【作者】 李钧；

【导师】 金润圭；

【作者基本信息】 华东师范大学 ， 世界经济， 2008， 博士

【摘要】 20世纪70年代以来,随着国际竞争日趋激烈和世界经济一体化的发展,越来越多的跨国公司把原来放在母国的研发活动移到海外进行。特别是20世纪80年代中后期以后,跨国公司从事国际性研发活动越来越普遍,跨国公司海外研发投资逐年增加。自90年代之后,这种海外研发又表现出新的发展趋势——加大了对发展中国家和地区的投资力度。其中,中国以其容量巨大的市场和丰富的价廉质优的人力资源成为跨国公司研发投资的热点区域。由于我国的国家创新系统正在进行全面的改革,将以积极的姿态融入到经济全球化中去,在这个过程中,作为国家创新系统的主体和与跨国公司直接竞争的本土企业来说,如何有效提升自身创新能力就显得尤为重要。在这样的背景下,正确评价跨国公司在中国的研发,为我国本土企业利用跨国公司在中国的研发提升创新能力提供可行性论证就成为现实问题。基于此,本文以跨国公司在华研发对我国本土企业技术创新的影响作为研究主题,从理论和实证的角度深入探讨跨国公司研发的溢出效应和挤出效应作用机制、途径、影响因素及影响效果,并在此基础上进行政策分析。论文共分为七章,内容安排如下:第一章是全文的导论,主要介绍选题的背景和意义、研究内容和研究方法等。第二章为文献综述,分别介绍跨国公司海外研发投资相关理论和企业技术创新相关理论。在此基础上,从发展中东道国技术创新视角对已有跨国公司研发对东道国的影响研究成果进行梳理,指出本论文的研究视角与重点:从跨国公司研发对我国本土企业技术创新视角深入,侧重影响效应机制与效果的理论研究和实证分析。第三章至第六章是本文的重点部分,从理论和实证角度对跨国公司在华研发对我国本土企业技术创新的影响效应进行研究。第三章、第四章是理论研究部分。第三章分析了跨国公司在华研发溢出效应与挤出效应机制。首先分析了企业技术创新过程、模式以及影响因素分析,在此基础上对跨国公司在华研发溢出效应和挤出效应机制进行研究。指出跨国公司研发的溢出或挤出效应是通过对本土企业技术创新要素施加正向或负向影响而产生的。第四章在第三章的基础上,通过博弈分析对跨国公司研发溢出效应和挤出效应影响程度的决定因素展开讨论。基于跨国公司研发对本土企业技术创新是溢出还是挤出是跨国公司和本土企业技术创新博弈的结果的认识,建立研发创新和产品创新的博弈模型,通过博弈双方的收益分析,求得均衡解,通过分析其中变量变化,给出跨国公司研发与本土企业的行动模式,并得出决定效应效果的关键因素。第五章和第六章是实证分析,其中第五章首先进行计量分析。在机制研究和博弈分析基础上,建构计量分析模型,验证跨国公司在华研发对我国本土企业技术创新的影响效果。基于计量分析中企业数据的不足,第六章选取我国高技术产业中的通信设备制造行业与家电行业中的四家本土企业进行案例分析,目的是对计量分析结论进行佐证和补充,以完善实证分析内容。第七章结合理论和实证研究内容,在总结全文主要观点的基础上,对我国如何充分发挥跨国公司研发溢出效应,减少挤出效应提出政策建议。最后指出论文创新与不足之处,在此基础上,提出进一步研究方向。本研究得出的主要结论是:1、跨国公司在华研发对中国本土企业技术创新既有溢出效应又有挤出效应,两者同时并存,方向相反。它们通过对技术创新要素,包括创新宏观环境、创新动力、创新支持系统、创新者以及创新过程施加影响来最终影响本土企业技术创新。2、跨国公司研发溢出效应和挤出效应的作用途径基本相似,具体而言,溢出效应通过示范模仿、人才流动、竞争和联系途径产生,而挤出效应通过过度竞争、弱化关联效应、争夺研发资源、增加技术依附性途径产生。这些途径可以归纳为“示范联系”、“人才流动”和“竞争”三种,溢出效应和挤出效应同时在这三种途径上发挥作用,只是作用方向相反。3、跨国公司研发对本土企业技术创新的净效应是正是负取决于溢出效应和挤出效应的大小,而两者是跨国公司和本土企业技术创新博弈的结果。在博弈过程中,本土企业的吸收能力、技术差距是影响博弈结果的关键因素,吸收能力越大、技术差距越小,溢出效应越大,反之,挤出效应越大。4、实证分析表明,在我国高技术产业,自身研发经费的提高、研发队伍规模的增加是推动技术创新的重要乃至是首要力量。从整体上看,跨国公司研发对本土企业技术创新的溢出效应更大,但主要起作用的是“竞争”途径,“示范联系”和“人才流动”两种途径的作用并不显著。5、本土企业的吸收能力和技术差距会影响外溢效果,其中本土企业吸收能力越大,与外资的技术差距越小,外溢效果越好,反之外溢效果越差。通过实证分析可知在高技术产业,本土企业的吸收能力需要进一步加大,技术差距进一步缩小,以增加研发外溢效果。更多还原

