【作者】 张国亭；

【导师】 于良春；

【作者基本信息】 山东大学 ， 国民经济学， 2009， 博士

【摘要】 人类社会现在已经进入了经济全球化与区域经济集中化并存的时代。产业集群作为区域经济集中化的主要表现形式,依靠其强劲的竞争优势,创造了大量财富,有力地促进了区域经济的发展与创新,并且引导着国际资源的流向,因此世界各国对产业集群的发展给予了高度关注,纷纷出台政策与优惠措施,鼓励产业集群的发展。但值得注意的是,有的产业集群能长期保持发展的动力,顺利实现从低层次集群向高层次集群的过渡,形成持续的竞争优势,但是也有许多原来表现突出、很有竞争力的集群,却逐渐衰落消亡。是什么原因导致了这些集群的衰落?为什么有的集群长盛不衰,甚至其主导产业已经发生变化仍然能够在新产业中拥有竞争优势?这其中有什么共性的规律?如何保持产业集群的持续竞争优势?现有研究对此缺乏足够的关注和有说服力的成果,对于集群发展中潜在的风险关注不够,对于集群竞争优势的刚性认识不足,因而探讨产业集群的发展或偏于一隅或浮于表面。本文从集群学习与创新、集群社会资本、集群品牌、政府政策四个维度,深入系统地分析产业集群实现持续竞争优势的机制与措施、途径,弥补了当前集群研究的不足,是对集群理论的补充与完善。论文综合运用了经济学、管理学、社会学、政治学、地理学、博弈论等学科的知识与方法进行理论分析,结合实地调查、访谈调研与对比分析等实证研究,提出了实现集群持续竞争优势的机制与措施。论文主要内容为:第1章导论部分,介绍了研究的背景、研究的意义、国内外研究的进展,以及论文的框架、研究方法与创新点、不足之处。第2章基本概念与理论基础部分,探讨了产业集群的基本概念、特征。本文认为产业集群是在一个相对狭小的地理范围内,以中小企业为主的大量企业、中间机构和组织等围绕同一产业形成的分工细致、联系紧密、社会关系网络发达、市场竞争力和区域产业形象突出的空间有机聚合体。产业集群具有弹性专精、地理集中、中小企业为主、根植性强、相关组织与机构密集的特征。当一个集群经过多年的积累逐渐形成其独特的竞争力时,它就会有意无意地排斥其他方面的能力,形成阻碍集群持续发展的风险,主要表现为集群原有网络关系产生的封闭性、“搭便车”心理导致的技术创新动力不足、战略与行动趋同、分工固化导致资产专用性风险以及政府过度干预。而产业集群持续竞争优势具有内生性、可持续性、开放性和动态性的特征。在此基础上本文构建了产业集群持续竞争优势的四维度模型,认为集群持续竞争优势来自于集群的集成合力:集群创新是产业集群持续竞争优势的根本动力;集群文化与社会资本是产业集群持续竞争优势的基础;集群品牌是产业集群持续竞争优势的市场表现,对集群发展具有反作用;政府政策与相关机构支持是产业集群持续竞争优势的保障。四个方面的合力产生强大的动力和能量,使集群能够克服发展中出现的阻力与风险,从较低层次的优势向更高层次的优势攀升。第3章从集群学习、创新角度论述了集群持续竞争优势问题。在回顾创新理论基础上,提出了集群创新概念及其动力机制。集群的创新动力主要来自于市场竞争,同时由于集群的特性,使集群创新的动力机制独具特色,主要表现为竞争的压力机制、拉动机制和合作机制。探讨了集群学习的内涵、集群内部学习机制。集群知识积累主要通过集群内企业的研究开发与经验而积累、通过集群学习而积累、通过分工与互补而积累、通过集群内企业的竞争与合作而积累。集群内部学习途径包括集群内同一价值链环节企业之间的横向知识学习、企业对客户的纵向知识学习、企业对供应商的纵向知识学习、企业与集群内中介机构间的学习互动。集群内知识溢出主要通过企业间的人员流动、非正式交流、企业衍生以及合作创新。集群内成员企业的创新与集群的知识溢出两者之间应该维持一种动态平衡。探索了集群外部学习机制,提出了改善对外学习的对策建议。第4章从集群社会资本角度论述了集群持续竞争优势问题。提出了集群社会资本的概念、核心及特点。集群社会资本的核心是信任。集群社会资本的主要特征是共享性、独特性、根植性、累积性和专业化分工协作性。从个人社会关系、分工合作、声誉效应、制度制约四个方面论证了集群社会资本形成机制。集群社会资本对产业集群竞争优势的正效应包括降低交易费用,提高经济效率;促进知识、信息交流,增强创新能力;增强集群的根植性。从关系封闭性锁定、分工固化性锁定、经验依赖性锁定三个方面剖析了集群社会资本对集群竞争优势的负效应。产业集群社会资本的增加,首先来自于集群内部,来自于集群内企业社会资本的积累,包括企业自身信用与声誉强化、加强成员间沟通与合作、推动集群内中介机构建设。要建立开放型的集群社会资本,关键在于完善现代企业制度、融入全球生产网络、促进集群内外企业间互动学习。政府除了提供必要的物质基础设施、政策支持、加强社会普遍道德规范的建设外,还可以促进亲属、社会关系网络和社会资本与经济网络社会资本相互嵌入,使社会资本、企业规则、经济制度实现有机结合,为集群社会资本的培育与维护发挥重要作用。法制机制在集群社会资本建立的全过程中都发挥着重要影响,是企业间信任产生的重要外部条件和冲突解决机制。第5章从集群品牌角度论述了集群持续竞争优势问题。提出了集群品牌的内涵与特征。集群品牌的表现形式多种多样,概括起来主要包括已经注册集群品牌型、围绕核心企业品牌运作型、共享主导企业品牌的“品牌俱乐部”型,以及既无主导企业亦未注册统一品牌型。集群品牌对集群发展的促进效应包括市场推广效应、资源吸引效应、示范带动效应、中小企业的覆盖效应、区域形象提升效应。集群品牌作为集群内所有企业共同拥有的无形资产,具有公共物品的非排他性、非竞争性的属性。如果没有加以有效控制,就必然导致集群品牌使用者鱼龙混杂,给集群品牌带来危机,影响集群的持续竞争优势。当前而言,为维护和发展集群品牌,政府、行业协会以及集群企业至少应当重点做好以下方面的工作:申请注册集群商标(或集体商标、证明商标)和原产地标识;以质量创品牌,以质量认证、监督体系维护集群品牌声誉;多渠道开展集群品牌营销活动;集体应对贸易摩擦,维护集群品牌。同时,以集群品牌促进企业品牌的发展,创造更多的名牌产品、名牌企业,也是集群保持持续竞争优势的必然选择,这就需要把集群品牌和企业品牌有效地结合起来。第6章从政府政策维度论述了集群持续竞争优势问题。分析了政府对产业集群持续竞争优势的作用机理、政府介入的理论依据、政府对集群持续竞争优势的影响。研究了美国的产业集群政策、日本的产业集群计划、欧洲部分国家的产业集群政策。我国政府部门对产业集群认识上还有偏差,在政策指导原则、具体内容、形成过程、具体实施上还存在不少突出问题,影响了政策效果。主要表现为:把集群政策等同于产业政策;政府仍然试图主导产业集群形成与发展的政策倾向十分明显;过于偏重高新技术产业和中小企业;对国内外集群政策简单复制,忽略其经济社会背景;行政区划分割、行业分割的问题突出。提出当前基于集群持续竞争优势的集群政策应主要定位于促进集群创新网络的形成与发展、加强集群企业间分工合作、推动中介机构发展、创造与维护集群发展的优良环境等方面。第7章对全文进行回顾与总结,归纳主要研究结论,并指出需要进一步研究的问题。当然,由于对数学工具掌握的欠缺,以及数据收集与处理的困难,本文对所调研的数据未分行业,对调研对象未区别规模,因而未能展开更准确更系统的数理论证与实证分析,研究方法过于粗放,对产业集群发展、升级问题的研究尚欠系统与深入,这也是该课题以后研究的努力方向。更多还原

【Abstract】 Human society has now entered a time where the economic globalization and the regional economic concentration co-exist. Relying on its strong competitive advantages, industrial clusters, as the main form of a regional economic concentration, have created a great deal of wealth, which vigorously promoted the development and innovation of regional economic and guided the flow of international resources around the world. Therefore, great concern is given to encourage the development of industrial clusters by introducing policies and incentives. It is noteworthy that some industrial clusters can retain the power of long-term development and make smooth transition from low-level clusters to high-level clusters, forming sustained competitive advantages. However, some clusters that are initially outstanding and very competitive, gradually declined and even demise. What are the reasons for the cause of the decline of these clusters? Why some clusters focused, and still showed a competitive advantage in the new industries, even when the leading industries have changed? What is the common