产业集群共享性资源动态演化机制研究

【作者】 顾志刚；

【导师】 吴晓波；

【作者基本信息】 浙江大学 ， 管理科学与工程， 2007， 博士

【摘要】 近二十年来，产业集群以其在推动区域经济增长方面的重要作用，日益受到国内外学者的广泛关注。然而，大量有关产业集群的研究工作，极少有致力于运用新近的基于资源观及其理论，以对产业集群成长的内在机理进行深入剖析和阐述的相关研究。本文运用企业的基于资源观及其理论、产业集群理论和组织学习理论的相关研究成果，通过理论演绎、案例研究、实证研究等方法，力求在以下具有内在关联性的三个方面的问题上有所突破：第一，产业集群共享性资源，作为企业的基于资源观及其理论在产业集群层面上拓展研究的重要成果之一，其来源和构成如何明确，概念如何界定，并且具有什么样的特点?第二，产业集群共享性资源的内涵十分丰富，如何提出既有理论意义、又符合现实情况的维度划分方法，在此基础上，如何对产业集群共享性资源动态演化概念进行界定，并且如何通过合理的理论演绎，明晰其动态演化的过程和机制?第三，产业集群共享性资源动态演化的动力是什么，影响因素又是什么，动态演化的过程如何实现，动态演化模型如何表达，如何建构用于实证的结构方程模型，而其动态演化机制，在集群企业异质性和产业集群成长等方面的促进上，又发挥着什么样的作用?围绕以上三个方面的问题，本文在企业的基于资源观及其理论的文献述评基础上，从企业作为资源综合体的本质分析入手，通过影响企业竞争优势的资源三分法，探讨企业的外部资源获得、消化吸收与内部化、最终转化为企业共享性知识的这一跨越企业边界的资源演化过程。然后，在产业集群文献述评的基础上，探讨集群企业的外部资源获得、消化吸收与内部化、最终转化为产业集群共享性资源的这一跨越企业边界和产业集群边界的资源演化过程。通过对某一产业集群背景下的若干案例的探索性研究，得出产业集群共享性资源的来源和划分维度；通过产业集群及其共享性资源交互演化的历程分析，得出本文所述的产业集群共享性资源的概念，以及产业集群共享性资源动态演化的机制。同时，运用案例研究的结果，论证了集群企业具有的相对同质基础上的相对异质性这一符合基于资源观及其理论的假设前提，为后续开展的产业集群共享性资源动态演化模型的得出和结构方程模型的实证等各项研究工作，奠定相应的理论基础。随后，本文按照基于资源观及其理论中的“资源选择”理论和“能力构建”理论的有关研究成果，明晰了产业集群共享性资源的构成要素。同时，在繁杂的组织学习和集体学习的文献综述基础上，提出并剖析了产业集群集体学习的概念，对相应的测度方法进行了探讨。以此为基础，按照基于资源观及其理论所依据的有关资源动态演化与环境变化相匹配的观点，完善了前述案例的探索性研究所提出的产业集群共享性资源动态演化模型，借以明晰产业集群共享性资源动态演化的作用路径及其运行机制。最后，通过结构方程模型法的检验，修正并确立最终模型，完成实证过程，得出具有一些启发性的结论，并据此模型以及理论演绎结论，对现行的以提升产业集群竞争力为目标的各项理论研究和实践探索进行新的审视与思考。本文研究的不足及未来值得进一步深入研究的方向，得到清晰而明确的阐述。按照本文提出需要突破的问题和全文逻辑思想的安排，全文分七个章节展开论述。其中，第1章至第3章是文献述评和全文主要概念的界定部分，为全文的基础；第4章至第5章为探索性研究部分，在理论演绎、案例研究和实证研究的基础上，提出产业集群共享性资源动态演化机制及其初步的理论模型；第6章为验证性研究部分，运用结构方程模型法，来证实和支持本文前述的模型，并对实证结果进行分析和讨论；第7章为总结部分，对本文的研究成果进行评价，指出不足，提出未来研究的方向。具体的章节安排如下：第1章，绪论。本章交待了文章的研究背景、研究目的和意义、研究方法和技术路线、全文结构及内容安排，为本文研究的展开奠定基础。第2章，企业的基于资源观及其理论述评。本章围绕企业的基于资源观及其理论展开述评，提炼出运用基于资源观进行理论研究的原则和方法，为企业的基于资源观及其理论在产业集群层面的拓展研究奠定基础。同时，对组织学习和组织经济学展开文献综述。第3章，产业集群共享性资源及其动态演化的机制。本章展开对产业集群的本质意义挖掘，对产业集群的相关文献展开述评。以此为基础，对产业集群共享性资源展开文献述评，指出相关研究中的不足和缺陷，进而明晰产业集群共享性资源的概念、来源和划分维度，并对其动态演化的概念与机制进行了理论演绎和界定。同时，对集体学习展开文献综述。第4章，产业集群共享性资源动态演化的案例研究。本章通过对某一产业集群背景下的四个案例的探索性研究，印证了第3章提出的产业集群共享性资源概念、来源、构成要素和划分维度的合理性，提出了产业集群共享性资源动态演化的分析框架和理论表征方法。进而通过实证研究，得出集群企业具有在相对同质基础上的相对异质性这一符合基于资源观及其理论的假设前提，完成对产业集群共享性资源动态演化过程的逻辑框架的探索，为其模型的得出和相关实证工作的展开奠定基础。第5章，产业集群共享性资源动态演化模型。本章建构起“产业集群共享性资源—产业集群集体学习—集群企业技术创新”的产业集群共享性资源动态演化模型，围绕各构成要素之间的作用路径和作用机制，展开进一步的讨论。第6章，产业集群共享性资源动态演化模型的实证研究。本章采用结构方程模型法，对前述通过案例研究和理论演绎得到的模型，进行估计、检验、修正与调整，确立最终模型。以此为基础，对模型中的作用路径和实证结果进行分析和讨论，指出本研究结果对于产业集群发展的理论研究和实践探索所具有的指导意义和若干启示。第7章，结论与展望。本章对全文进行总结，指出本文研究的理论创新、实践意义和存在的不足，点明未来有待继续深入研究的方向。基于上述研究工作，本文得出如下主要结论：(1)产业集群共享性资源的动态演化，具有“产业集群共享性资源—产业集群集体学习—集群企业技术创新”的内在机制，反映了基于资源观及其理论所要求的资源与环境相匹配的观点。产业集群共享性资源中的集体声誉要素，对集群企业的相对吸收能力发生直接显著的正向影响；当地机构的参与要素，除了直接显著地正向影响集群企业技术创新外，同时对组织学习、资源的交换与组合发生直接显著的正向影响；补充性资源的异质性要素，仅对集群企业技术创新发生显著直接的正向影响；紧密的竞合互动氛围要素，对集群企业的组织学习和相对吸收能力发生显著直接的正向影响。(2)产业集群集体学习在产业集群共享性资源动态演化过程中发挥着重要的中介作用，推动产业集群共享性资源具备有价值、稀缺、难以模仿和难以替代的特性，并且具有李嘉图租金的获取潜力。产业集群集体学习中的组织学习要素，是产业集群共享性资源动态演化过程能够实现的基础；集群企业的相对吸收能力要素，反映了产业集群共享性资源动态演化的方向；资源的交换与组合要素，则是产业集群共享性资源动态演化能够实现的关键。(3)产业集群共享性资源和产业集群集体学习的构成要素之间的作用路径和路径载荷具有差异性，反映了产业集群中复杂多样的内外部网络关系，促进了集群企业异质性的形成，因而成为产业集群共享性资源进一步动态演化的基础。产业集群共享性资源动态演化机制，符合基于资源观及其理论的一般要求。同时，本文在以下三个方面取得一定的理论创新成果：(1)提出了具有理论和实践意义的产业集群共享性资源的概念和来源。其他学者提出的不为集群企业所有或独占、也不排除被其共享、而产业集群外的企业(或非集群企业)不能够获得的产业集群共享性资源概念，依据于集群企业相对同质性的假设前提，隐含着产业集群具有促使集群企业相对于集群外企业的竞争优势的预设条件，忽视了产业集群共享性资源的来源分析，割裂了产业集群共享性资源与集群企业资源之间的互生互动关系，并且在产业集群共享性资源具有的李嘉图租金获取潜力的论证上，缺乏基于资源观及其理论的有效支撑。本文提出的产业集群共享性资源的概念是，来自于集群成员及其影响其竞争优势的各类资源的共同贡献，被集群成员不均衡共享，基于集群成员之间、集群成员与影响其竞争优势的产业集群内外部社会网络的成员及其各类资源的互动基础上的产业集群资源。首先，集群成员及其影响其竞争优势的各类资源是产业集群共享性资源的来源，因而将产业集群共享性资源与集群成员资源进行了联结。其次，集群成员对产业集群共享性资源的共享程度，受到交易成本、社会网络等因素的影响，因而表现为不均衡的状态。再次，本文提出的概念，隐含着集群企业具有相对异质性的理论假设前提和产业集群共享性资源的动态演化状态。(2)提出了具有理论和实践意义的划分产业集群共享性资源的两个维度，并以共享性资源在两个维度上的变化，来清晰地勾勒出产业集群共享性资源的动态演化过程，并对其概念进行了界定和明晰。集群成员及其影响其竞争优势的各类资源，能够成为产业集群共享性资源的来源，以及产业集群共享性资源所能够发生的动态演化，具有理论意义的诠释工具和划分维度，是资源的根植性维度和异质性维度。