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。     

从研发能力到创新绩效:技术整合与组织整合的不同角色

已有研究表明,研发能力对产品创新绩效有正向影响。为探讨二者之间的影响机制,分别选取技术整合和组织整合机制作为中间变量,对研发能力转化为创新绩效的过程进行研究,并以广东部分制造业企业为对象进行实证分析。结果表明,技术整合能力在研发能力影响产品创新绩效过程中具有中介效应;从组织整合机制子维度看,协调能力和社会化能力调节研发能力对技术整合的影响,同时,社会化能力在技术整合对产品创新绩效的影响中也具有调节效应。     

Knowledge spillovers,absorptive capacity and total factor productivity in China’s manufacturing firms

Applying the stochastic frontier framework, this study explores the diffusion and absorption of technological knowledge in China’s manufacturing firms, based on a panel of more than 10,000 local and foreign-invested firms over the period 1998–2001. Our empirical approach allows us to distinguish between technological progress (TP) and technical efficiency (TE) in analysing whether R&D, exports and the presence of foreign direct investment simultaneously enhance TP through knowledge spillovers in a single framework and whether different types of domestic absorptive capacity moderate external knowledge spillovers in relation to TE. The results show that there are positive inter-industry productivity spillovers from R&D and foreign presence, whereas evidence of intra-industry productivity spillovers from FDI to Chinese firms is less robust. We find evidence that absorptive capacity is one of the key determinants to quantitatively explain intra-industry differences in productivity of local Chinese firms. The findings have important policy implications.     

知识溢出支撑集群企业创新跨越研究

培育集群企业技术创新能力是产业集群竞争优势的主要表现形式,而企业是集群中最活跃的行为主体,单个企业的技术创新能力在很大程度上反映了一个集群的技术创新能力.知识溢出、集群企业吸收能力是产业集群创新的关键要素.首先对集群企业技术创新能力、知识溢出、集群企业吸收能力的相关文献进行了综述,在此基础上归纳本文的研究要素,明确要素之间的逻辑关系;针对当前集群企业的现实,从吸收能力视角提出了知识溢出支撑集群企业技术创新能力跨越的理论分析框架,并从隐性知识、显性知识、吸收能力与集群企业技术创新能力跨越进行了分析,知识溢出对集群企业提升技术创新能力具有促进作用,而这种促进作用的大小受到集群企业本身吸收能力影响,即吸收能力增强了知识溢出对集群企业技术创新能力的促进作用.     

不同产业技术背景的制造企业知识产权能力发展策略——来自丝丽雅、二重和长虹的案例研究

采用多案例研究方法,讨论了分别处于纺织行业、重型装备制造行业、信息家电行业的丝丽雅、二重和长虹这三家制造企业在全球化竞争中的技术能力发展路径,以及利用知识产权获得竞争优势的机会,进而给出了不同产业技术背景下中国制造企业的知识产权能力发展策略。研究表明:有重点地选择特定技术和产品开展持续的研发,是作为"后来者"的我国制造企业发展创新能力、获得后来者优势的有效途径;"后来者"企业有机会利用知识产权赢得创新所得,但不同产业技术背景的企业的知识产权能力发展策略存在较大差异。     

Born to flip. Exit decisions of entrepreneurial firms in high-tech and low-tech industries

This paper examines the way that the exit behavior of entrepreneurial firms is shaped by their innovative capabilities, and the technology environment in which they operate. We distinguish between exit by closing down activity and exit by merger or acquisition (M&A). Using a large sample of Dutch manufacturing firms, we explore the relationship between firm exit, age and innovative capabilities, in high and low innovation intensive industries. We find that for entrepreneurial firms, innovation may go some way towards compensating for the liability of newness, but also makes them more attractive M&A targets. More specifically, entrepreneurial firms in high-tech industries do not seem to improve their chances of survival by innovating; when technological change is rapid, innovation, especially in products, is necessary to participate in the innovation race in an industry, but is not sufficient to guarantee survival. In contrast, in low-tech industries, process innovation is a critical condition for the survival of entrepreneurial firms. In this context, entrepreneurial firms that are able to bring new product ideas, introducing ‘exceptional’ variations into a stable environment, are most likely to exit by M&A, thereby transferring their knowledge and capabilities to the incumbent firms.     

