开放条件下我国本土企业升级能力的影响因素研究-基于昆山制造业企业问卷的分析

本文在大量调研问卷基础之上,以昆山本土制造业企业为样本,从微观层面实证研究了开放条件下我国本土企业升级能力的主要影响因素。经验研究表明:在有效控制企业创新活动、企业人力资本以及企业规模相关变量后,出口因素对本土企业升级能力的提升具有显著作用,从而证实了"出口中学习"效应的存在;为外资企业提供外向配套,不仅为本土企业技术创新提供了激励和可能,也为吸收跨国公司消极型和积极型"技术外溢"等提供了重要机会,从而有利于本土企业升级能力的提升;产业集聚效应同样对我国本土企业升级能力的提升具有显著影响,说明在开放条件下形成的产业集聚在现阶段所带来的技术扩散和外溢效应是显著的。结论为我们理解开放条件下本土企业升级能力的影响因素提供了中国昆山地区的实践经验,具有重要启示。     

本土企业视角的研发技术溢出效应

本文通过分析"昆山本土企业技术创新调查问卷",试图从本土企业的视角探讨FD I对本土企业技术溢出效应的大小、影响因素和发生途径,并在实证分析的基础上提出增强本土企业技术溢出吸收能力的政策建议。     

企业自主技术创新风险的影响因素研究

企业自主技术创新存在很大的不确定性,对企业自主技术创新风险进行全面分析,有助于企业更好地进行风险管理。本文从企业自主技术创新的系统风险和非系统风险两方面,分别研究了系统风险中的环境风险和社会风险的影响因素,以及非系统风险中的技术风险、市场风险、管理风险、生产风险和财务风险的影响因素,从而为企业自主技术创新的风险管理奠定基础。在此基础上,结合铱星公司创新失败的案例,分析了各风险因素在企业自主技术创新过程中的重要程度。     

经济转型过程中的技术创新问题

本文分析了我国经济转型过程中的技术创新问题,认为经济转型需要社会的价值取向从"制造能力"向"创造能力"调整;企业的价值尺度需要进行相应的调整,为技术创新建立价值核算空间;应建立技术创新问题的一般性分析框架,构造动态均衡系统分析的逻辑体系;要在技术创新周期与经济周期的"双波互动"中寻找技术创新的轨道及变轨的"跃迁点";技术创新必须立足于中国工业化中后期发展阶段的特点,着眼于解决关系经济长远发展的现实矛盾;要在世界范围整合技术创新资源,实现"自主可持续发展"的目标。     

企业惯例、行业惯例在技术创新中的作用——基于演化理论的分析

技术创新对企业的发展具有双重作用,一方面技术创新是企业发展的动力和源泉;另一方面,技术创新也给企业带来了一定的风险。从演化理论角度分析了企业技术创新和行业技术创新的关系,利用"惯例"来解释企业的技术创新和行业技术创新选择的原则,得出如下结论:当企业惯例指导下的企业技术创新和行业惯例指导下的技术创新相似时,企业技术创新才能成为行业技术创新的选择,企业才能在行业内具有先发技术优势,获得竞争优势。结合TCL企业成长历史数据和彩电行业数据,对其技术创新行为进行分析,解析技术创新在彩电行业演进和发展的重要作用。     

垂直专业化与中国企业技术创新

本文利用面板数据分析方法,从行业和地区的角度实证分析了垂直专业与中国企业技术创新之间的关系。研究发现,以垂直专业化融入全球价值链在总体上促进了企业技术创新产出的提高,但对本土的创新投入有一定的挤出效应。通过对不同种类专利数据的进一步分析表明,中国企业往往只是掌握某些实用型的非核心技术实现一般意义上的产品升级,要彻底改变中国企业在全球价值链中的位置,仍需要在开放条件下实现本土自主创新能力的提升。     

技术创新战略与技术创新能力的交互对后发企业技术跨越的影响

基于权变理论,利用来自145家企业的调研数据,实证研究了技术创新战略与技术创新能力的交互对后发企业技术跨越的影响。结果表明:技术创新能力在后发企业的技术跨越过程中呈由吸收能力、整合能力向自主创新能力演化的趋势;不同技术创新能力与不同技术创新战略的交互对后发企业的技术跨越绩效的影响具有差异性;在技术创新能力水平更高的情况下,自主研发战略有利于后发企业成功实现技术跨越。     

装备制造企业自主技术创新能力的构成要素

分析了提高我国装备企业自主技术创新能力对于振兴装备制造业的迫切性,阐述了我国装备制造企业自主技术创新能力战略思考的必要性。通过对技术创新理论的综述分析,根据装备制造业发展的动态性、自主创新的风险性,提出对于我国装备制造企业自主技术能力的构成要素研究,仅仅分析研究其创新资源投入能力、创新管理能力、制造能力、研究开发能力、创新产出能力和营销能力是不够的,还需要分析企业在自主技术创新过程中的环境辨别和分析能力、风险识别和管理能力。在此基础上,提出了我国装备制造企业自主技术创新能力结构及其评价体系。     

发展中国家本土企业技术创新的路径选择——以韩国Samsung电子为例

本文以韩国Samsung电子为案例来分析技术创新的路径,结论为:OEM模式在隐含性知识的转移中更有效率,因而在发展中国家本土企业受到制度和技术的约束的条件下,OEM模式是技术创新的一条有效的低成本途径。发展中国家本土企业通过技术学习,OEM-ODM-OBM的升级模式可以嵌入到发达国家的技术发展轨迹,并最终在同一条技术发展轨迹上运行。     

实验室经济及其模式选择研究

实验室经济是企业技术创新的有效形式,是产学研合作发展的高级阶段。通过实验室开展符合市场需求的技术研发,企业再将研发成果迅速产业化,可以提高技术创新效率。基于创新理论、共生理论以及企业能力观阐释了发展实验室经济的理论依据,并从合作方式、合作内容、动力机制以及管理运营等方面厘清了实验室经济与产学研合作的内在差异,最后探讨了企业如何依据自身所处的发展阶段、技术和资金实力以及创新技术特征来选择发展实验室经济的适宜模式。     

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.     