【Abstract】 Since the 1970s, with the increasingly fierce international competition and the development of economic integration in the world, more and more multinational companies moved their R&D activities from their home country to overseas. Particularly since the late 1980s, that the multinational corporations are engaged in international R&D activities has become increasingly common, and the overseas R&D investment of multinational corporations has increased year by year. Since the 1990s, the overseas R&D appears a new trend that the intensity of investment in developing countries has increased. Among them, with its huge market capacity and abundant and low cost and high quality human resources, China becomes the hot zone for R&D investment of multinational corporations.Chinese national innovation system is conducting a comprehensive reform, and China takes a positive attitude to take part in the economic globalization. In this process, it is particularly important that how to upgrade effectively the innovative ability of the local enterprises because they are the main body of a national innovation system and in direct competition with multinational corporations. Against such a backdrop, it becomes necessary that R&D of multinational corporations in China is evaluated correctly and the feasibility study is provided for Chinese local enterprises using the R&D of multinational company to upgrade their innovative ability. Based on this, the research theme of this paper is the impact of multinational corporations’ R&D in China on China’s local enterprises’ technological innovation, and from the theoretical and empirical perspective this paper studies deeply the effect mechanism, the means, the impact factors and the impact effects of spillover effect and crowding-out effect for multination company’s R&D, and on this basis policy is analyzed. This paper is divided into seven chapters, which are as follows:Chapter 1 is the introduction of this paper, presenting the background and significance of the topic, the research content and the research methods, and so on.Chapter 2 is the Review, introducing separately the theory of multination corporations’ overseas R&D investment and the theory of enterprise technical innovation. On this basis, from the perspective of technological innovation of developing host country, the research result of the impact of the R&D of multination corporations on host country is described. In the end of the chapter, the paper points out the research perspective and focus: from the perspective of the R&D of multinational corporations to China’s local enterprises’ technical innovation, focusing on the theoretical research and empirical analysis of mechanisms and result of influence effect.As the key parts of this article, chapter 3 to the chapter 6 study the technological innovation influence effect of the R&D of the multinational corporation in China to Chinese local enterprises from the theory and the empirical angle.Chapter 3 and chapter 4 are the part of theory research. Chapter 3 analyses the mechanism of spillover effect and crowding-out effect of the R&D of multinational corporations in China. First analyses the processes, the mode and the impact effect of the companies’ technology innovation, based on this the mechanism of spillover effect and crowding-out effect of the R&D investment of multinational corporations in China is studied. It is pointed out that spillover effect or crowding-out effect of the R&D investment of multinational corporations is produced by impacting the positive or negative effects on technological innovation elements of local enterprises.On the basis of chapter 3, chapter 4 discusses deciding factors of effect degree of spillover and crowding-out effect of R&D of multinational corporations through Game model based on the product innovation and R&D innovation.Chapter 5 and Chapter 6 are Empirical Analysis. Firstly the chapter 5 is measurement Analysis. On the basis of the research on mechanism and analysis of Game this paper builds measurement analysis model, and certificates the influence effect which the R&D of multinational corporations puts on technology innovative of China’s local enterprises.Limited to the enterprise data in quantitative analysis, chapter 6 selects four local enterprises from the communications equipment manufacturing industry and household appliances industries in Chinese high-tech industry to conduct case studies, the goal of which is to corroborate and add up to the conclusions of measurement analysis, and to perfect the contents of the empirical analysis.Chapter 7 puts forward to policy recommendations to bring spillover effect into play and to reduce crowding-out effect of R&D of multination company on the basis of summarization of the main viewpoint in this paper. Finally this paper points out the innovation and the weaknesses of paper, and on this basis, puts out further research directions.Main conclusions of this study are:1、There are spillover effect and crowding-out effect on the technological innovation of Chinese local enterprises from the multinational corporations’ R&D in China, and these two effects coexist in the same time and in opposite directions. They finally ultimate impact on local enterprises’ technological innovation through exerting influence on the innovative elements of the technology, including innovative macro-environment, innovation dynamic, innovative support systems, innovator, as well as the innovation process.2、Spillover effect plays a role in similar channel with crowding-out effect of multinational corporations R&D. In particular, spillover effect emerges through the demonstration and the imitation, the flow of talent, the competition and the communication, and the crowding-out effect arises through excessive competition, the weakening association effect, fighting for the R&D resources, increasing technological dependence. These channels can be summed up as "demonstration and connection", "the flow of talent" and "competition" Spillover effect and crowding-out effect play a role in these three ways at the same time, but in the opposite direction.3、Whether the net effect of multinational corporations’ R&D on local enterprises’ technological innovation is negative or positive depends on the size of spillover effect and crowding-out effect, which are results of the Game of technological innovation between multination corporations and local enterprises. In the process of the Game, the absorption capacity and the technology gap of the local enterprises are key factors that affect the result of the Game. The greater the absorption capacity and the smaller the technology gap, the greater the spillover effects, on the contrary, the greater the crowding-out effects.4、Empirical analysis shows that in Chinese high-tech industries, the improvement of their own R&D expenses and the increase in R&D team are the most important to promote the technical innovation. Overall, the spillover effect of the multination corporations’ R&D on local companies technology innovation is greater, but the "competition" means plays the main role, and the effect of "the demonstration and connection" and "the flow of talent" are not significant.5、The absorption capacity and the technological gap of the local enterprises will affect the spillover effect, among which the greater the absorption capacity of the local enterprises and the smaller the technology gap with foreign company, the better the spillover effect, on the contrary the worse spillover effect. Through Empirical Analysis, we know that in high-tech industry, the absorptive capacity of the local enterprises need to be further increased, further narrowing the technology gap in order to increase R&D spillover effect.更多还原