追赶战略下后发国家制造业技术能力提升研究
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摘要
在经济全球化进程加速的今天,面临全球生产和市场高度一体化的格局,在依靠所谓“比较优势”或“后发优势”皆陷入困境的情势下,通过技术进步来推动经济增长就成为后发国家实现对发达国家经济追赶的现实选择。所以说在快速全球化形势下,后发国家经济追赶愈来愈依赖于技术的追赶。而技术的追赶就要求后发国家不断提升自身的技术能力,只有通过努力实现技术能力的快速提升才能帮助后发国家成为全球化进程中的胜利者。因此,如何快速有效地提升技术能力就成为后发国家经济和技术追赶中必要关注的议题。本论文从产业视角、通过理论与实证研究相结合、以制造业为对象系统研究追赶战略下后发国家制造业的技术能力提升问题。在从内涵、构成、演化轨迹、建立和提升机制等方面综述已有技术能力理论研究的基础上,论文主要研究工作如下:
首先,在拓展技术追赶理论的基础上,提出追赶战略下后发国家制造业技术能力提升的整合框架。论文对已有技术追赶模式理论进行拓展,提出同轨道跟随型、同轨道差异型、异轨道崛起型及后轨道创造型四种后发国家产业技术追赶模式。论文认为追赶战略下后发国家产业技术能力发展应具备加速度提升、以自主创新为目标、以领先者为参照、系统协同发展等特性。接着提出追赶战略下后发国家制造业技术能力提升的“产业—企业—政府主导项目”三层面框架——指出在产业层面,要通过产业规划、政策支持等产业行为来改变技术空心化状态,实现产业技术链中各环节的协同发展;在企业层面,技术能力提升的投入和行动主要从企业内部努力和外部支持两个方面去综合考虑;在政府主导项目层面,应通过有效的项目实践实现产业关键技术的自主开发和追赶领先。
其次,在厘清后发国家产业与技术协同发展机理的基础上,提出追赶战略下后发国家制造业产业层面的技术能力提升机制。论文提出后发国家产业与技术协同发展的起步模式与发达国家产业与技术协同发展模式不同——在发展中国家是“产业发展拉动技术进步”而在发达国家是“技术进步推动产业发展”。界定制造业核心产业链与核心技术链内涵与构成的基础上,指出为了实现追赶战略,后发国家就必须以核心产业链和核心技术链的协同发展来带动产业和技术的协同发展,起步阶段则是在构建核心产业链的基础上逐步打造自有的核心技术链。论文指出后发国家制造业由低端的终端产品加工环节逐步向高端延伸直至构建起完备的核心产业链是掌握产业核心技术、提升产业技术能力的基础,并提出了基于核心产业链延伸的后发国家制造业技术能力提升机制,包含两层次内容——核心产业链上“产品架构技术—核心元件技术—关键制造技术”的演化过程和各环节中“引进使用—消化吸收—自主开发”的演化过程。论文以华松公司在视听设备产业的技术能力提升实践为案例进一步分析论证。
再次,构建基于“产业环境驱动—技术合作网络—外部技术转移—内部技术努力”四维度因素的后发国家制造业企业层面技术能力提升机制模型,并进行实证研究。论文在界定后发国家制造业企业技术能力内涵的基础上,从产业环境驱动、技术合作网络、外部技术转移、内部技术努力四维度分析后发国家企业技术能力提升的影响因素,并提出相关假设、构建了后发国家制造业企业技术能力提升机制的理论模型。通过以中国技术密集型制造企业为样本的实证研究表明:产业环境驱动维度的因素都对技术能力提升有显著影响,其中政策支持和产业协同对能力提升呈正向影响、而市场压力对能力提升呈负向影响;技术合作网络维度的纵向和横向合作关系对技术能力提升没有显著影响;外部技术转移对技术能力提升呈现出显著负向影响;内部技术努力中的技术投入对技术能力提升有显著正向影响,但创新氛围对技术能力提升没有显著影响。结合中国企业实际对实证研究中的异常结果进行深入讨论发现,研究中异常结果的出现都有其现实的缘由;论文结合实证结果的分析与讨论,探讨了中国制造业企业技术能力提升的策略。
最后,在分析制造业政府主导项目层面技术对象特征的基础上,从现实基础、实现途径、组织方式等方面探讨后发国家制造业政府主导项目层面技术能力提升机制。论文从技术对象自身特点和后发国家面临问题两方面研究制造业政府主导项目层面技术对象的特征。论文在分析知识基础与技术努力动态交互关系的基础上,指出政府主导项目是产业关键技术实现从吸收改进到自主创新跨越中的特殊技术努力方式,而政府主导项目层面技术能力提升的现实平台就是经历引进使用和吸收改进阶段后逐渐累积的知识基础及基于其而形成的技术改进或创造性模仿能力。研究指出技术集成创新是后发国家制造业政府主导项目层面技术能力提升的最主要途径,并从模块划分、模块转换、模块层集成和系统层集成等环节分析政府主导项目层面技术集成创新过程。论文指出技术对象特性和后发国家面临问题决定了合作创新网络必然成为制造业政府主导项目层面技术能力提升的组织方式,接着从概念引导或开发平台、技术集成、应用和反馈、立项或资金支持等方面分析后发国家制造业政府主导项目层面技术能力提升中合作创新网络的主体结构。论文以中国干熄焦技术装置自主创新项目为案例进一步分析论证。
As the accelerative pace of economic globalization, increasing amalgamation of global production and market, and both "Comparative advantages" and "The advantage of backwardness" facing predicament, pushing economic growth through technological progress is the realistic choice for developing countries' economic catch-up. So developing countries' economic catch-up increasingly depends on technological catch-up under the accelerated globalization. Technological catch-up requires enhancing the technological capabilities (TC) continuously, because none but TC development can help developing countries to be the winner in the course of globalization. Consequently, how to enhance their TC rapidly must be the key issue for developing countries' catch-up. With industrial perspective, the dissertation studies the TC development mechanism of the developing countries' manufacturing uder the catch-up strategy through theoretical and empirical analysis. Based on reviewing the previous studies of TC theory from concept, element, evolutive track, and building or developing mechanism, the dissertation involves the following contents:
Firstly, the dissertation presents the TC development framework of developing countries' manufacturing uder catch-cp strategy, based on extending technological catch-up theory. The study concludes four catching-up models in developing countries: following on the same trajectory, diversifying on the same trajectory, growing up on the different trajectory, and creating on the later trajectory. Following points out the characters of TC development uder catch-up strategy are acceleration, aiming at independent innovation, comparing with leaders, and synergistic growth, the dissertation analyzes the "industry-firm-national project" framework of TC development: developing countries should change the status without core technology and make all nodes of industrial technology develop harmoniously at industrial level, enhance TC from inner efforts and exterior supports at firm level, and realize the core technology's independent innovation and catch-up at national project level.
