【作者】 谭绍鹏；

【导师】 原毅军；

【作者基本信息】 大连理工大学 ， 经济系统分析与管理， 2009， 博士

【副题名】以重大装备制造业为例

【摘要】 “市场换技术”战略的实施给我国带来了大量的外商直接投资和学习国外厂商先进技术的机会,然而该战略并没有取得预期效果,以中外联合设计和组建合资企业为主要形式的中外厂商技术联盟知识转移效果不佳,核心技术仍掌握在外方手中,知识溢出效应并不显著。究其原因,由于实力的极度不对称,中方企业缺乏与外方企业合作的足够基础,外方企业则缺乏向中方企业转移核心知识的激励。因此,依据中外厂商技术联盟的特殊性和存在的现实问题,考察阻碍此类非对称技术联盟知识转移的理论根源,并对联盟知识转移机制进行创新,对于提高中外厂商技术联盟的运行绩效具有重要的理论价值和现实意义。现有关于技术联盟的理论研究多以参与方实力对称为前提,有关实力不对称企业之间技术联盟的研究基本处于空白。本文以中外厂商技术联盟存在的动机、资源、信息和技术能力不对称为切入点,分析了中外厂商结成联盟的不同动因,根据联盟知识转移过程及障碍因素,提出以联盟组建、知识共享和隐性知识转化为核心的中外厂商技术联盟知识转移机制的研究框架。首先,通过对国外厂商和国内厂商的比较优势分析,基于演化博弈理论将联盟参与双方看做两类具有有限理性特征的群体,构建联盟组建决策的演化博弈模型,得到演化稳定均衡与动态演化轨迹。把东道国政府纳入博弈均衡的选择过程,对政府介入前后中外厂商组建联盟的动机、条件和可能性进行了对比,发现政府的公共采购、市场准入和风险补偿等策略性行为能够促使中外厂商技术联盟组建向合作均衡演化。其次,根据联盟成功组建后知识共享的约束,结合参与方实力的非对称性,构建中外厂商技术联盟隐性知识共享的师徒博弈模型,并利用委托—代理模型对知识共享报酬的影响因素进行了讨论,得到产出分享支付模式为占优策略的结论,外方共享意愿不仅与其共享成本、研发成本、风险规避程度有关,还要受到新技术产出不确定性和中方知识转化能力的制约,进而设计出包括知识产权保护、期望收益约束、联盟成员信任和中方企业知识转化在内的中外厂商技术联盟知识共享机制。第三,从系统动力学视角对中外厂商技术联盟隐性知识转化问题进行了研究,考察了转化主体、转化受体与双方互动三种影响转化效果主要因素的因果关系,建立非对称技术联盟隐性知识转化的系统流图和系统动力学模型,应用Vensim PLE对模型进行了仿真模拟,得到主体转化速度、受体消化吸收能力和双方互动机制决定隐性知识转化效果的结论,提出有利于中外厂商技术联盟隐性知识转化的三种机制:中外厂商互动机制、消化吸收的动力机制、政府激励与保障机制。在实证研究中,以沈鼓—西屋AP1000第三代核电技术联盟为典型案例,对该中外厂商技术联盟在组建、知识共享和隐性知识转化过程中遇到的实际问题和解决方法进行了探讨,以验证理论研究所得结论的正确性与合理性。更多还原

【Abstract】 The implementation of the strategy of "trading domestic market for technology" has definitely bring us both a large amount of FDI and many opportunities to learn the advanced technology involved in the foreign firms, but the achievement is not as good as we expect, actually. The alliances between Chinese and foreign firms doesn’t work very well, which are built on the basis of research cooperation and joint ventures. As a result, the core technology is still controlled by the foreign partner, so that the effect of spillover is not so significant. As to the reasons, the key point is that the capacities of the two parts of a alliance are so unsymmetrical that the foreign partner doesn’t have an effective motivation to share their core technology with their Chinese partner. Therefore, it is so important to find the obstacles in the knowledge transfering process of the alliance, according to the particularity and the realistic operational problems of this kind of alliance between Chinese and foreign firms.The existing theoretical studies on the technology alliance mainly take it as a hypothesis that the capacities of the two parts are symmetrical, but the studies on the unsymmetrical partners are in a gap. This paper explains the asymmetry of the motivation, information and technology between the two parts of the alliance, and analyzes the knowledge transfering process of alliance and the problems in it. Furthermore, the paper structures a theoretical frame of the research on the knowledge transfering mechanisms, with the establishment of the alliance, the sharing of knowledge and the transfer of the knowledge at its core.Firstly, through analyzing the comparative advantages of Chinese and the foreign partner, this paper provides a model based on the game theory in order to get the dynamic equilibrium and its dynamic evolution track. Having supposed that the host country is a third part in the game choice, this paper compares the motivations, preconditions and possibilities which are before and after the government is involved. The result shows that the strategic conducts of public purchase, market admittance and risk reimbursement from the government can lead to the cooperation between Chinese and the foreign firms.Meanwhile, the sharing and transfer of the knowledge is a key factor which can influent the effects of the alliance’s operation. According to the asymmetry between the two players, it is proposed that a "master and apprentice" model should be used to analyze the benefits from the sharing of the knowledge. The desire of the foreign partner to share their core technology is related to not only the sharing cost, the research cost and the risk aversion, but also the uncertainty of the outcome of the new technology and the absorption capacity of the Chinese partner. Based on the analysis above, this paper provides a complete mechanism of knowledge sharing, involving the protection of the intellectual property rights, the constraint of the expectative profits and the enhancement of the trust between the members in the alliance.What’s more, this paper pays great attention to the knowledge transfer. In a view of SD （System Dynamics）, it studies the causal relationships between the provider and the acceptor of the transfer, and builds the flow chart and the SD model for the knowledge in the unsymmetrical technology alliance. After a simulation with the software Vensim PLE, the research suggests that the speed of the provider’s transfer, the capacity of the acceptor’s absorption and their interaction mechanism play important role in the knowledge sharing and transfer. In the case study, this paper takes the "AP1000—the 3^rd generation of nuclear power" technology alliance between ShenGu（China） and Westinghouse（USA） as a typical example, then discusses the problems in the establishment, knowledge sharing and transfer, and also provides the solutions to them. Through the case study, it’s proved that the conclusions we’ve got in the theoretical analysis are correctly reasonable.更多还原