集群“知识守门人”问题的重新研究－－基于多核心企业的视角

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浙江财经学院硕士学位论文

摘要

为了增进集群获取外部知识的有效性，Giuliani（2003）提出了集群“知识守

门人（Knowledge Gate-Keepers）”的概念，认为集群中弱知识吸收能力的企业不

能直接获取集群外部知识，必须通过强知识吸收能力的企业将集群外部获取的复

杂和高度编码的知识转化为情景化和便于理解的形式扩散给他们，在集群中扮演

“知识守门人”的角色。由此，集群“知识守门人”问题主要涉及两方面内容：

一是从集群外部吸收知识；二是将这些知识转化为集群内弱知识吸收能力的企业

可以理解的形式扩散给他们，本文①重点从后者(知识扩散的角度)进行研究，这也

是目前国内外关于集群“知识守门人”问题研究的热点。

事实上，关于集群“知识守门人”问题的既有研究已经表明强知识吸收能力

的核心企业在集群中扮演“知识守门人”的角色，且只有核心企业才有能力将集

群外部知识经重新编码后扩散给集群中弱知识吸收能力的配套企业。问题是，这

些研究只针对单核产业集群（集群中只存在一个核心企业），而对于多核产业集群

（集群中存在多个核心企业）的“知识守门人”问题，目前的研究还未曾涉及。

值得注意的是，多核产业集群正是目前我国产业集群演进的现实情况，比如：

浙江温州低压电器集群中的正泰集团、德力西集团、人民电器集团和天正集团等

多核心企业；浙江台州工业缝纫机集群中的宝石、杰克等多核心企业；湖南长沙

工程机械集群则出现了知名度很高且均为上市公司的三一重工、中联重科和山河

智能三大核心企业等等。

因此，本文从知识扩散的角度深入研究了多核产业集群中的“知识守门人”

问题。

借鉴目前的研究，结合多核产业集群的具体特征，本文更加精细地界定了多

核产业集群中的 “知识守门人”问题。由于多核产业集群中企业间的合作与非合

作关系，尤其是核心企业与集群中所有配套企业间的合作与非合作关系，会影响

到核心企业对集群中所有配套企业的知识扩散，从而间接地影响多核产业集群的

“知识守门人”问题，所以本文主要从以下两个方面进行分析：

（1）多核产业集群中企业间的合作与非合作关系

首先，通过梳理多核产业集群中企业间的关系发现，核心企业与集群中所有

配套企业间的关系包括核心企业与同一供应链中配套企业间的关系和与其他供应

链中配套企业间的关系，而后者取决于不同供应链中核心企业间的关系。由此，

①本文为国家自然科学基金项目（批准号：70772114）的部分研究成果。

浙江财经学院硕士学位论文

运用理论分析、演化博弈分析及数值仿真分别对多核产业集群中企业间的关系进

行深入细致地分析发现，多核产业集群中核心企业间主要倾向于相互竞争，所以

多核产业集群中核心企业与其他供应链中与其竞争的核心企业的配套企业之间是

非合作关系，而核心企业与同一供应链中的配套企业密切合作。因此，在多核产

业集群中，核心企业与集群中配套企业（包括同一供应链中的配套企业和其他供

应链中与其竞争的核心企业的配套企业）之间既存在合作关系同时又存在非合作

关系。

（2）多核产业集群中企业间合作与非合作关系分别影响下的核心企业知识扩

散

在多核产业集群中，核心企业对配套企业的知识扩散受多种因素的影响，包

括配套企业的知识吸收能力、知识因素、风险水平、贴现因子等，这些因素在核

心企业与集群中不同配套企业分别处于合作与非合作关系中所起的作用明显不

同，使得多核产业集群中的核心企业只对同一供应链中的配套企业扩散知识，而

不对其他供应链中竞争对手（其他核心企业）的配套企业扩散知识。为了验证这

一结论的准确性，本文还对多核产业集群中企业间合作与非合作关系分别影响下

的核心企业对同一供应链中与其密切合作的配套企业，以及对不同供应链中与其

竞争的核心企业的配套企业的知识扩散分别进行了演化博弈分析和数值仿真，结

果同样表明多核产业集群中的核心企业确实只对同一供应链中的配套企业扩散知

识，而不对集群中所有的配套企业扩散知识，尤其是不会将知识扩散给其他供应

链中与其竞争的核心企业的配套企业，所以多核产业集群中的核心企业并未在整

个集群中扮演集群“知识守门人”的角色而只能说是自己供应链上的“守门人”。

这与目前在单核产业集群中得出的结论（核心企业在单核产业集群中扮演“知识

守门人”的角色）明显不同。

关键词：集群“知识守门人”；多核产业集群；演化博弈；数值仿真

浙江财经学院硕士学位论文

III

ABSTRACT

In order to improve the effectiveness of cluster obtaining external knowledge,

Giuliani (2003) have raised the concept of “Knowledge Gate-Keepers" on industrial

cluster. Giuliani found that the enterprises which had strong knowledge absorptive

capacity on the cluster played the role of “Knowledge Gate-Keepers", turning the

complexly external knowledge into more understandable form and spreading it to all

other enterprises. And other enterprises could effectively obtain the external knowledge.

