【作者】 金星；

【导师】 汪斌； 张旭昆；

【作者基本信息】 浙江大学 ， 西方经济学， 2010， 博士

【摘要】 自从二十世纪六、七十年代以来,全球掀起了企业合作创新的浪潮,而进入八十年代后更是获得了前所未有的发展。合作创新之所以受到国内外理论和经验研究者的高度重视,一方面是因为准确地理解合作创新具有深远的政策意义,合作研发极大地推动了技术进步,并且也可能增强企业产品市场的势力；另一方面,原有的企业理论无法解释合作创新,研发能力是企业核心竞争力,企业合作研发,分享研发成果,将会削弱它的竞争力。因此,越来越多的经济学家和社会学家都参与到对它的探索上来,使合作创新成为目前研究与开发经济学(the economicsof R&D)中非常活跃的研究领域。企业合作创新具有两个特征,一是行业分布非常不均衡,它主要发生在以信息技术行业为代表的高技术产业中。二是企业规模与合作创新呈现出“U”型关系。这说明：一方面合作创新与技术种类有关,由于信息技术具有显著的兼容性特征,为了与其他企业产品达到兼容的效果,企业必须与他们分享研发成果,进而影响企业合作研发策略；另一方面合作创新还受企业规模的影响,但是隐藏在它背后的因素是知识基础结构和产品市场结构。企业知识对技术创新具有重要作用,现有文献强调知识的显、隐性特征对合作研发的影响。这种分析将企业合作研发看成不受其他企业行为影响的个体最优化决策,但是,事实上合作研发更多的是一种企业间策略的互动。因而,应在博弈论的框架下,将企业知识基础结构和产品市场结构结合起来分析。本文以产业组织理论和知识管理理论为理论基础,在理论研究中主要使用博弈论方法,在实证研究中采用仿真、案例和计量方法。遵循从实践到理论,再从理论到实践的思路。首先,根据现实经济现象归纳高技术企业合作研发的两个主要特征：一是它主要发生在以信息技术产业为代表的高技术产业；二是企业规模与合作创新呈现出“U”型关系。接着,将其抽象为在企业技术和规模两个视角下高技术企业合作研发绩效及其影响因素这一问题,对它进行深入系统地探讨。比较研究标准导向型技术各种创新模式的绩效,分析绩效差异的成因。并考察不同规模企业合作创新的决定因素及其作用机制。最后,在比较美、日、中三国激励企业技术创新政策的基础上,结合理论和实证研究结论,对我国的技术创新政策提出若干政策建议。本文的主要结论是：从企业技术视角看,企业最优的技术创新模式是由行业固有的技术特征决定的,最优的技术创新模式主要取决于行业的研发难度和网络效应。从企业规模视角看,不同规模企业选择不同的最优合作研发投入比例根源于企业知识基础结构和产品市场结构的差异。前者对合作研发投入比例的作用机制有三个：产品差异化效应、技术吸收率效应和绝对成本优势效应；后者的作用机制包括技术溢出效应和企业利润效应。与美、日两国的技术创新政策相比,我国的政策应更准确地把握政策颁布和推行的时机,加强政策鼓励对象的正对性,改进和完善政策措施,加大政策力度。可能的创新点主要有：在研究内容方面,本文较为系统和深入地探讨了两类高技术企业的合作研发,他们分别是研发兼容性技术的企业与同时开展独立研发和合作研发的不同规模企业。在研究视角方面,以研发成果扩散者的立场,将信息分享决策融入合作研发模型,有利于更好地揭示企业合作研发与信息分享决策的相互作用；从企业知识基础结构这一崭新的视角出发分析它和产品市场结构对合作研发投入比例的影响,有利于刻画这两个内外部因素如何作用企业研发投资决策。在实证研究方法方面,以上市公司年报的数据为依据,探索了一个计算企业合作研发投入和独立研发投入的新方法,设计了一个以专利信息为基础测量企业知识基础结构的新指标——知识离散度,构建了反映合作研发投入比例、企业知识基础结构和产品市场结构之间关系的线性计量模型。这些研究在理论上既增进了对信息分享与合作研发的关系、技术溢出水平的决定因素及他们对合作研发绩效影响的理解,又以知识基础结构和市场竞争环境为切入点增进了对企业研发投资结构的影响因素及其作用机制的认识、揭开了不同规模企业合作研发费用比例为何存在明显差异这一神秘面纱。在实践上,对于我国企业摆脱技术落后、利润薄弱、下一轮研发缺少足够的资金、与国外先进企业的技术差距不断扩大的恶性循环的发展困境,加快自主创新,实现赶超行业内的领先者和建设创新型国家都具有十分重要的现实意义。更多还原

