基于网络视角的集群创新研究--以苏州IT集群实证分析

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摘要

“十一五”规划纲要里反映出区域经济发展战略的核心是如何在集群经济环

境下培育开发新的和提升利用现有的竞争力，增强自主创新能力，以保持区域经

济的持续发展。而在第一个五年规划中，自主创新被确定为国家的基本发展战略，

而“产业集群是自主创新的重要载体。” (顾强等，2005)因此，研究产业集群的

创新对在“十一五”规划期间区域经济的创新式发展，及其地方产业集群的转型

和升级具有非要重要的意义。

波特(1990)在《国家竞争优势》一书中指出国家和区域的竞争优势取决于该国

或区域内产业的竞争力；而产业集群所具有的外部经济、创新与合作竞争效果等

正是促进区域产业竞争优势提升的重要动力。促进区域内产业集群的形成、发展

和升级，更已经成为各国提高区域竞争力的重要关键途径与课题。Hill & Brennan

(2000)明确的指出，在具有竞争的产业集群内，驱动产业和其完整的上下游产业可

以带动区域经济的发展，也是提升全球化经济下区域竞争力的重要战略举措。

然而，目前我国大多数产业集群还处于集群发展的低端道路(Low-road)，为了

在全球价值链下实现地方产业集群的创新功能及其升级(张辉，2006)，本研究课题

具有重要的实际意义，尤其是对于在学术界研究较少的跨国公司主导的产业集群

的地区来说更加重要和紧迫。

尽管现有的产业集群创新研究不少，但是大多数研究集中在对集群创新系统

（刘友金，2002；魏江，2002，2003）、创新模式研究(吴哓波等，2003)，及从不

同的角度定性来探索集群创新的机制等，现有文献学者的观点都从集群竞争优势

的现象出发，均未解释集群创新优势源泉的本质为何？要么从宏观或中观层面对

整个集群的创新系统进行研究，把集群创新视为一个封闭的研究客体，只关注集

群创新的输入与输出，而中间发生的创新经济活动过程不展开研究。因此，没有

深入现象背后来把握集群创新的真正本质。

在已有学者的研究基础上，本研究从“微观过程＋中观结构”的研究切入点

对集群创新课题展开新的研究。一方面，新经济社会学的嵌入理论认为

(Granovetter,1985)，任何经济行动是嵌入在动态的具体的社会关系模式或社会结构

之中。同时事物的功能是由该事物的结构所决定的。因此作为产业集群竞争优势

源泉的网络结构就决定了产业集群的竞争优势之强弱及其持久性。网络结构视角

就是要分析网络中各个节点间的各种正式与非正式的连接方式，这有助于我们从

整体上把握集群创新过程中各因素的相互影响与互动关系，从而深化对集群创新

本质的理解，更深入地把握产业集群竞争优势的源泉。另一方面，经济行动是产

业集群内经济活动的微观基础。也就是说研究的重点不仅仅放在经济行动发生的

微观过程，而且还关注微观节点及其间关系所构成的中观结构对经济活动的影响，

故称为“展开性研究”。这与目前已有集群创新系统文献之研究所采取的“自上而

下”(top down)完全不同。其三，创新反映的是自下而上的创造力(王辑慈，2001)，

因此探讨集群创新的微观机制对把握集群创新的本质是至关重要。另外，在探讨

微观层次的创新活动时，影响企业获取外部转移知识的因素中，吸收能力是最关

键的一个因素，因此，在本研究中，引入吸收能力变量以探索其对创新的影响。

要深入对集群创新的理解还是得抓住“创新”二字，集群只是创新发生的一

个外在的客观情景，只是把企业的创新活动置入到一个具有多重复合关系的特定

空间范围内。而创新可界定为：创新是厂商对既有资源或潜在的可动用资源的有

效运用之结果，是知识流动与资源活化的动态社会进程。故本论文把集群创新总

结为“微观过程＋中观结构”的网络互动通过资源交换以实现价值增值的一个动

态的网络学习进程。而资源则是社会网络四个要素构成之一，即“资源要素”，是

指各种特性如能力，知识等的分布。网络中的每个行动者都是带着一定的资源进

入到网络之中。行动者的资源是行动者自己拥有的资源和他所能接触的资源的函

数。因此，在知识分工为基础的产业集群环境中行动者要创新，就要从外部获取

或动用他人所拥有的资源。

因此，本研究从新经济社会学的网络视角对集群创新展开研究。其优点，一

方面，利用网络分析，可以增进我们对社会经济行动及其过程的理解；另一方面，

利用网络分析可以很好的分析事物发生过程的因果机制；最后，可以衔接微观、

中观的分析层次并进行量化分析。

集群创新最终还是体现在企业的创新行动上。集群的创新是由众多企业创新

所构成，单个企业的创新能力（尤其关键企业）状况直接影响到集群整体的创新

效能。在微观层面，关注创新主体也即各个节点所代表的企业。主体在网络结构

中的位置会直接影响到其经济行动，如资源的获取、集群内知识扩散的效果等。

用来衡量行动者位置对经济活动的影响的可量化的变量在网络分析中，即为“中

心性”概念。它是用来量化互动关系之中的权力维度，相关指标有点度中心性

(degree centrality)，中介中心性(betweenness centrality)等

结构是由各个节点与关系构成的，各个节点对集群创新的作用，是通过彼此

间的各种连接构成整体后实现的。微观层面的企业创新上升到中观层面的集群创

新，即是通过“关系”连接的各个节点所构成的集群网络结构，整个经济行动都

是嵌入在成员的关系模式之中，也即网络结构中，而网络结构的特征将对集群内

知识创新的扩散与集体学习之效果有直接的影响。而且网络结构的差异也直接影

响到集群的持久竞争优势。本研究从两个特征维度来展开对集群创新的影响研究：

凝聚性与网络范围。其量化指标分别为“网络密度”(Network density)(Borgatti,

Everett, & Freeman, 2002)与“有效规模”(Effective size)(Burt,1992)

本研究在集群、创新、网络等已有研究作为本研究的理论指导下，以苏州的

电子信息制造业集群为个案研究探讨集群内企业的网络位置(position)以及集群网

络结构(structure)对创新的影响。运用社会网络分析方法，突破把创新局限在微观

层次的企业创新而上升到中观层次的集群创新，以期许能更好的把握集群创新的

内涵。另外，本文提出了“马歇尔均衡悖论”。马歇尔均衡悖论，指集群内知识

