【作者】 朱丹；

【导师】 曾德明；

【作者基本信息】 湖南大学 ， 企业管理， 2012， 博士

【摘要】 在知识与经济迅猛发展的今天,以前沿科学技术为核心的知识作为一种战略性基础资源,它逐渐发展为决定生产力水平的最主要因素之一,毋庸置疑企业、产业乃至国家提高核心竞争力的重要途径,在现阶段就是加强知识基础建设。R&D国际化已成为全球经济一体化的一个重要组成部分,跨国公司在全球范围内实现研发资源优化配置,降低交易成本,提高效率,实现了全球性研发、技术合作与转移的目标。跨国公司R&D国际化触角已经渗透到我国创新体系的方方面面,促进了知识在体系内部各个要素之间及体系内外部之间的流动。因此,在知识流动的视角下,研究跨国公司技术创新网络的结构优化问题,对提升我国的创新能力,充分利用国际科技资源具有重要的理论和实践意义。跨国公司技术创新网络结构的影响因素众多,要素间关系复杂,研究跨国公司技术创新网络：一是要把影响知识在跨国公司技术创新网络中流动的重要因素找出来,二是如何内化增值活动于跨国公司技术创新网络中,三是如何获取外部资源和如何优化跨国公司技术创新网络结构。本文运用系统动力学方法分析了跨国公司技术创新网络中知识流动的重要影响因素,采取定性分析与定量分析相结合的方法,以知识流动成本最小化为目标,构建了跨国公司技术创新网络结构优化模型,得到最优的网络结构,促使跨国公司高效的利用全球创新资源,以期促进技术创新网络中的知识流动。首先,本文分析了跨国公司技术创新网络的结构及特征。跨国公司技术创新网络分为跨国公司内部技术创新网络和外部技术创新网络,具有复杂网络特有的聚集性、非线性、小世界网络、无尺度、流动性和多样性等特征。在跨国公司内部技术创新网络中,构建了子公司之间、母子公司之间知识关系的多层次结构模型,分析得出跨国公司内部技术创新网络中的知识流动,不仅取决于知识关系主体,而且与母公司的支持和环境因素密不可分。在跨国公司外部技术创新网络中,分析了网络中各主体在知识流动中的角色,及协作R&D网络、技术标准联盟等主要知识流动模式。其次,研究了跨国公司外部技术创新网络知识流动的主要模式,分析了知识默会性与知识转移能力对跨国公司海外进入模式选择的影响,通过跨国公司融入全球R&D网络的动态规划模型,得到开展协作R&D的最优策略。通过对技术标准联盟成员间的博弈分析后,应用信号传递模型,解决了技术标准联盟组建中专利许可交易的“逆向选择”问题,并提出了技术标准联盟的内部治理结构及专利定价方法。第三,利用了系统动力学方法构建跨国公司技术创新网络知识流动的系统模型。在此模型中,以分析创新网络知识存量增长与知识流动的关系为基础,把知识流动在跨国公司技术创新网络中的各种活动看成一个系统。基于跨国公司技术创新网络中各主体间的因果关系,模拟出知识流动对跨国公司技术创新网络知识存量的贡献。通过调整有关敏感性参数,对在不同情况下知识流动对跨国公司技术创新网络知识贡献大小进行预测分析,从而找出了影响跨国公司技术创新网络中知识流动的重要因素。第四,本文以跨国公司网络结构配置和控制管理成本最小化为目标,建立了跨国公司技术创新网络结构的最优化模型。应用全球化理论,在分析知识价值链增值的各个环节产生的知识流动成本的基础上,考虑地理距离、文化距离、产品类型、市场需求等因素,构建了总成本最小的跨国公司技术创新网络结构优化模型,为跨国公司的区域配置和和管理控制配置提供最优解决方案。最后,检验最优化模型的有效性和灵敏度,利用OECD、世界银行组织等2010年发布的相关数据,通过优化模型求解,得出了跨国公司技术创新网络的最优结构。同时,结合本文的研究结果,提出了促进跨国公司技术创新网络中知识流动应采取的相关对策,并基于国家、产业、企业三个层面给出了相关政策建议。更多还原

