差、存在资源依赖关系以及政策环境支持等条件。第二,跨国企业影响企业空间行为和创新行为,进而影响地方企业网络的演化。在网络组建形成阶段,跨国企业对网络成员主要以技术控制为主,限制本上网络成员的“进入权”,并要求或迫使其原网络成员跟随进入；在迅速发展阶段,跨国企业对网络成员技术扩散范围和强度的加大促使企业网络发展迅速,其示范效应吸引其他跨国企业跟进；在扩大生产阶段,跨国企业对网络成员的创新作用最显著,国外研发机构开始纷纷进入东道国,网络成员更加多样化。在跨国企业技术控制与技术扩散的作用下,地方企业网络成员数量和网络密度逐渐增大,网络结构由垂直树枝状向网状结构方向发展,由单核结构转变为双核结构或多核结构,与跨国企业总部之间的联系由单向联系转为双向联系,同时网络创新能力明显提升,并依次实现过程升级、产品升级和功能升级。第三,跨国企业在上海汽车企业网络演化过程中发挥重要作用。在中央政府以及上海市政府共同推动下,德国大众与美国通用两大跨国企业先后进驻上海,并使得上海汽车企业网络经历了由无到有、由低级到高级发展过程,企业网络组织结构和创新能力得到明显提高,并已经发展成为中国发育比较完善,竞争力较强的地方汽车企业网络,具体经历了网络组建形成、快速发展和扩大生产阶段。在网络组建形成阶段,由于上海汽车产业基础较差,大众汽车通过技术标准控制作用限制上海本土企业的“进入权”,使得上海汽车企业网络呈现以上海大众为中心的单核结构,且垂直网络结构初步形成,但网络密度和创新能力低下,与德国大众总部联系为单向联系。在网络快速发展阶段,美国通用汽车在德国大众的成功示范作用下进入上海,上海汽车企业网络呈双核结构,供应商网络日益完善,网状垂直网络结构和水平网络结构开始发展,并开始出现产品升级,而上海外部供货网络空间范围扩大但仍集中在长三角,与总部联系由单向联系转为双向联系。在网络扩大生产阶段,跨国汽车企业对上海汽车企业网络的创新作用最显著,跨国整车企业及其供应商的研发机构开始陆续进入上海,网络成员更加多元化,并开始出现功能升级。除此之外,此时上海汽车企业网络密度和联系进一步增强,网状垂直网络结构和水平网络结构并存发展的复杂网络结构,对国内其他省市供货范围扩大,逐渐融入全球生产体系并进行国际化扩张。欧美跨国汽车企业与日本跨国汽车企业相比,东道国本土企业进入前者组建的企业网络难度与稳定性要弱于后者,而竞争激烈程度要大于后者,且后者在海外组建地方企业网络相对前者更为迅速；尽管日本跨国汽车企业比欧美跨国汽车企业对地方企业网络的创新作用要强,技术扩散更为频繁,但这仅限其“封闭的供应商网络”范围内,对中国本土企业的技术封锁更加极端；同时,传统的欧美整零关系模式与日本整零关系模式开始出现相互融合的趋势。在此基础上,由于跨国企业对地方企业网络演化作用主要是通过对网络成员空间行为和创新学习的影响来实现的,因而笔者在上海和广州分别选择一家本上案例企业,而它们正是在这两种整零关系模式的跨国汽车企业影响下成长起来,然后通过分析不同整零关系的跨国企业对本土企业空间结网与创新升级的作用差异,从而使其结论更具科学性,也更具现实意义。结果表明,上海本上案例企业与广州本土案例企业相比,前者接受欧美跨国汽车企业的技术扩散作用较强,其配套范围、对外网络联系和自主创新能力的发展更加迅速,并成为A级供应商,而后者主要依靠自主创新取得配套资格,配套范围较小,并且在日系跨国整车企业供应商网络中的地位较低。通过探讨跨国企业技术控制与技术扩散作用对地方企业网络演化的影响,本文刻画了跨国企业(技术)作用与企业网络演化的动态关系,完善了网络时代企业空间区位选择理论,总结了发展中国家地方企业网络演化的新特征,同时还比较分析了不同整零关系下的跨国企业对企业网络及其本土企业组织结构与创新升级的影响。尽管如此,本文主要立足于发展中国家,探讨发达国家技术领先的跨国企业通过技术扩散与技术控制作用对技术较落后发展中国家的地方企业网络演化的影响,而忽略了来自发展中国家具有领先技术的跨国企业如何通过技术扩散与技术控制作用影响发达国家的地方企业网络的演化。同时,本文忽略了一般网络成员的技术水平发展具有动态性和差异性的特点,这必然影响它们与跨国企业之间的技术权力关系,进而影响到地方企业网络演化的过程和方向,这也是未来需要进一步深化研究的问题。更多还原

【Abstract】 The practice of regional development in developed countries has proved that a well-developed regional enterprise networks is a driving force for regional development, which has drawn a lot of scholars’ much attention both in the fields of management and new economic geography. Earlier studies mainly focused on the enterprise clusters made up of small and medium-sized enterprises (SEMs), ignoring the role of multinational corporations. With the rapid development of economic globalization and trade liberalization, the economic characteristic of regionalism and localism is being weakened. Instead, the different product-making procedures or value chains are distributed in different countries and regions according to the strategic development plan of multinational corporations.Under this background, regional enterprise networks could not develop in isolation, but should participate in the global production network to achieve continuous upgrades. As an important carrier of economic globalization, the multinational corporations are not only the important participants in regional enterprise networks, but also the ligament of coupling the global production network and regional enterprise networks. At the same time, instead of traditional factors such as land, capital and labor, technology factor with mobility features contribute more and more for the development of regional enterprise networks, and has become the critical force affecting the development of regional enterprise networks, while multinational corporations control the vast majority of the most advanced technology. In such circumstances, this paper takes a perspective of multinational corporations, aming to study its impact to the structure and innovation upgrading of regional enterprise networks in developing countries through technology control and technology diffusion by focusing on the technological factors of multinational corporations (production-oriented enterprises), which can serve for the theoretical innovation of economic geography and regional economic development plan.Through analyzing the pertinent literatures at home and abroad, it is easy to find out that technology is becoming more and more important for the formation, development, innovation and upgrading of enterprise networks. Scholars at home and abroad, have started to fix their attention on it. Nevertheless, previous researches emphasize the effect of enterprise networks on technological innovation and technological diffusion. The influence of technological factor on the development of enterprise networks is ignored, especially how multinational corporations affect regional enterprise networks and cluster structure through technology control and technology diffusion. Some scholars have turned their attention to this in recent years. Specifically, they discuss the evolution of enterprise networks in the perspective of network power, technical power and global technical network. With the development of economic globalization, technological factors flow among countries more rapidly. More and more multinational enterprises take their technical activities into an international technology network. Therefore, it is very necessary to explore how multinational corporations impact the evolution regional of enterprise networks by virtue of technological advantage carrying little weight. Moreover, the findings about the relationship between multinational corporations or FDI and enterprise network or clusters are more and more, and the study of how enterprise network and clusters can attract multinational corporations or FDI has become relatively mature. However, the study about how the multinational corporations affect the formation and development of enterprise network or