中国技术创新影响因素的行业差异研究——以高技术产业为例

本文利用中国16个高技术行业的面板数据,对高技术行业的技术创新影响因素进行了实证分析,不仅研究了R＆D投入对高技术行业技术创新的影响,还考虑了行业融资结构、所有制结构、企业规模以及市场集中度等因素的影响作用。实证结果表明,R＆D投入是高技术产业技术创新的主要影响因素;技术创新的融资结构对高技术产业技术创新能力有显著影响,政府资金和金融机构资金在技术创新融资中的比例增加不利于提高高技术企业的技术创新能力;企业的产权制度改革对高技术行业技术创新能力有明显的促进作用;行业内的企业规模越大、市场集中度越高对高技术行业技术创新能力的正向影响越显著。     

GAUGING THE SOURCES OF GROWTH OF HIGH‐TECH AND LOW‐TECH INDUSTRIES: THE CASE OF KOREAN MANUFACTURING*

Literature argues that the source of growth for high‐tech industries emanates from technological progress, while that for low‐tech industries comes from technical efficiency improvement. Also, some empirical studies have shown that technological progress is often accompanied by deterioration in technical efficiency. The focus in this study is to discuss a methodology and test the above two hypotheses with regard to Korean manufacturing data from 1970 to 1997. The study found that the 2.5 per cent average annual rate of technological progress during this period was the major contributor to total factor productivity (TFP) growth in Korean manufacturing whereas technical efficiency grew by a modest 1.1 per cent per annum. The analysis also showed that technological progress was responsible for TFP growth in both high‐tech and low‐tech industries and that both technological progress and technical efficiency improvement co‐existed in the case of Korean manufacturing industries.     

Firms' Innovation,Public Financial Support,and Total Factor Productivity: The Case of Manufactures in Peru

Based upon an adjusted Crepon–Duguet–Mairesse (CDM) model, this paper analyzes the relationship between investment intensity, public financial support, innovation, and total factor productivity (TFP) for a sample of manufacturing firms of Peru with data obtained from the 2004 survey of science, technology, and innovation (STI) activities. The estimation of the model indicates that large firms are more likely to invest in STI activities and firms' size increases the probability of producing technological inovation (TI) and non‐technological innovation (NTI). STI firms' investment intensity and public financial support have also helped manufacturing firms to increase the probability of producing TI outcomes. Further, such support may have increased firms' investment on STI activities. The innovation effects on TFP, however, were statistically not clear or robust. Thus, whereas investment intensity did increase firms' TPF in low‐tech manufacturing firms, this is not the case for high‐tech firms. For this group of firms, relatively high capital–labor ratio and the availability of a high level of human capital seem to promote higher levels of TFP.     

Innovation strategy of local pharmaceutical firms in Korea: a multivariate analysis

This article examines 37 local pharamaceutical firms in Korea to identify different patterns of innovation behaviour associated with four types of firms, which are categorized by two variables: the scale of operation and technological capability. Both bivariate and multivariate analyses support the hypotheses that these four types of firms exhibit different innovation strategies and in turn the level of performance they achieved. Specifically, large firms with high technological capability diversify their efforts, investing in their own R & D and tapping foreign capabilities, and as a result exhibit the highest degree of innovativeness, while large firms with low technological capability resort primarily to the transfer of foreign technology for short-term profitability. In contrast, small firms with high technological capability rely mainly on their own R & D efforts with the assistance from local R & D institutes and enjoy the highest growth rate, whereas small firms with low technological capability imitate technologically low-grade products by hiring experienced technical personnel from other firms. There are also fragmented indications that many local firms have long evolved from small firms with low capability to large firms with high capability. Finally, managerial and theoretical implications for the innovation strategies in LDCs/NICsE are discussed.     

