【作者】 耿殿贺；

【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， 2010， 博士

【摘要】 随着经济全球化进程的加快,中国本土企业越来越多地以组建技术联盟的形式参与国际分工,对促进中国经济增长、扩大对外开放起到了积极的作用。因此,中外技术联盟不仅是学术界关注的热点问题,还是企业和政府关注的焦点。然而,中外技术联盟在促进中国经济增长、提高中国本土企业技术水平的同时,也产生了一些负面影响,并且已经开始影响中国宏观经济的运行和中国的经济增长方式。首先,中外技术联盟中的产品分工模式导致了中国经济增长过度依赖资本和劳动的投入,消耗了大量不可再生资源,加剧了环境污染。其次,中外技术联盟中的技术分工抑制了中国本土企业的技术升级,导致本土企业的技术研发效率低下。最后,中外技术联盟中在价值创造环节上的分工使得中国本土企业始终处在全球价值链的低端,中方企业的价值创造能力较低。是什么原因导致中国本土企业在中外技术联盟中的弱势地位,如何提高本土企业的技术水平和价值创造能力,以及改变中外技术联盟中的分工模式对中国宏观经济运行的影响,已经成为中外技术联盟发展中面临的最重要的现实问题。中外技术联盟与一般意义的技术联盟有很多不同,其内部的组建动因、运行模式和利益分配都是目前学术界尚未完全解决的理论问题,因此,系统地研究中外技术联盟的运行机制,不仅具有重要的理论意义,还为政府和企业解决中外技术联盟中的现实问题提供思路和理论依据。本文在梳理现有技术联盟的相关研究的基础上,从解决现实问题出发,系统地研究中外技术联盟的运行机制,包括组建动机、利益分配、研发创新和分工模式,最后提出通过政府干预解决中外技术联盟中存在的问题,并为解决现实问题提供对策和建议。本文的创新点主要体现在三个方面：(1)提出基于价值创造能力的中外技术联盟的组建机制,并对中外技术联盟中本土企业的价值创造能力进行了实证研究。(2)构建基于效用贡献的合作博弈理论分析中外技术联盟的利益分配机制。(3)在技术关联的视角下研究中外技术联盟中本土企业和外方企业的研发博弈,为分析中外技术联盟中企业的创新模式提供了理论基础。更多还原

【Abstract】 With the fast development of global economy, there have been an increasing number of Chinese local enterprises involved in the international labor division by means of technology alliances. It has the positive effects on Chinese economic growth and the market expansion throughout of the world. Therefore, Chinese-foreign technology alliance attracts the attention of both the academe and the enterprise and government.However, accompanying the economy growth and the enhancement of technology level, Chinese-foreign technology alliance also has considerable negative effects which influence the macro economy operation and economy growth mode. First of all, its product division of labor mode forces the economy growth overly depend on the capital and labor inputs, which consume large quantity of nonrenewable resources, and aggregate environmental pollution. Secondly, its technology division of labor hampers technology upgrade paths of Chinese local enterprises, which hinders their technology development efficiency. Finally, local enterprises always fall behind the oppositions on global value chain because of the value renovation division of labor in Chinese-foreign technology alliance, and they are still not capable for value innovating.Local enterprise in the Chinese-foreign technology alliance has encountered important practical problems like how to reverse the weak position; how to improve the value creating capabilities and technology standard, and to swift the influences of the division of labor mode on macro economy operation. As an economy organization that intervene industry and enterprise, Chinese-foreign technology alliance still confronts theoretical problems not entirely being figured out, like inner structure system, operation mode, profits distribution and governance system. Hence, the systematical study of the governance system of Chinese-foreign technology alliance not only possesses the important theoretical significance, but provides the government and enterprise with clues and foundations to resolve these practical problems.Based on the current researches on Chinese-foreign technology alliance, the paper tries to study the governance mechanism from the perspective of government, and recommend the theoretical evidence for the analysis of its establishment, operation, and R&D. The paper starts from the practical problems viewpoint; it aims to find out the appropriate approaches simultaneously.The delight points of this paper are threefold (1) the establishment system of Chinese-foreign technology alliance based on the value innovation capacity, and the empirical research of the value innovation capacity of local enterprise in Chinese-foreign technology alliance is studied. (2) Taking advantage of the collaboration game theory based on utility contribution, the paper analyzes the profit distribution system of Chinese-foreign technology alliance. (3) Under the perspective of technology association, the paper studies the R&D game of local and foreign enterprises in Chinese-foreign technology alliance, which provides the theoretical basis for the innovation mode.更多还原