迈向通用的追赶理论:文献分析与理论延伸
|
摘要
近年来以"追赶"为话题的研究成果数量急剧攀升,然而大多重在对追赶现象的描述和解释,追赶现象背后通用的理论体系研究尚处于缺位状态。回顾前人关于追赶这一话题的研究,基于Web of Science社会科学引文索引数据库数据深入分析相关文献,研究提出一套以追赶意识、追赶目标、追赶机会、追赶策略为要素,涵盖国家、企业、个人3个层面的追赶理论模型。
The number of articles on the topic of "catching-up" has been increasing rapidly in recent years. However,prior studies on this topic mainly focused on describing and explaining the catching-up phenomenon, little attention has been paid to a general theory behind the phenomenon. This study first provides a systematic review on prior studies on the topic of catching-up by using the Web of Science Social Sciences Citation Index database. Then, it proposes a theoretical framework that addresses the catching-up phenomenon at three different levels, that is country-level, firmlevel and individual-level, which suggests that the intent for catching-up, the target for catching-up, the opportunities for catching-up and the strategies for catching-up are four major factors underlying latecomers' catching-up.
The number of articles on the topic of "catching-up" has been increasing rapidly in recent years. However,prior studies on this topic mainly focused on describing and explaining the catching-up phenomenon, little attention has been paid to a general theory behind the phenomenon. This study first provides a systematic review on prior studies on the topic of catching-up by using the Web of Science Social Sciences Citation Index database. Then, it proposes a theoretical framework that addresses the catching-up phenomenon at three different levels, that is country-level, firmlevel and individual-level, which suggests that the intent for catching-up, the target for catching-up, the opportunities for catching-up and the strategies for catching-up are four major factors underlying latecomers' catching-up.
引文
[1]LUNDVALL B-?.Innovation system research where it came from and where it might go[R]//LUNDVALL B-?.Paper to be presented at CAS Seminar,Oslo,December 4,2007.Aalborg:Aalborg University,2007.DOI:10.7135/UPO9781843318903.016.
[2]GERSCHENKRON A.Economic backwardness in historical perspective:a book of essays[M].Cambridge:Belknap Press of Harvard University Press,1962.
[3]ABRAMOVITZ M.Catching up,forging ahead,and falling behind[J].The Journal of Economic History,1986,46(2):385-406.
[4]LEE K.Schumpeterian analysis of economic catch-up:knowledge,path-creation,and the middle-income trap[M].Cambridge:Cambridge University Press,2013.
[5]NELSON R R.National innovation systems:a comparative analysis[M].Oxford:Oxford University Press,1993.
[6]MALERBA F,NELSON R.Learning and catching up in different sectoral systems:evidence from six industries[J].Industrial and Corporate Change,2011,20(6):1645-1675.
[7]MATHEWS J A.Competitive advantages of the latecomer firm:a resource-based account of industrial catch-up strategies[J].Asia Pacific Journal of Management,2002,19(4):467-488.
[8]LEE K,LIM C.Technological regimes,catching-up and leapfrogging:findings from the Korean industries[J].Research Policy,2001,30(3):459-483.
[9]PARK K-H,LEE K.Linking the technological regime to the technological catch-up:analyzing Korea and Taiwan(Taiwan,China)using the US patent data[J].Industrial and Corporate Change,2006,15(4):715-753.
[10]LEE K,MALERBA F.Catch-up cycles and changes in industrial leadership:windows of opportunity and responses of firms and countries in the evolution of sectoral systems[J].Research Policy,2017,46(2):338-351.
[11]林敏,吴贵生,熊鸿儒.技术轨道理论对后发者追赶的启示研究[J].中国科技论坛,2013(9):13-19.
[12]柳卸林.技术轨道和自主创新[J].中国科技论坛,1997(2):32-35.
[13]刘建兵,柳卸林.服务业创新轨道的形成机制及对追赶的战略意义[J].科学学与科学技术管理,2008(9):81-86.
[14]DOSI G.Technological paradigms and technological trajectories[J].Research Policy,1982,11(3):147-162.
[15]陈晓晖,丛培鑫.韩国追赶型科技创新模式中国家制度安排的特点探析[J].科技管理研究,2013,33(18):39-42.
[16]刘培林,贾珅,张勋.后发经济体的“追赶周期”[J].管理世界,2015(5):6-17.
