【作者】 迟文成；

【导师】 黄继忠；

【作者基本信息】 辽宁大学 ， 企业管理， 2007， 博士

【摘要】 本文认为,虽然中国产业集群近年来在市场经济条件下蓬勃发展,但不同程度上面临着技术能力薄弱、技术能力增长乏力和产业层次较低的问题,在市场环境剧烈变化的情势下,可持续发展的前景面临着挑战,因此通过卓有成效的技术学习来实现能力增长和产业升级进而促进区域经济发展是集群发展的当务之急。本文对集群技术学习机制的研究也正是出于这样的思考提出。分析集群技术学习机制主要系统解决集群技术学习动机、学习条件、学习途径等核心问题。首先,分析集群为什么要技术学习的问题,笔者利用交易费用理论、资源理论、知识外溢理论、协同理论作为理论基础对集群技术学习的动因进行了理论上的分析,认为这种不同于组织学习的集群技术学习之所以能进行是因为存在交易费用节约效应、资源优势、知识外溢效应和协同合作效应。根据企业利益最大化假设,具体到集群内不同位势企业技术学习的动力情况有所不同,本文对群内企业学习成本和收益进行了数理分析,认为高位势企业更倾向于外向型学习,低位势企业更可能倾向于群内跟进式学习。分析认为,集群式产业创新也是集群技术学习的又一动力所在,集群内知识流动是整个集群式产业创新中的重要部分,群内知识流动的规模和效率直接影响着集群式创新系统的结构和运行效率。其次,分析集群为什么能够技术学习的问题。本文认为集群之所以能够技术学习是因为集群存在技术学习条件。首先,集群技术学习存在基础条件,群内有知识存量、有学习的主体即群内组织、群内有组织的知识协作。分析认为,集群“社会信任”的建立是集群技术学习的前提条件。集群的空间集聚和社会信任的建立创造了面对面交流式技术学习,集群文化特征也为集群默会知识的扩散和共享提供了有利条件,集群网络特征既有利于知识外溢和创意的流动,又有利于集群企业工作人员的知识开发和共享。同时,集群技术学习也受到企业内部和企业外围两个方面条件因素的影响。对于企业内部而言,企业获得知识的量取决于其它企业溢出、转移的知识量和企业吸收内化知识的能力,企业在网络中的地位不同,其获得稀缺的知识资源的能力也不同,企业的网络地位与吸收能力是相互关联的,吸收能力会中和网络地位在获取知识中的作用。对于企业外围而言,社会资本可以克服由于组织根植性所带来的知识在企业内和企业间获取和共享的障碍,社会资本的增加,对于降低交易费用、提高共享效率,促进技术学习具有很大的作用。分析认为,基于外部经济和规模经济的产业集群中分工合作的深化,形成企业间的关联,企业间的关联程度影响着产业集群技术学习的程度;信息技术能够建立起企业间的虚拟的知识传输和共享渠道,保证了知识流动的高效;文化根植性有利于企业共同学习;技术市场作为中立市场,可以为集群持续不断的学习提供源泉,同时降低了技术的准入障碍,为集群技术学习提供了方便。再次,分析集群是怎样技术学习的问题。本文从组织学习理论中的SECI模型和集群生态系统结构两个角度对集群技术学习的途径进行了深入分析。认为集群内发生的知识流动过程正如组织学习SECI模型中发生的知识社会化过程、表述化过程、综合化过程和内化过程,在集群层面上,集群区域就如同组织学习中提到的“吧”的作用。集群是内部各要素之间,通过人际关系、价值链关系和竞争合作关系构成的特殊的产业生态系统。本文把该系统分为核心网络、辅助网络以及外围网络来对集群技术学习途径进行分析。笔者把基于核心网络的集群技术学习途径定义为核心层次内部成员企业之间的知识流动过程,从人员在成员企业之间的流动、企业间的合作互动、企业裂变和人员之间的非正式交流等五个方面分析知识流动情况。基于辅助网络的集群技术学习途径则指发生在核心网络成员企业和辅助网络中公共服务机构、集群代理机构之间的知识流动过程,主要从劳动力培训和教育、辅助网络向核心网络的人员流动、知识基础设施、正式沟通、技术和管理服务五个方面来分析。基于外围网络的集群技术学习途径则指集群边界以外与集群成员之间发生的知识流动,主要从集群内成员企业开展外向型学习的角度来分析。接着,本文对集群在什么样的环境下技术学习的问题进行了阐述。分析认为,集群技术学习是处在一个复杂的环境中,涉及公共服务机构、集群代理机构和技术基础设施,以及政策、法规和条例等。良好的外在环境是集群技术学习机制发挥效用的有利保障。总之,本文全面系统地分析了产业集群技术学习机制,基本结论是:集群存在技术学习的动机,具备技术学习的条件,有特定的技术学习途径,产生一定的技术学习绩效。因此,完善集群技术学习机制,是提高产业集群技术学习效率、提高集群技术能力、提高产业层次,最终促进区域经济发展的重要路径选择。更多还原

