产业集群升级：一个行业协会治理视角的分析

【作者】 郭金喜；

【导师】 杨宇立；

【作者基本信息】 上海社会科学院 ， 政治经济学， 2007， 博士

【摘要】 发展中国家的二元经济结构,往往容易使传统产业集群陷入低劳动力成本陷阱。在我国,要素价格攀升和人民币汇率升值,正不断削弱传统产业集群竞争优势的基础;而层出不穷的国际贸易纠纷,也在很大程度上抑制了集群的发展空间。有关中国成为世界工厂的种种数据表明,目前,我国的传统产业集群已经到了通过升级寻求突破的关键时期。实现集群升级,是转变经济增长方式和在实践中落实科学发展观的必然要求。本文在综合集群演化模型、全球价值链模型和创新系统模型等的基础上,提出判断集群升级的三维(时间维、价值维和组织结构维)坐标,认为集群升级是集群以集体行动为基础、以提升集群创新能力为动力、以集群网络优化为支撑,实现价值增长并促进集群持续发展的过程,它综合性地表现为集群经营模式和发展路径的转换。传统理论虽然都提出了升级的内涵、主体、动力机制、发展路径和相关的政策建议,但由于这些理论模型都具有相当程度的理论抽象性和国情差异,在现实操作中,受过度模仿和恶性竞争等的制约,其很难被我国传统产业集群自动实施。因此,在集群升级的主体推进和突破努力上,我国的传统产业集群还需另辟新路。集体行动的逻辑在于获取最大限度的集体效率。发达国家自中世纪以来的历史经验证明,作为降低交易费用、形成组织剩余这一制度安排的行业协会,在获取集体效率方面具有天然的优势:行业协会比企业无私,比政府节约。在集群升级方面,Nadiv(1999)和Schimtz(1999,2002)等的观察和我国沿海地区集群的实践,也充分证实了这点。因此,由行业协会实施行业自治,不仅是对现阶段集群升级的强力助推,更是构成了区域政治文明和集群治理的经济自治基础,它们共同为集群的持续发展提供了制度保障。据此,本文提出集群升级的实质是以价值为导向的发展路径转换,而由行业协会实施集体行动则是打破路径锁定的关键。为有效实现集群路径转换的目标,行业协会的集体行动,应在推进集群创新、推进集群企业国际化和优化集群企业融资环境方面作出突破。本文内容安排如下:第一章对研究背景与选题的目的意义、研究方法和研究内容等作简要介绍。第二章以对相关文献的梳理为基础,明确界定了产业集群、集群升级、行业协会治理等在本文的含义与指向,指出集群升级的实质是通过集体行动获取更大价值分享的发展路径转换。由行业协会实施集体行动,不仅有历史的明证,也有丰富的实践基础。在集群升级的场景中,由行业协会作为集体行动的实施者,更是关系到集群发展的政府导向还是市场指向的战略选择,这对我国地方政府告别用政府行为推进集群升级的惯性思维有积极的意义。第三章以市场自发秩序的自治完善需要一个过程和契机的认识为基础,刻画了一个基于路径依赖与蝴蝶效应偶合的集群路径转换模型,并用温州打火机集群案例进行了验证。研究证明,行业协会治理既是实现集群路径转换的关键,也是一个与企业、集群在发展中壮大互动中成长的协同进化过程。第四章首先从知识外溢模型和协同竞争博弈模型正反两个方面的理论分析入手,提出行业协会治理是突破我国集群创新困境的关键。本章的实证表明,行业协会不但在信息收集扩散、技术培训与检测、关键共性技术提供等方面具有不可替代的作用,其在行业发展规划与行业标准设定、知识产权维护与高技术人才培育等方面的工作,还起着集群创新理念与创新模式重构的关键作用。第五章以中小企业国际化的相关理论入手,在综合考察了集群企业国际化的进路、特征与困境的基础上,从全球价值链嵌入方式、位序维护与提升等三个方面,系统性地分析了行业协会对企业国际化推进的积极功能。第六章在系统回顾与评估中小企业融资困境与解决方案的基础上,结合理论分析和案例研究,提出集群行业协会在沟通企业与银行、企业与政府方面具有更大的信息优势和集体力量,由其设立的担保公司和内部投融资渠道,能更好地使行业内成长型中小企业获益。第七章着重论述了行业协会建设。行业协会的有效性在于它的制度能力,由于我国缺乏自治的传统,在法律制度供给和政府赋权双重不足的情况下,集群行业协会普遍存在治理能力薄弱的局限。因此,协会治理能力的提升,除了要加强协会自身制度能力的建构外,更要注重法律制度的供给和政府理念的转变,使行业协会真正成为服务于企业的区域性行业自治组织。第八章是本文研究的基本结论与展望。更多还原

