产业集群中核心企业成长研究

【作者】 朱瑞忠；

【导师】 徐金发；

【作者基本信息】 浙江大学 ， 管理科学与工程， 2007， 博士

【摘要】 近年来,一方面,企业集群现象日益受到国内外学者的广泛关注,普遍认为企业集群能够给群内企业带来外部规模经济、降低交易成本及生产成本,获取专业化分工基础上的报酬递增,激发示范效应和学习效应,促进创新的扩散和新企业的衍生等竞争优势,给地方经济发展带来生机和活力并推动了地方经济发展。另一方面,在现实中,经过多年的发展,许多地方产业集群的面貌正在或已经发生了很大的变化,出现了明显的异质性、不对称性,许多集群中出现了核心企业(或称龙头企业、焦点企业、领先企业等),且部分核心企业已经有能力通过并购、异地研发、战略联盟、虚拟化经营乃至海外上市等各种(超越本地集聚的)战略性行为来参与国内行业领先者地位的竞争(部分核心企业甚至已经是某些行业前三名甚或是“隐形冠军”)。事实上,此前曾经被各种集群研究文献广泛肯定的,以本地中小企业本地集聚为特征的意大利集群(新产业区)或者台湾的协力网络,也早已经出现并成长出了许多大型的跨国企业,它们所采取的战略行为已经远远地超越了本地集聚的集群范围,甚至出现了由其所主导的打破本地集聚特征的战略性网络,显然,目前这些新的现象已经远远不再是“集群”这个概念或者“集群”这一理论框架所能容纳和承载的了。然而,目前大量有关产业集群的研究工作大多仍是以集群整体为研究对象的“就集群论集群”,提出了许多诸如集群式创新、集群式成长、集群式竞争优势、集群核心能力、集群式嵌入等观点,却极少注意到集群内部结构的巨大变化,更未能注意到当集群发展到一定的阶段,许多成功发展的集群内部出现的越来越明显的不对称性等新的现象。此外,集群方面的文献过于强调了集群的地理集聚性特征和中小企业集聚特征,忽略了集群中能够成长出超越集群本身的行业性领先企业的可能性及其成长路径,忽视了核心企业成长过程中对集群外部的战略行为以及这些行为对集群本身兴衰乃至整个行业(产业)的重要影响。有鉴于此,本文通过系统的理论研究、案例分析与实证方法,对这一重要的问题进行了研究,主要内容包括以下四个部分:第一部分主要是绪论以及文献综述,包括第1,2章的内容。作为本文的理论先导,第1章绪论的目的是提出本文所要研究的问题、切入的视角、基本的研究思路与实证研究方法。至于第2章文献综述,则逐渐地从集群的正面研究切入到集群的负面研究,然后再进入到对集群彻底的否定性、批判性论述中,最后则逐渐地深入到对集群内部的核心企业的文献的多视角论述。第二部分是本文理论部分,包括第3章到第5章的内容。总体的研究思路是,首先从“内部”的角度研究核心企业成长对集群内部的影响。其次,是从“外部”的角度研究核心企业成长与集群外部包括整个行业(产业)的互动行为。再次,将前两部分中核心企业成长对内部的影响和与集群外部的互动这两种情形通过核心企业“内—外”联结关系的变化情况结合起来加以讨论。具体而言:第3章主要将核心企业产生归结于集群中部分企业家异质的能力,特别是在特定的历史条件和历史机遇下集群内部个别具有异质的企业家能力的企业家对核心企业出现的重要作用,进而,将探讨核心企业产生和成长对集群内部产生极大的冲击和影响,及其对集群内部的组织形态的改变。并对这种改变通过集群内部的(核心企业为主导的不对称的)网络中心性与媒介性来加以衡量,在本章的最后则提出了相应的假说。第4章其实是第3章内容的自然的拓展和延伸,这是因为,尽管核心企业在集群的内部大致形成了以其为中心的“领导作用”,但核心企业成长所要求的不仅仅只是满足于此,而是会千方百计地寻求在整个行业“脱颖而出”,这就自然而然地要求其向集群之外的整个行业发展。因此,核心企业必然会向集群之外整合异质的资源并进行相应的战略行为,而这些战略行为必然会促使核心企业成长与整个行业(产业)展开全面的互动,并反过来对集群本身产生重要的影响。这才是目前许多集群出现的某些新现象的最主要的原因。此外,本章还将说明,尽管诸多因素仍将会对核心企业产生影响,但核心企业的成长来自于行业(产业)互动的影响已经开始大于本地集群的影响,且在本地集群的影响日趋相对弱化的同时,核心企业的行为特别是战略行为已经和非集群型行业领先企业的行为没有太大的差别,最后在此基础上提出了相应的理论假说。第5章则讨论了核心企业成长对核心企业与集群内、外部联结关系的影响和重构,旨在分析这一变化与重构的过程中,核心企业所起到的作用、方式,及其对核心企业竞争力的影响,并在此基础上提出了相应的假说。第三部分是本文的实证分析部分,包括第6章。本章选取最典型的案例(本研究将选取台州缝纫机集群、温州柳市的低压电器集群以及温州皮鞋集群等案例)进行问卷调查,针对前面理论研究的三个部分中提出的假说,有针对性地分为三个部分进行实证研究,以实际案例中的问卷调查和企业的实际数据,进行统计检验,对相应的假说进行检验的推断,并对检验的结果进行细致的理论阐述。第四部分则是第7章,本章是本文的最后一章,包括本文的结论、政策含义和对实证分析结果的深入讨论与拓展,提出本文可能的创新之处与不足之处,还说明了本文未能进一步深入讨论的若干有价值的问题。本文的主要研究结论是:第一、因为集群内部核心企业出现、成长会对集群内部产生极大的影响,使集群内部的组织形态发生明显的变化,并最终在集群中形成核心企业主导的不对称的网络中心性与媒介性。第二、集群中核心企业成长及其资源的形成与获取,会自然地促使核心企业越来越多地与集群外部发生战略联系(或冲突),这必然会使核心企业的竞争行为扩展到整个行业(产业)的范围,并会使核心企业成长更多地取决于核心企业、行业(产业)以及本地集群三方的互动行为。因此包括核心企业对外部企业并购、战略联盟以及自身的各类事业部(诸如研发部门)的异地化、网络化,以及核心企业对本地集群企业的重新选取、组合等目前许多集群中出现的新的现象,其实不过是上述三方互动的伴随性现象而已。第三、本文还发现,在一定的发展阶段,集群中的核心企业的战略行为和非集群的某些行业的大型企业的战略行为比较起来,并没有什么明显的差异,而是会采取极为相同的竞争方式与战略行为,这说明集群对核心企业的产业竞争行为的影响并不明显。第四、核心企业成长会对其与集群内部以及集群外部的联结关系发生变化和重构,这一重构将会使其从原有的社会联结变化到非社会联结关系(从人情到利益),而且与集群外部多元化对象的联结关系将极大地影响和平衡本地的嵌入关系,并会对核心企业竞争能力和本地集群产生较大的影响。结合上述讨论,本文研究的意义与可能的创新之处在于:第一、在研究视角和理论解释能力上,本文把握住了目前集群中出现的一些新的现象,力图打开集群中企业成长特别是核心企业成长的黑箱,从目前对集群行为的整体层面研究重新回归到企业层面的研究上来,力求既见森林又见树木,并尝试以此为出发点来解释目前集群中出现的许多新的现象。第二、在研究重点上,本文不仅研究了核心企业成长对集群内部的影响,而且着重研究了核心企业成长与集群外部的互动行为,并由此将核心企业成长与行业(产业)联系起来,研究了核心企业、集群、行业(产业)三个层面互动及其对集群本身的影响,而不再是单纯地就集群论集群。第三、在研究目的上,本研究最终的目的恐怕还是想还原集群的本来面目,强调集群既不是毫无意义,但也决不是灵丹妙药。在一定的阶段,集群的确有其独特的作用,但决不能因此而矫枉过正地忽视企业(以及产业)的作用。从目前集群中已经出现的许多新的变化以及更长远的角度看来,对集群的研究恐怕还是要回到企业的层面上(以及企业、产业与集群三方互动的层面上)来回应越来越激烈的竞争。因此,尽管核心企业出自于集群,但却并不必然要局限于集群,更不能受制于本地集群或者所谓的集群式成长,而是要超越本地集群。因此,集群本身并不是核心企业成长的目的而只是手段。更多还原

【Abstract】 In recent years, on the other hand, the phenomenon of industries clusters gathers the extensive concern of the domestic and international scholar day by day, widespread think that the cluster can brings enterprisers of the clusters exterior scale economic, lower bargain cost and production cost, obtain profession to turn division of labour foundation up of the guerdon pass to increase, stir up demonstration effect and study an effect and promote creative proliferation with new develop of business enterprise etc. competitive advantage, give place the economic development brought source of vitality and push place economy a development.On the other hand, in the reality, through the development for several years, many lccated industries cluster have already a very big variety , appeared an obvious differences, dissymmetry, many cluster appear a leading enterprise(or call leading enterprise, focus enterprise, lead business enterprise etc.) in the cluster, and parts of leading enterprises have already had ability to get the development, strategic alliance of the