A Resource-based View of Innovativeness in Small Firms

The resource-based view is presented here as the theoretical framework for empirical research on the determinants of technological innovativeness in small firms. These determinants include the characteristics of the owner/manager (O/M) and the firm and some technological assets (resources and capabilities). Evidence based on case studies is used for the evaluation of their effect on innovativeness and their interaction. The study highlights the key role of the O/M and the importance of some of his/her characteristics. It also shows the impact of certain resources and capabilities. The O/M emerges as the orchestrator of resource accumulation and capability development in the innovative firms.     

A Resource-based View of Innovativeness in Small Firms

The resource-based view is presented here as the theoretical framework for empirical research on the determinants of technological innovativeness in small firms. These determinants include the characteristics of the owner/manager (O/M) and the firm and some technological assets (resources and capabilities). Evidence based on case studies is used for the evaluation of their effect on innovativeness and their interaction. The study highlights the key role of the O/M and the importance of some of his/her characteristics. It also shows the impact of certain resources and capabilities. The O/M emerges as the orchestrator of resource accumulation and capability development in the innovative firms.     

The Transfer of Resources and Competencies for Developing Technological Capabilities - The Case of Fujitsu-ICL

In the management literature and the literature on technology transfer, it is widely acknowledged that learning in general, and the leveraging of knowledge throughout firms in particular, is important. However, there appears little systematic evidence of what technology and knowledge is transferred between organizations and how this occurs. The literature also tends to neglect how firms use such technology/knowledge transfer to cultivate appropriate technological capabilities. This paper addresses this gap in the literature by examining the successful exchange of resources and competencies between Fujitsu and ICL, and how it helped to extend the technological capabilities of both firms. It traces the evolution of the relationship from that of a loose technology-sharing agreement to that of sustained project collaboration and partnership. This relationship proved to be enduring, and provides a road map for firms engaged in technology/knowledge transfer to develop their indigenous technological capabilities.     

Heterogeneity in learning processes and the evolution of dynamic managerial capabilities as a response of emergence of biosimilar market: evidence from the Indian pharmaceutical industry

ABSTRACT

This paper examines heterogeneity in the response of Indian firms to the emergence of a new segment in the pharmaceutical generics market – biosimilars. The necessary diversity of the knowledge base and regulatory requirements underlying biosmilar products have created significant technological capability and market access challenges for Indian firms. This is but the latest development which adds to an existing catalogue of challenges including the decline of the traditional generics markets, regulatory hurdles in advanced country markets and failures in managing new drug development. Using case studies of three Indian firms we show that dynamic managerial capability is a key driver of heterogeneity in learning processes involved in acquisition of technological capabilities for biosimilars and market access strategies. It further highlights the important role of pre-existing capabilities in enabling and constraining the development of new biosimilar capabilities.     

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.     

Indigenous technological capabilities,emerging market firms and the aerospace industry

While emerging market economies have developed significant technological capabilities and increased their share of global value-added in aerospace, they have done so largely through utilising foreign direct investment (FDI) and offset arrangements to enter supply chains that remain dominated by European and American firms. The paper examines whether emerging markets are developing indigenous technological capability in aerospace technologies. Drawing on patent data from the Thomson Innovation database, the study seeks to understand whether anchor tenant capability is indeed forming in emerging markets. A tech-mining method is applied. The study suggests that China, in particular, has dramatically increased its innovative capacity in the area. However, the data also demonstrate the significant advantages enjoyed by incumbent firms from Europe and the USA, suggesting that the complexity of aircraft R&D remains a formidable barrier that can only be surmounted by determined government policies and anchor firms equipped with substantial innovation capabilities.     

