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2016

PhD Theses

Oulion, Marina

The acquisition of technological capabilities by large Chinese industrial companies: between catch-up and engagement in emerging technologies PhD Thesis

LISIS, Paris-Est University, 2016, (HAL Id : tel-01483966 , version 2).

Abstract | BibTeX | Links:

@phdthesis{Oulion2016,

title = {The acquisition of technological capabilities by large Chinese industrial companies: between catch-up and engagement in emerging technologies},

author = {Marina Oulion},

url = {https://tel.archives-ouvertes.fr/tel-01483966},

year  = {2016},

date = {2016-09-01},

urldate = {2016-09-01},

school = {LISIS, Paris-Est University},

abstract = {Among the world’s 500 largest firms, one out of five is Chinese. In 2014, 94 Chinese firms were among the world leaders in R&D. Since 2016, China is the first acquirer of foreign firms and is now targeting high-technology firms.These recent developments raise questions about the technological positioning of Chinese firms. Studying this topic requires looking at their conditions of emergence. We can look at China’s development from the perspective of the technological catch-up model (Kim, 1997). China has gone through three phases: a phase of acquisition of foreign technology following the country’s opening in 1978, a period of technological assimilation and production of increasingly complex products, and a period of technological integration characterized by technological improvement and the reconfiguration of existing technologies.The hypothesis we make is that firms are now in the last phase of catch-up, and have entered a period of transition to technology leadership. This leads to two questions. What is Chinese innovation today? This topic broadly refers to innovation in emerging countries. How far are Chinese firms from reaching the technological frontier?We observe the transition through the way major Chinese firms engage in research. The integration of emerging technologies into their research strategies reflect dynamics of technological learning which, if they are not yet visible in the market, indicate a transition. Our results show that the trend is significant, with half of large firms (48%) engaging in nanotechnology research. This proportion indicates that Chinese firms have reached the technological frontier. This, however, does not mean that Chinese firms have reached the frontier in other dimensions, such as the organizational dimension. We also show that there are several modalities of commitment to research. While some large Chine firms engage in research by adopting a model similar to that of American or European firms, other dynamics are at work, which reflect, in particular, their historical legacy, and the impact of their localization.To obtain these results, we have built a unique database of 325 large industrial enterprises, and have looked at their patenting activities in nanotechnology, directly or through their subsidiaries, based on the exploitation of sources in English and Chinese. },

note = {HAL Id : tel-01483966 , version 2},

keywords = {},

pubstate = {published},

tppubtype = {phdthesis}

}

Among the world’s 500 largest firms, one out of five is Chinese. In 2014, 94 Chinese firms were among the world leaders in R&D. Since 2016, China is the first acquirer of foreign firms and is now targeting high-technology firms.These recent developments raise questions about the technological positioning of Chinese firms. Studying this topic requires looking at their conditions of emergence. We can look at China’s development from the perspective of the technological catch-up model (Kim, 1997). China has gone through three phases: a phase of acquisition of foreign technology following the country’s opening in 1978, a period of technological assimilation and production of increasingly complex products, and a period of technological integration characterized by technological improvement and the reconfiguration of existing technologies.The hypothesis we make is that firms are now in the last phase of catch-up, and have entered a period of transition to technology leadership. This leads to two questions. What is Chinese innovation today? This topic broadly refers to innovation in emerging countries. How far are Chinese firms from reaching the technological frontier?We observe the transition through the way major Chinese firms engage in research. The integration of emerging technologies into their research strategies reflect dynamics of technological learning which, if they are not yet visible in the market, indicate a transition. Our results show that the trend is significant, with half of large firms (48%) engaging in nanotechnology research. This proportion indicates that Chinese firms have reached the technological frontier. This, however, does not mean that Chinese firms have reached the frontier in other dimensions, such as the organizational dimension. We also show that there are several modalities of commitment to research. While some large Chine firms engage in research by adopting a model similar to that of American or European firms, other dynamics are at work, which reflect, in particular, their historical legacy, and the impact of their localization.To obtain these results, we have built a unique database of 325 large industrial enterprises, and have looked at their patenting activities in nanotechnology, directly or through their subsidiaries, based on the exploitation of sources in English and Chinese.

2015

Technical Reports

Larédo, Philippe; Robinson, Douglas K. R.; Delemarle, Aurélie; Lagnau, Axel; Revollo, Michel; Villard, Lionel

Mapping and characterising the dynamics of emerging technologies to inform policy Technical Report

2015, (hal-01275987 , version 1 ).