merger, R&D in the foreign land, conjecture turn management is go to the overseas to appear on market etc. various(beyond located) strategic behavior to participate the lead position of competition of the indurstry (parts of leading enterprises even are already became the top three of the indurstry or even is "invisible champion")In fact, this ago ever drive various gathered a cluster to study cultural heritage extensively affirmative of, with native in small business enterprise native gather together for characteristic of Italy gathered a cluster(new industry area) perhaps Taiwanese of indursty network, have already appear as well and grew up many large transnational corporations, their strategic behavior adopt has already far and far surmounted native gather together of gather a group of scopes, even appeared be break by what it predominate native gather together the strategic network of characteristic, obviously, currently these new of the phenomenon has already far and far been not concept in"cluster" perhaps theories frame in" cluster" any more can accept with load of.However, currently the in great quantities relevant industry gather the research work of cluster is mostly still with gather a flock of whole for the research object’s" gather cluster to cluster’, put forward many such as clusters innovation, clusters growth, clusters competitive advantage, clusers core ability and clusters embeded standpoint etc, but rarely notice to cluster inner part structure of huge variety, can not even notice be gather a cluster to develop a certain stage, many success develop of gather the more and more obvious dissymmetry of a flock of internal emergence to wait new phenomenon. In addition, gather a group of Thesises too emphasized to cluster of geography gather together characteristic with medium the small business enterprise gather together a characteristic, neglected the cluster in can grow up export surplus to more cluster of the profession lead possibility and its growth path of business enterprise and neglected the growth process of the leading enterprise in to the strategic behavior which gathers a cluster exterior and these behavior to cluster the rise and fall is to the whole profession(industry) of important influence.Have owing to this, this thesis passes theories research, case analysis and substantial evidence method of system, carried on a research to the problem of this importance, the main contents include the following four part of: The first part is mainly introduction and Thesis overview and include the contents of chapter 1,2.The conduct and actions textual theories leads first, the purpose of chapter 1 introduction is put forward this text want to study of problem, correspond of angle of view, basic research way of thinking and substantial evidence study a method. As for chapter 2 Thesis overview, then little by little from gather the positive research of cluster to correspond a negative research of gather the cluster, then get in to finally then little by little go deep into treatise to many angle of view of the cultural heritage for gather the leading enterprise of a group of inner parts towards gathering a flock of exhaustive negativity、judgment to discuss .The second part is a this literary style ory part and include the contents that chapter 3 arrives chapter 5.Total research way of thinking BE, first from the leading enterprise of the angle research growth of "inner part" to the influence which gathers a group of inner parts. Secondly, the leangding enterprise of the angle research that is from"exterior" growth with gather a group of exteriors to include the interactive behavior of the whole profession(industry).Again, ex-leading enterprise in two parts growth to inner part of influence with with gather a cluster exterior of interactive these two kinds of situations put together to take in to discuss through the variety circumstance knot of the coupling relation of "inside the outside of the leading enterprise. Concrete but talk.Chapter 3 mainly returns a leading enterprise’s creation knot in gather a cluster a central part cent the ability of the entrepreneur differences, especially gather a group of inner parts to have the entrepreneur of entrepreneur ability of differences to the important function that the leading enterprise appear separately in the