Secondly, based on analyzing the synergistic development mechanism of industry and technology, the dissertation presents the TC development mechanism of the developing countries' manufacturing uder the catch-up strategy at industrial level. This dissertation points out the inchoative pattern of developing countries' synergistic development of industry and technology is not developed countries' "technological progress push industrial improvement" but "industrial improvement pull technological progress". After defining core industry chain and core technology chain, it concludes that developing countries must push the synergistic development of industry and technology based on synergistic development of core industry chain and core technology chain, then points out core industry chain extension is the foundation of enhancing TC, and presents the TC development mechanism of developing countries' manufacturing based on core industry chain extension, involving two aspects: development of "product architectural technology-core element technology-key manufacture technology" on the core technology chain and development of "use-assimilation-independent innovation" at each node of core technology chain, and analyses the case of TC evolvement of China Hualu Panasonic AVC Co. LTD. in audio-visual equipment industry.
Thirdly, the dissertation constructs a model of TC development of developing countries' manufacturing firms based on four dimensions: industrial environment driving, technological cooperative network, outer technological transfer, and inner technological efforts, then makes empirical analysis. After defining the TC of developing countries' manufacturing firms, this dissertation analyses the factors for firm's TC from above four dimensions, and presents the model of TC development of developing countries' manufacturing firms. The empirical analysis based on Chinese technology-intensive manufacturing firms indicates: (l)the factors of industrial environment driving all influence TC remarkably, policy supports and industial synergy have positive influence but market pressure has negative influence, (2)the longitudinal and transverse relation of technological cooperative network have no remarkable influence on TC development, (3)outer technological transfe has negative influence, and (4)about the dimension of inner technological efforts, technological investment has positive influence on TC development but innovation atmosphere has no remarkable influence. Then this dissertation discusses the reason of the exceptional empirical results combined with reality, and makes suggestions for TC development of Chinese manufacturing firms.
Lastly, based on analysing the characters of technical object of manufacturing national project, the dissertation discusses TC development mechanism of the developing countries' manufacturing at national project level from practical foundation, approach and organizational mode. The dissertation analyses the characters of technical object from the object's speciality and developing countries' matters, and the dynamic interrelation of knowledge base and technological efforts, and points out the national project is a special technological effort for realizing independent innovation, and that the base of TC development is the knowledge base cumulated from using and assimilating and the capabilities of improving and innovational imitating. This dissertation points out technology integration innovation is the primary approach of TC development at national project level, and analyses the process of it from modularizing, module-switching, module-integration, and system-integration. The dissertation points out cooperative innovation network is the primary organizational mode for TC development at national project level because of the object's speciality and developing countries' matters, and discusses the structure of it from notion-leading or platform, technology integration, application- feedback, and sponsoring or funding, then analyses the case of independent innovation of Coke Dry Quenching Technique.
