Cooperation and Technological Endowment in International Joint Ventures: German Industrial Firms in China
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1 Michael Hoeck Cooperation and Technological Endowment in International Joint Ventures: German Industrial Firms in China Mit einem Geleitwort von Prof. Dr. Michael Woywode KOLNER WISSENSCHAFTSVERLAG Koln 2008
2 Table of Contents List of Tables :\. XIII List of Figures XV List of Abbreviations XVII Chapter I: Introduction 1 1. Description of the Research Topic 1 2. Literature Review and Research Question 5 3. Structure of the Thesis 7 Chapter II: Literature Review On Technology Technology: Definitions and Characteristics Definitions Characteristics of Technology Technology Types and Industry Classifications Indicators for Technological Sophistication Which Functional Activities are Carried Out? The Sophistication of an Organisation's Technological Resource Endowment The Sophistication of an Organisation's Technological Capabilities The Performance of an Organisation as a Proxy for its Technological Skills International Technology Transfer (ITT) ITT in the Context of this Study Relevant Issues in ITT Management Technological Leadership and International Market Entry The Role of Techno logical Leadership for International Market Entry Explanations for International Market Entry The Resource-Based View Technological Resources and International Market Entry The Choice for a Market Entry Form and Technology Transfer Overview of Market Entry Forms The Choice for a Market Entry Form Technology Transfer and the Choice for an IJV The International Joint Venture as a Channel for Technology Transfer The (International) Joint Venture Definitions Strategic Objectives for International Joint Ventures Formation IJV Classifications and Allocation of Partner Roles 52
3 COOPERATION AND TECHNOLOGICAL ENDOWMENT IN IJVS 3.2. Technology Transfer within International Joint Ventures China as a Target Market for International Market Entry The Political and Economic Development in China since Chinese Policies and Regulations regarding Technology Transfer General Policy of the Chinese Government regarding Foreign Technology Regulatory Framework and the Government's Role Knowledge Drain and the IP Protection Regime in China Legal Provisions for Relevant Market Entry Forms Representative Office and Licensing Foreign Invested Enterprises Technology Transfer and FDI to China from the World and Germany Technology Transfer to China FDI from Germany to China : Recapitulation 87 Chapter III: Theoretical Considerations and Derivation of Hypotheses Cooperation in IJVs and Technology Transfer from a Theoretical Perspective A Simple Prisoner's Dilemma Paradigm and its Application to Knowledge Exchange A Prisoner's Dilemma for Technology Transfer to IJVs Variable Names and Descriptions Basic Insights Incorporating a Local Firm's Cooperation Probability - the Relevance of Trust Taking Repeated Interaction and Reciprocity into Account Discussion of General Influence Factors External Influence Factors Local Market Conditions Industry-Specific Market Attractiveness Differences in Cost Levels Government Incentives Internal Influence Factors Characteristics of the Technology Sending Firm Product and Technology Characteristics The Technology Recipient and Practical Implementation Barriers 133 X
4 LISTS Chapter IV: Empirical Study Research Design Choice of the Empirical Setting and Structure of the Investigation Measurement Concepts for the Dependent Variable Overview of Measuring Concepts Measuring T(JV) Measuring T(JV)/T(HQ) Measuring Shared Technological Insight Possible Measures of Technology Transfer that are Not Pursued Empirical Research Results Course of the Investigation and Sample Description Descriptive Results Characteristics of Joint Ventures and the Cooperative Setting Technological Sophistication of Joint Ventures Technology Endowment of Joint Ventures Statistical Investigation of Hypotheses Findings related to Technoware Findings related to Inforware Findings related to Humanware Findings related to Orgaware Findings related to Capabilities Summary and Discussion of Results Summary of Results and Evaluation of Hypotheses Discussion of Results 208 Chapter V: Conclusion Research Limitations Sample Characteristics Inference of Technology Transfer Commitment Ambiguity of Causal Chains Conclusion and Suggestions for further Research 217 VI. References and Appendices Reference List Important Chinese Laws and Regulations Appendices 259 Appendix 1: Technology Fields 259 Appendix 2: Levels of Sophistication of Technological Resources 260 Appendix 3: Description of Expert Interviews 261 Appendix 4: Overview of Variables that Correspond to Hypotheses 262 XI
5 COOPERATION AND TECHNOLOGICAL ENDOWMENT IN IJVS Appendix 5: Overview of General Influence Factors and Corresponding Variables Appendix 6: Qualitative Descriptions of Joint Ventures 265 Appendix 7: Survey Questionnaire (English Version) 267 XII
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