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Between Catch-Up and Engagement in Emerging Technologies Marina Oulion

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Between Catch-Up and Engagement in Emerging Technologies Marina Oulion The acquisition of technological capabilities by large Chinese industrial companies : between catch-up and engagement in emerging technologies Marina Oulion To cite this version: Marina Oulion. The acquisition of technological capabilities by large Chinese industrial companies : between catch-up and engagement in emerging technologies. Economics and Finance. Université Paris-Est, 2016. English. NNT : 2016PESC0114. tel-01483966v2 HAL Id: tel-01483966 https://tel.archives-ouvertes.fr/tel-01483966v2 Submitted on 8 Feb 2018 HAL is a multi-disciplinary open access L’archive ouverte pluridisciplinaire HAL, est archive for the deposit and dissemination of sci- destinée au dépôt et à la diffusion de documents entific research documents, whether they are pub- scientifiques de niveau recherche, publiés ou non, lished or not. The documents may come from émanant des établissements d’enseignement et de teaching and research institutions in France or recherche français ou étrangers, des laboratoires abroad, or from public or private research centers. publics ou privés. UNIVERSITE PARIS-EST ECOLE DOCTORALE ORGANISATIONS, MARCHES, INSTITUTIONS Thèse de doctorat en Sciences de Gestion Menée au Laboratoire Interdisciplinaire Sciences Innovations Sociétés (LISIS) d’Université Paris-Est Soutenue par Marina OULION le 12 décembre 2016 L’ACQUISITION DE COMPÉTENCES TECHNOLOGIQUES PAR LES GRANDES ENTREPRISES INDUSTRIELLES CHINOISES. Entre rattrapage et investissement des technologies émergentes Thèse dirigée par LARÉDO Philippe, professeur, UPEM et Université de Manchester Jury : ARVANITIS Rigas, directeur de recherche, IRD (rapporteur) KAHANE Bernard, professeur, ESIEE (président du jury) LLERÉNA Patrick, professeur, Université de Strasbourg MATT Mirelle, directrice de recherche, INRA (rapporteur) RUET Joël, chargé de recherche CNRS-CEPN, Université Paris 13 et chercheur associé, CRG, Ecole Polytechnique 1 L’acquisition de compétences technologiques par les grandes entreprises chinoises : entre rattrapage et investissement des technologies émergentes Résumé Parmi les 500 plus grandes entreprises mondiales, une sur cinq est chinoise. En 2014, 94 entreprises chinoises figuraient parmi les leaders mondiaux en R&D. La Chine est, depuis 2016, le premier acquéreur d’entreprises étrangères et vise désormais des entreprises de haute-technologie. Ces éléments nous questionnent sur le positionnement technologique des entreprises chinoises. Penser ce thème nous oblige à revenir sur leurs conditions d’émergence. A la lecture du modèle dominant du rattrapage technologique (Kim, 1997), la Chine est passée par trois grandes phases: une période d’acquisition des technologies étrangères suite à l’ouverture du pays en 1978, une période d’assimilation des technologies et d’assemblage et manufacture de produits de plus en plus complexes, et une période d’intégration qui leur permet de faire de nouvelles propositions de produits grâce à la reconfiguration et amélioration des technologies existantes. L’hypothèse qui guide notre recherche est que les entreprises sont désormais dans la dernière phase du rattrapage et sont entrées dans une période de transition vers le leadership technologique. Cela nous amène à poser deux questions. A quoi fait-on référence lorsqu’on parle d’innovation en Chine aujourd’hui ? Ce thème renvoie de manière plus globale à celui de l’innovation par les pays émergents. Quel chemin reste-t-il à parcourir pour atteindre la frontière technologique ? Nous observons cette transition dans la manière dont les grandes entreprises chinoises s’engagent dans la recherche. L’intégration des technologies émergentes au sein de leurs stratégies de recherche reflète des dynamiques d’apprentissage qui, si elles ne sont pas encore visibles sur le marché, indiquent une dynamique de transition. Nos résultats montrent que la tendance est significative, la moitié des grandes entreprises (48 percent) s’engage en nanotechnologie. Cela reflète l’arrivée à la frontière technologique des entreprises chinoises, ce qui, nous le soulignons, n’implique pas nécessairement