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基于知识溢出的邻近性对企业、产业和区域创新影响研究
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摘要
在知识经济的时代,由于资源主导的增长方式向创新主导的增长方式转变,提升创新能力已经成为我国调整产业结构、转变经济增长方式的中心环节。创新是经济发展的原动力,知识是创新的关键投入资源。知识资源是一种具有竞争性和部分排他性的公共产品,知识溢出是知识的自愿或非自愿流动、转移或扩散,知识溢出的外部性会给其拥有者带来损失,但是知识资源只有通过共同分享才能充分实现其价值,而且有利于创造新的知识和增加整体知识存量。生产、获取、扩散和应用知识的能力是提高创新能力的关键。法国邻近动力学派有关邻近性与创新关系的研究表明,国家、区域、产业和企业在地理、组织和技术上的邻近性及其相互联系有利于经济主体交互学习和获取知识并取得创新的成功。因此,对邻近性、知识溢出与创新的关系进行研究具有理论和现实意义。
     首先,文章介绍了邻近动力学派研究轨迹,在概括其研究原则和目的的基础上,对邻近性的内涵进行了界定。对组织合作框架下邻近性的地理、组织和技术邻近三个维度的内涵进行了拓展,具体而言,在地理邻近性上,经济主体之间的临时地理邻近和开放学习的思想态度也是获取外溢知识的重要方式;组织邻近性是指经济主体之间组织安排的密切程度。从交易费用理论分析,组织邻近是一种规制结构,它能降低知识溢出过程中的交易成本,抑制经济主体的机会主义行为,建立强弱适度的组织网络是知识溢出的重要制度保证;技术邻近性是指经济主体在知识基础上的相似程度,它是经济主体交流和获取外溢知识的前提。本文分析了知识的类型、知识溢出的内涵、途径以及在创新中的作用,从地理、组织和技术邻近性三个维度定性分析了邻近性对知识溢出与创新的影响机制。在地理、组织和技术邻近性的关系上,它们可以单独或者以组合的方式对经济主体的创新施以影响,利用数学公式推导了邻近性强度和创新绩效之间的关系。
     其次,文章对邻近性、知识溢出与企业集群创新之间的关系进行了微观模型分析。企业和其他相关机构在产业集群中具有“天然的”的地理、组织和技术上的多维邻近性。产业集群是企业获取外溢知识的最佳的空间组织形式。尽管多维邻近性对企业等经济主体的知识溢出和创新有多种好处,但是太少或过度的地理、组织和技术邻近对经济主体也有负效应。本文通过引入知识溢出参数和邻近性强度概念研究了企业在邻近性正负效应的权衡中实现创新绩效最优化的机制。具体而言,获得外溢知识是企业在地理上、组织上、技术上邻近的“向心力”,也就是说为了获得外溢知识,企业需要多方面邻近。在生产上,一方面企业从多维邻近性中能够获得外溢知识,提高要素的使用效率,降低企业的可变成本,另一方面,由于知识不是纯粹的公共产品,企业也需要承担获取知识的成本,多维邻近有利于企业通过分摊成本和共担风险的方式进行过程创新;在需求上,消费者多样化的偏好是企业从事产品创新的“牵引力”。产品创新需要新思想和新知识,但是企业过度邻近容易导致企业在技术上的“锁定”,企业为了提高消费者对自己产品的吸引力,企业有移到产业集群外围的倾向。因此,企业在集群创新中需要权衡邻近性的正负效应,在平衡中实现创新绩效的最大化。
     再者,本文以我国高技术产业为具体研究对象,从知识溢出的视角探讨了地理、组织和技术上的邻近对高技术产业创新绩效影响的理论机制及其经济效应。高技术产业是隐性知识密集、资源流动快和交叉程度强的行业,邻近性有利于知识在高技术产业之间溢出和流动。文章利用双对数型的区域创新生产函数,以我国省域的高技术产业的创新投入和产出数据,实证检验了地理、组织和技术邻近性对高技术产业创新能力影响效应,研究结果表明:高技术产业的创新绩效不仅与区域内部研发经费支出和人力资本投入有关,而且还与邻近区域的高技术产业的研发活动存在较强的联系,从而证实了地理邻近性(包括区域层面的地理邻近)在高技术产业之间知识溢出和创新中的重要作用;研发经费支出和人力资本投入在知识溢出中的作用不同,区域本身的研发经费支出产生了本地化知识溢出,但邻近区域的高技术产业的研发经费没有积极的溢出效应,并且邻近区域和非邻近区域的人力资本投资对知识溢出和创新具有显著的正向作用,这也证实了临时地理邻近中人力资本的流动在知识溢出中的重要性,同时也表明建立和完善区域之间高技术产业的组织网络,发挥组织邻近性在知识溢出作用的重要性;在技术非中性的条件下,高技术产业在相同的技术邻域进行专业化生产经营活动的极化效应也会影响创新的绩效,本文引入技术邻近性参数的实证表明:技术邻近性对知识溢出和创新存在显著的正向影响,但邻近地区的人力资本投入对创新的影响有所减小,这也表明技术邻近性和地理邻近性不是知识溢出的替换渠道,技术邻近性和地理邻近性是相互补充和相互交错的关系,它们共同对创新绩效施以影响。
     接着,文章分析了邻近性、知识溢出与区域创新体系建设之间的关系。区域创新体系内经济主体的相互作用以及区域与外部环境的相互联系决定了区域网络的价值和区域经济运行的质量。为了揭示出邻近性在区域创新体系建设中的重要作用,文章分析了区域创新体系的内外联系,分析了企业家的创业活动以及知识型新企业(NKBFs)在区域创新体系中的作用,从地理、组织和技术邻近性三个方面分析了邻近性对知识溢出和区域创新体系创新绩效的影响。在上述理论分析的基础上,以中关村科技园区为样本,实证分析了邻近性、知识溢出与区域创新体系建设之间的关系,研究结果表明:邻近性有利于企业家创业,并且高层次人才的创业活动,特别是留学人员创办的知识型新企业在中关村区域创新体系的内外联系和创新中发挥了重要的作用,因此,培育企业家精神、引进高层次的留学归国人员创业是区域创新体系建设的重要环节。
     最后,文章对邻近性、知识溢出与创新之间的关系进行了归纳和总结,从邻近性的视角分别提出促进企业创新、高技术产业创新和区域创新体系建设的政策建议。
