电子通信设备制造企业R&D国际化研究
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摘要
R&D国际化是指R&D资源和活动的跨国界行为,它既包括东道国企业海外R&D活动,也包括外资企业在东道国的R&D活动。随着技术发明和应用周期的日益缩短、R&D投资风险的加大、经济全球化趋势的增强以及现代信息网络技术的广泛使用,企业的R&D国际化得到了迅猛发展,其R&D国际化研究亦引起了人们广泛关注。电子通信设备制造业是我国国民经济战略性产业之一,20世纪90年代以来,随着新兴市场的扩张及3G业务升温,我国电子通信设备制造业飞速增长,其增加值在制造业28个门类中稳居第一位,占GDP的15%左右。因此,研究电子通信设备制造企业R&D国际化对其R&D国际化的发展和提升国际竞争力具有重要的意义。
本文从R&D国际化的视角切入,以电子通信设备制造企业作为研究对象,运用交叉学科理论与方法,对电子通信设备制造企业R&D国际化的动因、组织结构与选择机制、评估、效率测定以及管理进行了系统研究,分析讨论了研究结果和R&D国际化的经验启示,提出了相应的政策建议。主要研究内容如下：
首先,科学界定了电子通信设备制造企业R&D国际化的概念和内涵。在此基础上,分析了电子通信设备制造企业R&D国际化的发展趋势,提出了其R&D国际化的内外部动因,进而采用问卷调查法,对我国电子通信设备制造企业R&D国际化的动因进行了实证研究,研究发现各动因按从高到低的顺序排列依次是：跟踪和获取技术；利用全球R&D资源,增强技术竞争力；支持当地生产和市场,适应本土化的要求；寻求短缺的R&D资源；制订或推广技术标准；获得范围经济；节约R&D时间；规避风险；避过贸易壁垒。
其次,对电子通信设备制造企业R&D国际化的组织结构进行了研究。指出了五种组织类型和三种组织模式,提出了电子通信设备制造企业需要根据成本、技术保密、核心竞争力、东道国的科研水平与技术发达程度、发展战略、企业的经济与技术实力、R&D效率、企业国际化程度等因素来选择相应的组织类型和模式。然后,对电子通信设备制造企业R&D国际化水平及R&D国际化技术效率与影响因素进行了测评研究。选择了“改进”的拉开档次法作为评估的方法,从R&D资金、机构、活动、产出国际化四个层面,构建了电子通信设备制造企业R&D国际化评估的指标体系,根据电子通信设备制造大中型三资企业的面板数据,对其R&D国际化水平进行了评估。同时,选择数据包络分析法(DEA)作为技术效率测定的测算方法,引入了电子通信设备制造企业R&D国际化的物质资本、人力资本及研发资本这三个要素对其技术效率影响的回归模型,以电子通信设备制造大中型三资企业R&D数据为样本,对技术效率及其影响因素进行了实证研究。结果表明,我国电子通信设备制造企业R&D国际化的投入和产出均逐年递增,但R&D国际化技术效率并不是逐年提高；上述三要素对技术效率既有积极影响,也有消极影响。
第三,从区位选择、人力资源管理、基于进化博弈分析的跨国R&D战略联盟管理机制三个方面探讨了电子通信设备制造企业R&D国际化的管理。对于海外R&D区位的选择提出了市场寻求型、技术寻求型和资源寻求型区位选择模式。对人力资源管理提出了实施本地化人才战略、加强对人才的培养、建立公正的评估制度、保持对人才的激励、尊重员工和建立员工对公司的归属等措施。对于跨国R&D战略联盟的管理,构建了揭示联盟演化特征的进化博弈模型,并在对博弈结果进行分析的基础上指出了决策应以长远利益为目标；减小超额收益、增加联盟的净利润以及推出被市场广为接受的行业标准以促进联盟的稳定；同时提出了联盟中企业应按各自技术水平的高低以及联盟R&D的前景选择合作策略,并根据R&D净利润最大化的一阶条件来合理安排自己的R&D活动等管理建议。
最后,以积极参与R&D国际化活动、成果显著的国际电子通信设备制造优秀企业爱立信为案例研究对象,对其R&D国际化进行了深度剖析,挖掘了其成功的经验,并验证了本文提出的关于电子通信设备制造企业R&D国际化的观点与结论。进一步,提出了促进我国电子通信设备制造企业R&D国际化发展的相关启示和政策建议。
R&D Internationalization refers to R&D resources and activities across the national borders, involving overseas R&D activities of host countries and those of foreign invested enterprises in host countries. As life cycles of technological innovations and applications have been increasingly shortened, the investment risk for R&D is getting higher, the support of economic internationalization is strengthened, and modern information and network technology is widely used, the R&D internationalization of electronic and communication equipment manufacturing enterprises has been rapidly developed. Due to these aspects, the R&D internationalization of electronic and communication equipment manufacturing enterprises has aroused extensive research interest in the international academic circle. The electronic and communication equipment manufacturing is one of the strategic industry of China's national economy. As new markets emerge and the Third Generation telecommunication industry expands, China's electronic and communication equipment manufacturing has, since1990s, advanced rapidly, with its added value ranking No.1among the28manufacturing industries, and its output value accounting for15percent of China's GDP. Therefore, it is of great significance to study the internationalization of the R&D in implementing globalization strategies and promoting the competitiveness of China's players in electronic and communication equipment manufacturing. Focusing on the R&D internationalization, the dissertation takes electronic and communication equipment manufacturing enterprises as subjects with an interdisciplinary approach. It studies the motivations of the R&D internationalization, the organizational structures and their choice, the evaluation, efficiency measuring, and their management in a systematic way, analyzes and discusses the research findings and the R&D internationalization experience, and makes a series of policy suggestions. The key components of research as follows:
In the first place, the dissertation attempts to define the concept and the connotation of the internationalization of electronic and communication equipment manufacturing enterprises. On that basis, the dissertation analyses the tendencies and suggests the external motivation of the internationalization of electronic and communication equipment manufacturing enterprises. Then the dissertation proceeds with a questionnaire for an empirical research on external motivations of the internationalization of China's electronic and communication equipment manufacturing enterprises. The research findings on motivations in the order of significance are keeping track of and acquiring relevant technologies, utilizing global R&D resources, enhancing technological competitiveness, seek absent R&D resources, making and spreading technological standards, achieving scope economy, saving R&D time, avoiding risks, and evading trade barriers.
