后发国家产业技术追赶模式与绩效的关系研究

Study on relationship between industrial technological catch-up mode and performance in backward countries

本文采用"建立理论的多案例研究方法",通过访谈、文档资料、直接观察等方式收集案例资料,并进行三角验证。我国电视机产业所有企业都选择了同样的技术追赶路径,即从引进国外成熟期产品制造技术起步追赶,属于典型的单路径模式。我国通信设备产业技术追赶的初始期,在引进国外设备、引进生产线的同时,国内企业、研究院所(后转制为企业)较早进行自主产品开发(模仿创新);形成了从自主开发高端产品切入追赶、从自主开发低端产品起步追赶、从引进高端产品生产线起步追赶等多种追赶路径同时并存的产业技术追赶模式,是一种典型的"多路径"模式。本文从以下两个方面对这两个典型产业的技术追赶绩效进行衡量:1)产业内主要企业的专利数量;2)业内专家、研究学者的主观评价。通过对比分析,可以认为:通信设备产业的技术追赶绩效明显高于电视机产业。在这些研究的基础上,本文得出的主要发现是:在产业技术变革快、后发国家产业技术能力基础差的情景下,相对于"单路径"的产业技术追赶模式,"多路径"模式能带来更高的产业技术追赶绩效。这一理论命题弥补了"特定顺序"和"技术跳跃"两种理论的不足。

This paper adopts ＂the multi - case study approach through the establishment of theory＂, collects data via interviews, documents, field observations and other methods, and conducts the data triangulation. China＇ s TV set manufacturers followed the same catching - up pathway, namely to catch up by importing mature product technology form abroad and it is the typical ＂single pathway＂ technology catching- up mode. In the initial period of China＇ s telecommunication equipment industrial technology catching - up, while introducing from abroad the advanced equipment and the production line, the Chinese enterprises and re- search institutes （ which are transformed into enterprises） made early independent R＆D of products （ the imitative innovation）, thus forming a unique catch - up mode of the industrial technology, including the entry catch - up by developing independently the high - end products, the initiation catch - up by developing independently the low - end products, the initiation catch - up by introducing the production lines for high - end products and other catch - up pathways, and it is a typical ＂multiple pathway＂ technology catching- up mode. This paper measures the performance of the above two typical technology catching - up modes from the following two aspects ： 1 ） the quantity of patents for the key enterprises in the industry ; and 2） the subjective assess- ment of the experts and scholars in the industry. Based on the comparisons and analyses, it is believed that the technology catch - up performance of the telecommunication equipment industry is significantly higher than that of the television set industry. And on the basis of these studies, the main findings in this paper are as follows ： in the context of the rapid technological changes and the poor bases of the technological competence of the backward countries, the ＂multiple pathway＂ technology catching - up mode is likely to bring higher technological catching - up performance compared with the ＂single pathway＂ technology catching - up mode. This theoretical proposition contributes to compensate for the deficiency of the theories of ＂the catching - up in sequence＂ and ＂the catching- up by leapfrogging＂.