中国承接国际软件外包的技术外溢效应研究

【作者】 刘绍坚；

【导师】 江小涓；

【作者基本信息】 中国社会科学院研究生院 ， 国际贸易学， 2008， 博士

【摘要】 随着全球经济社会的迅猛发展和信息技术的快速进步,人类社会正不可逆转地进入信息社会。软件业作为信息产业的核心,是国民经济的基础性和战略性产业,也是各国发展和竞争的重要领域。中国也不例外。由于历史抉择的原因,长期以来中国软件产业立足于自我研究,自我发展,但是发展速度十分缓慢。20世纪80年代开始,相继有一些跨国软件企业进入中国销售自己的软件产品,使得国内学者开始惊呼外资企业在许多软件领域占据垄断地位。近几年来,随着印度在承接国际软件外包上取得巨大成功,国内软件外包服务市场迅速发展。笔者收集了国内国际现有关于外包、服务外包、软件外包的文献1000余篇,进行了分析整理,发现关于国际软件外包的研究从微观的企业管理角度和宏观的发包国角度研究较多,从承接国角度研究较少;关于技术外溢的研究集中在制造业跨国转移过程中是否存在技术外溢、技术外溢的实现途径和影响技术外溢的因素,涉及软件外包这样的服务业领域的技术外溢研究较少;在少量涉及软件外包技术外溢问题的文献中,也基本上都是定性分析,论证充分的定量研究较少。笔者认为,对于承接国而言,在承接国际软件外包发展进程中,能否产生技术外溢效应是一个关系到自主创新能力提升的关键问题。从软件外包这一具体产业切入,很大意义上也可以看出服务外包的技术外溢效应。笔者认为,仅停留在定性分析的基础上讨论解决不了这一问题,应该从产业发展的前沿入手,开展基于企业一手资料基础上的实证研究,证实是否可以通过承接外包产生技术外溢效应。本文的目的也在于此。文章内容共分六章。第一章为选题背景。主要介绍选题背景、研究目的、研究结构、研究方法和研究的技术路径。第二章国际软件外包的发展背景及现状分析。笔者首先界定外包、服务外包、软件外包、国际软件外包等概念的内涵及彼此间的联系区别。通过追溯软件外包的发展历程,认为软件外包出现已有较长时间,并开始出现在岸外包向大范围、大规模的离岸外包发展态势。笔者认为,国际软件外包的发展趋势十分乐观,发包方主要集中在美国、欧盟、日本等发达国家,接包方主要集中在印度、爱尔兰等发展中国家。提出国际软件外包蓬勃发展的三大现实动因,一是竞争加剧是内因,企业为了降低成本、提高效率,不得不开展外包;二是技术进步是外因,信息技术的快速普及使得软件等服务成为可贸易品,降低了交易成本;三是政府态度是外部推动力,发包国和接包国在教育、就业、吸引投资等方面的政策有力地推动了外包的发展。之后分析国际软件外包的主要理论框架,认为经济全球化、国际分工、国家竞争力、服务贸易、服务业发展、企业多元化和归核化、产业集聚等理论为国际软件外包的产生和发展奠定了坚实的理论基础,可以用于分析软件外包。第三章中国承接国际软件外包的历程和发展现状。笔者对24家从事软件外包的内外资企业的高层管理人员进行了访谈,结合文献研究、媒体报道和企业信息,总结出中国承接国际软件外包的四种模式:跨国公司在中国设立的软件研发机构、跨国公司设立的市场开拓机构、本土纯粹承接国际软件外包业务的企业、本土研发型的外包企业。在此基础上,笔者对中国承接软件外包的现状进行了分析,认为尽管中国近年来承接国际软件外包发展快速,各主要研究机构对中国未来的承接趋势也持乐观态度,但不可否认的是,中国承接国际软件外包的总量小,企业规模较小,产品质量和附加值水平不高,市场过于集中在日本,软件外包企业主要集中于北京、上海、大连、西安等大城市。第四章承接国际软件外包的技术外溢效应分析。这是本论文的核心部分。笔者通过对104家中国企业问卷调查收集的数据实证分析发现,我国企业通过承接国际软件外包获得了技术外溢,提升了本土软件研发能力。在技术外溢的多种可能途径中,跨国公司的示范效应最显著,但目前发展状态下还难以证明技术外溢可以通过产业关联、产业集聚、人员流动和市场环境改善等渠道扩散。第五章提升中国承接国际软件外包能力的策略。笔者对我国承接国际软件外包可能产生影响的市场环境、制度环境、政治环境、企业能力和人才成本等5个因素进行了实证分析。研究结果表明,市场环境、制度环境和政治环境等宏观层面因素对中国承接国际软件外包的能力提升有显著影响,其中制度环境影响最大,其次是市场环境,再次是政治环境;而企业能力和人才成本等微观层面因素表现不显著。在此基础上,对中国承接国际软件外包的制约因素与印度进行了比较分析,并提出具体的政策建议。第六章结论。对前述分析进行归纳总结。由于软件外包是近年来出现国际服务业转移中的的新现象,从国内外研究现状看,对这一领域的研究还处于起步阶段,尤其是承接国是否能产生技术外溢效应的研究比较少,因此本论文的选题具有一定理论价值;从现实层面看,目前中国具备承接国际软件外包的资源禀赋和产业基础,如何能采取针对性措施,有效促进这一产业良性发展,具有重要的实践意义。在研究过程中,笔者注意到,国际软件外包发展时间还较短,国内外对此尚缺乏成熟的统计方法和统计体系,数据搜集非常困难。尽管笔者作了很大的努力收集到许多一手资料,但从截面角度讲是否能真实反映这一行业发展现状,从纵向角度讲是否能客观体现这一行业的发展趋势,还需要进一步加以跟踪研究。更多还原

