层级式产业集群内部技术权力突破与创新升级研究

Since China has entered the stage of heavy and chemical industry, the key industry sectors may be about to change, and the main type, organization pattern, innovation mechanism and evolution rules of industrial cluster will also take place corresponding changes. On the one hand, the hierarchical structure and authority system will take place significant changes because of the increase of capital-intensity and Technology-intensity. On the other hand, with the key point of R&D transforming from consumer-driven (e.g., the ICT industry) to producer-driven (such as fine chemical engineering and equipment manufacturing industry), the control modes and tranfer methods of technology for core enterprises in clusters will also change a lot. Due to features of its own techonlogical system and by the reasons of organizational changes in R&D，production and sales, heavy and chemical industries clusters has more strict technological system and higher technological barrier, while having weaker technological spillover. Characters of cluster hierarchy and the related technological authority changes will be one of the important directions in analysing the upgrade of cluster innovation. Focused on the technology authority system and the hierarchy within the cluster, and with the case study of cascading-style manufacturing cluster, the project attempts to analyze the mechanism of technology authority to cluster innovation and upgrade. It applies the methods of structural analysis and questionnaire survey and find a new prospective, other than the traditional macro prospective of global value chain, of cluster hierarchy pattern. The research first compares the difference between the dimension of global and local in the formation, motivation and operation mechanism of technology authority. Then, it continues to study the difficulty of power evolution among various innovative entities within the clusters, with a game theory prospective of leader and follower interaction. Finally, the paper analyzes the interaction and coupling mechanism between cluster technological leaders and local innovators, with core study in leaders' methods of direct control, standardization, outsource and technological spillover. The field study mainly rooted in such cases of two classical cascading producers' clusters, as Shanghai Volkswagen Auto Cluster，LinGang Equipment Cluster and Nanjing Basf Chemical Cluster. Based on the findings from the cases, the author attempts to generalize the rules of cluster upgrade in advanced manufacturing industry in developing countries and regions, especially in terms of the technology authority relations, attendants' interaction and power evolution trend.

项目计划以集群内部的技术权力体系为研究对象，以典型的层级式制造业产业集群为案例，通过结构主义分析方法、问卷调查方法，突破全球价值链的宏观视角，从集群内部权力的等级形态入手，分析技术权力对集群创新与升级的作用机制。重点对比全球和地方二维尺度下技术权力形成、发展动因及运作机制的差异；并从集群内部技术领导公司操控、一般网络成员随从反应的视角，研究集群中各类创新主体技术权力地位演变的难易，权力行为的博弈；分析集群不同发展阶段技术领导企业如何通过直接控制、制定技术标准、环节外包、技术扩散和溢出等手段，实现与地方创新升级之间的相互作用与耦合；在田野调查的基础上，选取典型的层级式产业集群--上海嘉定汽车、上海临港装备和南京巴斯夫化工产业集群为案例，研究分析层级式集群内部的技术权力关系、权力各方的相互作用机制和权力演化方向，总结发展中国家和地区先进制造业产业集群创新升级的一般规律。

技术权力现象在层级式集群中十分常见。随着中国逐渐进入重化工业发展阶段，有必要探讨在产业结构由轻变重、技术要素重要性增加的情况下，层级式集群中技术权力如何形成、权力体系如何影响集群内部创新结网和企业间创新合作、集群创新的空间组织形式和创新区位是否改变、权力体系如何突破？这些都是当前中国集群创新研究不可回避的问题。.项目从技术权力视角出发，以国内外层级式产业集群为案例，研究技术等级体系下集群企业创新结网与合作方式的路径改变，并探讨集群创新区位的变化。主要研究内容包括：创新“二分法”及其对产业集群创新的影响；层级式产业集群创新的空间效应研究；技术权力在产业集群中的刻画及其动态影响。研究结果显示：①技术权力是影响层级式产业集群创新路径的重要因素，核心企业是权力主导者并对整个集群的创新具有“绝对控制力”；权力导致集群内部水平式创新结网困难，集群成员的创新合作沿产业链展开，过程创新重于产品创新、供应商依赖重于市场依赖。②层级式集群分布的弱地理邻近与空间尺度扩大是基于其产业技术特征和创新合作特点的“必然”：由于集群技术权力分层导致其创新外部性发生根本性改变，地理邻近非再必需，创新合作空间尺度由集群向区域层面拓展。③从网络结构看，作为典型的生产者驱动型和工艺驱动型集群，DUI是层级式产业集群创新结网的主要方式，创新合作的产业伙伴比知识伙伴更重要；从网络空间尺度看，STI和DUI的区域合作均重于本地合作，创新的地理邻近减弱，存在“集群假象”；从创新环境需求看，层级式产业集群对本地化的创新资源与政府支持需求度降低，地方政府优化创新资源禀赋和加大政策扶持并不能有效增强本地网络的创新能力。科学意义：厘清了微观尺度上技术权力对不同层级产业集群创新与升级的逻辑关系；提出了技术权力的测度方法，以及层级式产业集群内部创新网络的定量表达；在全球与地方情境下，探索了二维尺度下技术权力等级体系的地理空间刻画。