【作者】 赵淑英；

【导师】 李平；

【作者基本信息】 辽宁大学 ， 西方经济学， 2014， 博士

【摘要】 模块化具有“持续创新+敏捷制造”的特征，可最大限度地发挥产品研发和设计的自由度，对市场多变的个性化的需求能快速响应，所以，在计算机、汽车、手机、建筑、家具等制造业和金融服务业强调个性化的持续创新的高技术复杂产品系统得到广泛应用，并有日渐扩大趋势，导致这些行业产业组织形态演化出现模块化网络化新趋势。模块化以及模块化生产网络因对高技术复杂产品系统技术创新的独特影响引起国内外学者高度关注。国内外学者结合计算机、汽车、手机等产业，主要从技术操作层面和产业组织模块化层面关于模块化对技术创新的影响进行了深入的理论研究。但模块化是个全球开放系统，应融入模块化带来的全球范围的影响，即从模块化生产网络视角，深入分析模块化生产网络对技术创新的影响机理，并使用模块化最彻底的计算机制造业行业数据给予实证检验是非常必要的，尤其在学术界对这些问题还鲜有研究的情况下。研究结论对引导中国本土计算机制造业如何高效利用模块化生产网络提高其技术创新能力，进而实现产业升级意义重大。本文从理论与实证相结合角度展开研究。首先使用产业组织理论、分工理论和博弈论等系统地分析了模块化生产网络对技术创新的影响机理。模块化生产网络通过模块化分工、“背对背”竞争、合作和技术溢出四种途径影响技术创新。其次，因计算机制造业是模块化最彻底的产业，是模块化的典型代表，且本土企业较“三资”企业更能代表一个国家技术创新能力。接下来，对中国本土计算机制造业的模块化生产网络和技术创新能力进行了全面分析，包括中国本土PC产业产品设计和生产模块化分析、中国本土PC产业在模块化的全球价值链分工中的地位分析、参与模块化生产网络后中国本土计算机制造业的研制能力和技术创新能力分析。最后，利用1995-2012年中国本土计算机制造业面板数据，实证检验了模块化生产网络对中国本土计算机制造业技术创新能力的影响，进而验证了模块化生产网络对技术创新影响机理是否成立。因为创新的终极目标是为了增加创新绩效利润，所以进一步完成了模块化生产网络对中国本土计算机制造业创新绩效利润影响的扩展检验。同时，还做了中国本土计算机制造业R&D经费投入“挤出”效应的进一步分析讨论，以便给模块化生产网络对中国本土计算机制造业技术创新的影响更加全面的分析与检验。通过理论分析与实证研究，本文得到以下主要结论：第一，论文提出的模块化生产网络对技术创新影响机理成立，模块化生产网络内具有垂直专业化分工技术特征的模块化分工深化、模块化分权基因带来“背对背”竞争加剧、合作加强和知识共享带来的更多技术溢出有利于提升中国本土计算机制造业技术创新能力。第二，参与模块化生产网络，有利于增加中国本土计算机制造业创新绩效利润。同时，垂直专业化分工对中国本土计算机制造业R&D经费投入不存在“挤出”效应，即中国本土计算机制造业自主R&D资源没有因垂直专业化分工从创新系统中“漏出”。第三，依据中国台湾以低端价值模块切入全球价值链最终实现成功转型的经验分析，对中国本土计算机制造业全球价值链高端攀升瓶颈给出一个与文献不同的解释——中国本土计算机制造业自身的原因和没有高效利用好模块化生产网络原因，导致中国本土计算机制造业不能向模块化的全球价值链高端攀升。本文研究结论对始终由技术创新驱动的关系国计民生的中国本土计算机制造业的技术创新能力和国际竞争力的提升存在一定的启示作用，对实施模块化生产方式，参与模块化生产网络的其他行业如何高效利用模块化生产网络提升自身技术创新能力，进而实现产业升级也具有借鉴意义。实证检验的结果也能在某种程度上验证鲍德温、克拉克和青木昌彦等学者与该问题相关的一些理论分析，因为本文提出的影响机理中的一部分是源于他们的思想，且到目前为止，还没有学者基于他们的理论分析进行后续的实证检验。更多还原