【Abstract】 The world had witnessed the cooperative R&D wave during the 1960’s and 1970’s, and it has experienced a rapid development since 1980’s. Researchers both from home and abroad attach great importance to cooperative R&D, as on the one hand, correct understanding of this concept is of far-reaching significance to policy-making. R&D cooperation has given a powerful shove-ahead to the technological progress, and at the mean time, strengthen the market power of the firms in the product market. On the other hand, the prior theories of the firm failed in explaining cooperative R&D. Research-and-development capabilities are regarded as the core competency of firms. R&D cooperation indicates that the firms have to share their research results with each other, which in turn erodes the competitiveness of these firms. Therefore, an increasing number of economists and sociologists are attracted to investigate cooperative R&D, making it a live question for study in the field of the economics of research and development.The cooperative R&D has two features, one of which is that the cooperative R&D is frequently observed in the high technology industry, especially in the information-technology industry. The second feature is that there is a U-shaped relationship between the size of firms and the ratio of cooperative R&D to total R&D. It can be further interpreted as that for one thing, cooperative R&D is related to the categories of technologies. Considering the compatibility of the information technology, firms have to share the results of research and development in order to make their products be compatible with that of others. This will affect the cooperative innovative strategy of those firms. For another, cooperative R&D is influenced by the size of enterprises. To be more specific, it is controlled by the firms’the structure of knowledge bade and market structure. Firms’structure of knowledge base can actively influence cooperative R&D, as emphasized in the existing literature that the apparent and hidden characteristics of knowledge have an effect on R&D cooperation. Cooperative R&D is regarded as the optimal individual decision, which is made without interference from other firms. In fact, cooperative R&D tends to be an interaction of strategies between various firms. Hence, it is better to analyze cooperative R&D on the basis of the game theory, and take both the structure of knowledge base and market structure into consideration.In this research, industrial organization theory, knowledge management theory, game theory, simulation, case study, and econometrics method are applied. Moreover, the principle of’from practice to theory and from theory to practice’is followed. Firstly, there are two features of cooperative R&D in high-tech firms. One of the features is that cooperative R&D is usually found in the high-tech industry, especially in the information technology. Additionally, there is a U-shaped relation between the size of firms and the ratio of cooperative R&D to total R&D. Secondly, this research deeply and systematically discusses the performance of the cooperative R&D and its determinants in high-tech firms from the perspectives firms’technology and size. Moreover, this dissertation competitively studies the performance of the standard-oriented technology, and at the same time, analyzes the causes of discrepancy in performance. In addition, key factors and mechanism of action of the U-shaped characteristics is investigated. Finally, on the basis of comparing policies adopted by the US, Japan and China government to encourage firms undertake technological innovation, this study proposes several policy suggestions by combining the results of theoretical and empirical study.Major findings of this dissertation are as follow. In view of firms’technology, the optimal innovation pattern of a firm is determined by the industry’s inherent technical characteristics, and the optimal innovation pattern is controlled by the industry’s difficulty in research and development and the network effect. In view of the size of the enterprises, firms in various sizes choose different proportion of investment in the cooperative R&D according to differences in the enterprises’basic knowledge structure and market structure. The former determines product differentiating, absorptivity of technology, and absolute cost advantage, while the latter controls the technology spillover and profits of an enterprise. Compare with that of the US government and Japan government, it is better to accurately seize the right time to issue and implement the policy of technological innovation. Meanwhile, it is important to select the right enterprises to encourage. Lastly, policies and measures should be improved.This paper is possibly distinguished as:in the aspect of content, it systematically and deeply discusses the cooperative R&D between two types of high-tech enterprises, representatively the one develops the compatibility of technology R&D, and the one active in both independent R&D and cooperative R&D. In the aspect of research perspective, this study, from the standpoint of people who diffuse the achievement of R&D, applies the information sharing decision to the model of R&D, which provides a better understanding of the interaction between cooperative innovation and information sharing decision, and at the same time, analyzes the impact of enterprises’ basic knowledge structure and market structure on the proportion of investment in cooperative R&D. In the aspect of research method, this dissertation develops a new method of calculating firms’investment in cooperative R&D and independent R&D. Additionally, a new index, variance of knowledge, which is based on the patent information, is adopted to weight the firms’ structure of knowledge base. Ultimately, a simple linear econometric model which reflexes the relation among the proportion of investment in cooperative R&D, firms’ structure of knowledge base, and market structure is established.Theoretically, this study, on the one hand, increases the understanding of the relation between information sharing and cooperative R&D, the determinants of technology spillovers, and their impact on the achievement of cooperative R&D, and on the other, takes the structure of knowledge base and market competition environment as a breakthrough point to promote the awareness of the factors which influence firms’investment in R&D and the mechanism, as well as discloses the reason why firms in different sizes have different proportion of the investment in cooperative R&D. Practically, this research is of great practical significance to help firms in China to shake off the yoke of backward technology, small profit, short of funds in new round of R&D, and enlarging technology gap between advanced foreign firms. Meanwhile, it is effective in quickening construction of self-directed innovation capability, being market-share leader, and building of a national innovation system.更多还原