根植性维度，反映了产业集群共享性资源嵌入产业集群内部社会网络的稳定状态。异质性维度，反映了产业集群共享性资源嵌入产业集群内部社会网络的可能程度。因此，产业集群共享性资源动态演化，是其在根植性和异质性两个维度上的演变历程。(3)提出了产业集群共享性资源的动态演化机制，包括作用路径、影响因素及其与产业集群成长的关系。产业集群共享性资源动态演化，可以概括为产业集群共享性资源，通过产业集群集体学习的中介作用，在其根植性和异质性两个维度上的动态演变过程。实证结果表明，集群企业的技术创新，能够合理地表征集群企业的价值产生以及集群企业的异质性特征，因而可以作为产业集群共享性资源动态演化完成状态的表征指标。产业集群共享性资源的动态演化，反映了产业集群的存在状态和成长方式。其理论研究成果，是基于资源观在产业集群成长理论研究中的拓展应用，因而在针对产业集群现象的众多研究领域，具有较好的诠释力。本文同时提出了未来值得进一步深入研究的方向：(1)在本文有关产业集群共享性资源动态演化机制及其模型的研究成果基础上，选择国内外不同类型的产业集群案例，通过结构方程模型的方法来进行验证，可以得到不同产业集群在产业集群共享性资源、产业集群集体学习与集群企业技术创新各构成要素之间的不同作用路径和关系，从而在揭示不同产业集群的内在特点和成长轨迹等方面，相信能够得出更为丰富和完善的结论。(2)在此基础上，进而开展对国内外产业集群的比较研究，相信所得结论，能够为我国产业集群发展的战略研究和政策设计等方面，提供更多更好的指导。更多还原

【Abstract】 For almost two decades, industrial clusters have received more and more attentions from scholars both at home and abroad, because of their increasingly significant effects on regionally economical growth. In spite of the great number of researches on them, little has been devoted to extend recent firm strategy theories to the application of industrial clusters, in order to deeply parse their internal development mechanism.In virtue of theory analysis, case study, and demonstration research as well, this paper manages to resolve three interrelated questions as follows, depending on the outcomes of researches on resource-based view and its theories of firms.1. How to define the concept of shared resources of industrial clusters, as one of the most important outcomes of studies of resource-based view and its theories on industrial clusters, and how to discover their sources and contents?2. As for abundant content of shared resources of industrial clusters, how to theoretically propose the dimensions to divide them, and based on which, how to define the concept of dynamic evolution of industrial clusters’ shared resources?3. How can the dynamic evolution of industrial clusters’ shared resources be realized? What are the factors to influence the dynamic evolution of industrial clusters’ shared resources? And how do they influence the growth of industrial clusters?Based on these three questions described above, depending on literature review on resource-based view and its theories, the paper starts with analyzing the firms as resources complex and investigating the evolving process of firm’s resources from acquisition, assimilation, internalization to transformation to shared knowledge inside firm, which spans firms’ boundaries. And then, the evolving process of clustered firms’ resources from acquisition, assimilation, internalization to transformation to industrial clusters’ shared resources, which spans the boundaries of both industrial clusters and their clustered firms, has been explored. In virtue of case study on individual industrial cluster in Zhejiang, the sources of industrial clusters’ shared resources, and the dividing dimensions employed to describe their factors’ common characteristics, will be abstracted. Meanwhile, with the analyses on the mutual processes of dynamic evolution of both industrial clusters and their shared resources, the concept of industrial clusters’ shared resources, the theoretical method to describe their dynamic evolution, and the related theory model have been achieved. Demonstration research also helps discover clustered firms’ nature of relative heterogeneity based on relative homogeneity, which consists with resource-based view and its theories and therefore becomes the precondition of research on industrial clusters’ shared resources.And then, the theoretical construction of industrial clusters’ shared resources has been abstracted in virtue of both ’resource picking’ theory and ’capability building’ theory. Based on