particular history condition and the history opportunity bottom, then, study leading enterprise the creation and growth produce tremendous impact and influence towards gathering a cluster inner part, and it to gather the change of the organization appearance of a group of inner parts. Also pass to gather a cluster the network center and medium of the inner part(leading enterprise is predominant of dissymmetry of) to this kind of change to take in to measure, then put forward homologous hypothesis in the end of this chapter.Chapter 4 nature which in fact is a contents expands with extension, this is because of, though the leading enterprise is gather the inner part of cluster mostly became to take it as central of "leadership function" , the leading enterprise grow up request of not only only is satisfy hereat, but will by all meansly look for in the whole profession to "outshine others" , this naturally requests it to gather a cluster outside of the whole profession development. Therefore, leading enterprise’s ising inevitable will also carry on homologous strategic behavior toward the resources which gathers a cluster outside integrates a differences, but these strategic behaviors by all means will urge growth and the whole profession(industry) of leading enterprise to launch overall interaction, and turn over to gather the cluster creation important influence. This is the reason of many some lately phenomenal mosts which gather a cluster to appear currently. In addition, this chapter return elucidation, though many factors still will bring about influence on leading enterprise, the growth of leading enterprise come from the profession(industry) influence of the interaction has already started to be big in native gather a cluster of influence, and at native gather the influence of cluster gradually opposite weaken of in the meantime, the behavior especially strategic behavior of the leading enterprise already with don’t gather a group of type professions lead a business enterprise of the behavior don’t have too big difference and finally put forward homologous theories hypothesis on this foundation.The regulationses discussed a leading enterprise growth to the leading enterprise with inside cluster, exterior coupling influence and heavy Gou of relation, the aim is in the analysis this variety and the process of heavy Gou, the function, way have by leading enterprise, and its influence to the leading enterprise competition ability, and put forward homologous hypothesis on this foundation.The third part is a textual substantial evidence analysis part and include chapter 6.This selection the most typical case(this research selection pedestal the state sewing machine gather the low-pressure electric appliances of cluster, Wen Zhou City to gather cluster and Wen Zhou’s shoes to gather a group of etc. cases) carries on a questionnaire and aim at front the theories study of put forward in three parts of hypothesis, have already to sex ground been divided into three part carry on a substantial evidence research, with actual the actual data of the questionnaire and the business enterprise within case, carry on statisticsing an examination, to correspond of the hypothesis carry on examine of predict, and carry on meticulous theories to elaborate as a result.Four-part cent then chapter 7, this chapter is textual last chapter and include textual conclusion, policy meaning and to the thorough discussion of substantial evidence analytical result with expand, put forward this text possible creative place and the place of shortage, also explained this text can not go deep into some worthy problems for discuss further.The textual main research conclusion is: The first, because gather a flock of internal leading enterprise to appear, growth would to gather one flock the inner part’s creation be tremendous of influence, make the occurrence obvious variety of the organization appearance of gather a group of inner parts, and end become a leading enterprise in gather the cluster the network center and medium of predominant dissymmetry.The second, gather the formation of leading enterprise growth and its resources in cluster and obtain, will naturally urge a leading enterprise more and more and gather the strategy happen in a group of exterior contact(or conflict), this by all means will make the