Secondly, the dissertation studies the organization structures of the internationalization of electronic and communication equipment manufacturing enterprises. It classifies5types of organizations and3organization models, points out that electronic and communication equipment manufacturing enterprises need to select types and models of organization corresponding to the factors, such as their costs, technology secrecy, core competitiveness, and the level of research and technological development in host country, their development strategies, their own economic and technological strength, their R&D efficiency, the degree of globalization of their enterprises. Then the degree of the internationalization of electronic and communication equipment manufacturing enterprises, and the technological efficiency of the R&D of and influence factors are evaluated. The improved ranking method is adopted to evaluate the enterprises in terms of the4categories of R&D investment, R&D institute type, R&D activity, and output internationalization, constructs the index system for evaluating the degree of internationalization of electronic and communication equipment manufacturing enterprises, and evaluates the degree of internationalization of wholly foreign owned, equity joint venture and contractual joint venture of electronic and communication equipment manufacturing enterprises according to their panel data. At the same time, this dissertation uses DEA methodology to measure the technological efficiency. It uses the physical capital, human capital and R&D capital of ploughed in by electronic and communication equipment manufacturing enterprises for R&D internationalization to regress on the technological efficiency effects. With sample data of the wholly foreign owned, equity joint venture, and contractual joint venture of electronic and communication equipment manufacturing enterprises, an empirical study is conducted to analyze the technological efficiency and the influence factors. The results show that China's electronic and communication equipment manufacturing enterprises input for and output from R&D internationalization are increasing year by year, but the technological efficiency is not increasing every year. The above three factors have both positive and negative effects on technological efficiency.
Thirdly, the dissertation discusses the management mechanism of electronic and communication equipment manufacturing enterprises from three aspects:the location selection, human resources management mechanism, and multi-national R&D strategic coalition based on evolutionary game. For overseas R&D location selection, the dissertation proposes three models:market seeking model, technology seeking model, and resources seeking model. For human resources management, it suggests implementing human resources localization strategy, strengthening staff training, establishing fair performance evaluation system, maintaining motivation to elite staff, respecting staff and strengthening staff's identification with the enterprise. Concerning multi-national R&D strategic coalition management, the dissertation constructs an evolutionary game model to reveal the coalition evolution features, and points out, on the basis of the game model results, that electronic and communication equipment manufacturing enterprises should seek the long-term goals, reduce excess return, increase net profit for the R&D coalition parties and seek to introduce an industry standard that are sure to be extensively welcomed by the market to consolidate the foundation for the coalition. At the same time, the dissertation proposes that the enterprises in the coalition should select their cooperation strategies in accordance with their own technological advantages and the cooperation prospects for their R&D cooperation and arrange their own R&D activities in terms of the first order condition for the maximization of the R&D net profit.
