近年来，我国芯片产业成为关键核心技术“卡脖子”问题最突出的领域之一。本文基于奏效理论，对龙芯在CPU技术中实现阶段性突破的案例进行研究，探讨了芯片企业如何构建创新网络以实现关键核心技术突破的问题。研究发现：（1）企业在突破芯片“功能性-可靠性-性能性-兼容性”关键核心技术过程中面临着更复杂多变的网络环境。企业外部不确定环境及自身资源存量将影响其网络构建和技术突破的决策逻辑。初期主要基于奏效逻辑进行决策，后期遵循“因果-奏效”间断平衡逻辑进行综合性决策。（2）企业创新网络的构建及演化依次采用 “撬动-带动-联动”机制，整合资源以实现关键核心技术突破。据此，本文提出一个关键核心技术突破过程中企业创新网络构建及演化的机理模型，推进企业创新网络和关键核心技术突破研究，并为构建自主可控的信息技术产业体系提供管理启示。
Abstract
China′s chip industry has become one of the most prominent "strangleholding" areas in recent years. How Chinese chip enterprises break through the key core technology and establish an independent and controllable information technology industry system has become an important issue. The existing research on key core technologies (1) mainly discusses key core technologies′ connotation and development law from the technology perspective and (2) explores the key core technology breakthrough mechanism from the institutional perspective. However, they ignore the potential impact of systematic factors to a certain extent. The key core technology breakthrough is an extremely complex innovation activity, which requires cross-organizational and multi-dimensional coordination of technical and non-technical elements to form a virtuous circle.
As an institutional arrangement formed in response to system innovation, enterprise innovation networks help enterprises integrate innovation resources and breakthrough technical barriers. Existing studies (1) mainly use resources as the intermediary to explore the impact of the characteristics of existing innovation networks on innovation results, and it believes that enterprises need to scan existing resources and opportunities to improve performance. (2) It defaults enterprises based on causal logic, by which decision-makers have rational goals, identify and find the most suitable partners, and plan the "effective" evolution of networks. However, suitable partners in the chip industry have a strong monopoly and exclusivity. It is difficult for latecomers to enter the existing network, with low knowledge acquisition and poor resource integration. In addition, key core technology breakthrough activities are long-term and uncertain, and future development is difficult to predict; the potential partners of enterprises are usually difficult to identify, which is difficult for enterprises to build networks only based on causal logic.
The study of effectuation theory holds that in an uncertain environment, enterprises cannot make decisions based on rational goals but should follow the effectuation logic starting from a set of means as given and focusing on selecting between possible effects produced by using that set of means. This theory has more advantages in advocating value co-creation and effectively dealing with the impact of uncertainty than the causation logic characterized by "prediction and planning". Therefore, this paper attempts to introduce the effectuation theory and explore the internal law of phased breakthroughs in key core technologies of chip design based on a longitudinal case study of Loongson Technology Co., Ltd. with complete independent CPU design ability in China′s chip industry.
The results show that: (1) breaking through the key core technology of "function-reliability-performance-compatibility", enterprises are facing a more complex and changeable network environment. Their resource stock and uncertain environment will affect their decision logic of networking and technological breakthrough. In this process, the decision logic evolves dynamically: in the early stage, it is mainly based on the effectuation logic, and in the later stage, it is based on the "causation-effectuation" comprehensive logic. (2) The construction and evolution of enterprise innovation networks go through a "leveraging-driving-linking" mechanism to integrate resources to break through the key core technology.
The theoretical contribution lies in two aspects. Firstly, this paper introduces the effectuation theory, adapts the construction and evolution of enterprise networks to the antecedents of enterprise decision-making, summarizes the mechanism of enterprise to build innovation networks, and excavates the dynamic source of enterprise innovation network evolution. Secondly, based on the network perspective, this paper puts forward the mechanism model of enterprise innovation network construction in key core technology breakthroughs, provides a new interpretation framework for technology breakthroughs and promotes the relevant research.
This paper has some practical managerial implications. (1) Enterprises should use the "leveraging-driving-linking" mechanism to build an innovation network, integrate the resources required for key core technology breakthroughs, take advantage of various opportunities brought by external uncertainty, and take technological innovation initiatives. (2) The government should also increase investment in industrial generic technological innovation activities and the construction of industrial network systems, strengthen policy support on the demand side, and provide enterprises with opportunities for trial-and-error iteration to improve their independent innovation capability.
