新型技术追赶与动态能力:家电后发企业多案例研究

近年来,一些后发企业开始借助更高的资源平台、更广的学习方式和更丰富的能力基础挑战领导企业,而这些变化与起点更高、范围更广、速度更快的"新型技术追赶"密切相关。本文基于动态能力视角,尝试打开后发企业如何通过动态能力进行战略调整、进而从追赶到超越的黑箱。通过对比分析海尔、美的、格力3家家电企业,纵向归纳出新型技术追赶阶段与以往研究在追赶起点、范围和速度上的联系与区别,并通过横向对比三家企业,解释不同赶超路径的成因。通过构建"新型技术追赶"框架并揭示其背后的动态能力架构,以期对那些接近前沿的后发企业做出理论和实践贡献,从多方位、多路径挑战领先者地位,形成真正意义上的全球竞争力。     

Explaining early entry into path-creation technological catch-up in the forestry and pulp industry: Evidence from Brazil

Building on Lee and Malerba’s (2017) framework, we explore how leading firms in Brazil’s forestry and pulp industry responded to windows of opportunity, in learning terms, shaping an early entry into path-creation technological catch-up, shifting that industry into a globally leading position. Drawing on an in-depth inductive study based on 50 years of evidence, a 10-year fieldwork in large firms, and on a novel approach to micro-level external and internal absorptive capacity (AC), as empirically observable external and internal learning mechanisms (LMs) underlying firms’ innovative capability accumulation (technological catch-up), we find that: (1) firms responded to changing windows of opportunity by developing dual AC through the intensity and the manner of use of multiple LMs across the emergence, gradual catch-up, and forging-ahead phases of the path-creation process; (2) however, there were variations within and across firms in the effectiveness with which they developed their dual AC over these phases, leading to a non-homogenous technological catch-up: while some firms reached a world-leading capability level, others became fast-followers. We contribute to deepening and refining the understanding of technological catch-up through robust empirical insights on how the dynamic interplay between windows of opportunity and variation in the micro-level dual AC development’s effectiveness helps to explain the nature and extent of firms’ technological catch-up. We also provide a basis to further the analysis of technological catch-up and its learning processes, particularly in natural resources-rich industries in resource-rich developing countries.     

Knowledge space oddity: How to increase the intensity and relevance of the technological progress of European regions

This work contributes to previous research on the relationship between specific features of a regional knowledge space and the technological progress of the region. In particular, the main element of originality of this work is to have singled out the determinants of the technological progress intensity and relevance. We acknowledge the importance of knowledge assets for new knowledge production, and we identify path-dependent processes that allow a region to become increasingly competitive in terms of innovation potential. In particular, adopting an evolutionary view of regional development, we describe the regional knowledge space through four crucial characteristics: 1) technological knowledge base, 2) technological cumulativeness, 3) technological diversification, and 4) technological relatedness. We then measure to what extent each of the knowledge space’s characteristics differently affects the technological progress intensity and relevance of the region. A longitudinal study of 269 European regions over the period 1996–2012 was organized using data from REGPAT and Eurostat databases. Results show that technological relatedness affects positively both the intensity and relevance of the technological progress of European regions and that the other components of the knowledge space show a different impact on the two features of the technological progress. Finally, implications for EU policies supporting and stimulating regional technological progress are discussed.     

Technological collaboration in product innovation: The role of market competition and sectoral technological intensity

Drawing on the strategic alliances and innovation literature, this study proposes that the impact of technological collaboration on product innovation is contingent on market competition and sectoral technology characteristics. Specifically, it argues that the generally observed positive effect of technological collaboration on product innovation may be diluted in highly competitive markets, and the interactive effect of technological collaboration and market competition on product innovation will be further moderated by sectoral technological intensity. Data on the product innovation and technological collaboration of 944 Chinese firms across five manufacturing sectors provide robust support for the contingent effects of technological collaboration on product innovation.     