[17]刘洋,魏江,江诗松.后发企业如何进行创新追赶?:研发网络边界拓展的视角[J].管理世界,2013(3):96-110.
[18]程鹏,柳卸林,陈傲,等.基础研究与中国产业技术追赶:以高铁产业为案例[J].管理评论,2011,23(12):46-55.
[19]卞雅莉.基于价值链攀升的创新能力追赶路径研究[J].科技管理研究,2010,30(14):6-9,5.
[20]吴先明,苏志文.将跨国并购作为技术追赶的杠杆:动态能力视角[J].管理世界,2014(4):146-164.
[21]陈毛林,黄永春.制度质量与企业技术创新追赶绩:基于工业企业数据的实证分析[J].科技管理研究,2016,36(20):11-16,21.
[22]江诗松,龚丽敏,魏江.转型经济背景下后发企业的能力追赶:一个共演模型:以吉利集团为例[J].管理世界,2011(4):122-137.
[23]黄江明,赵宁.资源与决策逻辑:北汽集团汽车技术追赶的路径演化研究[J].管理世界,2014(9):120-130.
[24]DI STEFANO G,GAMBARDELLA A,VERONA G.Technology push and demand pull perspectives in innovation studies:current findings and future research directions[J].Research Policy,2012,41(8):1283-1295.
[25]王敏,刘运青,银路.国外技术创业研究文献回顾与展望[J].电子科技大学学报(社科版),2018,20(1):56-65.
[26]NELSON R R,WINTER S G.An evolutionary theory of economic change[M].Cambridge:Harvard University Press,1982.
[27]GEREFFI G,HUMPHREY J,KAPLINSKY R,et al.Introduction:globalisation,value chains and development[J].IDS Bulletin,2001,32(3):1-8.
[28]MU Q,LEE K.Knowledge diffusion,market segmentation and technological catch-up:the case of the telecommunication industry in China[J].Research Policy,2005,34(6):759-783.
[29]LANDINI F,LEE K,MALERBA F.A history-friendly model of the successive changes in industrial leadership and the catch-up by latecomers[J].Research Policy,2017,46(2):431-446.
[30]MALERBA F.Sectoral systems of innovation and production[J].Research Policy,2002,31(2):247-264.
[31]PEREZ C,SOETE L.Catching up in technology:entry barriers and windows of opportunity[M]//DOSI G,FREEMAN G,NELSONR,et al.Technical change and economic theory.London:Pinter Publishers,1988.
[32]MORRISON A,RABELLOTTI R.Gradual catch up and enduring leadership in the global wine industry[J].Research Policy,2017,46(2):417-430.
[33]LEE K,KI J.Rise of latecomers and catch-up cycles in the world steel industry[J].Research Policy,2017,46(2):365-375.
[34]GIACHETTI C,MARCHI G.Successive changes in leadership in the worldwide mobile phone industry:the role of windows of opportunity and firms'competitive action[J].Research Policy,2017,46(2):352-364.
[35]AWATE S,LARSEN M M,MUDAMBI R.EMNE catch-up strategies in the wind turbine industry:is there a trade-off between output and innovation capabilities?[J].Global Strategy Journal,2012,2(3):205-223.
[36]KUMARASWAMY A,MUDAMBI R,SARANGA H,et al.Catch-up strategies in the Indian auto components industry:domestic firms'responses to market liberalization[J].Journal of International Business Studies,2012,43(4):368-395.
[37]MUDAMBI R.Location,control and innovation in knowledgeintensive industries[J].Journal of Economic Geography,2008,8(5):699-725.
[38]AWATE S,AJITH V,AJWANI-RAMCHANDANI R.Catch-up as a survival strategy in the solar power industry[J].Journal of International Management,2018,24(2):179-194.
[39]MADHOK A,KEYHANI M.Acquisitions as entrepreneurship:asymmetries,opportunities,and the internationalization of multinationals from emerging economies[J].Global Strategy Journal,2012,2(1):26-40.
[40]LIGHT R P,POLLEY D E,B?RNER K.Open data and open code for big science of science studies[J].Scientometrics,2014,101(2):1535-1551.
[41]MAZZOLENI R,NELSON R R.Public research institutions and economic catch-up[J].Research Policy,2007,36(10):1512-1528.
