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“慧学（122）：精读博士论文《技术开放下企业技术策略互动与供应链竞合机制研究》技术管理研究”。
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Today, the editor brings the
“Hui Xue (122): Intensive reading of doctoral dissertation ‘Technology Strategic Interaction among Firms and the Co-opetition Mechanism in Supply Chain under Technology Openness’ technology management research“.
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本期推文小编将从思维导图、精读内容、知识补充三个方面为大家介绍博士论文《技术开放下企业技术策略互动与供应链竞合机制研究》的技术管理研究。
In this issue, the editor will introduce the technology management research of the doctoral dissertation "Technology Strategic Interaction among Firms and the Co-opetition Mechanism in Supply Chain under Technology Openness" from three aspects: mind mapping, intensive reading content, and knowledge supplement.
一、思维导图（Mind mapping）
二、精读内容（Intensive reading content）
1、技术创新与投资的作用机制（The mechanism of technological innovation and investment）
现有研究从创新理论出发探讨技术创新对企业竞争力与市场发展的影响。Schumpeter（1934）提出创新理论并将创新划分为五种类型，随后Hamel 等（1990）从核心竞争力角度指出技术创新是企业的重要竞争策略。相关研究普遍认为技术创新能够通过改进生产工艺、开发新产品以及降低生产成本来提升企业效率与市场竞争力，并为企业创造新的市场机会。然而，技术创新往往伴随着较高的不确定性和风险，这种不确定性可能体现在研发投入、技术成果以及市场实现等多个环节，对企业的战略决策产生重要影响。
Existing research explores the impact of technological innovation on corporate competitiveness and market development from the perspective of innovation theory. Schumpeter (1934) proposed an innovation theory and classified innovation into five types. Subsequently, Hamel et al. (1990) pointed out from the perspective of core competencies that technological innovation is an important competitive strategy for enterprises. Related studies generally believe that technological innovation can improve corporate efficiency and market competitiveness by improving production processes, developing new products, and reducing production costs, and create new market opportunities for enterprises. However, technological innovation is often accompanied by high uncertainty and risk. This uncertainty may be reflected in multiple aspects such as R&D investment, technological achievements, and market realization, which has a significant impact on corporate strategic decisions.
2、技术创新与投资的影响因素研究（Research on factors influencing technological innovation and investment）
在技术创新投资决策方面，已有文献主要从内部激励与外部激励两个方面展开分析。内部激励主要包括企业运营绩效目标、社会责任以及长期发展战略等因素，这些因素会影响企业开展自愿技术研发的意愿；外部激励则主要体现在政府财政补贴、产业政策以及市场竞争环境等方面。相关研究表明，政府研发补贴和税收优惠能够促进企业加大技术创新投入，而市场需求、消费者偏好以及竞争程度也会影响企业的技术研发行为。
Regarding investment decisions in technological innovation, existing literature primarily analyzes the issue from two aspects: internal and external incentives. Internal incentives mainly include factors such as corporate operational performance goals, social responsibility, and long-term development strategies, which influence a company's willingness to engage in voluntary technological research and development. External incentives are mainly reflected in government subsidies, industrial policies, and the market competition environment. Related research indicates that government R&D subsidies and tax incentives can encourage companies to increase their investment in technological innovation, while market demand, consumer preferences, and the degree of competition also influence a company's technological R&D behavior.
3、企业技术开放与技术封闭策略研究（Research on enterprise technology openness and technology closure strategies）
在技术策略领域，企业通常通过技术领先、技术跟随、技术封闭或技术开放等方式构建竞争优势。其中，技术封闭策略通过专利保护或技术封锁维持竞争优势，而技术开放策略则通过技术授权或开源方式促进技术扩散并吸引合作伙伴。相关研究主要围绕技术授权、技术联盟以及开源软件等情境展开，并分析企业在不同市场环境和网络效应条件下的技术开放决策。研究发现，技术开放可以促进技术扩散与市场规模扩大，但也可能加剧市场竞争。
In the realm of technology strategy, companies typically build competitive advantages through methods such as technological leadership, technological following, technological closure, or technological openness. Among these, technological closure strategies maintain competitive advantage through patent protection or technology blockade, while technological openness strategies promote technology diffusion and attract partners through technology licensing or open-source methods. Related research primarily focuses on scenarios such as technology licensing, technology alliances, and open-source software, analyzing companies' technological openness decisions under different market environments and network effects. The research finds that technological openness can promote technology diffusion and market expansion, but it may also intensify market competition.