首先,在拓展技术追赶理论的基础上,提出追赶战略下后发国家制造业技术能力提升的整合框架。论文对已有技术追赶模式理论进行拓展,提出同轨道跟随型、同轨道差异型、异轨道崛起型及后轨道创造型四种后发国家产业技术追赶模式。论文认为追赶战略下后发国家产业技术能力发展应具备加速度提升、以自主创新为目标、以领先者为参照、系统协同发展等特性。接着提出追赶战略下后发国家制造业技术能力提升的“产业—企业—政府主导项目”三层面框架——指出在产业层面,要通过产业规划、政策支持等产业行为来改变技术空心化状态,实现产业技术链中各环节的协同发展;在企业层面,技术能力提升的投入和行动主要从企业内部努力和外部支持两个方面去综合考虑;在政府主导项目层面,应通过有效的项目实践实现产业关键技术的自主开发和追赶领先。
其次,在厘清后发国家产业与技术协同发展机理的基础上,提出追赶战略下后发国家制造业产业层面的技术能力提升机制。论文提出后发国家产业与技术协同发展的起步模式与发达国家产业与技术协同发展模式不同——在发展中国家是“产业发展拉动技术进步”而在发达国家是“技术进步推动产业发展”。界定制造业核心产业链与核心技术链内涵与构成的基础上,指出为了实现追赶战略,后发国家就必须以核心产业链和核心技术链的协同发展来带动产业和技术的协同发展,起步阶段则是在构建核心产业链的基础上逐步打造自有的核心技术链。论文指出后发国家制造业由低端的终端产品加工环节逐步向高端延伸直至构建起完备的核心产业链是掌握产业核心技术、提升产业技术能力的基础,并提出了基于核心产业链延伸的后发国家制造业技术能力提升机制,包含两层次内容——核心产业链上“产品架构技术—核心元件技术—关键制造技术”的演化过程和各环节中“引进使用—消化吸收—自主开发”的演化过程。论文以华松公司在视听设备产业的技术能力提升实践为案例进一步分析论证。
再次,构建基于“产业环境驱动—技术合作网络—外部技术转移—内部技术努力”四维度因素的后发国家制造业企业层面技术能力提升机制模型,并进行实证研究。论文在界定后发国家制造业企业技术能力内涵的基础上,从产业环境驱动、技术合作网络、外部技术转移、内部技术努力四维度分析后发国家企业技术能力提升的影响因素,并提出相关假设、构建了后发国家制造业企业技术能力提升机制的理论模型。通过以中国技术密集型制造企业为样本的实证研究表明:产业环境驱动维度的因素都对技术能力提升有显著影响,其中政策支持和产业协同对能力提升呈正向影响、而市场压力对能力提升呈负向影响;技术合作网络维度的纵向和横向合作关系对技术能力提升没有显著影响;外部技术转移对技术能力提升呈现出显著负向影响;内部技术努力中的技术投入对技术能力提升有显著正向影响,但创新氛围对技术能力提升没有显著影响。结合中国企业实际对实证研究中的异常结果进行深入讨论发现,研究中异常结果的出现都有其现实的缘由;论文结合实证结果的分析与讨论,探讨了中国制造业企业技术能力提升的策略。
最后,在分析制造业政府主导项目层面技术对象特征的基础上,从现实基础、实现途径、组织方式等方面探讨后发国家制造业政府主导项目层面技术能力提升机制。论文从技术对象自身特点和后发国家面临问题两方面研究制造业政府主导项目层面技术对象的特征。论文在分析知识基础与技术努力动态交互关系的基础上,指出政府主导项目是产业关键技术实现从吸收改进到自主创新跨越中的特殊技术努力方式,而政府主导项目层面技术能力提升的现实平台就是经历引进使用和吸收改进阶段后逐渐累积的知识基础及基于其而形成的技术改进或创造性模仿能力。研究指出技术集成创新是后发国家制造业政府主导项目层面技术能力提升的最主要途径,并从模块划分、模块转换、模块层集成和系统层集成等环节分析政府主导项目层面技术集成创新过程。论文指出技术对象特性和后发国家面临问题决定了合作创新网络必然成为制造业政府主导项目层面技术能力提升的组织方式,接着从概念引导或开发平台、技术集成、应用和反馈、立项或资金支持等方面分析后发国家制造业政府主导项目层面技术能力提升中合作创新网络的主体结构。论文以中国干熄焦技术装置自主创新项目为案例进一步分析论证。
As the accelerative pace of economic globalization, increasing amalgamation of global production and market, and both "Comparative advantages" and "The advantage of backwardness" facing predicament, pushing economic growth through technological progress is the realistic choice for developing countries' economic catch-up. So developing countries' economic catch-up increasingly depends on technological catch-up under the accelerated globalization. Technological catch-up requires enhancing the technological capabilities (TC) continuously, because none but TC development can help developing countries to be the winner in the course of globalization. Consequently, how to enhance their TC rapidly must be the key issue for developing countries' catch-up. With industrial perspective, the dissertation studies the TC development mechanism of the developing countries' manufacturing uder the catch-up strategy through theoretical and empirical analysis. Based on reviewing the previous studies of TC theory from concept, element, evolutive track, and building or developing mechanism, the dissertation involves the following contents:
Firstly, the dissertation presents the TC development framework of developing countries' manufacturing uder catch-cp strategy, based on extending technological catch-up theory. The study concludes four catching-up models in developing countries: following on the same trajectory, diversifying on the same trajectory, growing up on the different trajectory, and creating on the later trajectory. Following points out the characters of TC development uder catch-up strategy are acceleration, aiming at independent innovation, comparing with leaders, and synergistic growth, the dissertation analyzes the "industry-firm-national project" framework of TC development: developing countries should change the status without core technology and make all nodes of industrial technology develop harmoniously at industrial level, enhance TC from inner efforts and exterior supports at firm level, and realize the core technology's independent innovation and catch-up at national project level.