Knowledge systematisation,reconfiguration and the organisation of firms and industry: The case of design

The paper explores two pathways that are crucial for making knowledge economically useful – knowledge systematisation and knowledge reconfiguration – and analyses how their interplay enables the emergence of a new business function or activity. Knowledge systematisation is the abstraction and diffusion of operative principles to the effect of expanding to broader remits practices that had been initially conceived for a narrow purpose. Knowledge reconfiguration involves the conversion and formalisation of these novel practices within existing firm and industry organisation. Using the design activity as a lens, and drawing on primary and secondary interviews and archival data on the home furnishing sectors in Italy, our case study articulates the processes that facilitate the abstraction of general rules from novel practices and the changes that are necessary, both within firm and industry organisation, to foster their diffusion.     

通信设备巨头技术创新布局与扩散比较研究

专利引文是衡量技术创新的重要指标。以著名的德温特(DII)创新系统的数据,对通信设备行业两家重要企业思科与华为的专利引文进行分析。结果显示,一些中国高技术企业经过多年的技术创新,其研发效率已经追上世界一流的跨国企业;中国企业的技术扩散主要是在国内,国际间技术扩散刚刚起步,影响力较小;而跨国企业技术扩散是全球性的,影响力处于龙头地位;追赶型企业技术创新是力求突破的锥型布局,领先企业是平衡型的哑铃布局;企业的技术创新布局主导着它们的技术扩散方向,中国企业技术创新与扩散的宽度大,但是优势技术少,技术深度低。而跨国企业优势技术多,技术扩散的深度高,技术专业化程度比较高。     

The effect of technological knowledge assets on performance: The innovative choice in Spanish firms

The aim of this article is to examine the relationship between Technological Knowledge Assets (TKAs) and performance, in the light of making the ‘innovative choice’ that involves short-term costs of acquiring or generating the assets but aims at longer term benefits through innovation. To that end, a study of 1267 industrial firms in Spain was carried out over a period of 5 years, 1998-2002. The results show that TKAs have a positive indirect effect on financial performance mediated through innovation. They also reveal that TKAs have a negative direct effect on performance, except licences. Thus, the combined effect of TKAs on performance urges the need for innovation to obtain a positive payoff.     

社会资本、知识特性与企业知识创新——以科技型企业为对象

本研究以科技企业为对象,分析社会资本和知识特性对企业知识创新的影响。为了解决这个问题,本文包括了三个目标：分析了社会资本对企业知识创新的影响;分析了知识隐性和多样性对企业知识创新的影响;分析了社会资本调节作用下,知识隐性和多样性对企业知识创新的影响。通过对科技型企业知识创新影响因素模型的构建．为下一步研究的开展奠定基础。     

基于期刊引文结构变换的知识扩散研究——以引文分析领域为例

【目的】 从期刊施引和共被引网络结构演化的视角,探寻研究领域的知识扩散脉络,为基于引文网络的知识扩散研究提供新的参考。【方法】 基于期刊双图叠加知识图谱和结构变换模型,以引文分析为例,通过绘制期刊双图叠加图谱,结合期刊引文网络结构变换计量指标,揭示引文分析领域知识扩散的路径,预测未来该领域最具影响力的学术期刊。【结果】 引文分析研究的知识基础不断演化,核心基础研究正在逐渐增加,核心应用研究依然维持在心理学、教育、卫生学三大领域之中。2012年是引文分析研究网络结构变换的关键之年,Research Policy、Organization Studies、Scientometrics、European Journal of Information Systems将成为引发新的结构变革的潜在标志性期刊。【结论】 为预测期刊知识扩散及其影响力提供新的分析视角。     

Learning through informal local and global linkages: The case of Taiwan's machine tool industry

Most existing studies of successful late industrialization, which draw on findings from high-technology industries, emphasize the need to invest in formal channels of technology acquisition to allow latecomers to catch up. This line of reasoning neglects the fact that in some industries, including low- and medium-technology (LMT) sectors, much knowledge can be acquired by informal means. Through the study of Taiwan's machine tool (MT) industry, this article demonstrates the significance of informal learning activities in LMT industries and the possibility for latecomer clusters to climb the technological ladder through exploiting various local and global informal knowledge linkages.     

