组织学习视角下后发企业的非连续赶超研究：基于多产业的分析

This project is about the generalized catching up, based on the improvements of competence and capability of latecomers. The assumption of technological catching up considers the process of catching up is continuous and linear. However, we relax such traditional assumption and argue that catching up process does not have to be continuous or linear. Based on such a generalized assumption, we study the industries and firms in the latecomer countries from different theoretical lens. From perspectives of organizational learning, innovation, resource based view, social network and capability building, we examine the catching up, with the particular focus on the microfoundation, factors, mechanisms, processes and the boundary conditions. We develop a multi-source and multi-level analysis research design to investigate the catching up phenomenon at country, industry and firm level. Empirically, we take multi-sector setting, including retailing, high-speed railway and furniture manufacturing industries in China. Considering the industry specificity and their status in the catching up process, we dedicate different methods to analyze each empirical setting, such as grounded theory, multiple case study, questionnaires and Fuzzy-set qualitative comparative analysis. We expect our multi-theory analysis of the generalized catching up can contribute to other latecomer sectors and firms. It is also expected that our project can contribute to the industry upgrading strategy of China, both theoretically and empirically.

本课题研究基于竞争力和能力提升的综合赶超。有别于技术赶超是线性和连续的基础假设，本研究从更具普遍性的理论假设出发，即赶超不拘泥于连续性和线性的假设，从多个理论角度对后发国家的产业和企业进行探索。从组织学习，创新，资源基础观，社会网络和能力构建视角，本项目聚焦赶超的极微观理论基础，诱因，机制，进程与边界条件。结合多数据来源，本研究采取跨越国家，产业和企业的多层次研究。基于多产业的分析，本项目选取市零售业，高铁产业以及家具制造业为研究对象。针对以上产业所处的赶超不同阶段，本项目使用相对应的研究方法，包括扎根理论法，多案例分析法，问卷调查法，及模糊集定性比较分析法。本课题通过系统地研究我国各产业和企业的综合赶超，为后来者提供学习和借鉴思路，也为我国目前探索产业升级的国家战略提供另一种理论上和实证上的拓展。

赶超战略的实施和完成对后发国家的经济发展和产业升级具有重要作用。目前赶超理论的相关研究多数依循技术赶超的基本假设，即赶超过程是线性的、连续的。然而对我国许多产业发展过程的观察表明，这样的理论假设并不适用于所有的赶超情境。因此应当对原有的理论假设加以修正，使其更加符合实际。本研究认为后发者的赶超过程既可以是连续的、线性的，也可以是非连续的、跳跃的。基于这一新的理论假设，本项目以我国多个技术驱动和非技术驱动产业的赶超为研究情境，提出综合赶超的概念并对其进行探讨。项目组按时完成了研究计划中四个子内容的研究工作。研究发现，后发者的赶超进程通常受到两类因素的影响：后发者的内部因素和赶超所处的外部环境。前者通常是后发者的组织学习能力，同时也构成赶超过程的微观基础，后者包括机会窗口和外部网络环境。而当社会危机发生产生环境动荡，或者后发者为非营利性组织时，上述结论则可能发生变化。这些研究发现不仅拓展了赶超理论研究的边界，也为我国后发的技术驱动和非技术驱动产业提供了政策制定依据，为后发企业优化管理实践提供了借鉴。