【作者】 何爽；

【导师】 谢富纪；

【作者基本信息】 上海交通大学 ， 管理科学与工程， 2011， 博士

【摘要】 改革开放30年来,伴随着经济全球化的迅猛发展,中国抓住了这一历史性机遇,大力引进外资,经济得到快速全面发展,工业产值位居世界前列并被称之为“世界工厂”,取得了举世瞩目的成就。但是从总体上来看,我国经济发展依然主要依靠资本和劳动投入的低水平粗放式增长。自上世纪90年代以来,国家就一直强调产业结构升级与调整,实现可持续发展,但实际上进展甚微,产业转型任务艰巨。产业转型依赖于产业技术的发展和进步,可我国产业核心技术长期受制于人,严重制约了我国经济的可持续发展。国家创新系统(National Innovation System,简称NIS),也被称为国家创新体系,这一概念自从上世纪90年代引入中国以来,国内学者从多个角度出发对其进行了分析和论述。中国自主创新能力的落后,反映出了国家创新系统的运行存在较大的缺陷。做为后进的发展中国家,仅仅依靠国家创新系统内部采取封闭式创新实现自主创新能力的快速提升和技术的进步是很难实现的。在自主创新战略实施过程中,企业是自主创新的主体,企业在选择创新模式的同时也在影响着其所处的创新体系。随着经济全球化的深入发展,企业拥有了一个重大机遇,就是可以在全球范围内进行资源配置,也包括创新资源的配置。国家创新系统在此影响下国际化日益明显,如同我国30年来改革开放的经验一样,必须主动融入国际创新体系,整合和配置国际创新资源。利用国家创新系统国际化增强国家自主创新能力,是我国实现经济可持续发展的必然选择。本文围绕“国家创新系统国际化”这一宏观现象,从微观角度考察企业创新国际化行为,全面、系统地分析了国家创新系统国际化演进的现状、机理和路径,并进行了仿真实证研究和案例分析。其主要内容包括:(1)跨国公司研发与国家创新系统内向国际化研究跨国公司研发国际化的日益发展和深化对国家创新系统产生了重大影响,其在东道国的研发机构嵌入到东道国内部,成为东道国国家创新系统的特殊组成部分,是国家创新系统国际化的关键因素和诱因,也是东道国创新系统内向国际化的主要路径。本文对跨国公司研发国际化及其在华发展现状进行了分析,剖析了跨国公司研发国际化的动因、投资模式和位置选择,并研究了其对东道国的影响因素,认为跨国公司研发投资对东道国存在有利影响和不利影响,其综合效应最终对东道国创新系统产生作用。作者还利用共生理论借鉴Logistic模型构建了跨国公司与内资企业创新系统的演化模型。(2)国家创新系统内部创新主体的双向国际化活动跨国公司在国内的生产和研发大量投资使得国内市场日益国际化,内资企业在原先薄弱的技术基础上仅仅依靠内部自主研发已经难以应对日益激烈的国际竞争环境,因此不少内资企业开始把获取技术和创新资源的目标转向国外。本文研究了内资企业通过资源杠杆获取国外创造性资产的主要方式和效果,基于跨国公司垄断产品价格变化的情况下政府资助内资企业自主创新活动的效果进行了博弈分析,研究了研发补助费用额度的阀值和作用。(3)跨国公司嵌入的国家创新系统国际化系统动力学模型构建与仿真系统动力学(System Dynamics,SD)是一种研究复杂反馈系统动态行为的方法,也是建立在控制理论、决策理论、计算机仿真技术之上的研究方法。本文构建了跨国公司嵌入后国家创新系统的动力学模型,研究国家创新系统国际化的演进机制与政策效果。依据国家创新系统国际化创新主体行为变动的研究结论,以分析跨国公司研发与中国国家创新系统国际化的交互影响为主要目的,本文从创新主体、创新环境、创新财力资源、创新人力资源、创新产出等维度,结合可收集到的统计数据进行仿真实证分析。根据实验结果,总结影响中国国家创新系统创新产出及企业自主创新能力的关键因素并得出相关结论。(4)内资企业双向国际化获取核心技术的案例研究企业是国家创新系统的主体,企业创新国际化是国家创新系统国际化的基因。本文最后对内资企业京东方利用资源杠杆进行双向国际化获取核心技术实现自主创新发展我国液晶面板产业案例进行了研究,探讨了国内企业切入跨国公司网络,通过外向国际化获取海外创造性资产从而实现内向国际化提升自主创新能力的实践,验证了国家创新系统国际化的微观活动和趋势。本研究的创新性主要体现在以下几个方面:(1)勾勒出国家创新体系国际化的理论框架国内学者对国家创新系统的结构、绩效、发展历程、国际比较等方面都进行了较多的研究,对跨国公司研发国际化及外资对国家技术进步的影响作用也进行了广泛的探讨,但对国家创新系统国际化的研究还很少。本文从跨国公司研发国际化和内部创新主体双向国际化两条路径出发,对国际创新系统的国际化演进机制与微观行为进行了阐述,完善了研究框架。(2)对跨国公司嵌入后国家创新系统的运行和国际化演进进行了系统动力学模型构建和仿真本文从内部创新主体创新行为国际化和外部创新主体-跨国公司研发国际化两条路径研究其对自主创新的作用方式,基于Logistic模型构建了内资企业创新系统与跨国公司企业创新系统的共生演化模型,并构建政府资助内资企业自主创新的博弈模型。在此基础上作者利用系统动力学构建了跨国公司嵌入下国家创新系统动力学模型,并对其进行实证和政策仿真。(3)结合内部创新主体双向国际化的实践来讨论国家创新系统国际化在探讨国家创新系统国际化演进机制和路径时,本文不仅仅局限于博弈论方法和系统仿真,而是通过重点分析现实成功案例对内部创新主体双向国际化成功获取国际创新资源总结出方法和途径。更多还原

