【作者】 万炜；

【导师】 曾德明；

【作者基本信息】 湖南大学 ， 企业管理， 2013， 博士

【摘要】 当前，产业成本的国别差距逐渐缩小，技术创新步伐日益加快，全球产业技术创新博弈已经拉开序幕。与此同时，在技术创新全球化背景下各国（地区）技术创新活动的协调融合发展，以技术为基础的产业分工跨越国家边界拓展到了全球范围，为我国的产业创新网络的国际化提供了良好的契机。产业创新网络的国际化意味着国际化节点，国际化联结与国际化资源进入到东道国的的产业创新网络，必然会对东道国的网络结构，网络中的知识资源存量、知识资源质量，知识流动速度，知识流动方向产生影响，进而影响东道国的技术创新产出。目前关于产业创新网络国际化的系统研究还不多见，大多数研究针对产业集群，产业技术创新系统，某一具体产业，或者是某特定产业中的企业创新国际化发展进行分析和探讨。由于时间序列数据难以获得，从整体网络层面分析和刻画产业技术创新体系国际化演进过程；对产业创新网络国际化对技术创新产出的影响进行实证检验的相关研究更为缺乏。因此研究产业创新网络国际化的演进过程及对技术创新的影响这一问题具有重要的理论与实践意义。本文通过文献阅读与理论推演，阐明了产业创新网络国际化演进的特征，影响因素及演进过程；分析了产业创新网络国际化程度对技术创新产出的影响机理；运用专利计量法，社会网络分析方法，计量经济分析方法，问卷调查法，直观刻画产业创新网络的拓扑图，展示国际化演进过程；构建计量经济模型对产业创新网络国际化程度与技术创新的影响关系进行实证检验；通过问卷调查，分析了产业创新网络国际化的背景下企业国际化活动的广度与深度对技术创新的影响机理以及企业内生的知识吸收能力对创新绩效的调节作用，并通过问卷调查采集数据，进行了实证检验；主要的内容包括：第一，分析了产业创新网络国际化演进的机理与过程以及国际化演进对技术创新的影响机理。技术创新全球化是产业创新网络国际化的主要背景；整合全球创新资源以及知识资源互补是主要动因。产业创新网络国际化具有互动性，渐进性等典型特征。创新基础，产业特征以及知识属性对产业创新网络国际化产生影响。在跨国公司研发国际化的推动以及本地企业技术学习的拉动双重机制的作用下，产业创新网络国际化的不同阶段出现的不同的网络特征。知识溢出与知识转移是产业创新网络中跨国知识流动的主要形式；产业创新网络具备知识耗散结构特征，从外界不断吸收新的知识是维系其有序发展的主要动力。表征产业技术创新国际化的四个变量为：国际化子网规模，国际化子网相对规模，国际化联结以及国际化子网密度，它们对突破式技术创新，以及渐进式技术创新的产生影响。第二，定量描述与直观刻画产业创新网络国际化的演进过程，对前面提出的相关假设进行实证检验。先以汽车产业为样本，采集合作专利数据，采用Ucinet软件构建产业创新网络，分析其国际化演进过程；接着，搜集汽车产业1991-2010年在中国知识产权局由境内申请人申请的所有专利总量，应用协整理论与方法对国际化子网规模，国际化子网联结，国际化子网密度与自主技术创新产出的关系进行实证检验，实证结果显示了国际化子网规模对我国自主技术创新的“挤出”效应；国际化联结，国际化子网密度对我国的自主创新有显著的积极作用。第三，分析了企业创新活动国际化程度对技术创新绩效的影响。基于知识流动的视角，分析国际化广度及国际化深度对技术创新的影响并发展出假设，进而推论出产业创新网络国际化背景下，知识吸收能力应该由知识识别能力，知识获取能力，知识转换能力以及知识运用能力构成。并对知识吸收能力对技术创新的调节作用进行分析并发展出相应的假设；最后构建了相关概念模型。第四，通过问卷调查法对企业技术创新国际化深度，广度及知识吸收能力的调节作用进行实证检验。首先发展出相应的测度指标体系，其次通过访谈与试调研对量表做出修订并发展出最终问卷；最后用多元回归积极分组回归的方式对国际化广度，深度的主效应，以及知识吸收能力的调节效应进行了实证检验，结果表明，企业创新国际化广度和深度对技术创新绩效有显著影响，知识吸收能力对广度与创新绩效之间关系的调节作用显著，知识吸收能力对深度与创新绩效之间的调节作用不显著。最后，在总结实证研究结论的基础上，结合全文的研究，从产业、企业两个层面提出了推动技术创新能力提升的政策建议与管理对策。本研究的主要创新点在于基于双维视角对产业创新网络国际化如何影响技术创新展开了深入探讨，从产业和企业两大层次，建构了一个包含产业创新网络国际化、跨国知识流动、技术创新产出三大范畴共19个变量的理论框架，系统地揭示了产业创新网络国际化以跨国知识流动为机制影响产业及企业技术创新绩效的过程。更多还原

