产业技术能力及其提升研究

【作者】 焦少飞；

【导师】 张炜；

【作者基本信息】 西北大学 ， 国民经济学， 2010， 博士

【摘要】 产业技术能力是产业技术创新活动的基础,是国家选择技术发展模式、制定产业政策的重要依据。我国产业技术能力总体水平不高,存在着制造能力与技术能力不对称现象。提升产业技术能力是加快我国产业结构升级、提高产业国际竞争力、走新型工业化道路的根本途径。主流经济理论虽然认识到了技术能力的重要性,但由于研究方法、研究假设的局限,对技术能力本身的研究还不深入。而管理学由于采用了以知识管理为主的研究路线,陷入了对具体问题的操作层面的研究,缺乏原理层面的分析。在产业技术能力方面,现有研究主要是以产业内主要厂商的技术能力来指代产业技术能力,因此尚缺乏清晰的分析框架。认识到产业技术能力的重要性并不难,困难在于如何发现产业技术能力研究的核心问题,并以此构建产业技术能力?本文以知识分工、知识互补为逻辑起点,分析了作为构建技术能力根本途径的知识管理的经济学本质,认为知识管理本质上是要解决分工背景下的知识协调问题,这也是构建技术能力需要解决的基本问题。进而,本文将技术能力解释为,在知识分工条件下,组织协调知识的能力。以技术经济范式的转变为标准,本文区分了技术能力提升和技术能力演进,分析了信息技术范式下,知识分布、生产组织方式与技术能力的关系,说明新范式下研发努力对技术能力提升的重要性。上述研究是本文研究产业技术能力的起点和理论基石。然后,本文将知识分工扩展到产业层面,研究了技术分工背景下的产业链分工。基于产业链、技术链及其协同,分析了产业技术能力的内涵、特征及其与企业技术能力的异同,研究了产业链与技术链的协同发展对构建产业技术能力意义。将产业链知识整合看做产业链协作的基本内容以及产业技术能力形成和提升的基础,分析了不同行业类型、不同生产组织方式以及不同治理机制下,产业链的知识整合与协调。本文还建立了一个产业技术能力提升的“钻石模型”,以中国制造业为例,就影响产业技术能力提升的因素展开实证分析。结果表明行业技术体制、市场结构、本土市场、政府行为、外部知识源均会影响产业技术能力的追赶过程。主要结论是,产业技术能力提升需要考虑行业技术体制差异,在不同产业实现不同的技术追赶模式；要充分重视本土市场的意义；吸引外资的政策需要有针对性；政府在产业技术能力提升中扮演着重要角色。最后,沿着产业链与技术链协同的思路,本文从产业层面、技术层面、协调层面讨论了信息技术范式下我国制造业产业技术能力提升的一般路径。提出以产业技术能力为核心,在产业层面,延伸产业链；以模块化重塑产业链；促进产业融合。在技术层面,优化技术链上的技术结构,加强产业共性技术研发；合理进行技术引进；积极利用技术融合。在协调层面,完善产业创新系统；发展生产性服务业；打造产业集群。本文的创新之处体现在三个方面：一是作为一种理论研究的尝试,以知识分工、知识互补作为研究产业技术能力的切入点,力图对相关理论问题在一个完整的框架内做出解释。二是建立了一个产业技术能力提升的“钻石模型”,进行了产业技术能力提升机制的实证研究,系统地分析了模型中各因素对产业技术能力提升的影响机理。三是在产业技术能力的研究中融入了信息技术范式这一重要因素,立足产业层面、技术层面、协调层面,系统地提出了信息技术范式下我国产业技术创新和技术能力提升的可能路径。更多还原

【Abstract】 The true nature of modern industry development is a process of technological revolution and technological progress. Industrial technology capability (ITC) is the foundation of industry innovation; it is also the basis and starting point of the pattern of technology development choice and industry policies. China’s ITC is not high; with its technology capability and manufacturing capacity are asymmetrical. It is the fundamental way by upgrading ITC to upgrade industrial structure, improve the international competitiveness of industry, and transform to new-pattern industrialization.Although mainstream economic theory recognizes the importance of ITC, it can not shed light on the issue because of the limitation of its research hypotheses and methods. At the same time, current management science can not interpret the nature of technology capability clearly, because it mainly deals with practical operation problems. As to ITC, existing researches use representative firms to study ITC, so the nature of ITC needs more research efforts to reveal. It is not difficult to realize the importance of ITC, but the difficult is how to find its core issues and cultivate ITC.It is the logical starting point of this dissertation from the division of knowledge and complement of knowledge. It analyzes the nature of knowledge management which is considered as the fundamental way to construct technology capability. It argues that knowledge management is to deal with knowledge coordination which is considered to be the basic issue to cultivate technology capability. On the basis of study above, it has concluded that technology capability is the capability to coordinate knowledge in the conditions of division of knowledge in its essence, In the light of technological economic paradigm, it also distinguishes the accumulation of technology capability and the evolution of technology capability. The former is to achieve the accumulation of organizational knowledge and individual expertise knowledge, and the latter brings about the importance of R&D efforts as to cultivate technology capability under information technology paradigm. The study above is the micro-foundation of ITC.Then this dissertation expands the division of knowledge to industry level. It analyzes the division of industry chain in the background of technical specialization. Based on technology chain and industry chain, it analyzes the concept and features of ITC, and the differences between ITC and technological capabilities of enterprises. It considers the accumulation and coordination of knowledge as the basis of cultivating ITC. It also analyzes the knowledge coordination on industry chain according to different industries, production organizational mode and government mechanism.To analyze the factors which influence the process of ITC upgrading and the mechanism, this dissertation constructs a diamond model. The empirical analysis shows that technological regimes, market structure, external knowledge, and local market can influence the process of ITC catching-up. We should pay more attention to local market’s significance as to ITC; policies of attracting FDI should be targeted; and government plays an important role in the process of ITC catching-up.Finally, according to the framework of coordination of technology chain and industry chain, this dissertation analyzes the way to upgrade China’s ITC from the perspective of different levels, such as industry level, technology level and coordination level. At industry level, it is recommended of extending industry chain, remodeling industry chain under modularity circumstance and promoting industrial convergence. At technology level, it is recommended of optimizing technology structure, introducing technology rationally and taking advantage of technology convergence. At coordination level, it is recommended of improving the industrial innovation system, developing producer services and industrial clusters.The innovative contribution of this dissertation is reflected in three aspects. Firstly, as a research attempt, it considers the division and complement of knowledge as the entry point to study technology capability, and made a logical interpretation as to related issues. Secondly, it constructs a diamond model, and analyzes the effect mechanism systematically. Finally, it considers the factor of information technology paradigm, and constructs the way to upgrade China’s ITC according to the framework of coordination of technology chain and industry chain.更多还原