【作者】 黄丽萍；

【导师】 李俊江；

【作者基本信息】 吉林大学 ， 国际贸易学， 2004， 硕士

【摘要】 跨国公司是迄今为止企业发展的最高级形式，是市场经济中最活跃的主体，它的每一步行动都影响着相关的企业、市场乃至政府。上世纪80年代以来，继市场、生产的国际化之后，跨国公司又将一向集中于母国的研究与开发职能转移至国外，开始了研发投资的国际化进程。本文主要从五个层次对跨国公司研发投资的新变化进行研究，并针对中国的实际情况提出一些建议。跨国公司研发投资国际化的涵义。研究与开发是公司的核心动力和技术创新的中心环节。包昌火和经合组织从不同角度定义了研发，而研发的国际化是指跨国公司研究与开发活动扩散到母国以外的其他地区，利用多个国家的科技资源，跨国界地开展研究与开发活动。研发国际化并不是一个新现象，但却是在上世纪80年代中期以后才大规模展开的，这主要是经济全球化、知识经济和竞争加剧的大背景促使竞争前移，研发压力增大，从而推动研发活动进入国际化时代，同时，新的经济环境的持久性也决定了研发国际化的长期性和趋势性。研发投资国际化的基本状况。1、研发国际化的特征。海外研发经费不断增加；海外研发机构数量增多；研发人员构成国际化；海外专利数增多；行业特点突出；地区分布上逐渐由“大三角”向外扩散。2、研发国际化的主要方式。跨国战略联盟是目前研发国际化的最重要形式，可以使结盟双方获得1+1>2的战略效应；在国外新建研发分支机构是另一种形式；同时通过并购方式实现研发国际化也正迅速开展，并有取代新建之势。跨国公司研发投资理论。1、HBA、HBE理论。Walter Kuemmerle通过研究将研发投资分为两种类型，即以母国为基础的技术增长（HBA）和以母国为基础的技术开发<WP=59>（HBE）。前者是信息技术由设在国外的科研机构流向母国，后者则相反。跨国公司将根据本身需求决定海外研发机构的选址及类型，而东道国也可以客观地、有针对性地提供某些条件吸引相应类型的研发投资形式。2、供求理论。早期研究认为研发直接投资只是全部科学技术活动中很小的一部分，主要指向外国市场和支持离岸生产，强调需求因素对研发投资的促进作用，也可以说是一种市场导向型投资。研发正处于产品的成长和成熟期，规模、技术水平、创新程度都较低。近期的研究显示，研发投资的快速增长表明跨国公司正在加强对外部科技的协调和控制能力，以创造新技术资产，供给因素的作用越来越大，研发投资发展成为技术导向型，新产品的研制不再局限于母国。Dalton和Serapio还发现许多早期设立的以需求为出发点的研发机构正逐渐转变为供给型。3、S&T周期理论。在知识经济时代，S&T(即Science and Technology)是新产品研制的基础和前提，也是企业实现持续发展的核心要素。随着世界经济的开放融合，以及新兴工业化国家和发展中国家的兴起，S&T很难再被少数发达国家垄断，对其进行世界范围的吸纳、整合成为跨国公司战略调整的必要部分。新技术的形成划分为四个阶段，在第一阶段，跨国公司对S&T的需求最强，决定其海外研发的欲望也最强，之后，随着S&T的获得，直接投资欲望减弱，但是技术外溢性增强，东道国可以根据本国S&T资源的丰裕度灵活选择不同行业、不同阶段的跨国投资，以期充分利用本国优势获得最大收益。4、Hakanson五类动机分析法。依据海外研发机构的建立动机，可将其分为五大类：市场导向型、生产支持型、研究型、政治动机型、多动机型。海外研发机构的影响因素对这五种类型将产生不同影响。5、辅助资产理论。Serapio认为一些跨国公司从事海外研发投资是为了确保对公司关键资产起辅助作用的资产的安全性。刘海云认为企业要不断地创造发明新资源，充分利用海外资源，通过内部化将其转变为自己可直接支配的资产，海外研发投资虽不是跨国公司经营的核心，却是其他能<WP=60>力发挥作用的基础，不可或缺。6、效率论。研发活动的一个特殊之处在于规模报酬递减，集中大规模研发的创新效率是逐渐下降的，因此要求研发活动逐渐小型化、分散化。沉没成本的存在和各国资源禀赋的不同也使得在海外研发更加高效。研发国际化的影响。1、对跨国公司的影响。跨国公司在取得利益的同时，也会面临一些不利影响，如技术外溢和“搭便车”，为母国树立强大的竞争对手等。但总体来看还是利大于弊。2、对母国的影响。研发投资的国际化可以弥补国内短缺资源，增强母国科技实力，增加母国收益，是对母国研发的有益补充。3、对东道国的影响。通过示范与模仿、交流合作、前后向联系以及人力资本流动能够促进东道国技术进步，为东道国积累人力资本，此外还会产生一定的社会贡献，如增加就业机会、提高当地居民的消费水平和生活质量、补充教育和科研经费。同样吸收研发投资也必然存在不利的一面。中国的对策。1、跨国公司在中国的研发投资现状。独资是跨国公司在华研发投资的主要形式，战略联盟在中国仅限于与高校的合作，且形式较松散。跨国公司在中国的研发投资来源集中于欧美，投资地域集中度很高，90%以上位于北京和上海，其次是广州和深圳。由于建立时间短，与其他国家及母公司的研发机构相比，在中国的投资规模还不大，科研活动多与本地的生产紧密相连，职更多还原