【Abstract】 Currently, the gap of industry cost among countries is shrinking, the pace ofdevelopment of technology and innovation is accelerating, and the new round ofmore intense industrial techno-innovation competition pulls open prelusive. Under thetrend of technical innovation internationalization, all countries’(regions’)technological innovation activities have an integrative development, and the industrialdivision of labor based on technology cross national boundary extends to a globalscope. It provides a good opportunity for our country’s industrial innovation networksto be internationalization. The internationalization of industrial innovation networksmeans international nodes, international links and international resources all flow intothe industrial innovation networks of the host country. And in turn it will impact thenetwork structure, network knowledge stock, the quality of knowledge resources,speed and direction of knowledge flow, and finally influence the output of hostcountries’ technical innovation. Most researches focus on the analysis and discussionof industry cluster, technical innovation system on industrial level, a specific industryor an enterprise’s ego-centric network, but it is lack of systematic research oninternationalization of innovation networks at the industry level. Due to the difficultyof collecting time series data, the researches of evolution process of theinternationalization of industrial innovation networks at the global network level andits impact on output of technical innovation are seldom empirically studied. Therefore,the research on evolution process of the internationalization of industrial innovationnetworks and their impact on technical innovation has an important theoretical andpractical significance.This study explains the characteristics, influence factors and evolution process ofthe internationalization of industrial innovation networks through literature andtheory review. And the influence mechanism of internationalization degree ontechnical innovation output. This study utilized patent metering methods and socialnetwork analysis to describe topologicalgraph of industrial technical innovationnetworks, which demonstrate the evolution process, establishes econometric model toanalyzing the influence of internationalization degree on technical innovation, and usesurveys and interviews to analyze the breadth and depth of enterprises’internationalization activities and empirically test their impacts on technical innovation, and the moderating effect of knowledge absorptive capacity on innovationperformance.Firstly, the study analyze the development mechanism and process of theinternationalization of industrial innovation networks and specify the definition of theinternationalization of industrial innovation networks.Then effects of networkinternationalization on internationalization activities are discussed, which includeeffects of mutual promotion and gradual increment. Then the paper analyzeenvironmental factors, industry characteristics and knowledge attribution. Underactions of multinational enterprises’ R&D internationalization and local enterprises’technical learning, different network characteristics of various stages of theinternationalization of industrial technical innovation networks are analyzed.Secondly, the study analyzes the influence mechanism of the internationalizationof industrial innovation networks on technical innovation. Through analyzing patternsof transnational knowledge flow of industrial innovation networks, the paper describethe dissipative structure of industrial technical innovation networks, which showsabsorbing new knowledge from external resources is the driving force of its orderlyand balanced development. Under the perspective of knowledge flow, three variablesare analyzed, including sub-networks’ size of internationalization networks,internationalization linkages and sub-networks’ density of internationalizationnetworks, and then corresponding hypotheses according to their influence on radicaland incremental technical innovation are put forward.Thirdly, this paper describes evolution process of the internationalization ofindustrial technical innovation networks qualitatively, and empirically testcorresponding hypotheses mentioned above. First, automobile industry is taken assample, collecting joint patent data, using UCINET to establish the industrialtechnical innovation networks from1991to2010, which include international andlocal nodes, and its internationalization evolution process was analyzed. Then, all thepatents of automobile industry applied in China from the SIPO from1991to2010arecollected and the relationship among technical innovation output, ties and density ofinternationalization sub-networks are empirically tested, and the result showsextrusion effect of sub-network size on technical innovation, and the positive effect ofinternational links&sub-network density on technical innovation.Fourthly, the influences of internationalization degree on technical innovationperformance are analyzed. Based on the perspective of knowledge flow, the study analyze the effects of breadth and depth of internationalization on technicalinnovation, and then relevant hypotheses are put forward. Second, hypothesize themoderating effect of knowledge absorptive capacity on technical innovation. And then,conceptual model was constructed.Fifthly, Survey data is collected to empirically test the positive effect of thebreadth and depth on technical innovation internationalization and knowledgeabsorptive capacity. In the beginning, the paper develops correspondingmeasurements, and then uses interviews and pre-survey to modify and make the finalversion of questionnaire. In the end, the multivariate regression is utilized to test themain effect of breadth and depth of internationalization and the moderating effect ofknowledge absorptive capacity. And the results indicate the breadth and depth ofinternationalization have positive effects on technical innovation performance, andthere is a significant moderating effect of knowledge absorptive capacity.Finally, based on the results of empirical study and summary of this dissertation,some of policy suggestions about how to promote technical innovation ability at twolevels of the industry and enterprise are suggested. This study’s contribution lies in athorough research of how industrial innovation network internationalization impact totechnological innovation on two dimensional perspective. Building a theoreticalframework contains19variables to reveal the mechanism of industrial innovationnetwork internationalization, knowledge flow and technological innovation outputsystematically.更多还原