机会窗口、技术创新与后发企业超越追赶

近年来,进入超越追赶阶段的中国企业得到了广泛关注。文章以中国后发企业为研究对象,运用2012—2020年我国制造业上市企业的数据进行检验,探讨了机会窗口、技术创新对后发企业超越追赶的影响。研究发现,当所在产业出现技术机会和市场机会时,后发企业较容易突破技术或市场壁垒,促使后发企业实现超越追赶,进一步研究发现,后发企业通过技术创新缩小与行业标杆企业的技术差距后,机会窗口对后发企业进行超越追赶的驱动作用会更加显著。研究结论既丰富了机会窗口的动态性,又丰富了后发企业超越追赶的研究,对企业的实践有一定指导意义。     

组织学习的动态性与追赶企业的动态组织学习

在回顾有关组织学习不同类型及其动态性变化的文献基础上,根据发展中国家企业在技术追赶中的阶段特征,研究了技术追赶的阶段转换和组织学习动态变化之间的协调一致性规律,从而为发展中国家的技术追赶型企业组织学习动态管理提供理论参考。     

基础研究是否推动我国先进制造技术向国际前沿收敛——基于追赶阶段与技术子领域差异的分析

为探究加速我国先进制造技术差距收敛的有效途径，以技术追赶过程的阶段性和先进制造技术不同子领域的结构化差异为切入点进行实证研究，揭示基础研究在先进制造技术追赶过程中的作用机制。研究发现：相较于追赶阶段，基础研究在后追赶阶段显著促进我国先进制造技术差距收敛；基础研究知识成果产出吸引企业进行研发活动，推动我国先进制造技术差距收敛。进一步讨论发现，先进制造技术结构化特征影响基础研究对技术差距收敛的促进作用。因此，在后追赶阶段，准确把握技术追赶阶段变迁带来的机会窗口，强化基础研究是推动我国先进制造技术向国际前沿收敛的必要手段。     

技术追赶的迂回模式:基于探索与利用的拓展分析框架

基于对探索与利用两类组织学习的拓展分析,细化了后发企业在技术追赶不同阶段的学习与创新活动的互动关系,并提出了技术追赶的3类迂回模式。研究表明:工艺利用、产品利用、工艺探索和产品探索是技术追赶过程中4类主要的学习活动;根据后发企业开展学习活动的差异,技术追赶有技术迂回、市场迂回和曲折迂回3种模式。     

机会窗口、复合式战略与后发企业追赶——基于大华股份的纵向案例研究

基于中国本土化理论——复合基础观，以浙江大华技术股份有限公司（以下简称大华）为例，结合后发企业追赶需要考虑的重要情境即机会窗口，分析后发企业在追赶过程中，如何合理、灵活地采取复合式战略回应机会窗口，并利用机会窗口带来的发展机遇，实现从初始追赶到超越追赶再到行业前沿的追赶历程。研究发现，同一行业内不同机会窗口之间环环相扣、相互影响，某一机会窗口的出现也会触发其它机会窗口出现，进而引致整个行业机会窗口涌现；基于复合基础观视角，后发企业追赶路径的演变过程为：最初以技术模仿式创新为导向实现边缘赶超，继而以市场把握和扩张为导向实现商业模式创新，然后以全面协同创新为导向实现系统竞争力提升；后发企业通过实施复合式战略回应机会窗口的开启，能够帮助其更好地把握住发展机遇，实现追赶；与追赶路径演变相关联，随着企业内部资源与能力的积累，战略回应机制也相应地呈现为“被动回应—主动回应—引领拓展”的演变过程。     

后技术赶超时期创新赶超模式研究

当前，中国企业技术赶超活动已经进入“后技术赶超阶段”，不少企业开始调整技术追赶战略，以加快技术赶超进程。通过对中国高铁、通讯行业、汽车产业和芯片产业等系列产业的比较发现：要最终实现技术超越，必须实施自主创新战略，并构建适应产业特征和技术范式的创新网络。此外，还要充分利用技术追赶过程中的机会窗口，并根据产业特征、技术范式和竞争范式处理好政府与企业的角色定位。     

风险投资运作中的风险分析——导入期风险企业的风险分析与评价

一项高新技术的产业化 ,通常划分为四个阶段 :技术酝酿与发明阶段、技术创新阶段、技术扩散阶段和工业化大生产阶段。这也代表了风险投资投入的风险企业的四个发展阶段 :种子期、导入期、成长期和成熟期。每一阶段都有各自不同的特点和不同的工作重心 ,对所需资金的性质和规模有不同的要求 ,而且 ,各个阶段所存在风险的种类、特征和重要性也有较大差别。1.导入期风险企业的风险分析导入期是指技术创新和产品试销阶段。在该时期 ,风险企业开始试产试销 ,试产的目的是解决技术问题 ,并经过中试排除主要的技术风险。试销是为了确定产品的市场定…     

