产业集群外文翻译.doc

产业集群外文翻译 Competition and cooperation in industrial clusterthe implication for fublic policyDavid NewlandsEuropean planning studies vol11No5 2003 25-31 产业集群中的竞争和合作应用于公共政策大卫纽兰兹欧洲策略研究20031125-31产业集群对不同理论的批判性解读21标准的集群理论从马歇尔Marshall开始马歇尔在他关于Sheffield Lancashire等其他英国地区的著作中认为外部经济的主要来源是共同的即个体企业在一个产业地区可能享有的基础设施和其他服务等Marshall 1921用现代术语来阐述例如增加的工作寻找和匹配机会更加便捷的融资渠道和企业之间的劳动力转移因为被吸引到这些地区的资本和劳动力开拓了更广阔的市场所以对大量的企业而言这些共享资源的可获得性提高了企业的规模和多样性这些反而导致了要素价格的减少或者要素生产效率的增加这就是在一个地区产业集群内企业获得外部利益的方式单位生产成本在一个产业区内将低于在产业区之外与他的产业组织理论类似的马歇尔在他的各种版本的经济学原理书中发展了标准的集聚理论之后的很多理论发展都是基于这个标准集聚理论例如Scitovsky1954进一步认证了无偿劳动的外部经济的种类Perroux1955发表了著名的增长极理论Chinitz1961将集聚经济设想应用于了纽约和匹兹堡的经济发展中更近地Krugman1991 1995开始强调增加收益的重要性外部经济发展的有利条件Porter1990也被理解在其著名的钻石理论中认为外部经济占有极其重要的位置 标准的集聚理论试图解释为什么企业会集聚在一起分享共同的商业服务和多样化的劳动力与当地企业建立广泛联系然而与新古典主义一致的是 二者都认为当地经济只是由很多微型商业所组成的集合体彼此之间通过价格或成本信号为媒介机制来观察尽管马歇尔已经预警在投入共享的发展过程中企业合作将面临日益钝化的竞争力风险但是企业之间还是不断地进行竞争在发展共同投入时风险将减弱竞争的力量22交易成本加州学派在加州学派的著作中生产力系统的分散性导致了企业交易成本的提高Scott amp Storper 1986 Scott 1988 Storper 1989市场和技术条件的变化增加了不确定性加大了劳动力和资本过剩以及被过剩技术锁定的风险对深化劳动力组织分散的反映导致企业外正常市场交易数量的增加甚至会增加交易的不确定性和复杂性实施特定交易类型特别是那些需要默契或相互信赖因此完全合同又是不可能的交易成本会随着距离不同而出现系统性差异因此集聚是最小化此类交易成本的产物因为此类最小化超过了其它生产成本的差异所以在交易成本的最小化超过其它生产成本差异时集聚就是最小化这些交易成本类型的结果加州学派试图对现存的经济集聚活动寻求解释他们争论的焦点集中于贸易依赖或者仅仅是投入和产出关系的本地根植性但最多也只是部分解释至少能很信服地给出好和坏集群之间的区别有高工资技术先进的产业低工资且技术停滞的产业同时也存在技术上很有活力但却缺乏新产业区应有的企业间联系和协调机构的产业然而市场是否会在协调集群内交易方面获得成功仍然是不明显的Cooke amp Morgan 1993交易依赖性管理正如我们所看到的市场商业一样也存在着市场失灵因此在缺乏适当的机构的情况下交易在劳动力市场在企业内部关系在创新和知识发展方面的将倾向于出现失灵Storper1995 p1995出于对集群内机构安排的担忧加州学派与提倡灵活专业化的专家制度和演化经济学家在某些观点上具有相似之处这两个学派在接下来将会被谈到23 灵活专业化信赖和非贸易相互依赖性新古典学派视企业为微型商业体企业间仅仅通过正常的市场信号来观察彼此现代产业区域理论强调企业间的相互依赖性灵活的企业边界和信任在创造和维系区域内经济主体之间合作的重要作用这个议题的文字记载最早出现在第三意大利Brusco1982的灵活专业化理论中但是之后Baden-Wurtemberg和其它地方得到拓展PioreampSabel1984灵活性来源于小企业和协助机构的合作网络这些网络允许主体之间信任感的建立而这个信任感恰恰是通向集群的现代途径的争论焦点这其中的推理过程是这样的在相互信任网络内企业得益于信息的相互交换特别是那些不能制宪的默契信息但是同时又受到规范企业行为的义务约束信任因此加强了企业间的利益关系其中的隐含假设是信任更有可能发生在地域上集中而不是分散的网络上Belussi1996企业间可能会为寻找新项目而进行合作或者由一个大的工程项目建立联系他们可能会合伙以获得更便宜的融资方式相互合作购买原料或主导共同研究一起计划并取得来自于公共物品上的技术上财务上等的服务然而尽管有这么多由信任建立或者加强企业间合作关系的例子但是因为这些企业仍然是私有企业集群内的企业间仍然存在着彼此之间的竞争这种竞争更关注于质量而不是价格在商业活动以地方政策地域和亲密的亲戚和朋友关系为条件的地区经济关系逐渐牢固以致发展成为更广阔的社会框架的现象是最普遍的因此最成功的区域往往是那些在民族和文化上和谐的区域往往不是偶然Harrison 1992p 479同样的民族非其它边界经济法律和政策传统是相关的由于劳动力市场运行机制和竞争政策的差异企业间的相互合作更有可能发生在在意大利这类的国家而不是英国等国家根据Granovetter 1985等的看法信任源于对经验的消化信任积累于企业和其它经济主体之间重复的相互作用他们不断的重复签订合同正式或非正式的进行交易相互帮助渡过危机信任源于经济主体对可信经验的学习过程私人接触加速了重复的相互合作而这反之也是依赖于时间和空间上的接近性这种关注于非贸易的相互依赖性形成集群与通过交易成本形成集群的方法是不同的后者关注于贸易关系的成本最小化而前者则更广泛地指向非市场或者非合同交易更广泛的优化过程 Raco 1999最后值得一提的非贸易相互依赖性虽然可以加强有效的集体学习和行动但同时也会造成阻碍特别是当熟悉的传统建立之后组织僵化就有可能乘虚而入区域就有陷入过时并且低效的技术和机构困境中24 创新环境创新环境小组GREMI Group在关于创新高科技产业和区域发展三者的关系上存在很多的流派争议其中一个派系关注于建立和发展类似于硅谷和128公路这样的高科技企业集群所需要的条件很多的因素都已经被确定争议最多的则是当地以研究性为主导的大学在其中所扮演的角色如在硅谷案例中的斯坦福在128公路中的麻省理工因此发起了一场关于创新研究性大学和区域经济发展之间关系的学术探讨Saxenian1985 Castells amp Hall1994 Storper1993另外一个研究方向则致力于创新环境设想既以区域经济学家Aydalot amp Keeble1988Camagni1995为代表的欧洲创新环境小组GREMI Groupement Europeen des Milieux Innovateurs的核心理论概念集群使企业从集体学习过程中受益通过有技能劳动力在当地劳动力市场的流动消费者供给者在技术和组织上的相互交换模仿过程等和非正式的咖啡店效应Camagni1991 p130这个过程依赖于内在的当地经济主体间的非正式接触组成了私人的面对面的相遇随机信息流消费者供给者合作等Camagni1991 p131然而对环境的精确定义至今存在一定的模糊性一些著作认为环境即是一系列的机构操作和指导协调创新活动发展框架的法律法规另一些专著则认为环境是企业研究机构和政策制定机构组成的为成功的创新提供必要协调的网络这些不同的阐释同抽象的环境定义一起是主要的问题来源因此欧洲创新环境小组总是不能确认环境促进创新的经济逻辑反之陷入了一个循环创新由于环境发生而环境则存在于有创新行为的区域他们并没有具体阐述这种环境运行的潜在机制和过程Storper1995 p 20325 制度和演化经济学一个更进一步的方法是来自于制度和演化经济学Nelson amp Winter1982 Amin amp Thrift 1992 Amin1999技术变化被视为路径依赖因为其涉及到连续的但不是同时的而且通常是不可逆转的抉择关于贸易和非贸易机构间的相互依赖选择存在多维空间后者包括促使当地经济主体之间知识发展和交流形成的法规和传统考虑到存在很强的不可逆性被观察到的集群在一定程度上产生于历史的偶然反映了过去抉择对现在的影响尽管它们的发展受到了压力机构出现和成长的影响这种方法在理解现代资本主义竞争性质方面取得了很多潜在成果Dosi et