【Abstract】 Modularity is characterized by “sustainable innovation and agile manufacturing”,which can bring up the freedom in product R&D and design at the most, and rapidlyrespond to the dynamic and individualized market demand. Therefore, it is widelyapplied in the sustainably innovative high-tech complex product systems inmanufacturing industry of computer, automobile, mobile phones, building, furniture etc.,and financial service industry, which all emphasize individualization,and the range ofapplications is increasingly expanding. This leads that industrial organization in thoseindustries is evolving in the new trend of modularity and network. Modularity andmodular production networks have attracted highlighted attention by both domestic andoverseas researchers due to its particular effects on the technology innovation ofhigh-tech complex product systems. In view of the industries of computer, automobile,and mobile phone, and from the aspects of technological operation and modularindustrial organization forms, domestic and overseas researchers have made in-depththeoretical researches on effects of modularity on technology innovation. However,modularity is a global open system, and the worldwide effects of modularity should beincorporated into the analysis, i.e. it is very necessary to make in-depth analysis of theeffect mechanism of modular production networks on technology innovation from theview of modular production networks, and the data of most-thoroughly modularcomputer manufacturing industry is used in empirical test, especially in the case that fewstudies in those topics in the academic field have made. The research conclusion is ofgreat significance to guide China’s local computer manufacturing industry how to highlyefficiently use modular production networks to improve its technology innovationcapability, and further realize its industrial upgrading.The theoretical and empirical researches are combined herein. Firstly, usingindustrial organization theory, division theory, and game theory,etc., the systematicanalysis is made on the effect mechanism of modular production networks on technologyinnovation. Modular production networks affect technology innovation through fourchannels of modular division,“back-to-back” competition, cooperation, and technology spill-overs. Secondly, because computer manufacturing industry is the most thoroughlymodular industry, it is the typical representative of modularity, and local enterprisescould more represent the national technology innovation capability rather than“foreign-funded” enterprises. Therefore, the comprehensive analyses are made onmodular production networks which China’s local computer manufacturing enterprisesparticipate in, and technology innovation capability of China’s local computermanufacturing industry, including the analysis on modularity in the product design andproduction in China’s local PC industry, the analysis on the status of China’s local PCindustry in modular global value chain division, and analysis on the R&D capability andtechnology innovation capability of China’s local computer manufacturing industry afterparticipating in the modular production networks. Finally, using the panel data of China’slocal computer manufacturing industry in the years of1995-2012, empirical analysis ismade on the effects of modular production networks on the technology innovationcapability of China’s local computer manufacturing industry, which also will prove theeffect mechanism of modular production networks on technology innovation. Becausethe final aim of technology innovation is to add innovation performance profit, so it isnecessary to make further empirical tests and analysis on the effects of modularproduction networks on the technology innovation performance profit in China’s localcomputer manufacturing industry. Meanwhile the further analysis is made on the“crowding-out” effect of R&D expenditure input in China’s local computermanufacturing industry, so as to provide more comprehensive tests and analyses on theeffects of modular production networks on technology innovation in China’s localcomputer manufacturing industry.Through the theoretical analysis and empirical test, the main conclusions herein areas follows:Firstly,the effect mechanism of modular production networks on technologyinnovation proposed herein exists, those characteristics of modular production networksare beneficial to improving the technology innovation capability of China’s localcomputer manufacturing industry, including deepened modular division technologicallycharacterized by vertical specialization division, increased “back-to-back” competition, strengthened cooperation, brought by modular decentralization genes, and moretechnology spill-overs brought by knowledge sharing.Secondly, participating in the modular production networks is beneficial toincreasing technology innovation performance profits in China’s local computermanufacturing industry. Moreover, vertical specialization division has no the“crowding-out” effect of R&D expenditure input in China’s local computermanufacturing industry, i.e. independent R&D resources have not leaked out of thetechnology innovation system in China’s local computer manufacturing industry becauseof vertical specialization division.Finally, according to the analysis on Taiwan’s experience that the final successfuleconomic transition was achieved after its entry into global value chain by low-end valuemodules, an explanation different from other references for rise bottleneck to high-end ofglobal value chain in China’s local computer manufacturing industry is given, i.e. the selfreason of China’s local computer manufacturing industry and failure to highly efficientlyuse modular production networks lead to the failure to rise to high-end of modularglobal value chain in China’s local computer manufacturing industry.The research conclusion herein can enlighten that how China’s local computermanufacturing industry always driven by technology innovation and concerning nationalwell-being and the people’s livelihoods promotes its technology innovation capability andinternational competitiveness,as well as reference for other industries, which implementmodular production mode and participate in modular production networks, how to highlyefficiently use modular production networks to promote self technology innovationcapability and further to realize industrial upgrading. The empirical results can prove thetheoretical analyses in some extent relative to modularity by the scholars of Baldwin,Clark, and Aoki, etc., because part of the effect mechanism proposed herein derives fromtheir thoughts, and so far no successive empirical test is made based on their theoreticalanalyses.更多还原