【作者】 刘怡；

【导师】 魏江；

【作者基本信息】 浙江大学 ， 企业管理， 2013， 博士

【摘要】 中国实行改革开放三十余年来,各产业得到飞速发展。然而,随着开放程度不断提高,产业原有封闭系统的稳定性遭到破坏,产业动荡性加剧,受外部条件变化波及更加频繁,这种现象导致了我国各产业在开放后呈现出了不同的发展态势：一部分产业潜力被激活,在开放大潮中乘风破浪,高歌向前,发展成为国内经济的支柱产业,并打破了全球原有产业格局,树立了牢固的国际地位；而另有一批产业则在大批国际同行涌入的夹击下,如逆水行舟,异常艰难,产业技术数十年也没有实现本质上的进步和突破,大批民族品牌似有式微之势。从上世纪90年代中期起,越来越多学者开始关注上述现象。理论研究者对开放所带来的经济效益、技术效益和社会效益开始出现质疑,并基于此展开系列研究。这类研究首先关注了技术引进带来的溢出效应,技术溢出水平不同,对产业的影响程度不同,由此导致各个产业发展速度出现差异。然而仅凭溢出效应无法解释同一产业内企业发展分化的现象,为此学者又纳入了吸收能力这个解释变量,面临同等溢出水平,个体的吸收能力强弱决定了其对溢出知识的利用情况。上述研究多是基于企业视角,然而一个产业是众多企业的整合却不是简单加和。作者在对众多产业发展历程资料的回溯以及从事研究数年间实地调研的体验中发现,受到开放冲击的各个产业,由于外方资金、技术的涌入,不仅原有的知识基础被解构,原有的主导设计、产品与技术标准、生产方式等也同时可能被颠覆。如果技术溢出水平的高低及其与接受方吸收能力的强弱影响的是一个产业发展的速度,那么这些要素的变化则会彻底改变一个产业的现有分布结构、利益格局与发展方向。产业发展是一个复杂的整合过程,是一场繁杂的、多层次的系统演化,要完整描述其规律与趋势,需要更为丰富的解释。然而,以往的理论研究中却鲜有对这一过程黑箱的深入分析。为解释和剖析产业这一变化发展过程,本研究引入了技术体制这一解释变量。本研究解决的首要理论问题是技术体制的动态性。通过对技术体制概念层次的划分,对其规则属性与环境属性的辨析,本文用规范分析的方法解释了技术体制的动态演进过程,从而为后续研究提供了理论基础。技术体制虽然具有动态性,但其演变是一个相对漫长的过程,短时间内的数据信息无法体现其动态特征。考虑这一特点,本文采用纵向案例研究的方法来解析产业开放程度是如何影响技术体制要素,从而使其发生演变的。综合产业的代表性、典型性以及实地调研的可获得性和便利性,本文选取了浙江省建筑业和台州医药化工产业进行对比研究。研究描绘了在不同开放程度下,技术体制是否发生变化以及如何发生变化。在案例研究的过程中本研究还发现了导致技术体制变化的另一个重要外部条件——产业政策。紧随其后本文通过对台州医药化工产业的单案例研究进一步分析了技术体制与产业技术能力之间相互作用的共演关系。由此,本研究构建起了对外开放、技术体制与产业技术能力三者之间的一种关联机制。研究结果为我们理解处于开放条件下的产业发展提供了更广阔的视角,同时也提示我们应当审视并制定更加合理的开放政策。本文的主要结论包括：(1)技术体制具有动态性。技术体制在微观(企业)层面表现为规则属性,即企业从事技术活动所遵循的一系列规则；在中观(产业)层面表现为环境属性,即企业所处的技术环境,包括技术机会、创新独占性、技术进步的累积性以及知识基的特性等。规则是基础架构,环境是一系列规则经过不同组合后体现出的不同表征。个体企业的规则变化经过扩散,聚合到产业层面导致了技术环境的动态变化。(2)产业对外开放程度和产业政策的变化是导致技术体制演变的两个重要的外部影响因素。其导致技术体制变化的作用机制是：外部条件变化刺激企业在日常生产和创新活动中所遵循的指导规则发生变化,这种影响作用由点到面、由个体到整体,由微观到中观,当产业中大量企业的行动指导规则发生变化后,这种效应聚合到产业层面就导致了技术体制的转变。(3)技术体制变化的内因是技术的变革。内因导致技术体制变化的作用机制是通过技术能力与技术体制相互协调适应、共同演进来完成的。本文原创性的理论贡献主要集中在：(1)技术体制概念的整合；(2)技术体制动态性的提出和验证；(3)技术体制演变的内外因与作用机制研究。更多还原