机会窗口、复合式战略与后发企业追赶——基于大华股份的纵向案例研究

基于中国本土化理论——复合基础观,以浙江大华技术股份有限公司（以下简称大华）为例,结合后发企业追赶需要考虑的重要情境即机会窗口,分析后发企业在追赶过程中,如何合理、灵活地采取复合式战略回应机会窗口,并利用机会窗口带来的发展机遇,实现从初始追赶到超越追赶再到行业前沿的追赶历程。研究发现,同一行业内不同机会窗口之间环环相扣、相互影响,某一机会窗口的出现也会触发其它机会窗口出现,进而引致整个行业机会窗口涌现;基于复合基础观视角,后发企业追赶路径的演变过程为：最初以技术模仿式创新为导向实现边缘赶超,继而以市场把握和扩张为导向实现商业模式创新,然后以全面协同创新为导向实现系统竞争力提升;后发企业通过实施复合式战略回应机会窗口的开启,能够帮助其更好地把握住发展机遇,实现追赶;与追赶路径演变相关联,随着企业内部资源与能力的积累,战略回应机制也相应地呈现为“被动回应—主动回应—引领拓展”的演变过程。     

产业技术追赶效果评价测度理论分析

基于现有文献,从理论基础和评价方法两个方面对产业技术追赶效果评价进行总结和概括。内生增长理论、国家竞争优势理论和比较优势理论为产业技术追赶效果评价提供了理论基础,基于这3种理论从技术能力与产业绩效两个方面对现有产业技术追赶效果测度方法进行梳理。分析结果表明,进行产业技术追赶效果评价时,应从测度范围、测度基准、测度维度3个方面综合考虑,后续研究应考虑将技术能力与产业绩效评价结果相结合进行综合分析。     

基于技术追赶的企业技术能力微观结构研究

在文献评述的基础上,界定了基于技术追赶的企业技术能力概念,剖析了企业技术能力微观结构。认为基于技术追赶的企业技术能力是指在致力于搜索、选择、获取、吸收和改进现有技术的过程中,有效地学习、积累和使用技术知识的能力。技术后进地区或国家的企业通过对技术知识的不断学习、积累和使用,企业技术能力沿着搜索、选择、获得、吸收、改进五阶段模式螺旋式上升。     

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.     

中国汽车企业技术追赶模式差异化的实证分析

鉴于主流技术追赶理论不能完全解释中国汽车企业的技术追赶实践,总结和分析了中国汽车企业的技术追赶模式及其绩效差异。研究结果显示:中国汽车企业在技术追赶中采取的是混合模式,具体模式包括合资主导模式、引进主导模式、引进辅助模式、自主开发模式和合作开发模式;技术追赶模式影响技术追赶绩效,按绩效从高到低对技术追赶模式进行排序,依次为自主开发模式、引进辅助模式、合作开发模式、引进主导模式和合资主导模式;采用同一技术追赶模式的企业不必然获得相似的技术追赶绩效;新兴汽车企业的技术追赶绩效明显优于传统汽车企业。     

基于产业创新系统的中、印、日技术赶超案例分析

通过回顾产业创新系统理论的研究文献,发现可将影响产业技术赶超路径的因素分为3个层面——知识技术、参与主体以及制度法规。结合产业技术赶超的作用路径,构建了机制模型,并以印度制药产业、中国生物产业、日本电子产业为例展开分析。结果表明:不同产业对知识技术投入、参与主体协同、制度法规制定的倚重程度不同;只有根据各产业的特点来选择技术赶超路径,才能充分发挥产业创新系统的驱动作用,实现技术赶超。     

核心元件产业追赶问题研究——以我国数控系统产业发展为例

以我国数控系统产业为例,对核心元件产业追赶问题进行了探讨。研究发现:在开放条件下,外部技术资源的整合和利用是产业追赶的技术基础,新技术轨道的出现为产业追赶提供了技术机会;结构性多层次的市场是核心元件产业追赶的重要资源,支持国产产品的需求拉动政策是降低市场壁垒的有效手段。     

On the evolution of technological specialization patterns in emerging countries: comparing Asia and Latin America

This paper explores the role of technological opportunity and cumulativeness in the evolution of technological specialization patterns (TSP) in catching-up processes. Concretely, I assume that opportunity induces mobility while cumulativeness leads to diversification and stability. The empirical analysis uses patent data indicators for nine Asian and Latin American countries between 1978 and 2012. The paper shows that, during economic liberalization (although with different timings), emerging countries caught up and redefined the path of technological accumulation for Asian and Latin American countries. With the exception of Hong Kong, all the countries increased their technology share, but they ran in different directions. Asian countries made greater relative efforts in dynamic technologies, while Latin American countries focused on stagnant technologies. In this sense, Asian countries achieved a more successful performance, building new technological bases and taking a technological leap in some of the more dynamic technologies. Meanwhile, Latin American countries left their technological bases unchanged. The paper also shows that, at the beginning of the catching-up cycle, the TSPs were turbulent. Afterwards, cumulativeness in the technological choice induced the diversification and stabilization of the TSPs.     