新型技术追赶、动态能力与创新能力演化——中集罐箱案例研究

在全球化和开放式创新背景下,后发企业技术追赶正呈现出起点更高、范围更广、速度更快等"新型技术追赶"特征,而传统技术追赶理论并未很好地解释这一现象背后的创新能力演化过程与机理。本文依据动态能力理论,通过对中集集团罐箱业务的技术追赶与创新能力演化过程进行纵向案例分析,探讨了后发企业如何通过开放式创新实现新型技术追赶和推动创新能力演化。研究发现:(1)技术并购日益成为开放式创新条件下后发企业实现新型技术追赶、快速提升创新能力的重要方式;(2)企业动态能力在后发企业新型技术追赶和较快积累创新能力中起到重要作用,而动态能力本身也可以在运用中不断提升。本研究可以为后发企业实现快速技术追赶和提升创新能力提供借鉴和参考。     

人力资本吸收、外资技术扩散与中国经济增长

引进外资并不意味着东道国一定能够掌握内含在外资中的国外先进技术,成功掌握外资先进技术有一个消化、吸收和创新的技术扩散过程。文章在区别外资技术扩散效应与溢出效应概念的基础上,通过构建衡量外资技术扩散计量模型,从时间和空间的角度检验了以FDI为载体的技术扩散对中国区域经济增长的影响。研究发现,在改革开放以来的不同阶段,尽管外资对中国区域经济增长有明显的促进作用,但各地区并没有能够通过引进大量外资获得内含在外资中的先进技术,外资技术扩散对地区经济增长没有显著的影响。     

How to facilitate knowledge diffusion in complex networks: The roles of network structure,knowledge role distribution and selection rule

The diffusion of knowledge within organizations provides opportunities for interpersonal co-operation, improves creative ability and therefore leads to competitive advantage. Focus of prior literature on knowledge diffusion has been on identifying factors that influence individuals' behavioral intentions to seek and share knowledge. However, knowledge diffusion as an enigmatic, emergent and organizational-level process is more than the simple aggregation of individual attributes and needs to be further investigated. Accordingly, this study focuses on three distinct system-level factors, i.e., architectures of connections among individuals, distributions of knowledge roles and designs of selection mechanisms and analyses their effects on knowledge diffusion. To be more specific, we examine three distinct knowledge roles: seekers, contributors and brokers. We also distinguish between three types of selection mechanisms: objective selection mechanisms, feedback-based selection mechanisms and random selection mechanisms. By conducting agent-based simulations on four representative networks, i.e., regular networks, random networks, small-world networks and scale-free networks, our results show that the optimal knowledge diffusion performance can be achieved on scale-free networks where all agents implement objective mechanisms and show characteristics of brokers. Moreover, our results (a) highlight the significance of brokers, (b) illustrate the superiority of objective selection rules and (c) demonstrate that scale-free networks provide an optimal framework for knowledge diffusion. Furthermore, we also find the interdependent relevance of these three factors to knowledge diffusion and propose a qualitative explanation of these findings.     

Knowledge flows in the solar photovoltaic industry: Insights from patenting by Taiwan, Korea, and China

In this paper we extend work previously undertaken in industries such as semiconductor and flat panel displays to investigate knowledge flows from advanced countries (US, Japan and Europe) to catch-up follower countries (Taiwan, Korea and China), this time in the emergent solar photovoltaic industry. The solar photovoltaic industry is of particular interest in that it is poised between exploitation of first generation (crystalline silicon technologies) and new thin film and organic compound technologies, thus providing distinct sources of knowledge flow as measured by patent citations and linkage. For this study, we deploy a new database of 19,105 solar photovoltaic patents taken out by Taiwan, Korea and China at the USPTO over the 24 years 1984-2008, and analyse the knowledge flows revealed in these patents using a set of 12 International Patent Classification technology categories that we constructed. We demonstrate commonalities in patterns of knowledge flow between solar photovoltaic and earlier industries, but also suggestive differences, such as rising dependence of the catch-up countries on their own intra-national knowledge generation and flow, indicating their shift from imitation to innovation.     