In the knowledge economy era, enhancing innovative ability has become China's central link for adjusting industrial structure and changing economic growth pattern due to resource-led growth transferring to innovation-led growth pattern. Innovations are the motivity of economic development and knowledge resources are the key innovative input. Knowledge spillovers are the voluntary or involuntary mobility, transfer or diffusion of knowledge, whose externalities will cause losses to its owner. However, Knowledge resources, which are competitive and partly exclusive public products, can be fully realized their value only through the sharing of knowledge resources. And the sharing of knowledge resources is also conducive to the creation of new knowledge and the increase of overall knowledge stock. The ability to produce, acquire, diffuse, and apply knowledge is the key to improve the innovative ability. The research on the relationship between proximity and innovation by French School Proximity Dynamics shows that the geographic, organizational and technological proximity and their mutual contact among nations, regions, industries and firms are conducive to interactive learning, acquire knowledge and achieve innovative success. Therefore, studying the relationship between proximity, knowledge spillover and innovation is of theoretical and practical significance.
     Firstly, the paper introduces the scientific trajectory of the French School of proximity, and defines the connotation of proximity based on generalizing the principles and purposes of their research, and further develops the connotation of the geographical proximity, the organizational proximity and the technological proximity within the framework of inter-organizational cooperation. Specifically, in geographical proximity, the economic agents'temporary geographical proximity and their open learning mental attitude are important ways of access to knowledge spillovers; Organizational proximity refers to the close degree of organizations among economic agents, and it is a regulatory structure from the transaction cost theory, which can reduce the transaction costs of knowledge spillover process and inhibit opportunistic behavior of economic agents. Therefore, establishing the appropriate organizational network is an important institution for ensuring knowledge spillovers; Technological proximity refers to the similarity of the knowledge base in economic agents, and it is the premise of the economic agents exchange and access to knowledge spillovers. This paper analyzes the types of knowledge, the knowledge spillovers content, the approaches of knowledge spillovers and its role in innovation, and the mechanism of proximity effects on knowledge spillovers and innovation from the geographical proximity, organizational proximity and technological proximity. In the relationship among the geographic proximity, the organizational proximity and the technological proximity, they can be alone or in the ways of combination to impose on the impact of economic agent's innovation. The paper derives the relationship between proximity and innovation in mathematical method.