The evolution of a technological system: the case of CNC machine tools in Korea

Focusing on a product, this paper reconstructs the concept of technological systems first introduced by Carlsson and Stankiewicz (1991) in this Journal. Based on the model, we analyze the evolution process and performance of Korea's technological system for computer numerically controlled (CNC) machine tools as a catching-up case. The study shows that the length of 'learning period' for the system was substantial, even in a catching-up case. Especially, in the Korean case, the government played a 'macro-entrepreneurial' role in the molding of the technological system by giving legitimacy to the system, by mobilizing a nation-specific industrial organization of Chaebol system, and by enhancing the academia-industry-research institution links.JEL Classification: L52, L61, O30We thank two anonymous referees for very helpful comments and suggestions.Correspondence to: B. Carlsson     

Heterogeneous technology and the technological catching-up hypothesis: Theory and assessment in the case of MENA countries

Long run convergence implies that the convergence hypothesis will be rejected if the income differential is not stationary. However, this definition is valid only if the catching-up process between the two countries is already over. If we take into account catching-up dynamics, then poorest countries should obtain a faster growth than developed countries. Thus, income gaps should integrate decreasing time trends. We formalise this hypothesis theoretically using a stochastic neoclassical growth model with heterogeneous technology. We then apply this model to the issue of per-capita GDP catching-up of eight MENA countries towards the level of income in Europe. We approximate the nonlinear deterministic trend by a linear function with breaks and apply panel unit root tests with breaks. The analysis reveals firstly that the periods of divergence outnumber the periods of convergence. Secondly, since the year 2000 all countries but Syria have been converging toward the European per-capita income level.     

The role of domestic savings in outward-oriented growth strategies

This paper presents a theory of technological catching-up in which local savings plays a key complementary role to international finance and foreign technology. Until now, the literature has primarily emphasized “outward orientation” as the key ingredient of catching-up success. It has indeed been argued that countries which have relied intensively on foreign technologies, either through capital goods imports or foreign direct investment inflows, have been successful while countries which have opted for inward-oriented growth strategy relying on domestic investment and import-substitution strategies have been unsuccessful. In this paper, we develop a sequential model of industrialization in which domestic savings is key to the success of outward-oriented growth strategies. Indeed, internal finance helps to overcome time-to-adjustment constraints which occur in the early phases of the catching-up process when both advanced foreign technologies and backward domestic ones co-exist. In this model, external finance, though international borrowing, and domestic savings are complementary, not substitutable, in the course of technological catching-up.

Identifying technological capabilities with different degrees of coherence: The challenge to achieve high technological sophistication in latecomer software companies (based on the Bulgarian case)

The paper introduces the notion of coherence of technological capabilities. It argues that in analysing technological capabilities (TC) the analysis needs to go beyond investigation of constituent capabilities and should take into account the level of coherence among the constituent capabilities. The phenomenon of different degree of coherence of TC is detected while exploring the TC in Bulgarian software companies. Significant differences emerge between the TC of domestic-oriented vs. export-driven companies in the accumulation of constituent capabilities. But it is the analysis of the coherence of TC, which proved capable to capture the real differences in capability accumulation: strong coherence occurs only in ‘export’ TC. This analysis revives the debate about possibilities for leapfrogging by latecomers by developing software industries. Based on the results the study revises the ‘walking on two legs’ hypothesis and also points that the optimistic forecasts about the possibilities for leapfrogging by the latecomer countries by developing indigenous software industries might have been overestimated.     

R&D, TECHNOLOGICAL PROGRESS AND EFFICIENCY CHANGE IN INDUSTRIAL ACTIVITIES

The objective of this paper is to estimate total factor productivity growth (TFP) in an international and sectoral setting using two alternative approaches based on the estimation of parametric stochastic frontiers and non-parametric production frontiers (DEA). The TFP is decomposed into two components, technological progress and efficiency change, that can also be interpreted as the results of the innovation and catching-up process, respectively. Finally their relationship is tested with a set of potential explanatory variables that includes R&D expenditures, international competition, and structural characteristics. It appears that the distinction between technological and efficiency performances does matter and must be taken into account in the design of industrial policy.