cluster is too meager to form systematic and normative theory explaining the mechanism of multinational corporations’influences on enterprise network evolution. Therefore, it is beneficial to carry out research on this subject. In addition, enterprise network development is not static but changing with the growth of enterprises. Existing researches focus more on the static state of enterprise network than on the dynamic change of the network. How multinational corporations affect the development and evolution of regional enterprise networks through technology control and technology diffusion with the aid of mobility features of technological factors is an important issue.By summarizing and commenting on the previous researches about the investment of multinational corporations, the evolution of enterprise networks and the impact of multinational corporations on the formation, development, innovation and upgrading of enterprise networks, this paper analyses the background, conditions and the way of how the multinational corporations affect enterprise networks, and discusses how the multinational corporations impact the spatial behavior and innovation of the members of the networks through technology control and technology diffusion to conclude the regulation characteristics of regional enterprise networks at different stages. Based on a lot of spot investigations, the development and evolution features of the Shanghai automobile enterprise network are analyzed under the effects of Volkswagen AG and GM. On this basis, in order to further study on how multinational automobile corporations with different relation models between complete vehicle and its parts affect the formation, development, innovation and upgrading of regional enterprise networks to make the result with universality and particularity by relying on technical superiorities, Shanghai automobile enterprises network is influenced by the European and American multinational automobile corporations, and represented by Volkswagen AG and GM. Guangdong automobile enterprises network is deeply affected by the Japanese automobile multinational corporations such as Honda Motor and Toyota Motor. Then the two networks are compared and analyzed. The main conclusions are as follows:Firstly, multinational corporations are important forces of the evolution of regional enterprise networks in the knowledge economy time. With the development of globalization, international division of labour and knowledge economy as well as the concerted driving force of central and local government, the multinational corporations explore resource ceaselessly on a global scale in order to realize resource the process of optimal configuration, of which the most important one is foreign investment accompanied by technology transfer and technology spillover. On one hand, the multinational corporations always set up many technical barriers to other enterprises to prevent the spillover of the key technology, and on the other hand, in order to reduce the production cost and improve the level of localization, they have to provide the regional enterprises with technical guidance and training, which are called technology control and technology diffusion. Through the functions of technology control and technology diffusion, multinational enterprise affect the spatial behavior and innovation learning of the regional enterprises, thus finally influence its network evolution. Of course, the affection relies on certain conditions, which includes appropriate technology gap, a close resource-dependence relation exists between multinational corporations and regional enterprise networks and the support of policy environment.Secondly, the multinational corporations can affect the spatial behavior and innovation of regional enterprises, thus affects the evolution of regional enterprise networks. At the stage of the network formation, the multinational corporations mainly take technology control of the network members. They restrict the local members enter the network, and demand or force former network members to join them. At the stage of rapid development, the technology diffusion from the multinational corporations to members is wider and stronger, which has promoted the rapid development of regional enterprise networks. The demonstration effect makes many other multinational corporations enter the network. At the stage of expanding production, the innovation effect of multinational corporations on network members is the most significant. It attracted many foreign R&D centres into the host country, and the network members become more diverse. Under the effect of technology control and technology diffusion, the number of the network members is increasing, and the density of the network is higher. The network structure has developed from vertical dendritic structure to network structure, and shifted from single-core to dual-core. The relationship between regional enterprise networks and headquarters of multinational corporations has transformed from one-way to two-way linkage. At the same time, the capacity of network innovation is promoted, and the process upgrading, the product upgrading and the function upgrading appear in the regional enterprise networks in succession.Thirdly, the multinational corporations played an important role in the process of Shanghai automobile enterprise network evolution. Two multinational enterprises of VW and GE entered into Shanghai by the concerted driving force of the Shanghai government and local authorities, making Shanghai