【Abstract】 With the rapid development of the global economy and the information technology, the mankind has been in an information sociality unreversely. As the core of the information industry, the software industry is the basic and strategic industry of the national economy, it is the important develop and contest area for every country. It is also for China.The software industry developed by self in China for a long time, it grew slowly. After more and more international software enterprises came to China to sale their software products in 1980s, many scholars said that the international enterprises had been the monopolistic position. After undertaking the international software outsourcing had a big success in India, it developed quickly in China in these years.The author collected and analysised over 1000 articles which did research on outsourcing, service outsourcing and software outsourcing. He found more articles focused on the micro enterperises management and macro outsourcer countries, less focused on the outsourcee countries. More focused on the technology overflow of manufacture international transfer, less focused on the technology overflow of service industry, such as software. More used qualitative analysis; less used quantitative study in the fewer articles which involved in the technology overflow in software outsourcing.By the author‘s opinion, whether it had technology overflow effects or not by undertaking the international software outsourcing in the outsourcee countries, it is a key problem which would be relate to the ability of independent innovation. It will be helpful for the research on the technology overflow effects in service outsourcing. We can‘t solve the problem if we stepped arguing on the base of quality analisys. So we should do some empirical study that based on the first-hand data from the enterprises. That is the main object of the article. It examines the effect of technology overflow in China international software outsourcing.The article includes six chapters.As the introduction, Chapter 1 outlined the research background, subject and aims as well as basic framework of the thesis.Chapter 2 focused on the background of the international software outsourcing and the analysis of the status quo. The author defines and differentiates the notions of outsourcing, service outsourcing and software outsourcing firstly. He tracks the history of software outsourcing, he finds that software outsourcing has been done for a long time, and has a trendency from on-site outsourcing to offshore outsourcing. He thinks that the development of international software outsourcing is encouraging. The outsourcers concentrate in the developed world such as The US, EU and Japan and the outsourcees are mainly developing countries like India and Ireland.The author reviews the theory background of international software outsourcing and notes that economic globalizing, international work division, national competence, service trade, service development, theories of multi- business, core business and industry clusters lay a solid foundation for the rise and growth of international software outsourcing. He finds out three engines for the robust growth of international software outsourcing. First, competition escalation is the inside reason. Enterprises have to outsource to reduce cost, distract risks and explore new markets. Second, technology progress is the outside force. The rapid dissemination of information technology makes software a tradable product and this helps reduce the trade cost between countries and enhance efficiency. Third, the government attitude is the external propulsion. The policies of outsourcers and outsourcees in the aspects of education, employment and investment attraction promote outsourcing greatly.Chapter 3 included the history of undertaking international software outsourcing in China and the conditions nowadays. The author interviewed 24 high level managers in the outsourcee enterprisens. On the basis of voluminous field study the author discovers four modes of how China undertakes international outsourcing: China-based multinational software R&D center, marketing agencies set up by multinationals, local enterprises engaged in outsourcing businesses only and local R&D-based outsourcees. The author holds that China undertakes international software outsourcing in small volume but at a rapid growth rate, that the outsourcees are relatively small-scaled ones which only make products of low added value and medium quality, which the markets are disproportionately in large cities like Beijing, Shanghai, Dalian and Xi‘an.Chapter 4 did the research on the technology overflow in undertaking international software outsourcing in China. It is the key point of the thesis. The author discovers after a survey on 104 Chinese enterprises that Chinese corporation realizes the effect of technology overflow in undertaking international software outsourcing and in doing so promotes its R&D capability. Among the possible paths of technology overflow effect, the demonstration effect by multinationals is most outstanding. Evidence is absent; however, that technology overflow can expand through industry linkage, industry cluster, and work force flow and market improvement.Chapter 5 focused on the strategy how to take up the Chinese ability to undertake the international software outsourcing. The author then analyses five factors that might influence China international software outsourcing, namely, market environment, institution environment, political environment, corporation competence and talents cost. The result shows that macros like market, institution and politics impose a significant impact on competence promotion; institution is the most influential in this regard. Following is market and politics. Micros like corporation competence and talents cost are less contributive. The author wraps up with some practical policy suggestions.As the concluding parts of the thesis, Chapter 6 concluded the analysis before.Because the software outsourcing is a new phenomenon in the international service transfer, there is no more research that focused on it, especially on the technology overflow. So the thesis has some theory value. It also has some practicle value for the industry development; China has the resource advantage and industry basement to undertake the software outsourcing. If the government takes some good measures, it will be helpful for the software industry development.During the research period, the author took note that it is difficult to collect the data of the industry as it developed in a short period; there is not the good statistics method to do it. Although the author tried his best to collect so many materials from the enterprises; it is hard to say that the materials could reflect the fact and trend of the industry. We should do more research on it later.更多还原