law? How to maintain sustainable competitive advantages of the industrial clusters? The existing research is lack of enough concern and convincing results. The potential risks for the cluster development is not enough concerned. The rigidity of the competitive advantage of clusters has not been fully recognized. Thus, the exploration of the development of industrial clusters is biased or superficial. Here, we systematically analyzed the mechanisms, measures and approaches in depth that achieve sustainable competitive advantage of industrial clusters, from four dimensions: learning and innovation from the clusters, the cluster social capital, and the cluster brand and government policy. Our study will make up for the shortcomings of the current research on industrial clusters, supplementing and improving the cluster theory.In this dissertation, we proposed mechanisms and measures that achieve sustainable competitive advantages of industrial clusters, through theoretical analysis that makes general use of economics, management science, sociology, political science, geography, game theory and other disciplines of knowledge and methods in conjunction of empirical studies such as field surveys, interviews and comparative analysis.The dissertation is divided into several chapters.Chapter 1 gives brief introduction that presents the background and significance of the study, the progress of domestic and international study, the framework of the dissertation, methodology, innovation and deficiencies.Chapter 2 deals with the basic concepts and theoretical basis, exploring the basic concepts and characteristics of industrial clusters. This dissertation holds that the industrial clusters are a spatial organic polymer system that exhibits detailed division of work, close-knit, well-developed network of social relations, the highlighted images of market competition and regional industries. They consist of a large number of enterprises, mainly small and medium-sized enterprises, between agencies and organizations formed around the division of the same industry at a relatively small geographical area. Industrial clusters are characteristic of flexible specialization, the geographical concentration, mainly SMEs, strong embeddedness and intensive related organizations and institutions. When a cluster has gradually formed its unique competitive edge after years of accumulation, it will, intentionally or unintentionally, develop the ability to exclude others, which hinders the sustainable development of the clusters. It is mainly expressed in the closed network of original cluster relations, "free riders", shortage of technological innovation caused by psychological power, convergence of strategies and actions, the risk of specific assets caused by fixed division of work, as well as excessive government intervention. However, industrial clusters must be endogenous, sustainable, open and dynamic to keep their sustained competitive advantages. Therefore, we build up a four-dimensional model for sustainable competitive advantages of industrial clusters, considering that sustainable competitive advantages arise from integrated efforts. Innovation is the fundamental power of the sustainable competitive advantages; Culture and social capital are the basis; Cluster brand is the manifestation of market, counterproductive to its development; government policies and related institutions are supportive. Efforts in four areas have a strong power and energy, so that clusters can overcome the development of emerging risks, rising up from a lower level to a higher level.In chapter 3, we discuss the issues of sustainable competitive advantages of the clusters from the perspective of leaning and innovation. On the basis of the review of innovation theory, we put forward the concept of cluster innovation and its power mechanism. The driving force of innovation for clusters mainly comes from the competition in the market. Because of the characteristics of the cluster, the power mechanism of innovation is rendered unique, mainly in expression of the mechanism for the competition stress, cooperation mechanism and driving mechanism. We explored the meaning of the cluster and the mechanism