【作者】 陶锋；

【导师】 胡军；

【作者基本信息】 暨南大学 ， 产业经济学， 2009， 博士

【摘要】 跨国代工是我国珠三角等沿海地区制造业参与全球价值链分工的典型形式。随着知识经济的发展和中国经济与全球市场的融合,跨国代工中的知识溢出和学习行为对我国代工企业的技术创新产生了重要影响。基于此,本文主要从以下方面展开研究:首先,在文献综述的基础上,本文在理论上分析了全球价值链代工关系中的知识溢出行为,提出了一个概念模型研究知识溢出、吸收能力和创新绩效的关系。在该模型中,跨国代工中的知识溢出包括显性知识溢出和隐性知识溢出,代工企业的吸收能力包括R&D资本、人力资本、社会资本和知识管理四个结构维度。知识溢出对代工企业提升创新绩效具有促进作用,而这种促进作用的大小受到代工企业本身吸收能力影响或调节,即吸收能力增强了知识溢出对创新绩效的促进作用。进一步,吸收能力的调节效应受到外部环境的制约,包括价值链类型、知识产权保护和融资环境等。在理论分析的基础上,本文提出了相应的研究假设,构建了实证研究的计量模型,并设计了变量和调查问卷。其次,本文利用珠三角四个重要城市(东莞、佛山、中山和惠州)的问卷调查数据进行了实证研究,实证结果发现:跨国公司的知识溢出(特别是隐性知识溢出)对代工企业创新绩效具有促进作用;代工企业的吸收能力不仅对创新绩效具有直接的促进作用,而且对知识溢出和创新绩效的关系具有正的调节效应,即吸收能力明显增强了知识溢出对创新绩效的促进作用。从吸收能力的结构维度来看,科技经费和人力资本明显增强了显性知识溢出对创新绩效的促进作用,而社会资本和知识管理明显增强了隐性知识溢出对创新绩效的促进作用。在生产者驱动型价值链中,隐性知识溢出对代工企业创新绩效的促进作用更重要;而在购买者驱动型价值链中,显性知识溢出更重要。与购买者驱动型价值链相比,在生产者驱动型价值链中,吸收能力的调节效应更重要。在融资便利的经济环境中,吸收能力的调节效应相对更重要。最后,本文给出了对策建议和研究展望。更多还原

【Abstract】 In China’s Pearl River Delta and other coast regions,manufacturing enterprises engaging in the division of labor on the global value chain,typically take the form of OEM/ODM.With the development of a knowledge economy and China’s economic integration into the global market,knowledge spillover and learning behavior have great impact on China’s manufacturing enterprises in terms of technological innovation.Hence,the aspects that will be investigated in this paper are as follows:First of all,on the basis of literature review,this paper will theoretically analyze the process of knowledge spillover on the global value chain,and propose a conceptual model used to study the relationships between knowledge spillover,absorptive capacity and innovation performance.In this model,knowledge spillover brought by OEM/ODM involves the spillover of explicit knowledge and tacit knowledge;the absorptive capacity includes four structural dimensions,i.e.,manufacturing enterprises’ R&D capital,human capital,social capital and knowledge management. Knowledge spillover can promote a manufacturing enterprise’s innovation performance,in which the promotion effect is influenced by the enterprise’s absorptive capacity.In other words,knowledge spillover’s promotion effect on innovation performance can be amplified through enterprises’ absorptive capacity. Furthermore,the moderating effect of absorptive capacity is determined by external environment,factors including the type of the value chain,intellectual property protection and financing environment,etc.Based on the theoretical analysis,this paper will put forward relevant hypotheses,construct econometric models,and frame variables into a questionnaire.Secondly,this paper will conduct positive research on the above issues,in the light of the survey data collected from four major cities(Dongguan,Foshan,Zhongshan, and Huizhou) in the Pearl River Delta.And empirical results show that:multinational companies’ knowledge spillover(especially for tacit knowledge spillover) improves innovation performance of the OEM/ODM;OEM/ODM’s absorptive capacity not only can exert direct influence on promoting innovation performance,but also positively plays a moderating role in knowledge spillover’s impact on innovation performance,that is,absorptive capacity can remarkably strengthen knowledge spillover’s power of improving innovation performance.According to the structural dimensions of absorptive capacity,science & technology expenditure and human capital can significantly enhance explicit-knowledge spillover’s promotion effect on innovation performance,while social capital and knowledge management can significantly improve tacit-knowledge spillover’s contribution to the same regard.In a producer-driven value chain,the tacit-knowledge spillover is more important for improving OEM/ODM’s innovation performance;in a buyer-driven value chain,the explicit-knowledge spillover plays a more critical role.Compared with the absorptive capacity’s moderating effect in the buyer-driven value chain,the moderating effect is more significant in the producer-driven value chain.In an economic environment with easy and quick access to financing service,the absorptive capacity’s moderating effect is relatively more significant.Finally,this paper will make policy recommendations and suggest future directions in the further research.更多还原