【作者】 赵丰义；

【导师】 唐晓华；

【作者基本信息】 辽宁大学 ， 产业经济学， 2010， 博士

【摘要】 大量理论和实证研究成果均表明,技术在决定生产率差异、国家竞争力差异方面起到了关键性的作用。装备制造业作为为国民经济各行业提供技术装备的战略性产业,其对于国家竞争力的重要性已经形成广泛共识,而装备制造业竞争力提升的关键在于技术创新能力提升。我国装备制造业与发达工业化国家相比明显特征就是“大而不强”,当前我国已经进入重化工业化加速发展阶段,新型工业化和增长方式转变需要以大量先进技术装备为支撑,因此促进装备制造业技术创新能力升级成为当务之急。本文在分析我国装备制造业技术创新路径及其绩效的基础上,对如何优化技术创新路径进行系统研究,以期对促进我国装备制造业技术创新能力提升和产业升级起到理论推进和实践指导作用。本文主要研究了以下内容：第一章是绪论,阐释了论文的选题背景和研究意义,对相关文献进行了综述和评析,介绍了全文的结构安排、研究方法和主要创新之处。第二章是技术后进下的最优技术创新路径分析。首先,阐释了技术创新及其实现路径。由于企业和产业组织形式决定了产业技术环境和企业竞争战略,从而决定企业技术创新的战略重点以及所采取技术创新模式,最终决定了技术创新绩效,因此本文将技术创新路径界定为由产业组织创新影响企业竞争战略,进而决定企业技术创新模式,最终决定技术创新绩效的整个过程。然后,针对技术创新路径方面的不同观点进行分析,得出利用国际技术扩散与自主研发二者对我国装备制造业发展都具有不可忽视的重要性。在此基础上,运用经济理论和经验证据分析自主研发与吸收国际技术扩散的互补性以及研发比较优势的内生性,进而得出了最优技术创新路径应该具备的基本特征：①在技术创新模式上以中高层次的技术引进消化吸收再创新和集成创新为主,实现外部技术资源与内部研发的协同作用；②在技术创新资源配置上以高研发投入和高消化吸收投入为特征；③在内部研发与外部技术利用的相互作用方面,应该表现为外部技术利用与内部研发相互支撑和相互促进的特征。④在技术进步效应方面,应该与世界先进装备制造业技术水平呈现收敛趋势。第三章是我国装备制造业技术创新路径及其绩效分析。首先,阐述并分析了我国装备制造业技术创新路径演进过程及其基本特征,表明我国装备制造业与日韩产业技术创新路径的明显区别就是自主研发和消化吸收再创新经费投入严重不足,总体上表现为以低水平复制制造能力为主的低层次技术引进消化吸收再创新。然后,运用面板数据计量经济模型对我国装备制造业技术创新路径绩效进行实证分析,结果表明我国装备制造业未能实现吸收利用国际技术扩散与自主研发的相互促进,中高层次消化吸收再创新能力和集成创新能力明显不足。接着,从定性和定量两个方面分行业分析了我国装备制造业与国际先进水平的差距,结果表明我国装备制造业虽然在总量规模水平方面与世界先进水平的差距显著缩小,但是在人均劳动生产率和综合技术水平(全要素生产率)方面差距均没有明显减小,我国装备制造业技术水平仍远远落后于世界装备制造业强国美国,技术落后局面并未得到显著改善。本章研究结论是：由于我国装备制造业遵循的技术创新路径在技术创新模式和资源配置偏离了最优路径,从而导致未能形成外部技术利用与内部研发相互支撑和相互促进的良性循环,最终导致技术进步效应低下,未能缩小与先进装备制造业的技术差距。第四章是我国装备制造业技术创新偏离最优路径的制约因素分析。首先从理论上对我国装备制造业自主创新动力机制缺失原因进行分析,然后运用pool数据计量模型进行实证分析,结果表明,研发创新活动的高外部性及高风险性、企业规模、公司治理水平、人力资本结构、市场需求、产业技术环境是影响企业自主研发动力的主要因素。最后基于分析结果提出了产业组织优化的基本方向。其一,促进产业集中度和企业规模水平的优化升级,提升技术创新投入能力和技术创新产品获利能力,从而提高研发创新能力。其二,优化微观企业组织结构,促进企业战略目标由追逐短期经济利益向深化科技能力和创造可持续性竞争优势回归,实现企业资源传承利用与技术创新的有效结合。其三,建立完善产业技术创新网络系统,整合产业科技资源,推进技术创新中的专业化分工与相互协作,俘获知识生产的规模收益递增效应。第五章是产业集中度与研发密度的内生性协同升级机制研究。产业集中度升级和研发密度升级是促进装备制造业技术创新路径优化的关键因素,本章创新性地研究了我国装备制造业的内生性升级机制。首先运用Sutton的内生性产业升级理论阐释装备制造业产业集中度和研发投入密度升级的机制；然后以电子通讯设备制造业和电气设备制造业为例介绍了发达工业化国家装备制造业高集中度化和高研发密度化的升级过程；最后分析了我国装备制造业的产业集中度现状水平和产业升级面临的市场契机,并根据技术落后的具体情况,对经典的产业升级机制进行改进,创新性地提出我国装备制造业产业升级的路径和相应的促进措施。第六章是我国装备制造业技术创新二元网络构建。装备制造业的系统性复杂性使得技术创新所需要的资源对于单个组织来说不可能完全具备,构建研发创新网络对于集成创新资源,降低风险和外部性从而优化技术创新路径至关重要。本章首先分析了研发网络的基本内涵以及形成条件和过程,研发网络的管理机制；然后运用规范分析和案例分析研究二元网络组织对于提升技术创新能力的关键性作用以及二元网络的结构和机理；最后研究了我国装备制造业研发创新网络的构建,提出复合型二元网络的构建方案。第七章是我国装备制造业企业组织结构优化。企业作为技术创新的主体,其组织结构优化是技术创新路径优化的根本条件。本章首先分析了公司治理影响装备制造业升级的机制以及我国装备制造业升级的公司治理瓶颈,并提出了相应的改进措施；然后基于资源基础理论和动态能力理论创新性地提出了以资源传承和有效利用为基础的传承性创新方式,论证了传承性创新是实现企业资源积累、利用与竞争优势创造相互协同的最优选择,并基于经验研究给出了管理传承性创新的组织设计模式。第八章是研究结论与启示。总结全文得出如下结论与启示：最优技术创新路径应该实现国际技术利用与自主研发相互促进；我国装备制造业偏离最优技术创新路径导致技术进步效应低下；技术创新路径优化的本质在于产业组织优化；有效的政策支持对于我国装备制造业升级至关重要。更多还原

【Abstract】 Many theoretical and empirical research findings have revealed that technology is a key element in determining productivity and national competitiveness. As a strategic industry providing technical equipments for other industries of national economy, the importance of Equipment Manufacturing Industry for national competitiveness has been widely recognized while the competitiveness escalation of Equipment Manufacturing Industry is largely determined by its technological innovation capability. A distinctive feature of china’s Equipment Manufacturing Industry is "large but not powerful" compared with advanced Equipment Manufacturing Industry. At present, heavy industry in our country is getting into the accelerated development period, new-type industrialization and transformation of economic growth pattern need a large amount of advanced technical equipment to be supported. Thus the technological innovation capability escalation for Equipment Manufacturing Industry is of great urgency. This paper analyzed the technological innovation path and performance of china’s Equipment Manufacturing Industry and did a systematic study on how to optimize the path of technological innovation. The purpose of this study is to push theoretical and practical research to promote the technological innovation capability of china’s Equipment Manufacturing Industry.The main content of this paper is summarized in following:The first chapter is introduction. I expound the background and meaning of this study. Then I do a literature review, and introduce the structure, method and innovation of this paper.The second chapter analyzed the optimal technological innovation path on condition that the technology is lagging behind. In the first technological innovation and