of internal study. Knowledge of the clusters accumulated mainly through the experience research and development of enterprises in the clusters, the study and clusters and the division of labor and complementarity. Learning approaches within the same cluster, includes the lateral study of knowledge between enterprises in the value chain, business-to-customer longitudinal study of knowledge, business-to-supplier longitudinal study of knowledge, interactive learning between enterprises and inter-agencies within the cluster. Outflow of knowledge in clusters is mainly through inter-firm mobility, informal exchanges, and derivation of enterprises, cooperation and innovation. Innovation of the member enterprises of the clusters and the outflow of knowledge should be maintained in a dynamic equilibrium. We explore the mechanism of external study of clusters and put forward measures and recommendations to improve the study.In chapter 4, we discuss issues of sustainable competitive advantages of clusters from the perspective of social capital in clusters on and put forward the concept of social capital in clusters, the core and the characteristics. The core of social capital is trust. The main features of social capital are sharedness, uniqueness, rootedness, cumulation, collaboration and specialization. We demonstrate the formation mechanism of social capital in four aspects: personal social relations, division and cooperation, reputation effects, system constraints. The positive effects of social capital on competitive advantages of industrial clusters, includes lower transaction costs, improvement of economic efficiency, the promotion of knowledge, information exchange, enhancement of the ability of innovation and cluster embeddedness. Negative effects of social capital are analyzed in three aspects: the relationship between the closed lock, lock of the division Immobilization, experience-dependent lock. The increase of social capital of industrial clusters first of all come from the cluster, from the accumulation of social capital within the cluster, including strengthening their credit and reputation, strengthening communication and cooperation among members, and promoting the construction of the intermediaries within the cluster. To set up open social capital, the key lies in the improvement of the modern enterprise system, integration into the global production networks, the promotion of inter-firm interactive learning inside and outside clusters. The government not only provides the necessary physical infrastructure, policy support, reinforcement of the social construction of universal ethics, but also promotes social network, mutual embedment of social capital and economic networks, so that social capital, business rules, economic system can be integrated to play an important role in cultivation and maintenance of social capital for the clusters. Legal mechanism significantly influences social capital of the clusters throughout the entire process of their set up. It is an important external condition for inter-firm trust and resolution mechanisms of conflicts.Chapter 5 deals with sustainable competitive advantages from the perspective of cluster brand. The connotation the characteristics of cluster brand are proposed. Cluster brand have a variety of manifestations, mainly including registered cluster brand type, the type operated around the core business brand, "brand club" type that shares the leading brand, as well as neither registered nor led brands uniform business type. Cluster brand promote development of clusters by the effects of marketing, resources attraction, model driven effect, the coverage of small and medium-sized enterprises, enhancement of the image of regions. Cluster brand possesses non-exclusive, non-competitive properties of public goods as the intangible assets jointly owned by all the enterprises in the clusters. If they are not under effective control, it will definitely leads to the crisis of cluster brand and cohabitation of brand users, affecting sustainable competitive advantages of clusters. At present, to maintain and develop cluster brands, governments, industry associations, and cluster enterprises should at least