Finally, the dissertation makes a case study of Ericsson, an electronic and communication equipment manufacturing enterprise who has actively and fruitfully participated in R&D internationalization. This dissertation explores its R&D internationalization, summarizes its successful experience and validates the conclusions on R&D internationalization of electronic and communication equipment manufacturing enterprises put forward in this dissertation. In the end, the dissertation concludes with the revelations and policy suggestions on the development of China's electronic and communication equipment manufacturing enterprises' R&D internationalization.
本文从R&D国际化的视角切入,以电子通信设备制造企业作为研究对象,运用交叉学科理论与方法,对电子通信设备制造企业R&D国际化的动因、组织结构与选择机制、评估、效率测定以及管理进行了系统研究,分析讨论了研究结果和R&D国际化的经验启示,提出了相应的政策建议。主要研究内容如下：
首先,科学界定了电子通信设备制造企业R&D国际化的概念和内涵。在此基础上,分析了电子通信设备制造企业R&D国际化的发展趋势,提出了其R&D国际化的内外部动因,进而采用问卷调查法,对我国电子通信设备制造企业R&D国际化的动因进行了实证研究,研究发现各动因按从高到低的顺序排列依次是：跟踪和获取技术；利用全球R&D资源,增强技术竞争力；支持当地生产和市场,适应本土化的要求；寻求短缺的R&D资源；制订或推广技术标准；获得范围经济；节约R&D时间；规避风险；避过贸易壁垒。
其次,对电子通信设备制造企业R&D国际化的组织结构进行了研究。指出了五种组织类型和三种组织模式,提出了电子通信设备制造企业需要根据成本、技术保密、核心竞争力、东道国的科研水平与技术发达程度、发展战略、企业的经济与技术实力、R&D效率、企业国际化程度等因素来选择相应的组织类型和模式。然后,对电子通信设备制造企业R&D国际化水平及R&D国际化技术效率与影响因素进行了测评研究。选择了“改进”的拉开档次法作为评估的方法,从R&D资金、机构、活动、产出国际化四个层面,构建了电子通信设备制造企业R&D国际化评估的指标体系,根据电子通信设备制造大中型三资企业的面板数据,对其R&D国际化水平进行了评估。同时,选择数据包络分析法(DEA)作为技术效率测定的测算方法,引入了电子通信设备制造企业R&D国际化的物质资本、人力资本及研发资本这三个要素对其技术效率影响的回归模型,以电子通信设备制造大中型三资企业R&D数据为样本,对技术效率及其影响因素进行了实证研究。结果表明,我国电子通信设备制造企业R&D国际化的投入和产出均逐年递增,但R&D国际化技术效率并不是逐年提高；上述三要素对技术效率既有积极影响,也有消极影响。
第三,从区位选择、人力资源管理、基于进化博弈分析的跨国R&D战略联盟管理机制三个方面探讨了电子通信设备制造企业R&D国际化的管理。对于海外R&D区位的选择提出了市场寻求型、技术寻求型和资源寻求型区位选择模式。对人力资源管理提出了实施本地化人才战略、加强对人才的培养、建立公正的评估制度、保持对人才的激励、尊重员工和建立员工对公司的归属等措施。对于跨国R&D战略联盟的管理,构建了揭示联盟演化特征的进化博弈模型,并在对博弈结果进行分析的基础上指出了决策应以长远利益为目标；减小超额收益、增加联盟的净利润以及推出被市场广为接受的行业标准以促进联盟的稳定；同时提出了联盟中企业应按各自技术水平的高低以及联盟R&D的前景选择合作策略,并根据R&D净利润最大化的一阶条件来合理安排自己的R&D活动等管理建议。
最后,以积极参与R&D国际化活动、成果显著的国际电子通信设备制造优秀企业爱立信为案例研究对象,对其R&D国际化进行了深度剖析,挖掘了其成功的经验,并验证了本文提出的关于电子通信设备制造企业R&D国际化的观点与结论。进一步,提出了促进我国电子通信设备制造企业R&D国际化发展的相关启示和政策建议。
R&D Internationalization refers to R&D resources and activities across the national borders, involving overseas R&D activities of host countries and those of foreign invested enterprises in host countries. As life cycles of technological innovations and applications have been increasingly shortened, the investment risk for R&D is getting higher, the support of economic internationalization is strengthened, and modern information and network technology is widely used, the R&D internationalization of electronic and communication equipment manufacturing enterprises has been rapidly developed. Due to these aspects, the R&D internationalization of electronic and communication equipment manufacturing enterprises has aroused extensive research interest in the international academic circle. The electronic and communication equipment manufacturing is one of the strategic industry of China's national economy. As new markets emerge and the Third Generation telecommunication industry expands, China's electronic and communication equipment manufacturing has, since1990s, advanced rapidly, with its added value ranking No.1among the28manufacturing industries, and its output value accounting for15percent of China's GDP. Therefore, it is of great significance to study the internationalization of the R&D in implementing globalization strategies and promoting the competitiveness of China's players in electronic and communication equipment manufacturing. Focusing on the R&D internationalization, the dissertation takes electronic and communication equipment manufacturing enterprises as subjects with an interdisciplinary approach. It studies the motivations of the R&D internationalization, the organizational structures and their choice, the evaluation, efficiency measuring, and their management in a systematic way, analyzes and discusses the research findings and the R&D internationalization experience, and makes a series of policy suggestions. The key components of research as follows:
In the first place, the dissertation attempts to define the concept and the connotation of the internationalization of electronic and communication equipment manufacturing enterprises. On that basis, the dissertation analyses the tendencies and suggests the external motivation of the internationalization of electronic and communication equipment manufacturing enterprises. Then the dissertation proceeds with a questionnaire for an empirical research on external motivations of the internationalization of China's electronic and communication equipment manufacturing enterprises. The research findings on motivations in the order of significance are keeping track of and acquiring relevant technologies, utilizing global R&D resources, enhancing technological competitiveness, seek absent R&D resources, making and spreading technological standards, achieving scope economy, saving R&D time, avoiding risks, and evading trade barriers.