关键词
芯片产业 /
关键核心技术 /
企业创新网络 /
奏效理论 /
动态演化
Key words
chip industry /
key core technology /
enterprise innovation network /
effectuation theory /
dynamic evolution
{{custom_sec.title}}
{{custom_sec.title}}
{{custom_sec.content}}
参考文献
[1]吴晓波, 张馨月, 沈华杰.商业模式创新视角下我国半导体产业&; 突围&; 之路[J].管理世界, 2021, 37(3):123-134
[2]李显君, 孟东晖, 刘暐.核心技术微观机理与突破路径——以中国汽车AMT技术为例[J].中国软科学, 2018(08):88-104.[J].中国软科学, 2018, (08):88-104
[3]TAYLOR A, HELFAT C E.Organizational linkages for surviving technological change: Complementary assets,middle management,and ambidexterity[J].Organization Science, 2009, 20(4):718-739
[4]KALE P, SINGH H, PERLMUTTER H.Learning and protection of proprietary assets in strategic alliances: Building relational capital[J].Strategic Management Journal, 2000, 21(3):217-237
[5]李显君, 熊昱, 冯堃.中国高铁产业核心技术突破路径与机制[J].科研管理, 2020, 41(10):1-10
[6]BELL M, PAVITT K.Technological accumulation and industrial growth: Contrasts between developed and developing countries[J]. Industrial and Corporate Change, 1993, 2:157-210.[J].Industrial and Corporate Change, 1993, 2:157-210
[7]江鸿, 吕铁.政企能力共演化与复杂产品系统集成能力提升——中国高速列车产业技术追赶的纵向案例研究[J].管理世界, 2019, 35(05):106-125
[8]LEE J J, YOON H.A comparative study of technological learning and organizational capability development in complex products systems: Distinctive paths of three latecomers in military aircraft industry[J].Research Policy, 2015, 44:1296-1313
[9]NAM K M.Compact organizational space and technological catch-up: Comparison of China's three leading automotive groups[J].Research Policy, 2015, 44(1):258-272
[10]陈劲, 阳镇, 朱子钦.“十四五”时期“卡脖子”技术的破解：识别框架、战略转向与突破路径[J].改革, 2020, (12):5-15
[11]鲁若愚, 周阳, 丁奕文, 周冬梅, 冯旭.企业创新网络：溯源、演化与研究展望[J].管理世界, 2021, 37(01):217-233
[12]WASSMER U, DUSSAUGE P.Value creation in alliance portfolios: The benefits and costs of network resource interdependencies[J].European Management Review, 2011, 8(1):47-64
[13]KIM H.How a firm' s position in a whole network affects innovation performance[J].Technology Analysis & Strategic Management, 2018, :1-14
[14]HUANG C, WANG Y.Evolution of network relations, enterprise learning, and cluster innovation networks: the case of the Yuyao plastics industry cluster[J].Technology Analysis & Strategic Management, 2017, :1-14
[15]TSAI W.Knowledge transfer in intraorganizational networks: Effects of network position and absorptive capacity on business unit innovation and performance[J].The Academy of Management Journal, 2001, 44(5):996-1004
[16]CAP J, BLAICH E, KOHL H, VON RAESFELD A, HARMS R, WILL M.Multi level network management – A method for managing inter-organizational innovation networks[J].Journal of Engineering and Technology Management, 2019, 51:21-32
[17]Holzmann T, Sailer K, Katzy B R.Matchmaking as multi-sided market for open innovation[J].Technology Analysis & Strategic Management, 2014, 26(6):601-615
[18]贺俊, 吕铁, 黄阳华, 江鸿.技术赶超的激励结构与能力积累:中国高铁经验及其政策启示[J].管理世界, 2018, 34(10):191-207
[19]寿柯炎, 魏江.后发企业如何构建创新网络——基于知识架构的视角[J].管理科学学报, 2018, 21(9):15-
[20]SARASVATHY S D.Causation and effectuation: Toward a theoretical shift from economic inevitability to entrepreneurial contingency[J].The Academy of Management Review, 2001, 26(2):243-263
[21]王影, 张宏如, 梁祺.效果推理对制造企业智能化转型的影响机制研究[J].研究与发展管理, 2021, 33(01):27-38
[22]胡旭博, 原长弘.关键核心技术：概念、特征与突破因素[J]., 2021, :-
[23]DOSI G.Technological paradigms and technological trajectories[J].Research Policy, 1982, 11(3):147-162
[24]孟东晖, 李显君, 梅亮, 齐兴达.核心技术解构与突破:“清华-绿控”技术～年纵向案例研究[J].科研管理, 2018, 39(06):75-84
[25]彭新敏, 刘电光.基于技术追赶动态过程的后发企业市场认知演化机制研究[J].管理世界, 2021, 37(04):180-198
[26]路风.冲破迷雾——揭开中国高铁技术进步之源[J].管理世界, 2019, 35(09):164-194
[27]FREEMAN C.Networks of innovators: A synthesis of research issues[J].Research Policy, 1991, 20:499-514
[28]邬爱其.企业创新网络构建与演进的影响因素实证分析[J].科学学研究, 2006, (01):141-149
[29]王大洲.企业创新网络的进化与治理:一个文献综述[J].科研管理, 2001, (05):96-103
