中国制造业追赶情境特殊性对产业追赶绩效的影响机制研究
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摘要
产业技术追赶一直是后发国家非常关注的问题。关于不同产业在追赶绩效上表现出来的巨大差异,以往研究主要从产业的技术学习与追赶情境两个方面寻找原因。不同于发达国家,后发国家的企业技术学习过程表现大量技术解构活动和多主体协作的特征。鉴于以往技术追赶研究中对后发企业技术学习机制中这些特征的忽视,本研究提出了一个基于技术解构和重构视角的技术学习分析框架。此外,以往研究提出的影响产业技术追赶的情境因素主要为技术体制、FDI技术扩散、市场规模和政策制度等,均缺乏对大型新兴经济体追赶情境特殊性的关注。本文将对技术梯度、市场梯度和所有制结构这三个方面的产业情境因素进行刻画,进而对它们与技术学习的交互作用对产业追赶绩效的影响进行探讨与检验,以弥补以往研究中的空缺。
具体而言,本研究包含了四个子研究。子研究1采用一个跨度30年的纵向案例研究,揭示中国后发企业典型的技术学习机制,提出了一个基于技术解构和重构视角的技术学习分析框架。基于此案例研究,我们还提出了技术解构和技术重构的量化措施,即分别开发了适用于企业层研究的问卷数据搜集及测量的方法,以及适用于产业层研究的二手数据搜集及测量的方法。
子研究2和子研究3从技术情境和市场情境着手,分别提出了一个在技术追赶中起重要作用的反映产业技术和市场结构的变量“技术梯度”和“市场梯度”,并讨论了它们与技术解构和重构的交互作用在技术追赶中的作用。采用中国制造业26个行业2001年至2007年的面板数据进行实证检验,我们发现(1)技术解构并不能促使本土企业以更快的速度提升技术水平；而技术重构有利于本土企业以更快的速度提升技术水平,却不能缩小本土企业与外资企业之间的差距。(2)技术梯度或市场梯度越连续的产业,产业内本土企业越能以更快的速度提升技术水平,但未必能表现出更快的与外资企业技术差距的缩小。(3)技术梯度或市场梯度越连续,产业内企业的技术解构越不能使本土企业以更快的速度提升技术水平,也不能使本土企业与外资企业之间的技术差距缩小。(4)技术梯度或市场梯度越连续,研发机构的技术解构越能使本土企业以更快的速度提升技术水平,但越不利于缩小本土企业与外资企业技术差距。(5)市场梯度越连续,技术重构越能使本土企业以更快的速度提升技术水平,且越能缩小本土企业与外资企业技术兰距。
子研究4着重讨论“所有制结构”这一制度情境因素,以及它与技术解构和重构的交互作用在技术追赶中影响。实证结果表明：(1)所有制结构中国有资产比重的高低对本土企业技术提升速度的影响并不显著,但产业国有资产比重高有利于缩小本土企业与对外企之间的技术差距。(2)在国有资产比重高的产业里,技术解构并不会显著影响本土企业技术水平的提升速度,但是却能缩小本土企业与对外企之间的技术差距。(3)关于技术重构,在国有资产比重高的产业里,本土企业自身能从技术解构活动中获得更快的技术提升速度；但本土企业与对外企之间的技术差距却会扩大。最后,本研究还讨论了对政策制订者和管理者的启示。
本研究存在以下几点贡献：(1)针对追赶情境的特殊性提出的基于技术解构和重构视角的技术学习分析框架,对吸收能力观点在追赶情境下的应用进行了很好的补充。(2)提出并检验了“技术梯度”和“市场梯度”这两个分别反映产业技术结构和市场结构的重要构念,拓宽了以往技术追赶影响因素研究的研究视角。(3)证实了技术梯度、市场梯度和所有制结构等情境因素与技术学习的交互作用对追赶绩效的影响,未来研究需要关注技术学习与情境因素的交互作用在追赶中的影响。
This dissertation addresses the issue of industrial technological catch-up in latecomer-countries. Great differences across industries in technological catch-up performance can be seen from the past experiences. To explore the reasons behind industrial performance differences in catching-up, technology learning and some industrial context factors like technological regime, market size and industry policy are proposed in previous research. However, little attention is paid to the characteristic features of technology decomposition and cooperation across organizations in the technology learning process of latecomer-firms. Besides, the context specificity of large emerging economics like China is ignored. This dissertation explores the joint influence of technology learning and some specific industrial context factors (industrial technology ladder, market ladder and ownership structure) on catch-up performance. Specifically, four researches are carried out.
Research1is conducted to understand the technological learning mechanism of latecomer firms. By selecting a Chinese leading enterprise and world-class manufacturer in the air separator system industry as the research subject of our case study, we investigates in depth its technological catching-up process during1978-2008. in which the learning process is decoupled into two complementary processes as learning by decomposition and learning by recombination. Based on the typical mechanisms in learning by decomposition and recombination summarized with empirical evidence, we design the measurement of technology decomposition and technology recombination in both firm level and industry level.
