我国装备制造业升级的公司治理研究

8(321)20108财经问题研究ResearchonFinancialandEconomicIssuesNumber8(GeneralSerialNo321)August,2010唐晓华,赵丰义(,110136):装备制造业技术能力升级是获取可持续性竞争优势的必由之路,公司治理由于其对企业技术创新绩效的决定性作用而成为产业升级关键性因素本文分析了公司治理对于装备制造业升级的影响机制,以及我国装备制造业升级的公司治理瓶颈,并提出了相应的政策建议:装备制造业;技术能力升级;公司治理:F0629:A:1000176X(2010)08003406,!,,,,,Tong[1],,,,,,Sutton[2]!,,,,R&D,K(K1),a/K(r:20100510:∀#(08&ZD040):(1956-),,,,,,Emai:lxhtang818@yahoocomcn(1970-),,,,Emai:lzfyshenyang@yahoocomcn)Ka/K,a/K(Alpha),AlphaAlpha!,R&DAlphaR&D,R&D,R&DAlpha,R&D,R&D,R&D,,R&D,,,,IBM,R&D(R&D),,Alpha,,R&D∃∃∃(),,,,,R&D,R&D,∃∃,,,,,;,,,,,,,,[3],,,,,:1,R&D,,,,,[4][5]GuthGinsberg[6]:,,[7],[8],[9],35我国装备制造业升级的公司治理研究,,,,,,,[10],,,,,2R&D,R&D,R&D,,R&D,,,,,I,AI,AI-Ap,R0,,,pH,,pH-p,p0,,B0,,,(,w):(pH-pL)wB,,R-[B/(pH-pL)],:pH{R-[B/(pH-pL)]}%I-A,B,;A,,[11]3,,,:,,,,,,,,,,[12],,;R&D[13]R&D,,,,,36财经问题研究2010年第8期总第321期,2008R&D1139(2008),2007R&D301,396,R&D1/3,2005IBM50,448()1,,R&D,,,,,,,,,,,,,,,,,2,,(),,,,,,,,,,3,,,,,,,,,,,,,,,,[14],,:,,;,,,1,,,,[15],CEO,[16],,,37我国装备制造业升级的公司治理研究,&,CEO,,,,2080,,,,,,:,,;,,,,,[18]2,,,[19],;,∋[20],,[21][22],,,,,,3,,;,,,,,,,,,,38财经问题研究2010年第8期总第321期&∋CA,,BbB,CApH{R-[b/(pH-pL)]}-CA,bCA,,,,ShakerAZahra[17],,,,,,;,,:[1]Tong,JHigh-TechandHighCapabilityinaGrowthModel[J]InternationalEconomicReview,2005,46(1):215-243[2]Sutton,JTechnologyandMarketStructure[M]Cambridge,MA:MITPress,1998[3][M]:,2009[4]Covin,JG,Slevin,DPAConceptualModelofEntrepreneurshipasFirmBehavior[J]EntreprenearshipTheoryandPractice,1991,(16):7-25[5]Kuratko,DFMontagnoRV,HornsbyJSDevelopinganEntrepreneurialAssessmentInstrumentforanEffectiveCorporateEntrepreneurialEnvironment[J]StrategicManagementJourna,l1990,(11):49-58[6]Guth,WD,Ginsberg,AGuestEditors(Introduction:CorporateEntrepreneurship[J]StrategicManagementJourna,l1990,(11):5-15[7]Lumpkin,GT,Dess,GGClarifyingtheEntrepreneurialOrientationConstructandLinkingittoPerformance[J]AcademyofManagementReview,1996,(21):135-172[8]Block,Z,MacMillan,ICorporateVenturing[M]Cambridge,MA:HarvardBusinessSchoolPress,1993[9]Stopford,M,BadenFuller,CCreatingCorporateEntrepreneurship[J]StrategicManagementJourna,l1994,(15):521-536[10]Jacobs,MTShort-TermAmerica:TheCausesandCuresofOurBusinessMyopia[M]Cambridge,MA:HarvardBusinessSchoolPress,1991[11]Tirole,JCorporateGovernance[J]Econometrica,EconometricSociety,2001,69(1):1-35[12]Galbraith,JDesigningComplexOrganizations[M]Reading,MA:Addison-Wesley,1973[13]Rothwel,lRTheCharacteristicsofSuccessfulInnovatorsandTechnicallyProgressiveFirms[J]R&DManagement,1977,7(3):191-206[14]Visintin,FBOzgen,ATylecoteandRobertHandscombeItalianSuccessandBritishSurviva:lCaseStudiesofCorporateGovernanceandInnovationinaMatureIndustry[J]Technovation,2005,(25):621-629[15]Porter,M,ECapitalDisadvantage:AmericasFailingCapitalInvestmentSystem[J]HarvardBusinessReview,1992,(70):65-82[16]Johnson,R,Hoskisson,R,Hitt,MBoardofDirectorInvolvementinRestructuring:TheEffectImportanceofBoardVersusManagerialControlsandCharacteristics[J]StrategicManagementJourna,l1993,14(specialissue):33-51[17]Zahra,SAGovernance,Ownership,andCorporateEntrepreneurship:TheModeratingImpactofIndustryTechnologicalOpportunities[J]AcademyofManagementJourna,l1996,39(6):1713-1735[18]∃∃∃[M]:,2006[19]Tylecote,A,Conesa,ECorporateGovernance,InnovationSystemsandIndustrialPerformance[J]IndustryandInnovation,1999,6(1),2550[20]Ramirez,P,Tylecote,AHybridCorporateGovernanceandItsEffectsonInnovation:ACaseStudyofAstraZeneca[J]SheffieldUniversity,Mimeo,2003[21]Malatesta,P,Walling,RPoisonPillSecurities:StockholderWealthProfitabilityandOwnershipStructure[J]JournalofFinancialEconomics,1988,(20):374-376[22]JonesG,ButlerJManagingInternalCorporateEntrepreneurship:AnAgencyTheoryPerspective[J]JournalofManagement,1992,(18):733-749[23][J],2009,(4)(:)39我国装备制造业升级的公司治理研究