This improved “Cluster Absorptive Capacity". The many present studies at home and

abroad show that the core enterprise with rich accumulation of knowledge, skills

capacity and the intimate connection with other enterprises on cluster plays the role of

"Knowledge Gate-Keepers ".

However the studies about “Knowledge Gate-Keepers" are only on single core

cluster, but not on multi-core industrial cluster.

What is notable is multi-core industrial cluster is current evolution of industrial

cluster, such as: Zhengtai enterprise, Delixi enterprise, are the core enterprises in

Zhejiang Wenzhou low-voltage cluster; Baoshi enterprise, Jieke enterprise are the core

enterprises in Zhejiang Taizhou industrial sewing machine cluster.

Therefore, I research about "Knowledge Gate-Keepers " in more cores’ cluster.

A preliminary analysis of the concept, position and role of "Knowledge

Gate-Keepers"(Elisa Giuliani, 2003) show that the use of "Knowledge Gate-Keepers"

is the core’s knowledge diffusion to all supporting enterprise(the research will focus on

knowledge diffusion). While the relationship between the core enterprise and all

supporting enterprise, especially the competition and cooperation relationship,

influence the knowledge diffusion from the core enterprise, so as the logical starting

point of "Knowledge Gate-Keepers" in more cores’ cluster, this paper firstly analyzes

the relationship between enterprises in more cores’ cluster, especially the relationship

between the cores and all supporting enterprises, then further analysis the knowledge

diffusion from the core enterprise under the influence of the competition and

cooperation relationship, to answer the problems about “Knowledge Gate-Keepers".

Therefore, this research analyzed “Knowledge Gate-Keepers" in more cores’

cluster from the two aspects and draw the conclusion:

(1) the relationship between enterprises in many core industrial cluster

In many cores industrial cluster, the relationship of core enterprise and all

浙江财经学院硕士学位论文

supporting enterprises in cluster contains the relationship between core enterprise and

the supporting enterprises in the supply chain and other supporting enterprises in the

other supply chain. After the theory and empirical analysis containing evolutionary

game and numerical simulation analysis, I find the core enterprise cooperates with

supporting enterprises in the same supply chain. However, the core enterprise has no

direct relationship with supporting enterprises in the other supply chain, which depends

on the relationship between the core enterprise in many cores industrial cluster. The

results of the theoretical analysis, numerical simulations and evolutionary game

analysis show the relationship between the core enterprise in many cores industrial

cluster is competitive. So the relationship between core enterprise and the supporting

enterprises in other supply chain is also competitive. Therefore, in many cores

industrial cluster, the relationship between core enterprise and all supporting

enterprises is both competitive and cooperative, that is the relationship between core

enterprise and the supporting enterprises in the same supply chain is cooperative and

the relationship between core enterprise and the supporting enterprises in other supply

chain is competitive.

(2) the knowledge diffusion from core enterprise under the influence of

competition and cooperation among enterprises in many cores industrial cluster

The knowledge diffusion from core enterprise is influenced by a variety of factors,

including knowledge absorptive capacity of supporting enterprise, knowledge factor,

risk factors, the discount factors level, etc), and in other competition or cooperation

between the core enterprise and all supporting enterprises, the factors has different

effects. So the core enterprise spread the knowledge to supporting enterprises in the

same supply chain, but not to spread to all supporting enterprises, especially not to

supporting enterprises in other supply chain. Therefore the core enterprise in many

cores industrial cluster does not play the role of “Knowledge Gate-Keepers”. In order

to verify the accuracy of the result, this paper separately uses the evolutionary game

analysis and numerical simulation to analysis the knowledge diffusion from the core

enterprise in many cores industrial cluster, and proved that the core enterprise in

many cores industrial cluster does not play the role of “Knowledge Gate-Keepers” as

same as the result of theoretical analysis.

Keywords: “Knowledge Gate-Keepers”; multi-core industrial cluster; evolutionary

game; numerical simulation

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摘要：

浙江财经学院硕士学位论文I摘要为了增进集群获取外部知识的有效性，Giuliani（2003）提出了集群“知识守门人（KnowledgeGate-Keepers）”的概念，认为集群中弱知识吸收能力的企业不能直接获取集群外部知识，必须通过强知识吸收能力的企业将集群外部获取的复杂和高度编码的知识转化为情景化和便于理解的形式扩散给他们，在集群中扮演“知识守门人”的角色。由此，集群“知识守门人”问题主要涉及两方面内容：一是从集群外部吸收知识；二是将这些知识转化为集群内弱知识吸收能力的企业可以理解的形式扩散给他们，本文①重点从后者(知识扩散的角度)进行研究，这也是目前国内外关于集群“知识守门人”问题研究的...

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