al1987标准的经济理论将竞争定义为在既定的一系列要素价格条件下最大化公司比较优势的生产可能性边界上的位置竞争是一种最小化或缺少垄断租的状态Nickell1996相反的以奥地利学派的观点为依托制度和演化经济学认为竞争是由一贯的技术变化所促进的经济变化过程因此如果创新是竞争的动力一个企业可能拥有比其它企业更先进的技术而不用考虑要素价格水平这种差别以弱竞争和强竞争或者熊彼特竞争而著称Hudson1999弱竞争涉及到在现有技术条件下生产现有产品寻求更低的成本而强竞争则是一种试图创造新的产品或开发新技术去生产现有商品的战略Industrial Clusters A Critical Reading of Different Theories21 Standard Agglomeration Theory From Marshall OnwardsMarshall in his writings on Sheffield Lancashire and other British regions viewed the main source of external economies as the commons the infrastructure and other services from which each individual firm in an industrial district might draw Marshall 1921 Examples include in modern terminology improved job search and job matching more favorable access to capital finance and inter-firm labor migration The availability of such common resources to a number of firms then enhances their size and diversity as both capital and labor are attracted to such areas to exploit the larger markets for their services This in turn leads to reductions in factor prices andor increases in factor productivities These are the ways in which the external benefit to firms of a location in the industrial district manifests itself Unit production costs will be lower within the industrial district than out with it Parallel to his studies of industrial organization in the various editions of his Principles of Economics Marshall 1890 1920 helped develop what was to become standard agglomeration theory This was then built upon subsequently by a number of writers For example Scitovsky 1954 identified a further category of pecuniary external economies Perroux 1955 contributed his famous theory of growth poles and Chinitz 1961 applied the notion of agglomeration economies to the economic development of New York and Pittsburgh More recently Krugman 1991 1995 has emphasized the importance of increasing returns as a favorable condition for the development of external economies Porter 1990 can also be understood as belonging to this lineage in the sense that external economies make up many of the key relationships within his famous diamond Standard agglomeration theory provides an explanation of why firms might cluster together sharing a commons of business services and a diversified labour force and forming extensive local linkages with other firms However it conforms to neo-classical theory in that local economies are viewed as collections of atomistic businesses aware of one another solely through the intermediation of pricecost signals Firms continue to compete with each other although Marshall was keen to warn of the risks that firms collaboration in the development of shared inputs risked blunting competitive forces 22 Transaction Costs The Californian School In the writings of the Californian school the disintegration of productive systems leads to an increase in firms transaction costs Scott amp Storper 1986 Scott 1988 Storper 1989 Changes in market and technological conditions have led to increased uncertainty and greater risks of over capacity of labour and capital and of being locked into redundant technologies The response of deepening the organizational division of labour leads to an increase in the number of formal market transactions external to the firm There may also be an increase in the unpredictability and complexity of transactions The costs of carrying out certain types of transactionespecially those where tacit knowledge is important or trust is required and thus complete contracting is impossiblevaries systematically with distance Thus agglomeration is the result of the minimization of these types of transactions costs in a situation where such minimization outweighs other production cost differentialsThe Californian school sought to explain observed agglomerations of