Innovation strategy of local pharmaceutical firms in Korea: a multivariate analysis

This article examines 37 local pharamaceutical firms in Korea to identify different patterns of innovation behaviour associated with four types of firms, which are categorized by two variables: the scale of operation and technological capability. Both bivariate and multivariate analyses support the hypotheses that these four types of firms exhibit different innovation strategies and in turn the level of performance they achieved. Specifically, large firms with high technological capability diversify their efforts, investing in their own R & D and tapping foreign capabilities, and as a result exhibit the highest degree of innovativeness, while large firms with low technological capability resort primarily to the transfer of foreign technology for short-term profitability. In contrast, small firms with high technological capability rely mainly on their own R & D efforts with the assistance from local R & D institutes and enjoy the highest growth rate, whereas small firms with low technological capability imitate technologically low-grade products by hiring experienced technical personnel from other firms. There are also fragmented indications that many local firms have long evolved from small firms with low capability to large firms with high capability. Finally, managerial and theoretical implications for the innovation strategies in LDCs/NICsE are discussed.     

International Technology Transfers and Competition*

This paper analyzes North–South technology transfers in a model of oligopolistic competition and spatial product differentiation. Two firms in the North supply a high‐tech good and a technically related low‐tech good. They decide about licensing the low‐tech good to suppliers in the South. With the license Southern firms get access to technology from the North, which enables them—with a certain probability—to enter the market for the high‐tech good. Northern firms may therefore license strategically to influence the competitive environment in the high‐tech market. In this setting, multiple equilibria with and without licensing may arise, and the resulting outcomes may be inefficient from the viewpoint of the Northern firms.     

事件冲击力对高技术企业研发绩效的影响

以高技术企业为研究对象，运用实证研究方法，从事件系统视角考察事件冲击力对企业研发绩效的影响机理，并探讨动态能力对该作用过程的影响。结果发现，市场事件冲击力、制度事件冲击力、技术事件冲击力3个维度特征“重要性、新颖性和中断性”均对高技术企业研发绩效具有正向促进作用。动态能力则调节上述影响机制的某些方面，在部分情况下，事件冲击力对高技术企业研发绩效的影响水平受企业动态能力水平的调节。     

A pattern of enhancing innovative knowledge capabilities: Case study of a Chinese telecom manufacturer

During the 1990s Chinese telecommunication (telecom) manufacturing firms attempted to enhance their innovative knowledge capabilities by concentrating efforts on technological importation and assimilation. In order to improve indigenous technological innovation capability, Chinese firms enhanced their capabilities by accumulating and reactivating firm-specific knowledge. This paper attempts to explore the growth trajectory of some Chinese telecom firms' technological capabilities. Often the catching-up of a firm's technological capability is a trade-off process between the frequent accumulation of technical knowledge and the infrequent leapfrogging of the comprehensive technological capability. To explain the catching-up trajectory of technological evolution the Chinese telecom manufacturing sector was selected. A conceptual framework of the catching-up of technological capabilities is proposed. The framework and the implicit logic of technological catching-up are analyzed through a theoretical lens. A detailed empirical study of a Chinese telecom manufacturer is then presented to validate the capability catching-up pattern.     

中国典型高技术产业创新驱动模式

创新驱动战略是新常态背景下我国重要的发展战略,高技术产业是我国实现科技创新的核心产业,在推动科学技术创新和促进产业结构转型升级方面起着重要作用。以北京市为例,利用北京市1997、2002、2007和2012年投入产出表,对4个典型高技术产业的投入结构、产业关联特征进行了实证研究,并引入修正的影响力系数和感应度系数,归纳了我国高技术产业的创新驱动模式：人力资本驱动特征日益显著;对经济的驱动模式以需求拉动为主;产业内互动模式以产业后向关联为主。基于实证研究结果,提出了政策建议：实施差异化的创新人才战略,增强高技术产业供给支撑作用,促进高技术产业内部双向融合发展,基于产业政策立法建立稳定的科技产业政策支持机制。     

Technology mining for small firms: Knowledge prospecting for competitive advantage

Successful small businesses effectively use outside information. High tech small firms are designed to be flexible and innovative. They are often built upon a successful innovative product. These organizations are challenged to remain innovative in a fast-paced competitive environment. However, they face constraints due to the costs associated with the development of continuous innovation. This paper presents technology mining as a method to aid small firms in remaining knowledgeable about innovative ideas. In doing so, the authors present findings from a small high tech company whose issues are typical of other small high tech firms. Areas for improvement and recommendations to address those areas are also presented for review and further reflection.     