     Secondly, the paper makes use of microscopic economic model to analyze the relationship among proximity, knowledge spillover and firms cluster innovation. Firms and other relevant institutions have a "natural" geographical, organizational and technical multi-dimensional proximity in the industrial cluster. Industrial cluster is the best spatial organization that firms gain access to knowledge spillovers. Although the multi-dimensional proximity is benefit of knowledge spillovers and innovation for firms and other agents, but too little or too much geographical proximity, organizational proximity and technological proximity are also the negative effects on economic agents. The paper studies the optimization mechanism of the innovative performance in trade-off the positive and negative effects of proximity on firm's innovation through the introduction of knowledge spillovers parameters and the concept of proximity strength. Specifically, Access to knowledge spillovers is the "centripetal force" for firms in the geographical proximity, organizational proximity, technological proximity, that is to say, firms need multi-dimensional proximity in order to obtain knowledge spillovers. In production, on the one hand, the multi-dimensional proximity for firms can achieve knowledge spillovers, enhance the efficiency factor and reduce variable costs; On the other hand, firms also need to bear the cost of access to knowledge because knowledge is not pure public products, multi-dimensional proximity is conducive to process innovation through sharing the cost and the risk. In demand, consumer's diverse preferences are the "traction" that enterprises engaged in product innovation. Product innovation requires new ideas and new knowledge, but it is easily for firms to lead to "locking" in the technology because of too much proximity. Firms have a tendency to move to outlying cluster to improve the consumer appeal of their products. Therefore, firms need to balance the positive and negative effects of proximity on innovation in the cluster so as to achieve the maximum innovation performance.
     Thirdly, this paper studies the high-tech industries and discuses the theory mechanism and the economic effects of geographical proximity, organizational proximity and technological proximity on the innovation performance of high-tech industries. The High-tech industries are tacit knowledge-intensive, the degree of resource flowing fast and strong cross-industry, and proximity is conducive to knowledge spillovers and flows between high-tech industries. This paper examines the geographical proximity, the organizational proximity and the technical proximity effect on high-tech industries innovation by using double logarithmic production function type of regional innovation and innovative input and output data in China's provincial high-tech industries. The results show that:The innovation performance of high-tech industries is relevant to not only R&D expenditure and human capital investment within the regions, but also a strong links with its activities in the neighboring region, thus confirming the important role of the geographical proximity (including the geographical proximity in the regional level) on knowledge spillovers and innovation in high-tech industries. R&D expenditure and human capital investment have different roles on knowledge spillover. The regional R&D expenditures make localized knowledge spillovers, but the R&D funding for high-tech industries in the neighboring regions has no positive spillover effects, and the human capital investment in the neighboring regions and non-adjacent region's has significant positive effect on the knowledge spillover and innovation, which also confirmed the importance of the temporary geographical proximity in flows human capital and knowledge spillovers, but also implied the importance of the establishment and improvement of regional high-tech industries network of organizations and the roles of the organizational proximity in knowledge spillover. Under the technical non-neutral conditions, the polarization effects of the high-tech industries in the same field of technology for specialized production and management activities will also affect innovation performance. Under the introduction of technological proximity parameters, the empirical research on this paper shows that: Technological proximity shows a significant positive impact on knowledge spillover and innovation, but the human capital investments in adjacent areas have reduced the impact on innovation, which also shows that technological proximity and the geographical proximity are not a replacement channel for knowledge spillovers, the technological proximity and the geographical proximity are complementary and mutually staggered relationship, which together exert influence on innovation performance.
     Fourthly, this paper analyzes the relationships among the proximity, knowledge spillovers and regional innovation system. The interaction of the economic agents within the regional innovative system and the linkages with the external regions determines the value of regional networks and regional economic operation quality. In order to reveal the important roles of the proximity on the regional innovative system, the paper analyzes the internal and external links of regional innovative system and the role of the business activities of entrepreneurs and knowledge-based new firms (NKBFs) in regional innovation system. It discusses the proximity effects on knowledge spillovers and the innovative performance in regional innovative systems from the geographical proximity, the organizational proximity and the technological proximity. According to the above theoretical analysis, the paper empirically analyzes of the relationship among proximity, knowledge spillovers and regional innovation system, which based on a sample of the Zhongguancun Science Park. The results of the study show that:Proximity is conducive to entrepreneurship. Entrepreneurial activities of high-level talent, especially for the knowledge-based new enterprises founded by the returned students play an important role for the internal and external links in Zhongguancun regional innovation system and innovation. Therefore, fostering the spirit of entrepreneurship, introducing high-level overseas returnee's start-ups are important partes in the construction of the regional innovation system.
     Finally, the paper summarizes the relationship among the proximity, knowledge spillover and innovation. And it suggests the innovative policies on firms, high-tech industries, and regional innovation system from the perspective of proximity.
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