economic activity The argument centered on the localization of traded interdependenciesor simple inputoutput relationsbut this is at best only a partial explanation not least in being unable to distinguish convincingly between good and bad agglomerations Agglomerations have been found in high wage technologically advanced industries and low wage technologically stagnant ones alike while there are technologically dynamic agglomerations which lack the dense inter-firm linkages and coordinating institutions of a new industrial districtNor is it clear whether markets will succeed in coordinating transactions within clusters Cooke amp Morgan 1993 The management of traded interdependencies is exactly what we think of as the business of markets but there may nevertheless be market failure Thus certain transactionsin labor markets in inter-firm relations in innovation and knowledge developmenttended to have points of failure in the absence of appropriate institutions Storper1995 p 199 With this concern for the institutional arrangements within clusters the Californian school came to share certain of the arguments of the flexible specialization theorists who are discussed next and the institutional and evolutionary economists who are considered shortly23 Flexible Specialization Trust and Untraded InterdependenciesWhile neo-classical economics views firms as atomistic businesses aware of one another only through formal market signals modern industrial district theory emphasizes the interdependence of firms flexible firm boundaries and the importance of trust in creating and sustaining collaboration between economic actors within the districtsThese themes arose first in the literature on flexible specialization in the Third Italy Brusco 1982 but was later extended to Baden-Wurtemberg and other regions Piore amp Sabel 1984 The sources of flexibility lay in collaborative networks of mostly small firms and supporting institutions These networks permitted the establishment of trust between actors a crucial argument within most contemporary approaches to clusters The reasoning is that firms within networks of trust benefit from the reciprocal exchange of informationparticularly tacit information that cannot be codifiedbut are simultaneously bound by ties of obligation which regulate behavior Trust thus reinforces mutually beneficial relationships between firms The implicit assumption is that trust is more likely to be sustained in geographically concentrated networks than more dispersed ones Belussi 1996 Firms may cooperate in seeking to get new work and may bid together on large projects They may form consortia to access cheaper finance They may jointly purchase materials and conduct or commission joint research They may plan together and receive technical financial and other services from the commons However despite all these examples of cooperative relationships founded on or reinforced by trust because they remain privately owned businesses firms within clusters continue to compete with one another and with other firms often more on quality than priceThe embedding of economic relations into a wider social framework appears to be most common where business activity is conditioned by local politics religion and close kinship and friendship relationships Thus it is probably not a coincidence that the most successful districts have tended to be the most racially and culturally homogeneous Harrison 1992 p 479 Equally national or other broader economic legal and policy traditions are relevant The development of inter-firm cooperation is more likely in some countries such as Italy than in others such as the UK because of differences in the operation