云南矿业的技术跨越模式发展研究
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摘要
目前,对于技术跨越的定义,在国内外尚没有形成统一的认识。但是,结合国内外对技术跨越概念的不同定义和理解,我们可以提出一个结合了中国国情,适用于中国的技术跨越概念,即技术跨越是在借鉴发达国家发展经验的基础上集成自主创新和国外先进技术,跨越技术发展的某些阶段,直接应用开发新技术和新产品,进而形成优势产业,提高国家的综合国力,是实现技术进步的重要方式。现在主要有四种比较具体的跨越模式,即自主、引进、并购与合作技术跨越。在进行技术跨越模式选择的过程中,主要应该考虑三方面的因素：一是市场实现环境,二是技术环境,三是能力环境。一个国家经济与技术跨越,需要根据市场实现环境、技术环境和能力环境来确定技术跨越的战略；市场需求越大(也包括潜在需求的迅速成长),生产越易获得规模经济和学习效应,技术演进越具有可预测性且变动缓慢或者技术演化处于混沌期；资源越丰裕,调动外部资源的能力越强,技术差距越大,外部技术获得越容易,技术跨越的窗口越容易打开,否则技术跨越的机会窗口较难开启,技术跨越的目标也较难实现。任何行业、任何企业在进行技术跨越的时候往往不是处在单一的环境中,而是处在以上三种环境的复合体,因此要对这三方面进行综合分析与评价。
本文通过对技术跨越概念以及技术跨越在很多国家运用的成功案例的相关文献的分析,结合行业特征,运用层次分析法分析得出云南矿业适宜采用引进技术跨越模式来取得技术进步。最后,以具有代表性的大型国有企业云南铜业股份有限公司为例,分析其通过引进技术跨越所取得的成绩,进一步说明云南矿业采用引进技术跨越模式的必要性和重要性。然而,技术跨越模式选择并不是单一的,除了采用引进技术跨越,云南矿业还应该积极探索自主跨越和合作跨越模式,以争取云南矿业更加健康、更加快速的发展。
Currently, the definition of leapfrogging has not formed a unified understanding at home and abroad. However, combining the different definitions of leapfrogging at home and abroad, we can propose a definition with combination of China's national conditions that leapfrogging is integrating innovation and foreign countries'advanced technologies on the basis of learning developed countries'developing experience, skipping some edges of leapfrogging and directly developing new technologies and new products, and then forming leading edge industries, raising the country's comprehensive national strength. It is an important way to achieve technological progress. Now, there are four main specific leapfrogging models, which are self-innovation, introduction, mergers and acquisitions and cooperation leapfrogging. In the process of choosing leapfrogging models, the main consideration should be given three factors:the market environment, technological environment and ability environment. The market environment, technological environment and ability environment are used to determine the leapfrogging strategies of a country's economic and technological leapfrogging. The greater market demands (including the rapid growth of potential demand), the easier production obtains scale economies and learning effects, and the more predictable technology evolves. The more affluent resources are, the stronger the ability to mobilize external resources. The greater the technology differ, the easier external technology gains, the easier the window of leapfrogging opens, or else that the opportunity window's difficult opening will result in the difficult to realize the leapfrogging goals. Any industry and any business is not in a single environment when carrying out technological leapfrogging, but rather the environment of these three factors complexes, and therefore these three aspects are needed to be analyzed and evaluated.
In this paper, through analyzing the concept of leapfrogging and the successful cases used in many countries of leapfrogging in relevant literature, Mining industry in Yunnan is proposed to adopt the introduction leapfrogging to obtain technical progress. At the same time, this paper introduces the analytic hierarchy process to prove the correctness of Yunnan mining industry choosing introduction leapfrogging model. At last, take the large state-owned enterprise Yunnan Copper Industry Co.,Ltd for example, its achievements by introducing technology explain the necessity and importance for mining industry to adopt introduction leapfrogging model. However, the choice of leapfrogging model is not a single, addition to the introduction leapfrogging model, Yunnan mining should also actively explore their own self-innovation and co-operation leapfrogging models to strive for fuller and more rapid development.