【Abstract】 After 30 years of reforming and opening up, along with the rapid development of economic globalization, China seize this historic opportunity to introduce foreign investment so that economic develop rapidly and industrial production is one of the largest country in the world. China is known as the "world factory" and has made remarkable achievements. But in general terms, China’s economic development still rely mainly on the low level of capital and labor inputs extensive growth. Since 90’s of last century, the state has emphasized upgrading and adjustment of industrial structure to achieve sustainable development, but actually the progress is little and the task on industrial restructuring is arduous. Industrial restructuring depends on the industry technology development and progress. China industrial core technologies long-term rely on others and seriously hampered the sustainable development of economy.The concept of National Innovation System was introduced into China since the 90s of last century, the domestic scholars has analyzed and discussed it from many view. The backwardness of China’s independent innovation capability reflects that there is quite big flaw on the operation of the China national innovation system.As a developing country, China is very difficult to achieve rapid promotion of independent innovation ability and technological progress by closed innovation relying solely on the national innovation system. In the process of Implementation of the strategy of independent innovation, the enterprise is the main innovation. Enterprise innovation model in the selection is also affect the innovation system. With the further development of economic globalization, enterprises have a great opportunity to acquire innovative resource in the global. Internationalization of China national innovation system is increasing. China must take the initiative to integrate into the international innovation system to integrate and acquire international innovative resources as the 30 years’experience of China reform and opening up,It is the inevitable selection for China to make use of internationalization of national innovation systems to enhance national independent innovation capacity so that China can achieve sustainable economic development. This paper focuses on the macro-phenomenon of "Internationalization of National Innovation System" from the micro perspective on the entership international innovation behavior. This study analyzes the status, mechanism and path of NSI in a comprehensive and systematic method. Then we excutes a simulation research and case study. The main contents include:(1)Multinational Corporations R&D and NSI Inward Internationalization ResearchThe increasing development and deepening of MNCs R&D internationalization is had a significant impact on NSI. These R&D subsidiaries embedded in the host country is a special part of NSI of the host country. They are the key factors and incentives for the internationalization of NSI of the host country. This paper analyzes the current situation of R&D internationalization of MNCs and their development in China. Then we analyze the MNCs R&D internationalization motivation, investment patterns and the selection of location and study their impact factors on host country. We conclude that MNC R&D investment in host countries exist beneficial effects and adverse effects and the combined effect ultimately have an effect on the host country innovation system. Then the author use symbiosis theory to modify Logistic Model to construct evolutionary model of innovation systems of MNCs and domestic enterprises.(2) Bilateral Internalization of Internal Innovation Actors in NSIWith the deepening of MNCs production and R&D investment in the host country, domestic enterprises cann’t cope with increasingly fierce international competition relying solely on independent R&D, so many domestic enterprises start to shift abroad to access the target technology and innovation resources. This paper studies the main methods and effects for the domestic enterprises to get creative assets abroad by resource leverage。Then the author analyze the game model of government-funded innovation activities based on changes in product prices under the monopoly of MNCs and study the threshold amount and effct of the costs of R&D grants.(3) System Dynamics Construction and Simulation of NSI Internaltionalization after MNCs EmbeddedSystem Dynamics is a method to study dynamic behavior of complex feedback system based on control theory, decision theory and computer simulation technology. We build a dynamic model of NSI after MNCs embedding to study the evolution mechanism and the policy effects. With the conclusions of the study on internationalization behaviors of NSI, this paper excutes a simulation analysis using statistical data which can be collected from the dimensions of innovation actors, innovation environment, innovation financial resources, innovation human resources and innovation output for the purpose of analyzing the interaction effect between MNCs R&D and NSI internationaliztion. According to the results, we summarize the key factors which affect the innovation output and capacity of independent innovation of China’s national innovation system and draw the relevant conclusions.(4) Case Study on Bilateral Internationanlization of Domestic Enterprises to Obtain the Core TechnologyFinally, this paper study the case of BOE using resource leverage to get the core technology and developing LCD panel industry in China and discuss how domestic enterprises cut into the MNCs network to achieve creative assets overseas through outward internationalization in order to inward internationalization to enhance the independent innovation capability of NSI and verify the micro-activities and international trends of NSI.The contribution and innovation points of this paper are as following:1. The Theoretical Framework of Internationalization of NSI Domestic scholars have studied on the structure, performance, development process and international comparisons of NSI very much and widely discussed the effect and impact of MNCs and R&D internationalization on technological advances of the host country, but there is little research on the internationalization of NSI. This paper will describe the evolution mechanism and micro behavior from two paths of MNCs R&D Internationalization and internal innovation actors bilateral internationalization and then improve the research framework.2. System Dynamics Construction and Simulation of NSI Internaltionalization after MNCs EmbeddedThis paper study the effect of innovative behavior of the internal innovation actors and external innovation actors-MNCs R&D internationalization. Then we build a symbiotic evolutionary model of domestic-funded enterprises innovation systems and MNCs innovation system based on Logistic model and construct a game model of government-funded innovation. Then we build a system dynamics model of MNCs embedded NSI and excute test and policy simulation. 3. Discussion on the Internationalization of NSI with the Practice of Internal Innovation Actors Bilateral InternationalizationThis paper is not limited to game theory and simulation to discuss the evolution mechanisms and the path of NSI. We summarize the methods and approaches for success in access to international innocation resources through internal innovation actors bilateral internationalization by focusing on analysis of the real success stories.更多还原