【Abstract】 This paper argues that, with the fast development of Chinese industrial clusters in recent years, the enterprises are confronted with weak technological capability, slow increasing and lower industrial level. In fierce changing market, sustainable development of industrial clusters is facing challenges. Therefore, it must be taken into consideration that capability improving and industrial upgrading is realized through effective technological learning of industrial clusters. This paper aims at researching and analyzing on technological learning mechanism of industrial clusters, focused on motivation causes of technological learning, conditions of technological learning, process of technological learning of industrial clusters.Firstly, to analyze the motivation that enterprises in industrial clusters intend to take activities of technological learning, the author makes an attempt at applying theories of transaction costs, resources, knowledge spill-over, coordination to analysis framework. The analysis comes to a conclusion that technological learning of industrial clusters differs from organizational learning in many ways, and that enterprises of industrial clusters are encouraged to learn collectively for the purposes of transaction costs saving, advantage of resources, benefit of knowledge spill-over, effect of coordination. Based on the assumption of maximum benefit of enterprises, it can be summed up that the enterprises which are on different business positions in the cluster have different motivations. Mathematical analysis on cost and benefit of technological learning of enterprises in industrial clusters comes to a conclusion that the enterprises on higher business positions in the clusters intend to follow extraversive learning pattern, and enterprises on lower business positions are apt to take running-after learning pattern. Industrial cluster innovation also demands collective technological learning of enterprises. Knowledge flow of industrial clusters is one of main causes for Industrial cluster innovation. The extension and efficiency of knowledge flow would have a direct effect on structure and operation of industrial cluster innovation system.Secondly, the paper focuses on analyzing why enterprises are capable of learning collectively. The reason, which makes possible collective technological learning among the enterprises is that an industrial cluster has its basic condition, which consists of knowledge storage, learning bodies, knowledge coordination of organizations. The author believes that constructing social trust of industrial cluster is a basic condition. The geographical characteristics and construction of social trust provide opportunities to technological learning by face to face in an industrial cluster. Cultural characteristics of clusters are also positive factors for tacit knowledge diffusion and share. The networks of clusters not only promote knowledge to spill over and ideas to flow around, but also enable enterprises to share and develop knowledge in the clusters. Technological learning of industrial cluster is influenced by two kinds of key factors, which exist inside enterprises and outside enterprises. Inside enterprises, the quantity of knowledge that enterprises obtain and share depends much on the quantity of knowledge spilled over and transferred from other enterprises, and capability of knowledge absorbancy and internalization. For the reason that enterprises are different in network status, their abilities to obtain scarce knowledge are also different. Enterprises’network status and abilities to absorb knowledge are interdependent, the abilities to absorb knowledge can neutralize the roles that networks play in knowledge acquisition. As to the enterprises’periphery, social capital can overcome the obstacles, which the nature rooted in organizations bring about when the knowledge is acquired and shared among the enterprises. The increasing of social capital has a major function in reducing transaction cost, enhancing sharing efficiency and promoting technological learning. By analyzing, the author believes that, based on the external economy and economy of scale, deepening of labour division and cooperation among the enterprises forms connections of enterprises in a cluster. Connecting degree of enterprises affects sharing degree of knowledge. The information technology can establish the channel to transmit and share virtual knowledge among the enterprises in a cluster, so as to ensure the high efficiency of knowledge flow. The characteristics rooted in the local culture are advantageous in collective learning and knowledge sharing. As a neutral market, techniques market can provide the cluster for continuous learning resources, simultaneously reduce the technical admittance barriers, and create convenient conditions for technological learning in a cluster.Thirdly, the paper analyzes how the enterprises learn collectively in a cluster. The author takes advantage of SECI model in organizational learning theory and ecosystem structure of industrial cluster to analyze the way of collective technological learning. According to SECI model, the knowledge flowing process of industrial clusters has similar principles to what happens in organizational learning. The knowledge flowing in clusters consists of knowledge socialization, externalization, combination and internalization, which works in the same way inside organizations. From the view of industrial cluster, the cluster region has a similar function to“bar”, the concept of which is mentioned in organizational learning theories. A cluster is a special ecosystem, which is composed of various inner factors when interpersonal relationship, value chain, competition and cooperation function in the cluster. This ecosystem is divided into three networks, namely core network, auxiliary network and exterior network. In this paper, the technological learning in core network refers to knowledge flowing process happening among the core members of enterprises in cluster. This process includes five possibilities, employees flow from one enterprise to another, enterprises cooperate and interact, enterprises grow into different ones, persons of different enterprise exchange ideas informally. The technological learning in auxiliary network mainly refers to knowledge flow happening between core members of enterprises and public service organizations, cluster agents. This process includes training and education of labour force, employees flowing from core network to auxiliary network, constructing of knowledge basic facilities, formal communication, technologies and administration. The technological learning in exterior network refers to knowledge flowing between members of enterprises and organizations outside the cluster. The analysis on this process mainly points to how members of enterprises learn from outside.Fourthly, the paper analyzes what is the circumstances like, in which the enterprises of clusters take technological learning activities collectively. Through analyzing, the author believes that collective learning of cluster is in a complicated circumstance, which is related to public service, cluster agents, technical basic facilities, policies, laws and regulations. Advantageous circumstance can ensure the effectiveness of collective technological learning mechanism in cluster.In brief, this paper analyzes collective technological learning mechanism of cluster comprehensively and systematically. The basic conclusion is that: industrial cluster has motivations, conditions and processes in collective technological learning, and finally gets achievements. Thus perfecting the collective technological learning mechanism of cluster is the key to improving the efficiency of collective technological learning, enhancing technical capability of cluster, optimize industrial level, finally promoting the region economy development.更多还原