本文通过对技术跨越概念以及技术跨越在很多国家运用的成功案例的相关文献的分析,结合行业特征,运用层次分析法分析得出云南矿业适宜采用引进技术跨越模式来取得技术进步。最后,以具有代表性的大型国有企业云南铜业股份有限公司为例,分析其通过引进技术跨越所取得的成绩,进一步说明云南矿业采用引进技术跨越模式的必要性和重要性。然而,技术跨越模式选择并不是单一的,除了采用引进技术跨越,云南矿业还应该积极探索自主跨越和合作跨越模式,以争取云南矿业更加健康、更加快速的发展。
Currently, the definition of leapfrogging has not formed a unified understanding at home and abroad. However, combining the different definitions of leapfrogging at home and abroad, we can propose a definition with combination of China's national conditions that leapfrogging is integrating innovation and foreign countries'advanced technologies on the basis of learning developed countries'developing experience, skipping some edges of leapfrogging and directly developing new technologies and new products, and then forming leading edge industries, raising the country's comprehensive national strength. It is an important way to achieve technological progress. Now, there are four main specific leapfrogging models, which are self-innovation, introduction, mergers and acquisitions and cooperation leapfrogging. In the process of choosing leapfrogging models, the main consideration should be given three factors:the market environment, technological environment and ability environment. The market environment, technological environment and ability environment are used to determine the leapfrogging strategies of a country's economic and technological leapfrogging. The greater market demands (including the rapid growth of potential demand), the easier production obtains scale economies and learning effects, and the more predictable technology evolves. The more affluent resources are, the stronger the ability to mobilize external resources. The greater the technology differ, the easier external technology gains, the easier the window of leapfrogging opens, or else that the opportunity window's difficult opening will result in the difficult to realize the leapfrogging goals. Any industry and any business is not in a single environment when carrying out technological leapfrogging, but rather the environment of these three factors complexes, and therefore these three aspects are needed to be analyzed and evaluated.
In this paper, through analyzing the concept of leapfrogging and the successful cases used in many countries of leapfrogging in relevant literature, Mining industry in Yunnan is proposed to adopt the introduction leapfrogging to obtain technical progress. At the same time, this paper introduces the analytic hierarchy process to prove the correctness of Yunnan mining industry choosing introduction leapfrogging model. At last, take the large state-owned enterprise Yunnan Copper Industry Co.,Ltd for example, its achievements by introducing technology explain the necessity and importance for mining industry to adopt introduction leapfrogging model. However, the choice of leapfrogging model is not a single, addition to the introduction leapfrogging model, Yunnan mining should also actively explore their own self-innovation and co-operation leapfrogging models to strive for fuller and more rapid development.
引文
[1] Luc Soete. International diffusion of technology, industrial development and technological leapfrogging [J]. World Development,1985,13(3)
[2] Koh Ai Tee. Asian miracle:The scientific and technological demension [Z]. International Engineering Management Conference, pp.68-73, Jun,1995
[3] Lee K, Lim C S. Technological regimes, catching-up and leapfrogging:Findings from the Korean industries Source [J]. Research Policy,2001,30(Mar):459-483.