[42]KIM L.Crisis construction and organizational learning:capability building in catching-up at Hyundai Motor[J].Organization Science,1998,9(4):506-521.
[43]HU M-C,MATHEWS J A.National innovative capacity in East Asia[J].Research Policy,2005,34(9):1322-1349.
[44]HOBDAY M,RUSH H,BESSANT J.Approaching the innovation frontier in Korea:the transition phase to leadership[J].Research Policy,2004,33(10):1433-1457.
[45]FAN P.Catching up through developing innovation capability:evidence from China's telecom-equipment industry[J].Technovation,2006,26(3):359-368.
[46]HAMEL G,PRAHALAD C K.Strategic intent[J].Harvard Business Review,2005,83(7/8):148-161.
[47]路风,封凯栋.发展我国自主知识产权汽车工业的政策选择[M].北京:北京大学出版社,2005.
[48]SCHWAB K.The fourth industrial revolution[M].1st ed.New York:Portfolio Penguin,2017.
[49]张利华.华为研发[M].北京:机械工业出版社,2013.
[2]GERSCHENKRON A.Economic backwardness in historical perspective:a book of essays[M].Cambridge:Belknap Press of Harvard University Press,1962.
[3]ABRAMOVITZ M.Catching up,forging ahead,and falling behind[J].The Journal of Economic History,1986,46(2):385-406.
[4]LEE K.Schumpeterian analysis of economic catch-up:knowledge,path-creation,and the middle-income trap[M].Cambridge:Cambridge University Press,2013.
[5]NELSON R R.National innovation systems:a comparative analysis[M].Oxford:Oxford University Press,1993.
[6]MALERBA F,NELSON R.Learning and catching up in different sectoral systems:evidence from six industries[J].Industrial and Corporate Change,2011,20(6):1645-1675.
[7]MATHEWS J A.Competitive advantages of the latecomer firm:a resource-based account of industrial catch-up strategies[J].Asia Pacific Journal of Management,2002,19(4):467-488.
[8]LEE K,LIM C.Technological regimes,catching-up and leapfrogging:findings from the Korean industries[J].Research Policy,2001,30(3):459-483.
[9]PARK K-H,LEE K.Linking the technological regime to the technological catch-up:analyzing Korea and Taiwan(Taiwan,China)using the US patent data[J].Industrial and Corporate Change,2006,15(4):715-753.
[10]LEE K,MALERBA F.Catch-up cycles and changes in industrial leadership:windows of opportunity and responses of firms and countries in the evolution of sectoral systems[J].Research Policy,2017,46(2):338-351.
[11]林敏,吴贵生,熊鸿儒.技术轨道理论对后发者追赶的启示研究[J].中国科技论坛,2013(9):13-19.
[12]柳卸林.技术轨道和自主创新[J].中国科技论坛,1997(2):32-35.
[13]刘建兵,柳卸林.服务业创新轨道的形成机制及对追赶的战略意义[J].科学学与科学技术管理,2008(9):81-86.
[14]DOSI G.Technological paradigms and technological trajectories[J].Research Policy,1982,11(3):147-162.
[15]陈晓晖,丛培鑫.韩国追赶型科技创新模式中国家制度安排的特点探析[J].科技管理研究,2013,33(18):39-42.
[16]刘培林,贾珅,张勋.后发经济体的“追赶周期”[J].管理世界,2015(5):6-17.
[17]刘洋,魏江,江诗松.后发企业如何进行创新追赶?:研发网络边界拓展的视角[J].管理世界,2013(3):96-110.
[18]程鹏,柳卸林,陈傲,等.基础研究与中国产业技术追赶:以高铁产业为案例[J].管理评论,2011,23(12):46-55.
[19]卞雅莉.基于价值链攀升的创新能力追赶路径研究[J].科技管理研究,2010,30(14):6-9,5.
[20]吴先明,苏志文.将跨国并购作为技术追赶的杠杆:动态能力视角[J].管理世界,2014(4):146-164.
[21]陈毛林,黄永春.制度质量与企业技术创新追赶绩:基于工业企业数据的实证分析[J].科技管理研究,2016,36(20):11-16,21.
[22]江诗松,龚丽敏,魏江.转型经济背景下后发企业的能力追赶:一个共演模型:以吉利集团为例[J].管理世界,2011(4):122-137.