China's export tax rebate and the duration of firm export spells

Using a survival analysis technique, this paper investigates the impact of the export tax rebate (ETR) on duration of the firm, country/destination, and product (F–C–P)‐level export spells in China. Empirical analysis of a large dataset that covers the 2001 to 2013 period shows that the effect of ETR on duration of export spells of Chinese firms is large and statistically significant. A 1 percentage point increase in ETR rate increases the duration rate of F–C–P relationships by 23.2%. Furthermore, compared with the high‐tech firms, low‐tech and middle‐tech firms experience a larger increase in the duration of export spells in response to increase in China's ETR. Firm ownership‐based analysis shows that an increase in ETR leads to a larger increase in export spells of privately owned firms than the export spells of state‐ and foreign‐owned firms. These findings have important policy implications for the design and implementation of China's ETR policy.     

基于价值网的科技成果转化服务平台运行机制研究

科技成果转化服务平台在创新体系中发挥着越来越重要的作用,发展中存在的问题也日益显著。科技成果转化服务平台如何有效运行是科技资源管理和实践研究的典型问题,在分析科技成果转化服务平台研究现状的基础上,从价值网模型的内涵出发重构了成果转化服务平台,明确了各运营主体的职责和价值运转关系,有效解决了运行模式不清、平台运转效率低下等问题。然后,对基于价值网的成果转化平台运行特征进行了分析,进而对基于价值网的科技服务平台运行机制进行了研究。     

The cost of capital,finance and high‐tech investment

Investment is the most volatile component of aggregate demand and it is often considered central to business cycles fluctuations. The responsiveness of business investment to changes in its price is thus crucial to our understanding of economic activity. In spite of the key role played by the user cost of capital in economic analysis, there is little empirical support for the existence of substantial user cost elasticity. However, most of the evidence to date is based on aggregate user cost data, which may have introduced downward biases in the estimated user cost. This paper contributes to the literature by constructing a disaggregated, industry‐specific micro user cost variable and focusing on a special class of firms – the high‐tech firms. To provide a benchmark for the results, the user cost estimates for the high‐tech sector are compared with those for the rest of the manufacturing sector. The results suggest that there is little response of investment to variations in its user cost. The findings also suggest that high‐tech firms’ investment behavior is not, after all, that different from the rest of the manufacturing sector.     

国家高新区企业创新发展效应再认识

高新区作为有效带动区域经济发展的一类政策工具，受到决策者青睐。国家高新区对我国高技术产业乃至区域创新驱动发展的作用已获得各界共识，但关于其对企业创新发展绩效影响的研究尚不多见。以上海张江示范区为例，按照园区注册企业是否在园区内经营进行分类，从企业和园区两个层面选取变量进行实证分析。结果表明，张江示范区发展存在着只有“高新”而没有“园区”的情况，是否在园区内经营对企业创新发展没有显著影响，园区经营企业甚至在新产品方面表现更逊，企业创新显著受到园区创新政策的影响。国家高新区在发挥优惠政策激励的同时，更需要聚焦于科技成果转化，不断优化创业孵化链条、提升研究机构对区域创新的贡献度、加强园区产学研合作紧密度、建立科学的高新区考评机制，以引导园区健康发展。     

Productivity,innovation and convergence in Poland1

This paper provides evidence on factors driving productivity growth in the new EU member states, focusing on Polish manufacturing industries. The results obtained indicate that companies in Poland benefit significantly from transfer of technologies accumulated in more developed economies. No strong evidence is found on immediate technology transfer. The significant effect of domestic innovation activity is mainly due to its impact on the speed of convergence and is particularly strong in high‐tech industries, relatively privatized industries and industries initially further from the technological frontier.     

