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论文编号：	3508
作者编号：	1120050740
上传时间：	2011/6/18 18:38:30
中文题目：	企业技术赶超能力体系及其提升途径研究
英文题目：	A Study on the Structure and Improvement Methods of the Capabilities for the Firms Under Catch-Up Strategy
指导老师：	王迎军
中文关键字：	技术赶超，技术跨越，技术能力，核心技术
英文关键字：	Technological Catch-Up; Technological Leapfrog; Technological Capabilities; Core Technology
中文摘要：	自上个世纪90年代以来，市场与竞争的全球化使得任何企业的竞争优势都变得脆弱和难以持久，企业间高度的竞争互动将快速地摧毁企业建立起来的任何优势。然而有一种有趣的现象引起了许多学者的关注：即使在如此激烈的市场竞争中，仍然有不少在最开始时处于相对弱势或者较晚进入某一产业的企业通过技术的引入、模仿、创新等技术活动，在技术上逐渐赶上甚至超越了原来处于领先地位的企业。这类现象被学者们称作“技术赶超”。有关技术赶超的研究多见于对后发国家的技术发展过程的剖析中，相关研究普遍认识到“比较优势”、“后发优势”等概念难以从根本上对技术赶超的内在机制进行解释，而后发企业之所以能够成功实现技术赶超归根到底还是要依靠其自身的技术能力的构建与提升。因此，考察分析成功的后发企业的技术赶超能力体系及其提升的途径就十分必要了。 与商业模式创新等赶超类型不同，本文所研究的赶超是“技术赶超”，限定于后发企业在技术上的追赶和跨越。有关技术赶超的现有研究主要是以后发国家或地区或其产业作为研究对象，而技术赶超活动的实际实施主体是企业，因此以后发企业作为研究对象，对深入认识技术赶超现象更为直接。因此，本研究以企业作为研究对象，以期通过多案例比较研究来对技术赶超的过程及其不同阶段的技术发展特征进行识别，并从企业内部视角来识别和分析后发企业的技术赶超能力体系及其提升途径。 本研究采取了多案例研究的方法，以韩国三星集团旗下的三星电机株式会社为研究对象，该公司是一家多元化企业，其技术赶超活动主要在业务层展开，因此本研究以其多层陶瓷电容（MLCC）、发光二极管（LED）、手机摄像头（ISM）三大制品的技术赶超过程作为研究案例进行对比分析，在案例研究结构上采用了“多案例比较”的结构。 本研究采取这样的研究案例选择是基于如下考虑：（1）这类现象在后发国家或地区企业技术发展的过程中都曾经出现过，比如日本在二战后的快速崛起，韩国、台湾和新加坡等新兴工业化国家或地区的经济腾飞,韩国作为成功实现技术赶超的后发国家，在许多研究中被作为典型案例进行研究，而三星电机株式会社又是韩国国内成功实现技术赶超的典型企业之一，选择它作为研究对象能够有效地保证研究的信度和效度；（2）三星电机株式会社从其成立至今短短的三十多年间，由最初只能给当时合资的日本公司进行产品代工，成长为目前世界前十位的电子零部件企业，尤其在MLCC、LED和ISM等尖端技术产品上掌握最核心的技术，其在此三大制品上的技术赶超均经历了技术从零到领先，从先进技术引入到自主研发创新的过程，具有典型性；（3）研究资料的可获得性，本人与三星电机株式会社的部分高级管理人员相识，能够实现多案例研究所需要的深入的田野调研。同时，为了保证多案例研究的理论复现的要求，本研究选取了台湾的合勤科技有限公司作为验证案例。 本研究发现后发企业的技术赶超过程一般都经历了新技术引入阶段、技术追赶阶段和技术跨越阶段，不同产品的技术赶超过程可能会在某个阶段历时较短，甚至于跳跃过这个阶段，这取决于企业在相关技术上的累积以及技术发展的特点，同时企业在不同阶段的技术累积和发展体现出各自的特点。企业技术赶超的过程实际上是以其独特的技术赶超能力体系为基础的，同时技术赶超能力体系应该能够兼顾渐进性创新与突破性创新实现的双重需要，能否准确判断技术发展方向成为技术跨越实现的关键因素之一。后发企业的技术赶超能力体系包含了技术监测能力、技术学习能力和技术开发与突破能力，以支持后发企业从技术获取到实现自主技术变革的全过程。同时，技术赶超能力体系的提升是一个多主体交互作用的过程，后发企业的规模效应、范围经济、联系网络和技术组织结构是其提高技术能力的重要途径。 本研究的主要创新点在于以企业为主体、从技术的角度出发，识别了后发企业技术赶超路径及其在不同的发展阶段上不同的技术发展特征；识别和分析了后发企业的技术赶超能力体系，将技术能力划分为技术监测能力、技术学习能力、技术开发与突破能力，并对每种能力的关键要素进行了分析；成功实现技术赶超的后发企业在技术能力的提升速度上是明显领先于其他竞争企业的，这一速度的提升与其有效地降低技术累积成本与高效的技术组织结构密切相关，因此，本研究提出了规模效应、范围经济、联系网络和技术组织结构四个主要的后发企业技术赶超能力体系的提升途径。
英文摘要：	From 1990s, firms have found themselves deeply involved in the global market and competition, which have made them extremely hard to obtain or keep competitive advantages. While an interesting phenomenon exists that some latecomer firms could be able to exploit their late arrival or weak technological base within some industry to tap into advanced technologies, by accelerating their uptake, absorbing, learning and innovation efforts utilizing various forms of ways and collaborative organizations, which has been called technological catch-up scholarly. The attentions to technological catch-up have been found mostly in the researches on the technological development process of developing countries or areas. It has been broadly accepted that both the notion of comparative advantages and the advantages of backwardness are far from adequate to explain the mechanism of technological catch-up. Instead, it is innovation and technological capabilities that should be regarded as the enabling factors of catch-up. Therefore it is necessary to identify and analyze the system and development of technological capabilities of the latecomer firms. The distinctive difference between technological catch-up from the other kind of innovation, such as business model innovation, is its focus on technology. The present studies have mostly set the developing countries or areas as research objectives. In fact it is the firms that are the subjects to implement technological catch-up activities. So choosing appropriate firms to be research objects would be more helpful to understand the technological catch-up mechanism. In this study the researcher have made the research design from this angle to identify and analyze the latecomer firms’ catch-up processes, the technological features of the different development stages, and the system and development of technological capabilities. The methodology adopted in this study is multiple case studies. A diversified firm has been chosen to be