its realization path is explained. Because the organization of enterprise and industry determines the technological envirment of the indusry and firm’s competitive strategy, thereby it determines firm’s strategic emphasis and mode of technological innovation, and it finally determines the performance of technological innovation. Therefore this paper defines technological innovation path as the entire process in which industrial organizational innovation influences firm’s competitive strategy and thereby influnces mode of technological innovation and finally determines the performance of technological innovation. Then I make an analysis on different viewpoint about technological innovation path and draw a conclusion that exploiting international technology diffusion and self R&D are all of nonnegligible importance. Based on the foregoing analysis, I analyzed the complementarity between exploiting international technology diffusion and self R&D as well as the endogeneity of R&D comparative advantage using economic theory and empirical evidences, consequently the essential feature of optimal technological innovation path is put forward. It includes:①the modes of technological innovation shoud mainly take the form of middle to high-level digestive absorption innovation and integrative innovation to synergize external technology resources and internal R&D;②the allocation of technological innovation resouces should manifest high R&D intensity and high level digestive absorption investment;③exploiting international technology diffusion and self R&D should mutually support and promote;④the technological progress should have a tendency of convergence to the technological level of world advanced Equipment Manufacturing Industry.The third chapter analyzed the technological innovation path and its performance of china’s Equipment Manufacturing Industry. In the first, I expound and analyzed the evolvement process and essential features of the technological innovation path of china’s Equipment Manufacturing Industry. Compared with Japan and South Koreathe distinguished feature of the technological innovation path of china’s Equipment Manufacturing Industry is that self R&D and digestive absorption innovation are both severely undercapitalized and the emphasis is put on copying foreign manufacturing capacity at a low level. Then I make an empirical analysis on the performance of the technological innovation path of china’s Equipment Manufacturing Industry using panal data econometric model. The result of the econometric analysis revealed that the capability of middle to high-level digestive absorption innovation and integrative innovation is of significant deficiency and failed to realize mutual promotion between exploiting international technology diffusion and self R&D. Next the disparity between China’s Equipment Manufacturing Industry and world advanced level is analyzed from qualitative and quantitative aspects. The result is that although the scale gap between China’s Equipment Manufacturing Industry and world advanced level is significantly reduced, but the per capita productivity and Total Factor Productivity is far behind the world advanced level and the gap did not become narrower. The situation of technological lagging behind of China’s Equipment Manufacturing Industry has not been improved. The conclusion of this chapter is that because the technological innovation mode of china’s Equipment Manufacturing Industry deviated from the optimal path, thereby it is unable to generate mutual promotion between exploiting international technology diffusion and self R&D, consequently it resulted in poor technological progress effect and the unnarrowed technological gap.In chapter four, I analyzed the constraints which cause the deviation of the technological innovation path of china’s Equipment Manufacturing Industry from the optimal path. Firstly I theretically analyzed the causes of self R&D shortage of china’s Equipment Manufacturing Industry, next the econometrical analysis is made by a pool data model. The conclusion is that high externality and high-risk, enterprise scale, corporate governance, human capital strcture, and industrial technological environment are key factors influencing firm’s self R&D motive. Finally the fundamental direction for optimization is put forward based on the forgoing analysis. It included:①to