【Abstract】 Chinese domestic industries have been rapidly developed during the3decades of "reform and opening" policy. However, with the continuous improvement of openness, the stability of industrial closed system has been gradually destroyed, the volatility of industrial development is also changing more frequently, which leads to different trends for each industry respectively. Some industries are activated, while others are suffering fierce competition from all over the world.More and more scholars began to pay attentions to this phenomenon since the mid-1990s. Theorists try to question the economical, technical and social outcomes of openness, and yield different results. At first the research focuses on the spillover effects of openness, and argues that the level of spillover impacts the development of domestic industries. Furthermore, other scholars introduce the moderate effects of absorptive capacity to deepen the understanding of the phenomenon.The extant literature is mainly focus on individual firm level or the sum of several firms. However, one industry is not simply the sum of all firms in it. Based upon experienced field work, the author finds out that when facing openness, not only the original knowledge base is destroyed, but the dominant design, product and technical standards, production process also be subverted. These factors could completely change an industry’s existing distribution structure, the allocation of interests and direction of development. Industrial development is a complex integration process, and a complicated, multi-layered evolution system. To illustrate a complete view of an industrial development, we need to open the black box of the process, which is ignored by extant literature.For deep interpretation of this process, this thesis introduces the concept of technical regime as the main explanatory variable. The first theoratical problem to be solved is the dynamic of technological regime. Using the normative analysis method, the thesis defines the different levels of the concept, differentiates the rule-sets and environment attributes, and explains he dynamic evolution of the technological regime, which provides a theoretical basis for further research.Although technological regime is dynamic, its evolution is quite a long process, and is reletively stable during a certain period of time. Thus, the data of a short period of time can not reflect its dynamic characteristics. Considering this feature, the thesis chooses longitudinal case study method to explain how openness affect the elements of the technological regime, and leads to its evolution.Comprehensively considering the representative of the industry, the availability and convenience of field research, this thesis selected the construction industry of Zhejiang Province and the pharmaceutical and chemical industry of Taizhou district. The comperative case study research describes whether there is change of technological regime under different openness degree and if so, how does its change occur. Meanwhile the research finds out another important exogenous variable, the industrial policy. Following the comperative study, the thesis uses the material of the field research of the pharmaceutical and chemical industry of Taizhou to development a deeper single case study, which analyzes the coevolution of the technological regime and industrial technology capability.In sum, the thesis builds up the correlative mechanisms model of openness, technological regime and industrial technological capabiliy. The results provide a broader perspective for understanding the industrial development which facing openness. And it also indicates that the government should carefully examine and develop some more rational opening-up policies.The main conclusions of this thesis are:(1) Technological regime is dynamic. Technological regime is taken as a rule-set which technological decision follows at the micro(firm) level. While it is treated as the environment or atmosphere within which firms conduct their innovation activities at the meso(industrial) level, which is defined in terms of conditions of opportunity, appropriability, cumulativeness and properties of the knowledge base. The rule-sets are the infrastructure, and the environment is the characteristics of the different combination of rule-sets. Diffusion of changes at the firm level leads to the dynamic evolution of technological environment at the industrial level. (2) There are two important external factors which lead to the evolution of thechnological regime, indurtrial openness and policy. The shifts of technological regime can be achieved through the changes of rule-sets that guide the day-to-day production and innovation activities under the stimulation of external environmental conditions. When the rules of a large number of enterprises change, it would be aggregated to the evolution of industrial level.(3) The internal factor which leads to the change of technological regime is technical change. The changing is a process of coordination and coevolution of technological capability and technological regime.The theoretical contributions of this thesis are manifested in:(1) the integration of the concept of technological regime;(2) the proposing and proving of the dynamic of technological regime;(3) the external and internal factors of technological changing and their mechanism of action.更多还原