全球价值链中后发国产业的技术跨越

【作者】 李莅；

【导师】 张幼文；

【作者基本信息】 上海社会科学院 ， 世界经济， 2010， 博士

【摘要】 技术跨越作为技术创新的最高层次,虽然各国都在积极实践并取得丰硕成果,但理论研究是从上世纪八九十年代才兴起的。从目前的研究情况看,深层次的技术跨越理论成果并不多见,也没有形成统一的范式,在解释并指导一国产业实现技术跨越方面,未能取得预期的成功,在这种情况下,深入系统地研究技术跨越,构建产业技术跨越理论体系就显得至关重要。论文从全球价值链分工的视角,刻画了跨国公司与本地企业之间的关联及其产业发展效应,分析了全球价值链中的技术扩散现象,论证了技术跨越主体的技术学习与技术能力积累过程以及技术生态环境的构建,并归纳和比较了产业技术跨越的基本模式。论文沿着产业技术跨越客体—主体—环境的分层研究与讨论,在企业与产业两个层面案例研究基础上,提出后发国在实现产业技术跨越的过程中,应该充分利用全球价值链中的技术知识与市场资源,提升本国企业的技术能力与市场能力,完善本国产业技术生态环境,选择合理的技术跨越模式的基本观点。全文共分九个部分,结构安排如下:第一章,导论。内容包括论文研究的背景和意义,国内外研究现状,研究的基本思路与方法,主要内容与论文结构,论文的主要创新点与不足。第二章,产业技术跨越研究的理论基础。本章是后续各章的研究基础。首先,从政治经济学、国际经济学以及社会学等多种学科领域里探寻技术跨越思想的来源;其次,对后发国技术跨越研究的理论依据进行梳理,通过对经济增长与经济发展理论、后发优势理论、传统及现代产业赶超发展战略理论进行回顾,有利于从理论发展角度理清思路;再次,界定了产业技术跨越涉及的基本概念,包括技术进步、技术创新与扩散、技术赶超以及技术跨越;接着,利用前沿生产函数等分析工具对技术跨越的类型进行辨析;最后,对实现产业技术跨越的关键要素进行归纳和总结。第三章,全球价值链中的跨国公司与东道国产业发展。全球价值链是当代国际分工的主要形式,后发国企业既是全球价值链企业网络中的成员,更是实现产业技术跨越的主体。本章首先从全球价值链的形成及产生动因、全球价值链分工的内涵,分析当代后发国家产业技术跨越所处的国际分工背景;其次,从企业视角解构全球价值链,包括网络成员、网络结构、网络驱动力、网络治理方面的分析。跨国公司与本地企业之间的关联是全球价值链知识传递产生的核心概念,从关联的含义、关联的分类以及关联实现途径方面逐层展开。接着从产业层面分析全球价值链对后发国产生的影响,从跨国公司与东道国目标冲突出发分析了产业结构升级效应、产业技术进步效应。最后,基于技术跨越实现条件的文献回顾基础上,构建了后发国产业技术跨越影响因素的菱形理论结构,并据此提出后续论文的分析框架。第四章,全球价值链中的技术扩散。作为技术跨越式发展的客体研究部分,本章从影响产业技术跨越的知识与人才要素着手,分析了全球价值链中技术扩散的主体,技术扩散的特点与动因,技术扩散的渠道以及实现技术扩散的影响因素。最后引入一个评价全球价值链技术扩散的计量模型。第五章,技术学习与企业技术跨越能力的积累。企业层面的技术学习与能力积累是后发国实现产业技术跨越的前提和基础,本章是对技术跨越主体的研究。首先从概念上从技术知识、技术能力、技术能力结构等概念进行综述,并对企业技术跨越和技术跨越能力的概念作了界定,同时设计了一个企业技术跨越能力的综合评价体系;其次,本章阐述了后发企业技术学习模式对于技术学习有效性的重要意义;接着利用加工贸易这种全球价值链的具体嵌入方式,分析阶段性知识边界以及知识传递机制和技术扩散的具体过程。最后,结合全球价值链治理模式、全球价值链的类型以及实现方式,分析全球价值链具体嵌入过程对企业技术跨越能力积累的影响。第六章,基于产业技术跨越的技术生态环境构建。本章作为技术跨越的环境研究部分,从全球价值链对国内市场需求、产业链完整性带来的负面影响出发,探讨实现产业技术跨越的环境因素。首先从技术的环境属性、技术生态的主要特征以及技术生态环境的含义与构成,从概念层面阐述良好的技术生态环境对于该国技术能力积累的意义;其次,从产业链、技术链到产业技术链的系列概念相关性辨析的基础上,进一步明确产业技术链整合是实现技术跨越的必备条件。最后,提出构建有利于实现技术跨越的技术生态网络模式。第七章,后发国产业技术跨越案例研究。本章通过对韩国CDMA产业以及印度软件产业技术跨越的案例研究,得出产业技术跨越的实现需要得到政府扶持、技术标准确立、国内产业价值链完整性构建等结论。第八章,产业技术跨越的基本模式。本章旨在归纳总结后发国家产业技术跨越的基本模式。通过比较分析的方法,论证了每种模式的含义、实现形式及实践过程中应注意的一些问题,最后论述了技术跨越模式选择的影响因素。第九章,研究结论与后续研究展望。在前面各章分析基础上总结出论文的主要结论,并对论文后续研究指出方向。更多还原