【Abstract】 In the age of knowledge-based economy, the knowledge based on the latest science and technology is not only the most important resources as a strategic base, but also the chief factor that determines the level of productivity. Knowledge base has become an important platform for enterprises, industries and the government to enhance their core competitiveness. As a platform for innovation entities to mutually exchange resources and transmit information, transnational innovation networks have offered a flexible and efficient cooperation platform for complicated innovation. R&D internationalization has become an important part of global economic integration. Throughout the world, multinational enterprises try to optimize the allocation of their R&D resources, reduce their costs of transaction, enhance their efficiency, and achieve their goal of global R&D and technological cooperation and transfer. Transnational innovation networks have become an important base for Chinese innovation system to survive and develop. The antenna of R&D internationalization of multinational enterprises has already penetrated every aspect of Chinese innovation system, and has promoted the flow of knowledge among various factors inside the system and between the inside and the outside of the system. Therefore, we should study the structure optimization of the technological innovation networks of multinational enterprises from the perspective of knowledge flow, which has an important theoretical and practical significance for enhancing Chinese innovation ability and making full use of international resources.There are many factors that affect the structure of technological innovation networks of multinational enterprises. How to find out the important factors that affect the flow of knowledge in technological innovation networks of transnational companies, how to internalize the value-added activities of multinational enterprises in technological innovation networks, how to obtain external resources, and how to optimize the structure of technological innovation networks of transnational companies, are all problems that we should urgently solve while studying technological innovation networks of transnational companies. This thesis plans to analyze important factors that affect the flow of knowledge in technological innovation networks of multinational enterprises by using the method of system dynamics. Moreover, by combining the method of qualitative and quantitative analysis, this thesis tries to set up the models of optimizing the structure of technological innovation networks of transnational companies, find out the optimal network structure, urge multinational enterprises to efficiently use global innovative resources, and promote the flow of knowledge in technological innovation networks, so as to minimize the costs of knowledge flow.Firstly, the structure and characteristics of technological innovation networks of multinational enterprises are analyzed. Technological innovation networks of multinational enterprises include internal and external technological innovation networks of transnational companies. Just like other complicated networks, they are uniquely characterized by aggregation, nonlinearity, small world networks, and absence of scale, mobility and diversity. A multi-level structure model of knowledge relationship among subsidiaries and between parent companies and their subsidiaries has been set up in the internal technological innovation networks of transnational companies. Then, the knowledge flow in internal technological innovation networks of multinational enterprises has been derived through analysis. This not only depends on the entities of knowledge relationship, but also is closely related to the support of parent companies and the environmental factor. In external technological innovation networks of transnational companies, this thesis has analyzed the roles of various networks entities in knowledge flow, and major models of knowledge flow, including coordinative R&D networks and alliances of technological standards.Secondly, we analyze the main modes of knowledge flow in multinational enterprises technology innovation networks, analyzing the influence of the pattern choice about tacit knowledge and knowledge transfer ability of MNEs’overseas. We develop essential dynamic programming model to study the partner selection issue among R&D networks organization. The patent owner should apply for patent holders from technical standards alliances. But the information is asymmetrical, creates "adverse selection" the question appearance. We measure the value brought by the technical value in the multinational enterprises technical standards alliances. We put forward the method of technical standard of internal management structure and union patent pricing.Thirdly, we use the method of system dynamics; build the system dynamics model of knowledge flow in multinational enterprises technological innovation network. In this model, we analyze innovation network knowledge and knowledge flow of growth stock relation of foundation and knowledge flow in a multinational enterprises technology innovation networks in various activities as a system. Through the analysis of the multinational enterprises technology innovation networks in the causal relationships between different subjects, knowledge flow on the multinational enterprises simulation technology innovation network knowledge the contribution of stock. By adjusting the sensitivity parameter, in different circumstances knowledge flow for multinational enterprises technology innovation network knowledge contribution forecasting analysis, so as to realize the technology innovation affecting multinational enterprises in the network of the important factors of knowledge flow target.Fourthly, we establish a configuration optimization model of knowledge flow for that the expectations of profit is minimized. We apply the global system view to the location and control strategies of firms. We develop a location-allocation, mixed integer linear model that simultaneously evaluates a substantial number of multinational enterprise (MNE) location and control configurations to yield an optimal network, considering R&D, production and marketing facilities, produced in-house and/or outsourced. The model places special emphasis on the role of intra-firm, inter-firm and extra-firm knowledge flows in addressing cost minimize considerations of MNEs. A simulation analysis is undertaken to evaluate potential solutions from such a framework and to analyze their consistency with theoretical expectations.Finally, we examine the effectiveness of the optimization model and sensitivity. We apply the OECD, World Bank group of the related data published in2010, getting the multinational enterprise technology innovation network optimal structure based on the knowledge flow, and combining with the results of the study, put forward the related countermeasures about knowledge flow in multinational enterprises to promote technology innovation network. Based on three levels of the national, industry and enterprise, we give the relevant policy suggestions.更多还原