address the following key issues: applications and registration of cluster trade mark (or a collective trademark, certification mark) and marking the origin country; the quality of a brand as well as quality certification and the supervision system to maintain the reputation of cluster brand ; multi-channel brand marketing activities to be carried out; collective response to trade friction; the maintenance of clusters brand. At the same time, in order to maintain a sustained competitive advantage, it is an inevitable choice to promote the development of enterprise brand and create more brand-name products, brand-name enterprises by making advantage of cluster brand. It is needed to combine cluster brand and corporate brand effectively.Chapter 6 deals with sustainable competitive advantage of the cluster from the policy point of view. We analyzed the mechanism by which the government impacts sustainable competitive advantages of industrial clusters, the theoretical basis for government intervention, and the effect of the government o sustainable competitive advantage of the cluster. We also studied the policy of industrial clusters in the United States, Japan and some European countries. There are deviations in reorganization of industrial clusters for the departments of the Chinese Government. In terms of policy guidelines, the specific contents, the formation process and the concrete implementation there are still many remarkable problems, impacting the policy effect, mainly as follows: the cluster policy is equivalent to the industrial policy; the government shows very obvious tendency to dominate in policy formation and development of the industrial clusters; dependent on high-tech industries and small and medium-sized enterprises; simply copy domestic and foreign policy of clusters, ignoring their economic and social background; There are highlighted issues for Administrative division and industry segmentation. We propose that the current policies of cluster-based sustainable competitive advantages should mainly focus on promoting the formation and development of the networks for cluster innovation, strengthening inter-firm division of work and cooperation, pushing forward the development of intermediary organizations, creating and maintaining an excellent environment for cluster development, administrative divisions split, and industry highlights the issue of partition. To the current cluster-based sustainable competitive advantage of cluster policies should be mainly located in the network to promote the formation of clusters of innovation and development, to strengthen the clusters of inter-firm division of labor, and promote the development of intermediary organizations to create a cluster development and maintenance of an excellent environment .The Government try to dominate the industrial cluster policy formation and development of a very obvious tendency; has become overly dependent on high-tech industries and small and medium-sized; cluster of domestic and foreign policy of easy copying, ignored their economic social background; administrative divisions split, industry highlights the issue of partition. To the current cluster-based sustainable competitive advantage of cluster policies should be mainly located in the network to promote the formation of clusters of innovation and development, to strengthen the clusters of inter-firm division of labor, and promote the development of intermediary organizations to create a cluster development and maintenance of an excellent environment.Chapter 7 reviews the full text, summarizes the main conclusions of the study and points out the problems that require further study.Of course, because of the lack of available mathematical tools as well as difficulties of data collection and processing, the data for the research do not distinguish sub-sectors and the study does not distinguish between the objects on the scale. Therefore, we have not given more systematically and accurately theoretical evidence and empirical analysis. Research methods are too extensive and systematical and in-depth study on the issues of the development of industrial clusters lacks. These are the subjects of future study.更多还原