集群嵌入性对企业合作创新绩效的影响研究

【作者】 兰建平；

【导师】 吴晓波；

【作者基本信息】 浙江大学 ， 管理科学与工程， 2008， 博士

【摘要】 在当前时代背景下,企业通过培育独特的知识资源构建核心能力是提高国际化竞争力的必然选择。但是,企业与外部环境的边界变得越来越模糊,任何企业都已不可能完全孤立地自我开发知识,在组织内培育知识。企业只有通过与外部行为主体的广泛合作,同时加强企业内各部门之间的交流与沟通才能更为有效地获取和利用知识,从而提高企业的绩效。产业集群作为一种特殊的产业组织形式,体现了巨大的社会财富推动和提升力量,在推动当地乃至国家经济发展中发挥着重要作用,产业集群对于内部企业竞争力和绩效提升至关重要。经济学、地理学、社会学、管理学在集群研究领域的理论融合趋势越来越明显,有关集群嵌入性的研究日益成为理论研究的重要主题。当前嵌入性理论与集群理论和合作创新理论间融合研究还存在着以下诸多问题亟需解决:(1)产业集群研究中,嵌入性观点逐步被引入,但还处于一个崭新的阶段,受理论和研究工具的约束,当前嵌入性在集群研究中的应用,大部分还局限在理论演绎,而这种演绎更多是将嵌入性作为整体概念,不能很好地解释集群嵌入性的本身含义。这些研究认为集群企业嵌入于“集群环境”,但是这种嵌入性的特征、结构、层次,以及对集群发展演化和集群内企业行为绩效的影响并不清楚,尚没有得到深入研究。(2)嵌入性理论自20世纪末得到了巨大进展,特别是提出很多嵌入性的分析框架,嵌入性概念得到逐步细化,下一阶段逐步进行实证研究是该理论发展的一个重要趋势。Hagedoorn(2006)提出了嵌入性的层次结构,这种嵌入性分类方法对研究企业间合作行为有重要意义,但是到目前为止应用于实证研究的成果还极为鲜见。(3)从当前合作创新研究来看,合作创新的视角主要是分析双边关系对创新绩效影响,这种双边关系所处的环境是普遍意义的市场环境(arm’s-length),针对集群环境下合作创新的研究还相对较少。集群嵌入性与企业合作创新绩效之间的关系、嵌入性对集群企业合作创新绩效的影响路径等问题的研究是理论发展的要求,但从当前理论和实证研究成果看,不同层次、类型的嵌入性对集群企业行为、绩效的影响研究还不够深入。本文围绕以上三个主要问题,以集群嵌入性对合作创新的作用机制为研究对象,在当前嵌入性研究的基础上,分析了集群嵌入性的现象、概念以及已有的研究框架,深入研究集群嵌入性的形成机理,提出了集群嵌入性的三层次分析框架,即环境嵌入性、网络嵌入性和双边嵌入性,尝试性地对已有嵌入性理论做出拓展;进而研究集群嵌入性对合作创新绩效的影响机制,并以浙江省产业集群内147个制造业企业为样本进行实证检验。全文通过文献综述、理论演绎、实地调研、模型建构和统计验证等一系列研究方法,以及SPSS和AMOS等数理统计工具的综合运用,明晰了研究集群嵌入性对合作创新的影响机制,并依据此作用机制研究成果,对现有集群嵌入性研究拓展和对实践的指导意义进行了分析。整个研究在充分借鉴与应用已有相关理论与方法的同时,还做出了试探性的创新性研究,对比以往类似研究,笔者认为本研究主要存在以下三个创新点:(一)提出了集群嵌入性的形成机理和层次结构。当前集群嵌入性研究已经成为集群理论研究的一个重要主题,但在已有研究中集群嵌入性概念的理论化和抽象化的程度很高,具有“概念伞”的性质,涉及范围开阔且具有弹性,造成了理论发展和实践应用的困难。本文通过深入分析研究集群嵌入性的形成机理,指出集群嵌入性不仅仅体现在企业与合作伙伴的双边关系中,而且体现在与区域经济主体之间形成的基于“输入—输出”联系的交易相互依赖性网络和作为区域文化以及行为惯例的非交易的相互依赖性网络。在此基础上,提出了集群嵌入性的三层次分析框架,并对概念进行严格界定、提出各自的测量维度。集群嵌入性的形成机制清晰地勾勒出其对集群企业合作行为影响的内在机理,嵌入性的三个层次分类是具有理论意义的诠释工具和划分维度。(二)提出集群嵌入性对企业合作创新绩效的影响机制。针对当前集群嵌入性研究仍然处于企业行为的外围,没有与集群内个体的行为建立有效链接的现状。本文根据集群嵌入性不同层次间、以及其与组织间互动、合作创新绩效之间的关系,结合文献阅读和实地调研,构建了反映集群嵌入性对企业合作创新绩效影响的模型,即“集群嵌入性—组织间互动—合作创新绩效”的概念模型。组织间互动在集群嵌入性对合作创新绩效的影响中发挥中介作用,通过此模型建立了集群层与企业战略和行为的链接。集群嵌入性对合作创新性绩效的作用机制,是嵌入性理论在产业集群研究中的拓展应用,在产业集群研究的诸多方面具有较好的诠释力。(三)利用结构方程模型进行大样本实证研究。现有的集群嵌入性研究基本集中于定性研究,大量有关集群嵌入性对企业合作行为、经济绩效、市场竞争优势影响机制假设还缺乏足够的实证(尤其是大样本的定量分析)支持。从国内来看,集群嵌入性相关研究起步较晚,目前还处于起步阶段,大多局限于国外研究成果的简单整合,针对中国企业实践的实证分析非常缺乏,几乎没有关于嵌入性与企业合作创新绩效关系的实证研究。本文在大样本问卷调查的基础上,采用结构方程模型法对理论模型进行检验,并依据实证研究成果,对理论拓展和实践意义进行深入分析,研究结论对于集群嵌入性的进一步研究与运用均具有较为重要的意义。更多还原