[30]寿柯炎, 魏江.后发企业网络节点与组织学习平衡模式的演化[J].科研管理, 2018, 39(11):49-60
[31]GULATI R, D LAVIE, MADHAVAN R.How do networks matter? The performance effects of interorganizational networks[J]., 2011, 31:207-224
[32]HALL J K, MARTIN M J C.Disruptive technologies,stakeholders and the innovation value-added chain: A framework for evaluating radical technology development[J].Social Science Electronic Publishing, 2010, 35(3):273-284
[33]SI S, CHEN H.A literature review of disruptive innovation: What it is, how it works and where it goes[J].Journal of Engineering and Technology Management, 2020, 56:101568-
[34]BRETTEL M, MAUER R, ENGELEN A, KüPPER D.Corporate effectuation: Entrepreneurial action and its impact on R&D project performance[J].Journal of Business Venturing, 2012, 27(2):167-184
[35]BERENDS H, JELINEK M, REYMEN I, STULTI?NS R.Product innovation processes in small firms: Combining entrepreneurial effectuation and managerial causation[J].Journal of Product Innovation Management, 2014, 31(3):616-635
[36]KAUFMANN D.The influence of causation and effectuation logics on targeted policies: the cases of Singapore and Israel[J].Technology Analysis & Strategic Management, 2013, 25(7):853-870
[37]方世建.试析效果逻辑的理论渊源、核心内容与发展走向[J].外国经济与管理, 2012, 34(01):10-17
[38]AN W, RüLING CC, ZHENG X, ZHANG J.Configurations of effectuation, causation, and bricolage: implications for firm growth paths[J].Small Business Economics,, 2020, 54:843-864
[39]KERR J, COVIELLO N.Weaving network theory into effectuation: A multi-level reconceptualization of effectual dynamics[J].Journal of Business Venturing, 2020, 35:105937-
[40]CHANDLER G N, DETIENNE D R, MCKELVIE A, MUMFORD T V.Causation and effectuation processes: A validation study[J].Journal of Business Venturing, 2011, 26(3):375-390
[41]READ S, DEW N, SARASVATHY S D, SONG M, WILTBANK R.Marketing under uncertainty: The logic of an effectual approach[J].Journal of Marketing, 2009, 73(3):1-18
[42]许晖, 单宇.打破资源束缚的魔咒:新兴市场跨国企业机会识别与资源“巧”配策略选择[J].管理世界, 2019, 35(03):127-141
[43]苏敬勤, 林菁菁, 张雁鸣.创业企业资源行动演化路径及机理——从拼凑到协奏[J].科学学研究, 2017, 35(11):1659-1672
[44]GRéGOIRE D A, CHERCHEM N.A structured literature review and suggestions for future effectuation research[J].Small Business Economics, 2019, 54::621-639
[45]EISENHARDT K M.Building Theories from Case Study Research[J].Academy of Management Review, 1989, 14(4):532-550
[46]MARSHALL C, ROSSMAN G B.Designing qualitative research[M]. California: SAGE Publications, 2006.
[47]YIN R K.Case study research: Design and methods [M]. California: SAGE Publications，2009.
[48]REYMEN I, ANDRIES P, BERENDS H, MAUER R, STEPHAN U.Understanding dynamics of strategic decision making in venture creation: A process study of effectuation and causation[J].Strategic Entrepreneurship Journal, 2016, 9(4):351-379
[49]MELISSA E.GRAEBNER AND KATHLEEN MEISENHARDT. The seller's side of the story: Acquisition as courtship and governance as syndicate in entrepreneurial firms[J].Administrative Science Quarterly, 2004, 49(3):366-403
[50]ZELONG WEI AND LINQIAN ZHANG.How to perform strategic change? A strategy as practice perspective[J].Chinese Management Studies, 2020, 14(3):811-832
[51]J?RVINEN J M，TARKIAINEN A, TOBON J.Effectual and causal reasoning in the adoption of marketing automation[J].Industrial Marketing Management, 2020, 86:212-222
[52]苏芳, 毛基业, 谢卫红.资源贫乏企业应对环境剧变的拼凑过程研究[J].管理世界, 2016, (08):137-149
[53]林菁菁.组织资源行动及其对技术创新的影响机理研究[D].大连理工大学, 2019.
[54]HENNINGER P, BREM A, GIONES F, BICAN P M, WIMSCHNEIDER C.Effectuation vscausation: Can established firms use start-up decision-making principles to stay innovative?[J].International Journal of Innovation Management, 2019, 24(1):2050002-
[55]黄江明, 赵宁.资源与决策逻辑:北汽集团汽车技术追赶的路径演化研究[J].管理世界, 2014, (09):120-130
基金
国家重点研发计划课题（2019YFB1404901，2019.12至今）；国家自然科学基金面上项目（71772160，2018.01—2021.12）；国家自然科学基金重点项目（71732008，2018.01至今）。
PDF(720 KB)
