Koreas rapid growth in TFTLCD and the spillover of technological capability crossindustryWord格式.docx
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technology,humanresources/organizationandnetwork.WefindthatDRAM’stechnologicalcapabilitytransferredintoTFT-LCDmainlyintheshapeofcapitalpowe
semiconductortechnologyrequiredforTFT-LCDR&
D,productionandqualitymanagementsystems,keylabormovements,andorganizationalsystems.However,thereisalmostnospilloverintechnologytransferandglobalandsuppliernetwork.
1.Introduction
Korea’sgrowthintheTFT-LCDindustryhasbeensurprisinglyrapidinthatKoreanfirms,startingin1995,recordedthelargestworldmarketshareinonly3years.However,thereareonlyafewstudiesonthereasonsforKorea’ssuccessinthisarea.Mostresearcheslackviewsontechnologicalinnovationorhavethelimitationofexpandingtheconceptofknowledgespilloveramongindustriesrelatedtechnicallyintoallareasbutproduction.
Westartfromtheidea(ChoungandHwang,2003;
Parketal.,2003)thatTFT-LCDandDRAMaretechnicallyverymuchrelated.Thehighrelatednessoftechnologybetweenthetwoindustriesmeansthatknowledgeaccumulatedinanexistingindustry,DRAM,canspilloverintoanewindustry,TFT-LCD,veryquickly(ChoungandHwang,2000,2003,Forthcoming;
Parketal.,2003)andacceleratethegrowthofthenewindustry.Weregardknowledgeaccumulatedinanexistingindustryastechnologicalcapabilitythatisnecessaryforlessdevelopedcountries(LDCs)tocatchupwithadvancedtechnology(Leeetal.,1988;
BellandPavitt,1993;
Hobday,1994).OurobjectiveistofindthemechanismforhowDRAM’scapabilitytransferredintoTFT-LCDandwhatkindofcapabilitymovedfromDRAMtoTFT-LCD.
Inordertoachieveourobjectives,firstwereviewtheliteraturesonknowledgespilloverandaccumulationoftechnologicalcapabilityandre-classifyandredefinetechnologicalcapabilities.Second,wesuggestourtheoreticalframeworkandexplainourmethodology.Third,weprovetherelatednessoftechnologybetweenTFT-LCDandDRAMthroughacomparativeanalysisoftheirrespectiveproductionprocessesandtechnologyinnovationsystems.Fourth,weshowtheresultsofacasestudyweconductedwithSamsungandLG.Andfinally,wepresentourpaper’simplicationsandlimitations.
2.LiteratureReview
LiteraturesonKorea’sTFT-LCDsuccessaresummarizedasfollows.
Atthefirmlevel:
Koreanfirms’successcanbeattributedtohighproductiontechnologyandtheindependenceoftechnology(Chang,2005),uniquepropensitiesfavoringlargescaleinvestmentandafirstmoverstrategy(Hung,forthcoming),highverticalintegrationinequipmentandparts/materialfirms,andstrategicallianceswiththeUnitedStates,Japan,ChinaandASEAN(Linden,Hart,Lenway,1998).
Attheindustrylevel:
ThecharacteristicindustrialstructureinTFT-LCDisacrystalcyclewhichoffersopportunityofsuccessfulentrytonewfirmswhenthecycleisfacingadownturn(Mathews,2005).
Atthenationallevel:
StrongsupportoftheKoreangovernmentsuchasdirectfinancing(Linden,Hart,andLenway,1998).
Atthetechnologylevel:
TechnologyrelatednesssuchasproductionprocesstechnologybetweenTFT-LCDandDRAM(ChoungandHwang,2003;
Park,etal.,2003).
However,thepreviousstudieshaveafewlimitations.First,studiesatthefirmlevelarelikelytobeinterpretedpostfactumandcannotexplainthemechanismofsuccess.Second,thecrystalcyclecannotshowwhythesuccessfulfirmsarespecificallyKoreanfirms.Third,inTFT-LCD,theKoreangovernmentdidnotplayamajorrole,unlikeDRAMandCDMA.
2.1KnowledgeSpillover
Knowledgespilloveristhenon-appropriableamountofknowledgethatisproducedbyafirm’sinnovationefforts(Griliches,1992).Knowledgespilloverhaspositiveexternalityinthatitpreventsinnovationactorsfromcompletelyappropriatingtheirknowledge,therebyallowingevennon-innovationactorstobenefitfromit.Thisdeniesthecompletecompetitionassumptionofclassicaleconomics,acceptsmarketfailureandofferstheexcuseofgovernmentinterruptiontothemarket.Therefore,ifacertainindustryhasknowledgespilloverthatleadstoalotofpositiveexternalities,thegovernmenttriestostrategicallysupportandfosterthatindustry.Theseindustriesarecalled“technologydrivers,”ofwhichthemostrepresentativeexampleisDRAM(Malerba,1985;
BaldwinandKrugman,1988;
Dick,1991;
Gruber,1992;
Flamm,1993a;
IrwinandKlenow,1994a;
UdayagiriandSchuler,1999).