基于技术创新模式的我国风电装备制造业创新能力分析

全球风电市场的发展为我国风电设备制造业的发展提供了机遇和有利条件。分析了我国风电设备制造业的发展现状,对该产业所采用的技术创新方法进行了分类,归结为模仿创新、合作创新和自主创新3种模式。基于此创新模式分类,绘制了我国主要风电设备整机制造企业的技术能力演变路线图,总结了技术创新模式对企业创新能力提升的影响,并指出模仿创新模式和合作创新模式已经不能满足我国风电设备制造业发展的需要,我国风电设备制造业只有在积极引进消化吸收国际先进技术的同时,通过自主创新,提高技术创新能力,开发更多具有核心技术和自主知识产权的产品,才能抓住发展机遇,走出困境,做大做强。     

Technology transfer and innovation performance: Evidence from Chinese firms

This paper explores the relationship between technology transfer activities and innovation performance with special reference to Chinese industrial firms. It is based on a recent nationwide survey covering 2334 Chinese industrial firms. The impact of technology transfer on their innovative performance was analyzed for all the responded firms and similar analyses also addressed the issue from perspectives of general industrial firms versus high-tech firms, and large firms versus small and medium firms. Several critical types of technology transfer activities were identified and both positive and negative impacts were discussed along with the Pearson correlation analysis and stepwise regression analysis. The study revealed that the innovation activities in Chinese manufacturing firms could not be boosted substantially merely through the acquisition of key equipment and apparatus from abroad. The findings also suggested that Chinese firms should develop their technological absorptive capacity and transformative capacity, and foster technology transfer and communications among trading partners. Moreover, it would be crucial for Chinese firms to stress the nurturing of indigenous innovation capabilities so as to sustain their performance improvement.     

数字化转型对后发追赶的影响研究——基于知识搜索的调节作用

数字化转型在后发追赶过程中发挥着重要作用，但现有研究对于选择何种数字化转型模式、通过何种方式实现后发追赶并未给出明确的解答。基于309家后发企业样本，实证分析了数字化转型对后发追赶的影响，并探讨了知识搜索在上述关系中的调节作用。研究发现，制造过程数字化和商业模式数字化均对后发追赶有促进作用；反应型知识搜索强化了制造过程数字化与后发追赶的关系，却削弱商业模式数字化对后发追赶的作用，而前瞻型知识搜索的调节作用与之相反；反应/前瞻双元型知识搜索仅增强了制造过程数字化对后发追赶的作用。研究在丰富数字化转型和知识搜索理论的同时，为后发企业选择有效的转型策略并实现后发追赶提供了借鉴。     

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.     

The evolution and use of a policy and research tool: assessing the technological capabilities of firms

Firms differ widely in their technological capabilities. Innovation policies are likely to be more or less successful depending upon the level of such abilities of those firms to which a policy is aimed. Without data on the proficiencies, strengths and weaknesses of firms within the target group(s), the construction and application of innovation or industrial policies are likely to miss salient factors in the ability of firms to benefit from the support that is intended. An in-depth knowledge of firms’ capabilities can allow policy-makers to target support according to the specific needs of firms. This paper describes the Technology capability audit tool (or CAT) that was designed to assist policy-makers in differentiating between firms and in understanding their level of ‘innovation readiness’. Examples of the use of the CAT are presented from South Korea, Thailand, Ireland, Brazil and the UK.     

全球价值链驱动下的本土产业升级

全球价值链内产业升级的传递机制是企业的内生技术能力,但技术能力的演化具有明显的路径依赖.尽管全球价值链的国际链接与异质参与者的多样性能够为本土企业提供局部的外部知识,但链条内部的知识溢出并不足以实现本土企业技术能力的线性发展,也无法实现链条内部自动传递的产业升级,这就需要企业进行持续的技术学习,在充分利用全球价值链内局部知识外部性的基础上,整合企业内部与外部知识,实现技术能力的线性发展,从而推动本土产业的持续升级.     

服务创新轨道概念初探:兼评技术轨道的适用性

基于对技术轨道理论的评述,从服务自身的特性出发,对服务创新轨道的概念进行归纳分析,阐释服务创新轨道的内涵、特性,比较服务创新轨道与技术创新轨道的异同。结果显示:第一,解决因服务特性而产生的问题,是形成服务创新轨道的根本基础,这内在规定了服务创新活动的方向和路径;第二,市场、科技和制度环境等外部规定性要素,以及企业的战略和知识基础等,也对服务创新轨道的形成产生重要影响;第三,服务创新轨道的概念更为宽泛,与具有严格内在技术规定性的制造业技术轨道相比,服务创新轨道具有多样性、非排斥性、弱连续性等特性;第四,技术轨道理论只在一定程度上适用于服务创新,技术轨道是服务创新的一种可选轨道。     

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。