翻越由技术引进到自主创新的樊篱--基于中车集团大机车的案例研究

Overcome Obstacles between Technology Import and Independent Innovation——A Case Study of CNR Dalian Locomotive and Rolling Stock Co., Ltd.

本文采用探索性嵌入式单案例研究方法,选取中国中车集团大连机车车辆有限公司为案例研究对象,以其内燃机车、电力机车和柴油机三大产品平台典型产品的引进型技术创新的成功实践为分析单元,基于引进型技术创新过程,识别企业组织惯性效应的显现特征,分析组织学习对企业组织惯性效应的作用机理,探索构建组织惯性效应视角的技术引进到自主创新的一般性分析框架。通过内容分析发现,在模仿创新、改进创新、自主创新的引进型技术创新的不同阶段,企业组织惯性先后显现出负向效应为主、正向效应为主和正负向效应并存的阶段性特征。进一步的典型事件分析表明,探索式学习会抑制组织惯性的负向效应,而利用式学习则会强化组织惯性的正向效应。结合组织学习对企业组织惯性效应作用机理的分析,参照理论力学中运动学的相关研究,构建了引进型技术创新中组织学习与企业组织惯性及其效应关系的一般性分析框架。本文基于企业组织惯性效应的视角,深化了对技术引进到自主创新实现机理的理解,为后发企业打破"引进—落后—再引进—再落后"的引进型技术创新的"怪圈"提供了有益的实践启示。

This paper conducts exploratory single case study with embedded units to identify the features of organizational inertia＇s effect, analyzes the function mechanism of organizational learning on organizational inertia, and explores to establish a general analysis framework of technology import and independent innovation from the view of organizational inertia＇s effect, in the dynamic process of adoptive technology innovation. The case selected is the successful practice about typical technology import of internal combustion locomotive, electric locomotive, and diesel engine, owned by Dalian Ix^comotive and Roiling Stock Ltd. Company. This study finds that organizational inertia shows negative effect with positive effect as supplement, positive effect with negative effect as supplement and synergy of the positive and negative effect in order, in the dynamic process of imitation innovation, improvement innovation and independent innovation, through content analysis. And further typical event analysis shows that exploratory learning weakens the negative effect of organizational inertia, however, exploitative learning strengthens the positive effect of organizational inertia. According to the research of kinematics in theoretical mechanics, this paper establishes a general analysis framework of the function mechanism of organizational learning on organizational inertia in the process of adoptive technology innovation. This paper deepens the understanding of the mechanism from technology import to realizing independent innovation on the perspective of organizational inertia＇s effect, and also provides practice implications for latecomer firms to realize technological catch-up.