Given the important characteristics of distribution continuity in technology level and market level in developing countries, two concepts are respectively proposed as technology ladder and market ladder. Then, by using an industry-level panel data of Chinese manufacturing enterprises during the period of2001to2007, two empirical studies (research2and research3) are conducted to examine the effects of teclmology ladder and market ladder, and their interaction with tecology learning (technology decomposition and technology recombination) on catch-up performance. The empirical results show that (1) technology decomposition has no significant effect on catch-up performance relative to domestic firms themselves (their past performance). And technology recombination have a positive effect on catch-up performance relative to domestic firms themselves, but negatively related to catch-up performance relative to foreign-fund firms.(2)High distribution continuity in technology and market have a positive effect on catch-up performance relative to domestic firms themselves, but cannot improve catch-up performance relative to foreign-fund firms.(3) In industries with high distribution continuity in technology or market, the effect of technology decomposition conducted by firms in these industries is less positively related to catch-up performance relative to domestic firms themselves, and also cannot improve catch-up performance relative to foreign-fund firms.(4) In industries with high distribution continuity in technology or market, the effect of technology decomposition conducted by research institute in these industries is more positively related to catch-up performance relative to domestic firms themselves, but more negatively related to catch-up performance relative to foreign-fund firms.(5) In industries with high distribution continuity in technology or market, the effect of technology recombination is more positively related to catch-up performance relative to domestic firms themselves, and also can improve catch-up performance relative to foreign-fund firms.
Research4is then conducted to examine the effect of industrial ownership structure and its interaction with technology decomposition and technology recombination on catch-up performance. The empirical results show that (1) high state ownership has no significant effect on catch-up performance relative to domestic firms themselves, and can improve catch-up performance relative to foreign-fund firms.(2) In industries with high state ownership, technology decomposition has no significant effect on catch-up performance relative to domestic firms themselves, but positively related to catch-up performance relative to foreign-fund firms.(3) In industries with high state ownership, technology recombination has a positive effect on catch-up performance relative to domestic firms themselves, but negatively related to catch-up performance relative to foreign-fund firms.
This dissertation contributes to the previous literature on catching-up in the following ways.(1)A technological learning model for catching-up based on the perspective of technology decomposition and learning by recombination is proposed. It extends the absorptive capacity perspective for the context of technological catching-up in emerging economies, with an argument that latecomer firms can build up their absorptive capacity to effectively acquire and utilize external technology through externally accessible expertise other than internally possessed knowledge base, especially at the initial stage of technological catching-up.(2)The proposed concepts technology ladder and market ladder, which are empirically verified to have important effects on catch-up performance, expand the research perspective in the field of catching-up, especially the influencing factors on catch-up.(3)The interaction of technology ladder and market ladder with technology learning is found to have significant effects on catch-up performance, and thus deserve more attention in future research. Finally, policy implication and managerial implication are discussed.
具体而言,本研究包含了四个子研究。子研究1采用一个跨度30年的纵向案例研究,揭示中国后发企业典型的技术学习机制,提出了一个基于技术解构和重构视角的技术学习分析框架。基于此案例研究,我们还提出了技术解构和技术重构的量化措施,即分别开发了适用于企业层研究的问卷数据搜集及测量的方法,以及适用于产业层研究的二手数据搜集及测量的方法。
子研究2和子研究3从技术情境和市场情境着手,分别提出了一个在技术追赶中起重要作用的反映产业技术和市场结构的变量“技术梯度”和“市场梯度”,并讨论了它们与技术解构和重构的交互作用在技术追赶中的作用。采用中国制造业26个行业2001年至2007年的面板数据进行实证检验,我们发现(1)技术解构并不能促使本土企业以更快的速度提升技术水平；而技术重构有利于本土企业以更快的速度提升技术水平,却不能缩小本土企业与外资企业之间的差距。(2)技术梯度或市场梯度越连续的产业,产业内本土企业越能以更快的速度提升技术水平,但未必能表现出更快的与外资企业技术差距的缩小。(3)技术梯度或市场梯度越连续,产业内企业的技术解构越不能使本土企业以更快的速度提升技术水平,也不能使本土企业与外资企业之间的技术差距缩小。(4)技术梯度或市场梯度越连续,研发机构的技术解构越能使本土企业以更快的速度提升技术水平,但越不利于缩小本土企业与外资企业技术差距。(5)市场梯度越连续,技术重构越能使本土企业以更快的速度提升技术水平,且越能缩小本土企业与外资企业技术兰距。
子研究4着重讨论“所有制结构”这一制度情境因素,以及它与技术解构和重构的交互作用在技术追赶中影响。实证结果表明：(1)所有制结构中国有资产比重的高低对本土企业技术提升速度的影响并不显著,但产业国有资产比重高有利于缩小本土企业与对外企之间的技术差距。(2)在国有资产比重高的产业里,技术解构并不会显著影响本土企业技术水平的提升速度,但是却能缩小本土企业与对外企之间的技术差距。(3)关于技术重构,在国有资产比重高的产业里,本土企业自身能从技术解构活动中获得更快的技术提升速度；但本土企业与对外企之间的技术差距却会扩大。最后,本研究还讨论了对政策制订者和管理者的启示。
本研究存在以下几点贡献：(1)针对追赶情境的特殊性提出的基于技术解构和重构视角的技术学习分析框架,对吸收能力观点在追赶情境下的应用进行了很好的补充。(2)提出并检验了“技术梯度”和“市场梯度”这两个分别反映产业技术结构和市场结构的重要构念,拓宽了以往技术追赶影响因素研究的研究视角。(3)证实了技术梯度、市场梯度和所有制结构等情境因素与技术学习的交互作用对追赶绩效的影响,未来研究需要关注技术学习与情境因素的交互作用在追赶中的影响。