Multinational Firms, International Knowledge Flows, and Dual Labor Markets in Developing Economies

This paper seeks to explain how the expansion of multinational firms in a developing economy affects its labor market variables, such as wages in indigenous firms, the average wage level and total employment. Three potential effects: the transfer of foreign knowledge and the associated technological change, diffusion of this knowledge among indigenous firms, and the inflow of the physical capital from abroad, are examined under two possible scenarios: fixed and unlimited labor supply. The results obtained depend on the organization of the labor market in the host country, differences in capital intensity between multinational and local sectors, the amount of physical capital transferred to the host country from abroad, as well as the magnitude of knowledge spillovers stemming from multinational activity to indigenous firms. The predictions of the model are more consistent with empirical observations reported in empirical studies than those of other theoretical studies existing in the literature.     

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.     

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.     

Identification of technological threats and opportunities by firms

A number of models and approaches are being developed in attempts to anticipate the nature and direction of technological change and its impact on the firm. Under what conditions might we expect firms to use one or more of these models in an organized way and under what conditions might we expect the resulting information to be used in the firm's planning process? The basic hypothesis of this paper is that effective use by firms of models for anticipating technological change can be explained based upon: the nature and extent of uncertainty in the firm's environment,the firm's strategy for growth, and the degree of definition of communication networks (both formal and informal) within the firm and between the firm and its environment. Technology planners and managers of 29 firms in a variety of industries have been interviewed concerning the ways in which technological threats and opportunities are identified and analyzed and the ways in which this information is integrated into the firm's normal planning cycle. A follow-up questionnaire is being designed to be sent to a larger number of respondents.     

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.     

Multinational companies and indigenous development: An empirical analysis

This paper presents an empirical study of the effect of foreign multinational companies on the development of indigenous firms in the host country. Our starting point is a recent paper by Markusen and Venables (European Economic Review 43 (1999) 335-356) that shows formally that multinationals, through the creation of linkages with indigenous suppliers, can exert positive effects on the development of indigenous firms. Based on the literature on entry in industrial organisation, we estimate empirically a model describing the entry of indigenous firms using data for the Irish manufacturing sector. Our results indicate that there is a positive effect of multinational companies on the entry of indigenous firms for a variety of alternative specifications.     

THE GOVERNANCE OF KNOWLEDGE COMPOSITENESS AND TECHNOLOGICAL PERFORMANCE: THE CASE OF THE AUTOMOTIVE INDUSTRY IN EUROPE

Abstract

Knowledge compositeness measures the variety of scientific disciplines that it is necessary to command in order to generate new technological knowledge. The paper investigates the relations between the knowledge compositeness of the flow of patents delivered to the main European automobile companies and the evolution of their technological and product market shares. Compositeness confirms to be an important characteristic of private knowledge: its governance exerts strong and positive effects on the technological and competitive advantage of firms. Knowledge compositeness has strong effects on the mechanisms of knowledge governance and management of technology. Appropriate measures of knowledge compositeness make it possible to qualify the quantitative measures of the technological competence of firms based upon patents counts.     

Is newest always best? Firm-level evidence to challenge a focus on high-capability technological (product or process) innovation

This paper sets out to address a gap in the empirical literature on the importance of ‘low-capability’ innovation for firms. The study is framed around discussion of the conceptual bias that remains in policy and academic literature towards a narrow subset of technological (product or process) innovation labelled ‘high-capability’ innovation in this paper. The paper argues that this bias influences the public and business community's understanding of the term ‘innovation’ and has implications for innovation measurement, research, policy and strategy. The study uses data from an economy-wide, regional innovation survey based on the Oslo manual, and includes 648 innovative firms covering all industry sectors. The paper combines elements of both subject and object approaches to innovation measurement, using data from an open-ended survey question to explore the alignment between what firms report as their ‘most important innovation’ (MII) and firm capabilities for introducing ‘high-capability’ technological innovation. Results show that a substantial share of firms report an MII that is a ‘low-capability’ innovation, including those firms with high R&D intensity, those with novel technological innovation, and firms in more innovative sectors of manufacturing and knowledge intensive business services. The paper discusses the implications of this result for future innovation measurement and research.     

A model of principal-agency control of wastes under technological progress

We analyze performance and outcome of principal-agency relationships in an environment with pollution externalities and technological progress. We assume that firms may not purposely violate the pollution control regulations but nonetheless generate some pollution due to negligence. The models allow firms two possible actions: either to increase the level of treated waste legally or pay an expected penalty if illegal pollution is detected. We show that in a world with pollution externalities, technological progress does not guarantee increases in the welfare level. Most important for policy purposes, the analysis shows the trade-offs between the policy instruments: penalties, taxes/subsidies and treatment costs in a world where technological progress occurs and firms may violate the law.