4、技术标准、兼容性与网络效应研究（Research on technical standards, compatibility and network effects）
在技术标准与兼容性领域，大量研究关注企业在竞争环境下的兼容策略选择。技术标准通过统一技术规范提高产品或系统之间的互操作性，而技术兼容性则直接影响企业之间的竞争关系及市场结构。相关研究表明，企业可能通过兼容策略来扩大市场规模并利用网络效应，但在某些情况下也可能选择不兼容策略以提高进入壁垒。此外，平台生态系统中的技术平台与互补产品之间还会产生间接网络效应，这进一步影响企业的竞争策略与市场进入行为。
In the field of technology standards and compatibility, a large body of research focuses on firms' choices of compatibility strategies in a competitive environment. Technology standards improve interoperability between products or systems by unifying technical specifications, while technology compatibility directly impacts competitive relationships and market structure. Related research indicates that firms may use compatibility strategies to expand market size and leverage network effects, but in some cases, they may choose incompatibility strategies to raise entry barriers. Furthermore, indirect network effects arise between technology platforms and complementary products within a platform ecosystem, further influencing firms' competitive strategies and market entry behavior.
三、知识补充（Knowledge supplementation）
1、技术风险与不确定性（Technological risks and uncertainties）
技术风险与不确定性是指由于技术因素发生变化，使投资项目的实际经济效益与原先预测或期望产生偏差的现象，也可以理解为技术在应用和发展过程中所具有的未来状态不稳定、难以完全预测的特征。这类风险贯穿于技术创新与应用的各个阶段，包括发明、设计、制造以及实际使用等环节，其产生原因既与认知能力和信息不完全有关，也与决策选择及外部环境变化等因素相关。从技术经济安全的角度来看，技术风险还体现在技术获取、转移和应用过程中，需要对关键技术、优势技术以及潜在新兴技术进行持续评估与管理。随着技术治理理念的发展，应对技术不确定性的方式也逐渐从单纯依赖技术改进，转向结合制度设计、社会协同等多种治理手段，以提升对新兴技术风险的前瞻性管理能力。
Technological risk and uncertainty refer to the phenomenon where changes in technological factors cause deviations between the actual economic benefits of an investment project and initial predictions or expectations. It can also be understood as the inherent instability and difficulty in fully predicting the future state of technology during its application and development. This type of risk permeates all stages of technological innovation and application, including invention, design, manufacturing, and practical use. Its causes are related to both cognitive abilities and incomplete information, as well as decision-making choices and changes in the external environment. From the perspective of technological economic security, technological risk also manifests in the processes of technology acquisition, transfer, and application, requiring continuous assessment and management of key technologies, advantageous technologies, and potential emerging technologies. With the development of technology governance concepts, the approach to addressing technological uncertainty has gradually shifted from simply relying on technological improvements to combining institutional design, social collaboration, and other governance methods to enhance the forward-looking management capability of emerging technology risks.
2、技术联盟（Technology alliance）
技术联盟是企业之间通过合作研发与资源共享，实现技术互补与协同创新的一种组织形式，其产生背景可以追溯到20世纪80年代跨国企业为应对全球化竞争而开展的合作创新实践。根据合作范围的不同，技术联盟通常可分为产业技术联盟和企业技术联盟两类：前者主要围绕产业共性技术的研发和相关政策的协同实施展开，后者则更侧重企业之间的灵活合作，例如通过专利交叉许可、研发成本与风险共担等方式推进技术创新。通过整合成员企业在技术、资金和研发能力等方面的资源，技术联盟能够构建较为紧密的合作机制，在一定程度上形成类似内部化的创新模式，从而提高研发效率并促进技术成果的转化。
Technology alliances are an organizational form in which companies achieve technological complementarity and collaborative innovation through cooperative research and development and resource sharing. Their origins can be traced back to the collaborative innovation practices undertaken by multinational corporations in the 1980s to cope with global competition. Depending on the scope of cooperation, technology alliances can generally be divided into two categories: industry technology alliances and enterprise technology alliances. The former mainly focuses on the research and development of common technologies in the industry and the coordinated implementation of related policies, while the latter emphasizes flexible cooperation between enterprises, such as promoting technological innovation through cross-licensing of patents and sharing of R&D costs and risks. By integrating the resources of member companies in terms of technology, capital, and R&D capabilities, technology alliances can build relatively close cooperation mechanisms, forming a kind of internalized innovation model to a certain extent, thereby improving R&D efficiency and promoting the transformation of technological achievements.
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翻译：Google翻译
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参考文献：苟晨阳. 技术开放下企业技术策略互动与供应链竞合机制研究 [D]. 中国科学技术大学, 2025.
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