Secondly, the dissertation studies the organization structures of the internationalization of electronic and communication equipment manufacturing enterprises. It classifies5types of organizations and3organization models, points out that electronic and communication equipment manufacturing enterprises need to select types and models of organization corresponding to the factors, such as their costs, technology secrecy, core competitiveness, and the level of research and technological development in host country, their development strategies, their own economic and technological strength, their R&D efficiency, the degree of globalization of their enterprises. Then the degree of the internationalization of electronic and communication equipment manufacturing enterprises, and the technological efficiency of the R&D of and influence factors are evaluated. The improved ranking method is adopted to evaluate the enterprises in terms of the4categories of R&D investment, R&D institute type, R&D activity, and output internationalization, constructs the index system for evaluating the degree of internationalization of electronic and communication equipment manufacturing enterprises, and evaluates the degree of internationalization of wholly foreign owned, equity joint venture and contractual joint venture of electronic and communication equipment manufacturing enterprises according to their panel data. At the same time, this dissertation uses DEA methodology to measure the technological efficiency. It uses the physical capital, human capital and R&D capital of ploughed in by electronic and communication equipment manufacturing enterprises for R&D internationalization to regress on the technological efficiency effects. With sample data of the wholly foreign owned, equity joint venture, and contractual joint venture of electronic and communication equipment manufacturing enterprises, an empirical study is conducted to analyze the technological efficiency and the influence factors. The results show that China's electronic and communication equipment manufacturing enterprises input for and output from R&D internationalization are increasing year by year, but the technological efficiency is not increasing every year. The above three factors have both positive and negative effects on technological efficiency.
Thirdly, the dissertation discusses the management mechanism of electronic and communication equipment manufacturing enterprises from three aspects:the location selection, human resources management mechanism, and multi-national R&D strategic coalition based on evolutionary game. For overseas R&D location selection, the dissertation proposes three models:market seeking model, technology seeking model, and resources seeking model. For human resources management, it suggests implementing human resources localization strategy, strengthening staff training, establishing fair performance evaluation system, maintaining motivation to elite staff, respecting staff and strengthening staff's identification with the enterprise. Concerning multi-national R&D strategic coalition management, the dissertation constructs an evolutionary game model to reveal the coalition evolution features, and points out, on the basis of the game model results, that electronic and communication equipment manufacturing enterprises should seek the long-term goals, reduce excess return, increase net profit for the R&D coalition parties and seek to introduce an industry standard that are sure to be extensively welcomed by the market to consolidate the foundation for the coalition. At the same time, the dissertation proposes that the enterprises in the coalition should select their cooperation strategies in accordance with their own technological advantages and the cooperation prospects for their R&D cooperation and arrange their own R&D activities in terms of the first order condition for the maximization of the R&D net profit.
Finally, the dissertation makes a case study of Ericsson, an electronic and communication equipment manufacturing enterprise who has actively and fruitfully participated in R&D internationalization. This dissertation explores its R&D internationalization, summarizes its successful experience and validates the conclusions on R&D internationalization of electronic and communication equipment manufacturing enterprises put forward in this dissertation. In the end, the dissertation concludes with the revelations and policy suggestions on the development of China's electronic and communication equipment manufacturing enterprises' R&D internationalization.
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