企业技术学习的模式与技术能力积累途径的螺旋运动过程
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摘要
近年来,世界的政治-经济一体化和我国加入WTO的临近,我们企业面临的国际环境发生了很大变化。随着我国经济改革的深入,人民生活水平的提高和企业竞争的加剧,企业面对的国内社会-经济环境也发生了巨大变化。这些变化都在不同程度上使迅速提高技术创新能力成为我国企业进一步发展的现实要求。自70年代末改革开放以来,我国企业的技术水平取得了很大进步,技术创新也逐渐为企业普遍重视,进而成为企业中最受关注的工作。但是可以说,我们大多数企业技术进步的速度,技术创新的力度,都远未达到应有的水平。因此,深入研究企业技术能力积累与提高的机制与途径,特别是对西方的技术创新能力的理论和管理方法如何与我国企业的实践相结合,探索具有中国特色的企业技术创新能力理论和方法,具有重要的理论价值和现实意义。
     第一章绪论从我国企业技术创新和技术进步的实际问题出发,在微观和宏观两个层面上论述了技术能力积累与提高的历史和现实意义。然后从理论上对技术能力和创新能力的研究状况进行了系统地梳理和评述,为本文的研究指明了方向。
     企业技术能力不仅体现为设备和技术知识与技能,而且也依赖于企业的技术组织、技术网络和技术战略。第二章首先分析了技术能力的四个维度及其相互关系,然后从知识角度,讨论技术能力的本质及其层次性,从而加深了我们对技术能力这个概念的理解和认识。在此基础上,研究了技术能力演化的基本模式和轨迹。特别对于发展中国家,提出了企业技术能力从仿制能力到创造性模仿能力,再到自主创新能力的基本演化模式。
     最后剖析了杭氧、西湖电子、长虹、东方通信和海尔的技术能力发展历程,由此指出前面提出的基本演化模式的一般性。并通过比较几个企业的技术能力各维度的变化情况,归纳出企业建立创造性模仿能力的成功因素。
     第三章探讨企业技术能力提高的机制。文章首先从企业的内外部环境出发,考察企业技术能力提高的动力机制、知识获取机制、知识共享与知识操作机制和技术投入机制。从宏观与微观、静态与动态多个维度出发,揭示出技术学习(特别是联盟学习与网络中学习)的本质内涵和作用机制。
     然后以长虹、东方通信、横店集团和海尔公司为例,对我国企业技术能力的提高过程进行典型案例分析。研究我国企业在从仿制能力、到创造性模仿能力、再到自主创新的演化与摸索过程中,开展技术学习的成功经验和失败教训,由此归纳出企业技术学习的基本模式。在此基础上,从组织学习角度探讨技术能力提高中技术学习的机理,提出了基于知识吸收的技术学习模式,从理论上阐明了技术学习的基本模式。
     最后,将市场需要、市场竞争与企业的技术追赶结合起来,深入探讨企业技术能力转换的逻辑。在此基础上,通过构建博弈论模型,分析企业进行战略性学习、特别是网络学习的关键因素,可供正在进行技术赶超或即将进行赶超的我国企业借鉴。
     第四章是技术能力提高的途径和知识网络。首先从技术能力积累的机制与知识管理出发,研究内部途径和外源途径在技术能力演化中的互补作用,提出了技术能力形成的内外途径交替的双螺旋模式。每个阶段中技术能力积累途径
    