Themoreindustriestechnicallyrelatetoeachother,themoreknowledgespilloverhappens(UdayagiriandSchuler,1999;
MalerbaandMontobbio,2003).TheconceptsbasedonDRAM’sroleasa“technologydriver”andthetechnologicaldistanceofknowledgespilloversupportthepossibilityofaknowledgetransferfromDRAMtoTFT-LCD.
Weregardknowledgeastechnologicalcapability—everythinggeneratingandmanagingatechnicalchange(BellandPavitt,1993).
2.2AccumulationofTechnologicalCapabilities
Technologicalcapabilityreferstotheabilitytomakeeffectiveuseoftechnologicalknowledgeineffortstoimitateandassimilateexistingtechnologies,createnewones,anddevelopnewproductsandprocessesinresponsetothechangingeconomicenvironment(Kim,1997a).
ManyliteraturesmentiontheimportanceofthoseintheLDCsaccumulatingtechnologicalcapabilitiesinternallyinordertocatchupwithadvancedtechnology(Leeetal.,1988;
Hobday,1994).
Therehavebeenmanyeffortstomeasurethistechnologicalcapabilityinpreviousstudiesbothatthemacroandmicrolevel.Atthemacrolevel,therehavebeenfivedifferentattemptstomeasuretechnologicalcapabilities:
theWEFTechnologyIndex(WEF,2001,2002,2003;
Furmanetal.,2002);
theUNDPTechnologyAchievementIndex(UNDP,2001;
Desaietal.,2002);
theArCOIndicatorsofTechnologicalCapability(ArchibugiandCoco,2004);
theRANDIndustrialDevelopmentScoreboard(UNIDO,2002;
LallandAlbaladejo,2001);
andtheScienceandTechnologyCapacityIndex(Wagneretal.,2004)2.Atthemicrolevel,themostcommononescanbeplacedintooneofthreedifferentcategories:
R&
Dexpenditures,patentstatistics,andstatisticsonnewproductintroductions.Firmtechnologicalcapabilities(FTC)canbedividedintoscaleFTCandqualityFTC(SchoeneckerandSwanson,2002).Technologicalcapability(TC)alsocanbedistinguishedfromtechnologicalefforts,inputsforTC,andfromeconomicperformances,theeffectsofTC(Jonkeretal.,2006).Theabovetwoapproachesdonotconsiderthelevelofeconomicdevelopmentofacountry.However,thereareseveralstudiesthatconsiderthefactthatpatternsoftechnologydevelopmentdiffersignificantlybetweenLDCsandDCs(MohanBabuandGanesh,1997;
Kim,1999;
Yuetal.,2004;
ChoandLee,2003)3.
Wesuggestanewclassificationoftechnologicalcapabilitiesthroughreviewingpreviousstudies.Thenewclassificationiscomprisedofthreecategories:
technology,humanresourcesandorganizationnetwork,asshowninTable1.
3.TheoreticalFrameworkandMethodology
OurframeworkisforprovingthepossibilitythatDRAMknowledgecanspilloverintoTFT-LCD,basedonthesimilarityoftheirproductionprocessesandtechnologyinnovationsystems.Itisalsoforfindingthemechanismforknowledgespilloverintermsoftechnology,humanresources/organizationandnetwork(Figure1).
WecollectedfirmdatafrominterviewswithmanagersofSamsungElectronicsandLGPhilipsLCD,aswellasfrombusinessreportsofferedbyDART4andannualreportssuppliedbyhomepages.Forconsultingontechnologyandpatents,weinterviewedresearchersofseveralresearchinstitutes5.WealsousedAurekaDBof9.0versionforpatentanalysis.
4.TechnologyRelatednessbetweenDRAMandTFT-LCD
4.1.SimilarityofProductionProcessTechnology
InTFT-LCDproductionprocesses,theTFTarrayandcolorfilterprocessesincludearepeatedpatterningprocess:
decomposition,cleaning,PRcoating,exposure,developing,etching,andinspection.ThispatterningprocessisverysimilartothefabricationprocessofDRAM(Figure2).
4.2SimilarityofTechnologyInnovationSystem
Therelatednessoftechnologybetweenthetwoindustriesmakesthecharacteristicsofinnovators,themajorsourcesofinnovation,thekeycapabilitiesofinnovation,andthechangesofenvironmentandtechnology,similar.Thisisconsistentwiththeconceptthatindustriesinthesamesectoroftenhaveasimilarpatternoftechnologyinnovation(Pavitt,1984).
AsshowninTable2,almostallthecharacteristicsofthetechnologyinnovationsystems
ofthetwoindustriesaresimilarexceptthatTFT-LCDisconsideredcustomizedgoods,whileDRAMisconsideredcommoditygoods.
5.CaseStudy
TheperiodforcasestudyisrestrictedtothetimeSamsungandLGbeganR&
D(mid1980s)towhenthetwocompaniesacquiredsuccessintheworldmarket(late1990s).
5.