literature review on organizational learning and collective learning, the concept of industrial clusters’ collective learning is put forward and deeply parsed, the method for measuring collective learning is also discussed. After all these studies have been done, the dynamic evolution model of industrial clusters’ shared resources further modified is confirmed, which describes the paths and relationships among factors of industrial clusters’ shared resources, factors of industrial clusters’ collective learning, and technological innovation of clustered firms as well. In the end of the paper, SEM is applied, the model is tested, several policy implications are achieved, and further research issues are put forward, which help rethink the theoretical research and empirical exploration on the competitiveness of industrial clusters.In order to accomplish the research work, the paper will divide all contexts into seven chapters. Literature review and definitions of main concepts are proposed from chapter 1 to chapter 3, which become the bases of the paper. The model of dynamic evolution of industrial clusters’ shared resources will be put forward in chapter 4 and 5, based on theory analysis, case study, and demonstration research as well. SEM is applied in chapter 6 to testify the model above. In chapter 7, some conclusions and discussion will be achieved. The structure of this paper will be given as follows.Chapter 1 establishes the foundation of the whole work through describing the background, objective value, research methods, structure and innovativeness of this study.Chapter 2 comments on the resource-based view and its theories, and settles a theoretical ground for the following work. Literature review on organizational learning is applied.Chapter 3 comments on the researches on industrial clusters and shared resources. Literature review on collective learning is accomplished.Chapter 4 discusses the concept, sources, dividing dimensions, and dynamic evolving process of industrial clusters’ shared resources in terms of case study. And then the exploration on the logic of dynamic evolution of industrial cluster is accomplished also in this chapter by statistics analysis.Chapter 5 constructs a conceptual model, which represents the relationship among shared resources, collective learning and technological innovation of clustered firms. Related relationships among them are deeply discussed.Chapter 6 applies SEM to estimate, verify, modify, and modulate repeatedly the conceptual model, and then analyze and discuss the conclusions drawn from the above research. Some suggests aim at the practice of enhancing shared resources to improve the technological innovation and competitiveness of industrial clusters are put forward.Chapter 7 takes a brief summary of the whole research, which indicates the limitations of the study and provides some ideas for further researches.Based on prior research, some conclusions can be achieved as follows.1. The dynamic evolving process of shared resources possesses such mechanism as ’shared resources - collective learning - technological innovation of clustered firms’, which consists with the viewpoint of resource-based view and its theories about matching between resources and environment. The factor of shared resources, collective reputation, plays positive direct influence on relative absorptive capability of clustered firms. The factor, participation of the local institutions, plays positive direct influence on organizational learning, exchange and combination of resources, and technological innovation of clustered firms as well. The factor, differentiations of complementary resources, plays positive direct influence