[4] Hobday M. Innovation in East Asia:diversity and development[J]. Technovation,1995,15(March):55-63
[5]张晶.“技术跨越”的解读与重构[J].科学学与科学技术管理,2004(5)：9-14
[6]马庆国,胡隆基.技术跨越概念的定义研究[J].科研管理,2007(9)：9-17
[7] Perez, C. and L. Soete. Catching up in technology:entry barriers and windows of opportunity [C]. Technological changes and economic theory,1988
[8] Perez, C. Technological change and opportunities for development as a moving target [R]. UNCTAD X, High level round table on trade and development:directions for the twenty first century,2000(2)
[9] Davison, R., Vogel, D., Harris, R., Jones, N. Technology leapfrogging in developing countries-An inevitable luxury? [J] The Electronic Journal of Information Systems in Developing Countries,2000
[10] Steinmuller, W. E. ICTs and the possibilities for leapfrogging by developing countries[J] International Labor Review,2001,140(2):193-210
[11]. Keun Lee and Chaisung Lim. Technological regimes, catching-up and leapfrogging:findings from the Korean industries [J]. Research Policy,2001
[12] Brezis, E. S., Krugman, P. R. and Tsiddon, D. Leapfrogging in international competition:A Theory of cycles in national technological leadership [J]. The American Economic Review,1993,83(5):1211-1219
[13]徐冠华.突出原始创新,实现技术跨越,见中国科技发展战略研究小组：中国科技发展研究报告(2001)[R].中共中央党校出版社,2002
[14] 陈德智等.技术跨越模式，[EB/OL]. http//www. stosm.gov. cn/research/ref_report/20031027. asp
[15]姚志坚.技术跨越的理论与实证研究[D].浙江大学博士论文,2001
[16]马庆国,胡隆基,姚志坚.技术跨越论[M].北京：科学出版社,2008：25-27
[17]王伯鲁.产业技术跨越的社会基础与基本模式剖析[J].自然辩证法研究,1999(15)
[18]宋建元,金三林.跨越式发展理论分析与路径选择[J].未来与发展,2001
[19]李健.加强技术创新,实施技术跨越[J].中国机械工程,2001(11)
[20]徐冠华.在全国软科学大会上的讲话[J].科学学研究,2001(19)(增刊)
[21]何祚庥.关注世纪性[J].中国科学月报,1999(12)
[22]张鹏,朱常俊.论技术跨越的实现途径以及对我国政府的启示[J].科学学研究,2007(2)
[23] Brown M, On the theory and measurement of technological change,1966。转引自桑庚淘,郑绍濂著,《科技经济学》,复旦大学出版社,1995：198
[24]张明玉.技术跨越战略与管理[M].北京：中国经济出版社,2001：8-9
[25]陈德智,肖宁川.自主-技术跨越模式研究[J].科技管理研究,2004(1)：120-122
[26]陈德智,肖宁川.引进-技术跨越模式研究[J].中外科技信息,2003(11)：71-73
[27] Grenadier Steven R, Weiss Allen M. Investment in technological innovations:an option pricing approach [J]. Journal of Financial Economics,1997
[28]伍迪.反求工程与技术创新[J].西昌学院学报；2007(12)：53-54
[29]陈德智.技术跨越的两个基本模式[J].上海管理科学,2005(3)：60-62
[30]陈德智,肖宁川.并购-技术跨越模式研究[J].科技管理研究,2003(1)：65-67
[31]陈德智,肖宁川.合作-技术跨越模式研究[J].中外科技信息,2003(4)：54-56
[32]吴晓波,陈宗年,曹体杰.技术的环境分析与模式选择[J].研究与发展管理,2005(2)：66-72
[33]陈伟.技术创新追赶陷阱[J].中外科技政策与管理,1996(1)：89-91
[34] James M U把握创新[M].高建,李明译.北京：清华大学出版社,1999
[35] Nawaz Sharif. Strategic role of technological self-reliance in development management [J]. Technological Forecasting and Social Change,1999
[36]许树柏,层次分析法原理[M].天津大学出版社,2008
[37]杨炼秋,高职院校大学生综合素质层次分析评价模型[J].广西民族大学学报(自然科学版),2008(11)：98-102
[38] Taeyoung Shin, Soon-Ki Hong, Hariolf Grupp. Techonlogy foresight activities in Korea and in countries closing the technology gap [J]. Technological Forecasting and Social Change,1999
[39]陈德智,陈香堂.韩国半导体产业的技术跨越研究[J].科技管理研究,2006(2)：42-44
[41]欧阳国斌.云南优势资源研究[M].昆明：云南科技出版社,1996：138-142