facilitate escalation of industrial concentration and firm scale thereby to promote investment capabiity and profitability of technological innovation;②to optimize firm organization at micro level thereby to enable firm to shift its strategy from pursuing short term economic interest to sustainable competitive advantage creation and also to realize effective combination between firm resources inheritance and technological innovation;③to establish industrial technological innovation network system thereby to integrate technological resources and promote specialization and cooperation of technological innovation and consequently to realize the great scale economy effect of knowledge production.In chapter five, I studied the endogenous synergetic escalation mechanism of industrial concentration and R&D intensity. The escalation of industrial concentration and R&D intensity is of essential importance to technological innovation path optimization. I creatively studied the endogenous escalation mechanism of china’s Equipment Manufacturing Industry. Firstly I use Sutton’s endogenous escaltion theory to expound the endogenous escalation mechanism of of industrial concentration and R&D intensity. Next the escalation process of the Equipment Manufacturing Industry of industrialized countries is analyzed. Finally I studied the concentration level and market opportunity for China’s Equipment Manufacturing Industry, and made an improvement on the classical escalation theory to put forward the boosting measures for the escalation of China’s Equipment Manufacturing Industry according to its technological lagging situation.In chapter six, I have done a study on how to build the dualistic technological innovation network of China’s Equipment Manufacturing Industry. System complexity of Equipment Manufacturing Industry makes it impossible for one organization to possess all needed resources for technological innovation. To build technological innovation network is of vital importance to the integration of technological innovation resources and thereby to the technological innovation path optimization. This chapter firstly analyzed the basic connotation of R&D network as well as the formation condition, formation process and governance mechanism of R&D network. Next normative analysis and case analysis were made to study the key effect of dualistic network on technological innovation capability promotion as well as the structure and mechanism of dualistic network. Finally I studied how to build dualistic technological innovation network for China’s Equipment Manufacturing Industry and designed the program to build a compound type dualistic technological innovation network.In chapter seven, I studied how to optimize the firm organizational structure of China’s Equipment Manufacturing Industry. Since enterprises are technological innovation subjects, their organizational structure optimization is an essential condition for technological innovation path optimization. This chapter firstly analyzed the mechanism by which corporate governance influences industrial escalation as well as the corporate governance bottle-neck of industrial escalation in Equipment Manufacturing Industry, and also the improvement measures are put forward accordingly. Next, based on resource-based theory and dynamic capability theory, I creatively put forward a new technological innovation pattern—inheritence innovation which effectively inherit and exploit firm resources. I demonstrated that inheritence innovation is the optimal choice to realize mutual synergy between resource accumulation, exploitation and competitive advantage creation, and then the organizational design was given for the management of inheritence innovation according to empirical evidence.In chapter eight, the conclusion and enlightenment of this paper was raised, including:the optimal technological innovation path shoud realize mutual promotion between international technological diffusion and self R&D; the deviation of the technological innovation path of China’s Equipment Manufacturing Industry from optimal path has resulted in poor technological progress effect; the essence of the optimization of technological innovation path is just the optimization of industrial organization; effective policy support is of vital importance for the escalation of China’s Equipment Manufacturing Industry.更多还原