复杂产品后发技术追赶的主供模式案例研究

C919干线客机一飞冲天标志中国在复杂产品创新领域实现了历史性突破。本文采用案例研究方法,旨在复盘C919研制及技术追赶过程。研究发现：（1）中国从航空产业链最顶端——总体设计开始技术追赶。（2）后发国家实现复杂产品技术追赶的独特模式——主制造商与组件供应商构成的“主供模式”内涵与成长型主供关系特征。（3）国家意志与企业抱负的有机统一是后发国家技术追赶模式成功的重要条件,且以技术追赶与共同成长为导向的成长型“主供模式”不同于以全球价值链低成本采购为导向的成本型“主供模式”,前者强调突破关键技术和推动产业升级。本文既填补了后发国家如何实现复杂产品——干线客机技术追赶的空白,也为后发企业突破“卡脖子技术”提供重要管理启示与借鉴意义。     

图书馆工作的实质：知识的收集、组织与服务

本文认为图书馆工作的实质是对知识的收集、组织及用有序的知识为全体读者服务。     

Light emitting diodes and the lighting revolution: The emergence of a solid-state lighting industry

Emergence of new industries from evolving technologies is critical to the global economy, yet has been relatively understudied due to the paucity of available data. This study draws lessons on industry emergence, by analyzing how a solid-state lighting (SSL) industry grew out of light emitting diode (LED) technologies that evolved for half a century, with participation by tens of thousands of researchers in universities, national laboratories, and firms. Using data on publications, patents, and firms combined with business history we trace the evolution of SSL through a succession of market niches. At times a few researchers with unorthodox research approaches made breakthroughs that greatly advanced particular technology trajectories and pushed LED research in unexpected directions. A succession of LED market niches advanced the technology and provided profits to incentivize continuing research while reducing cost and improving efficacy of LEDs. Innovating firms developed a thicket of patents and captured substantial profit, but were embroiled in extensive litigation that was ultimately resolved through cross-licensing. A major new generation of lighting products is now disrupting the traditional lighting industry. Although the leading incumbent lighting firms all invested early and heavily in SSL, the industry's future leadership is uncertain.     

The integration of old and new technological paradigms in low- and medium-tech sectors: The case of mechatronics

This article addresses the internal transformation of low- and medium-tech (LMT) sectors from a technological perspective, analysing the absorption of radical new technologies by low- and medium-technology (LMT) firms and their integration into frameworks dominated by older technologies. Through an empirical analysis of a cluster of mechatronic companies, the paper highlights some of the main features of the integration process and provides a preliminary assessment of whether the phenomenon is more likely to occur within or between companies, that is through the absorption of new technologies by each firm individually or by means of linkages between specialised mono-technology companies.     

Upgrading the technological capabilities of foreign transnational subsidiaries in developing countries: The case of electronics in Thailand

Although substantial research shows the importance of transnational corporations (TNCs) to export-led growth in some developing countries, it cannot be assumed that TNC subsidiaries will automatically upgrade their capabilities through time or in a uniform fashion. This paper explores the pattern and pace of a sample of exporting TNC subsidiaries operating in the electronics industry in Thailand, showing how the different architectures of global value chains (centralised versus decentralised) shaped the technological progress of subsidiaries in this country. The case evidence suggests a wide variety in upgrading through time, with some subsidiaries failing to develop capabilities and remaining as ‘assembly only’ plants. Other more dynamic plants developed process engineering and product design skills, investing heavily in capability building. One common determinant in capability building appears to be the overall technology strategy of the global value chain leader (or parent company). In those subsidiaries which did not upgrade beyond assembly, technology decisions and processes were tightly controlled within the parent headquarter locations in relatively centralised international value networks. By contrast, the more dynamic plants exercised more discretion over local capability building. The latter operated in relatively decentralised networks, more open to domestic policies to encourage upgrading. The study suggests that governments should tailor upgrading policies not only according to the approximate level of capabilities attained by local subsidiaries, but also according to how receptive subsidiaries are to upgrading, arguing that capability building and policy receptiveness go hand-in-hand. Other countries hoping to upgrade the quality of foreign direct investment might also wish to focus policies on the more technologically capable, ambitious and receptive categories of foreign subsidiary.