     浙江大学博士学位论文
    都经历了从外部技术源到内部学习的转换过程,这样就构成了技术知识外源与
    内部技术学习的三次循环。然后将技术学习机制与能力积累途径结合起来,比
    较研究几个成功(或阶段性成功)进行了技术能力积累和转换的我国企业(杭
    氧、长虹、东信、西湖电子人一方面证实前面提出的理论框架,另一方面加深
    我们对这一积累规律的认识。
     最后通过对典型企业(长虹、海尔、华为等)的分析,研究网络中的组织
    机构对于企业生产与创新的重要性。在此基础上,使用统计分析研究知识网络
    中不同的组织机构对形成技术能力的不同维度的作用,统计分析的结果表明:1)
    如果企业与国际大公司有多年的密切技术联系,那么它具有较强的跟随创新能’
    力,能够快速推出国际最新产品;2)如果企业与其产品用户有多年的密切联系,
    则其开发差异化产品的能力比较强,能够根据用户的潜在需要,不断推出新产
    品;3)我国大多数企业现阶段总是重点发展跟随创新能力和开发差异化产品的
    能力中的一个方面。
     第五章在前面提出的理论框架下,构建了系统动力学模型模拟企业技术能
    力提高和资金积累的作用。主要进行以下两项政策分析:()技术能力目标的
    设定和企业在内外途径的技术投入比例对技术能力提高的影响。通过在不同指
    标组合下的模拟分析,得出在企业技术能力演化的三个不同阶段,企业的内外
    投入比例也应作相应变化,并找出了有利于技术能力提高的比例范围。(2)分
    析资金积累率对企业发展的影响,通过模型的模拟分析,寻找出合理的资金积。
    累率范围,在理论上为企业指出资金积累目标。
     I
     本文的主要创新点:(1)提出了发展中国家技术能
In recent years, Chinese firms are faced with a great amount of dramatic changes in business environment. These changes make it necessary for Chinese firms to enhance their technological innovation capability rapidly. Thanks to the reformation of Chinese firms, the technological level is greatly improved. Many firms gradually attachh importance to technological innovation, which is becoming the source of competitive advantage. But the speed of many firms' advancement of technology and the extent of their technological innovation hasn't reached the level to which they could have got. Therefore, the research on mechanism and the path of the advancement of technological competence, by combining the theories and management methods of western firms' on technological innovation competence and Chinese firms' pratice, has great theoretical value and practical meaning to facilitate the innovation efficiency and economic performance of Chinese firms.
    In Chapter 1, the historic and practical meaning of technological competence accumulation is discussed, by going over the practice and existing problems of Chinese firms' technological innovation. Then the development and the state-arts of technological innovation competence theory is systematically reviewed in details, which shows clearly the direction for the following research.
    A firm's technological competence is not only embodied in equipment, technological knowledge and technique, but also depends on the firm's technological organization, knowledge network and technological strategy.
    In Chapter 2, the four dimensions of technological competence and their interrelation are analyzed firstly. Then according to knowledge theory, the essence and levels of technological competence are discussed. Based on this, the basic model and track of technological competence evolution are studied. For developing countries in particular, a basic evolutionary model of technological competence is put forward, that as from imitation and manufacture capability to creative imitation capability, then to indigenous innovation capability.
    Finally, the technological competence building and enhancing process of I]angzhou Oxygen-making Generator Manufacturer, West-Lake Electric, Changhong, Eastcom, and I-laier are discussed, which indicates universality of the basic evolutionary model. By comparing the change of technological competence's dimentions of the five firms, the successful factors of building creative imitation capability are induced.
    In Chapter 3, in view of firm's internal and external environment, the drive mechanism, knowledge capture mechanism, knowledge share, knowledge process and technology investment mechanism are discussed, thus the essence and mechanism of technology learning are presented.
    
    
    
    Tfren the representative cases of Changhong, Eastcom, Haier and Hengdian are analyzed. By reviewing the successful experience and failing lessons of Chinese firms that learn technology, the baisc model of technology learning is induced. Consequently, from the point of view of organization learning, the mechanism of technology learning on the technological competence building process is discussed, the model of technology learning based-on knowledge absorbing is put forward, which clarifies the basic model of technology learning in theory.
    Finally, combined with customer demand, market competitive and technology chase, the logic of firm's technological competence transformation is discussed. By seting up a game model, the key factors of strategic learning, in particular network learning, are studied.
    Chapter 4 first focuses on the interaction and reinforce to each other of internal R&D and external knowledge in the process of technological competence evolution, the model of the two paths' circle action is put forward. In every phase of technological competence, the path of technological competence accumulation transforms from external knowledge assimilation to internal learning, these form three circles from external path to internal path.
    Finally, the importance of organizati
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