[42]史云峰,李云.艾萨熔炼技术的引进及其在云铜的应用实践[J].生产与实践,2003(10)：14-18
[43]陈云,周平.云南矿业现状及其可持续发展的思路与建议[J].中国矿业,2007(5)：29-32
[44]冯娟,汪戎.云南铜业技术跨越绩效评价的实证研究[J].云南财经大学学报,2008年第23卷第5期：100-102
[1]Luc Soete. International diffusion of technology, industrial development and technological leapfrogging [J]. World Development,1985,13(3)
[2]Koh Ai Tee. Asian miracle:The scientific and technological demension [Z]. International Engineering Management Conference, pp.68-73, Jun,1995
[3]Lee K, Lim C S. Technological regimes, catching-up and leapfrogging: Findings from the Korean industries Source[J]. Research Policy,2001,30 (3):459-483
[4]Hobday M. Innovation in East Asia:diversity and development[J]. Technovation,1995,15(March):55-63
[5]张晶.“技术跨越”的解读与重构[J].科学学与科学技术管理,2004(5)：9-14
[6]马庆国,胡隆基.技术跨越概念的定义研究[J].科研管理,2007(9)：9-17
[7]Perez, C. and L. Soete. Catching up in technology:entry barriers and windows of opportunity [C]. Technological changes and economic theory,1988
[8]Perez, C. Technological change and opportunities for development as a moving target [R]. UNCTAD X, High level round table on trade and development: directions for the twenty first century,2000(2)
[9]Davison, R., Vogel, D., Harris, R., Jones, N. Technology leapfrogging in developing countries-An inevitable luxury? [J] The Electronic Journal of Information Systems in Developing Countries,2000
[10]Steinmuller, W. E. ICTs and the possibilities for leapfrogging by developing countries[J] International Labor Review,2001,140(2):193-210
[11]Keun Lee and Chaisung Lim. Technological regimes, catching-up and leapfrogging:findings from the Korean industries [J]. Research Policy,2001
[12]Brezis, E. S., Krugman, P. R. and Tsiddon, D. Leapfrogging in international competition:A Theory of cycles in national technological leadership [J]. The American Economic Review,1993,83(5):1211-1219
[13]徐冠华.突出原始创新,实现技术跨越,见中国科技发展战略研究小组：中国科技发展研究报告(2001)[R].中共中央党校出版社,2002
[14]陈德智等. 技术跨越模式,[EB/OL]. http//www. stosm. gov. cn/research/ref_report/20031027. asp
[15]姚志坚.技术跨越的理论与实证研究[D].浙江大学博士论文,2001
[16]马庆国,胡隆基,姚志坚.技术跨越论[M].北京：科学出版社,2008：25-27
[17]王伯鲁.产业技术跨越的社会基础与基本模式剖析[J].自然辩证法研究,1999(15)
[18]宋建元,金三林.跨越式发展理论分析与路径选择[J].未来与发展,2001
[19]李健.加强技术创新,实施技术跨越[J].中国机械工程,2001(11)
[20]徐冠华.在全国软科学大会上的讲话[J].科学学研究,2001(19)(增刊)
[21]何祚庥.关注世纪性[J].中国科学月报,1999(12)
[22]张鹏,朱常俊.论技术跨越的实现途径以及对我国政府的启示[J].科学学研究,2007(2)
[23]Brown M, On the theory and measurement of technological change,1966。转引自桑庚淘,郑绍濂著, 《科技经济学》,复旦大学出版社,1995：198
[24]张明玉.技术跨越战略与管理[M].北京：中国经济出版社,2001：8-9
[25]陈德智,肖宁川.自主-技术跨越模式研究[J].科技管理研究,2004(1)：120-122
[26]陈德智,肖宁川.引进-技术跨越模式研究[J].中外科技信息,2003(11)：71-73
[27]Grenadier Steven R, Weiss Allen M. Investment in technological innovations:an option pricing approach [J]. Journal of Financial Economics, 1997
[28]伍迪.反求工程与技术创新[J].西昌学院学报,2007(12)：53-54
[29]陈德智.技术跨越的两个基本模式[J].上海管理科学,2005(3)：60-62
[30]陈德智,肖宁川.并购-技术跨越模式研究[J].科技管理研究,2003(1)：65-67
[31]陈德智,肖宁川.合作-技术跨越模式研究[J].中外科技信息,2003(4)：54-56
[32]吴晓波,陈宗年,曹体杰.技术跨越的环境分析与模式选择[J].研究与发展管理,2005(2)：66-72
[33]陈伟.技术创新追赶陷阱[J].中外科技政策与管理,1996(1)：89-91
