网络、嵌入性与集群生命周期研究

【作者】 林竞君；

【导师】 朱国宏；

【作者基本信息】 复旦大学 ， 政治经济学， 2005， 博士

【副题名】一个新经济社会学的视角

【摘要】 在过去的数十年间,产业集群问题引起各国学者的广泛关注。学者们由各自的学科范式出发,对集群的本质问题提出了不同的理解。本文试图从新经济社会学的相关概念及理论观点出发,对产业集群形成、发展、衰落的整个生命周期过程进行新的跨学科解释。 “嵌入”是本文研究的首要概念工具。按照格兰诺维特的观点,嵌入可分为关系性嵌入与结构性嵌入,前者是指行动者总是嵌入于其所在的关系网络之中,并深受网络其他成员的影响;后者是指在更宏大层面上,行动者所在的网络又是嵌入于社会文化传统、价值规范等结构之中,并受其影响、塑造。在本文的阐述中,这两种嵌入类型是贯穿全文的分析主线。 本文的第一、二章,主要完成两项工作,一是相对系统地介绍了“产业集群”这一问题的研究渊源,并对国内外集群研究文献进行综述,在此基础上,确定了本文的研究任务、思路及方法运用;二是对新经济社会学这一学科的发展历程进行回顾,并详细介绍了这一学科的三大理论主张及核心概念体系。 第三章对产业集群的形成过程进行新经济社会学的嵌入考察。新古典经济学从分工的外部性及自我增强机制来解释集群的形成问题,与之不同,本文认为,产业集群究其实质就是一种劳动分工、协作的制度安排,它的形成是基于一定文化背景下,通过区域共同体成员间网络互动得以建构的,是嵌入于区域特定的文化传统、价值规范(结构性嵌入)和网络成员信任网络(关系性嵌入)之中的。 一方面,区域特定的分工传统、信任水平、企业家精神是集群形成的重要文化基础,通过社会化的过程,它们影响着区域成员的心智模式、知识能力与行动选择,进而影响到本区域分工的演进与交易的治理效率;另一方面,信任、网络是规范集群内部交易行为,促进分工规模持续扩张的有效治理机制。信任的扩展是集群分工发展的基本动力,而网络以它特有的信息、规范功能有效保证了这一过程的顺利进行。 第四章主要探讨集群的发展、创新问题。由创新的本质出发,我们认为,集群实质上也是某种知识的分工、协作的网络综合体,集群的创新效率取决于企业知识的获取、整合能力以及企业间的知识扩散程度。这一意义上,本文认为,集群的创新活动是一种集体性学习的动态累积过程,是嵌入于本区域的合作文化、创新情境(结构性嵌入)以及网络成员的知识交流、共享网络互动(关系性嵌入)之中的。 一方面,集群本地的创新氛围、合作水平是激发本集群企业创新行动、提高区域信息交流、知识共享效率的重要手段;另一方面,鉴于当代创新的复杂性与更多还原

【Abstract】 Over the past decades, there has been a resurgence of interest in the nature of industrial clusters among researchers, discussion arising form quite different perspectives are sometimes complementary and sometimes contradictory. The aim of this dissertation is to present a new explanation to the life cycle of industrial cluster, including its developing, innovation and declining, from the perspective of new economic sociology."Embeddedness" is at the center of the conceptual framework in these studies, it can be traced back to K. Polanyi. It was revitalized by M. Granovetter and has since then become a central concept in the new economic sociology. Granovetter distinguishes between a relational embeddedness and a structural embeddedness, where the former describes the nature or quality of dyadic relation between actors—the actor is embedded in the networks of relation, and the latter refers to the network structure of relationships in the broader sense— networks belonging to actor are embedded in the social cultural background.This dissertation consists of six chapters. In chapter 1, we review systematically the history of researching on industrial clusters, and a literature review is presented, basing on this, we introduce the research task, plan and the methods will be applied in this dissertation.Chapter 2 expounds the theoretical development process of new economic sociology, then compares "new " economic sociology with "old" one, and discusses its three viewpoints and conceptual systems.Chapter 3 explores the developing of industrial with the framework of embeddedness. The neo-classical economic explains the existence of industrial cluster in terms of increasing returns to scale and forces of self-reinforcing. Contrary to this view, this paper argues that, the mode of the industrial cluster in itself can be interpreted as an institutional arrangement that cooperates the division of labor, and then emphasis is placed on why division of labor can happen in certain space and how transaction develops persistently and smoothly. This paper suggests that, industrial cluster emerges where firms or entrepreneurs, as agents, interact with others in ways regulated and influenced by the social, cultural, and political context. In a word, the developing of it is embedded in local cultural background and trust relation as well.On one hand, local tradition, level of trust, value and convention provide aculture basis for developing of industrial cluster. By the means of socialization, these factors exert great influence to actors’ mental mode, knowledge structure and tendency of action, then the efficiencies of transaction therefore. On the other hand, trust and network are important mechanism in governing transaction within industrial cluster. Interpersonal trust is viewed as being a potential strength rather than a weakness, as in the case of incomplete contracts. It’s the extension of trust that expands the scope of transaction and promotes the aggregation of division of labor.Chapter 4 discusses the innovation of industrial clusters. In terms of essence of innovation, industrial cluster is conceived as a network complex, which cooperate division of knowledge between firms in a limited space. So the efficiency of innovation in cluster depends on the capacity in acquiring, integrating information and to what extent the fruit of innovation on firm can be share by others within the cluster. In this way, this dissertation argues that, knowledge creation of clusters is a dynamic accumulation process, where social relations help transform individual knowledge to collective cognitive, and embed tacit information in the local business practices, networks, conventions, and norms utilized by firms.Local innovation melieux, including conventions, norms, and even industrial air or level of cooperation create incentives for innovation, support inventive and collective capacity building, and promote mutual the transmission of information between firms in industrial clusters. Furthermore, social interactions are critical means of learning and innovation is a process of interactive learning. In networks, social interactions enable learning and enhance tacit knowledge transmits between firms. It’s social network embedded innovation of industrial clusters in local social culture structure, tradition and firm networks.Chapter 5 draws on an analysis of the declining of industrial clusters. Many literatures in the researching of clusters from the perspective of embeddedness often focus on various positive effects of embedded factors, celebrated advantages of embedded networks from the viewpoint of social capital, while these literatures in general largely neglect their negative aspects, known as the lock-ins of players. In this dissertation, the author holds that, as the "flipside", though the embeddedness can bring in a lot of flexibility in the networks as a social system, it can also put an enormous amount of constraint upon social actions of network players in industrial clusters. In order to better understand the reasons constraining firms to follow an old path rather than diverge from it, this paper put forward a new更多还原