流动的长期均衡性特征与短期的非均衡性、选择性特征不一致。在众多文献里，

学者们过多关注的是集群所带来的优势、创新功能。也即只要认为企业只要在集

群的氛围里，就会有集群外部性而带来的好处。其潜在的假定是有用的知识在集

群里是均匀、免费的扩散，也即是所谓的马歇尔式的“产业空气”。而本文借助

网络分析工具分析发现，在短期内知识在产业集群的行动主体之间的流动呈现空

间非均衡性、选择性，主体互动呈现派系的特征。

所构建的网络位置变量包括点度中心性(degree of centrality)、中介性中心性

(betweenness of centrality) (Freeman,1977,1979)；网络结构从两个关键维度来衡量：

社会凝聚性(social cohesion)和网络范围（network range）(Burt,1992)，并引入吸收

能力(Absorptive Capability)(Cohen & Levinthal,1990)以探测吸收能力对集群创新的

中介效果。最后本研究基于以上结论后，给出适宜的政策建议及其后续的研究课

题。

关键词：集群创新网络苏州 IT 产业

ABSTRACT

"The Eleventh Five-year" planning program shows the core of regional economic

development strategies to foster the development of new and enhance the use of existing

competitiveness, and strengthen the ability to innovate under cluster-based economy

circumstances in order to maintain the sustainable development of the regional economy.

In the first five-year plan, independent innovation was identified as the country's basic

development strategy, and "industry clusters is an important carrier of independent

innovation.”(Gu Qiang, 2005) Therefore, research on innovation of industrial clusters is

pretty important and very meaningful on innovation-based regional economic

development, and local industrial cluster transformation and upgrading during the

periods of "The Eleventh Five-year” planning.

Porter (1990) in the "national competitive advantage" states that the national and

regional competitive advantage depends on industry competitiveness of the country or

region. And external economic, innovation and cooperation from industrial clusters is

the important driver for the promotion of regional industry competitive advantages

(Feser & Bergman, 1999;Huang huaye, Nieming, Sun Lijun, 2003). the formation,

development and upgrading for regional industrial clusters have become an important

key approach and research issue to improve the competitiveness of region (Dahl,2003;

Steiner,2001; Rey,2000; Bergman & Feser, 1999). Hill & Brennan (2000) clearly stated

that in a competitive industry clusters, driving industry and its integrated downstream

industries can drive regional economic development, but also an important strategic

move for enhancing the competitiveness of the region under globalized economy. And

the cluster competitive advantages rises from its innovation function.

However, at present the majority of our industrial clusters’ development are still in

the state of low- road stage (Wang Jici, 2004), in order to achieve cluster’s innovative

functions and its upgrading within the global chain value (GCV)(Zhang hui,2006),the

research is of great practical significance, especially, more important and urgent for

Multinational-dominated clusters, as the less academic studies.