【Abstract】 The dual economic structures in developing countries tend to make traditional industrial clusters get bogged down in low labor cost very easily. In China, increasing prices of factors and the appreciation of Renminbi have been weakening the foundation of traditional industrial clusters’competitive advantage; successive disputes of international trade have been restraining the development space of clusters as well. A variety of data concerning China’s being“World Shop”show that at present, the traditional industrial clusters of China have marched at the crucial period for breakthrough by way of industrial upgrading.Realizing clusters upgrading is the necessary requirement for changing the mode of economic growth and carrying out the concept of scientific development in practice. Based on the evolution model of comprehensive clusters; the model of global value chains and the model of innovation system, we put forward the upgrading model from the time dimension,value dimension and organization structure dimension. In our definition,the upgrading of clusters is a process to pursue value added and sustainable development by promote the collective action,innovation capability and support networks. It turns out to be the conversion of business models and development paths.Though traditional theories have put forward the denotation, actors, motive mechanism,development paths and related policies of upgrading, it is very difficult to put it into practice automatically in the traditional clusters of China which restricted by excessive mimicry and unfair competition considering that these theories models all have the theories abstraction, being different in different countries. Therefore, our traditional industrial clusters must open up new path for actors’advance and breakthrough efforts of clusters upgrading.The logic of collective actions lies in obtaining maximum collective efficiency. The historical experiences of advanced countries since the Middle Ages prove that industry associations, which are organized for lowering down contract cost and producing organizational surplus, have natural advantage in obtaining collective efficiency: more unselfish than firms and more economical than government. Clusters upgrading has been proved by the research of Nadiv(1999) and Schimtz(1999,2002) and the practice in the coastal areas of China. So, the autonomy carried out by industry associations is not only a forceful impulse on current clusters upgrading, but also building an economic autonomous base for regional politics civilization and clusters governance. Further, they supply a system security for sustainable development of clusters.Thus, this thesis holds that the essence of cluster upgrading is the conversion of development paths oriented by value. However, the collective actions carried out by industry association are the key to open path’s lock-in. In order to reach the aim of cluster path conversion, the collective actions of industry associations should make breakthrough in such fields as cluster innovation, internalization of clustered firms, and the optimization of financing environment for clustered firms.This thesis is arranged as follows:Chapter 1 is the brief introduction of the background, aim, significance, contents of this research, as well as the method that will be applied in the thesis.In chapter 2,based on the literature review , some expressions such as industrial clusters, cluster upgrading, industry association governance are clearly defined for this thesis. This thesis also points out that the essence of cluster upgrading is the development path conversion for best value sharing by way of collective actions. And collective actions by industry associations have not only historical evidences but firm base of practice. In the situation of cluster upgrading, as the actors, the collective actions by industry association is closely concerned with the strategic selection: government orientation or market orientation for cluster development, which is great significance for local governments of China to say goodbye to the habitual thinking that cluster upgrading is pushed by government’s actions.Chapter 3, on the base of understanding that the self-perfection of market orders need a process and opportunity, build a model of cluster path conversion which is based on the coupling of path dependence and butterfly effects, and it is tested by the case study of cigarette lighter industrial clusters in Wenzhou. The research proves that the governance of industry associations is both the key to cluster path conversion and synergistic evolution process of firm’s growth and development.Chapter 4, beginning with the theoretical analysis of both sides----the model of knowledge outflows and the model of synergistic competition game, put forward that the governance of industry associations is the key to solve the difficulty of cluster innovation in China. Empirical studies show that industry associations could not only play irreplaceable role in collecting and spreading of information; technical training and testing; core sharing technology, but play other key role in industry development planning; industry standard setting; safeguarding of intellectual property rights; educating talents with high and new technology; collectively finding new ideas and rebuilding innovative modes, etc.,Chapter 5, starting from the theories related to the internationalization of medium and small enterprises, comprehensively discusses the entrance, features and difficulties of clustered firms for internationalizing. Systematically analyzes the active functions of industry association for push enterprises’internationalization from the three aspects: the embedding mode of global value chains; position keeping and position risingChapter 6, after having reviewed and evaluated the difficulties and solutions of financing for medium and small enterprises, combined with theoretical analysis and case studies, put forward that clustered industry associations have more advantages of information and collective forces, and the insurance companies and internal channels for investment and financing set up by them may bring a lot of benefits to growing medium and small enterprises with the industry.Chapter mainly discusses the building of industry associations. The advantages of industry association lie in supplying local public goods. However, local public goods are more a problem of regional autonomy than an economic problem. Due to the lack of autonomy tradition in China, under the situation of double shortage of legal system supply and government empowering, clustered industry associations usually have a weak capability of governance. Therefore, strengthening the governance capability of industries, besides the building of system within industry association, more emphasis should be put on the supply of legal systems and the change of administrative ideas, which makes industry associations become real regional autonomous industry organization served for enterprises.更多还原