[34]James M U.把握创新[M].高建,李明译.北京：清华大学出版社,1999
[35]Nawaz Sharif. Strategic role of technological self-reliance in development management [J]. Technological Forecasting and Social Change,1999
[36]许树柏,层次分析法原理[M].天津大学出版社,2008
[37]杨炼秋,高职院校大学生综合素质层次分析评价模型[J].广西民族大学学报(自然科学版),2008(11)：98-102
[38]Taeyoung Shin, Soon-Ki Hong, Hariolf Grupp. Techonlogy foresight activities in Kerea and in countries closing the technology gap [J]. Technological Forecasting and Social Change,1999
[39]陈德智,陈香堂.韩国半导体产业的技术跨越研究[J].科技管理研究,2006(2)：42-44
[40]国家知识产权保护局网站：http://www. sipo. gov. cn
[41]欧阳国斌.云南优势资源研究[M].昆明：云南科技出版社,1996：138-142
[42]史谊峰,李云.艾萨熔炼技术的引进及其在云铜的应用实践[J].生产与实践,2003(10)：14-18
[43]陈云,周平.云南矿业现状及其可持续发展的思路与建议[J].中国矿业,2007(5)： 29-32
[44]冯娟,汪戎.云南铜业技术跨越绩效评价的实证研究[J].云南财经大学学报,2008,23(5)：100-102
[2] Koh Ai Tee. Asian miracle:The scientific and technological demension [Z]. International Engineering Management Conference, pp.68-73, Jun,1995
[3] Lee K, Lim C S. Technological regimes, catching-up and leapfrogging:Findings from the Korean industries Source [J]. Research Policy,2001,30(Mar):459-483.
[4] Hobday M. Innovation in East Asia:diversity and development[J]. Technovation,1995,15(March):55-63
[5]张晶.“技术跨越”的解读与重构[J].科学学与科学技术管理,2004(5)：9-14
[6]马庆国,胡隆基.技术跨越概念的定义研究[J].科研管理,2007(9)：9-17
[7] Perez, C. and L. Soete. Catching up in technology:entry barriers and windows of opportunity [C]. Technological changes and economic theory,1988
[8] Perez, C. Technological change and opportunities for development as a moving target [R]. UNCTAD X, High level round table on trade and development:directions for the twenty first century,2000(2)
[9] Davison, R., Vogel, D., Harris, R., Jones, N. Technology leapfrogging in developing countries-An inevitable luxury? [J] The Electronic Journal of Information Systems in Developing Countries,2000
[10] Steinmuller, W. E. ICTs and the possibilities for leapfrogging by developing countries[J] International Labor Review,2001,140(2):193-210
[11]. Keun Lee and Chaisung Lim. Technological regimes, catching-up and leapfrogging:findings from the Korean industries [J]. Research Policy,2001
[12] Brezis, E. S., Krugman, P. R. and Tsiddon, D. Leapfrogging in international competition:A Theory of cycles in national technological leadership [J]. The American Economic Review,1993,83(5):1211-1219
[13]徐冠华.突出原始创新,实现技术跨越,见中国科技发展战略研究小组：中国科技发展研究报告(2001)[R].中共中央党校出版社,2002
[14] 陈德智等.技术跨越模式，[EB/OL]. http//www. stosm.gov. cn/research/ref_report/20031027. asp
[15]姚志坚.技术跨越的理论与实证研究[D].浙江大学博士论文,2001
[16]马庆国,胡隆基,姚志坚.技术跨越论[M].北京：科学出版社,2008：25-27
[17]王伯鲁.产业技术跨越的社会基础与基本模式剖析[J].自然辩证法研究,1999(15)
[18]宋建元,金三林.跨越式发展理论分析与路径选择[J].未来与发展,2001
[19]李健.加强技术创新,实施技术跨越[J].中国机械工程,2001(11)
[20]徐冠华.在全国软科学大会上的讲话[J].科学学研究,2001(19)(增刊)
[21]何祚庥.关注世纪性[J].中国科学月报,1999(12)
[22]张鹏,朱常俊.论技术跨越的实现途径以及对我国政府的启示[J].科学学研究,2007(2)
[23] Brown M, On the theory and measurement of technological change,1966。转引自桑庚淘,郑绍濂著,《科技经济学》,复旦大学出版社,1995：198
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