【作者】 徐蕾；

【导师】 魏江；

【作者基本信息】 浙江大学 ， 企业管理， 2012， 博士

【摘要】 产业集群转型升级与区域经济的可持续发展密切相关。目前,我国产业集群存在“两低(低价格、低附加值)一中(中端制造业)”的“低端锁定”现象,部分产业集群在转型升级过程中甚至出现“产业高端流出、低端流入”的反常现象。产业集群转型升级一直以来都是集群研究的热点问题,但已有研究很少以集群企业作为研究个体,探讨集群转型升级的途径与形式。本研究认为产业集群转型升级的关键行动者是集群企业,根本落脚点是企业能力的转型升级,只有当集群企业走出原有发展路径,实现能力跃迁,才能实现整个集群的转型升级。为此,本研究以产业集群内企业为研究对象,从网络嵌入的视角出发,探讨知识网络双重嵌入作用于集群企业创新能力提升的内在机理,通过大样本实证研究探讨全球化背景下本地、超本地知识网络对于集群企业能力提升的影响。为揭示内在作用机理,本研究从互补型(Complementary)知识整合和辅助型(Supplementary)知识整合提出和检验知识整合对于知识网络嵌入与集群企业能力提升之间关系的中介作用。最后,将集群企业作为突破集群困境、实现集群升级的关键行动者,构建起“知识网络双重嵌入(本地网络嵌入和超本地网络嵌入)——知识整合(互补型知识整合和辅助型知识整合)——创新能力提升”的理论逻辑。通过上述分析,本研究拟为集群企业能力提升提供战略思路,进而为产业集群转型升级提供新的模式。具体来说,本研究依据特定的理论视角,通过三个子研究层层深入子研究一：探讨集群企业知识整合的内涵界定与测量方法。首先,本文在系统梳理与深入分析现有关于知识整合、知识重构等文献的基础上,明确提出了集群背景下企业知识整合的内涵、特征,并将其界定为一个知识获取、知识解构、知识融合与知识重构的动态循环过程。其次,本文采用严格的量表开发程序,设计出包含四个维度14个题项的集群企业知识整合量表,并利用306份问卷对其进行探索性因子分析、验证性因子分析,以及信度分析,从而检验了量表的有效性和可靠性。子研究二：从动态视角考察知识网络双重嵌入与创新能力提升的演化机制与作用机理。本地和超本地知识网络均为集群企业成长提供不同的资源和能力,处于不同发展阶段的集群企业在知识网络嵌入方式、创新能力特征,以及创新能力提升机理等方面均有所不同。因此,本文选取浙江省两个制造型产业集群内的龙头企业,对其展开跨度20余年的纵向探索性案例研究,并提出初始命题和模型。子研究三：综合上述两个子研究,基于组织能力、网络嵌入性、知识基础观等理论,构建起“知识网络双重嵌入(本地网络和超本地网络)——知识整合(互补型知识和辅助型知识)——创新能力提升”的理论逻辑,并对其进行大样本实证检验,研究发现：(1)知识网络双重嵌入对企业创新能力提升具有积极的影响。其中,对突破式创新能力发挥作用的主要是双重嵌入中的超本地嵌入(本地嵌入对突破式创新能力不显著)；本地与超本地知识网络嵌入均对渐进式创新能力具有显著的正向影响。(2)知识网络双重嵌入对企业知识整合具有积极的正向作用。并且通过比较多元回归系数可知,对集群企业辅助型知识整合发挥作用更大的是双重嵌入中的本地嵌入；对互补型知识整合发挥作用更大的是超本地嵌入。(3)双重嵌入通过影响知识整合进而作用于创新能力。其中,辅助型知识整合对“知识网络双重嵌入——渐进式创新能力”具有中介作用,互补型知识整合在“知识网络双重嵌入——突破式创新能力”起到中介效应。与产业集群升级、网络嵌入性、创新能力提升等领域已有的研究成果相比,本研究的创新和发展主要体现在以下几个方面：(1)研究逻辑创新。构建起了“知识网络双重嵌入——知识整合——创新能力提升”的理论逻辑,提出：①产业集群转型升级的前提在于集群企业的能力提升；②集群企业能力提升需要建立在互补型知识整合和辅助型知识整合基础上；③知识整合需要突破集群企业的网络空间与网络结构,实现本地知识网络和超本地知识网络的双重嵌入。(2)关键构念创新。在上述逻辑主线中存在三个关键构念：①集群企业知识网络双重嵌入作用于创新能力提升的构念；②集群企业知识网络双重嵌入作用于互补型和辅助型知识整合的构念；③以知识整合为中介变量作用于知识网络双重嵌入与能力提升之间关系的构念。这三个构念完成了研究逻辑主线的可实现性。(3)研究切入点创新。上述三个关键构念的实现是建立在以下三个切入点基础上的：①从集群企业创新能力提升作为切入点,探寻产业集群转型升级的突破点；②从集群企业与本地、超本地两类知识主体(价值链上主体企业、知识型服务企业)合作互动作为切入点,分析知识网络双重嵌入的内在过程机理；③从互补型和辅助型两类知识整合模式作为切入点,分析知识网络双重嵌入的功能。(4)研究情境创新。从产业集群情境研究集群内个体企业知识网络嵌入集群企业创新能力提升等问题具有重要理论价值。因为产业集群内企业能力提升既受集群集体学习、知识溢出所带来的集体路径依赖的显著影响,也受到单个企业为突破集体路径刚性所产生的异质性动态能力的显著影响,解释这种特殊情境下的网络关系、能力提升具有显著理论意义。更多还原