[23]黄江明,赵宁.资源与决策逻辑:北汽集团汽车技术追赶的路径演化研究[J].管理世界,2014(9):120-130.
[24]DI STEFANO G,GAMBARDELLA A,VERONA G.Technology push and demand pull perspectives in innovation studies:current findings and future research directions[J].Research Policy,2012,41(8):1283-1295.
[25]王敏,刘运青,银路.国外技术创业研究文献回顾与展望[J].电子科技大学学报(社科版),2018,20(1):56-65.
[26]NELSON R R,WINTER S G.An evolutionary theory of economic change[M].Cambridge:Harvard University Press,1982.
[27]GEREFFI G,HUMPHREY J,KAPLINSKY R,et al.Introduction:globalisation,value chains and development[J].IDS Bulletin,2001,32(3):1-8.
[28]MU Q,LEE K.Knowledge diffusion,market segmentation and technological catch-up:the case of the telecommunication industry in China[J].Research Policy,2005,34(6):759-783.
[29]LANDINI F,LEE K,MALERBA F.A history-friendly model of the successive changes in industrial leadership and the catch-up by latecomers[J].Research Policy,2017,46(2):431-446.
[30]MALERBA F.Sectoral systems of innovation and production[J].Research Policy,2002,31(2):247-264.
[31]PEREZ C,SOETE L.Catching up in technology:entry barriers and windows of opportunity[M]//DOSI G,FREEMAN G,NELSONR,et al.Technical change and economic theory.London:Pinter Publishers,1988.
[32]MORRISON A,RABELLOTTI R.Gradual catch up and enduring leadership in the global wine industry[J].Research Policy,2017,46(2):417-430.
[33]LEE K,KI J.Rise of latecomers and catch-up cycles in the world steel industry[J].Research Policy,2017,46(2):365-375.
[34]GIACHETTI C,MARCHI G.Successive changes in leadership in the worldwide mobile phone industry:the role of windows of opportunity and firms'competitive action[J].Research Policy,2017,46(2):352-364.
[35]AWATE S,LARSEN M M,MUDAMBI R.EMNE catch-up strategies in the wind turbine industry:is there a trade-off between output and innovation capabilities?[J].Global Strategy Journal,2012,2(3):205-223.
[36]KUMARASWAMY A,MUDAMBI R,SARANGA H,et al.Catch-up strategies in the Indian auto components industry:domestic firms'responses to market liberalization[J].Journal of International Business Studies,2012,43(4):368-395.
[37]MUDAMBI R.Location,control and innovation in knowledgeintensive industries[J].Journal of Economic Geography,2008,8(5):699-725.
[38]AWATE S,AJITH V,AJWANI-RAMCHANDANI R.Catch-up as a survival strategy in the solar power industry[J].Journal of International Management,2018,24(2):179-194.
[39]MADHOK A,KEYHANI M.Acquisitions as entrepreneurship:asymmetries,opportunities,and the internationalization of multinationals from emerging economies[J].Global Strategy Journal,2012,2(1):26-40.
[40]LIGHT R P,POLLEY D E,B?RNER K.Open data and open code for big science of science studies[J].Scientometrics,2014,101(2):1535-1551.
[41]MAZZOLENI R,NELSON R R.Public research institutions and economic catch-up[J].Research Policy,2007,36(10):1512-1528.
[42]KIM L.Crisis construction and organizational learning:capability building in catching-up at Hyundai Motor[J].Organization Science,1998,9(4):506-521.
[43]HU M-C,MATHEWS J A.National innovative capacity in East Asia[J].Research Policy,2005,34(9):1322-1349.
[44]HOBDAY M,RUSH H,BESSANT J.Approaching the innovation frontier in Korea:the transition phase to leadership[J].Research Policy,2004,33(10):1433-1457.
[45]FAN P.Catching up through developing innovation capability:evidence from China's telecom-equipment industry[J].Technovation,2006,26(3):359-368.
[46]HAMEL G,PRAHALAD C K.Strategic intent[J].Harvard Business Review,2005,83(7/8):148-161.
[47]路风,封凯栋.发展我国自主知识产权汽车工业的政策选择[M].北京:北京大学出版社,2005.
[48]SCHWAB K.The fourth industrial revolution[M].1st ed.New York:Portfolio Penguin,2017.
[49]张利华.华为研发[M].北京:机械工业出版社,2013.