【作者】 张云逸；

【导师】 曾刚；

【作者基本信息】 华东师范大学 ， 人文地理学， 2009， 博士

【摘要】 发达国家和地区的区域发展实践表明，地方企业网络已经成为区域经济发展的动力源泉和增长载体，并因此而受到了以马歇尔、克鲁格曼等为代表一大批新经济地理、管理学家的关注。20世纪90年代以来，随着全球化的不断深化和知识经济的发展，地方企业网络内部的权力关系和增长要素发生了重要变化。支撑网络发展的劳动力、资本和土地等传统优势要素逐渐被技术所替代。凭借所拥有的核心技术，一些生产型的跨国公司成为区域市场的控制者、网络的关键行为者，成为地方企业网络发生、发展的决定性力量。在对外开放程度较高的发展中国家，由跨国公司嵌入的地方企业网络呈现出明显的技术权力不对称现象，并直接影响了该国区域创新能力建设。然而，基于网络内部权力平等的传统新产业区理论已经不能解释上述新经济地理现象。因此，本文拟从区域经济关键发展要素——技术与关键行为者——跨国公司入手，研究网络内部权力不对称关系，进而摸清发展中国家地方企业网络演化机理，为经济地理学的理论创新和指导国民经济健康发展服务。论文以导师主持的教育部人文社科基金项目“网络权力与企业空间行为、企业创新”(08JA790044)、国家自然科学基金项目“社会文化环境差异对上海地区中德企业网络构建的影响”(40371033)、上海重点学科建设项目“人文地理学”(B410)及上海市科委重点软科学项目“张江高新区产业布局规划研究”(076921010)等课题为支撑，通过对上海市汽车企业的访谈和实地调查，辅之国内外文献的搜集和分析，对技术权力与企业网络演化相互作用的理论和案例进行了分析研究。通过研究，笔者发现，在经济地理学领域，出现了重视“关系”转向研究的趋势，重视网络内成员间相互作用关系及其对网络动态变化的影响。格瑞非等学者以资源依赖理论为基础，将权力的概念引入到企业网络分析中，侧重于权力在网络演化过程中的网络治理作用。但却忽视了网络不同发展阶段，权力作用机制及网络演化的空间和创新效应的差异；对关键行为者的市场和订单控制权的分析研究较多，对技术权力关注较少。区域发展实践表明，在知识经济时代，学习和获得技术已经成为决定发展中国家生产型企业网络成败的重要原因之一。正是由于跨国领导公司在网络发展不同阶段采取不同的技术权力运作方式，才导致地方企业网络具有了不同的发展特征和空间、创新效应。因此，建立技术权力与地方企业网络演化的动态关系，是研究网络技术提升、创新发展及空间布局的重要内容之一。论文在总结、评述了国内外权力及企业网络演化相关研究成果的基础上，界定了技术权力的概念、内涵，论述了其作用的条件、方式以及技术权力与企业网络之间的关系。以“技术权力——领导公司——网络关系”为主线，以技术权力的空间作用和创新作用为支线，系统地论述了地方企业网络的空间指向、不同阶段的发展特征及一般路径。在大量实地调研的基础上，对由德国大众和通用汽车引领的上海汽车企业网络的演化路径、技术权力作用机制、网络效应以及网络企业空间集聚的动力、领导公司对创新的影响进行了深入研究，得出以下几点结论：第一，技术权力是新时代地方企业网络最为重要的演化力量。技术权力不仅具有一般网络权力的控制作用，同时具有独特的创新作用。技术权力的控制作用主要体现在领导公司的股权控制、技术锁定、标准控制、专利控制等方面；而其创新作用则体现在领导公司内部的技术转移、技术示范、技术扶植、技术培训等。此外，技术权力依赖于一定的时空条件。只有在技术力量不对等、主客体之间存在相互依赖关系下，技术才能成为一种权力，才能具有控制力。同时，技术权力总是存在于特定的地区。宏、微观技术通道是影响技术权力的重要因素。宏观技术通道主要包括领导公司母国的政策、自身的投资战略及东道国经济发展水平和政策环境等，而微观技术通道则涵盖投资地的区位条件、区域创新环境发育程度、技术资源基础和产业基础等。技术权力在良好宏、微观通道结合的地区表现尤为明显。第二，技术权力影响企业空间行为和创新能力，进而影响地方企业网络的演化。领导公司利用技术控制、设立技术标准、加大技术转移服务等手段，影响相关企业的区位选择，进而促进了企业网络的空间行为和创新能力。在技术权力的作用下，地方企业网络的发展表现为明显的阶段性特征。在网络组建期，技术权力是决定网络区位的关键因素；在网络成长期，技术权力直接影响着地方企业网络对网络外企业的吸引力；在网络发展阶段，技术权力的创新作用表现突出。在技术权力的作用下，地方企业网络在不同的发展阶段也呈现出不同的特征。从网络的组建期到发展期，网络成员的数量和质量不断上升，网络密度、强度逐渐增大，网络结构由垂直树枝状向水平方向发展，网络的功能亦由进口组装向生产组装再向研发转型，网络过程升级、产品升级、功能升级即地方企业网络升级过程十分明显。第三，少数整车制造公司主导着产业的发展及空间分布，技术权力对汽车企业网络发展影响十分明显。上海汽车企业网络是我国跨国领导公司介入最早、发育最为完善的地方汽车企业网络。在德国大众和美国通用汽车的技术权力作用下，上海汽车企业网络经历了由无到有、由低级向高级发展过程。企业网络的功能和结构不断完善，网络内成员的技术水平不断提高。目前上海汽车企业网络已经步入了快速发展时期，各类汽车研发机构高度集聚，本土企业开始具备一定的自主创新能力，上海已经成为中国最重要的汽车创新中心，技术权力对网络区位选择和创新的影响十分突出。在网络发展的初期阶段，为了保持技术优势垄断地位，领导公司对本土企业实施了较为严格的技术控制。而政府通过采取设立国产化率目标、引入新的竞争者、降低本土企业研发成本等措施，大大降低了本土企业对外资领导公司的技术依赖，提升了网络的自主创新能力，促进了企业网络的健康发展。随着本土企业技术水平的提升，上海汽车企业网络内部的权力关系开始发生变化，本土企业有了更多的话语权，技术权力控制逐渐转变为技术合作。更多还原