【Abstract】 In the current context of the times,it is an inevitable choice of the enterprise to increase its international competitiveness by cultivating unique intellectual resources so as to build core competencies.However,the boundary between the enterprise and its external environment becomes more and more ambiguous.No one enterprise can develop knowledge completely by itself and to cultivate knowledge within the organization.The enterprise can acquire and apply knowledge efficiently by cooperating extensively with external action subjects and by strengthening communications with departments within the organization,thus to increase the performance of the enterprise.As a special form of industrial organization,industrial cluster embodies the big power for the promotion and the enhancement of social wealth and plays an important role in promoting regional and national economic development.Industrial cluster plays a vital role in enhancing the enterprise’s internal competitiveness and performance.The theory integration on the study of industrial clusters by economics,geography,sociology and management science becomes more and more distinct.Study on the embeddedness of cluster enterprises becomes increasingly important subject of theoretical research.However,there are still problems on the study for the integration of embeddedness,cluster and cooperative innovation theories.(1) Embeddedness is gradually introduced in the study of industrial cluster, but it is still at a new stage.Restricted by theoretical and research tools, embeddedness in cluster study is still limited to theory deduction.The deduction also regards embeddedness as the entire concept,but the meaning of embededness of industrial clusters is not explained well.Those studies show that cluster enterprises are embedded in the ’cluster environment’,but the features,structures and levels of the embeddedness as well as the impact of the embeddedness on cluster development and the performance of enterprises within the cluster are unclear and have not been studied intensively.(2) The theory of the embeddedness has been made great advances since the end of the 1900’s.Many analytical frameworks have been addressed and the concept of the embeddedness has been specified gradually since then.Empirical study is an important trend for the development of the embeddedness theory. Hagedoorn(2006) addressed the hierarchy of the embeddedness.This means of classification on the embeddedness has crucial importance for the study of inter-enterprise cooperation,nevertheless,the results applied to empirical study is very rare.(3)The relationship between cluster enterprises embeddedness and cooperative innovation performance,and the impact of the embeddedness on cluster enterprise cooperative innovation performance is the requirement for the development of the theory.However,results of current theory and empirical study reveal that the study on the influence of the embeddedness at different levels and of different types on the behavior and the performance of cluster enterprises is not intensive yet.This dissertation focuses on the above-mentioned three main problems.The effect of cluster enterprise embeddedness on cooperative innovation is the study object.Based on current study on the embeddedness,the dissertation analyses the phenomenon,concept and existing study framework of the embeddedness of cluster enterprises.It studies intensively the forming mechanism of cluster enterprise embeddedness and addresses three layers of analytical frameworks of the embeddedness,that of environmental,network and dyadic embeddedness.It attempts to expand the existing theory of the embeddedness.It further studies the influence mechanism of cluster enterprise embeddedness on cooperative innovation performance tested by 147 manufacturing enterprises in the industrial cluster of the Zhejiang Province.The dissertation applies a series of research approaches such as literature review,theory deduction,on-site investigation, model construction and statistical verification,as well as a combination of mathematical statistical tools such as SPSS and AMOS.It makes clear the influence mechanism of cluster enterprise embeddedness on cooperative innovation.Moreover,it analyses the expansion of the existing study on cluster enterprise embeddedness and its guiding significance to practice on the basis of the influence mechanism.The whole study borrows