转型经济中后发企业的创新能力追赶路径:国有企业和民营企业的双城故事  

The Path to the Catch-up of the Innovative Ability of the Late Comers of Enterprisesin the Transitional Economy:Comparing SOE with POE

作　　者：江诗松[1] 龚丽敏[1] 魏江[1] 

机构地区：[1]浙江大学管理学院

出　　处：《管理世界》2011年第12期96-115,188,共20页Journal of Management World

基　　金：国家社科重大项目<中国特色自主创新道路研究>(项目编号:07&ZD022);浙江大学管理学院浙商研究专项经费项目(博士生项目)的支持

摘　　要：现有研究忽视了所有权因素在后发企业创新能力追赶过程中的角色。本研究以备受争论的中国汽车产业为例,通过一个国有企业(上汽)和民营企业(吉利)将近30年的纵向比较案例研究,揭示了国有企业和民营企业在创新能力发展路径中的差异及其影响机制。案例研究发现,国产化政策强化了国有企业对跨国公司的依赖性、学习封闭性以及创新能力三者之间的恶性循环。对于民营企业而言,由于缺少和跨国公司建立直接联结的机会,从而摆脱了国有企业面临的恶性循环。这导致了国有企业和民营企业创新能力的显著差异,进而促使决策者从国产化转向自主品牌导向。在自主品牌政策导向下,国有企业打破了原有的恶性循环,但由于内在的可见度窘境,在创新能力追赶上较民营企业仍然不具优势。基于这些结论,我们总结出一个整合的过程理论框架。最后探讨了对后发企业创新能力追赶、战略的制度观以及资源依赖理论的贡献,并讨论了管理和政策意义。In the extant researches,the role of ownership in the process of the catch-up of the innovative ability of latecomer firms has been ignored.Taking as an example China's controversial car industry,we have,in this article,by way of a case(in about 30 years) study on a longitudinal comparison between a state-owned enterprise(Shanghai Car Corporation) and a private enterprise(Jilin),exposed the variation between,in the path to the development of the innovative ability,state-owned enterprises(SOE) and private enterprises(PE) and revealed the impact of the variation mentioned above.By the results of our case study,we have discovered that the policy for nationalization has exacerbated the vicious circle of the reliance of SOE on transnational companies,the closed nature of SOE in learning,and innovative ability of SOE.This had led to the obvious difference between the innovative ability of SOE and that of the PE,further impelling decision-makers to turn the orientation to domestic-ization to the direction to their own brands.In the direction of the policy for their own brands,the SOE have broken the former vicious circle,but,owing to the intrinsic dilemma of the visible degree,the SOE,compared with PE,have still no advantages in the catch-up of the innovative ability.Founded on these conclusions,we have summed up a theoretic framework of the organizing process.Finally,we have probed the contributions to the catch-up of the innovative abilities of the latecomer firms,to the concept of the strategic system,and to the theory of the reliance on resources,and discussed the managerial and policy implications.

关 键 词：转型经济 后发企业 创新能力 追赶路径 国有企业 民营企业 

分 类 号：F426.471[经济管理—产业经济]