competition behavior of leading enterprise expand to the whole scope of profession(industry), and will make the leading enterprise grow up to be decided by a leading enterprise, profession(industry) morely and native gather the cluster three squares interactive behavior. Therefore include a leading enterprise outward department each kind of foreign land of department(such as development section) of the business enterprise merger, strategic alliance and oneself to turn, the network turn, and leading enterprise to native gather afresh select by examinations of a group of business enterpriseses, combine...etc. currently many new phenomenons which gather to appear in the cluster, in fact however is above-mentioned three square interaction of chaperonage phenomenon just.The third, this text also discovers that at the certain development stage, gather the strategic behavior of the leading enterprise in the cluster with don’t gather the large business enterprise of some professions of cluster of the strategic behavior compare, there is no obvious difference, but will adopt extremely same competition method and strategic behavior, this elucidation gathers a cluster behavioral to the industry competition of the leading enterprise of the influence be not obvious. The fourth, leading enterprise growth as to it’s would with gather a cluster inner part and gather a cluster the occurrence variety of the coupling relation and heavy Gou of the exterior, this heavy Gou will make it from original of the social coupling change to arrive not- social coupling to relate to(from human feelings to benefits), and with gather a group of coupling relations of diversified objects in exteriors will biggest influence and equilibrium natively imbed a relation, and would to the leading enterprise compete ability with native gather a cluster to produce bigger influence.Combine the above-mentioned discussion, the meaning and possible innovation of this text research be placed in :The first, in studying angle of view and the theories hermeneutic ability, this text confidence stayed to gather to appear in the cluster currently of some new phenomenon, the dint diagram opens to gather business enterprise growth in cluster especially leading enterprise growth of black box, from re- returned to return the research of business enterprise level to come up towards gathering a cluster the whole level of the behavior study currently, try hard for since saw forest and saw tree, and try took this as point of departure to hermeneutic gather to appear in the cluster currently of much new phenomenon.The second, in studying a point, this text not only studied a leading enterprise growth to the influence which gathers a group of inner parts, but also emphasized to study a leading enterprise growth with gather a cluster exterior of interactive behavior, and contact growth and profession(industry) of the leading enterprise from here, studied a leading enterprise and gather three level interaction and its influence in gathering a cluster of the cluster, profession(industry), but no longer purely gather group theory to gather a cluster.The third, in studying a purpose, the this research end purpose perhaps still wants to restore to gather a cluster of original appearance, emphasize to gather a cluster since isn’t that the milli- is nonsense, but also will never be a miracle drug wonder drug. At the certain stage, gather a cluster to really have it the special function, but will never can therefore overdo the function that the ground neglects a business enterprise(and industry).Many new varieties and more farsighted angle that appear already from gathered a cluster currently are see, to the research which gathers a cluster perhaps still want to return to the level of business enterprise up(and business enterprise, industry with gather a cluster three square interaction of level up) return in response to the more and more vigorous competition. Therefore, though the leading enterprise come from in gather a cluster, but also need not however want to limit at to gather a cluster, can’t be under the yoke of and native more to gather a cluster perhaps so-calledly gather a group of type growths, but want to surmount native gather a cluster. Therefore, gather the cluster isn’t a leading enterprise the purpose of the growth but just means.更多还原