【Abstract】 Technology leapfrogging is the highest level of technological innovation. Although countries are actively practice and achieved fruitful results, but the theory appeared only from Eighties. Basing on the current research, the deep theoretical studies on technology leapfrogging are rare. There is also no unified research paradigm. The desired success has not achieved as to explain and guide the practices of industry technology leapfrogging. Under such conditions, in-depth study of technology leapfrogging and the building of theoretical system of industry technology leapfrogging is particularly important.From the perspective of the global value chain, this paper has characterized the linkage between transnational corporations and local enterprises and the resulting effect of industrial development. The phenomenon of technology diffusion along the global value chain has been analyzed. The behavior of enterprises technology learning and the process of technological capability accumulation have been discussed. The author also emphasized the importance of technological ecological environment. The basic models of industry technological leapfrogging have been generalized and compared. The research is organized along the industry technology leapfrogging object, subject and environmental aspects. Case studies use two levels: business and industry. It is proposed that to fulfill the strategic aim, latecomers should make full use of global value chain technical knowledge and market resources to improve their technological capabilities and market power of local enterprises. It also emphasizes to improve the ecological environment of industrial technology and choose a reasonable mode of technology leapfrogging.The full-text is divided into nine sections, organized as follows:Chapter 1 IntroductionThis chapter is including the background and significance of thesis research, research status, the study of basic ideas and methods, the main content and structure of paper, the major innovation and some aspects need to be improved.Chapter 2 The basic theory of technology leapfroggingThis chapter is the basis for the following study. First of all, from the political economics, international economics and sociology and other disciplines, the ideological sources of the field of technology leapfrogging has been explored. Secondly, the theoretical basis of technology leapfrogging have been reviewed, which include the economic growth and economic development theory, the latecomer advantage theory, the traditional and the modern theory of industry catching up theory. It helps to clarify thinking from the perspective of theory development. It is Redefined the basic concepts involved including technological progress, technological innovation and diffusion, technology catch up and leapfrogging; discriminated the type of technology leapfrogging using frontier production function as analysis tools. Finally, the key elements of industry technology leapfrogging realization have been discussed.Chapter 3 The MNCs and the host country industry development under global value chainGlobal value chain is the main form of contemporary international division of labor. The company from latecomer countries is both a member of a corporate network with global value chain but also the major player of technological leapfrogging. This chapter starts from the formation of global value chains, the concept of global value chain and the background of international division of labor for latecomer countries to practice technological leapfrogging. Next, the global value chain has been deconstructed from the enterprise perspective, which including members of the network, the network structure, network driving forces and network governance structure. The business linkage between MNCs and local enterprises is the core concept of knowledge transfer among generating from global value chain. It has been analyzed layer by layer from the concept of linkage, the classification of linkage to the from of linkage. Basing on the understanding of conflicts between MNCs and host country government, the paper study the effects of global value chain on the host industry development which including industrial structure upgrading and technology progress effects. A diamond model related with the influential factors of technology leapfrogging has been presented in the end of this part.Chapter 4 Technology diffusion within global value chainThis chapter analyses some key influential factors of leapfrogging, which including knowledge factor and talents factor. Some issues related with the technology diffusion within GVC have been discussed ,which include the pusher and the major characteristics of technology diffusion, the channel and the influential factors of technology diffusion. Finally an econometrics model has been introduced.Chapter 5 Technology learning and technological capability accumulationFirm-level technological learning and capability accumulation are the premise and foundation of technology leapfrogging. The author differentiate the core corresponding terminologies and define technology leapfrogging and its capability. A comprehensive evaluation system of technology leapfrogging capability on firm level has been designed. The importance of the mode of technology learning has been manifested. Processing trade has been used here to describe the real process of knowledge transfer and technology diffusion within global value chain. Finally, the enterprise capability accumulation has been analyzed combined with global value chain governance model and the type of global value chain implementations.Chapter 6 Case studies of industry technology leapfroggingThis chapter is based on the leapfrogging practices from South Korea’s CDMA technology industries and Indian software industry. Some points such as technology leapfrogging need the support from government, the formation of technology standards and the construction of complete industry chain.Chapter 7 The construction of technology industry ecological environmentIn this chapter, the author focus on the negative effects of embedding global value chain for industry technology leapfrogging and explore how to build better technology ecological environment. Some basic terminology such as environment attributes of technology, technology ecological environment etc. have been clarified. Industry technological chain has been emphasized in this part, because that is the basic requirements for leapfrogging. At the end of this part, a technology ecological network model has been introduced.Chapter 8 The basic mode of industry technology leapfroggingThe aim of this chapter is to summarize the basic mode of carrying out technology leapfrogging in latecomer countries. The author use some factors like technology source, type of firms and external driving forces to classify the technology leapfrogging and compare each mode.Chapter 9 The conclusions and future research prospectsIn this chapter, the author summarizes the major findings in the previous chapters and proposes the future improvement aspects.更多还原