and applies existing relevant theories and approaches.Meanwhile,it makes tentative innovative study contained in the following three innovative points:(1) Forming mechanism and 1 of cluster enterprise embeddedness addressed.Study on the cluster embeddedness has become an important theme of cluster theory study with the integration of economics,geography,sociology and management science theories.However,the concept of cluster embeddedness in the existing studies is very theoretical and abstract,and covers a wide rang of areas and very flexible,so as to lead to the difficulty of theory development and practical application.This dissertation intensively analyses the forming mechanism of the embeddedness of cluster enterprises.It points out that the embeddedness is not only reflected in the bilateral relations of partners,but also the interdependent networks of input-output based transactions among regional economy subjects and of non-transactions like regional cultures,acts and practices.Affected by regional institutional environment,the embeddedness of cluster enterprises forms unique levels and influences enterprises’ strategy selection,execution and operation.The forming mechanism of the cluster enterprise embeddedness outlines clearly the inside mechanism of the cooperating behavior of industrial cluster enterprises.It clarifies the concept of cluster enterprise embeddedness.The classification of the three levels of the embeddedness is an interpretation tool with theoretical significance.(2) Influence mechanism of cross-level embeddedness on cluster enterprise cooperative innovation performance addressedAiming at the fact that the study of cluster embeddednedd is still at the periphery of the enterprise behavior,and has not linked effectively with individual behavior within clusters.This dissertation follows academic frontiers and addresses that there is interaction effect among cross-level embeddedness of cluster enterprises.The interaction effect influences the cooperation, communications and interactions between enterprises and outside economic subjects.At the same time,interorganizational interaction mechanism is the direct triggers of enterprise cooperative innovation,and key influencing factor of cooperative innovation performance.Therefore,the dissertation has constructed the model reflecting the impact of the cross-level embeddedness of cluster enterprises on enterprise cooperative innovation performance,i.e.the conceptual model of cluster enterprise cross-level embeddedness - interorganizational interaction - cooperative innovation performance,based on the interrelationship among cluster enterprise cross-level embeddedness,interorganizational interaction and cooperative innovation performance,and in combination with the literature reviews and on-site investigations.Interorganizational interaction plays the role of intermediate for the influence of cross-level embeddedness on cooperative innovation performance.Linkage between clusters and enterprises’ strategies and behaviors is established by this model.The influence mechanism of cluster enterprise cross-level embeddedness on cooperative innovation performance is the expanded application of the embeddedness theory in the study of the industrial cluster theory.It has certain interpretation power in many aspects of industrial cluster study.(3) Empirical study by structural equation model and the model for the influence mechanism of cross-level embeddedness on cluster enterprise cooperative innovation performance testedThe existing study on cluster embeddedness focuses on qualitative study. Many assumptions for the influence mechanism of cluster embeddedness on enterprises’ cooperative behavior,economic performance and market competitive advantages still lack adequate demonstrations,especially large sample qualitative analysis.Domestically,study on cluster embeddedness starts late.Currently it is still at the preliminary stage.It is mostly limited to simple integration of foreign study results and very short of empirical analysis targeting on Chinese enterprise practices.There is almost no empirical study on the relations between the embeddedness and enterprise cooperative innovation performance.This dissertation applies structural equation model to test theoretical model on the basis of big sample questionnaire.It is of considerable importance in further study and application of cluster embeddedness.更多还原