of labor markets and competition policy According to theorists such as Granovetter 1985 trust arises from the digestion of experience Trust accumulates from repeated interactions between firms and other actors in which they contract and recontract formally and informally strike deals and help each other out at times of crisis Trust results from a process of learning through experience which actors can be relied upon Personal contact facilitates such repeated interactions and this in turn is likely to depend on proximity This focus on untraded interdependencies is very different to the transactions costs approach to agglomeration The latter concerns the cost minimization of traded relations while untraded interdependencies point to wider processes of the optimization of non-market or non-contract exchanges Raco 1999 Finally it is important to note that untraded interdependencies can not only facilitate effective collective learning and action but also impede it Especially where familiar conventions become well established sclerosis can set in Areas can become locked into outdated and inferior technologies and institutions24 Innovative Milieux The GREMI GroupThere have been various schools of thought on the relationship between innovation high technology industry and regional development One line of enquiry has focused on the conditions for the establishment and growth of such high technology complexes as Silicon Valley and Route 128 While many factors have been identified the most discussed is the role of local research intensive universities Stanford in the case of Silicon Valley and MIT in the case of Route 128 A large literature on the relationship between innovation research universities and regional development has been spawned Saxenian 1985 Castells amp Hall 1994 Storper 1993 Another direction of research has been in pursuit of the notion of an innovative milieu the key theoretical concept of the GREMI Groupement Europeen des Milieux Innovateurs group of regional economists Aydalot amp Keeble 1988 Camagni 1995 Clustering enables firms to benefit from a collective learning process operating through skilled labor mobility within the local labor market customersupplier technical and organizational interchange imitation processes and informal cafeteria effects Camagni 1991 p 130 This process draws upon an intricate network of mainly informal contacts among local actors made up of personal face-to-face encounters casual information flows customersupplier cooperation and the like Camagni 1991 p 131 However there is a certain ambiguity as to what precisely milieux are By some readings a milieu is a set of institutions practices and rules which provide a framework for development which guides and coordinates the activities of innovators By other readings a milieu is a network of firms research institutes and policy-makers which provides the necessary coordination for successful innovationThese different interpretations together with the very intangibility of milieux are the sources of major intellectual problems Thus the GREMI group has never been able to identify the economic logic by which a milieu fosters innovation There is circularity innovation occurs because of a milieu and a milieu is what exists in regions where there is innovation they do not specify the potential mechanisms and processes by which such milieux function Storper 1995 p 203 25 Institutional and Evolutionary EconomicsA further approach derives from institutional and evolutionary economics Nelson amp Winter 1982 Amin amp Thrift 1992 Amin 1999 Technological change is seen as path dependent since it involves sequenced and not simultaneous choices which are of