【作者】 汤小洁；

【导师】 徐雨森；

【作者基本信息】 大连理工大学 ， 技术经济及管理， 2009， 硕士

【摘要】 随着全球经济的一体化,通过技术进步来推动经济增长已经成为后发国家实现技术追赶的关键。追赶企业技术能力发展规律及技术链的演进过程正成为国内外学者研究的热点。国内外学者对追赶企业技术演进所做的研究多是采用定性分析的方法,这种分析方法带有一定的主观性。利用专利中所包含的信息,可以客观的分析技术发展的阶段及趋势,科学的反映的技术链的演进过程。并且专利数据是一种截面数据与时间序列数据综合起来的面板数据,相对于我们以往定量分析中往往采用的截面数据而言,具有更高的准确度和可信度。本文在国内外学者关于后发企业技术追赶问题理论研究的基础上,以中韩汽车产业为例,从专利角度客观的验证了追赶企业技术链的演进过程。本文的研究工作如下:在已有追赶理论的基础上,提出追赶企业技术链构建的一般模型。本文认为追赶国家企业技术追赶需经历由低端产品组装、加工技术向高端主导设计(新技术原理)的技术链构建,依次表现为产品架构知识、元件知识的技术学习和基于新技术原理的自主创新。在针对汽车产业进行具体研究中指出,后发汽车企业要实现技术追赶并不需要突破现有技术轨道,而是表现为沿既有技术轨道不断开发出新的技术原理,直到实现与先发企业同步发展。本文选取了韩国现代汽车公司和中国奇瑞汽车公司为研究对象。首先,利用Logistic模型对二者的核心元件技术生命周期进行了预测。然后,进行了技术链的划分,并发现追赶企业往往在核心技术取得突破后,技术链向两端双向加速发展。追赶企业在技术追赶的过程中十分注重开放性技术平台的构建。本文通过联合专利申请数量、合作率、合作强度和技术发明生产率四个指标对追赶过程中开放性的技术平台的构建进行研究。研究结果显示,随着技术链的由低端向高端演进,联合专利申请数量、专利的合作率、合作强度和技术发明生产率四个指标都是呈现明显的上升趋势。同时,我们也发现,专利合作强度越高,专利发明生产率也就越高,即发明者之间的技术合作有利于提高企业的专利产出。这也给处于追赶过程中的后发企业一定的启示,企业要想加快技术追赶的步伐,必须要注重发明者之间的技术合作。更多还原

【Abstract】 Along with the global economy integration, the evolution regularity of technical capability and technology chain in the catching-up enterprises is becoming a new research hotspot.Qualitative analysis was used to make research on the issue of the technology catching-up by most scholors. Howerver, compared with qualitative analysis, patent analysis is more objective. Patent data is a panel data integrated by cross-sectional and time-series data which has higher accuracy and reliability.This paper objectively verified theevolution process of technology chain on the basis of the automobile industry from the angle of patent. This research work is as follows.This paper gave the general mode of the technology chain’s construction in catching-up enterprises. Enterprises in the developing countries should set up their technology chain from the assembly technology to the dominant design (new technology principle), which is ordinal and advanced, the technological learning of the product architecture knowledge, the technological learning of the component knowledge and the independent innovation based on new technology principle.This paper selected the Korean hyundai motor company and Chinese chery automobile company as the research objects.First, the technology life cycle of core component was predicted by using Logistic model.Then, a division of the technology chain was presented and it was found that the evolution of the technology chain tended to speed up with a breakthrough in core technology. Finally, this paper measured the cooperation condition by joint patent applications, patent collaborative rate, collaborative intensity and inventors’ productivity and found that technical cooperation between inventors help to improve the patent output of enterprises.更多还原