【Abstract】 The transformation and upgrading of industrial clusters is closely related to the regional economy’s development. Recently, the common situation such as "low-end lockin" of China’s industrial clusters still remains unchanged, and the eccentric phenomena of "high-end in but low-end out" occur in some industrial clusters during the processes of transformation and upgrading.Most previous literatures discussing the paths and forms of industrial clusters" transformation and upgrading are based on the cluster level, attempting to give countermeasures and suggestions for the development of clusters:but few studies put forward based on the clustered firm level. This paper maintains that concerning industrial clusters’transformation and upgrading, the main actors are clustered firms and the foothold is these firms’capabilities. Only when clustered firms get rid of conventional developing paths and realize competence transition, can they lead and guide the evolution of the whole industrial clusters. Therefore, based on network embeddedness theory, this paper focuses on the clustered firm level to study the inner mechanisms of dual embeddedness---local knowledge network and ultra-local knowledge network, affects clustered firms’ capability by large sample experiment. In order to understand the inner mechanism, the studies start from complementary knowledge integration and supplementary knowledge integration to put out and test the mediating function of knowledge integration to the relationships between "dual embeddedness and firms’innovation capability upgrading". Lastly, by recognizing clustered firms as main actors, we build a theoretical logic of "Dual Embeddedness (local knowledge network and ultra-local knowledge network)---knowledge Integration (complementary knowledge integration and supplementary knowledge integration)---innovation capability upgrading". Through the above analysis, this study intends to provide strategic thinking to enhance clustered firms’ innovation capability, so that a new pattern of industrial clusters’transformation is provided. This study is progressively deepened by next three sub-studies.Sub-study1:The content definition and measurement method of knowledge integration for clustered firm is investigated. Firstly, after systematically analyzing existing literatures on knowledge integration and knowledge reconstruction, we point out the connotation and characteristics of knowledge integration in the cluster background. It is defined as a dynamic cycle of knowledge acquisition knowledge deconstruction, knowledge fusion and knowledge reconstruction. Secondly, a rigorous scale development process is taken to design a knowledge integration scale, which contains14items.306questionnaires were distributed to get the result of exploratory factor analysis, confirmatory factor analysis and reliability analysis, which support the validity and reliability of the scale.Sub-study2:The evolution mechanism of the knowledge network dual embeddedness and innovative capabilities’upgrading is investigated from a dynamic perspective. Both of local and ultra-local knowledge networks provide different resources and capabilities for the growth of clustered firms. In different stages of development, clustered firms have difference in patterns of embeddedness, innovation capability characteristics and innovation capacity upgrading. Therefore, we selected two leading enterprises in two manufacturing industrial clusters in Zhejiang Province, and with more than two decades’case study, we propose an initial proposition and model.Sub-study3:Combined with the first two sub-studies, based on network embeddedness theory, knowledge-based theory and capacity theory, a theoretical logic:"knowledge network dual embeddedness (local network and ultra-local network)---knowledge integration (complementary knowledge integration and supplementary knowledge integration)---innovation capability upgrading" is build up. Large sample experiment shows:(1) Dual embeddedness positively affects firms’innovation capability upgrading. Greater effects on enterprises’radical innovation capability come from ultra-local embeddedness (local embeddedness doesn’t have significantly positive effect on radical innovation capability). Both local and ultra-local knowledge network embeddedness have significantly positive effect on incremental innovation capability.(2) Dual embeddedness plays a significantly positive role in knowledge integration. Comparing the multiple regression coefficients, we find:local embeddedness has more effect on clustered firm supplementary knowledge integration while ultra-local embeddedness has more effect on complementary knowledge integration.(3) Knowledge integration plays a mediating effect in the relation of "Dual embeddedness-innovation capability". Supplementary knowledge integration acts as a mediator between dual embeddness and incremental innovation capability; and complementary knowledge integration acts as a mediator between dual embeddedness and radical innovation.Compared with the existing achievement on areas such as cluster upgrading. network embeddedness. innovation capability, this research contributes to innovation and development mainly in the following areas:(1) Innovation in research logic. A new research logic, i.e.," Dual embeddedness---Knowledge Integration---Innovation capability upgrading" is established in this paper. In detail, we propose:①Innovation capability upgrading of clustered firms is the precondition of industrial clusters’transformation and upgrading;②Industrial cluster capability upgrading should based on the integration of complementary knowledge and supplementary knowledge;③Knowledge integration need to break through the current network space and structure so as to realize dual embeddedness of both local knowledge network and ultra-local knowledge network. This logic thread is innovative.(2) Innovation in key constructs. Three key constructs are comprised:①The effect of cluster firms’knowledge network dual embeddedness on innovation capability upgrading;②The effect of clustered firms’knowledge network dual embeddedness on integration of complementary knowledge and supplementary knowledge;③the mediating effect of knowledge integration to the relation between dual embeddedness and innovation capability upgrading. These key constructs help to make the logic thread achievable.(3) Innovation in access points. The key constructs listed above are built on the following access points:clustered firms’ innovation capability upgrading---when explore the breaking point in industrial clusters’transformation and upgrading;②cooperation between clustered firms and two different knowledge agent, i.e., local firms and ultra-local firms (dominant firms in value chains and KIBS respectively)---when analyze inner process mechanism of knowledge networks’dual embeddedness;③integration of complementary knowledge and supplementary knowledge---when analyze functions of knowledge networks’dual embeddedness.(4) Innovation in research context---industrial clusters context. There is no denying that clusters firms’innovation capability upgrading not only remarkably get affected by collective path-dependence because of collective learning and knowledge spills within a cluster, but also get affected by firms’individual learning actions which helps to break original paths and lead to heterogeneous dynamic capability. Given this, trying to explain network links and innovation capability upgrading in such a particular context is of great significance.更多还原