the objective of this research, which is Samsung Electro-Mechanics. The major level of analysis has been at the business level, since at this level the catch-up activities of this firm have been taken and the comparative materials would be available. The technological catch-up processes of the business of MLCC, LED and ISM of this firm have been chosen to be the cases for study. The reasons on the research objective and cases choosing are as follows. (I)The phenomenon of catch-up could generally be found in the technological development processes of the most developing countries or areas, past or present, such as Japan after World War II, South Korea, Singapore, Taiwan and so on. Actually not all the technological catch-up strategies have been successful. Some failed. South Korea as a successful example has been analyzed in many researches. Furthermore, Samsung Electro-Mechanics is one of the successful firms under technological catch-up strategy in South Korea. Choosing it to be the research objective could more effectively ensure the validity and reliability of this study. (II) Samsung Electro-Mechanics has taken about 30 years growing from the end of the global production chain to be one of the top electro-mechanics manufacturers in the world, especially in the technological areas of MLCC, LED and ISM. The technological development processes of Samsung Electro-Mechanics including these three businesses have typically demonstrated the path of technological catch-up: raising real uptakes through catching up with the advanced ones and moving as quickly as possible from imitation to innovation. (III) Depending on the deep relationship with some of the top managers of Samsung Electro-Mechanics, the researcher in this study could establish trusting relationship, learn to know their people and their language, and learn enough about their problems and conflicts so to distinguish fact from opinion and fiction, which are the requirements of field study. Besides, according to the requirement of reappearance in case study, the technological catch-up process of ZyXEL has been chosen to be the case to test the conclusions made in this study to enhance the research validity and reliability. In this study, the researcher has identified and analyzed the technological catch-up process of latecomer firm, which includes technology starting, catching-up, and advanced technology achieved stages. Because of the different accumulation and development features of the related technologies, different products may spend different time in some stages or even skip some stage. In fact the technological catch-up is based on the technological capabilities of latecomer firms, which could serve the incremental and disruptive innovation simultaneously. Accurately judging the technological developing direction is the key factor for the latecomer firms to achieve technological leapfrogging. The system of technological capabilities is composed by technological monitoring, learning, and developing and breaking-through capability to support the whole technological catch-up process from advanced technology acquisition to endogenous innovation. The developing process of technological capabilities system is an interacting process of multi technological subjects. The production scale, economics of scope, relationship network, and R&D structure of latecomer firms would be the main ways to develop their technological capabilities. The theoretical contributions of this study are as follows: this study has chosen a firm to be the research objective; identified the stages and the different technological features on each stage of technological catch-up process with the focus on technology; clearly proposed the technological capabilities system and the key factors for each capability of successful latecomer firms; and issued that the production scale, economics of scope, relationship network, and R&D structure of latecomer firms would largely reduce the technology accumulation cost and improve the R&D efficiency and effectiveness of latecomer firms to speed their catching-up process.
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