Technological upgrading in Taiwan's TFT-LCD industry: signs of a deeper absorptive capacity?

Firms from several advanced developing countries have successfully upgraded to higher levels of capability and competitiveness on the international stage. This study explores how leading Taiwanese latecomer firms acquired strong capabilities in the display (thin film transistor-liquid crystal display, TFT-LCD) industry. We identify how these firms acquired the technology base to catch up rapidly and move from one set of advanced products and technologies to another, focusing on both the accumulation of technological capabilities and the underlying absorptive capacity of each firm. Empirically, we distinguish three phases of capability building, namely pre-entry, entry, and innovation and diversification. Theoretically, we suggest that the notion of ‘latecomer’ absorptive capacity, centred on engineering and design rather than R&D, might explain both the rapidity of recent technological catch up and the diversification across products and technologies as latecomer firms approach the technology frontier.     

INTEL ECONOMICS*

This article presents an endogenous growth model that is designed to be roughly consistent with the experience of high‐tech firms like Intel. In the model, industry leaders invest in R&D to improve their products, small firms invest in R&D to become industry leaders, and innovating becomes progressively more difficult over time. Consistent with the empirical evidence, the model implies that economic growth is independent of economy size and R&D intensity is independent of firm size. For plausible parameter values, it is optimal to heavily subsidize R&D activities.     

Productivity growth from an international trade perspective

This paper presents a framework to assess the relative importance of three key sources of productivity growth that international trade research focuses on: (1) inter‐industry specialization; (2) intra‐industry reallocation of resources across heterogeneous firms; and (3) technological progress. We illustrate how to apply the framework by deciphering the productivity dynamics of the Swiss manufacturing industry. We find that intra‐industry reallocations are the most important source of growth in aggregate total factor productivity, spurred by the productivity growth of large, incumbent firms and the entry of new firms. Inter‐industry specialization and general technological progress, nevertheless, remain important supplementary sources of productivity growth.     

Technological Constraints,Firm Heterogeneity,and Location Choice of Multinational Enterprises

This paper aims to examine the relationship between the location choices of multinational enterprises and their productivity considering the North–South differences in regard to technological constraints. We find that home firms with the highest level of productivity choose to undertake foreign direct investment (FDI) in the developed countries and they choose to export to, rather than do FDI in, developing countries. This result explains why not many high tech industries exist in developing countries. Using Japanese firm level data, we also confirm that Japanese high tech firms tend to undertake FDI in developed countries, but hesitate to invest in developing countries empirically.     

Discontinuous innovation capability accumulation in latecomer natural resource-processing firms

Most of the studies that describe the building of innovation capability in emerging and developing economies have focused on the ways in which latecomer firms develop continuously towards advanced capability levels along existing technological trajectories, particularly for the assembled products industries, especially in Asia. A slightly different approach is adopted herein by focusing on pathways of discontinuous capability building of firms in natural resource-processing industries. By drawing on evidence from a variety of case studies taken from 13 forestry, pulp, and paper firms in Brazil in the period 1950-2007, it was found that: (1) in contrast with the majority of case studies reported in the literature, the pathways followed by firms in their accumulation of innovation capability involved a qualitative departure from the established technological trajectory at an early stage in the development of their capability; (2) the pathways of firms along the new technological trajectories were nevertheless characterised by a high degree of variability (from intermediate to world leading innovators) in terms of the levels and speeds of the accumulation of innovation capability; (3) firms that have attained progressively higher levels of innovative performance have more rapidly developed a combination of internal and external research-based arrangements in order to undertake increasingly complex, but firm-centred innovation efforts. This paper sheds some light on some of the discussions that relate to the role of natural resources in the patterns of industrial progress and growth in those countries endowed with particular natural resource-based industries. It also provides a methodological contribution to the study of the long-term innovation strategies that make use of the dynamics of capability building, especially within natural resource-processing industries.