【Abstract】 Transnational corporations (TNCs) are the top class enterprises until now, and are the most active subjects, whose every action will influence the relative enterprises, markets and governments. Since the 1980s, with the internationalization of market and production, TNCs have transferred research and development (R&D) that is always concentrated on mother countries into other countries, which means the internationalization of R&D gets under way. This paper has five parts and some suggestions to China in the end.1.The conceptions of the internationalization of TNCs R&D.R&D is the company’s core force and center part of technology innovation. Bao changhuo and OECD define R&D from different point of view, while the internationalization of R&D means TNCs scatter R&D to other regions, and develop R&D activities across countries. The internationalization of R&D is not a new phenomenon, but expands since the mid-1980s. Because of economic globalization, knowledge economy and severe competition, the pressure of R&D is aggrandized. So TNCs have to seek resources in the global scope. The long-last characteristic of this new setting determines that the internationalization of R&D will be a trend and last for a long time.2.Basic status of the internationalization of R&D investment.Characteristic: foreign R&D outlay and R&D affiliates increase rapidly; more and more researchers are foreigners; abroad patents add; industry feature is very evident; and there is a trend of dispersing from the “big triangle”.Main forms: multinational strategic alliance is the most important form, which will help the two parts get a strategic effect of 1+1>2. Greenfield investment is another form used broadly. Amalgamate also grows rapidly, and <WP=63>seems to take the place of greenfield.3.Theories about the internationalization of TNCs R&D.HBA&HBE. Walter Kuemmerle categorizes the new R&D sites through his research. The first type is home-base-augmenting FDI in R&D, and the second is home-base-exploiting FDI. In the former type, information and technology flow from foreign laboratory to the central lab at home, while in the latter type it is contrary. TNCs will select the site and type of their abroad R&D affiliates according to their demands. Host countries can also utilize this theory to create some conditions to attract foreign R&D investment. Demand-side and supply-side theory. A number of early studies suggest that direct R&D investment is a relatively small component of overall scientific and technical activities, and that it tends to be oriented to foreign markets and support offshore manufacturing. They emphasize the role of demand-side factors in motivating FDI in R&D, which is also called market-oriented investment. Recent studies, however, suggest that the rapid growth of foreign direct R&D investment reflects corporate efforts to harness external scientific and technological capabilities and generate new technological assets. R&D investment has grown into technology-oriented type. Dalton and Serapio find that many demand-side affiliates set up earlier are transferring themselves to supply-side type inch by inch.Science and technology cycle theory. In the period of knowledge economy, S&T is the foundation and premise of new products development, and is the core factor supporting the company’s consistent development. With the opening and blending of world economy, it is not easy for those few developing countries to control the S&T resource. So TNCs have to absorb and harmonize S&T in the worldwide scope which is important for strategic <WP=64>adjusting. There are four phases to develop a new technology system. In phaseⅠ, S&T knowledge required will be high, so TNCs have a strong desire to invest in foreign R&D. Then the desire will decrease with the gaining of S&T, but the skill spills out which makes entry into the new technology easier for developing countries.Hakanson’s five-type analytic method. Five types of foreign R&D establishments are identified, labeled according to the dominant motive for t更多还原