Although many existing research about industry clusters innovation, but most of

the researchs focused on the clusters of innovation system (Liu youjin,2002; Weijiang,

2002,2003), the innovative model studies (Wu xiaobo, 2003) and the others’ explore

qualitatively into cluster innovative mechanisms from different perspectives. But their

research mainly to explain the phenomenon of cluster competitive advantages, failed to

explore the nature of the source of cluster innovative advantages. Either from the macro

or meso level, explored the entire cluster innovation system with taking cluster

innovation as a closed research object, they only concerned with the input and output of

clusters innovation, and ignored the process of innovative activities occured. Therefore,

there is no depth behind the phenomenon to grasp the true essence of innovation

clusters.

Based on previous studies, the paper researches cluster innovation from the

"micro-process + meso structure" research cutpoints. On the one hand, embedded theory

of new economic sociology states that any economic action is embedded in the

dynamical and specific models of social relationships or social structure. And

meanwhile object’s structure determines its functions. Thus the network structure, as the

source of cluster competitive advantage, determines its strength and sustainability.

Network structure perspective is to analyze the various formal and informal links

between various network nodes, which will help us grasp the interplay and interaction

between all factors during overall process of clusters innovation. Thus deepening the

understanding of the nature of clusters innovation, a more in-depth grasp of the industry

clusters’ source of competitive advantage. On the other hand, economic action is the

micro basis within the industry clusters of economic activity. Therefore, this study

focused not only on the economic action of micro-economic process but also concerned

about the meso structure, formed by nodes and its linkages, of influence to economic

activities. it is called "unfolded research”, which is completely different with the

existing “Top-down” logic constructed by existing cluster innovation literatures. Third,

what innovation reflects is the bottom-up creativity (Wang jici, 2001). It is crucial to

explore the micro-mechanisms of cluster innovation in order to grasp its essence. In

addition, absorption capacity is the most crucial factor; impacting firm gets access to

external transferred knowledge. Therefore, the paper will analyze the influence of the

absorptive capacity to cluster innovation.

"Innovation" still is the core of our in-depth understanding of cluster innovation.

Cluster is just an external and objective milieu for innovative activities, but placing the

innovative activities of enterprises into a particular space with a multiple relationship.

And innovation can be defined as: Innovation is the results of manufacturers effectively

use both existing resources and potential available resources, and also is dynamic

process of knowledge flows and resources activation. The paper summarizes cluster

innovation as of "micro-process + meso structure" to exchange resources through

network interaction to achieve new value-added, which is a dynamic process of network

learning. Although each actor enters into the specific network with different resources,

actor’s toll resources are a function with actor’s own resources and external resources he

can get access to. Therefore, in order to innovate, actor has to get or employ external

resources under cluster environment based on the division of knowledge.

Therefore, the paper processes the study from the neo-economic sociology

perspective. on the one hand, network analysis can enhance our understanding of the

process and its socio-economic action; On the other hand, network analysis can

effectively analyze mechanisms of the process; finally, integrate the micro, meso-level

analysis and take quantitative analysis.

Clusters of innovation eventually embodied in the innovative actions of enterprise,

and constructed by various firms’ innovation. Each firm’s innovative capacities

(particular flagship enterprise) directly affect the overall cluster innovative capabilities.

At the micro-level, the main concern is that the innovation actor, that’s nodes, its

position in the network structure will directly affect their economic actions, such as

resource acquisition, knowledge diffusion etc. within the cluster. Quantifiable variables

for this measurement in network analysis, is the "centrality”. It is used to quantify the

interaction of the power dimensions, the relevant indicators includes degree centrality,

betweenness centrality etc.

Structure is constituted by various nodes and the relationship of each node, whose

role of cluster innovation is through their mutual connections to the achievement of the

overall composition. Micro-level enterprises innovation move up to the meso level of

clusters innovation, namely through the "relationship" between the various nodes in the

cluster network posed structure of the entire economy are embedded in the relationship

between members of model, namely the network structure, and the features of network

structure will not only affect directly the diffusion of knowledge innovation and the

effects of collective learning but also the differences between network structure will

have a direct impact on the cluster’s sustainable competitive advantages. The study

carried out from two dimensions: social cohesion and networks range. Its quantified

indicators are "network density" (Network density) (Borgatti, Everett, & Freeman, 2002)

and "effective size" (Effective size) (Burt, 1992) respectively.

Based on previous studies of cluster, innovation, network in clusters, as a

theoretical underpinnings, This paper explores the relationship between the network

positions of firms within cluster, network structure and cluster innovation through the

social network analysis. We adopt a social network analysis approach, can more better

grasp the connotation of cluster innovation through going beyond the micro-level

analysis of innovation, that allows us to construct sociometric variables: degree

centrality, betweenness centrality (Freeman, 1977, 1979), and two network structure

variables includes social cohesion and network range (Burt, 1992) to examine the

supposes concluded, and meanwhile introduce into the Absorptive capability (Cohen &

Levinthal, 1990) concept to explore its go-between effects on cluster innovation based

on based on the empirical study of Suzhou IT cluster.