Abstract | BibTeX | Links:

@techreport{laredo2015mapping,

title = {Mapping and characterising the dynamics of emerging technologies to inform policy},

author = {Philippe Larédo and Douglas K.R. Robinson and Aurélie Delemarle and Axel Lagnau and Michel Revollo and Lionel Villard},

url = {https://hal.archives-ouvertes.fr/hal-01275987/},

year = {2015},

date = {2015-01-01},

urldate = {2015-01-01},

school = {Université paris Est, IFRIS},

abstract = {The project aims at developing a framework and its tools for mapping the dynamics of emerging technologies (MDET) Emerging technologies are a growing issue for policymaking, as is mirrored by the new European FET programme. Policies and funding agencies face ‘voices’ by researchers asking for public support of what they consider as a new promising technology. This happens when we are past the initial Référence du formulaire : ANR-FORM-090601-01-01 2/15 exploration stage of ‘frontier research’. Initial claims have been recognised as relevant and this has started attracting other researchers. How can their claims be assessed and how can on-‐‑going developments be characterised? To answer this question, we propose a framework that has been developed in three steps. The analysis of a number of case studies (3 by our colleagues from SPRU and 3 by IFRIS) has enabled to identify key dimensions. In return these have driven us to mobilise, combine and complement existing theories. In a third step we have tested the existence of instruments to characterise the situation, and, for some aspects, this has driven us to propose new developments. The report presents both the framework and the tools (with selected examples to illustrate their deployment). The framework is made of 5 dimensions that are visualised in the 5 petals flower of the dynamics of emerging technology. It builds on the proposal by Nedeva that, to understand the dynamics of science, one needs to consider both field and space characteristics. Field relates to the socio-‐‑cognitive dynamics for which scientometrics proposes multiple analytical instruments. They help characterising the content of the emerging technology, the core set of concepts, theories and methods that constitute it; at the same time it helps identifying the key actors and the networks that they form (dimension 1: delineating a technology field). Far less work has been dealing with “Space” that is the source of the four other petals. The second dimension deals with field-‐‑level institutional conditions: how are ideas and products circulated and discussed. This deals mostly with journals, conferences and professional associations that organise them. One result of our case studies has been to emphasize the role of ‘champions’ identifying four types, of which ‘institutional entrepreneurs’ (who foster enactment of the field in different environments). One central characteristics of champions is that they propose visions of the field, and corresponding expectations. This builds our third dimension: promise champions & expectations. Research does not happen in a vacuum: researchers are employed by organisations, funded by programmes, and their field may or not become a policy priority. Barre et al. have proposed to analyse ‘national systems’ and their policies at these 3 complementary levels: orientation, programming and performance. This builds our fourth dimension that aims at characterising the field ‘embedding in research’. However technologies exhibit a second critical dimension, their role in shaping or transforming markets which has seldom been taken into consideration in the analysis of emergence: here we consider 3 aspects that build the fifth dimension ‘embedding in markets’: the existence of ‘niche markets’ that enable entering in a learning curve; arenas that help actors build collective visions and roadmaps and the construction of ‘market infrastructures’ that will enable market generalisation (through rules, norms & values). },

note = {hal-01275987 , version 1 },

keywords = {},

pubstate = {published},

tppubtype = {techreport}

}

The project aims at developing a framework and its tools for mapping the dynamics of emerging technologies (MDET) Emerging technologies are a growing issue for policymaking, as is mirrored by the new European FET programme. Policies and funding agencies face ‘voices’ by researchers asking for public support of what they consider as a new promising technology. This happens when we are past the initial Référence du formulaire : ANR-FORM-090601-01-01 2/15 exploration stage of ‘frontier research’. Initial claims have been recognised as relevant and this has started attracting other researchers. How can their claims be assessed and how can on-‐‑going developments be characterised? To answer this question, we propose a framework that has been developed in three steps. The analysis of a number of case studies (3 by our colleagues from SPRU and 3 by IFRIS) has enabled to identify key dimensions. In return these have driven us to mobilise, combine and complement existing theories. In a third step we have tested the existence of instruments to characterise the situation, and, for some aspects, this has driven us to propose new developments. The report presents both the framework and the tools (with selected examples to illustrate their deployment). The framework is made of 5 dimensions that are visualised in the 5 petals flower of the dynamics of emerging technology. It builds on the proposal by Nedeva that, to understand the dynamics of science, one needs to consider both field and space characteristics. Field relates to the socio-‐‑cognitive dynamics for which scientometrics proposes multiple analytical instruments. They help characterising the content of the emerging technology, the core set of concepts, theories and methods that constitute it; at the same time it helps identifying the key actors and the networks that they form (dimension 1: delineating a technology field). Far less work has been dealing with “Space” that is the source of the four other petals. The second dimension deals with field-‐‑level institutional conditions: how are ideas and products circulated and discussed. This deals mostly with journals, conferences and professional associations that organise them. One result of our case studies has been to emphasize the role of ‘champions’ identifying four types, of which ‘institutional entrepreneurs’ (who foster enactment of the field in different environments). One central characteristics of champions is that they propose visions of the field, and corresponding expectations. This builds our third dimension: promise champions & expectations. Research does not happen in a vacuum: researchers are employed by organisations, funded by programmes, and their field may or not become a policy priority. Barre et al. have proposed to analyse ‘national systems’ and their policies at these 3 complementary levels: orientation, programming and performance. This builds our fourth dimension that aims at characterising the field ‘embedding in research’. However technologies exhibit a second critical dimension, their role in shaping or transforming markets which has seldom been taken into consideration in the analysis of emergence: here we consider 3 aspects that build the fifth dimension ‘embedding in markets’: the existence of ‘niche markets’ that enable entering in a learning curve; arenas that help actors build collective visions and roadmaps and the construction of ‘market infrastructures’ that will enable market generalisation (through rules, norms & values).

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2016

PhD Theses

2015

Technical Reports

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