only on technological innovation of clustered firms. The factor, interactive atmosphere of both competition and cooperation among clustered firms, plays positive direct influence on both organizational learning and relative absorptive capability.2. Collective learning plays important intermediary functions on dynamic evolution of industrial clusters’ shared resources. The factor, organizational learning, is the decisive power for dynamic evolution of industrial clusters’ shared resources. The factor, relative absorptive capability of clustered firms, reflects the direction of dynamic evolution of industrial clusters’ shared resources. And the factor, exchange and combination of resources, becomes the key element for realization of dynamic evolution of industrial clusters’ shared resources.3. Both internal and external innovation networks of industrial clusters can be expressed by diversity of paths and their loaded coefficients among factors of both shared resources and collective learning of industrial clusters. The heterogeneity among clustered firms can be therefore formed, which becomes the forces to propel dynamic evolution of industrial clusters’ shared resources, and consists with the general precondition for the application of resource-based view on industrial clusters. Based on the construction and analyses of dynamic evolution model of industrial clusters’ shared resources, theoretical innovations of the paper will be as follows.1. The theoretical concept of industrial clusters’ shared resources and their sources have been proposed. Several scholars argue that, shared resources refer to those intangible resources and capabilities shared by industrial district firms, which are neither exclusive to nor the property of the individual firm and not made available to outside firms. However, the concept in this paper refers to those resources, which are collective contribution of clustered members and their resources influencing their competitive advantage, shared unevenly by all the clustered members, and supported by both the interaction among clustered members and the interaction between clustered members and those resources influencing their competitive advantage.2. The dimensions, which helps understand the dynamic evolving process of industrial clusters’ shared resources, can be drawn. That is, the dynamic evolution of industrial clusters’ shared resources can be expressed as the transformation of both embeddedness and heterogeneity of shared resources. Embeddedness reflects the state of shared resources in the internal network of industrial cluster. Heterogeneity reflects the possibility of shared resources embedded in the internal network of industrial cluster.3. The dynamic evolving process of shared resources can be recapitulated as the dynamic evolution of both embeddenness and heterogeneity of industrial clusters’ shared resources, regulated by industrial clusters’ collective learning. Technological innovation of clustered firms can be used to express value creation of clustered firms, the heterogeneity of clustered firms, and the accomplishment of dynamic evolution of industrial clusters’ shared resources as well.Of course, some further research issues have also been proposed as follows.1. More cases studies of industrial clusters both at home and abroad can be implemented for deeply understanding of relationships among factors of industrial clusters’ shared resources and collective learning.2. Comparative researches among various industrial clusters both at home and abroad can help us comprehend the differences, which will provide better instructions about the strategic design for further development of industrial clusters.更多还原