le passage à la frontière sur d’autres dimensions, notamment organisationnelles. Nous montrons également que les trajectoires d’engagement dans la recherche sont variées. Si une partie des entreprises s’engagent dans la recherche sur la base d’un modèle similaire à celui des entreprises américaines ou européennes, d’autres dynamiques sont également à l’œuvre, qui traduisent notamment un héritage historique et une inscription dans le territoire. Pour obtenir ces résultats, nous avons construit une base de données de 325 grandes entreprises industrielles, et observé leurs prises de brevets en nanotechnologie, directement ou via leurs filiales, sur la base de sources en anglais et en chinois. Mots clés : entreprise chinoise, frontière technologique, nanotechnologie, brevets 2 The acquisition of technological capabilities by large Chinese industrial companies: Between catch-up and engagement in emerging technologies (English Title) Abstract Among the 500 world’s 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 elements 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 under 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 China’s innovation today? This topic broadly refers to innovation by emerging countries. How far are Chinese firms to reach the technological frontier? We observe the transition through the way major Chinese firms engage into 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 the transition. Our results show that the trend is significant, half of large firms (48 percent) engages in nanotechnology. This proportion reflects that Chinese firms have reached the technological frontier, which, however, does not mean they are at the frontier on other dimensions, such as the organizational dimension. We also show that there are several modalities of commitment into research. While some large Chinese firms do research by adopting a model similar to that of American or European firms, other dynamics are at work, which reflects 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. Keywords: Chinese firm, technological frontier, nanotechnology, patent 3 Résumé long en français La question centrale de la thèse est celle de la frontière technologique en Chine. Cette question se déploie à deux niveaux. Tout d’abord, au niveau national, c’est la transformation du modèle industriel qui est en jeu ainsi que la place du pays dans le monde. La crise financière de 2008 a mis en évidence, par l’ampleur des faillites qu’elle a générées, les problèmes liés au modèle industriel chinois : notamment des problèmes environnementaux (qui a des impacts considérables sur la santé publique) et des problèmes structurels. La question de la frontière technologique se pose également au sujet des entreprises. Nous assistons, depuis une dizaine d’années, au repositionnement des grandes entreprises chinoises. En 2015, environ 20 percent des 500 plus grandes entreprises mondiales vient de Chine, et le pays joue désormais un rôle moteur dans les fusions et acquisitions internationales. Certaines acquisitions ont certes été des tournants historiques de par la charge symbolique de la cible et la dimension technologique de l’acquisition. Mentionnons, entre autres, l’acquisition de la section PC d’IBM par Lenovo en 2005, la reprise de Volvo par Geely en 2010 et en 2016, l’acquisition de Syngenta (chimie et agroalimentaire) par l’entreprise d’état ChemChina. Mais fondamentalement le phénomène va au- delà de ces cas emblématiques et concerne également l’absorption de petites entreprises technologiques. Ces éléments interrogent le positionnement des grandes entreprises chinoises en tant qu’acteurs technologiques. De plus, l’étendue de la tendance nous amène à nous questionner sur les conditions d’émergence des entreprises. Poser cette question nous oblige ainsi à nous replacer dans un temps plus long, même s’il reste relativement court au regard de l’histoire industrielle : deux entreprises parmi les leaders chinois, Huawei et Lenovo, ont respectivement été créés en 1988, et 1984 et le premier investissement à l’étranger par une entreprise chinoise date de 1984 (Week in China, 2016, p. 6). Positionnement de la recherche L’analyse de la dimension technologique sur un temps historique nous renvoie aux études existantes
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