Secondly, based on analyzing the synergistic development mechanism of industry and technology, the dissertation presents the TC development mechanism of the developing countries' manufacturing uder the catch-up strategy at industrial level. This dissertation points out the inchoative pattern of developing countries' synergistic development of industry and technology is not developed countries' "technological progress push industrial improvement" but "industrial improvement pull technological progress". After defining core industry chain and core technology chain, it concludes that developing countries must push the synergistic development of industry and technology based on synergistic development of core industry chain and core technology chain, then points out core industry chain extension is the foundation of enhancing TC, and presents the TC development mechanism of developing countries' manufacturing based on core industry chain extension, involving two aspects: development of "product architectural technology-core element technology-key manufacture technology" on the core technology chain and development of "use-assimilation-independent innovation" at each node of core technology chain, and analyses the case of TC evolvement of China Hualu Panasonic AVC Co. LTD. in audio-visual equipment industry.
Thirdly, the dissertation constructs a model of TC development of developing countries' manufacturing firms based on four dimensions: industrial environment driving, technological cooperative network, outer technological transfer, and inner technological efforts, then makes empirical analysis. After defining the TC of developing countries' manufacturing firms, this dissertation analyses the factors for firm's TC from above four dimensions, and presents the model of TC development of developing countries' manufacturing firms. The empirical analysis based on Chinese technology-intensive manufacturing firms indicates: (l)the factors of industrial environment driving all influence TC remarkably, policy supports and industial synergy have positive influence but market pressure has negative influence, (2)the longitudinal and transverse relation of technological cooperative network have no remarkable influence on TC development, (3)outer technological transfe has negative influence, and (4)about the dimension of inner technological efforts, technological investment has positive influence on TC development but innovation atmosphere has no remarkable influence. Then this dissertation discusses the reason of the exceptional empirical results combined with reality, and makes suggestions for TC development of Chinese manufacturing firms.
Lastly, based on analysing the characters of technical object of manufacturing national project, the dissertation discusses TC development mechanism of the developing countries' manufacturing at national project level from practical foundation, approach and organizational mode. The dissertation analyses the characters of technical object from the object's speciality and developing countries' matters, and the dynamic interrelation of knowledge base and technological efforts, and points out the national project is a special technological effort for realizing independent innovation, and that the base of TC development is the knowledge base cumulated from using and assimilating and the capabilities of improving and innovational imitating. This dissertation points out technology integration innovation is the primary approach of TC development at national project level, and analyses the process of it from modularizing, module-switching, module-integration, and system-integration. The dissertation points out cooperative innovation network is the primary organizational mode for TC development at national project level because of the object's speciality and developing countries' matters, and discusses the structure of it from notion-leading or platform, technology integration, application- feedback, and sponsoring or funding, then analyses the case of independent innovation of Coke Dry Quenching Technique.
引文
[1]引自:林毅夫.发展战略、自生能力和经济收敛[J].经济学(季刊).2002,1(2):269-300.中国学术期刊(光盘版)电子杂志社编者注:本文标题、正文及目录中涉及台湾的地方的“国家”均应为“国家(地区)”。
[1][英]安格斯·麦迪森(Angus Maddison)编着.伍晓鹰,许宪春,等译.世界经济千年史[M].北京:北京大学出版社.2003.
[1]李廉水,杜占元(主编).中国制造业发展研究报告2006[M].北京:科学出版社,2006。
[2]同上。
[3]装配产品主要是指由多部件组成的、工艺过程较为离散的产品,如电器、汽车、机械装备等;非装配产品主要是指构成较为简单、工艺过程较为连续的产品,如玻璃、钢铁等。
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