【Abstract】 With the deepening of the division of labor, the firm networks have become an important vector of economic growth. The practice of regional development both home and abroad has proved that well-developed firm network is a driving force for regional development. Therefore, interests in the evolution of regional firm networks have grown steadily within economic geography and industrial economics in recent years. Some scholars are helping revive those interests in the work of researching the network relations and finding the asymmetrical power relations in firm networks. They think the asymmetrical power relations are very important characteristics in regional firm networks and leading corporations have very important effects on the evolution of firm networks. However, with globalization and development of knowledge-based economy, importance of growth factors is changing. Since 1990s, the importance of traditional network resources such as labor, capital and land has being replaced by technology gradually. Technology has become a core element of the network power. Scholars note the role of power within regional firm networks in empirical studies but insufficiently theorized. Moreover, there has been very little research and analysis on technology power systemically.This paper offers a further contribution to this project by focusing on the technology power and its function. It highlights four problems which, together, provide a more complete view of this issue. First, who is the core in asymmetrical power relationships and why it can be the core? Second, what is the technology power and how it works? Third, how does the technology power work in the process of regional firm network evolution? Fourth, how does the regional firm network form and develop driven by technology power.Based on lots of documents and interviews with firms in Shanghai automobile firm network, the author provides answers to the above questions, and some new findings as well:Firstly, asymmetrical power relationships have been an important characteristics in regional firm networks led by transnational corporations(TNCs) in some developing country. Technology power is much well-marked in those networks, especially in producer-driven firm networks, such as auto, aircraft network. Transnational corporations master key technology, while other corporations in the same network need those technologies for development. Therefore, the former is the core in the networks and has the power to take influence on others. The author calls the core firm as leading firm and the others common firms.Secondly, technology power is a new concept in regional firm networks. The author tries to construct the concept system of technology power for the first time. The author thinks that it needs two preconditions for the action of technology power: one is a big technology gap between leading firms and common firms; the other is relying on the leading firm. Technology power can integrate the function of technology and power together, so the discussion of technology power focuses on two aspects as follow: the ability of control and the ability of study.Thirdly, technology power has remarkable effects on the evolution of regional producer-driven firm networks. Viewing from the angle of economics geography, with technology power, the leading firm can affect other firms’ behavior deeply; sequentially drive the evolution of network. One important function is forcing firms to agglomerate in some special region for forming network. The other is diffusing technology to common firms for promoting ability. Technology power can be used by making technology lock-in, setting down the technology standards, giving technology aids, exerting technology spillover effect, and so on. Accordingly, the leading firms have the strong ability of choosing locations, choosing the network members and accelerating innovation.Fourthly, under the effects of technology power, there is a clear path in the evolution of regional producer-driven firm networks. It can be divided into three periods: burgeoning, growing and developing period. Furthermore, the author takes Shanghai automobile firm network for example and finds: in burgeoning period, the leading firms such as Volkswagen, GM can influence their main suppliers to agglomerate and realize process upgrading; in developing period, local firms are asked to join the networks and make product upgrading; in developing period, the leading firms absorb R&D institutions into the network for function upgrading. Finally, technology power promotes the competence of the Shanghai automobile industry cluster.更多还原