This dissertation addresses the issue of industrial technological catch-up in latecomer-countries. Great differences across industries in technological catch-up performance can be seen from the past experiences. To explore the reasons behind industrial performance differences in catching-up, technology learning and some industrial context factors like technological regime, market size and industry policy are proposed in previous research. However, little attention is paid to the characteristic features of technology decomposition and cooperation across organizations in the technology learning process of latecomer-firms. Besides, the context specificity of large emerging economics like China is ignored. This dissertation explores the joint influence of technology learning and some specific industrial context factors (industrial technology ladder, market ladder and ownership structure) on catch-up performance. Specifically, four researches are carried out.
Research1is conducted to understand the technological learning mechanism of latecomer firms. By selecting a Chinese leading enterprise and world-class manufacturer in the air separator system industry as the research subject of our case study, we investigates in depth its technological catching-up process during1978-2008. in which the learning process is decoupled into two complementary processes as learning by decomposition and learning by recombination. Based on the typical mechanisms in learning by decomposition and recombination summarized with empirical evidence, we design the measurement of technology decomposition and technology recombination in both firm level and industry level.
Given the important characteristics of distribution continuity in technology level and market level in developing countries, two concepts are respectively proposed as technology ladder and market ladder. Then, by using an industry-level panel data of Chinese manufacturing enterprises during the period of2001to2007, two empirical studies (research2and research3) are conducted to examine the effects of teclmology ladder and market ladder, and their interaction with tecology learning (technology decomposition and technology recombination) on catch-up performance. The empirical results show that (1) technology decomposition has no significant effect on catch-up performance relative to domestic firms themselves (their past performance). And technology recombination have a positive effect on catch-up performance relative to domestic firms themselves, but negatively related to catch-up performance relative to foreign-fund firms.(2)High distribution continuity in technology and market have a positive effect on catch-up performance relative to domestic firms themselves, but cannot improve catch-up performance relative to foreign-fund firms.(3) In industries with high distribution continuity in technology or market, the effect of technology decomposition conducted by firms in these industries is less positively related to catch-up performance relative to domestic firms themselves, and also cannot improve catch-up performance relative to foreign-fund firms.(4) In industries with high distribution continuity in technology or market, the effect of technology decomposition conducted by research institute in these industries is more positively related to catch-up performance relative to domestic firms themselves, but more negatively related to catch-up performance relative to foreign-fund firms.(5) In industries with high distribution continuity in technology or market, the effect of technology recombination is more positively related to catch-up performance relative to domestic firms themselves, and also can improve catch-up performance relative to foreign-fund firms.
Research4is then conducted to examine the effect of industrial ownership structure and its interaction with technology decomposition and technology recombination on catch-up performance. The empirical results show that (1) high state ownership has no significant effect on catch-up performance relative to domestic firms themselves, and can improve catch-up performance relative to foreign-fund firms.(2) In industries with high state ownership, technology decomposition has no significant effect on catch-up performance relative to domestic firms themselves, but positively related to catch-up performance relative to foreign-fund firms.(3) In industries with high state ownership, technology recombination has a positive effect on catch-up performance relative to domestic firms themselves, but negatively related to catch-up performance relative to foreign-fund firms.
This dissertation contributes to the previous literature on catching-up in the following ways.(1)A technological learning model for catching-up based on the perspective of technology decomposition and learning by recombination is proposed. It extends the absorptive capacity perspective for the context of technological catching-up in emerging economies, with an argument that latecomer firms can build up their absorptive capacity to effectively acquire and utilize external technology through externally accessible expertise other than internally possessed knowledge base, especially at the initial stage of technological catching-up.(2)The proposed concepts technology ladder and market ladder, which are empirically verified to have important effects on catch-up performance, expand the research perspective in the field of catching-up, especially the influencing factors on catch-up.(3)The interaction of technology ladder and market ladder with technology learning is found to have significant effects on catch-up performance, and thus deserve more attention in future research. Finally, policy implication and managerial implication are discussed.
引文
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