automobile enterprise network go through non-existence to existence and low-grade to high-grade process. The network structure and innovation capacity of automobile enterprise had obviously been improved and finally developed into a more perfect and competitive one. Specifically, Shanghai automobile enterprise network went from a process of setting up, fast growing and expanding. In the course of forming up, the foundation of automobile industry in Shanghai was poor, so SVW could make use of the technology standard control to lock out the home-grown enterprises. Therefore Shanghai automobile network showed a mononuclear structure with the SVW at the center and with vertical network structure in Initial shape whose network density and creative ability was low. Also, this vertical network structure only had a one-way link with headquarter of VW. At the stage of rapid expansion, the GE began to set its foot in china after the great success made by VW. From then on, Shanghai automobile network had been a dual-nuclei structure. The supplier network had been perfected, and its vertical and horizontal network structure began to improve and product upgrading began to appear. What’s more, the external supplier network was expanded but still concentrated in the Yangtze River delta. And the relationship between ShangHai automobile enterprise networks and the headquarters of multinational corporations had transformed from one-way to two-way linkage. At the stage of production expansion, multinational automobile corporations greatly impacted the native network on its creativity. The R&D centres of Multinational complete vehicle manufacturers and their suppliers started to enter Shanghai, making the native network more diversified and begin to appear function upgrading. In addition, the density and connection of Shanghai automobile network had been further strengthened. The vertical and horizontal network structure grew into a complex structure whose supplier scope for other provinces was enlarged. The network slowly integrated into the global production system and began its international expansion.It is easier for local enterprises to enter the network under the effect of European and American automobile multinational corporations than that of Japanese automobile multinational corporations, while the latter faces more intense competition than the former. Besides compared with the European and American automobile multinational corporations, the Japanese ones can set up local enterprises network more quickly, and have stronger and more frequent innovation effect on the regional enterprise networks, but it is available only in the closed supplier network. That is, locking technology of Japanese automobile multinational corporations is becoming more extreme. On this basis, the effect of multinational corporations on the regional enterprise networks evolution is achieved through the influence on spatial behavior and innovative learning of network members, so two local enterprises from Shanghai and Guangzhou were selected as cases, which separately grew up under the effect of multinational automobile corporations with different complete vehicle and its parts models. It would become more scientific and significant through analyzing the differences of the effects of multinational corporations on the local enterprises with different relation models between complete vehicle and its parts affect the formation, development, innovation and upgrading of local enterprises. The results showed that the enterprise of the case in Shanghai under the effect of Europe and America multinational enterprises gave a higher strength of technology diffusion, made the scope of supply larger, more connections to the outside world, and the independent innovation capability stronger than the enterprise of the case in Guangzhou under the effect of Japan multinational enterprises, which played a less important role in the supplier network of Japan multinational automobile companies. In contrast, the enterprise of the case in Shanghai had become a tier one supplier.Through the study on evolution of regional enterprise networks under the effect of multinational corporations through technology control and technology diffusion, the dynamic relationship of multinational corporations function in the evolution of enterprise networks was depicted. The theory of enterprises spatial position selecting was improved in network times, and the new evolution characteristic of regional enterprise networks in developing countries were summarized. At the same time, the differences on how multinational corporations with different relationship of complete vehicle and its parts affect the regional enterprise networks and local enterprises were compared and analyzed. However, the paper was mainly based on the developing countries, and made a research on how the advanced multinational corporations of developed countries affect regional enterprise networks of developing countries, and the study on how the advanced multinational corporations of developing countries affect regional enterprise networks of developed countries is ignored. What’s more, the characteristics of dynamic and differences of the general members in networks, which will inevitably affect the technology power relations between multinational corporations and the general members, are ignored too. And the changing technology power relationship between multinational corporations and the general members. These are also the problems requiring further study in the future.更多还原