In the end, the paper provides some suggestions for policy-maker and the future

research.

Key Word：Cluster innovation, network, Suzhou IT

摘要

ABSTRACT

第一章绪论 .......................................................... 1

§1.1 研究背景及现状 ............................................... 1

§1.1.1 研究背景 ................................................. 1

§1.1.2 研究现状 ................................................. 5

§1.2 研究目的、意义及视角 ......................................... 9

§1.3 研究的范围 .................................................. 12

§1.4 研究的创新点 ................................................ 13

§1.5 论文的架构 .................................................. 14

第二章一般理论研究 ................................................. 15

§2.1 集群创新 .................................................... 15

§2.1.1 集群 .................................................... 15

§2.1.2 集群创新 ................................................ 19

§2.1.3 集群创新逻辑 ............................................ 25

§2.1.4 集群创新扩散 ............................................ 34

§2.2 网络 ........................................................ 41

§2.2.1 集群网络 ................................................ 41

§2.2.2 社会网络分析法 .......................................... 45

§2.2.3 网络分析工具与创新研究 .................................. 47

§2.2.4 网络与集群 .............................................. 53

§2.3 吸收能力 .................................................... 56

§2.3.1 吸收能力概念 ............................................ 56

§2.3.2 集群吸收能力 ............................................ 57

§2.3.3 吸收能力的衡量 .......................................... 58

第三章研究方法 ..................................................... 60

§3.1 研究架构 .................................................... 60

§3.2 变量操作性定义与衡量 ........................................ 61

§3.2.1 非网络变量 .............................................. 61

§3.2.2 网络变量 ................................................ 64

§3.3 问卷设计 .................................................... 66

§3.4 分析方法 .................................................... 67

§3.4.1 网络分析方法 ............................................ 67

§3.4.2 资料收集方法 ............................................ 70

§3.4.3 基本资料分析 ............................................ 71

§3.5 效度与信度分析 .............................................. 75

§3.5.1 变量信度分析 ............................................ 75

§3.5.2 变量效度分析 ............................................ 77

第四章研究假设 ..................................................... 79

§4.1 集群内部知识网络 ............................................ 79

§4.1.1 对外开放度与集群吸收能力 ................................ 79

§4.1.2 吸收能力与集群内部知识网络 .............................. 79

§4.1.3 知识子群与知识网络结构 .................................. 80

§4.2 网络结构位置与创新 .......................................... 80

§4.2.1 网络位置与集群创新 ...................................... 81

§4.2.2 网络结构与集群创新 ...................................... 83

§4.3 吸收能力与集群创新 .......................................... 85

§4.4 本研究假设汇总 .............................................. 86

第五章研究结果 ..................................................... 87

§5.1 苏州 IT 产业集群 ............................................. 87

§5.1.1 苏州 IT 集群的形成与发展 ................................. 87

§5.1.2 苏州 IT 集群的现状及特点 ................................. 88

§5.2 集群内知识网络 .............................................. 92

§5.2.1 结果及分析 .............................................. 93

§5.2.2 小结 ................................................... 101

§5.3 网络位置、结构与集群创新 ................................... 102

§5.3.1 描述统计分析 ............................................ 102

§5.3.2 统计检验结果分析 ....................................... 111

§5.3.3 吸收能力的中介效果分析 ................................. 118

§5.4 小结 ...................................................... 119

第六章研究结论及建议 .............................................. 122

§6.1 全文基本观点 ............................................... 122

§6.2 苏州 IT 集群未来发展建议 .................................... 124

§6.3 研究不足之处及未来研究展望 ................................. 126

附录一研究问卷 ................................................... 128

参考文献 ........................................................... 132

在读期间公开发表的论文和承担科研项目及取得成果 ..................... 141

致谢 ............................................................. 142

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摘要：

摘要“十一五”规划纲要里反映出区域经济发展战略的核心是如何在集群经济环境下培育开发新的和提升利用现有的竞争力，增强自主创新能力，以保持区域经济的持续发展。而在第一个五年规划中，自主创新被确定为国家的基本发展战略，而“产业集群是自主创新的重要载体。”(顾强等，2005)因此，研究产业集群的创新对在“十一五”规划期间区域经济的创新式发展，及其地方产业集群的转型和升级具有非要重要的意义。波特(1990)在《国家竞争优势》一书中指出国家和区域的竞争优势取决于该国或区域内产业的竞争力；而产业集群所具有的外部经济、创新与合作竞争效果等正是促进区域产业竞争优势提升的重要动力。促进区域内产业集群的形成、发展和...

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